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Commission Regulation (EU) No 748/2012Show full title

Commission Regulation (EU) No 748/2012 of 3 August 2012 laying down implementing rules for the airworthiness and environmental certification of aircraft and related products, parts and appliances, as well as for the certification of design and production organisations (recast) (Text with EEA relevance)

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Commission Regulation (EU) No 748/2012

of 3 August 2012

laying down implementing rules for the airworthiness and environmental certification of aircraft and related products, parts and appliances, as well as for the certification of design and production organisations

(recast)

(Text with EEA relevance)

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Regulation (EC) No 216/2008 of the European Parliament and of the Council of 20 February 2008 on common rules in the field of civil aviation and establishing a European Aviation Safety Agency, and repealing Council Directive 91/670/EEC, Regulation (EC) No 1592/2002 and Directive 2004/36/EC(1), and in particular Articles 5(5) and 6(3) thereof,

Whereas:

(1) Commission Regulation (EC) No 1702/2003 of 24 September 2003 laying down implementing rules for the airworthiness and environmental certification of aircraft and related products, parts and appliances, as well as for the certification of design and production organisations(2) has been substantially amended several times(3). Since further amendments are to be made, it should be recast in the interests of clarity.

(2) Regulation (EC) No 216/2008 establishes common essential requirements to provide for a high uniform level of civil aviation safety and environmental protection. It requires the Commission to adopt the necessary implementing rules to ensure their uniform application. It establishes the ‘European Aviation Safety Agency’ (hereinafter referred to as the ‘Agency’) to assist the Commission in the development of such implementing rules.

(3) It is necessary to lay down common technical requirements and administrative procedures to ensure the airworthiness and environmental compatibility of aeronautical products, parts and appliances, subject to Regulation (EC) No 216/2008. Such requirements and procedures should specify the conditions to issue, maintain, amend, suspend or revoke the appropriate certificates.

(4) Organisations involved in the design and production of products, parts and appliances should be required to comply with certain technical requirements in order to demonstrate their capability and means to discharge their obligations and associated privileges. The Commission is required to lay down measures to specify conditions to issue, maintain, amend, suspend or revoke certificates attesting such compliance.

(5) In laying down measures for the implementation of common essential requirements in the field of airworthiness, the Commission must take care that they reflect the state of the art and the best practices, take into account worldwide aircraft experience and scientific and technical progress and allow for immediate reaction to established causes of accidents and serious incidents.

(6) The need to ensure uniformity in the application of common airworthiness and environmental requirements for aeronautical products, parts and appliances requires that common procedures be followed by the competent authorities of the Member States and, where applicable, the Agency to assess compliance with these requirements. The Agency should develop certification specifications and guidance material to facilitate the necessary regulatory uniformity.

(7) It is necessary to recognise the continuing validity of certificates issued before the entry into force of Regulation (EC) No 1702/2003, in accordance with Article 69 of Regulation (EC) No 216/2008.

(8) In order to maintain a high uniform level of aviation safety in Europe, it is necessary to introduce changes to requirements and procedures for the certification of aircraft and related products, parts and appliances and of design and production organisations, in particular to elaborate the rules related to the demonstration of compliance with the type-certification basis and environmental protection requirements and to introduce the possibility to choose to comply with later standards for changes to type-certificates.

(9) The concept and complexity of auxiliary power units (APU) resembles that of aircraft engines and in some cases APU designs are even derived from engine designs. Changes to provisions for repairs to APU are therefore needed to restore consistency with repairs process to engines.

(10) In order to subject non-complex motor-powered aircraft, recreational aircraft and related products, parts and appliances to measures that are proportionate to their simple design and type of operation, while maintaining a high uniform level of aviation safety in Europe, it is necessary to introduce changes to requirements and procedures for the certification of those aircraft and related products, parts and appliances and of design and production organisations and in particular, for the owners of European Light Aircraft below 2 000 kg (ELA2) or below 1 200 kg (ELA1), to introduce the possibility to accept certain not safety critical parts for installation without an EASA Form 1.

(11) The Agency prepared draft implementing rules and submitted them as opinions No 01/2009 on ‘Possibility to deviate from airworthiness code in case of design changes’, No 02/2009 on ‘Repair and design changes to European Technical Standard Order’, No 01/2010 on ‘SubPart J DOA’ and Opinion No 01/2011 on ‘ELA Process and “standard changes and repairs”’ to the Commission in accordance with Article 19(1) of Regulation (EC) No 216/2008.

(12) The measures provided for in this Regulation are in accordance with the opinion of the European Aviation Safety Agency Committee established by Article 65(1) of Regulation (EC) No 216/2008,

HAS ADOPTED THIS REGULATION:

Article 1U.K.Scope and definitions

1.This Regulation lays down, in accordance with Article 5(5) and Article 6(3) of Regulation (EC) No 216/2008, common technical requirements and administrative procedures for the airworthiness and environmental certification of products, parts and appliances specifying:

(a)the issue of type-certificates, restricted type-certificates, supplemental type-certificates and changes to those certificates;

(b)the issue of certificates of airworthiness, restricted certificates of airworthiness, permits to fly and authorised release certificates;

(c)the issue of repair design approvals;

(d)the showing of compliance with environmental protection requirements;

(e)the issue of noise certificates;

(f)the identification of products, parts and appliances;

(g)the certification of certain parts and appliances;

(h)the certification of design and production organisations;

(i)the issue of airworthiness directives.

