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Prologue
This amendment of The FAA and Industry Guide to Product Certification (CPI Guide) incorporates changes based on lessons learned and supports the broader use of this guide by providing additional guidance for specialized product certification (particularly avionics). Section B of chapter 1 was added to clarify the relationship with FAA certification directives. The Partnership for Safety Plan is no longer labeled as a phase; therefore, the number of phases is reduced to five. The titles of the phases are changed to provide concise descriptors and to correlate them to the existing certification procedures in FAA Order 8110.4C, Type Certification. Old Phase Description I Partnership for Safety Plan II Conceptual Design and Standards III Refined Product Definition and Risk Management IV Certification Project Planning V Certification Project Management VI Post Certification New Phase Description overarching function independent of phases I Conceptual Design II Requirements Definition III IV V Compliance Planning Implementation Post Certification

This edition of the CPI Guide incorporates The FAA and Industry Guide to Avionics Approvals, dated April 13, 2001. Helpful concepts for streamlining the approval process of avionics installations in multiple models, follow-on field approvals, and so forth appear in four new appendices: 1. 2. 3. 4. Appendix III - Avionics Certification Process Improvement Appendix IV - Avionics Partnership for Safety Plan Appendix V - Avionics Installation Project Specific Certification Plan Appendix VI - Avionics TSOA Project Specific Certification Plan

Appendix VIII – Delegation Planning, adds guidance for delegation and oversight and reflects new delegation policy in FAA Order 8110.4C. A few descriptors were added to the roles and responsibilities of certain key players. The Project Evaluation Forms are renamed as Phase Evaluation Checklists to better reflect their true function in the certification process. The glossary and the acronyms have been expanded to include some terms that were absent from the 1999 edition of this guide.

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........................................................ PURPOSE ..........................................................................................................................................10 G................ ACCOMPLISHING THE VISION ....................................................................................................................4 B................................................................ ii CHAPTER 1 ......... i TABLE OF CONTENTS ......................................................13 B......................................................24 H.............................................................................................18 E.............................................12 A.................................................. TASKS ............................................. FAA FLIGHT TEST PILOTS AND/OR DESIGNEES ............................. REQUIRED INFORMATION ............................................................................................................................ FAA INSPECTORS AND/OR DESIGNEES .....................................................................................................................................7 D......................................2 CHAPTER 2 ............................................. PHASE IV – IMPLEMENTATION .................... FAA AND APPLICANT’S MANAGEMENT ........................................................................................................ FAA ENGINEERS AND/OR DESIGNEES .....................................4 C.................................................................................... FAA AIRCRAFT EVALUATION GROUP ...............17 D............................11 CHAPTER 4 – DESCRIPTION OF KEY PLAYERS’ ROLES . RELATION TO FAA POLICY ........................ CRITERIA FOR SUCCESS.............................................................................................................................................................................................................................................. PHASES OF CERTIFICATION ............................................................................................. FAA STANDARDS STAFF PROJECT OFFICER....................................1 A................................ PHASE III – COMPLIANCE PLANNING ..........5 B...................2 D...5 A............................... OVERVIEW OF CERTIFICATION PHASES .................................... PHASE II – REQUIREMENTS DEFINITION .........4 CHAPTER 3 – PHASES OF CERTIFICATION ....4 D........................................................................................................ PHASE I – CONCEPTUAL DESIGN ................................. FAA CHIEF SCIENTIFIC AND TECHNICAL ADVISORS (CSTA)..........................14 C....................................22 G.8 E......................................................................................... DELIVERABLES ...................................PARTNERSHIP FOR SAFETY PLAN .......... FAA AND APPLICANT’S PROJECT MANAGERS ..................................................................25 CHAPTER 5 – CONCLUSION......................... VISION ........................................................................................................1 C................................9 F..............................................................20 F..........Table of Contents P ROLOGUE ...........................................................INTRODUCTION .........1 B........... PHASE V – POST CERTIFICATION ..........................................................................................................................................................................6 C............27 ◊ ii ◊ .......................................................................................4 A............................

........61 AVIONICS TSOA PROJECT SPECIFIC CERTIFICATION PLAN .APPENDIX I APPENDIX II APPENDIX III APPENDIX IV APPENDIX V APPENDIX VI APPENDIX VII APPENDIX VIII APPENDIX IX PARTNERSHIP FOR SAFETY PLAN ......74 AVIONICS INSTALLATION PROJECT SPECIFIC CERTIFICATION PLAN .........37 AVIONICS CERTIFICATION PROCESS IMPROVEMENT .............................................................................28 PROJECT SPECIFIC CERTIFICATION PLAN ............................................................................................................................................................106 GLOSSARY AND ACRONYMS .............87 PHASE EVALUATION CHECKLISTS....................................................................................................109 ◊ iii ◊ ............49 AVIONICS PARTNERSHIP FOR SAFETY PLAN...........................100 DELEGATION PLANNING ...................................................................................

means of compliance. while ensuring regulatory compliance. Appendix VII contains the Phase Evaluation Checklists used at the end of each Phase of a project to ensure completeness of phase objectives and evaluate the effectiveness of the process. open and constructive communication. which contain the models for the primary tools of the certification process: Partnership for Safety Plan (PSP) and a Project Specific Certification Plan (PSCP). This process will result in a more effective use of FAA and Industry resources. It also includes an overview of the Phases for product certification including the process flow and a detailed description of Key Player’s roles. Reducing the cycle time to certify products. P URPOSE The FAA and Industry Guide to Product Certification contains a description of the purpose and vision of the improved certification process. Appendix VIII is the Glossary and Acronyms. by reducing the time and cost of product certification. and document an effective. hereinafter referred to as Certification Process Improvement (CPI). This is followed by Appendices I and II. manage. Though focused on large and/or complex programs. Early involvement helps to identify and resolve the certification basis more efficiently. and other design approvals including PMA and TSOA. project management. ◊ 1 ◊ . efficient product certification process and working relationship between the Federal Aviation Administration (FAA) and an Applicant.g. The FAA and Industry are committed to improving the effectiveness and efficiency of the product certification process by establishing up-front a clear understanding of the needs and expectations of both parties in the product certification process. etc.CHAPTER 1: INTRODUCTION A. V and VI focuses on the unique nature of the avionics approval process and provides information regarding the most effective path for various types of avionics approvals. Also. and documenting the certification process and working relationship are applicable to all applicants. and safety focused project management. it is expected that the CPI principles of up-front planning. particularly through the use of FAA Designees with oversight focused on critical safety areas. Supplemental Type Certification. Production Approval. The recommendations generally focused around needed improvements in the efficiency and responsiveness of the certification process to facilitate implementation and certification of new avionics technologies. It includes an overview of how the generic certification phases apply to the avionics approval process. safety enhancements through new technology and design innovation can be more rapidly integrated into aviation products. This appendix is introduced from the guidance developed by the Certification Select Committee to implement the recommendations developed by the RTCA Task Force. This Guide describes how to plan. will require earlier involvement of FAA and Applicants in project planning. The Guide should be used by the FAA and Applicants for Type Certification. significant amendments to either TC or STC. e. Appendix III – Avionics Certification Process Improvement – supported by appendices IV. special conditions. large or small.

“Aircraft Certification Service . responsibilities. “Type Certification” and 8100. Responsibilities. “certification” is used broadly and is not limited to design approvals marked by a certificate. D.B. teamwork. the PSCP. If you find that this document conflicts with or contradicts any other policy or guidance material. focusing on safety and allowing flexibility in other areas where the FAA’s and Applicant’s work processes and related customer bases may differ. propellers. potential safety issues.4. C. the FAA and Applicants can lay a foundation from which to build mutual trust. aircraft engines. leadership. and Programs”. and business practice requirements Optimal delegation using safety management concepts with appropriate controls and oversight Note that the word “product” is used throughout this Guide to identify aircraft. It does not change what we do. V ISION By applying the principles of this Guide. The Plans must be agreed to by both the FAA and the Applicant prior to conducting a certification project. and accountability of all stakeholders Timely identification and resolution of the certification basis. Relationships. Furthermore. A CCOMPLISHING THE V ISION The building blocks to bring about the vision of the new certification process are the PSP. and the Phase Evaluation Checklists. Material contained in this Guide is a model of how to conduct effective process and project management by applying the PSP and PSCP formats found in Appendices I and II respectively. It is the mutual goal of the FAA and Applicants to meet or exceed the following vision: Vision of the Product Certification Process A credible and concise product certification process that results in: Timely and efficient product type design and production approvals Clearly defined and understood roles. ◊ 2 ◊ . The processes and products described in this Guide enable the FAA and Applicants to fulfill their respective roles and expedite certification of products while focusing on safety significant issues. It is important to adhere to the guidance and intent of these documents to the greatest extent possible.Mission. rather it changes how we do it. as well as appliances and components or parts thereof. The Plan formats can be adapted and enhanced within the FAA's regulatory and policy requirements to meet the needs and work processes of the FAA and Applicants.5. CPI is a compilation and enhancement of the best business and certification practices and is compatible with FAA Orders 8110. AIR-100 for further direction. please contact the Aircraft Engineering Division. and efficient business practices. R ELATION TO FAA P OLICY CPI is not a major overhaul of the current certification process. This guide should be used as a supplement to existing FAA guidance.

performance measures. is a written “umbrella” agreement between the FAA and the Applicant that defines generic procedures to plan for product certification. Examples of content include generic methodologies for use of Designees. it is essential that Plans address as a minimum all the areas and issues contained in this Guide. The second Plan is the PSCP shown in Appendix II. issue resolution. communication. The PSCP is designed to be used as a project management tool. The PSCP captures procedures based on the generic methodologies of the PSP and applies them to a specific project. providing milestones. and the Phase Evaluation Checklists should be maintained in the official project file for future national or local program evaluation. It applies the agreed upon principles of the PSP to a specific certification project. The Avionics Certification Process Improvement guidance in appendix III captures the means to obtain approval of avionics equipment and systems. Each project will have a PSCP. When the evaluation identifies the need for corrective actions or improvements it should be included as a part of the Compliance Summary Document for future reference. and information unique to a certification project. and generic metrics for measuring project progress. ◊ 3 ◊ . any necessary corrective actions should be implemented by the Team. To facilitate continuous improvement. shown in Appendix I. establish the general expectations or operating norms and identify deliverables. The PSP. The Phase Evaluation Checklists (Appendix VII) are a tool that can be used for project management during each Phase of a certification project.However. The FAA and Applicant Project Managers (PMs) should jointly prepare a Phase Evaluation Checklist at the close of each Phase. conformity inspections. This ensures that each certification project is planned and managed in a way that achieves the maximum benefit of this Guide. The PMs are encouraged to include the completion of the Phase Evaluation Checklists as milestones when preparing their PSCP schedule. The PSP also defines the general discipline and methodology to be used in planning and administering certification projects.

generic delegation procedures. guidance. and the generic operating norms for developing metrics for project evaluation.) Meeting minutes and correspondence to document decisions. A. policy Delegations and procedures Applicant’s procedures C. R EQUIRED I NFORMATION The FAA and Industry Guide to Product Certification Existing approvals/authorizations Relevant experience FARs. milestones. D ELIVERABLES (Deliverables are prerequisites to be completed before beginning Phase I of a project.CHAPTER 2: PARTNERSHIP FOR SAFETY PLAN This is a written agreement that states how the FAA and Applicant will conduct product certification. The agreement defines the generic discipline and methodology to be used in early exchange of information to plan for successful certification projects. an issues resolution process. and identify deliverables. and action item assignments Signed PSP (See Appendix I) D. establish the general timelines and expectations. It includes project schedule milestone development. communications protocol. unless otherwise mutually agreed by the FAA and the Applicant. T ASKS FAA and Applicant training on certification process FAA and Applicant meetings on conduct and procedures B. agreements. schedules. conformity procedures. C RITERIA FOR S UCCESS Provide proper levels of management leadership Commit to securing agreement on all elements of the PSP and subsequent PSCPs ◊ 4 ◊ .

early identification and resolution of issues and other elements to achieve the aforementioned vision. The Product Certification Phases shown on the following pages depicts the Key Players in the process. The five Phases are illustrated below: CERTIFICATION PROCESS ROADMAP POST CERTIFICATION PHASE IMPLEMENTATION PHASE COMPLIANCE PLANNING PHASE REQUIREMENTS DEFINITION PHASE CONCEPTUAL DESIGN PHASE As one works through the five Phases outlined in this Guide. Each Phase is built on early mutual awareness of key certification issues. O VERVIEW OF C ERTIFICATION P HASES There are five Certification Phases that move from early project concept and initiation through post certification activities. The content of the PSP and PSCP outlines the FAA and Applicant agreement and operating practices for a Product Certification project.CHAPTER 3: PHASES OF CERTIFICATION A. The Key Players’ ◊ 5 ◊ . the tasks for each Phase. deliverables. commitment to planning and managing projects. and the required information. the new process of extensive upfront engagement of both the FAA and an Applicant becomes evident. All phases contribute to improving safety and serve to mitigate cost and project risk. and criteria for success.

tasks. PHASES OF CERTIFICATION A detailed description of each Phase is contained on the following pages. It includes the Phase’s definition. Each Phase of certification described in the following pages identifies certain “Criteria for Success” that are unique to that Phase. communication. B. FAA Inspectors and Designees: Determine conformity and airworthiness. required information. FAA Flight Test Pilots and Designees: Conduct FAA flight tests. ALL of the Key Players outlined below are involved in ALL of the product certification Phases: FAA and Applicant’s Management: Makes commitment to the PSP and provides leadership and resources. deliverables. FAA Engineers and Designees: Apply regulations and policy to find compliance including the determination of the adequacy of type design and substantiation data. FAA Aircraft Evaluation Group (AEG): Evaluates conformance to operations and maintenance requirements. Deliverables of each Phase are prerequisites before entering the next Phase. and accountability. and criteria for success. FAA and Applicant’s Project Managers: Jointly orchestrates the PSCP and apply the PSP agreements. FAA Standards Staff Project Officer: Provides timely standardized policy and guidance. FAA Chief Scientific and Technical Advisor (CSTA): Provides expert advice and technical assistance.Roles shown later in this Guide also include the responsibilities. A more detailed description of the Key Players’ roles appears in chapter 4 of this Guide. and quality attributes or best practices for teaming. The following is a list of Criteria for Success applicable to ALL Phases that must be embedded in both the FAA’s and Applicant’s culture to assure a successful process: Establish mutual trust Ensure confidentiality Meet all commitments Emphasize empowerment ◊ 6 ◊ .

unless otherwise mutually agreed by the FAA and the Applicant. high quality documentation of decisions. 1. and action item assignments Preliminary certification basis considering the intended means of compliance. The intent is to ensure early. and approvals C. schedules. e. value added. initial safety assessments. compliance/conformance submittals. coproduction or foreign supplier arrangements requiring undue burden assessments. Tasks Early Familiarization Meetings on design concepts 2. action item assignments. PHASE I – CONCEPTUAL DESIGN This Phase is initiated when the Applicant begins design concept for a product that may lead to a viable certification project. and relevant policy material and begin formulation of a PSCP Definition and plan for resolution of critical issues. joint involvement with an expectation to surface critical areas and the related regulatory issues. and document agreements. agreements. and action plans to accomplish all Phases Produce timely. This is an opportunity to apply the PSP principles to develop a mutual understanding of potential new projects. Required Information New designs. exemptions or equivalent safety findings. expectations. processes. milestones. agreements. Proposed certification basis and means of compliance Supplier relationships Initial safety assessments 3. technology or processes. issues and actions accordingly Agree to clear time frames. and commitments Conduct early familiarization meeting(s) and document accordingly Conduct meeting(s) using well structured agendas/presentations.Maintain open and timely communication Provide proper levels of technical project and management leadership with frequent reviews to ensure all are aware of project status. new designs. Identify core team for commitment to developing the preliminary PSP elements to ensure continuity Phase I Evaluation Checklist (See Appendix VII) 4.g. schedules. potential special conditions. and begin formulating a preliminary Project Specific Certification Plan (PSCP).) Meeting minutes and correspondence to document decisions. technology. etc. milestones. Deliverables (Deliverables are prerequisites for subsequent Phases and must be completed before entering the next Phase. ensure Key Players attend. materials. significant issues. etc. Criteria for Success Commitment to the signed PSP ◊ 7 ◊ .

Required Information Applicant’s descriptive design & production data Critical issues definition Refined safety assessments Proposed schedule 3. equivalent safety findings. Tasks Meetings to refine product definition. Deliverables (Deliverables are prerequisites for subsequent Phases and must be completed before entering the next Phase. requirements. agreements. and develop the PSCP Preliminary Certification Board Meeting 2.. Criteria for Success Apply the PSP and commit to the early development of the PSCP ◊ 8 ◊ . PHASE II – REQUIREMENTS DEFINITION Efforts in this Phase clarify the product definition and the associated risks. unless otherwise mutually agreed by the FAA and the Applicant. FAA Form 8110-12 (FAA Order 8110. exemptions.) Submission of Application. Phase II Evaluation Checklist (See Appendix VII) 4.4) Acknowledgment of Application Certification Project Notification (FAA Order 8110. and conclude with a mutual commitment to move forward with product certification. milestones. and action item assignments Preliminary PSCP including project milestones and related events such as program status reviews (See Appendix II) Agreement of TC Certification Basis Plan and definition of project issues such as means of compliance including special conditions.D. etc. 1. A more formal PSCP is developed. schedules.4) and establishment of project Establishment of FAA and Applicant project certification team Meeting minutes and correspondence to document decisions. Specific regulatory requirements and methods of compliance or critical issues are formulated.

critical issues resolution plan. or systems. and other items affecting the completion of the project Agreed Type Certification Basis Compliance Check List Completion of Stage 1 on all issue papers Identification of stakeholders. including suppliers. unless otherwise mutually agreed by the FAA and the Applicant. propellers. test plan submission. Required Information Initial FMEA/Safety Assessments Stakeholder identification Refined critical issues Production processes 3. Criteria for Success Apply the PSP and commit to agreement on the PSCP ◊ 9 ◊ . PHASE III – COMPLIANCE PLANNING During this Phase a PSCP is completed. Delegations defined with oversight criteria Resource requirements Conformity procedures Project evaluation measures Phase III Evaluation Checklist (See Appendix VII) 4. milestones. Deliverables (Deliverables are prerequisites for subsequent Phases and must be completed before entering the next Phase. Tasks Project planning and PSCP development meetings 2. conformities. AEG evaluations. and action item assignments Signed PSCP (See Appendix II) Project schedule with established FAA/Applicant milestones for completion of analyses. installers in the case of engines. The plan is a tool to which the responsible parties commit and use to manage the product certification project. etc. 1. schedules.E. TIA. agreements.) Meeting minutes and correspondence to document decisions. flight test.

Required Information Design and production analysis Witnessing Inspection results Safety analysis 3.) Meeting minutes and correspondence to document decisions. and other items affecting the completion of the project Completed test plans/reports. and make revisions as needed to PSCP. inspections. ◊ 10 ◊ . Exemptions. unless otherwise mutually agreed by the FAA and the Applicant. Tasks Demonstration of compliance Compliance and conformance requirements verification Final Certification Board Meeting 2.F. Criteria for Success Apply PSP and manage to the PSCP Conduct frequent project schedule and compliance checklist status reports. team and management reviews. PHASE IV – IMPLEMENTATION During this Phase the Applicant and FAA work closely in managing. TIA. and action item assignments Meet milestones for completion of analyses. Deliverables (Deliverables are prerequisites for subsequent Phases and must be completed before entering the next Phase. critical issues resolution plan. test plan submission. conformity requests. agreements. refining. Special Conditions. and achieving their agreed PSCP to ensure that all agreed upon product specific certification requirements are met. AEG evaluations. conformities. and compliance documentation Issue Papers. 1. Equivalent Safety Findings Compliance and conformance findings Type Design and Production approval issuance Phase Evaluation IV Checklist (See Appendix VII) 4. flight test.

agreements. Deliverables Meeting minutes and correspondence to document decisions. Tasks Project follow-up and closure Certificate Management 2. milestones. 1. schedules. Required Information Airworthiness Limitations Maintenance and Operations requirements Project lessons learned Relevant safety data Type Certificate Data Sheet Evaluation findings Design change data 3.G. and action item assignments Compliance Summary Document Type Inspection Report Instructions for Continued Airworthiness Continued Airworthiness Management Plan Phase V Evaluation Checklist (See Appendix VII) 4. Criteria for Success Work together for continuous improvement Apply PSP and manage to the PSCP with a focus on continued operational safety Provide proper levels of technical project and management leadership with frequent reviews to ensure project close-out to schedule and resolution of significant post TC issues ◊ 11 ◊ . PHASE V – POST CERTIFICATION During this Phase close-out activities provide the foundation for continued airworthiness activities and certificate management for the remainder of the product’s life cycle.

CHAPTER 4: DESCRIPTION OF KEY PLAYERS’ ROLES FAA and Applicant’s Management Commitment to the Partnership for Safety Plan Provides Leadership and Resources FAA and Applicant’s Project Managers Jointly orchestrate the project and apply the Partnership for Safety Plan agreements FAA Standards Staff Project Officers Provides timely standardized policy and guidance KEY PLAYERS’ ROLES FAA and Applicant’s Engineers & Designees apply regulations and policy to find compliance including the determination of the adequacy of type design and substantiation data. FAA and Applicant’s Inspectors & Designees Determines conformity and airworthiness FAA and Applicant’s Flight Test Pilots & Designees Conducts FAA flight tests FAA Chief Scientific and Technical Advisors (CSTA) Provides expert advice and technical assistance FAA Aircraft Evaluation Group Evaluates conformance to operations and maintenance requirements NOTE: Appendix III describes Key Players’ roles and responsibilities as they apply to avionics approvals. ◊ 12 ◊ .