2.For the purpose of this Regulation, the following definitions shall apply:

(a)‘JAA’ means the ‘Joint Aviation Authorities’;

(b)‘JAR’ means ‘Joint Aviation Requirements’;

(c)‘Part 21’ means the requirements and procedures for the certification of aircraft and related products, parts and appliances, and of design and production organisations laid down in Annex I to this Regulation;

[F1(d) ‘Part M’ means the applicable continuing airworthiness requirements adopted in pursuance of Regulation (EC) No 216/2008;]

(e)‘principal place of business’ means the head office or registered office of the undertaking within which the principal financial functions and operational control of the activities referred to in this Regulation are exercised;

(f)‘article’ means any part and appliance to be used on civil aircraft;

(g)[F2‘UKTSO’] means [F3United Kingdom Technical Standard Order]. The [F3United Kingdom Technical Standard Order] is a detailed airworthiness specification issued by the [F4Civil Aviation Authority (the ‘CAA’)] to ensure compliance with the requirements of this Regulation as a minimum performance standard for specified articles;

[F5(gg)‘Agency’ means the European Union Aviation Safety Agency;]

(h)[F6‘UKPA’] means [F7United Kingdom] Part Approval. [F7United Kingdom] Part Approval of an article means the article has been produced in accordance with approved design data not belonging to the type-certificate holder of the related product, except for [F8UKTSO] articles;

(i)‘ELA1 aircraft’ means the following manned European Light Aircraft:

(i)

an aeroplane with a Maximum Take-off Mass (MTOM) of 1 200 kg or less that is not classified as complex motor-powered aircraft;

(ii)

a sailplane or powered sailplane of 1 200 kg MTOM or less;

(iii)

a balloon with a maximum design lifting gas or hot air volume of not more than 3 400 m3 for hot air balloons, 1 050 m3 for gas balloons, 300 m3 for tethered gas balloons;

(iv)

an airship designed for not more than 4 occupants and a maximum design lifting gas or hot air volume of not more than 3 400 m3 for hot air airships and 1 000 m3 for gas airships;

(j)‘ELA2 aircraft’ means the following manned European Light Aircraft:

(i)

an aeroplane with a Maximum Take-off Mass (MTOM) of 2 000 kg or less that is not classified as complex motor-powered aircraft;

(ii)

a sailplane or powered sailplane of 2 000 kg MTOM or less;

(iii)

a balloon;

(iv)

a hot air airship;

(v)

a gas airship complying with all of the following characteristics:

  • 3 % maximum static heaviness,

  • Non-vectored thrust (except reverse thrust),

  • Conventional and simple design of: structure, control system and ballonet system,

  • Non-power assisted controls;

(vi)

a Very Light Rotorcraft [F9;]

[F10(k) ‘Operational Suitability Data (OSD)’ means data, which are part of an aircraft type-certificate, restricted type-certificate or supplemental type-certificate, consisting of all of the following:

(i)

the minimum syllabus of pilot type rating training, including determination of type rating;

(ii)

the definition of scope of the aircraft validation source data to support the objective qualification of simulators or the provisional data to support their interim qualification;

(iii)

the minimum syllabus of maintenance certifying staff type rating training, including determination of type rating;

(iv)

determination of type or variant for cabin crew and type specific data for cabin crew;

(v)

the master minimum equipment list.]

Textual Amendments

Article 2U.K.Products, parts and appliances certification

1.Products, parts and appliances shall be issued certificates as specified in Annex I (Part 21).

2.By way of derogation from point 1, aircraft, including any installed product, part and appliance, which are not registered in [F11the United Kingdom] shall be exempted from the provisions of Subparts H and I of Annex I (Part 21). They shall also be exempted from the provisions of Subpart P of Annex I (Part 21) except when aircraft identification marks are prescribed by [F12the Secretary of State].

Textual Amendments

Article 3U.K.Continued validity of type-certificates and related certificates of airworthiness

1.With regard to products which had a type-certificate, or a document allowing the issuing of a certificate of airworthiness, issued before 28 September 2003 by a Member State [F13or the United Kingdom], the following provisions shall apply:

(a)the product shall be deemed to have a type-certificate issued in accordance with this Regulation when:

(i)

[F14its type-certification basis was:

  • the JAA type-certification basis, for products that have been certificated under JAA procedures, as defined in their JAA data sheet, or

  • for other products, the type-certification basis as defined in the type-certificate data sheet of the State of design, if that State of design was:

    • a Member State, unless the [F15CAA] determines, taking into account, in particular, certification specifications used and service experience, that such type-certification basis does not provide for a level of safety equivalent to that required by Regulation (EC) No 216/2008 and this Regulation, or

    • a State with which a Member State had concluded a bilateral airworthiness agreement or similar arrangement under which such products have been certificated on the basis of the certification specifications of that State of design, unless the [F15CAA] determines that such certification specifications or service experience or the safety system of that State of design do not provide for a level of safety equivalent to that required by Regulation (EC) No 216/2008 and this Regulation.

F16...]

(ii)

the environmental protection requirements were those laid down in Annex 16 to the Chicago Convention, as applicable to the product;

(iii)

the applicable airworthiness directives were those of the State of design;

(b)the design of an individual aircraft, which was on the register of a Member State before 28 September 2003, shall be deemed to have been approved in accordance with this Regulation when:

(i)

its basic type design was part of a type-certificate referred to in point (a);

(ii)

all changes to this basic type design, which were not under the responsibility of the type-certificate holder, had been approved; and

(iii)

the airworthiness directives issued or adopted by the Member State of registry before 28 September 2003 were complied with, including any variations to the airworthiness directives of the State of design agreed by the Member State of registry.

2.With regard to products for which a type-certification process was proceeding through the JAA or a Member State on 28 September 2003, the following shall apply:

(a)if a product is under certification by several Member States, the most advanced project shall be used as the reference;

(b)points 21.A.15(a), (b) and (c) of Annex I (Part 21) shall not apply;

[F14(c) by way of derogation from point 21.A.17A of Annex I (Part 21), the type-certification basis shall be that established by the JAA or, where applicable, the Member State at the date of application for the approval;

(d) compliance findings made under JAA or Member State procedures shall be deemed to have been made by the Agency for the purpose of complying with points 21.A.20(a) and (d) of Annex I (Part 21).]

3.With regard to products that have a national type-certificate, or equivalent, and for which the approval process of a change carried out by a Member State was not finalised at the time when the type-certificate had to be in accordance with this Regulation, the following shall apply:

(a)if an approval process is being carried out by several Member States, the most advanced project shall be used as the reference;

(b)point 21.A.93 of Annex I (Part 21) shall not apply;

(c)the applicable type-certification basis shall be that established by the JAA or, where applicable, the Member State at the date of application for the approval of change;

(d)compliance findings made under JAA or Member State procedures shall be deemed to have been made by the Agency for the purpose of complying with points 21.A.103(a)(2) and (b) of Annex I (Part 21).

4.With regard to products that had a national type-certificate, or equivalent, and for which the approval process of a major repair design carried out by a Member State was not finalised at the time when the type-certificate had to be determined in accordance with this Regulation, compliance findings made under JAA or Member State procedures shall be deemed to have been made by the Agency for the purpose of complying with point 21.A.433(a) of Annex I (Part 21).

5.A certificate of airworthiness issued by a Member State attesting conformity with a type-certificate determined in accordance with point 1 shall be deemed to comply with this Regulation.

Textual Amendments

Article 4U.K.Continued validity of supplemental type-certificates

1.With regard to supplemental type-certificates issued by a Member State [F17or the United Kingdom] under JAA procedures or applicable national procedures and with regard to changes to products proposed by persons other than the type-certificate holder of the product, which were approved by a Member State [F17or the United Kingdom] under applicable national procedures, if the supplemental type-certificate, or change, was valid on 28 September 2003, the supplemental type-certificate, or change shall be deemed to have been issued under this Regulation.

2.With regard to supplemental type-certificates for which a certification process was being carried out by a Member State on 28 September 2003 under applicable JAA supplemental type-certificate procedures and with regard to major changes to products, proposed by persons other than the type-certificate holder of the product, for which a certification process was being carried out by a Member State on 28 September 2003 under applicable national procedures, the following shall apply:

(a)if a certification process was being carried out by several Member States, the most advanced project shall be used as the reference;

(b)point 21.A.113 (a) and (b) of Annex I (Part 21) shall not apply;

(c)the applicable certification basis shall be that established by the JAA or, where applicable, the Member State at the date of application for the supplemental type-certificate or the major change approval;

(d)the compliance findings made under JAA or Member State procedures shall be deemed to have been made by the Agency for the purpose of complying with point 21.A.115(a) of Annex I (Part 21).

Textual Amendments

F18Article 5U.K. [F18Continued operation of certain aircraft registered by Member States]

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Article 6U.K.Continued validity of parts and appliances certificates

1.Approvals of parts and appliances issued by a Member State [F19or the United Kingdom] and valid on 28 September 2003 shall be deemed to have been issued in accordance with this Regulation.

2.With regard to parts and appliances for which an approval or authorisation process was being carried out by a Member State on 28 September 2003, the following shall apply:

(a)if an authorisation process was being carried out by several Member States, the most advanced project shall be used as the reference;

(b)point 21.A.603 of Annex I (Part 21) shall not apply;

(c)the applicable data requirements laid down in point 21.A.605 of Annex I (Part 21) shall be those established by the relevant Member State, at the date of application for the approval or authorisation;

(d)compliance findings made by the relevant Member State shall be deemed to have been made by the Agency for the purpose of complying with point 21.A.606(b) of Annex I (Part 21).