The respective managements provide leadership and resources to product certification teams through the Project Managers in order to accomplish the project and resolve issues. Teamwork Establishes PSP early for the involvement and commitment of both parties Ensures the Product Certification Team’s full participation. and adherence to the PSCP Ensures Product Certification Team engages all stakeholders including other FAA Engineers.A. Jointly the Managements Ensure Resources are available to support project: team. e.P ROVIDES LEADERSHIP AND RESOURCES The Applicant and the FAA work to establish a PSP to reach a clear common understanding of their respective responsibilities for the design and production definition and the certification requirements. application of the PSP. Accountability Participates in resolving critical issues identified in the PSCP Moderates appeal process through respective Project Managers Works in partnership to reach early agreement on certification basis Sets realistic schedules and monitors project status Provides leadership and management of resources to support the project Ensures the delivery of a quality product 4. staff. and policy considerations Facilitation of issues resolution by providing management oversight and leadership Identification of Project Manager focal points and lines of communication for certification project team Participation in Familiarization Meeting to discuss certification aspects of proposed project concepts ◊ 13 ◊ . engine/propeller/APU to airframe compatibility Coaches and mentors Product Certification Team members Models behaviors that promote effective teamwork between the FAA and Applicant 2. Standards Staffs. The management has ultimate responsibility through the product certification team for the quality of compliance finding work. Inspectors and Applicants to resolve integration issues. FAA AND A PPLICANT ’ S M ANAGEMENT . 1. travel funds. standard application of regulatory compliance policy and procedures. Communication Communicates early and often about design. training.g. priorities. and the timely. schedules. policy and administrative procedures Integration of project requirements with total workload for the respective organizations including: resources. schedules. efficient completion of the product certification projects. plans for demonstrating compliance and conformity and anticipated problems Facilitates access to best sources of information Ensures consistency and clarity of positions on issues is communicated to each other Promotes and ensures efficient resolution of issues at the operational level prior to elevating to the higher management levels 3.

completion of inspections and tests. and data and report submittals to show conformity and compliance Planning for and coordination of all interactions. and Applicant 3. FAA AND A PPLICANT ’ S THE JOB DONE P ROJECT M ANAGERS – O RCHESTRATES PROJECT AND GETS The FAA. Designees. for determining compliance and completing certification of the product Maintain effective oversight and control of the project 4. and board meetings during all Phases Determination of project resource requirements to meet FAA and Applicant commitments Establishment of project team including necessary specialists Preparation of the PSCP in coordination with all team members (Ref. familiarization. proposed means of compliance. etc. new production processes. new materials. and Applicant’s Project Managers are the principal focal points for the project. FAA offices. Accountability Ensure commitments and PSCP schedules are met Develop proposed certification basis and certification PSCP Manage timely delivery completion of inspections. 1. new production processes. exemptions. co-production or foreign supplier issues. analysis. Jointly the PMs Ensure Notification and involvement of FAA and Applicant in early project Phases Preparation of all required documentation Completion of accurate data submittals Completion of planning and scheduling Development of the compliance checklist Adherence to agreed project sequence and schedule for test plans. and co-production or foreign supplier arrangements requiring an undue burden assessment Development of the product certification basis ◊ 14 ◊ .B. Order 8100. special conditions.5 and Appendix II) Identification of new materials. They coordinate and direct the certification team’s effort and ensure things are kept moving to achieve the Product Certification objectives. equivalent safety findings. Communication Ensure effective communication flow and quality documentation among specialists. Teamwork Ensure the right people from the FAA and Applicant are involved Develop and maintain the PSCP (See Appendix II) Ensure the Product Certification Project Team awareness of design features. test data. and other critical issues for timely resolution 2.

Accountability as project focal points with their respective FAA. flight test and final TC Board meetings as appropriate Proper preparation. Order 8100.4) Scheduling and chairing of preliminary. equivalent safety findings. plans. means of compliance. where appropriate. (Ref.4 and Appendix II) 5. and potential need for coordination on issue papers. and project team member’s required input Proposed certification basis for project and means of compliance are consistent with FAR and policy Findings of compliance are made by appropriate accountable team members Notification of Applicant early of schedule revisions and/or major issues after commencement of certification which would influence prior agreed objectives 6. and Designee oversight. Designee’s. exemptions. and Applicant team members to ensure team is always aware of project status Participation in the development of new project-specific policy safety issues Coordination of technical decisions and regulatory issues with their respective team members Integration of work of project team to promote timely decisions (Ref. Order 8110. The Applicant’s PM Ensures Demonstration of compliance to the FAR Application for Type and Production Certification includes available relevant data/information Development of proposed certification basis. analyses. if applicable Proper evaluation of type design and substantiation data to determine their adequacy Preparation of Type Certificate Data Sheet Preparation of the Phase Evaluation Checklist at the end of each Phase (Ref. and applies the issues resolution process. maintains an issues tracking system. and reports. The FAA PM Ensures Coordination with FAA Team members and Designees cooperatively keeping the project team aware of applicable policy and guidance material Preparation of the Certification Project Notification and acknowledgment letter of Applicant’s application (Ref.5) Management of the issues resolution process. Orders 8100.5 and 8110. are provided for approval of Type Inspection Authorizations and/or FAA Form 8120-10 requests for conformity Completion of project file compliance documentation including Applicant’s. Appendix VII) Preparation of Certification Compliance Summary Document (Ref. special conditions. and shows compliance per the agreed PSCP ◊ 15 ◊ .5) Identification of unique/novel product features or applications. interim. and certification PSCP Submittal of type design data. Order 8100. Designees. as needed Participation in Pre-flight TC board and presents certification material on project Participation in Final TC board and presents certification material on project.

and for pre-flight test conformity and airworthiness certification Acceptance of Certificates and Approvals from FAA ◊ 16 ◊ .Notification to FAA early of schedule revision and/or major design changes after commencement of certification which would influence prior agreed outcomes Submittal of Statement of Conformity (FAA Form 8130-9) on product and components or parts Notification to Inspector when ground test articles are ready for conformity inspection when required.

FAA S TANDARDS S TAFF P ROJECT O FFICER – C OORDINATES D IRECTORATE I NTERACTION The Standards Staff Project Officer provides the certification team with clear and timely regulatory and policy guidance specific to the project. Exemptions. including means of compliance. and equivalent safety findings within Directorate and with other Directorates. issue papers. The FAA Standards Staff Project Officer Serves as Directorate national focal point and provides Project Managers and Designees with early policy guidance consistent with national policy that is common to all Directorates. e. is agreed upon early in project Assures timely support of the project regulatory and policy aspects 2. 1. Special Conditions. related to regulatory and policy issues Ensures timely determination of the certification basis ◊ 17 ◊ . and documents agreements and actions to resolve them 3. i.g.. propellers. APUs. HIRF Coordinates special conditions. the potential for an accident or service difficulty sufficient to warrant Airworthiness Directive action if the product were in service 4. Communication Serves as advisor to the FAA and Applicant Project Managers and Designees on timely and responsive interpretation of policy and rules Raises critical policy issues early to the Project Managers.e.. software.. Teamwork Works with Directorate policy staff and Product Certification team to provide coordinated policy to the team Assures that the certification basis.g.. The Project Officer is the focal point within the accountable project Directorate for that policy and for engaging other appropriate Directorate Staffs on installation issues across FAR Parts e. etc. exemptions. engines.C. as appropriate Provides pertinent FAR Part regulatory and policy guidance Analyzes the PSCP to ensure the team has all necessary policies and to identify issues that require additional or future regulations or policies to be undertaken Adheres to all applicable policy and guidance material Attends all relevant meetings and discussions related to the establishing the certification basis and resolving non-standard means of compliance or other critical issues list items Ensures timely processing of all Issue Papers. Accountability Reviews and concurs with the certification basis early Provides guidance on standardized application of rules and policy Assures that last minute changes in policy are applied to Applicant’s products only when critical new safety issues are identified. e. in meetings. telecons.g.

CSTAs. as assigned for appropriate disciplines. to make quality technical decisions and accomplish project deadlines 4. as Appropriate Attends all appropriate familiarization. Communication Uses timely and effective communication methods to identify and resolve problems early Communicates directly with Applicant and FAA counterparts on policy staff and other FAA Engineers and Inspectors to facilitate meeting project objectives Transmits policy and guidance material. The Engineers and Designees understand the technical details of the project. are the principal contacts for the Applicant. application of applicable rules and policy. and the Applicant to request conformity inspections. and board meetings Notifies the FAA Project Manager early of the need for CSTA or technical specialist assistance Assists in developing certification basis Reviews and approves certification means of compliance consistent with the agreed certification PSCP. management. e. FAA E NGINEERS AND / OR D ESIGNEES – A PPLY REGULATIONS AND POLICY TO FIND COMPLIANCE The Engineers. policy staff. Their activity is always in coordination with the FAA Project Manager and follows the agreed PSCP for guiding the certification process.. such as critical material process specifications. coordinates early on with Aviation Safety Inspectors. in meetings. new material/process specification evaluations. and compliance findings. Designees. technical. issue papers.. telecons. certification basis and related policy (FAA only) ◊ 18 ◊ ..D. to Applicant for timely resolution of critical issues Raises critical engineering issues early to the Project Manager. e. They also evaluate sufficiency of the type design and substantiation data with the discretion to review any of the data therein. Accountability Assures compliance with regulations and policy Responsible for technical details and documentation of findings and issues resolution Maintains appropriate oversight of the Designees Uses all available resources.g. and are responsible for the majority of the compliance findings associated with the project. and documents agreements and actions to resolve them Communicates the need for specialized expertise and resources to the team and management 3. 1. communication guidelines and how rules and policy will be applied. Teamwork Works closely with team members to meet deadlines.g. with the Standards Staff Project Officer. peers. e. The FAA Engineers and/or Designees.g. Technical Specialists. where needed Participates in all team meetings and discussions appropriate to their areas of responsibility and disciplines 2. Designees.

requests conformity inspection. of appropriate test articles. keeps Project Manager informed Makes compliance findings for design approval Drafts issue papers Ensures the quality and timeliness of approvals and documentation Prepares Type Inspection Authorizations in discipline. when needed. and coordinates with FAA Inspectors and their Designees Coordinates with FAA Inspectors and their Designees on the approval of critical parts and new materials or new process specifications Adheres to all applicable policy and guidance material Assures that all data submitted for design and production is complete and accurate to serve as the foundation for issuance of the certificate and subsequent continued airworthiness management activities throughout the life cycle of the aircraft ◊ 19 ◊ .Oversees the use of engineering delegations and Designees in accordance with the Delegation section of the PSCP (FAA only) Communicates with Applicant and project team on day-to-day technical issues.

in meetings. The FAA Aviation Safety Inspectors provide consultation and advise on production processes proposed in the design. airworthiness approval. coordinates early on with FAA Engineers. prior to official FAA tests Determines airworthiness of aircraft prior to flight test Maintains appropriate oversight of their Designees Assures compliance with regulations and policy governing production approvals Assumes responsibility for production related technical issues resolution and documentation of findings Uses all available resources. and production approval requirements Evaluates conformity. and documents agreements and actions to resolve them Communicates the need for specialized expertise and resources to the team and management 3. Designees. inspection. telecons. They conduct progressive evaluation of the manufacturer’s quality and production systems for eventual production approval. Accountability Briefs Applicant on conformity inspection.. CSTAs. e. through Designees. other Aviation Safety Inspectors. and other Aviation Safety Inspectors to facilitate meeting project objectives Raises critical production issues early to the Project Manager.g. technical. The Inspector is alert to conformance issues on critical parts that cannot be determined solely from type design data. Communication Uses timely and effective communication methods to identify and resolve problems early Communicates directly with the Applicant and FAA project team members. or evaluation within the production quality system. e. where needed Participates in all team meetings and discussions appropriate to their areas of responsibility and disciplines 2. FAA I NSPECTORS AND / OR D ESIGNEES – D ETERMINES CONFORMANCE AND AIRWORTHINESS . and board Meetings Notifies the FAA Project Manager early of the need for CSTA or technical specialist assistance Assists in developing certification basis ◊ 20 ◊ ..E. to make quality technical decisions and accomplish project deadlines 4. and the Applicant to conduct conformity inspections. a variety of conformity inspections. management. new material/process specification evaluations. The FAA Inspectors and/or Designees as Appropriate Attends all appropriate familiarization. peers. when requested.g. e. They conduct and oversee. policy staff.. Designees. issue papers. evaluations of aircraft airworthiness.g. This would then require focused process control. Teamwork Works closely with team members to meet deadlines. and issues airworthiness certificates or other approvals. 1. and compliance findings.

new material. and co-production or foreign supplier arrangements that require an undue burden assessment. keeps Project Manager informed. Adheres to all applicable policy and guidance material Coordinates and prepares appropriate items for Type Inspection Authorization in discipline Assures that all production and inspection data submitted for design and production approval are complete and accurate to serve as the foundation for issuance of the certificate and subsequent continued airworthiness management activities throughout the life cycle of the aircraft Ensures conformity and Airworthiness Certification for release of aircraft for FAA flight testing in coordination with FAA flight test pilots and Engineers ◊ 21 ◊ . new technology. on requests for conformity inspection and ensures conformity of test articles Coordinates with FAA Engineering or their Designees. as assigned. new process specifications.” Makes compliance findings for production approval Coordinates with FAA Engineering or their Designees. certification basis and related policy (FAA only) Oversees the use of production delegations and Designees and Applicant in accordance with the Delegation section of the PSCP (FAA only) Coordinates with Applicant and project team on day-to-day issues related to production and conformity aspects. on approval of design data affecting critical parts. as assigned.Reviews and approves production means of compliance consistent with the agreed certification PSCP.

e. and documents agreements and actions to resolve them Communicates the need for specialized expertise 3. coordinates early with Engineers. certification basis and related policy (FAA only) Oversees the use of delegations and Designees in accordance with the Delegation section of the PSCP (FAA only) Communicates with Applicant and project team on day-to-day technical issues. The FAA Pilots and/or Designees as Appropriate Attends all Familiarization and board appropriate Meetings Notifies the Project Manager early on of the need for CSTA or technical specialist involvement Assists in developing certification basis Reviews and approves certification means of compliance consistent with the agreed certification PSCP. telecons. management..g. e. and Applicant for flight test requirements Participates in all team meetings and discussions appropriate to their areas of responsibility and disciplines 2. flight-testing and instrumentation needed for compliance determinations. FAA F LIGHT T EST P ILOTS AND / OR D ESIGNEES – C ONDUCTS P RODUCT C ERTIFICATION FLIGHT TESTS The Flight test Pilots provide technical advice to the team on aircraft configuration. Aviation Safety Inspectors. peers.g. policy staff. operation. to make quality technical decisions and accomplish project deadlines 4. Communication Uses informal and formal communication channels to identify and resolve problems early Communicates directly with Applicant and FAA counterparts on the policy staff and with other FAA Engineers Raises critical flight test issues early to the Project Manager. find compliance to flight test requirements. They conduct FAA flight tests and other appropriate evaluations. 1. CSTAs. Accountability Assures compliance with regulations and policy Assumes responsibility for technical details in their discipline Uses all available resources.F. issue papers.g. Teamwork Works closely with team members to meet deadlines. e. and provide guidance to the Applicant on preparing the flight manual and related operational procedures. keeps Project Manager informed Makes compliance findings Drafts issue papers Prepares relevant items for Type Inspection Authorization in discipline and requests conformity of flight test articles in coordination with Inspector Conducts FAA Product Certification flight tests ◊ 22 ◊ . in meetings.

Reviews aircraft flight manual and related procedures for approval Adheres to all applicable policy and guidance material Assures that all appropriate flight test data submitted for TC is complete and accurate to serve as the foundation for issuance of the certificate and subsequent continued airworthiness management activities throughout the life cycle of the aircraft Considers flight test risk management in conjunction with entire team ◊ 23 ◊ .

3. e. The FAA CSTA Attends appropriate familiarization and board meetings as they and the certification team deem necessary Assists certification team in understanding special technical disciplines and new or complex technology related issues to facilitate timely and adequate compliance findings ◊ 24 ◊ . 1. telecons. industry. professional and academic organizations. and national and international experts in their discipline. Accountability Provides timely response to project team needs for means of compliance or precedent setting design or production aspects 4. etc.g.G. Communication Uses informal and formal communication channels to resolve problems identified by the project team early Communicates the need for their specialized expertise Raises issues early. Critical Design Reviews. FAA C HIEF S CIENTIFIC AND T ECHNICAL A DVISOR (CSTA) . in meetings.P ROVIDES EXPERT ADVICE AND TECHNICAL ASSISTANCE The CSTA provides professional technical guidance. other government. issue papers. They are our direct link to an extensive professional network in the R&D community. advice and assistance in their discipline. Teamwork Works as advisors to certification project teams on issues that require precedent setting means of compliance relating to new or complex technology and technical specialties Participates in Special Certification Reviews. and Multiple Expert Opinion Teams Assists FAA team members in identifying areas where their expertise can add value to the quality and timeliness of compliance findings or resolution of complex technical issues 2.

and coordinates appropriate issues with key AFS policy divisions Transmits pertinent AFS policy and guidance to project team ◊ 25 ◊ . and Flight Standardization Board activities. Flight Standards policy staff. and board Meetings Communicates with Applicant and project team on day-to-day technical issues related to operations and maintenance. FAA A IRCRAFT E VALUATION G ROUP – E VALUATES CONFORMANCE TO OPERATIONS AND MAINTENANCE REQUIREMENTS The FAA Aircraft Evaluation Group (AEG) provides a link to applicable Flight Standards technical services. technical decisions and accomplish project deadlines 4. FAA Engineers. and documents agreements and actions to resolve them Communicates the need for specialized expertise e.. and keeps the Project Manager informed Coordinates on Type Inspection Authorizations regarding AEG issues and coordinates with FAA Engineers and Aviation Safety Inspectors or their Designees Participates in appropriate flight testing related to Flight Standards operational issues Adheres to all applicable policy and guidance material Assists the certification team in understanding operations and maintenance issues for timely transition into service. coordinates early with Engineers. and the Applicant on maintenance and operational issues Participates in all team meetings and discussions appropriate to maintenance and operational disciplines 2. Aviation Safety Inspectors) to make quality.H.. This lends an aircraft operational and maintenance perspective to the type design assessment thereby allowing FAA Engineering and their Designees to determine appropriate compliance requirements in those areas. Flight Operations Evaluation Board.g. e. CSTA 3. The FAA Aircraft Evaluation Group (AEG) Attends all appropriate familiarization. e.. Communication Uses informal and formal communication channels to identify and resolve problems early Communicates directly with the Applicant and FAA counterparts in the Directorate Standards Staff.g. issue papers.g. The AEG carries knowledge of the product and how it was type certificated to the aircraft Maintenance Review Board. in meetings. technical. and FAA Engineers Provides AFS policy and guidance material to the team Raises critical maintenance or operational issues early to the Project Manager. 1. telecons. Accountability Serves as the focal point for all Flight Standards interests in the certification process Evaluates the product and its systems for operational suitability and maintainability Uses all available resources (e. Teamwork Works closely with team members to meet deadlines. AFS. Aviation Safety Inspectors.g. other AFS organizations.

AFM. Flight Operations Evaluation Board. Maintenance Review Board processes Reviews and coordinates maintenance and operational aspects of proposed documents for acceptance. i.e.. Instructions for Continued Airworthiness.Assists Engineers in determining that means of compliance meet operations and maintenance requirements Provides maintenance and operational insight of the type design into Flight Standardization Board. Operating Instructions ◊ 26 ◊ .

communicate often. Our mutual expectations for the FAA and Applicants’ Partnership for Safety are to plan early. All Key Players on Product Certification Teams make our commitments happen.CHAPTER 5: CONCLUSION The FAA and Applicants. in a Partnership for Safety. including delegations Apply rules and policy properly in a standardized way Keep commitments Come to closure to: Complete projects to the PSCP and on schedule Work cooperatively and constructively Follow the agreed issues resolution processes ◊ 27 ◊ . and cooperate on initiatives that make aircraft increasingly safer. Our commitment to Public Safety – Communicate often to: Explain our expectations and listen to concerns Strive for safe solutions to key safety decisions Work as “One Safety Team” Be accountable to: Identify best practices and provide quality service Allocate resources appropriately. are dedicated to providing a highly effective and efficient Product Certification Process.

However. This aid is intentionally not a “boiler plate”. ◊ A1-28 ◊ . it is essential that the PSP address the same key content areas of this aid ensuring that as written it captures the meaning and intent of this Guide. but allows the freedom to innovate and meet the needs of the Applicant and the FAA.APPENDIX I PARTNERSHIP FOR SAFETY PLAN between the FEDERAL AVIATION ADMINISTRATION And APPLICANT The material contained herein is an aid for constructing a Partnership for Safety Plan (PSP).

ISSUES RESOLUTION PROCESS 2. PERFORMANCE MEASURES (a) GENERAL (b) OPERATING NORMS (c) PHASE EVALUATION CHECKLISTS SIGNATORIES ◊ A1-29 ◊ . 4. 3. GENERAL CORPORATE PLANNING COMMUNICATION AND COORDINATION DELEGATION PRODUCTION QUALITY SYSTEM EVALUATION CONTINUOUS IMPROVEMENT 1. 2. 5.TABLE OF CONTENTS PURPOSE EFFECTIVITY PARTNERSHIP FOR SAFETY 1.

and business practice requirements Optimal delegation using safety management concepts with appropriate controls and oversight In the establishment of this PSP. This Plan enables the FAA.PURPOSE The purpose of this Partnership for Safety Plan (PSP) is to define a working relationship between the Aircraft Certification Service of the Federal Aviation Administration (FAA) and Applicant. revised or terminated and may be amended by mutual consent of the parties. responsibilities. it is understood that a cooperative working relationship is required for this process to be effective. GENERAL This PSP is a living document that will be developed by the FAA and the Applicant to the greatest extent possible in advance of any specific certification project. The PSP will be managed and maintained by the FAA’s and Applicant’s ◊ A1-30 ◊ . It is the mutual goal of the FAA and Applicant to meet or exceed the expectations of this agreement to achieve the following vision: Vision of the Product Certification Process A credible and concise product certification process that results in: Timely and efficient product type design and production approvals Clearly defined and understood roles. and efficient business practices. which outlines the nature of the change. future projects can be completed in a timely and efficient fashion. It provides the foundation from which to build mutual trust. CEO. and accountability of all stakeholders Timely identification and resolution of the certification basis. It continues in effect until it is superseded. teamwork. The PSP is an important prerequisite to a specific product certification project. or Senior VP officer empowered to commit for the Applicant. EFFECTIVITY This PSP becomes effective upon approval by the FAA Directorate Manager and the Applicant’s President. It establishes the principles and procedures for early identification of critical issues and early planning so that subsequent to this PSP. Applicant. PARTNERSHIP FOR SAFETY 1. and their staffs to expedite certification projects by focusing on safety significant issues. leadership. To achieve successfully this Vision. potential safety issues. it is understood that the Applicant and FAA team members will work in accordance with the guidelines contained in this PSP. Any change in the services furnished or other provisions of this PSP is formalized by an appropriate written amendment signed by both parties.

production or operational aspects. exemptions. and in the product definition and risk management Phases. The PSP gives the FAA a means to keep the Applicant informed of new proposed regulations or policy that could affect future product certification projects. related documentation. preferably prior to a specific project. The PSP should be specific as to what aspects of the FAA project ◊ A1-31 ◊ . continued airworthiness.management focal points in accordance with the “Communications” section below. reliance on existing agreements or working procedures generated between the FAA and Applicant. applicable standards. critical links should be defined to ensure roles and responsibilities are clear and to facilitate conflict resolution. The focal points will be responsible for the maintenance of the PSP. Thus. The PSP will include. 3. etc. e. These reviews also provide a forum to begin early planning for those potential projects as outlined in the early involvement Phases of the FAA and Industry Guide to Product Certification. but they need to assure the focal points are informed. The FAA Engineering and Aviation Safety Inspectors’ Designees. but not be limited to. This will be done as potential certification projects arise to assure agreement and commitment on dealing with critical issues in a value added way. 2. Focal points will be identified to avoid conflict and keep both parties informed of all critical communications that affect the needs and responsibilities of their respective roles. The Applicant and the FAA agree to work to the principles and operational norms outlined in this PSP and to future Project Specific Certification Plans (PSCP) that may be developed in conjunction with this agreement. foreign validation.g.. should be identified and agreed early. This is an iterative process requiring ongoing mutual evaluation and continuous improvement of the PSP and related processes. The PSCP is discussed in Appendix II of the FAA and Industry Guide to Product Certification. coproduction or use of foreign suppliers. communication and coordination paths should be clearly defined between the FAA and Applicant. where appropriate. 4. touch broadly on areas that should require special attention. The reviews would. unique designs. This does not preclude any team members from communicating with any other members. special conditions. DELEGATION The FAA depends on using both individual and organizational delegations in the certification process. to the extent possible. This should also include by reference. Designee oversight controls. consideration of the elements outlined below. The FAA and Applicant will participate in early identification of product concepts. Delegation will be used to the maximum extent practicable with appropriate oversight safeguards as defined in the FAA’s delegation management process policies. equivalent safety findings. new materials or processes. COMMUNICATION AND COORDINATION In the PSP. CORPORATE PLANNING The Applicant and the FAA jointly conduct periodic management program reviews using an agreed process to provide early insight into future potential projects.