Textual Amendments

Article 7U.K.Permit to fly

The conditions determined before 28 March 2007 by the Member States [F20or the United Kingdom] for permits to fly or other airworthiness certificate issued for aircraft which did not hold a certificate of airworthiness or restricted certificate of airworthiness issued under this Regulation, are deemed to have been determined in accordance with this Regulation, unless the Agency has determined before 28 March 2008 that such conditions do not provide for a level of safety equivalent to that required by Regulation (EC) No 216/2008 or this Regulation.

Textual Amendments

[F21 Article 7a U.K. Operational suitability data

1 . The holder of an aircraft type-certificate issued before 17 February 2014 intending to deliver a new aircraft to an EU operator [F22or a UK operator] on or after 17 February 2014 shall obtain approval in accordance with point 21.A.21(e) of Annex I (Part 21) except for the minimum syllabus of maintenance certifying staff type rating training and except for aircraft validation source data to support the objective qualification of simulator(s). The approval shall be obtained not later than 18 December 2015 or before the aircraft is operated by an EU operator [F22or a UK operator], whichever is the latest. The operational suitability data may be limited to the model which is delivered.

2 . The applicant for an aircraft type-certificate for which the application was filed before 17 February 2014 and for which a type-certificate is not issued before 17 February 2014 shall obtain approval in accordance with point 21.A.21(e) of Annex I (Part 21) except for the minimum syllabus of maintenance certifying staff type rating training and for aircraft validation source data to support the objective qualification of simulator(s). The approval shall be obtained not later than 18 December 2015 or before the aircraft is operated by an EU operator [F23or a UK operator], whichever is the latest. Compliance findings made by the authorities in Operational Evaluation Board processes conducted under the responsibility of the JAA or the Agency before the entry into force of this Regulation shall be accepted by the [F24CAA] without further verification.

3 . Operational Evaluation Board reports and master minimum equipment lists issued in accordance with JAA procedures or by the Agency before the entry into force of this Regulation shall be deemed to constitute the operational suitability data approved in accordance with point 21.A.21(e) of Annex I (Part 21) and shall be included in the relevant type-certificate. Before 18 June 2014 the relevant type-certificate holders shall propose the Agency a division of the operational suitability data in mandatory data and non-mandatory data.

4 . Holders of a type-certificate including operational suitability data shall be required to obtain approval of an extension of the scope of their design organisation approval or procedures alternative to design organisation approval, as applicable, to include operational suitability aspects before 18 December 2015.]

Textual Amendments

Article 8U.K.Design organisations

1.An organisation responsible for the design of products, parts and appliances or for changes or repairs thereto shall demonstrate its capability in accordance with Annex I (Part 21).

2.By way of derogation from point 1, an organisation whose principal place of business is in a [F25foreign state] may demonstrate its capability by holding a certificate issued by that State for the product, part and appliance for which it applies, provided:

(a)that State is the State of design; and

(b)the [F26CAA] has determined that the system of that State includes the same independent level of checking of compliance as provided by this Regulation, either through an equivalent system of approvals of organisations or through direct involvement of the competent authority of that State.

3.Design organisation approvals issued or recognised by a Member State [F27or the United Kingdom] in accordance with the JAA requirements and procedures and valid before 28 September 2003 shall be deemed to comply with this Regulation.

4.[F28By way of derogation from points 21.B.433(d)(1) and (2) of Annex I (Part 21), a design organisation that holds a valid approval certificate issued in accordance with Annex I (Part 21) must correct any findings of non-compliance related to the implementation of the SMS requirements before 1 July 2026.

5.On or after 1 July 2026, where a design organisation has not corrected any findings of non-compliance related to the implementation of the safety management requirements, that organisation’s approval certificate must be either revoked, limited or suspended in whole or part, dependent on the severity of the non-compliance.]

Textual Amendments

Article 9U.K.Production organisations

1.An organisation responsible for the manufacture of products, parts and appliances shall demonstrate its capability in accordance with the provisions of Annex I (Part 21). [F29This demonstration of capability is not required for the parts or appliances that an organisation manufactures which, in accordance with the provisions of Annex I (Part 21), are eligible for installation in a type-certified product without the need to be accompanied by an authorised release certificate (CAA Form 1).]

[F302.By way of derogation from paragraph 1, a manufacturer may demonstrate its capability as follows:

(a)where a manufacturer’s principal place of business is in a State other than the United Kingdom, by holding a certificate issued by that State for the product, part and appliance for which it applies, provided:

(i)that State is the State of manufacture, and

(ii)the CAA has determined that the system of that State includes the same independent level of checking compliance as provided by this Regulation, either through an equivalent system of approvals of organisations or through direct involvement of the competent authority of that State; or

(b)where a manufacturer’s principal place of business is in a State other than the United Kingdom or a Member State, by holding a production organisation approval for either or both part and appliance issued by the Agency, provided:

(i)either or both the part and appliance is of a type which is incorporated into a product produced by a manufacturer in the European Union which holds a certificate issued by the Agency, or a Member State, for that product, and

(ii)the production certificate for the product is recognised under Article 21 of Annex 30 to the Trade and Cooperation Agreement of 30th December 2020 between the United Kingdom of Great Britain and Northern Ireland, of the one part, and the European Union and the European Atomic Energy Community, of the other part.]

3.Production organisation approvals issued or recognised by a Member State [F31or the United Kingdom] in accordance with the JAA requirements and procedures and valid before 28 September 2003 shall be deemed to comply with this Regulation.

[F104 . By way of derogation from paragraph 1, the production organisation may apply to the [F32CAA] for exemptions from the environmental requirements referred to in the first subparagraph of Article 9(2) of Regulation (EU) 2018/1139 (4).]

[F335.By way of derogation from points 21.B.125(e) and 21.B.225(e) of Annex I (Part 21), a production organisation that holds a valid approval certificate issued in accordance with Annex I (Part 21) must correct any findings of non-compliance related to the implementation of the SMS requirements before 1 July 2026.

6.On or after 1 July 2026, where a production organisation has not corrected any findings of non-compliance related to the implementation of the safety management requirements, that organisation’s approval certificate must be either revoked, limited or suspended in whole or part, dependent on the severity of the non-compliance.]

Textual Amendments

Article 10U.K. [F34CAA] measures

1.The [F35CAA] shall develop acceptable means of compliance (hereinafter called ‘AMC’) that F36... organisations and personnel may use to demonstrate compliance with the provisions of the Annex I (Part 21) to this Regulation.

2.The AMC issued by the [F37CAA] shall neither introduce new requirements nor alleviate the requirements of the Annex I (Part 21) to this Regulation.

3.Without prejudice to Articles 54 and 55 of Regulation (EC) No 216/2008, when the acceptable means of compliance issued by the [F38CAA] are used, the related requirements of the Annex I (Part 21) to this Regulation shall be considered as met without further demonstration.

Textual Amendments

Article 11U.K.Repeal

Regulation (EC) No 1702/2003 is repealed.

References to the repealed Regulation shall be construed as references to this Regulation and shall be read in accordance with the correlation table in Annex III.

Article 12U.K.Entry into force

This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

F39...

Textual Amendments

ANNEX IU.K.PART 21Certification of aircraft and related products, parts and appliances, and of design and production organisations

21.1GeneralU.K.

For the purpose of this Annex I (Part 21), ‘competent authority’ shall be:

(a)

for organisations having their principal place of business in a Member State, the authority designated by that Member State; or the Agency if so requested by that Member State; or

(b)

for organisations having their principal place of business in a non-member State, the Agency.

SECTION AU.K.TECHNICAL REQUIREMENTS

SUBPART A —GENERAL PROVISIONSU.K.

21.A.1ScopeU.K.

This Section establishes general provisions governing the rights and obligations of the applicant for, and holder of, any certificate issued or to be issued in accordance with this Section.

21.A.2Undertaking by another person than the applicant for, or holder of, a certificateU.K.

The actions and obligations required to be undertaken by the holder of, or applicant for, a certificate for a product, part or appliance under this Section may be undertaken on its behalf by any other natural or legal person, provided the holder of, or applicant for, that certificate can show that it has made an agreement with the other person such as to ensure that the holder’s obligations are and will be properly discharged.

21.A.3A[F40Reporting system]U.K.
(a)

System for Collection, Investigation and Analysis of Data

The holder of a type-certificate, restricted type-certificate, supplemental type-certificate, [F41United Kingdom] Technical Standard Order ([F42UKTSO]) authorisation, major repair design approval or any other relevant approval deemed to have been issued under this Regulation shall have a system for collecting, investigating and analysing reports of and information related to failures, malfunctions, defects or other occurrences which cause or might cause adverse effects on the continuing airworthiness of the product, part or appliance covered by the type-certificate, restricted type-certificate, supplemental type-certificate, [F42UKTSO] authorisation, major repair design approval or any other relevant approval deemed to have been issued under this Regulation. Information about this system shall be made available to all known operators of the product, part or appliance and, on request, to any person authorised under other associated implementing Regulations.

(b)

Reporting to the [F43CAA]

1.

The holder of a type-certificate, restricted type-certificate, supplemental type-certificate, [F44UKTSO] authorisation, major repair design approval or any other relevant approval deemed to have been issued under this Regulation shall report to the [F45CAA] any failure, malfunction, defect or other occurrence of which it is aware related to a product, part, or appliance covered by the type-certificate, restricted type-certificate, supplemental type-certificate, [F46UKTSO] authorisation, major repair design approval or any other relevant approval deemed to have been issued under this Regulation, and which has resulted in or may result in an unsafe condition.

2.

These reports shall be made in a form and manner established by the [F47CAA], as soon as practicable and in any case dispatched not later than 72 hours after the identification of the possible unsafe condition, unless exceptional circumstances prevent this.

(c)

Investigation of Reported Occurrences

1.