Because of the close integration of the design. and between the Designees and their FAA counterparts is standard practice. It is essential that the FAA and the public have confidence in the integrity of the Designee system and that it functions properly. and dispositioning of deviations or changes before tests are conducted. procedures. to openly communicate certification items with FAA that is necessary to maintain confidence in the Designee system. the procedures. and oversight. Both the FAA and Applicant agree to foster an environment where open communication between the Designees and Applicant’s management. The Applicant agrees to create a working environment where Designees can make compliance and conformity findings free from undue pressure and with the support and knowledge of the FAA. ◊ A1-32 ◊ . The FAA and Applicant agree to manage all Designee activity within the regulations and policy regarding Designee appointment. which are delegated to both Engineering and Aviation Safety Inspectors’ Designees. Providing for the completion of inspection. That environment should encourage the Designees. The PSP should also describe the respective FAA and Applicant roles in the conformity inspection process. This should include in coordination with the Delegation section of the PSP. criteria for determining which conformities will be conducted. Ensuring requests are not duplicated and the timely and efficient conduct of conformities and dispositioning of deviations occurs. It should be clearly understood by FAA personnel and Designees that their objective is to find compliance with the regulations and not to dictate design. Identifying who issues the requests. Flight Test Pilots. production. As noted in applicable FAA Orders and policy. and FAA Designees will agree upon and document a plan by which the Designees in different disciplines can work together directly to the greatest extent possible to ensure compliance to the FAR while providing more timely project management. conducts the inspections. but is not limited to: Maintaining the custody chain of conformed articles destined for an official FAA test. documentation. Aviation Safety Inspectors. Notifying FAA Aviation Safety Inspector of any changes to ground/flight test articles after conformity inspection has been completed. The Applicant and FAA Engineers. it is necessary to have all stakeholders in the delegation process agree on the extent of delegation. and how deviations will be dispositioned.responsibilities are delegated. the goal of the FAA and Applicant is to develop a system that ensures conforming products and that the FAA can rely upon to the greatest extent possible using the Designees with appropriate oversight to expedite the work. The system should include. and continued airworthiness processes. and the degree of delegation oversight to be used in each project. and should address the delegation and oversight process as well as Designees disciplines and limitations. within the scope of their delegation. and dispositions the deviations.

decisions. Any necessary changes to the project schedule or the issues will be coordinated and agreed upon by all affected team members.5. with appropriate oversight. Evaluations to determine adequacy of this system should be conducted by the FAA during the type certification Phase of the project. PRODUCTION QUALITY SYSTEM EVALUATION In addition. the FAA and Applicant PM’s management. They will continually manage those issues to assure adequate progress is being made on the resolution of issues so as to ensure compliance with the FAR while not adversely affecting project schedules. Timelines will be established for resolution of each issue to permit tracking via the project issues list and ensure timely resolution. respective parties’ positions. where practicable. where appropriate. FAA regional counsel and other appropriate FAA Division(s) for review and disposition. The PMs will periodically keep their managements and other certification team members apprised of the progress on resolving issues. the office raising the concerns will prepare a white paper detailing the issue. and outcomes in the project records. their respective managers. and options for resolution. but should not be applied just for the sake of tracking which can be done through the project issues tracking list maintained by the FAA and Applicant PMs. CONTINUOUS IMPROVEMENT 1. If there is agreement on the progress of issues resolution. (b. the PMs will utilize the following issues resolution process: (a. the Applicant and FAA PMs will document the actions.) If the managers and appropriate team members are unable to agree. could be used to facilitate the work. the Applicant and FAA PMs. and other appropriate team members in the affected disciplines will review the issue and recommend a solution. The Applicant and FAA PMs will jointly maintain a project issues tracking list. (c. ◊ A1-33 ◊ . If they agree. the FAA Issue Paper process should be used. ISSUES RESOLUTION PROCESS The objective of this process is to identify and resolve issues and disagreements as early as possible at the team working level facilitated by the Applicant’s and the FAA’s Project Managers (PMs). Where appropriate. The goal of FAA production approval is to verify that the Applicant has established a system which ensures that only products and parts conforming to the FAA approved design are released to service. the PSP should describe the FAA and Applicant’s roles in the production approval process. The FAA Aviation Safety Inspectors’ Designees.) The issue will then be submitted to the applicable Directorate Manager(s). and. the resolution will be documented and all team members will be informed.) If there is disagreement. Should any problems arise with open issues where their resolution is not proceeding according to the agreed PSCP.

) The conclusions. Operating norms should be defined to meet the needs of the Applicant and FAA consistent with agreed PSCPs. Delegation (what. such as. why. (b) OPERATING NORMS Each FAA Directorate will establish with the Applicant. and applicable in-service maintenance/operational history Definition of clear. installation interface issues. Early communication between the Applicant and FAA in the conceptual/prototype stages of product development is critical to assure availability of resources. The FAA and Applicants recognize. These and other project deliverables can be associated with the Phases in the certification process as delineated in the FAA and Industry Guide to Product Certification.. special conditions. pass/fail criteria. recommendations. 2. Identification and tracking of significant issues.(d. planning. major critical production processes. Resource needs/constraints of all stakeholders accommodated to the greatest extent possible The above guidelines should focus on producing quality deliverables that show an efficient and credible certification process. foreign supplier arrangements requiring undue burden assessment.g. up-front. and flexibility for both the FAA and the Applicant. for example. Many factors affect the planning and management of certification projects. etc. oversight criteria) Co-production issues. issues papers. documented. agreed. equivalent safety finding proposals. for type design and production issues. Priority must be placed on early identification and resolution of the following: Establishment of certification basis and means of compliance Project planning and management including. Effective project management oversight. This process is very management and discipline dependent. new technologies. These norms will guide the timeliness and quality of deliverables and services provided by both the FAA and Applicant during the project. operating norms. The operating norms agreed upon between the FAA and the Applicant will establish the basis for operating under this PSP and subsequent PSCPs. adequate planning. validation needs. and data for Airworthiness Limitations Conformity requirements involving e. new materials. and degree of delegation. project size and complexity. other authorities’ involvement. that an STC or engine project may have significantly different ◊ A1-34 ◊ . Airworthiness Limitations. PERFORMANCE MEASURES (a) GENERAL Project tracking and documentation provide for early identification and resolution of potential conflicts. communication. and documentation are needed. wherever possible Validation and documentation of critical assumptions. and outcome of the issue resolution will be documented by the Applicant and FAA PMs in the project records. exemptions.

Any major issues. the operating norms for certain key deliverables should be set as low as possible within the following typical ranges: Product Certification Process Norms Within 2 weeks after application: Acknowledgment of application issued FAA Certification Project Notification (CPN) issued Within 1 month after application: Project team identified (FAA and Applicant) Preliminary Type Certification Board Meeting (PTCBM) scheduled Within 1 to 3 months after PTCBM: Proposed Certification Basis G-1 issue paper prepared and processing begins (stage 1) PSCP drafted Within 4 to 6 months after PTCBM: Final Certification Basis G-1 issue paper closed. When developing a PSCP. especially when submittals are not FAA Designee approved or recommended for approval. or compliance requirements should result in agreed revisions to the PSCP with appropriate milestones for closure. The PSP and each PSCP should identify appropriate agreed operating norms since there could be different team members on different PSCPs. Additional norms may be necessary or appropriate depending upon the specific project needs. the need to define norms should be assessed for all issues identified such as those considerations in Paragraph 2.resource needs and timing than a rotorcraft or large transport airplane project.) above or other deliverables. The PSP compels the partners to ◊ A1-35 ◊ . including the mutually agreed project schedule. Unless compelling reasons are presented to deviate from this Guide. PSCP agreed and signed. issue papers and a revised PSCP will be prepared within 1 month after identification of the issue along with a plan to achieve its resolution. Where appropriate. In such cases. the FAA will work within boundaries of their policies and public rulemaking procedures.(a. Within 6 to 9 months after PTCBM: All issue papers closed One month prior to scheduled TC/STC/Production Approval issuance: Compliance documentation submittals should be scheduled over the course of a project to be completed by this point in time. An agreed PSP and early pre-project communication and planning in accordance with that PSP are essential prerequisites to preparing for successful certification projects. The objective of any successful project is to meet or beat the plan. design changes. As the project progresses other major issues may be identified. More than one month may be needed in some cases.

When the evaluation identifies the need for corrective actions or improvements it should be included as a part of the Compliance Summary Document for future reference.work together to understand the product architecture early enough to preclude last-minute guidance (verbal or written) new interpretations or rule escalation that would adversely affect the mutually agreed upon program goals. Agreed by: (This is a representative sample of possible signatories and could include others deemed appropriate to provide necessary commitments and accountability. or Senior VP Applicant Certification Manager Applicant VP Quality Assurance FAA Directorate Manager(s) FAA ACO Manager(s) FAA MIO/MIDO Manager(s) FAA AEG Manager(s) FAA Standards Staff Manager(s) ◊ A1-36 ◊ . The PMs are encouraged to include the completion of the Phase Evaluation Checklist as milestones when preparing their PSCP schedule. The FAA and Applicant Project Managers (PMs) should jointly prepare a Phase Evaluation Checklist at the close of each phase of a project. (c) PHASE EVALUATION CHECKLISTS The Phase Evaluation Checklists (Appendix VII of the FAA and Industry Guide to Product Certification) are tools that can be used for project management during the appropriate Phases. SIGNATORIES The FAA and Applicant agree to the provisions of this PSP as indicated by the signature of their duly authorized representatives. To facilitate continuous improvement any necessary corrective actions should be implemented by the Team and the Phase Evaluation Checklists should be maintained in the official project file for future national or local program evaluation. CEO. Include Names and date) Applicant President.

The PSCP should include elements that were not addressed in detail in the PSP and it should incorporate by reference appropriate procedures. or other elements pertinent to the project.APPENDIX II PROJECT SPECIFIC CERTIFICATION PLAN between the FEDERAL AVIATION ADMINISTRATION And APPLICANT for Product Certification The material contained herein is an aid for preparing the Project Specific Certification Plan (PSCP). This aid is intentionally not a “boiler plate”. agreements. However. it is essential that the PSCP addresses the same key content areas of this aid ensuring that as written it captures the meaning and intent of this Guide. but allows the freedom to innovate and meet the special project needs of the Applicant and FAA. ◊ A2-37 ◊ .

TABLE OF CONTENTS PURPOSE EFFECTIVITY PRODUCT CERTIFICATION 1. CERTIFICATION BASIS 4. PROJECT SCHEDULE 3. COMPLIANCE DOCUMENTATION PRODUCTION CERTIFICATION POST CERTIFICATION REQUIREMENTS 1. CONTINUED AIRWORTHINESS MANAGEMENT PROJECT ISSUES PLANNING CONTINUOUS IMPROVEMENT 1. PROJECT DESCRIPTION 2.) OPERATING NORMS (c. COMMUNICATION AND COORDINATION 6.) CONFORMITY 8. TESTING PLAN (a. MEANS OF COMPLIANCE 5. COMPLIANCE SUMMARY DOCUMENT 2. DELEGATION 7.) PHASE EVALUATION CHECKLISTS SIGNATORIES ◊ A2-38 ◊ . INSTRUCTIONS FOR CONTINUED AIRWORTHINESS (ICA) 3.) FLIGHT TEST (c. PERFORMANCE MEASURES (a.) GENERAL (b.) GENERAL (b. GENERAL 2.

EFFECTIVITY This PSCP shall become effective upon approval by the FAA Aircraft Certification Office Manager and the Applicant’s Certification or Airworthiness Manager. which will outline the nature of the change. It is intended that all team members facilitate review and approval of the necessary design and production data and related compliance documents in a timely manner with the objective of bettering the PSCP wherever possible. The Plan will be developed to the greatest extent possible as soon as the FAA and the Applicant agree that the certification project is a viable one for which resources can be planned and committed for its completion. 2.PURPOSE The purpose of this PSCP is to define and document a product certification plan between the Aircraft Certification Service of the Federal Aviation Administration (FAA) and Applicant to expedite certification of the product under standardized procedures. The PSCP is a living document. The PSCP will provide the foundation from which to build mutual trust. teamwork. or terminated. The PSCP schedule will be within specified ranges agreed to in the norms of the PSP and additional milestones will be considered by the FAA and Applicant as firm commitments unless a change is agreed to. it is understood that both the Applicant and FAA team members work in accordance with the established guidelines. an amended Plan is drafted. the PSCP will be managed and maintained jointly by the FAA and Applicant’s Project Managers. The FAA team members will recognize and utilize the knowledge of the FAA Designees to the greatest extent possible and keep the Applicant’s team members abreast of certification issues that may arise. As the project progresses. This means that if both the FAA and Applicant agree that modification to the Plan is needed. PROJECT SCHEDULE Provide a detailed project schedule to identify all major milestones. It is the mutual goal of all team members to meet or exceed the expectations of this agreement. In the establishment of this PSCP. revised. Any change in the services furnished or other provisions of this PSCP will be formalized by an appropriate written amendment signed by both parties. To implement successfully the PSCP procedures. PROJECT DESCRIPTION This section should contain a brief description of the project. PRODUCT CERTIFICATION 1. It will continue in effect throughout all Phases of the product certification unless it is superseded. and efficient business practices between the FAA and Applicant during certification of the product. it is understood that a cooperative working relationship is required for these procedures to be effective. Every effort must be made to establish realistic schedules considering both the FAA and ◊ A2-39 ◊ . It is understood that this PSCP will be executed in accordance with the PSP. These milestones need to be established in accordance with the operating norms identified in the PSP. This PSCP may be amended by mutual agreement or terminated by either party. including appropriate project management reviews and any required scheduled deliverables such as those listed below.

and equivalent safety findings. equivalent safety findings. analyses. if any. and maintenance aspects as well as foreign authority validation requirements should be planned for and considered. The PSCP will be ◊ A2-40 ◊ . but not limited to. MEANS OF COMPLIANCE This section of the PSCP will summarize the applicable FAR paragraph by paragraph with the agreed means of compliance that will be met for type certification. 4.. exemptions. or equivalent safety finding. undue burden assessments. etc. All issue papers should also be included with a resolution plan and prioritization of the issues to be resolved. This would include identifying in the schedule all appropriate deliverables for the project such as.g. An issues list should be included to highlight those special requirements needing resolution and other areas which may be significant. exemptions. CERTIFICATION BASIS The Certification Basis identifies the applicable standards to which the Applicant must show compliance. (including resolution plan and schedule) Issues tracking list Compliance check list Conformity procedures Type Inspection Authorizations and Conformity requests Delegation plan Compliance data submittals (e. test plans/reports. operational. exemption.Applicant’s total workloads and other resource commitments. those shown below: Deliverables: Familiarization and board meeting(s) minutes Draft and final PSCP Product Certification team and management status reviews Application for Type/Production Certification Letter of application acknowledgment Certification Project Notification Type Certification basis (documented in G-1 issue paper) Issue papers. special conditions. The schedule should also adhere to the Phases and process flow identified in The FAA and Industry Guide to Product Certification.) Type Inspection Report (TIR) Installation and Operating instructions Flight Manual Structural Repair Manual Instructions for Continued Airworthiness Continued Airworthiness management plan Type Design approvals (TC/STC and amendments) Type Certificate Data Sheet (TCDS) Production approvals/certification Production Limitation Record (PLR) Airworthiness Certifications Compliance Summary Document Phase Evaluation Checklists 3. It also includes the need for special conditions. production. even though they may not warrant a special condition. Design.

the FAA Designee system will be utilized to the greatest extent possible. Delegation Planning. coordination. Delegation should be applied to the maximum extent practicable with appropriate safeguards and oversight as defined in the FAA's delegation management process policy and this PSCP. it is necessary to have all stakeholders agree on the procedures and degree of delegation and oversight to be used in the project. To facilitate certification. production.comprehensive and identify all compliance requirements. DELEGATION The oversight and documentation requirements of Engineers. other Civil Aviation Authorities. Focal points and their roles should be clearly identified and kept to a minimum to avoid conflict. but they need to assure the PMs are informed. and Flight Test Pilot Designees should be identified and agreed to in this section. Both the FAA and Applicant agree to foster an environment where open communication between the Designees and company management. that should already be specified in the PSP. test or analytic reports are to be submitted and approved. and continued airworthiness processes. The PSCP will identify which compliance items are delegated or not and why. As outlined in Appendix VIII. where appropriate. and. critical links should be defined to ensure roles and responsibilities are clear to define accountable team members responsible for deliverables and to facilitate conflict resolution. the Applicant. Aviation Safety Inspectors. the PSCP should be specific as to what aspects of the project are delegated and what if any stipulations. Thus. and between the Designees and their FAA counterparts is standard practice. Team members should include. co-producers. Applicant. This should also include reliance on existing delegation authorization agreements or working procedures generated between the FAA. 5. COMMUNICATION AND COORDINATION This section describes the communication and coordination paths between the FAA. or limitations are placed upon that delegation. suppliers. conformity inspections. The Applicant and the FAA PMs must be kept informed of all critical communications. Because of the close integration of the design. The Applicant agrees to create a working environment where Designees can make compliance and conformity findings free from undue ◊ A2-41 ◊ . but are not limited to the following: Applicant’s Project Manager FAA Project Manager Applicant’s Project Quality Manager FAA Engineers and Designees FAA Aviation Safety Inspectors and Designees FAA Flight Test Pilots and Designees FAA Standards Staff Project Officer FAA Flight Standards AEG FAA Chief Scientific and Technical Advisors (CSTA) (as required) Other authorities (for overseas assistance on witnessing or conformities or when type certificate validation is anticipated) FAA and Applicant’s Legal (consultation as required) 6. etc. and who has primary responsibility for the deliverables to both the FAA and the Applicant. This does not preclude any team member from communicating with any other member. and other Authorities. as appropriate. when test plans.

(A copy must be available for the official test witnessing. The following items are required prior to testing: Drawings and specifications sufficiently describing the design and production of the test article. The Applicant should keep the FAA informed of test schedules and changes should be negotiated with affected team members. and to be documented in each test plan or in generic calibration procedures documents as appropriate. FAA Form 8100-1. and conduct of FAA required testing. It is important to ensure close pre-flight ◊ A2-42 ◊ .pressure and with the support and knowledge of the FAA. procedures. 7. TESTING PLAN (a. The Applicant’s product development tests do not require FAA involvement. When the FAA will witness tests. new materials or new processes are involved which should necessitate a greater depth of review and conformity inspection. where needed. FAA personnel will witness all ground and flight tests intended for certification credit that are not specifically delegated to Designees prior to testing. instrumentation. and oversight. including a description and/or drawing of the test set-up. This is particularly important for critical parts and components or when new technology. The FAA and Applicant agree to manage all Designee activity within the regulations and policy regarding Designee appointment. FAA certification credit will not be granted for development tests unless arrangements are made and agreed upon prior to testing. and Aviation Safety Inspectors with sufficient lead-time to ensure all aspects necessary for the desired FAA credit toward certification are achieved. Flight tests are conducted in accordance with the requirements of the TIA. and disposition conformity deviations.) When specifically delegated as identified in the Delegation section of the PSCP. etc. if so delegated. FAA Form 8120-10. It is understood by FAA personnel and Designees that their objective is to find compliance and conformity with the regulations and not to dictate design. FAA approved test plan. and conduct of FAA required flight testing. FAA Form 8130-9. Flight Test Pilots. preparation. (b. Who will witness which tests should be planned for and documented in advance in the Delegation section of the PSCP and the compliance checklist. The Applicant’s completed inspections and Statement of Conformity. The TIA also authorizes conformity and airworthiness inspections and flight tests to determine compliance to the certification requirements. Designees can submit fully approved test plans with FAA Form 8110-3 and FAA Form 8120-10 requests for conformity inspection. they will meet the project schedule as agreed to the greatest extent possible. However. preparation. indicating the results of the Conformity Inspection including disposition of deviations by FAA Engineering or their Designee if so delegated.) FLIGHT TEST This section should contain any unique requirements for the planning. Delegation should be used wherever possible. These pretest arrangements must be coordinated with appropriate FAA Engineering. calibration requirements.) GENERAL This section should contain the requirements for the planning.. Conformity Report. All instrumentation that is required for an FAA certification test will require calibration criteria to be agreed with the accountable FAA Engineering team members or their Designee. Conformity Request.

or technology involved. whether there is new material. FAA Engineer and FAA Aviation Safety Inspector. Identify who issues the requests. Conformity inspections will be performed by FAA Aviation Safety Inspectors or their Designees. A system should be established to: Maintain custody of conformed articles destined for an official FAA test. Coordination within FAA for concurrent Product Certification and AEG flight testing. Ensure requests are not duplicated and the timely and efficient conduct of conformities and dispositioning of deviations occur. and dispositioning of deviations or changes before tests are conducted. This section of the PSCP should describe what conformities will be needed. and dispositions the deviations. The PSCP will provide the clarity to ensure: Conducting of conformity inspections early in the project. Provide for the completion of inspection. and the flight test pilots in accordance with FAA policy. which Statements of Conformity it will accept without verification and which will require FAA conformity inspections. high-quality documentation. which are delegated to Designees. and the FAA’s and Applicant’s roles in the conformity inspection process for the project. Notify FAA Aviation Safety Inspector of any changes to ground/flight test articles after conformity inspection has been completed. The FAA will then determine as far in advance as possible. documentation.53 require the Applicant to make all inspections necessary to establish the conformity of the product being presented to the Administrator for certification and to submit a Statement of Conformity to the FAA on FAA Form 8130-9. new process. airworthiness certification. including FAA discipline managers. Some factors affecting this would be the criticality of the part/component. The Applicant. and identification of operating limitations. Pertinent Applicant flight tests are completed and results reported prior to FAA flight test. These inspections will be performed in response to FAA Form 8120-10 (request for conformity) issued by the FAA or their Designees. Aviation Safety Inspectors. conducts the inspections. It should state.) CONFORMITY Federal Aviation Regulations 21. along with their respective Designees will agree upon and document a plan by which the Designees from all disciplines can work directly together to perform conformity. Provide for timely conduct of conformity inspection at non-US suppliers.test coordination with the FAA. Consideration of flight test risk management in conjunction with entire team (c.33 and 21. Timely. ◊ A2-43 ◊ . Detailed scheduling and the use of delegation will be specified. which conformity inspections will be conducted. and/or whether there is an existing quality control or inspection system that has demonstrated its ability to adequately assure conformity. and how deviations will be dispositioned. Aircraft conformity. This should be consistent with the Delegation section of the PSCP.