When an occurrence reported under point (b), or under points 21.A.129(f)(2) or 21.A.165(f)(2) results from a deficiency in the design, or a manufacturing deficiency, the holder of the type-certificate, restricted type-certificate, supplemental type-certificate, major repair design approval, [F48UKTSO] authorisation, or any other relevant approval deemed to have been issued under this Regulation, or the manufacturer as appropriate, shall investigate the reason for the deficiency and report to the [F49CAA] the results of its investigation and any action it is taking or proposes to take to correct that deficiency.

2.

If the [F50CAA] finds that an action is required to correct the deficiency, the holder of the type-certificate, restricted type-certificate, supplemental type-certificate, major repair design approval, [F51UKTSO] authorisation, or any other relevant approval deemed to have been issued under this Regulation, or the manufacturer as appropriate, shall submit the relevant data to the [F52CAA].

Textual Amendments

Textual Amendments

21.A.3BAirworthiness directivesU.K.
(a)An airworthiness directive means a document issued or adopted by the [F53CAA] which mandates actions to be performed on an aircraft to restore an acceptable level of safety, when evidence shows that the safety level of this aircraft may otherwise be compromised.U.K.

Textual Amendments

(b)The [F54CAA] shall issue an airworthiness directive when:U.K.
1.

an unsafe condition has been determined by the [F54CAA] to exist in an aircraft, as a result of a deficiency in the aircraft, or an engine, propeller, part or appliance installed on this aircraft; and

2.

that condition is likely to exist or develop in other aircraft.

Textual Amendments

(c)When an airworthiness directive has to be issued by the [F55CAA] to correct the unsafe condition referred to in point (b), or to require the performance of an inspection, the holder of the type-certificate, restricted type-certificate, supplemental type-certificate, major repair design approval, [F56UKTSO] authorisation or any other relevant approval deemed to have been issued under this Regulation, shall:U.K.
1.

propose the appropriate corrective action or required inspections, or both, and submit details of these proposals to the [F57CAA] for approval;

2.

following the approval by the [F57CAA] of the proposals referred to under point (1), make available to all known operators or owners of the product, part or appliance and, on request, to any person required to comply with the airworthiness directive, appropriate descriptive data and accomplishment instructions.

Textual Amendments

Textual Amendments

(d)An airworthiness directive shall contain at least the following information:U.K.
1.

an identification of the unsafe condition;

2.

an identification of the affected aircraft;

3.

the action(s) required;

4.

the compliance time for the required action(s);

5.

the date of entry into force.

[F1421.A.4 Coordination between design and production U.K.

Each holder of a type-certificate, restricted type-certificate, supplemental type- certificate, [F58UKTSO] authorisation, approval of a change to type-certificate or approval of a repair design, shall collaborate with the production organisation as necessary to ensure:

Textual Amendments

(a)

the satisfactory coordination of design and production required by 21A.122, 21A.130(b)(3) and (4), 21A.133 and 21A.165(c)(2) and (3) as appropriate, and

(b)

the proper support of the continued airworthiness of the product, part or appliance.]

[F5921.A.5Record keepingU.K.

All persons who hold, or have applied for, a type-certificate, restricted type-certificate, supplemental type-certificate, UKTSO authorisation, design or repair approval, permit to fly, production organisation approval certificate or letter of agreement under this Regulation must:

(a)

when they design a product, part or appliance, or a change or repair to a product, part or appliance:

1.

establish and maintain a record-keeping system of the design information and data relating to the product, part or appliance;

2.

make available to the CAA information on the record-keeping system (including information held on it) that is necessary to ensure the continued airworthiness of the product, part or appliance, the continued validity of the operational suitability data and compliance with the applicable environmental protection requirements;

(b)

when they produce a product, part or appliance:

1.

record the details of the production process relevant to the conformity of the product, part or appliance with the applicable design data and the requirements imposed on them and their suppliers;

2.

make that data available to the CAA in order to provide the information that is necessary to ensure the continued airworthiness of the product, part or appliance;

(c)

in respect of permits to fly:

1.

maintain the documents produced under point 21.A.708 to establish and justify the flight conditions and make them available to the CAA in order to provide the information that is necessary to ensure the continued airworthiness of the aircraft;

2.

where the permit to fly is issued by an organisation that has appropriate approval, maintain the documents associated with it, including inspection records and documents that support the approval of the flight conditions and the issue of the permit to fly itself and make them available to the CAA in order to provide the information that is necessary to ensure the continued airworthiness of the aircraft;

(d)

retain records of the competence and qualifications, referred to in points 21.A.139(c), 21.A.145(c), 21.A.239(c), 21.A.245(a) and 21.A.245(e)(1), of the personnel that are involved in the following functions:

1.

design or production;

2.

independent monitoring of the compliance of the organisation with the relevant requirements;

3.

safety management;

(e)

retain records of the authorisation of personnel, in respect of employed personnel that:

1.

exercise the privileges of the approved organisation pursuant to point 21.A.163 or 21.A.263, or both, as appropriate;

2.

carry out the independent function to monitor the compliance of the organisation with the relevant requirements pursuant to point 21.A.139(e) or 21.A.239(e), or both, as appropriate;

3.

carry out the independent verification function of the demonstration of compliance pursuant to point 21.A.239(d)(2).]

Textual Amendments

[F5921.A.6ManualsU.K.

The holder of a type-certificate, restricted type-certificate, or supplemental type-certificate must produce, maintain and update master copies of all manuals, or variations in the manuals, required by the applicable type-certification basis, the applicable operational suitability data certification basis and the environmental protection requirements for the product or article, and provide copies, on request, to the CAA.]

[F5921.A.7Instructions for continued airworthinessU.K.
(a)

The holder of a type-certificate, restricted type-certificate, or supplemental type-certificate, design change or repair design approval must develop or reference the instructions which are necessary for ensuring that the airworthiness standard related to the product and any associated part is maintained throughout the operational life of the product, when demonstrating compliance with the applicable type-certification basis established and notified by the CAA in accordance with point 21.B.80.

(b)

At least one set of complete instructions for continued airworthiness must be provided by the holder of:

1.

a type-certificate or restricted type-certificate to each known owner of one or more products upon delivery of that product or products, or upon the issuance of the first certificate of airworthiness or restricted certificate of airworthiness for the affected aircraft, whichever occurs later;

2.

a supplemental type-certificate or design change approval to all known operators of the product affected by the change upon the release to service of the modified product;

3.

a repair design approval to all known operators of the product affected by the repair upon the release to service of the product in which the repair design is embodied. The repaired product, part or appliance may, if the CAA agrees, be released into service before the related instructions for continued airworthiness have been completed, but this must be for a limited service period agreed by the CAA.

(c)

After that, any other person required to comply with those design approval holders’ instructions must be provided with them on request.

(d)

By way of derogation from point (b), the type-certificate holder or restricted type-certificate holder may delay the availability of a part of the instructions for continued airworthiness, dealing with long lead accomplishment instructions of a scheduled nature, until after the product or modified product has entered into service, but must make those instructions available before the use of the instructions is required for the product or modified product.

(e)

The design approval holder, who is required to provide instructions for continued airworthiness in accordance with point (b), must also make available changes to those instructions to all known operators of the product affected by the change and, on request, to any other person required to comply with those changes. On request, that design approval holder must demonstrate to the CAA the adequacy of the process for making changes to the instructions for continued airworthiness available in accordance with this point.]

[F5921.A.8Access and investigationU.K.

Any person that holds, or has applied for, a type-certificate, restricted type-certificate, supplemental type-certificate, UKTSO authorisation, design change or repair approval, certificate of airworthiness, noise certificate, permit to fly, design organisation approval, production organisation approval certificate or letter of agreement under this Regulation, must:

(a)

grant the CAA access to any facility, product, part or appliance, document, record, data, process, procedure or to any other material in order to review any report, make any inspection, or perform or witness any flight and ground test, as necessary, in order to verify the initial and continued compliance of the organisation with the applicable requirements of Regulation (EU) 2018/1139;

(b)

make arrangements to ensure the CAA has access, as provided for in point (a), and has access to the facilities of the person’s suppliers and subcontractors.]

SUBPART B —TYPE-CERTIFICATES AND RESTRICTED TYPE-CERTIFICATESU.K.

21.A.11ScopeU.K.

This Subpart establishes the procedure for issuing type-certificates for products and restricted type-certificates for aircraft, and establishes the rights and obligations of the applicants for, and holders of, those certificates.

21.A.13EligibilityU.K.

Any natural or legal person that has demonstrated, or is in the process of demonstrating, its capability in accordance with point 21.A.14 shall be eligible as an applicant for a type-certificate or a restricted type-certificate under the conditions laid down in this Subpart.

21.A.14Demonstration of capabilityU.K.
[F9(a) An applicant for a type-certificate or restricted type-certificate shall demonstrate its capability by holding a design organisation approval, issued by the [F60CAA] in accordance with Subpart J.]U.K.

Textual Amendments

(b)By way of derogation from point (a), as an alternative procedure to demonstrate its capability, an applicant may seek the agreement of the [F60CAA] for the use of procedures setting out the specific design practices, resources and sequence of activities necessary to comply with this Annex I (Part 21), when the product is one of the following:U.K.
1.

an ELA2 aircraft;

2.

an engine or propeller installed in ELA2 aircraft;

3.

a piston engine;

4.

a fixed or adjustable pitch propeller.

[F9(c) By way of derogation from point (a), an applicant may demonstrate its capability by obtaining the [F60CAA]'s acceptance of its certification programme established in accordance with point 21.A.15(b), where the product to be certified is: U.K.
1.

an ELA1 aircraft; or

2.

an engine or propeller installed in ELA1 aircraft.]

21.A.15ApplicationU.K.
(a)An application for a type-certificate or restricted type-certificate shall be made in a form and manner established by the [F61CAA].U.K.