safety. test instrumentation. The primary focal points for the production approval process are the FAA Principal Aviation Safety Inspector and the Applicant’s Project Quality Manager. drawings. etc. including manufacturing specifications.g. co-production agreements. test reports. whereas data that is recommended for approval must be reviewed for those aspects that the Designee could not or did not evaluate. and approval or acceptance of the data. damage tolerance). The FAA and Applicant will agree and document the amount of time needed for review. Hence. Some submittals due to size or complexity may require more time such as Instructions for Continued Airworthiness and safety analyses. Production approval is granted after the Applicant has demonstrated. and the FAA has verified. Typically this may be up to four (4) weeks for Designee recommended approval data. This system will assure that only products and parts conforming to the design data are released for commercial service use. The goal is to have concurrent design and production approval issuance. PRODUCTION CERTIFICATION This section of the PSCP should outline production quality project issues and how they will be managed to permit early approval of the production system. COMPLIANCE DOCUMENTATION This section should describe the procedures for submittal and processing of compliance documentation. This should be taken into account when developing the project schedule. issues to be considered should include: Approval of new materials. For existing Production Approval Holders (PAH) who will be adding a new product to an existing approved production system. and to conducting the showings of compliance required for FAA certification. This would include. as appropriate.. FAA undue burden assessment of non-US suppliers and/or co-producers Instructions for assembly and test of the final product to assure conformance Coordination with Engineering on production Material Review Board requirements and integrating engineering and production Certificate Management activities Controls to be placed on production as a result of design Airworthiness Limitations or the criticality of parts and components Configuration control requirements ◊ A2-44 ◊ . new suppliers. manuals. test setup schematics. analyses (e. communication and pre-planning for data submittal and consideration of the level of delegation between Designees and FAA is essential. and encouraged to ensure timely and efficient data approval. Data submitted without an FAA Form 8110-3 will require FAA Engineering review and approval which may add to the processing time. new technologies or new applications of existing technology. The Applicant will submit one copy of the data with each FAA Form 8110-3.8. It should account for all data (not just drawings) pertinent to defining the type design. stress. that the Applicant has developed and is capable of maintaining a quality assurance system. disposition. but is not limited to. new processes. test plans. material or process specifications. The timing and process for such submittals should be agreed between the FAA and Applicant and documented in the PSCP. The PSCP should identify what data will be submitted and by whom. Data submittals that are Designee approved are reviewed only for Designee oversight purposes.

as well as the primary responsible team member for assuring the closure of each issue within the operating norms of the project schedule. POST CERTIFICATION REQUIREMENTS 1. This summary plus the phase evaluation checklists should be evaluated by the team and appropriate changes to the PSP or future PSCPs should be made. the Applicant must demonstrate. concerns and problems with open issues and ◊ A2-45 ◊ . feedback. for Applicants who do not hold an existing production approval for the type of product which is being certificated under this PSCP. COMPLIANCE SUMMARY DOCUMENT The Applicant and FAA PMs will prepare a summary at the end of each certification project to capture and retain the corporate knowledge learned during the project. will be agreed and documented.” The list will identify the issue. The PMs will continually manage those issues to assure adequate progress is being made on their resolution so as to not adversely affect the project schedule.g. This list. The PMs will identify to their management and other appropriate team members. 2. This document is not to be a complete history of the project. the plan and milestones for their resolution. and lessons learned. at a minimum. PROJECT ISSUE PLANNING The Applicant and FAA PMs will jointly maintain a project issues tracking list. after delivery of the first aircraft or issuance of the standard airworthiness certificate. reporting. the Instructions for Continued Airworthiness may be incomplete at the time of Type Certification. policy. affect rule/policy making. and both the Applicant and FAA perspectives. a program must be in place to insure they are complete prior to issuance of the standard airworthiness certificate or delivery of the first aircraft. This will be consistent with the FAR and FAA policy on certificate management. should include issues identified as potential “show-stoppers. INSTRUCTIONS FOR CONTINUED AIRWORTHINESS (ICA) Except for the Airworthiness Limitations. the existence of and compliance to a quality system which satisfies ALL the requirements of the applicable subparts of FAR Part 21. regulatory. CONTINUED AIRWORTHINESS MANAGEMENT The details of how the FAA and Applicant will handle continued airworthiness issues. self-disclosure and the requirements for implementing corrective actions in both the type design and production systems. The summary should capture only unique data. precedent issues (e. to the satisfaction of the FAA.. but should only document those areas out of the ordinary that require process improvements. 3. or technical). When the team identifies where changes to the Guide would be beneficial those should be referred to AIR-100 for consideration. etc.Any other reviews necessary to assure that a conforming product will be produced under the FAA approved quality inspection system In addition. However. in order to provide continuous improvement of the FAA and Applicant's working relationship.

) OPERATING NORMS Each FAA Directorate will establish with the Applicant. significant issues. These could include. task re-accomplishment and performance against other operating norms. The FAA and Applicant's Team must provide proper levels of technical project and management leadership with frequent reviews to ensure all are aware of project status. operating norms consistent with the PSP. CONTINUOUS IMPROVEMENT 1. A specific issue resolution process example is shown in the PSP.) GENERAL The performance measures for the project will be provided in this section. compliance/conformance submittals and approvals deadlines. To facilitate continuous improvement any necessary corrective actions should be implemented by the Team and the Phase Evaluation Checklists should be maintained in the official project file for future national or local program evaluation. During initial implementation. 2. These forms should be continuously evaluated by the Applicant/FAA team for immediate process improvement. (b. agreed. and empowerment. a FAA/AIA/GAMA Product Certification Continuous Improvement Steering Committee will review all project evaluation feedback on current projects and recommend Guide changes for continuous improvement. and decisions. PERFORMANCE MEASURES (a. the PSCP. The PMs are encouraged to include the completion of the Phase Evaluation Checklists as milestones when preparing their PSCP schedule. (c. confidentiality. ◊ A2-46 ◊ .) PHASE EVALUATION CHECKLISTS The Phase Evaluation Checklists (Appendix VII of this Guide) are tools used for project management during the appropriate Phases. Examples of metrics for measuring performance could include parameters such as meeting schedule milestones. expectations. where appropriate. The Team should always document clear time frames. milestones. Other factors could also be considered for performance measures in addition to deliverables listed in the PROJECT SCHEDULE section above. This can be accomplished by applying the “Criteria for Success” that are defined in the Guide. issues resolved. (Appendix I of The FAA and Industry Guide to Product Certification) The process as defined in a PSP may be incorporated by reference in the PSCP or a specific process could be included here to meet any unique needs of the particular project. documented. This will help foster an environment of mutual trust. and that commitments are met. The FAA and Applicant Project Managers (PMs) should jointly prepare a Phase Evaluation Checklist at the close of appropriate Phases of a project. GENERAL Continuous improvement applies to all elements of the PSP. and how they will be accomplished in accordance with the PSP elements in the Performance Measurement section. Those norms will guide the timeliness and quality of products and services delivered by both the FAA and Applicant during the conduct of the project. schedules. It defines the agreed norms. agreements. action item assignments.seek early resolution of any items not proceeding according to the agreed PSCP. quality of submittals. interpersonal relationship measures and leadership principles. and all Phases of projects.

When the evaluation identifies the need for corrective actions or improvements it should be included as a part of the Compliance Summary Document for future reference. ◊ A2-47 ◊ .

Agreed by: (This is a representative sample of possible signatories and could include others deemed appropriate to provide necessary commitments and accountability.SIGNATORIES The FAA and Applicant agree to the provisions of this PSCP as indicated by the signature of their duly authorized representatives. Include Names and date) Applicant Certification Manager Applicant Project Manager Applicant Project Quality Manager FAA Designee(s) FAA Standards Staff Manager FAA AEG Inspector(s) FAA ACO Manager FAA Project Manager FAA MIDO Manager(s) FAA Principal Inspector FAA Standards Staff Project Officer ◊ A2-48 ◊ .

This material should be used by the FAA and the applicants of avionics equipment to obtain design.APPENDIX III AVIONICS CERTIFICATION PROCESS IMPROVEMENT The material contained herein is an aid for applying the certification phases and concepts discussed in The FAA and Industry Guide to Product Certification to the avionics approval process. and installation approvals. ◊ A3-49 ◊ . production. The basic structure and premise of the processes described may be applied to avionics and non-avionics appliances.

and other forms of approval. additional workload demands. e. bench and flight tests. authorizations. project maturity and user interest) Project benefits. however. Purpose This document complements The FAA and Industry Guide to Product Certification. The approval process may include either Technical Standard Order (TSO) approval or installation approval via Type Certificate (TC) or Supplemental Type Certificate (STC). that depending on the type of product. and Instructions for Continued Airworthiness) Operational safety assessment (including a proposed target level of safety and failure mode analysis) ◊ A3-50 ◊ . This extends from large Type and Production Certificate applicants to those applying for avionics approval through the TSO approval process. contingency and emergency procedures) Human factors issues (including display requirements. It should be noted. The basic structure and premise of the processes described may be applied to non-avionics appliances as well. and documenting the certification process and working relationship are applicable to all applicants. project management. should be used in conjunction with this document. When the FAA and avionics applicants engage in the CPI process The FAA and Industry Guide to Product Certification. The process varies depending on the applicability of TSO standards and issues that arise regarding the installation of the equipment. This will provide the FAA and the applicant a clear understanding of the best processes to use in the certification of these systems.Scope The avionics Certification Process Improvement (CPI) focuses on special issues typically faced by applicants and the FAA during the avionics approval process and provides information regarding the most efficient path for various types of avionics approvals. task analysis. the applicability will vary. justification. • • • • • • • • Project Operational Concept (including background. General The below listed items are issues that should be addressed when developing a new avionics product. The application of this material to appliances other than avionics should be coordinated with the FAA. operational purpose. For the purposes of this document. It is expected that the CPI principles of up-front planning. and crew resource management) Equipment compatibility issues Technical requirements (including Minimum Operational Performance Standards (MOPS). it should be noted the term Approval includes certifications.g. or both. safety enhancements and efficiency Anticipated constraints of the project and equipment Project specific Operation Procedures (including new phraseology. intended to be the overarching guide to using CPI. crew training. which contains a description of the purpose and vision of the improved certification process.

and applicable in-service maintenance/operational history Clear. etc. This concept reduces the number of follow-on approvals that must be obtained by the avionics installers. Electro-Magnetic Interference (EMI)/Radio Frequency Interference (RFI) test. foreign supplier arrangements requiring undue burden assessment.• • • • • • • • • • • • • Operational test and evaluation plan Potential Flight Standards approval issues. up-front. pass/fail criteria. and data for Airworthiness Limitations Conformity requirements involving major critical production processes. post installation checkout procedures could include the following: electrical load analysis. Resource needs/constraints of all stakeholders accommodated to the greatest extent possible Equipment and installation approval processes for other countries that require FAA resources Identification of the equipment manufacturer and the certification applicant’s roles. The generalized installation guidelines could reference standard practices used in the installation. For example. Together they should review the installation instructions to ◊ A3-51 ◊ . other authorities’ involvement. i. etc. issues papers.e. installation interface issues. for example guidance about antenna placement. equipment mounting/wiring testing/verification. delegation (what. new materials. Need for Flight Procedures coordination. Operations.e. The goal of the generic STC approval process is to develop installation instructions that can be used to install avionics equipment in several different aircraft models. responsibilities.13-1B. i. oversight criteria) Co-production issues. validation needs. installation. why. compass interference test. The specific installation instructions would address more critical elements of the installation. equivalent safety finding proposals. and post installation checkout of the avionics equipment. exemptions. These instructions should include procedures for determining the placement. It is important that the applicant and the FAA Aircraft Certification Office (ACO) agree to the use of this process early in a project. for example aircraft electrical wire selection as specified in Advisory Circular 43. One way to do this is for the manufacturer to develop installation instructions that incorporate both generalized installation guidelines and specific instructions. new technologies. special conditions. Airworthiness Limitations. special approaches Certification basis and means of compliance Project planning and management (including type design and production issues) Significant issues. and communication channels with the FAA when the manufacturer and the applicant are not the same Expanded Use of Approved Model List For avionics equipment that may be installed similarly on several different aircraft models. Aircraft Evaluation Group (AEG). etc. Assistance from an avionics repair station and the local FAA Flight Standards Inspection Office should be obtained in developing and reviewing these instructions. one certification approach to consider for certain applications is the generic STC approval process. Maintenance. wherever possible Critical assumptions.

This would allow the manufacturer to develop avionics systems for which a TSO does not exist and without a specific installation in mind. which would include intended functions. It defines generic procedures to plan for product approval. therefore. The PSCP described in Appendix VI covers the installation approval phase of a project and is tailored for installation of avionics appliances.verify their applicability for the aircraft models requested. The manufacturer may elect to develop the PSCP in such a way that would allow the format of the PSCP to be transferred to another applicant. would greatly reduce the need for the installers to request a field approval. The primary reason for not combining the two PSCPs is the approval requirements and stakeholders involved in obtaining a TSOA versus an installation approval are quite different. ◊ A3-52 ◊ . The PSP also defines the discipline and methodology to be used in planning and administering subsequent specific approval projects. the TSOA PSCP should be used and revised accordingly. conformity inspections. communication. two PSCPs may be recommended. and identifies deliverables. The manufacturer would develop the product to meet requirements documented in the PSCP. This PSCP would model the relevant portions of the TSO PSCP. Subpart O. in this case the certification aspects may be covered by the installation PSCP. There may be cases when a Line Replaceable Unit (LRU) or some form of interface unit is required for an installation when there is not an applicable TSO but still requires qualification testing. An example of this agreement between the FAA and an avionics applicant is shown in Appendix IV. The manufacturer would have the option of continuing the STC process or transferring the PSCP to the installation company and allowing them to finish the STC process. issue resolution. with its associated approved model list. The first PSCP is the one that covers the Technical Standard Order Authorization (TSOA) aspects of a project. This PSCP covers the design approval phase as well as the production phase of obtaining a TSOA. In the case where an applicant is seeking qualification of an LRU (TSO not applicable) without an installation. The manufacturer would be responsible for showing that the avionics system performs its intended function and meets its specified software and environmental requirements. This will save valuable resources for both industry and the FAA. The PSCP associated with this approval would identify certification requirements for both the avionics system and the installation of that system. software level. Partnership for Safety Plans and Project Specific Certification Plans To come to an early and clear agreement on the certification process. and environmental test requirements. the first plan the FAA and applicant develop is the PSP (Appendix I and IV). establishes the general expectations or operating norms. Depending on the specifics of a project. Examples of content include generic processes and procedures for use of designees. The resulting STC. the system may be certified in accordance with the airframe/engine regulations. CFR Part 21. The PSCP in Appendix V is for applicants wanting approval of an avionics appliance through TSO procedures outlined in Title 14 of the Code of Federal Regulations. These types of LRUs are often approved during the installation phase. and generic metrics for measuring project progress. Non-TSO Avionics When a Technical Standard Order does not exist for a specific avionics system.

Once a PSCP is developed for the installation of a specific avionics appliance. These PSCPs are designed to be used as project management tools providing milestones. the PMA provides eligibility for installation only for the aircraft specified on the STC. The installation approval is documented by an STC. the two approvals often involve different applicants. and information unique to obtaining a TSOA or installation approval for a certification project. It takes the generic principles and procedures outlined in the PSP and applies them to specific projects. Consequently. PMA is a design and production approval that can be based on the prior approved design and installation data such as an STC. It does not include installation approval. It is granted after the ACO and Manufacturing Inspection District Office (MIDO) review and concur with an applicant’s statement of conformance to the requirements of the TSO. The installation approval is documented by an STC. PMA is a design and production approval that can be based on the prior approved design and installation data such as an STC. it may be used as a basis for an installation PSCP by another applicant with the same installation.Additionally. PSCP Selection It should be recognized that an avionics approval (depending on the project specifics) may take the form of one of several processes. 1) TSOA (correlates to TSO PSCP block 8 in Figure 1) TSOA is a design and production approval based on meeting FAA criteria. the PMA provides eligibility for installation only for the aircraft specified on the STC. 2) First-of-Type STC and basis for LRU PMA if seeking PMA (correlates to Installation PSCP block 11 in Figure 1) STC is an aircraft modification and installation approval based on the applicant showing that the modification and installation meets the minimum airworthiness requirements. 3) Follow-on STC and basis for LRU PMA if seeking PMA (correlates to Installation PSCP block 11 in Figure 1) STC is an aircraft modification and installation approval based on the applicant showing that the modification and installation meets the minimum airworthiness requirements. which is published in a TSO. The decision tree shown in Figure 1 is an aid to determine which of the two basic PSCPs to use for a particular avionics approval. ◊ A3-53 ◊ . Consequently. performance measures.

Project Specific Certification Plan Selection Decision Process Specific Project 1 Is product TSO/ PMA approved? 2 YES Is initial STC completed? 3 YES NO Proceed with installation 6 YES Is STC applicable to this project? 5 NO Is there an applicable TSO? 4 YES LRU Approval by PMA TSO PSCP 8 NO Installation PSCP 11 NO TSOA issued 9 STC/TC issued PMA issued if applicable 10 Optional Installation PSCP 11 Project Completion 12 ◊ A3-54 ◊ .Figure 1.

Phase I: Conceptual Design Because avionics designs often introduce new technology. although it is not shown. The inspector may elect to use the previously approved STC and then field approve the remaining data necessary for the installation. The flight manual supplement is signed by the ACO unless a handbook bulletin or an Advisory Circular specifically authorizes the inspector to approve it. Note that if both installation and operational approvals are desired for a TSO product. and additional criteria for success for the five CPI Phases apply also to the avionics approval process.4) “Follow-on” Field Approval via Form 337 (Does not require a PSCP) A “follow-on” Field Approval is an installation approval based on a previously approved STC. In general. required information. and so forth. In these cases an STC application would be needed.) The applicant will present the FAA Form 337 completed in accordance with Advisory Circular 43-9. PHASES OF AVIONICS APPROVAL The following discussion is an interpretation of the CPI phases as they apply to the approval of avionics equipment. tasks. information about new designs. (When using STC data as the basis for any approval. There can be cases where the interface complexity is such that the data approval may rise to the level of an STC even though the product being installed is the same as the original installation. both the TSO PSCP and installation PSCP are needed as depicted by the “optional” flow out of block 9. The inspector could also utilize Designated Engineering Representative (DER) data plus the STC data and field approve any remaining elements of the alteration not covered by these sources. written permission must be obtained from the holder of the STC. materials. Any new avionics approval must consider the product design and production ◊ A3-55 ◊ . Production approvals (TSOA and PMA) always require an FAA approved production system. deliverables. processes. is required. For those less complex installations the data utilized may come from any number of sources in addition to the previously approved data. proposed certification bases and means of compliance are especially important for advanced designs and are part of the required information. Also. The form will then be returned to the applicant and the alteration can be accomplished. The level of similarity between the candidate installation and the STC upon which the data approval is based depends on the level of complexity of the installation. The inspector will evaluate the data and if satisfactory will sign Block 3 of the form indicating data approval. Deliverables specific to the avionics certification process are listed in the following descriptions of the phases as they apply to avionics projects. This evaluation and finding of compliance is accomplished before the TSOA or PMA is granted and is included within blocks 9 and 10 in Figure 1. This means the MIDO has evaluated the production quality system and found that it meets the requirements.

if applicable (FAA internal step) The refined PSCPs should now include project milestones and related events such as program status reviews. or Flight Standards Division. Unanticipated issues should be resolved as quickly as possible. exemptions. Deliverables from Phase II include: • • • • • • Safety Assessment Refined PSCP(s) Refined critical issues list and mitigation plans Applicant notification of certification project initiation FAA acknowledgment of project initiation Certification Project Notification. Division. It should be clearly understood that the FAA’s objective is to find compliance with the regulations and not to dictate design. and critical issues are revised. if applicable). However. Deliverables from Phase I include: • • • • • • • • Initial Safety Assessment Establishment of the FAA and applicant project certification team Draft critical issues list and mitigation plans List of relevant software policy material and preliminary compliance plans (preliminary Plan for Software Aspects of Certification (PSAC)) List of relevant human factors policy material and preliminary compliance plans Consensus regarding which PSCP(s) will be used Determination of need for any TSO deviations Draft PSCP(s) Phase II: Requirements Definition Efforts in this phase clarify the product definition and the associated risks. and so forth.approval as well as the operational and installation approvals. and Flight Standards District Office (FSDO) as well as staff within the appropriate Certification Directorate. other major issues may be identified. The applicant needs to discuss these issues with the appropriate FAA counterparts. equivalent safety findings. ◊ A3-56 ◊ . developing a plan to achieve resolution fits the intent of CPI. This normally will involve staff within the ACO. The FAA and the applicant should determine the approval process path using the decision tree described in the next section. and they conclude with a mutual commitment to move forward with product approval. MIDO. The PSCP is refined. as a project progresses to later phases. deviations. means of compliance. Definition of project issues such as means of compliance including special conditions. should be complete. Specific regulatory requirements (certification basis.

Exemptions. flight test. Phase III: Compliance Planning Deliverables from Phase III include: • • • • • • • • Signed PSCP (See Appendices V & VI) Project schedule with established FAA/applicant milestones for completion of analyses. AEG evaluations Updated critical issues list and resolution plan Compliance Check List Defined delegations and oversight criteria Resource requirements Conformity procedures Refined operational and installation issues Phase IV: Implementation Deliverables from Phase IV include: • • • • • • • • Completed test plans/reports. TIA. Equivalent Safety Findings Technical Standard Order Authorization Instructions for Continued Airworthiness Issued Supplemental Type Certificate Phase V: Post Certification Deliverables from Phase V include: Project Closure • • • Project Lessons Learned Revisions to PSP resulting from lessons learned Project Evaluation Form(s) Continued Airworthiness • Approval of design changes ◊ A3-57 ◊ . inspections. conformity requests. conformities.Follow-on Field Approval issues should be identified and coordinated with the appropriate contacts from the FAA’s Flight Standards Division at this point. test plan submission. and compliance documentation Compliance and conformance findings TSO/JTSO required data submittal Quality Control System Manual Issue Papers.

the Aircraft Engineering Division will play an important role in the process.• • • • • • Applicant’s submittal of reporting of failures. new materials. The PMs ensure effective communication flow and quality documentation among specialists. § 21. efficient completion of the product approval projects. The respective managements provide leadership and resources to product approval teams through the Project Managers (PM) in order to resolve issues and accomplish the project. Within Aircraft Certification. In some cases. and the timely. it is essential that FAA management in the Flight Standards Division support the process because of the important reliance on operational and installation issues. FAA offices. and defects in accordance with 14 CFR Part 21. They coordinate and direct the certification team’s effort and ensure things are kept moving to achieve the product approval objectives. coproduction or foreign supplier issues.3 Applicant’s development of service bulletins or other service related documents. The PMs develop and maintain the PSCP (See Appendices V and VI). proposed means of compliance. It is important to ensure that appropriate managers provide the commitment necessary to accomplish the approval goals. FAA and Applicant Management The applicant and the FAA work to establish a PSP to reach a clear common understanding of their respective responsibilities for the design and production definition and the approval requirements. The PMs are also responsible for coordinating new design features with the responsible FAA offices. ◊ A3-58 ◊ . communication. specific roles and responsibilities may be somewhat different for avionics approval and are denoted in the appropriate sections. and applicant’s Project Managers are the principal focal points for the project. standard application of regulatory compliance policy and procedures. and coordinating technical decisions and regulatory issues with their respective team members. malfunctions.3 FAA review of data submitted in support of 14 CFR Part 21. and accountability apply equally to the avionics approval process. as applicable FAA notification to other civil aviation authorities of service related issues ROLES AND RESPONSIBILITIES General roles and responsibilities for each of the partnership stakeholders are presented in The FAA and Industry Guide to Product Certification. participating in the development of new project-specific policy safety issues. The management has ultimate responsibility through the product approval team for the quality of compliance finding work. For projects such as advanced avionics. § 21. FAA and Applicant Project Managers The FAA. and the applicant. as applicable FAA response to applicant regarding service related issues FAA issuance of airworthiness directives. new production processes. and other critical issues for timely resolution. designees. The PMs ensure that the Product Certification Project team is aware of design features. The PMs ensure the right people from the FAA and applicant are involved in the project. These principles of teamwork.

The directorate provides guidance on standardized application of rules and policy. Electromagnetic Interference. The directorate ensures that last minute changes in policy are applied to the applicant’s products only when critical new safety issues are identified. are the principal contacts for the applicant's engineers. Advanced Avionics/Electrical. a variety of conformity inspections and evaluations of aircraft airworthiness. The Avionics Systems Branch within that Division approves all TSO deviations. CSTAs provide professional technical guidance. The Avionics Systems Branch also provides guidance on standardized application of rules and policy for avionics related issues. the potential for an accident or service difficulty sufficient to warrant Airworthiness Directive action if the product were in service. CSTAs in disciplines pertinent to Avionics Approvals are: Flight Deck Human Factors. Directorate Standards Staff The directorate Standards Staff provides the certification team with clear and timely regulatory and policy guidance specific to the project. and assistance in their discipline to the certification team on issues that require precedent setting means of compliance relating to new or ◊ A3-59 ◊ . The Project Officer is the focal point within the accountable project directorate for that policy. advice. Aircraft Engineering Division The Aircraft Engineering Division provides the certification team with clear and timely TSO regulatory and policy guidance specific to the project. FAA Manufacturing Inspection The FAA Aviation Safety Inspectors provide consultation and advice on production processes proposed in the design. as assigned for appropriate disciplines. FAA Chief Scientific and Technical Advisor The Chief Scientific and Technical Advisors (CSTAs) play a technical leadership role within the FAA and with industry in the design and development of aircraft and in the application of regulatory policies and practices for certification of state-of-the-art technology. They conduct and oversee. through designees. Their activity is always in coordination with the FAA’s and the applicant’s Project Managers and follows the agreed PSCP. That branch also ensures timely response to requests for TSO deviations. application of applicable rules and policy. and are responsible for the majority of the compliance findings associated with the project.FAA and Applicant Project Engineers The FAA engineers. They conduct evaluations of the manufacturer’s quality and production systems for eventual production approval. and Aeronautical Communications. The engineers and Designees understand the technical details of the project. and they issues airworthiness certificates or other approvals. that is. Aircraft Computer Software. The directorate ensures timely support of the project regulatory and policy development for installation of new systems. Flight Management.

complex technology and technical specialties. research. The AEG serves as the focal point for all Flight Standards interests in the approval process. They Flight Standard personnel assist engineers in determining that means of compliance meet operations and maintenance requirements. prototyping. Technical areas specific to avionics equipment approval that require early involvement by specialists include software and human factors. FAA Flight Technologies and Procedures Division The FAA Flight Technologies and Procedures Division (AFS-400) is the principal organization in the Flight Standards Service that develops FAA requirements and policies for the operational certification. engineering. AFS-400 interfaces daily with numerous other government and industry partners and stakeholders on national and international levels to achieve the introduction of new CNS technology into global all weather operating environments. ◊ A3-60 ◊ . and approval of advanced CNS technology. and development of new flight technologies and procedures. They participate in a “hands-on” manner with the aviation community in the testing. implementation. FAA Aircraft Evaluation Group The FAA Aircraft Evaluation Group (AEG) provides a link to applicable Flight Standards Service technical services. They work with the Flight Standards Flight Technologies and Procedures Division to ensure that requirements and policies affecting new avionics equipment are fully coordinated with the applicant.

it is essential that the PSP addresses the same key content areas of this aid ensuring that. it captures the meaning and intent of this guide. as written.” but it allows the freedom to innovate and meet the needs of the applicant and the FAA. However. ◊ A4-61 ◊ . This aid is intentionally not a “boilerplate.APPENDIX IV AVIONICS PARTNERSHIP FOR SAFETY PLAN between the FEDERAL AVIATION ADMINISTRATION and APPLICANT The material contained herein is an aid for constructing a Partnership for Safety Plan (PSP) between the FAA and avionics equipment applicants.

5. General Corporate Planning Communication and Coordination Delegation Production Quality System Evaluation Transition Plan CONTINUOUS IMPROVEMENT 1. Phase Evaluation Checklist SIGNATORIES ◊ A4-62 ◊ . Performance measures a. Issues Resolution Process 2. 4. 3.TABLE OF CONTENTS PURPOSE EFFECTIVITY PARTNERSHIP FOR SAFETY 1. General b. 6. Operating Norms c. 2.

EFFECTIVITY ◊ A4-63 ◊ . Vision of the Product Approval Process A credible and concise product approval process that results in all of the following: Timely and efficient product type design and production approvals Clearly defined and understood roles. or both. and business practice requirements Optimal delegation using safety management concepts with appropriate controls and oversight In the establishment of this PSP. potential safety issues. To successfully achieve this Vision. The types of FAA approval may include a Technical Standard Order (TSO) Authorization. The avionics approval may involve one or more of these types of FAA approvals depending on the type of avionics equipment (whether a TSO exists). it is understood that the applicant and the FAA team members will work in accordance with the guidelines contained in this PSP. and their staffs to expedite approval projects by focusing on safety significant issues. and whether the applicant is seeking an installation approval. This Plan enables the FAA. It is the mutual goal of the FAA and the applicant to meet or exceed the expectations of this agreement to achieve the following vision. the applicant. The applicant may be either an avionics manufacturer or installer. and an installation approval (STC or field approval). responsibilities. It provides the foundation from which to build mutual trust. or Parts Manufacturer Approval (PMA). the content of this guide may be used to refine the existing PSP and to consider the alternate paths to approvals and certifications described herein. and efficient business practices. Avionics approvals typically include a component level design and manufacturing approval (TSO or PMA). teamwork. leadership. Supplemental Type Certificate (STC). The scope of this PSP is intended to cover the working relationship between the FAA and an applicant seeking FAA approval for avionics equipment. it is understood that a cooperative working relationship is required for this process to be effective. The needs of the applicant and the FAA may vary from project to project.PURPOSE The purpose of this Partnership for Safety Plan (PSP) is to define a working relationship between the Aircraft Certification Service of the Federal Aviation Administration (FAA) and the applicant. and accountability of all stakeholders Timely identification and resolution of the certification basis. If an applicant already has a PSP with the FAA.

or Senior Vice President (VP). revised or terminated and may be amended by mutual consent of the parties. minor changes as defined in 14 CFR Part 21. For. V. The applicant and the FAA agree to work to the principles and operational norms outlined in this PSP and to future Project Specific Certification Plans (PSCP) that may be developed in conjunction with this agreement.This PSP becomes effective upon approval by the FAA Directorate/Division Manager and the applicant’s President. example. coordination. and delegation between the applicant and the FAA. the PSP should be developed with the secondary FAA offices involved as well. Chief Executive Officer (CEO).611.93. such as PSPs or PSCPs. PARTNERSHIP FOR SAFETY 1. consideration of the elements outlined below. The principles of CPI are such that an applicant needs only one PSP with the FAA. The PSP will be managed and maintained by the FAA’s and the applicant’s management focal points in accordance with the “Communications” section below. and VI of The FAA and Industry Guide to Product Certification. paragraph (a). then separate PSPs may be appropriate. The PSCP is discussed in Appendix II. which outlines the nature of the change. When an applicant requires involvement with additional FAA offices. the applicant should share with those offices any existing agreements with the FAA. This is especially important when an applicant and an ACO agree to a process for an avionics installation and then the applicant seeks approval for a similar process with another ACO. it needs to be accepted by the relevant organizations that will use it. It establishes the principles and procedures for early identification of critical issues and early planning so that. The PSP should also define the process for determining when a PSCP is not required for a specific project. a PSP agreement with the primary FAA office may be used as the basis for a PSP with other offices. The PSP is an important prerequisite to a specific product approval project. Alternately. The PSP will include. Corporate Planning ◊ A4-64 ◊ . 2. paragraph (a). If an applicant’s organizational structure is such that lines of business work independently with their respective FAA offices. or officer empowered to commit for the applicant. but not be limited to. future projects can be completed in a timely and efficient fashion. Since the PSP is used to define communication. § 21. General This PSP is a living document developed by the FAA and the applicant to the greatest extent possible in advance of any specific approval project. If the applicant is likely to have approval projects with more than one FAA Aircraft Certification Office (ACO) or Manufacturing Inspection District Office (MIDO). It continues in effect until it is superseded. subsequent to this PSP. The PSP should also address the process used for the incorporation and approval of minor changes. and § 21. would not require the development of a PSCP. Any change in the services furnished or other provisions of this PSP is formalized by an appropriate written amendment signed by both parties.

or Follow-on STC and basis for LRU PMA if seeking PMA. and continued airworthiness. This process is management and discipline dependent. new materials or processes. production or operational aspects. The Installation PSCP should be used where the project will result in one of the following: First-of-Type STC and basis for LRU PMA if seeking PMA. and flexibility for both the FAA and the applicant. Typical projects that may not require a PSCP include. These reviews also provide a forum to begin early planning for those potential projects as outlined in the early involvement Phases of The FAA and Industry Guide to Product Certification. Although the preference would be to always use a PSCP. depending on the type of project.The applicant and the FAA jointly conduct periodic management program reviews using an agreed process to provide early insight into future potential projects. unique designs. Effective project management oversight. some TSO projects and STC changes may not require a PSCP. a cost/benefit analysis may show a low return on investment for less complex or recurring TSOA projects. the PSP should include content to help all stakeholders decide which PSCP to use. and documentation are needed. for example. This will be accomplished as potential approval projects arise to ensure agreement and commitment on dealing with critical issues in a value-added way. The point is that a PSCP should add value to the process by improving project efficiency for both the applicant and the FAA. adequate planning. Early communication between the applicant and the FAA in the conceptual/prototype stages of product development is critical to ensure availability of resources. but are not limited to: minor changes to existing TSOs or STCs and TSO projects that have been previously approved by the applicant at the same ACO. exemptions. planning. co-production or use of foreign suppliers. As noted above. Avionics equipment may require one or more PSCPs. Projects that may not benefit by having a PSCP are those low in complexity with little risk regarding the approval process or interpretation of the requirements for airworthiness. For clarity and agreement between the applicant and the FAA. Project tracking and documentation provide for early identification and resolution of potential conflicts. special conditions. communication. equivalent safety findings. touch broadly on areas that should require special attention. ◊ A4-65 ◊ . the applicant and the FAA should work together to ensure developing and using the PSCP is efficient and commensurate with the project. applicable standards. The PSP gives the FAA a means to keep the applicant informed of new proposed regulations or policy that could affect future product approval projects. With this in mind. The PSP should document the agreement between the FAA and the applicant regarding the use of a PSCP. The FAA and the applicant will participate in early identification of product concepts. This is an iterative process requiring ongoing mutual evaluation and continuous improvement of the PSP and related processes. and in the product definition and risk management phases. to the extent possible. The TSO PSCP is specifically for products where a TSO exists and a TSOA is to be issued for design and manufacturing approval. The reviews would. foreign validation.

A Designated Alteration Station (DAS) is an organization that is delegated to issue STCs in accordance with an FAA approved procedures manual. Delegation The FAA depends on using both individual and organizational delegations in the approval process. the office responsible for developing the TSO and approving deviations related to any TSO is the Aircraft Engineering Division within the Aircraft Certification Service. in effect. This division is also responsible for developing policy as it relates to the avionics appliance. Focal points will be identified to avoid conflict and to keep both parties informed of all critical communications that affect the needs and responsibilities of their respective roles. The FAA approved DAS procedures manual is. This concept would also ◊ A4-66 ◊ . An existing approved procedures manual. The roles and responsibilities of each organization should be clearly stated in the PSP.3. The PSP should identify each organization that is responsible for elements in the approval process and the responsibility those organizations share in the approval of the product. Communication and Coordination In the PSP. Thus. This does not preclude any team members from communicating with any other members. for a DAS or any other FAA organizational delegation. 4. communication and coordination paths should be clearly defined between the FAA and the applicant. The regulations and policy for installation of avionics into an aircraft falls under the responsibility of the directorates within Aircraft Certification. In the approval process of avionics. may be incorporated by reference in the applicant’s PSP but is not a substitute for the PSP. a partnership between the DAS and the FAA. The ACO is responsible for determining that the avionics and installation complies with the required regulations and policies. Delegation will be used to the maximum extent practicable with appropriate oversight safeguards as defined in the FAA’s delegation management process policies. For example. The focal points will be responsible for the maintenance of the PSP. The type of aircraft in which the avionics are installed determines the accountable directorate: Small airplanes – Small Airplane Directorate Transport airplanes – Transport Airplane Directorate Rotorcraft – Rotorcraft Directorate Installations specific to engines or propellers – Engine and Propeller Directorate Each directorate is also responsible for supporting certain ACOs and MIDOs to provide the FAA resources to support the applicants’ projects. but they need to ensure the focal points are informed. critical links should be defined to ensure roles and responsibilities are clear and to facilitate conflict resolution. several FAA organizations are responsible for different aspects of the approval. Operational issues during the approval process are the responsibility of the Flight Standards Aircraft Evaluation Group. The approval for avionics production is the responsibility of the MIDO. The Project Specific Certification Plan should identify what is expected from each of these organizations.

designee oversight controls. The FAA engineering and Aviation Safety Inspectors’ designees. This should include. criteria for determining which conformities will be conducted. The FAA will explain the latest policies regarding use of DERs in this process. This should also include. It is essential that the FAA and the public have confidence in the integrity of the designee system and that it function properly. The expanded use of designees in the approval process is an important part of streamlining the avionics certification process. Aviation Safety Inspectors. to the greatest extent possible. and oversight. by reference. The PSP should also describe the respective FAA and applicant roles in the conformity inspection process. As noted in applicable FAA Orders and policy. That environment should encourage the designees. to openly communicate approval items with the FAA. Both the FAA and the applicant agree to foster an environment where open communication between the designees and the applicant’s management.apply to other delegated organizations. When an applicant requests a TSOA they should work closely with the FAA to determine the scope of delegation the FAA will authorize. procedures. is standard practice. and so forth. and continued airworthiness processes. The applicant agrees to create a working environment where designees can make compliance and conformity findings free from undue pressure and with the support and knowledge of the FAA. what authorizations are needed. and between the designees and their FAA counterparts. flight test pilots. production. using the designees with appropriate oversight to expedite the work. which are delegated to both engineering and Aviation Safety Inspectors’ designees. and should address the delegation and oversight process as well as designees’ disciplines and limitations. where appropriate. The PSP should be specific as to what aspects of the FAA project responsibilities are delegated. and how deviations will be dispositioned. The applicant and FAA engineers. should be identified and agreed upon early. within the scope of their delegation. preferably prior to a specific project. The FAA and the applicant agree to manage all designee activity within the regulations and policy regarding designee appointment. The following paragraphs are applicable to individual designees. it is necessary to have all stakeholders in the delegation process agree on the extent of delegation. and how best to utilize DERs in a project approval process. in coordination with the delegation section of the PSP. and the degree of delegation oversight to be used in each project. This plan will describe how the designees in different disciplines will work together directly to the greatest extent possible to ensure compliance with Title 14 of the Code of Federal Regulations while providing more timely project management. which is necessary to maintain confidence in the designee system. reliance on existing agreements or working procedures generated between the FAA and the applicant. The FAA continues to explore ways to expand the use of DERs to help reduce the review time necessary for granting TSO authorization. related documentation. the goal of the FAA and the applicant is to develop a system that ensures conforming products. and one that the FAA can rely upon. Because of the close integration of the design. and FAA designees will agree upon and document a plan. the procedures. ◊ A4-67 ◊ . It should be clearly understood that the FAA’s objective is to find compliance with the regulations and not to dictate design.

when possible. documentation. A meeting between the ACO and the applicant with new and remaining personnel will be conducted to review all ongoing projects and to review this PSP so that all personnel involved will have a common understanding of the PSP. 5. Evaluations to determine adequacy of this system should be conducted by the FAA as early as feasible during the project. Transition Plan It is recommended that the ACO assign all of an applicant’s projects to the same team of engineers. 4.) 2. and document system). During this period. However. 3. (For example. The following is a recommended plan: 1.The system should include. 5. 2 weeks. Incoming personnel shall accept previous formally communicated and agreed to positions. and dispositioning of deviations or changes before tests are conducted. Providing for the completion of inspection. The ACO/ applicant will be notified of any changes to the project personnel within a prescribed time frame prior to the change. Ensuring requests are not duplicated and the timely and efficient conduct of conformities and dispositioning of deviations. 6. but is not limited to: Maintaining the custody chain of conformed articles destined for an official FAA test. Notifying the FAA Manufacturing Aviation Safety Inspector of any changes to ground/flight test articles after conformity inspection has been completed. new personnel will be trained on the contents of this PSP. it is recognized that the ACO and the applicant’s personnel may be reassigned or leave the organization. new personnel will be briefed on the status of all the applicant’s projects (including the applicant’s drawing. Identifying who issues the requests. The FAA Aviation Safety Inspectors’ designees. data. with appropriate oversight. and dispositions the deviations. Individuals assigned to perform a backup role will have the background and authority to make decisions during personnel absences. During the prescribed period. To minimize disruption of a project and maintain continuity throughout the approval process. could be used to facilitate the work. a transition plan should be implemented when ACO/ applicant project personnel are replaced. where practicable. ◊ A4-68 ◊ . Production Quality System Evaluation The PSP should describe the FAA and the applicant’s roles in the production approval process. conducts the inspections. 6. The goal of the FAA production approval is to verify that the applicant has established a system which ensures that only products and parts conforming to the FAA approved design are released to service.

The applicant and the FAA PMs will document in the project records conclusions. planning.CONTINUOUS IMPROVEMENT 1. Performance Measures a. and options for resolution. The issue will then be submitted to the applicable directorate manager(s). the FAA. recommendations. communication. the PMs will utilize the following issues resolution process: 1. their respective managers. where appropriate. Issues Resolution Process The objective of this process is to identify and resolve issues and disagreements as early as possible at the team working level facilitated by the applicant’s and the FAA’s PMs. Any necessary changes to the project schedule or the issues will be coordinated and agreed upon by all affected team members. They will continually manage those issues to ensure adequate progress is being made on the resolution of issues to ensure compliance with the regulations while not adversely affecting project schedules. Should any problems arise with open issues where their resolution is not proceeding according to the agreed PSCP. The applicant and the FAA PMs will jointly maintain a project issues tracking list. which can be done through the project issues tracking list maintained by the FAA and the applicant PMs. and. 2. the FAA regional counsel and other appropriate FAA division(s) for review and disposition. This process requires effective project management oversight. and the applicant PM’s management. and outcome of the issue resolution. respective parties’ positions. and outcomes in the project records. If there is agreement on the progress of issues resolution. but it should not be applied just for the sake of tracking. Where appropriate. General Project tracking and documentation provide for early identification and resolution of potential conflicts. ◊ A4-69 ◊ . and documentation. the applicant and the FAA PMs will document the actions. the office raising the concerns will prepare a white paper detailing the issue. the applicant and the FAA PMs. the FAA Issue Paper process should be used. adequate planning. If they agree. and flexibility for both the FAA and the applicant. If there is disagreement. 3. Early communication between the applicant and the FAA in the conceptual/prototype stages of product development is critical to ensure availability of resources. Timelines will be established for resolution of each issue to permit tracking via the project issues list and ensure timely resolution. 4. 2. If the managers and appropriate team members are unable to agree. decisions. the resolution will be documented and all team members will be informed. The PMs will periodically keep their management and other certification team members apprised of the progress on resolving issues. and other appropriate team members in the affected disciplines will review the issue and recommend a solution.

that certification of an advanced avionics design concept. PSCP drafted.4. These and other project deliverables can be associated with the Phases in the approval process as delineated in this guide.4). Within 1 month after application: Project team identified (FAA and applicant). and degree of delegation. documented. operating norms. Performance measures should focus on producing quality deliverables that show an efficient and credible approval process. Appropriate directorate assigns Program Officer. ACO Project Manager determines project significance per Order 8110. The FAA and the applicants recognize. ACO receives concurrence or non-concurrence regarding project significance from appropriate directorate (per Order 8110. for example.Priority must be placed on early identification and resolution of issues critical to the success of the project. and expectations necessary to meet the project completion objectives. ◊ A4-70 ◊ . An agreed PSP and early preproject communication and planning in accordance with that PSP are essential prerequisites to preparing for successful approval projects. b. the operating norms for certain key deliverables should be set as low as possible within the following typical ranges: Avionics Approval Process Norms Within 2 weeks after submittal of 8110-12 application: Acknowledgment of application issued. ACO issues Certification Project Notification (CPN) and sends to appropriate directorate. These norms will guide the timeliness and quality of deliverables and services provided by both the FAA and the applicant during the project. then initial installation. Good planning will define the significant tasks. such as project size and complexity. Operating Norms The FAA will establish with the applicant agreed. The PSP and each PSCP should identify appropriate agreed operating norms since there could be different team members on different PSCPs. Unless compelling reasons are presented to deviate from this guide. Many factors affect the planning and management of approval projects. may have significantly different resource needs and timing than a modification to a design or an installation. associated required information. Project familiarization and up-front planning meeting at ACO. The objective of any successful project is to meet or beat the plan. Some of these issues are listed in the Avionics Certification Process Improvement section of this guide. The operating norms agreed upon between the FAA and the applicant will establish the basis for operating under this PSP and subsequent PSCPs and provide a means of measuring progress. Operating norms should be defined to meet the needs of the applicant and the FAA consistent with agreed PSCPs.

design changes. if needed. Technical and certification issues are defined. All issue papers closed. Deviation requests should be granted or denied within 6 weeks of the manufacturer’s written request to the ACO(*). or compliance requirements should result in agreed revisions ◊ A4-71 ◊ . (*) For deviation requests. Additional norms may be necessary or appropriate depending upon the specific project needs. the need to define norms should be assessed for all issues identified. Request for a document review should be accommodated within six weeks of the request. if applicable. Update to the project schedule. Meeting minutes should be completed. Update the project schedule. the issues will be carried forward in the program on the critical issues list. The use of designees should be taken into account early in the project planning and documented in the PSCP. more time may be required.Within 1 month after up-front planning meeting: Certification basis identified. including the mutually agreed project schedule. When developing a PSCP. Issue papers should be completed and released within one month of identifying the issue. Compliance data and documentation is submitted. PSCP should be revised as appropriate to include comments and issues generated from the up-front planning meeting. The request should also include the compensating equivalent means of performance proposed by the manufacturer.) Issue papers written. if applicable. any request for TSO deviation should identify the specific section in the TSO performance standard from which the manufacturer is requesting a deviation. Within 2 to 3 months after up-front planning meeting: Certification basis established. and signed within one month of the respective meeting. 3 months prior to scheduled issuance of TC/STC/TSOA: Resolution of all remaining technical and certification issues. (Where resolution is not possible at this early date in the project. if needed. Any major issues. Schedule slips and significant design changes will be communicated within one month of their identification. as appropriate. Resolution of technical and certification issues. PSCP agreed and signed. agreed upon. One month prior to scheduled issuance of TC/STC/TSOA: All required certification inspections and tests have been completed.) Additional Norms: Request for a meeting should be accommodated within one month of the request. FAA letters of Validation for non-US certifications should be provided within 3 weeks of the request. (If the data is not FAA designee approved or recommended for approval.

As the project progresses. for FAA and industry review of the CPI process. For long duration projects. the FAA will work within boundaries of their policies and public rulemaking procedures. A copy of the form should also be sent to the FAA’s Aircraft Engineering Division. In such cases. To facilitate continuous improvement the team should implement any necessary corrective actions. issue papers and a revised PSCP will be prepared within one month after identification of the issue along with a plan to achieve its resolution. it should be included as a part of the Compliance Summary Document for future reference. Phase Evaluation Checklists The Phase Evaluation Checklist (Appendix VII of this guide) is a tool that can be used for project management as the project moves through the five phases. ◊ A4-72 ◊ .to the PSCP with appropriate milestones for closure. When the evaluation identifies the need for corrective actions or improvements. c. The Phase Evaluation Checklist should be maintained in the FAA and applicant’s official project file for future national or local program evaluation. or rule escalation that would adversely affect the mutually agreed upon program goals. The applicant/FAA team should continuously evaluate the project for immediate process improvement. new interpretations. The PSP compels the partners to work together to understand the product architecture early enough to preclude last-minute guidance (verbal or written). other major issues may be identified. The PMs are encouraged to include the review and update of the Phase Evaluation Checklist as milestones when preparing their PSCP schedule. AIR-100. The FAA and the applicant PMs should jointly prepare a Phase Evaluation Checklist at the beginning of a project. For projects with a short completion time. the form should be completed at the end. Where appropriate. the PMs should complete the “Deliverables” portion of the form at the end of each phase.

CEO. Agreed by: (This is a representative sample of possible signatories and could include others deemed appropriate to provide necessary commitments and accountability.SIGNATORIES The FAA and the applicant agree to the provisions of this PSP as indicated by the signature of their duly authorized representatives. Include Names and date) Applicant President. or Senior VP Applicant Certification Manager Applicant VP Quality Assurance FAA AEG Manager(s) FAA Directorate/Division Manager(s) FAA ACO Manager(s) FAA MIO/MIDO Manager(s) ◊ A4-73 ◊ .

Subpart O. This aid is intentionally not a “boilerplate.” but allows the freedom to innovate and meet the special project needs of the applicant and the FAA. it captures the meaning and intent of this guide. as written. or other elements pertinent to the project. it is essential that the PSCP addresses the same key content areas of this aid ensuring that. ◊ A5-74 ◊ . agreements. Technical Standard Order Authorizations.APPENDIX V PROJECT SPECIFIC CERTIFICATION PLAN for Technical Standard Order Authorization between the FEDERAL AVIATION ADMINISTRATION and APPLICANT (Specify Name) for (List specific product here) The material contained herein is an aid for preparing the Project Specific Certification Plan (PSCP) for a product being approved under 14 CFR Part 21. and it should incorporate by reference appropriate procedures. However. The PSCP should include elements that were not addressed in detail in the PSP.

Flight Test c. Project Description 2. TSO Table and Minimum Operational Performance (MOPS) Standards 4. Delegation 6. Phase Evaluation Checklist SIGNATORIES ◊ A5-75 ◊ . General b. Communication and Responsibilities a. General 2. Communication b. Roles and Responsibilities 5. Configuration Control 7. Project Schedule 3. Testing Plan a. Compliance Documentation PRODUCTION APPROVAL POST APPROVAL REQUIREMENTS – COMPLIANCE SUMMARY DOCUMENT PROJECT ISSUES PLANNING CONTINUOUS IMPROVEMENT 1. TSO and JTSO Application and Means of Compliance a.TABLE OF CONTENTS PURPOSE EFFECTIVITY PRODUCT APPROVAL 1. TSO Application b.

and efficient business practices between the FAA and the applicant during approval of the product. It is the mutual goal of all team members to meet or exceed the expectations of this agreement. The FAA team members will recognize and utilize the knowledge of the FAA designees to the greatest extent possible and keep the applicant’s team members abreast of approval issues that may arise. However. EFFECTIVITY ◊ A5-76 ◊ . Additional milestones will be considered by the FAA and the applicant as firm commitments unless they agree to a change. The plan should expedite the issuance of Technical Standard Order Authorization (TSOA) for the applicant’s (specify LRU or system) under standardized procedures. the PSCP will be managed and maintained jointly by the FAA and the applicant’s Project Managers. there are certain situations where a PSP is not warranted. (Only use the following sentence if a PSP has not been developed:) There is no current PSP with (specify applicant). The PSCP schedule will be within specified ranges agreed to in the norms of the PSP. This means that if both the FAA and the applicant agree that modification of the Plan is needed. those applicable sections for a PSP must be incorporated into this PSCP. it is understood that both the applicant and the FAA team members shall work in accordance with the established guidelines. teamwork. but specific sections have to be added in this PSCP that include the CPI principles normally contained in a stand-alone PSP. In the establishment of this PSCP. The PSCP is a living document. the installation approval will be covered by a stand-alone PSCP. it is understood that a cooperative working relationship is beneficial for these procedures to be effective.PURPOSE The purpose of this Project Specific Certification Plan (PSCP) is to define and document a product approval plan between the Aircraft Certification Service of the Federal Aviation Administration (FAA) and the applicant. It is intended that all team members facilitate review and approval of the necessary design and production data and related compliance documents in a timely manner with the objective of bettering the PSCP schedule wherever possible. If an installation is being worked as a parallel project. In these situations. an amended Plan is drafted. it should be stated as follows: As a parallel certification project. The Plan will be developed to the greatest extent possible as soon as the FAA and the applicant agree that the approval project is a viable one for which resources can be planned and committed for its completion. The applicant is (specify applicant’s name and location of manufacturing). It is understood that this PSCP will be executed in accordance with the PSP. As the project progresses. This PSCP will provide the foundation from which to build mutual trust. To implement the PSCP procedures successfully.

and the applicant’s Certification or Airworthiness Manager. The level of software assurance used should support those requirements and be clearly identified in the TSO software documentation and installation instructions. This detailed function or features list is critical as it will help focus the FAA evaluations on the extra functionality early in the program. The description should also include a detailed list of all systems functionality with an indication of any functionality that is not covered under TSO. The schedule should adhere to the Phases and process flow identified in The FAA and Industry Guide to Product Certification. the appropriate Standards Office (Directorate or Aircraft Engineering Division). and display requirements specified in the TSO standard and its intended installation environment. leaving the applicant with the traditional role in the TSO process focusing on ensuring compliance with the TSO requirements. including appropriate project management reviews and any required scheduled deliverables such as those listed below. The Plan should include a detailed description of the product. (Being in an appendix will facilitate schedule changes without having to revise the PSCP. as well as the operational assumptions. This would include identifying in the schedule all appropriate deliverables for the project such as. these milestones need to be established in accordance with the operating norms identified in the PSP. control. Design. and maintenance aspects. Project Schedule A detailed project schedule should be provided as an appendix to the PSCP. The description should consider the annunciation. or terminated with written notice by either the applicant or the FAA. if applicable. It should identify all major milestones. All issue papers. should be planned for and considered. but not limited to. The intended uses of each function should be documented. should also be included with a resolution plan and prioritization of the issues to be resolved. This PSCP may be amended by mutual agreement or terminated by either the applicant or the FAA. the (specify name of MIDO) Manufacturing Inspection District Office. Every effort must be made to establish realistic schedules considering both the FAA and the applicant’s total workloads and other resource commitments. 2. This PSCP will continue in effect throughout all Phases of the product approval unless it is superseded.This PSCP shall become effective upon approval by the Managers of the (specify name of ACO) Aircraft Certification Office. those shown below: Deliverables: Familiarization. the (specify name of AEG) Aircraft Evaluation Group. Project Description This section should contain a description of the project. revised. and technical meeting(s) minutes Roles and responsibilities of FAA and applicant project teams ◊ A5-77 ◊ . as well as foreign authority validation requirements. Any change in the services furnished or other provisions of this PSCP will be formalized by an appropriate written amendment signed by affected parties. It should include a listing of the TSOs being applied for. up-front planning. production. which will outline the nature of the change. PRODUCT APPROVAL 1. operational.) If required.

Application is made by letter to the ACO and includes: ◊ A5-78 ◊ . analyses. to the TSO performance standards Letter accepting TSO deviations Compliance Summary Document Quality Control Procedures Production approvals Data submittals (to support compliance and conformance (e. operating manual. along with any requested deviations.) Human Factors Approval Plan. The application. if applicable. as applicable. TSO Application In this section the applicant should identify the TSO authorization requested. Subpart O. When making application for a TSO the applicant submits: 1) A statement of conformance certifying that the applicant has met the requirements of Part 21. TSO and JTSO Application and Means of Compliance a.. if any. and 2) A statement certifying that the article concerned meets the applicable TSO that is effective on the date of application for that article. etc. An issues list should be included to highlight for resolution those special requirements and other areas that may be significant. includes the listing of deviations to the TSO and equivalent safety findings. if applicable Other data required by applicable TSO TSOA letter Foreign approvals anticipated that will involve the ACO List of specific Joint Airworthiness Authorities (JAA) TSOs (JTSO) being applied for including a listing of deviations. Subparts N-O. if any. and the applicable JTSOs. installation instructions. test plans/reports. The applicant should also identify if a JTSO authorization is to be requested. The Certification Basis of obtaining a TSO is 14 CFR Part 21. even though they may not warrant a special condition. The Certification Basis of obtaining a JTSO is JAR Part 21. The certification basis should also be identified. or equivalent safety finding. the applicable TSOs. exemption. Subpart O.g.Product approval team and management status reviews Delegation plan Draft and Final PSCP Applicant’s TSO Statement of Conformance Listing of specific TSOs being applied for A listing of deviations. to the JTSO performance standards Foreign approval compliance documentation list Letters of conformance and application for the foreign approvals FAA letters of validation for the foreign approvals Phase Evaluation Checklist 3.

A copy of the statement of conformance that certifies the applicant has met the requirements of JAR 21, Subpart N-O, that the article concerned meets the applicable JTSO, and lists any deviations from the JTSO requirements. A copy of the list that shows the compliance data provided to the National Airworthiness Authority (NAA) by the FAA or the applicant. The ACO issues a letter of validation to the NAA responsible for JTSO approval. Other non-U.S. approvals require a process similar to the JTSO process. These applications are made to the ACO and result in an approval on an individual country basis (national approval). These approvals do not confer a TSO or JTSO authorization. The FAA maintains advisory documents that explain procedures required for different countries. b. TSO Table and Minimum Operational Performance Standards (MOPS) A table that lists the applicable TSO requirements should be used. This table should identify the requirements and the means used to show compliance to the requirement. 4. Communication and Responsibilities a. Communication This section describes the communication responsibilities of the FAA and the applicant’s certification teams. The FAA and the applicant establish the appropriate communication and coordination paths by identifying the respective team members. The FAA and the applicant’s PMs must be kept informed of all critical communications. Critical links should be defined to ensure that roles and responsibilities are clear to define accountable team members responsible for deliverables and to facilitate conflict resolution. This does not preclude any team member from communicating with any other member, but they need to ensure the PMs are informed. Team members typically will communicate with the PMs via email and telephone. b. Roles and Responsibilities This section describes the roles and responsibilities of the applicant and the FAA team members. Table 1 is a sample of the typical table to show the FAA and applicant team members and their roles and responsibilities. Please note that your program may require team members with different roles and responsibilities than those listed in the sample shown in Table 1. In some cases, additional members should be included. For instance, the project may require FAA or applicant legal representatives on a consultation basis. If international certification is involved, other authorities should be included. This is especially important if assistance with test witnessing, conformity inspections, or type certification validations in anticipated.

◊ A5-79 ◊

Table 1: FAA/ Applicant PSCP Team Members
FAA Team Member Name Phone Number FAX Number Email address Applicant Team Member Name Phone Number FAX Number Email address Roles and Responsibilities TSO Program Manager – FAA/applicant team leader: PSCP focal point Installation Program Manager: provide assistance to TSO PM Systems and Equipment Engineer: review test plans, data, issue request for conformity inspections, delegation approval Project Engineer – Software Aspects: engineering review and approval of all software documents, coordination with software DER and Installation PM Project flight test pilot: develop flight test plan as required; review display for symbology and human factors; review of the users manual; flight test expert to the Installation PM Principal Inspector related to Software Quality Assurance Principal Inspector related to Manufacturing/Production Quality Assurance FAA AIR-130 Project Officer: 14 CFR Part 21 policy and guidance Project Nav. – FAA AIR-130: focal point regarding policy and interpretation with Nav. MOPS, ensure standardization related to Nav. Issues Project Human Factors – FAA AIR-130: focal point related to human factors; policy and interpretation with MOPS and TSO technical performance standards related to human factors FAA Aircraft Evaluation Group – Maintenance: review and determine adequacy of maintenance documents including Instructions for Continued Airworthiness FAA Aircraft Evaluation Group – Operations: review and determine adequacy of system operational issues and documents including Users Manual FAA CSTAs, as appropriate, and as needed: Provide technical guidance.

N/A N/A

N/A

N/A

N/A

N/A

Each member of the certification team should be listed.
◊ A5-80 ◊

5. Delegation A TSO program is a self-certified process where the applicant makes conformance statements to the FAA indicating compliance with those items listed in 14 CFR Part 21 § 21.605 and to the applicable TSO. However, the process may be difficult if the TSO applicant is new to this process or has limited knowledge of the TSO certification process. In this case, it may be helpful for the applicant to become familiar with the certification process or use a designee who is familiar with the process to review the data that is to be submitted to support the project. The expanded use of designees in the approval process is an important part of streamlining the avionics certification process. The FAA continues to explore ways to expand the use of DERs to help reduce the review time necessary for granting TSO authorization. When an applicant requests a TSOA, they should work closely with the FAA to determine the scope of delegation the FAA will authorize. The FAA will explain the latest policies regarding use of DERs in this process, what authorizations are needed, and how best to utilize DERs in a project approval process. 6. Testing Plan a. General This section should outline the applicant’s approach to developing test-based compliance documentation. Plans for Hardware and Software Aspects of Certification (PHAC and PSAC respectively) are typical means used to identify Verification and Validation (V&V) methodologies. This portion of the PSCP should also consider the requirements of the specific TSO and associated MOPs where performance under normal and severe environmental conditions is concerned. A strategy for the planning, preparation, and conduct of the required environmental and qualification testing would be appropriate content. The plan should identify the proposed methods for evaluating the flight crew interface aspects of the product. The plan should address the occasions when and how FAA human factors evaluations are to occur, and recognize that the findings from such evaluations need to be documented and validated to ensure appropriate "credit" will be evaluated if needed for subsequent installation approvals. b. Flight Test In some cases – such as for Traffic Alert and Collision Avoidance System (TCAS) products – flight tests are necessary to provide compliance data. While FAA participation in these flight tests is not required, the responsible ACO office may have an interest in observing use of the product in its actual operating environment. This section of the PSCP should specify how to accommodate such requests. Where a concurrent aircraft level project (STC) has been initiated, use of language in the project’s TIA may be used to enable FAA participation. This will also facilitate the applicant’s ability to take credit for these tests as part of the STC project. Since a TIA is not necessary to authorize the applicant’s conduct of flight tests associated with gathering TSO compliance data, special approval may be needed for ACO personnel to participate in flight tests that are solely in support of a TSO project. This issue should be negotiated with the responsible ACO manager early on in the TSO project.

◊ A5-81 ◊

However. This section of the PSCP should indicate the process/procedure to be used. is not required. use of a bench simulator or demonstrator may be adequate. c. Configuration Control Articles used for compliance testing must be subject to a control process to ensure an accurate accounting of their configuration. Compliance Documentation This section should describe the procedures for submittal and processing of compliance documentation. or resulting in an 8100-1 Conformity Report or 8130-3 conformity finding. Others may require a combination of bench and flight test evaluations. The applicant should also describe a process to maintain configuration control of the test article throughout compliance testing. Many new and revised TSOs contain requirements for human centered design considerations.The need for evaluation of the product’s human factors attributes should also be addressed in this section. The following list of items should be considered: PSAC (Plan for Software Aspects of Certification) Environmental test reports TSO MOPS compliance test reports Software Accomplishment Summary (SAS) Software Configuration Summary Functional Hazard Assessment (FHA)/System Safety Assessment (SSA) at LRU level Bill of Material LRU identification tag(s) ◊ A5-82 ◊ . an inspection conducted in accordance with that system and resulting in a Certificate of Conformity is typically adequate. one of these alternate means of configuration control may be necessary when the TSO test article is installed on an aircraft for the purpose of obtaining certification data in support of an STC/TC project. The applicant should establish a process to maintain configuration control for all changes or repairs incorporated into the test article. and pertinent to conducting the showings of compliance required for FAA approval. including manufacturing specifications. and other documentation defining the hardware and software design of the article should be released into the applicant’s configuration control system prior to conducting any conformity inspection. Test articles may require repair or design changes as a result of qualification testing. This item should be discussed with the ACO early in the project’s life cycle. some FAA ACOs are including this type of evaluation as a part of the TSO project where the product has a major man-machine interface element (such as display systems). The PSCP should identify what data will be submitted and by whom. In addition. 7. a plan for FAA participation similar to that described immediately above may be needed. specifications. The applicant’s plan for these requirements should be included in this section. An inspection process involving MIDO personnel. In general. Where flight test human factor assessments are warranted. all drawings. This process should be sufficient to ascertain where credit may be taken for tests already completed and where re-testing is required. For some products. It should account for all data (not just drawings) pertinent to defining the type design. Where an FAA-approved company quality control system exists.

which may add to the processing time. that the applicant has developed and is capable of maintaining a quality assurance system.Operating manual DERs should be utilized to submit data as defined in the PSP. Some examples include: Instructions for Continued Airworthiness and safety analyses. disposition. Typically. Hence. PRODUCTION APPROVAL This section of the PSCP should outline production quality project issues and tell how they will be managed to permit early approval of the production system. The primary focal points for the production approval process are the FAA Principal Aviation Safety Inspector and the applicant’s Project Quality Manager. this may be up to four (4) weeks for designee recommended approval data. due to size or complexity. co-production agreements. Data submitted without an FAA Form 8110-3 will require FAA engineering review and approval. FAA undue burden assessment of either non-US suppliers or co-producers. The goal is to have concurrent design and production approval issuance. new suppliers. and the FAA has verified. may require more time. The FAA and the applicant will agree and document the amount of time needed for review. as appropriate. Production approval is granted after the applicant has demonstrated. issues to be considered should include the following: Approval of new materials. DERs submit FAA Form 8110-3 with data that has been DER approved or recommended for approval. new technologies or new applications of existing technology. whereas data that is recommended for approval must be reviewed for those aspects that the designee could not or did not evaluate. new processes. This should be taken into account when developing the project schedule. etc. Some submittals. The timing and process for such submittals should be agreed upon between the FAA and the applicant and documented in the PSCP. and approval or acceptance of the data. This system will ensure that only products and parts conforming to the design data are released for commercial service use. Data submittals that are designee approved are reviewed only for designee oversight purposes. communication and pre-planning for data submittal and consideration of the level of delegation between designees and the FAA is essential and encouraged to ensure timely efficient data approval. For existing Production Approval Holders (PAH) who will be adding a new product to an existing approved production system. or both Instructions for assembly and test of the final product to ensure conformance Coordination with engineering on production Material Review Board requirements and integrating engineering and production Certificate Management activities Controls to be placed on production as a result of design Airworthiness Limitations or the criticality of parts and components Configuration control requirements Any other reviews necessary to ensure that a conforming product will be produced under the FAA approved quality inspection system ◊ A5-83 ◊ .

or technical). should include issues identified as potential “show-stoppers. to the satisfaction of the FAA. precedent issues (for example. in order to provide continuous improvement of the FAA and the applicant's working relationship. feedback. (Appendix I of The FAA and Industry Guide to Product Certification) The process. POST APPROVAL REQUIREMENTS -.” The list will identify the issue. The PMs will continually manage those issues to ensure adequate progress is being made on their resolution to not adversely affect the project schedule. General In this section a statement should be made that the continuous improvement processes detailed in the PSP will be followed.COMPLIANCE SUMMARY DOCUMENT The applicant and FAA PMs will prepare a summary at the end of each approval project to capture and retain the corporate knowledge learned during the project. This list. may be incorporated by reference in the PSCP. and so forth. those should be referred to AIR-100 for consideration. plus the phase evaluation checklists. This document is not to be a complete history of the project but should only document those areas out of the ordinary that require process improvements. as well as the primary responsible team member for ensuring the closure of each issue within the operating norms of the project schedule.Applicants who do not hold an existing production approval for the type of product that is being approved under this PSCP must also demonstrate. A specific issue resolution process example is shown in the PSP. concerns and problems with open issues and seek early resolution of any items not proceeding according to the agreed PSCP. at a minimum. This summary. The PMs will identify to their management and other appropriate team members. PROJECT ISSUE PLANNING The applicant and FAA PMs will jointly maintain a project issues tracking list. The summary should capture only unique data. and both the applicant and the FAA perspectives. policy. CONTINUOUS IMPROVEMENT 1. as defined in a PSP. and lessons learned. affect rule/policy making. should be evaluated by the team and appropriate changes to the PSP or future PSCPs should be made. regulatory. the existence of and compliance with a quality system that satisfies ALL the requirements of the applicable subparts of 14 CFR Part 21. ◊ A5-84 ◊ . When the team identifies where changes to the guide would be beneficial. or a specific process could be included here to meet any unique needs of the particular project. the plan and milestones for their resolution.

This same process will be used for feedback and continuous improvement for the avionics certification process. When the evaluation identifies the need for corrective actions or improvements. Phase Evaluation Checklist The Phase Evaluation Checklist (Appendix VII of this guide) is a tool that can be used for project management as the project moves through the five phases. The team evaluates project lessons learned and recommends guide changes for continuous improvement. it should be included as a part of the Compliance Summary Document for future reference. To facilitate continuous improvement. AIR-100. For long duration projects. any necessary corrective actions should be implemented by the team and the Phase Evaluation Checklist should be maintained in the FAA and applicant’s official project file for future national or local program evaluation. an FAA/AIA/GAMA Product Certification Continuous Improvement Steering Committee reviews all project evaluation feedback on current projects. The applicant/FAA team should continuously evaluate the project for immediate process improvement. for FAA and industry review of the CPI process. The FAA and the applicant PMs should jointly prepare a Phase Evaluation Checklist at the beginning of a project. A copy of the form should also be sent to the FAA’s Aircraft Engineering Division. During initial CPI implementation. the form should be completed at the end. the PMs should complete the “Deliverables” portion of the form at the end of each phase. ◊ A5-85 ◊ .2. The PMs are encouraged to include the completion of the Phase Evaluation Checklists as milestones when preparing their PSCP schedule. For projects with a short completion time.

Include Names and date) Applicant Certification Manager Applicant Project Manager Applicant Project Quality Manager FAA ACO Manager FAA Project Manager FAA MIDO Manager(s) FAA Aircraft Engineering Avionics Systems Manager FAA Principal Inspector FAA AEG Inspector(s) ◊ A5-86 ◊ . Agreed by: (This is a representative sample of possible signatories and could include others deemed appropriate to provide necessary commitments and accountability.SIGNATORIES The FAA and the applicant agree to the provisions of this PSCP as indicated by the signature of their duly authorized representatives.

This aid is intentionally not a “boilerplate. it captures the meaning and intent of this guide. The PSCP should include elements that were not addressed in detail in the PSP and it should incorporate by reference appropriate procedures. as written. it is essential that the PSCP addresses the same key content areas of this aid ensuring that. or other elements pertinent to the project. agreements. However.” but allows the freedom to innovate and meet the special project needs of the applicant and the FAA.APPENDIX VI PROJECT SPECIFIC CERTIFICATION PLAN For Installation or Avionics Approval Through the Supplemental Type Certification Process between the FEDERAL AVIATION ADMINISTRATION and APPLICANT (Specify Name) for (List specific product here) The material contained herein is an aid for preparing the Project Specific Certification Plan (PSCP) for installation of avionics approved through the Technical Standard Order (TSO) process or items in which a TSO does not exist. ◊ A6-87 ◊ .

System Description 3. Project Schedule 4. Certification Basis and Means of compliance c. Phase Evaluation Checklist SIGNATORIES ◊ A6-88 ◊ . Human Factors e. Communication b. Project Description 2. Compliance Documentation PRODUCTION CERTIFICATION POST CERTIFICATION REQUIREMENTS 1. System Safety Assessment b.TABLE OF CONTENTS PURPOSE EFFECTIVITY PRODUCT APPROVAL 1. Roles and Responsibilities 6. Instructions for Continued Airworthiness (ICA) 3. Compliance Summary Document 2. Continued Airworthiness Management CONTINUOUS IMPROVEMENT 1. Envisioned Enhancements) Safety 5. Testing Plan a. Communication and Responsibilities a. Certification Approach a. Delegation 7. General Flight Test/Human Factors Evaluations Environmental Testing Conformity 8. d. c. Other (Operational Concept. Equipment Compatibility. Software d. b. General 2.

the TSOA will be covered by a stand-alone PSCP. It is intended that all team members facilitate review and approval of the necessary design and production data and related compliance documents in a timely manner with the objective of bettering the PSCP wherever possible. The applicant is (specify applicants name). The PSCP is a living document. However there are certain situations where a PSP is not warranted. To implement successfully the PSCP procedures. an amended Plan is drafted. the PSCP will be managed and maintained jointly by the FAA and the applicant’s Project Managers. and efficient business practices between the FAA and the applicant during approval of the product. teamwork. (Only use the following sentence if a PSP has not been developed:) There is no current PSP with (specify applicant). or both. This PSCP will provide the foundation from which to build mutual trust.PURPOSE The purpose of this Project Specific Certification Plan (PSCP) is to define and document a product approval plan between the Aircraft Certification Service of the Federal Aviation Administration (FAA) and the applicant. The FAA team members will recognize and utilize the knowledge of the FAA designees to the greatest extent possible and keep the applicant’s team members abreast of certification issues that may arise. In these situations. This means that if both the FAA and the applicant agree that modification to the Plan is needed. the appropriate Standards Office (Directorate or Aircraft ◊ A6-89 ◊ . but specific sections have to be added in this PSCP that include the CPI principles contained in a stand-alone PSP. It is the mutual goal of all team members to meet or exceed the expectations of this agreement. It is understood that this PSCP will be executed in accordance with the PSP. it is understood that both the applicant and FAA team members work in accordance with the established guidelines. those applicable sections for a PSP must be incorporated into this PSCP. for the applicant’s (specify LRU or system) under standardized procedures. If a TSOA is being worked as a parallel project. The Plan will be developed to the greatest extent possible as soon as the FAA and the applicant agree that the certification project is a viable one for which resources can be planned and committed for its completion. it should be stated as follows: As a parallel certification project. The PSCP schedule will be within specified ranges agreed to in the norms of the PSP and additional milestones will be considered by the FAA and the applicant as firm commitments unless they agree to a change. As the project progresses. it is understood that a cooperative working relationship is required for these procedures to be effective. The plan should expedite the issuance of a Supplemental Type Certificate (STC) for the fabrication or installation. In the establishment of this PSCP. EFFECTIVITY This PSCP shall become effective upon approval by the Managers of the (specify name of ACO) Aircraft Certification Office.

the (specify name of MIDO) Manufacturing Inspection District Office. but not limited to. sensors.Engineering Division). A description of the installation of the product should also be contained in this section. This section should also include a brief description of the type of approval requested and a brief discussion of the equipment's intended function. All issue papers. This would include identifying in the schedule all appropriate deliverables for the project such as. and maintenance aspects as well as foreign authority validation requirements should be planned for and considered. should be included. interior arrangement. (Being in an appendix will facilitate schedule changes without having to revise the PSCP. those shown below: ◊ A6-90 ◊ . electrical components. if applicable. Design. these milestones need to be established in accordance with the operating norms identified in the PSP. Project Description This section should contain a brief description of the project. Any change in the services furnished or other provisions of this PSCP will be formalized by an appropriate written amendment signed by effected parties. Every effort must be made to establish realistic schedules considering both the FAA and the applicant’s total workloads and other resource commitments. annunciator lights. which will outline the nature of the change. operational. should also be included with a resolution plan and prioritization of the issues to be resolved. A brief summary of the product as it relates to existing flight deck displays. This PSCP will continue in effect throughout all Phases of the product approval unless it is superseded. Project Schedule A detailed project schedule should be provided as an appendix to the PSCP and it should identify all major milestones. revised. control panels. added sensors.) If required. switches. This system description should provide enough detail about the avionics system such that the certification team can evaluate the PSCP to determine if all the issues are addressed in the PSCP. 3. production. This PSCP may be amended by mutual agreement or terminated by either the applicant or the FAA. 2. S YSTEM D ESCRIPTION This section should contain a comprehensive system description. the (specify name of AEG) Aircraft Evaluation Group. and the applicant’s Certification or Airworthiness Manager. The schedule should adhere to the Phases and process flow identified in The FAA and Industry Guide to Product Certification. and so forth. other interfaces. or terminated with written notice by either the applicant or the FAA. Any unique design issues should be detailed in this section. PRODUCT APPROVAL 1. including appropriate project management reviews and any required scheduled deliverables such as those listed below.

and equivalent safety findings. c.) Statement of Conformance and Conformity Inspections Supplemental Type Certificate Issued Quality Control Procedures and documentation Production approvals PMA Issued Phase Evaluation Checklist 4. Human Factors ◊ A6-91 ◊ . Design Approval. and reference as to how the specific approval was granted (STC. Software A brief discussion of the software certification approach should be outlined in the PSCP. System Safety Assessment The criticality of the avionics system should be identified. etc.) should be referenced.Deliverables: Familiarization and technical meeting(s) minutes STC Application Project Acknowledgment Certification Project Notification (CPN) Draft and final PSCP Compliance data submittals (e. The generic STC aircraft model list should be identified in this section. The certification matrix should also identify the type of documentation that will be used to show compliance. When identifying those approvals. letter reference number. A certification matrix should be included that identifies the applicable regulations. A system safety assessment should be performed that establishes the hazards associated with the proposed installation. This discussion should address software criticality. analyses.g. and the procedures or methods that will be used to comply with the regulations. the classification of the failure condition(s) should be stated. if any. test plans/reports. If the applicant chooses to use the generic STC process for installation of the avionics system.) should also be addressed and the approach used to certify the software. Based on the System Safety Assessment (SSA). etc. exemptions. Any testing or analyses applicable to the project that has been previously approved by the FAA should be identified in this section. d. It also includes the need for special conditions. Windows NTTM.. ACs. current policies. Certification Approach The certification approach should be outlined in the PSCP. the approval date. Certification Basis and Means of Compliance The Certification Basis identifies the applicable standards to which the applicant must show compliance. the approach should be outlined in this section. b. Any unique design features (Commercial Off the Shelf (COTS). TSOA. a.

This outline may be brief or extensive. For new types of avionics or applications. Envisioned Safety Enhancements) It may be useful in developing the certification approach to provide a brief discussion of some of the above topics. suppliers. 5. e. refer to GAMA Publication 10. Other (Operational Concept. but they need to ensure the PMs are informed. the human factors plan should be comprehensive. where appropriate. b. and so forth. Please note that your program may require team members with different roles and responsibilities than those listed in the sample shown in Table 1.A human factors plan should be outlined in the PSCP. Roles and Responsibilities This section describes the roles and responsibilities of the applicant and FAA team members. depending on the complexity of the equipment. other Civil Aviation Authorities. Table 1is a sample of the typical table to show the FAA and applicant team members and their roles and responsibilities. Communication and Responsibilities a. The FAA and the applicant establish the appropriate communication and coordination paths by identifying the respective team members. For guidance on developing a human factors plan. Team members typically will communicate with the PMs via email and telephone. For well-established types of avionics systems. ◊ A6-92 ◊ . This does not preclude any team member from communicating with any other member. The FAA and the applicant’s PMs must be kept informed of all critical communications. addressing these additional topics would not be necessary. Recommended Practices and Guidelines for Part 23 Cockpit/Flight Deck Design. Communication This section describes the communication responsibilities of the FAA and the applicant’s certification teams and. These discussions should provide enough detail to support the certification approach. co-producers. Critical links should be defined to ensure that roles and responsibilities are clear to define accountable team members responsible for deliverables and to facilitate conflict resolution. Equipment Compatibility.

review display for symbology and human factors.Table 1: FAA/ Applicant PSCP Team Members FAA Team Member Name Phone Number FAX Number Email address Applicant Team Member Name Phone Number FAX Number Email address Roles and Responsibilities Installation Program Manager – FAA/applicant team leader. ensure standardization related to Nav. issue request for conformity inspections. MOPS. ◊ A6-93 ◊ . policy and interpretation with MOPS and TSO technical performance standards related to Human Factors FAA Aircraft Evaluation Group – Maintenance: review and determine adequacy of maintenance documents including Instructions for Continued Airworthiness FAA Aircraft Evaluation Group – Operations: review and determine adequacy of system operational issues and documents including Users Manual FAA CSTAs. coordination with software DER and Installation PM Project flight test pilot: develop flight test plan as required. and as needed: Provide technical guidance N/A N/A N/A N/A N/A N/A Each member of the certification team should be listed. PSCP focal point TSO Program Manager: provide assistance to Installation PM Systems and Equipment Engineer: review test plans. as appropriate. – FAA AIR-130: focal point regarding policy and interpretation with Nav. review of the users manual. delegation approval Project Engineer – Software Aspects: engineering review and approval of all software documents. data. flight test expert to the Installation PM Principal Inspector related to Software Quality Assurance Principal Inspector related to Manufacturing/Production Quality Assurance FAA Directorate Project Officer: 14 CFR Part 23/25/27/29 policy and guidance Project Nav. issues Project Human Factors – FAA AIR-130: focal point related to Human Factors.

FAA certification credit will not be granted for development tests unless arrangements are made and agreed upon prior to testing. it is necessary to have all stakeholders agree on the procedures and degree of delegation and oversight to be used in the project. Delegation should be used wherever possible. production. Both the FAA and the applicant agree to foster an environment where open communication between the designees and company management and between the designees and their FAA counterparts is standard practice. It is understood that the FAA’s objective is to find compliance and conformity with the regulations and not to dictate design. or limitations are placed upon that delegation. and flight test pilot designees’ requirements should be identified and agreed to in this section. Delegation should be applied to the maximum extent practicable with appropriate safeguards and oversight as defined in Appendix VIII. and other authorities. as appropriate. and conduct of FAA required testing. preparation. Aviation Safety Inspectors. The applicant’s product development tests do not require FAA involvement. The FAA and the applicant agree to manage all designee activity within the regulations and policy regarding designee appointment. 7. To facilitate certification. the FAA's delegation management process policy. Who will witness which tests should be planned for and documented in advance in the delegation section of the PSCP and the compliance checklist. stipulations. if any.6. T ESTING P LAN a. FAA personnel will witness all ground and flight tests intended for certification credit that are not specifically delegated to designees prior to testing. This is particularly important for critical parts and components or when new technology. General This section should contain the requirements for the planning. Delegation The oversight and documentation requirements of engineers. and this PSCP. This should also include reliance on existing delegation authorization agreements or working procedures generated between the FAA. they will meet the project schedule as agreed upon to the greatest ◊ A6-94 ◊ . When the FAA does witness. the applicant. new materials or new processes are involved. that should already be specified in the PSP. and continued airworthiness processes. Because of the close integration of the design. However. flight test pilots. which should necessitate a greater depth of review and conformity inspection. The applicant agrees to create a working environment where designees can make compliance and conformity findings free from undue pressure and with the support and knowledge of the FAA. and oversight. and Aviation Safety Inspectors with sufficient leadtime to ensure all aspects necessary for the desired FAA credit toward certification are achieved. coordination. These pretest arrangements must be coordinated with appropriate FAA engineers. the FAA designee system will be utilized to the greatest extent possible. The PSCP should be specific as to what aspects of the project are delegated and what. procedures.

Flight tests are conducted in accordance with the requirements of the Type Inspection Authorization (TIA). and changes should be negotiated with affected team members. The test requirements. indicating the results of the Conformity Inspection. It is important to ensure close pre-flight test coordination with the FAA. of the test setup. and identify operating limitations.. The following items are required prior to testing: Drawings and specifications that sufficiently describe the design and production of the test article. d. etc. Environmental Testing Environmental tests should be specified in the PSCP. and the flight test pilots. Specify use of delegation. high-quality documentation. or both. and FAA Form 8100-1. The applicant should keep the FAA informed of test schedules. in accordance with FAA policy. Ensure timely. c. including disposition of deviations by FAA engineering or their designee if so delegated. including either a description or drawing. if so delegated. and to be documented in each test plan or in a generic calibration procedures document as appropriate. should be specified. Ensure aircraft conformity. Conformity Report. The PSCP will provide the clarity to: Conduct conformity inspections early in the project. instrumentation. The applicant’s completed inspections and Statement of Conformity. b. airworthiness certification.) When specifically delegated as identified in the delegation section of the PSCP.extent possible. Coordinate within the FAA for concurrent Product Certification and AEG flight testing. FAA Form 8130-9. Flight Test/Human Factors Evaluations This section should contain any unique requirements for the planning. Detail scheduling. including FAA discipline managers. and conduct of FAA required flight testing. The TIA also authorizes conformity and airworthiness inspections and flight tests to determine compliance with the certification requirements. calibration requirements. and disposition conformity deviations. preparation. Conformity ◊ A6-95 ◊ . where needed. All instrumentation that is required for an FAA certification test will require calibration criteria to be agreed upon with the accountable FAA engineering team members or their designee. FAA approved test plan. Conformity Request. Aviation Safety Inspectors. FAA Form 8120-10. (A copy must be available for the official test witnessing. Consider flight test risk management in conjunction with the entire team. as they are identified in RTCA DO-160. designees can submit fully approved test plans with FAA Form 8110-3 and FAA Form 8120-10 requests for conformity inspection. Complete pertinent applicant flight tests and report results prior to FAA flight test.

Data submitted without an FAA Form 8110-3 will require FAA engineering review and approval. §§ 21. drawings. The FAA and the applicant will agree and document the amount of time needed for review. The applicant. which will be delegated to designees.53. including manufacturing specifications. This would include. conducts the inspections. and FAA Aviation Safety Inspector. along with their respective designees. Identify who issues the requests. This should be taken into account when developing the project schedule. test plans. It should account for all data (not just drawings) pertinent to defining the type design. or technology involved. and to conducting the showings of compliance required for FAA certification. Provide for the completion of inspection. will agree upon and document a plan by which the designees from all disciplines can work directly together to perform conformity. this may be up to four (4) weeks for designee recommended approval data. as far in advance as possible. and dispositioning of deviations or changes before tests are conducted. as appropriate. Typically. A system should be established to: Maintain custody of conformed articles destined for an official FAA test. and approval or acceptance of the data. The PSCP should identify what data will be submitted and by whom. These inspections will be performed in response to FAA Form 8120-10 (request for conformity) issued by the FAA or their designees. but is not limited to. and dispositions the deviations. Some factors affecting this would be the criticality of the part/component. Compliance Documentation This section should describe the procedures for submittal and processing of compliance documentation. due to size or ◊ A6-96 ◊ . This should be consistent with the delegation section of the PSCP. It should state which conformity inspections will be conducted. Conformity inspections will be performed by FAA Aviation Safety Inspectors or their designees. The applicant will submit one copy of the data with each FAA Form 8110-3 (original and copy). documentation. which Statements of Conformity it will accept without verification and which will require FAA conformity inspections. FAA engineer. damage tolerance). test setup schematics.14 CFR Part 21. Some submittals. test reports. or whether there is an existing quality control or inspection system that has demonstrated its ability to adequately ensure conformity. material or process specifications. test instrumentation. Ensure requests are not duplicated and that the timely and efficient conduct of conformities and dispositioning of deviations occur. or all of these. and how deviations will be dispositioned. safety. 8. analyses (for example. whether there is either new material. Notify FAA Aviation Safety Inspector of any changes to ground/flight test articles after conformity inspection has been completed. a new process. This section of the PSCP should describe what conformities will be needed.33 and 21. which may add to the processing time. disposition. require the applicant to make all inspections necessary to establish the conformity of the product being presented to the Administrator for certification and to submit a Statement of Conformity to the FAA on FAA Form 8130-9. stress. The FAA will then determine. Provide for timely conduct of conformity inspection at non-US suppliers. manuals. and the FAA’s and the applicant’s roles in the conformity inspection process for the project.

the existence of and compliance with a quality system that satisfies ALL the requirements of the applicable subparts of 14 CFR Part 21. new technologies or new applications of existing technology. POST CERTIFICATION REQUIREMENTS 1. FAA undue burden assessment of either non-US suppliers or co-producers or both Instructions for assembly and test of the final product to ensure conformance Coordination with engineering on production Material Review Board requirements and integrating engineering and production Certificate Management activities Controls to be placed on production as a result of design Airworthiness Limitations or the criticality of parts and components Configuration control requirements Any other reviews necessary to ensure that a conforming product will be produced under the FAA approved quality inspection system Applicants who do not hold an existing production approval for the type of product that is being certificated under this PSCP must demonstrate. Production approval is granted after the applicant has demonstrated. new processes. Data submittals that are designee approved are reviewed only for designee oversight purposes. co-production agreements. Hence. issues to be considered should include the following: Approval of new materials.complexity. to the satisfaction of the FAA. and the FAA has verified. communication and pre-planning for data submittal and consideration of the level of delegation between designees and the FAA is essential and encouraged to ensure timely efficient data approval. The goal is to have concurrent design and production approval issuance. The primary focal points for the production approval process are the FAA Principal Aviation Safety Inspector and the applicant’s Project Quality Manager. new suppliers. etc. may require more time. that the applicant has developed and is capable of maintaining a quality assurance system. whereas data that is recommended for approval must be reviewed for those aspects that the designee could not or did not evaluate. Some examples include Instructions for Continued Airworthiness and safety analyses. For existing Production Approval Holders (PAH) who will be adding a new product to an existing approved production system. This system will ensure that only products and parts conforming to the design data are released for commercial service use. PRODUCTION CERTIFICATION This section of the PSCP should outline production quality project issues and tell how they will be managed to permit early approval of the production system. Compliance Summary Document ◊ A6-97 ◊ . The timing and process for such submittals should be agreed upon between the FAA and the applicant and documented in the PSCP.

any necessary corrective actions should be implemented by the team and the Phase Evaluation Checklist should be maintained in the FAA and applicant’s official project file for future national or local program evaluation. it should be included as a part of the Compliance Summary Document for future reference. 2. self-disclosure and the requirements for implementing corrective actions in both the type design and production systems. and so forth. policy. and appropriate changes to the PSP or future PSCPs should be made. This will be consistent with the 14 CFR and FAA policy on certificate management. or technical).The applicant and FAA PMs will prepare a summary at the end of each certification project to capture and retain the corporate knowledge learned during the project. CONTINUOUS IMPROVEMENT 1. For projects with a short completion time. precedent issues (for example. in order to provide continuous improvement of the FAA and the applicant's working relationship. the PMs should complete the “Deliverables” portion of the form at the end of each phase. The FAA and the applicant PMs should jointly prepare a Phase Evaluation Checklist at the beginning of a project. and both the applicant and FAA perspectives. When the team identifies where changes to the guide would be beneficial. the form should be completed at the end. General In this section. Phase Evaluation Checklist The Phase Evaluation Checklist (Appendix VII of this guide) is a tool that can be used for project management as the project moves through the five phases. The PMs are encouraged to include the completion of the Phase Evaluation Checklists as milestones when preparing their PSCP schedule. To facilitate continuous improvement. feedback. and lessons learned. reporting. plus the phase evaluation checklists. Continued Airworthiness Management The details of how the FAA and the applicant will handle continued airworthiness issues will be agreed upon and documented. 3. 2. For long duration projects. a statement should be made that the continuous improvement processes detailed in the PSP will be followed. When the evaluation identifies the need for corrective actions or improvements. The team should evaluate this summary. The applicant/FAA team should continuously evaluate the project for immediate process improvement. Instructions for Continued Airworthiness (ICA) The process used to ensure Continued Airworthiness should be outlined in this section. those should be referred to AIR-100 for consideration. ◊ A6-98 ◊ . The summary should capture only unique data. regulatory. This document is not to be a complete history of the project but should only document those areas out of the ordinary that require process improvements. affect rule/policy making.

SIGNATORIES The FAA and the applicant agree to the provisions of this PSCP as indicated by the signature of their duly authorized representatives. an FAA/AIA/GAMA Product Certification Continuous Improvement Steering Committee reviews all project evaluation feedback on current projects. for FAA and industry review of the CPI process. Agreed by: (This is a representative sample of possible signatories and could include others deemed appropriate to provide necessary commitments and accountability.During initial CPI implementation. A copy of the form should also be sent to the FAA’s Aircraft Engineering Division. AIR-100. This same process will be used for feedback and continuous improvement for the avionics certification process. Include Names and date) Applicant Certification Manager Applicant Project Manager Applicant Project Quality Manager FAA Designee(s) FAA Standards Staff Manager FAA AEG Inspector(s) FAA ACO Manager FAA Project Manager FAA MIDO Manager(s) FAA Principal Inspector FAA Standards Staff Project Officer ◊ A6-99 ◊ . The team evaluates project lessons learned and recommends guide changes for continuous improvement.

These forms should be continuously evaluated by the Applicant/FAA team for immediate process improvement. ◊ A7-100 ◊ . The FAA and Applicant Project Managers (PMs) should jointly prepare a Phase Evaluation Checklist at the close of each Phase of a Product Certification. To facilitate continuous improvement. the Phase Evaluation Checklists should be maintained in the official project file and included as a part of the Compliance Summary Document for future national or local program evaluation.APPENDIX VII Phase Evaluation Checklists The Phase Evaluation Checklists are a tool used for project evaluation during the appropriate Phases. a FAA/AIA/GAMA Product Certification Continuous Improvement Steering Committee reviewed the Phase Evaluation Checklist feedback from certain initial projects and recommended Guide changes for continuous improvement. The PMs are encouraged to include the completion of the Phase Evaluation Checklists as milestones when preparing their PSCP schedule. During initial implementation of this Guide.

initial safety assessments. explain action needed. coproduction or foreign supplier arrangements requiring undue burden assessments. Why? n/a 2 Were the milestones periodically validated and mutually readjusted by the PSCP signatories throughout the program as needed? n/a 3 Were the final milestones met? n/a 4 Was the delegation plan followed? n/a What worked well? n/a What didn’t work well? x 5 Was the Issue Resolution Process established/applied as needed? x What worked well? x What didn’t work well? x 6 Changes required for next Phase? x If yes. milestones. etc. technology or processes. potential special conditions. and action item assignments Preliminary certification basis considering the intended means of compliance.PHASE EVALUATION CHECKLIST PHASE I: CONCEPTUAL DESIGN Project Name: _________________________________________ FAA Project Number: _________________ Project Managers: Names: Applicant: _____________ FAA: _______________ Company: _____________ Office: _______________ Were the following Deliverables completed? (check where applicable): Meeting minutes and correspondence to document decisions. ◊ A7-101 ◊ . exemptions or equivalent safety findings. agreements. as appropriate Identify core team for commitment to developing the preliminary PSP elements to ensure continuity Answer the following questions appropriate to this Phase (attach separate sheets as needed): Ph1 Questions n/a 1 Were the PSCP milestones based on the norms? n/a If not within the norms. and relevant policy material and begin formulation of PSCP Definition and plan for resolution of critical issues such as new designs. schedules.

and action item assignments Preliminary PSCP including project milestones and related events such as program status reviews (See Appendix II) Agreement of TC Certification Basis plan and definition of project issues such as means of compliance including special conditions. explain action needed. Why? 2 Were the milestones periodically validated and mutually readjusted by the PSCP x signatories throughout the program as needed? x 3 Were the final milestones met? n/a 4 Was the delegation plan followed? n/a What worked well? n/a What didn’t work well? x 5 Was the Issue Resolution Process established/applied as needed? x What worked well? x What didn’t work well? x 6 Changes required for next Phase? x If yes. agreements. ◊ A7-102 ◊ .PHASE EVALUATION CHECKLIST PHASE II: REQUIREMENTS DEFINITION Project Name: ________________________________________ FAA Project Number: _________________ Project Managers: Names: Applicant: _____________ FAA: _______________ Company: _____________ Office: _______________ Were the following Deliverables completed? (check where applicable): Submission of Application. FAA Form 8110-12 (FAA Order 8110.4) Acknowledgment of Application Certification Project Notification (FAA Order 8110. schedules. milestones. equivalent safety findings. etc. Answer the following questions appropriate to this Phase (attach separate sheets as needed): Ph2 Questions x 1 Were the PSCP milestones based on the norms? x If not within the norms. exemptions.4) and Establishment of Project Establishment of FAA and Applicant Certification Team Meeting minutes and correspondence to document decisions.

or systems. AEG evaluations. Why? 2 Were the milestones periodically validated and mutually readjusted by the PSCP x signatories throughout the program as needed? x 3 Were the final milestones met? N/a 4 Was the delegation plan followed? N/a What worked well? N/a What didn’t work well? x 5 Was the Issue Resolution Process established/applied as needed? x What worked well? x What didn’t work well? x 6 Changes required for next Phase? x If yes. critical issues resolution plan. and action item assignments Signed PSCP (See Appendix II in this Guide) Project schedule with established FAA/Applicant milestones for completion of analyses. explain action needed. flight test. Delegations defined with oversight criteria Resource Requirements Conformity Procedures Project evaluation measures Answer the following questions appropriate to this Phase (attach separate sheets as needed): Ph3 Questions x 1 Were the PSCP milestones based on the norms? x If not within the norms. test plan submission.PHASE EVALUATION CHECKLIST PHASE III: COMPLIANCE PLANNING Project Name: ______________________________________ FAA Project Number: _________________ Project Managers: Names: Applicant: _____________ FAA: _______________ Company: _____________ Office: _______________ Were the following Deliverables completed? (check where applicable): Meeting minutes and correspondence to document decisions. propellers. and other items affecting the completion of the project Agreed Type Certification Basis Compliance Checklist Completion of Stage 1 on all issue papers Identification of stakeholders. conformities. schedules. milestones. including suppliers. etc. agreements. ◊ A7-103 ◊ . TIA. installers in the case of engines.

and compliance documentation Issue Papers. conformities. test plan submission. ◊ A7-104 ◊ . Exemptions. conformity requests. agreements. Why? 2 Were the milestones periodically validated and mutually readjusted by the PSCP x signatories throughout the program as needed? x 3 Were the final milestones met? x 4 Was the delegation plan followed? x What worked well? x What didn’t work well? x 5 Was the Issue Resolution Process established/applied as needed? x What worked well? x What didn’t work well? x 6 Changes required for next Phase? x If yes. Special Conditions. and action item assignments Meet milestones for completion of analyses. flight test. Equivalent Safety Findings Compliance and conformance findings Type Design and Production approval issuance Answer the following questions appropriate to this Phase (attach separate sheets as needed): Ph4 Questions x 1 Were the PSCP milestones based on the norms? x If not within the norms.PHASE EVALUATION CHECKLIST PHASE IV: IMPLEMENTATION Project Name: _____________________________________ FAA Project Number: _________________ Project Managers: Names: Applicant: _____________ FAA: _______________ Company: _____________ Office: _______________ Were the following Deliverables completed? (check where applicable): Meeting minutes and correspondence to document decisions. explain action needed. AEG evaluations. and other items affecting the completion of the project Completed test plans/reports. TIA. inspections. critical issues resolution plan.

schedules. milestones. Why? 2 Were the milestones periodically validated and mutually readjusted by the PSCP x signatories throughout the program as needed? x 3 Were the final milestones met? x 4 Was the delegation plan followed? x What worked well? x What didn’t work well? x 5 Was the Issue Resolution Process established/applied as needed? x What worked well? x What didn’t work well? x 6 Changes required for next Phase? x If yes.PHASE EVALUATION CHECKLIST PHASE V: POST CERTIFICATION Project Name: ___________________________________________ FAA Project Number: _________________ Project Managers: Names: Applicant: _____________ FAA: _______________ Company: _____________ Office: _______________ Were the following Deliverables completed? (check where applicable): Meeting minutes and correspondence to document decisions. and action item assignments Compliance Summary Document Type Inspection Report Instructions for Continued Airworthiness Continued Airworthiness Management Plan Answer the following questions appropriate to this Phase (attach separate sheets as needed): Ph5 Questions x 1 Were the PSCP milestones based on the norms? x If not within the norms. agreements. explain action needed. ◊ A7-105 ◊ .

dated January 25. By developing the partnership for safety plan and through the use of project specific certification plans the FAA can document delegation decisions that clearly define the responsibilities of the applicant and their designees. It is also possible that FAA ◊ A8-106 ◊ . project management. which will allow delegation to be used to the maximum extent practicable. Additional factors to consider in determining the areas of direct FAA involvement include the FAA's confidence in the applicant. and trust in the applicant's designees. the applicant's internal processes. Each finding in the certification basis should be evaluated for delegation. the FAA employees should be directly involved. Introduction The FAA and Industry Guide to Product Certification (CPI Guide). These project management decisions should be made using criteria based in the value of direct FAA employee involvement. This will permit the maximum use of delegation. However. FAA project managers must involve project team members and use their experience to identify critical issues. 1999. Project Planning Goals The tools of CPI are the building blocks that allow the FAA to maximize the use of delegation on a project. and documenting the certification process. Critical safety findings must be identified based on the safety impact or the complexity of the requirement or the method of compliance. when confidence in the designee is lacking or the designee is inexperienced. In order to apply risk management to these project decisions. FAA trust in the applicant's designees should allow the norm to be full delegation in areas that do not benefit from direct FAA involvement. and allow FAA employees to focus in critical areas. Once a finding is delegated. Making Delegation Decisions Based on Value of FAA Involvement Once the project team has determined the findings that require direct FAA involvement all others should be considered acceptable for delegation. or for the purpose of developing FAA team-member experience. and teamwork between the FAA and applicants. the applicant's experience. leadership. Delegation at this level will require the utmost in mutual trust. This guide provides a compliance checklist template that serves as a tool to assist with delegation planning. However. This addendum to the CPI Guide will address risk assessment and risk management in the project management process and define how delegation decisions should be made. any increase in direct FAA involvement in that finding should be determined based on the value of that involvement. The delegation decisions called for by the Project Specific Certification Plan should be integrated with other planning data in the project’s compliance checklist.APPENDIX VIII DELEGATION PLANNING This Appendix on Delegation Planning was developed to assist both the industry and the FAA in making better delegation decisions. then value of direct FAA involvement increases. This type of FAA involvement should be planned so that is does not adversely impact the project schedule. Keep in mind that the value of direct FAA involvement decreases when appropriate trust and designee capability exists to make the finding. describes certification process improvements based on up-front project planning. There will also be less tangible reasons for direct FAA involvement in a delegated finding including involvement that is the result of project oversight or DER oversight. When a particular decision or event is critical to the success of the project or the safety of the product.

When a delegation decision is made the plan should be updated to define the “who. the schedule and location of the finding established. how. By requiring team members to identify the specific areas that they will be involved in. For the purpose of estimating the amount of direct FAA involvement the DER managers should classify findings into the following three categories: (a) Findings that will need no further ACO review – The FAA is confident that the applicant’s designees are solely responsible for the scheduling and making of the finding. derive significant value from direct FAA involvement. what. Findings in this category require no direct FAA involvement. FAA review can vary from cursory review of the DER’s submittal to complete evaluation of the DER’s methods. and the extent of FAA involvement specified as ◊ A8-107 ◊ . Each required finding in the certification basis should be evaluated for delegation eligibility. the FAA is responsible for making these findings. when deficiencies are identified in other findings. the method of compliance specified and agreed to. The FAA will have discretion to identify what to review and the amount of review necessary. These findings should be related to key areas reserved for the FAA. External Coordination Tools: A Delegation Plan should be an integral part of each Project Specific Certification Plan’s compliance checklist. when. Findings in this category result in a commitment of ACO resources to support the agreed-to-project schedule. NOTE: Although the applicant needs to be informed of which findings are reserved for the FAA. for example. the review/non-review of delegated findings is a matter of internal ACO resource planning. For each delegated finding the designees should be defined by name. (c) Findings that will require FAA involvement – Although the applicant’s designees may be involved by recommending approval of data. the project manager will be able to better manage the direct FAA resources and commitment to the project schedule. or result in unacceptable risk if the ACO is not involved. Findings in this category require judicious use of the available FAA resources in order to effectively manage the project and DERs. and should not be communicated to the applicant or designees. The FAA will accept the finding without additional involvement or impact to the project schedule. and where” of each delegated finding. Deficiencies identified during review should be addressed with the DER or applicant as appropriate. Internal FAA Oversight Considerations FAA DER managers should plan for levels of individual designee oversight they will perform based on the value of the their review and the risk of not reviewing the delegated finding.involvement will need to be increased if unsatisfactory DER performance is experienced previously in the project. Items planned to be accepted without review may change status and require review due to applicanthttps://www.scribd.com/designee performance during the project. (b) Findings that will benefit from ACO review – Although the applicant’s designees will be delegated to make these findings the FAA may review the findings for the purpose of project oversight or DER oversight.

Risk management must be applied in the project planning stages to determine where FAA involvement has the most value. or if the FAA observes designee performance problems.described in the categories above. and schedules. The FAA project team must then commit to delegation decisions and schedules and allow the applicant’s designees to perform their responsibilities on behalf of the FAA. the previously agreed-to delegation decisions are subject to review and change by the FAA. However. An example of the template is shown below: Regulation Section Amdt. The Compliance Checklist Template may be tailored to each individual project but should as a minimum include: The regulatory requirement. The goal of the FAA when working with CPI partners should be to achieve a level of trust that allows for project management and delegation decisions to be made early in the project planning stages. It will be based on Risk Management techniques being developed to meet the AIR Strategic Plan. by name and number.1309(a) 46 41 25. and The designee authorized to make the finding. decisions. ◊ A8-108 ◊ .789(a) 25. As these details are established and agreed to. if the applicant causes changes in agreed to details such as schedule slippage or substitution of designees. The Criticality column will be used in the future to capture the relative value of FAA involvement or risk of not being involved. The expectation that follows is that the FAA and the applicant will then adhere to their commitments. the project team should commit to the schedule and level of involvement. The schedule and location of the finding. The level of delegation and of FAA review.301(a) 23 25. MOC Criticality (scale 1-5) DER Approve DER Recommend FAA Approve DER Name/number x Fred Evans DERY123456NM Projected Date of finding Test Location 25. This will allow increased confidence in the project schedule. A summary of the method of compliance. Any increase in FAA involvement should be based on applicant performance or reevaluation of the risk of the FAA not being involved.1329(a) 46 Analysis using computer loads model B700 Inspection of aircraft installation Review of hazard functional hazard analysis Flight Test 2 2/22/02 N/A 3 4 x x Mary Anderson DERY123457NM Jess Meyer DERY123458NM 5/22/02 3/22/02 N/A N/A 5 x N/A 9/22/02 Yuma Summary Industry demand for product certification relative to the limited FAA resources available to perform such services requires more efficient project management and maximum use of delegation with appropriate oversight.

APPENDIX IX GLOSSARY AND ACRONYMS

GLOSSARY Applicant: An individual or organization seeking FAA approval of a specific aircraft component or installation. The approval may be a Technical Standard Order authorization (TSOA), Parts Manufacturer Approval (PMA) or Supplement Type Certificate (STC). Approval: The FAA issues approvals that include certifications, authorizations, and other forms of approval. Approval may be a Technical Standard Order Authorization (TSOA), Parts Manufacturer Approval (PMA), Type Certificate (TC), or Supplemental Type Certificate (STC), as applicable. The FAA may issue an approval only after determining that all applicable requirements have been met. Certification: A form of FAA approval where a certificate is issued, such as TC, STC, Production Certificate, or Airworthiness Certificate. Certification Basis: The applicable airworthiness, aircraft noise, fuel venting and exhaust requirements of 14 CFR §§ 21.17, 21.101, and 21.115, as appropriate; special conditions; and equivalent level of safety; to which the Applicant must show compliance, or not show compliance when granted an exemption. Criteria for Success: Attributes that are expected in the successful completion of each Phase. Deliverables: Items to be produced during any particular Phase of the Product Certification Process by either the FAA, Designees, or the Applicant. Designee: For the purposes of this Guide, Designee includes individual and organizational delegations. FAA Form 337: Used to record major repairs or alterations to an airframe, powerplant, propeller or appliance. The form should be completed in accordance with 14 CFR § 43.9; 14 CFR part 43, Appendix B; and Advisory Circular 43.9-1(), Instructions for Completing Form 337. First-of-Type STC: An initial Supplemental Type Certificate (major design change) issued for a particular make and model of aircraft. Follow-on STC: A Supplemental Type Certificate (STC) subsequent to the first-of-type STC, issued for a similar make and model of type certificated aircraft.
◊ A9-109 ◊

Installation Approval: Installation Approval is described in 14 CFR § 43.5 and requires the following three specific criteria to be met: 1. A maintenance record is accomplished; 2. A Major Repair and Alteration form (FAA form 337) has been properly executed; and, 3. If the alteration results in any change in the aircraft operating limitations or flight data contained in the approved Aircraft Flight Manual (AFM), then appropriate revisions will be required. Intended Function: The defined characteristic(s) that equipment must demonstrate and achieve to meet the specific requirements. Key Players: Accountable FAA, FAA Designees, and Applicant personnel required for successful completion of any particular Phase of the Product Certification Process. Operational Approval: Operational Approval is a 5-step process used by Flight Standards to authorize an operator to conduct operations using a specific aircraft and associated equipment in a specific operating environment. See FAA Order 8400.10. Partnership for Safety Plan (PSP): The high level standing Plan of how the FAA and the Applicant will work and interact together. It sets the expectations and needs of both parties for the relationship. It is not a legally binding agreement but a mutual statement of the intent of the FAA and the Applicant to hold their respective personnel accountable for building the professional working relationships and business practices upon which successful product certification projects are built. Parts Manufacturer Approval (PMA): Issued by the FAA to manufacture aircraft modification or replacement parts, that includes design approval by the Aircraft Certification Office (ACO) and a production system approval by the Manufacturing Inspection District Office (MIDO). Plan for Software Aspects of Certification (PSAC): An agreement between the applicant and the FAA describing how the applicant will satisfy the objectives of RTCA Document DO-178B, Software Considerations in Airborne Systems and Equipment Certification. Product Certification: The complete certification cycle that includes type certification (design approval), production certification (production approval), airworthiness certification (airworthiness approval) and continued airworthiness management. Project Specific Certification Plan (PSCP): A Plan that addresses the specific issues of a specific project. It sets the expectations for the project. It is not a legally binding agreement but a mutual statement the intent of the FAA and the Applicant to hold their respective personnel accountable for the success of the project.

◊ A9-110 ◊

Type or Significant Supplemental Type Certificate Project: (For the purposes of this document) Any new type certificate application. Any application for amended type certificate or new/amended supplement type certificate in which: • The design appears to require special conditions, exemptions, or equivalent safety findings or a certification basis derived from an unusual application of 14 CFR §§ 21.101(a)(2) or 21.101(b). • The design uses novel or unusual methods of construction. • The design changes the kinematics, dynamics, or configuration of either the flight control system or rotor drive system. • The design change would substantially alter the aircraft’s flight characteristics. • The design affects an area that has been the subject of a major service difficulty, accident, or airworthiness directive action. • The aircraft design changes the engine configuration from reciprocating to turbopropeller or turbojet powered. • The integrity of the basic load-bearing structure necessary for continued safe flight and landing or operation of the aircraft within approved limits is affected. • The design consists of new state-of-the-art systems of components that have not been previously certificated or for which adequate certification criteria have not been published. • The certification is likely to be controversial or highly visible. • Other significant projects or amendments as defined in FAA Order 8110.4.

ACRONYMS
ACO - Aircraft Certification Office AEA - Aircraft Electronics Association AEG - Aircraft Evaluation Group AIR - Aircraft Certification Service AFM - Aircraft Flight Manual AFS - Flight Standards Service AIA - Aerospace Industries Association CEO - Chief Executive Officer CFR - Code of Federal Regulations COTS - Commercial Off The Shelf CPI - Certification Process Improvement CPN - Certification Project Notification CSTA – Chief Scientific and Technical Advisor DER - Designated Engineering Representative EMI/RFI - Electro-Magnetic Interference/ Radio Frequency Interference FAA - Federal Aviation Administration FAR - Federal Aviation Regulations FHA - Functional Hazard Assessment

◊ A9-111 ◊

Joint Airworthiness Authorities JTSO .Minimum Operational Performance Standard MIO .Manufacturing Inspection District Office MOPS .Flight Standards District Office GAMA .Type Inspection Authorization TSO .National Airworthiness Authority PHAC .Software Accomplishment Summary SSA .Plan for Software Aspects of Certification PSCP .Technical Standard Order Authorization VP .Project Manager PSAC .Research and Development SAS .FMEA .Radio Technical Commission for Aeronautics R&D .Plan for Hardware Aspects of Certification PM .Failure Modes and Effects Analysis FSDO .Technical Standard Order TSOA .Line Replaceable Unit MIDO .System Safety Assessment STC .Vice President V&V .JAA TSO LRU .Supplemental Type Certification TCAS .Type Certification or Type Certificate TIA .Manufacturing Inspection Office NAA .General Aviation Manufacturer’s Association JAA .Verification and Validation ◊ A9-112 ◊ .Partnership for Safety Plan RTCA .Traffic Alert and Collision Avoidance System TC .Project Specific Certification Plan PSP .