Textual Amendments

[F9(b) An application for a type-certificate or restricted type-certificate shall include, as a minimum, preliminary descriptive data of the product, the intended use of the product and the kind of operations for which certification is requested. In addition, it shall include, or be supplemented after the initial application, [F62by] a certification programme for the demonstration of compliance in accordance with point 21.A.20, consisting of: U.K.
1.

a detailed description of the type design, including all the configurations to be certified;

2.

the proposed operating characteristics and limitations;

3.

the intended use of the product and the kind of operations for which certification is requested;

4.

a proposal for the initial type-certification basis, operational suitability data certification basis and environmental protection requirements, prepared in accordance with the requirements and options specified in points 21.B.80, 21.B.82 and 21.B.85;

5.

a proposal for a breakdown of the certification programme into meaningful groups of compliance demonstration activities and data, including a proposal for the means of compliance and related compliance documents;

6.

a proposal for the assessment of the meaningful groups of compliance demonstration activities and data, addressing the likelihood of an unidentified non-compliance with the type-certification basis, operational suitability data certification basis or environmental protection requirements and the potential impact of that non-compliance on product safety or environmental protection. The proposed assessment shall take into account at least the elements set out in subpoints (1) to (4) of point 21.B.100(a). Based on this assessment, the application shall include a proposal for the [F63CAA’s] involvement in the verification of the compliance demonstration activities and data; and

7.

a project schedule including major milestones.

Textual Amendments

F63Word in Annex 1 point 21.A.15(b)(6) substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 61(3)

Textual Amendments

F62Word in Annex 1 point 21.A.15(b) inserted (21.6.2023) by virtue of The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(2), 6(3)(a)(i)

(c) After its initial submission to the [F61CAA], the certification programme shall be updated by the applicant when there are changes to the certification project affecting any of the points 1 to 7 of point (b). U.K.
(d) An application for a type-certificate or restricted type-certificate for an aircraft shall include, or be supplemented after the initial application, [F64by] an application supplement for approval of the operational suitability data.]U.K.

Textual Amendments

F64Word in Annex 1 point 21.A.15(d) inserted (21.6.2023) by virtue of The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(2), 6(3)(a)(ii)

[F10(e) An application for a type-certificate or restricted type-certificate for a large aeroplane or a large rotorcraft shall be valid for five years and an application for any other type-certificate or restricted type-certificate shall be valid for three years, unless the applicant demonstrates at the time of application that its product requires a longer time period to demonstrate and declare compliance and the [F61CAA] agrees to that longer time period. U.K.
(f) In the case where a type-certificate or restricted type-certificate has not been issued, or it is evident that it will not be issued, within the time limit provided for in point (e), the applicant may: U.K.
1.

submit a new application and comply with the type-certification basis, operational suitability data certification basis and environmental protection requirements, as established and notified by the [F61CAA] in accordance with points 21.B.80, 21.B.82 and 21.B.85 for the date of the new application; or

2.

apply for an extension of the time period provided for in point (e) and propose a new date for the issuance of the type-certificate or restricted type-certificate. In that case, the applicant shall comply with the type-certification basis, operational suitability data certification basis and environmental protection requirements, as established and notified by the [F61CAA] in accordance with points 21.B.80, 21.B.82 and 21.B.85 for a date to be selected by the applicant. However, that date shall not precede the new date proposed by the applicant for the issuance of the type-certificate or restricted type-certificate by more than five years for an application for a type-certificate or restricted type-certificate for a large aeroplane or a large rotorcraft, and by more than three years for an application for any other type-certificate or restricted type certificate.]

F6521.A.16ACertification specificationsU.K.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F6521.A.16BSpecial conditionsU.K.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F6521.A.17AType-certification basisU.K.
F65(a)The type-certification basis to be notified for the issuance of a type-certificate or a restricted type-certificate shall consist of:U.K.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F65(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.
F65(c)In the case where a type-certificate has not been issued, or it is clear that a type-certificate will not be issued, within the time limit established under point (b), the applicant may:U.K.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F65(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.
F6521.A.17BOperational suitability data certification basisU.K.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F6521.A.18Designation of applicable environmental protection requirements and certification specificationsU.K.
F65(a)The applicable noise requirements for the issue of a type certificate for an aircraft are prescribed according to the provisions of Chapter 1 of Annex 16, Volume I, Part II to the Chicago Convention and:U.K.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F65(b)The applicable emission requirements for the issue of a type-certificate for an aircraft and engine are prescribed in Annex 16 to the Chicago Convention:U.K.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F65(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.
21.A.19Changes requiring a new type-certificateU.K.

Any natural or legal person proposing to change a product shall apply for a new type-certificate if the [F66CAA] finds that the change in design, power, thrust, or mass is so extensive that a substantially complete investigation of compliance with the applicable type-certification basis is required.

Textual Amendments

[F921.A.20 Demonstration of compliance with the type certification basis, operational suitability data certification basis and environmental protection requirements U.K.
(a)

Following the acceptance of the certification programme by the [F67CAA], the applicant shall demonstrate compliance with the type certification basis, operational suitability data certification basis and environmental protection requirements, as established and notified to the applicant by the [F67CAA] in accordance with points 21.B.80, 21.B.82, 21.B.85, and shall provide the [F67CAA] with the means by which such compliance has been demonstrated.

(b)

The applicant shall report to the [F67CAA] any difficulty or event encountered during the process of demonstration of compliance that may have an appreciable effect on the risk assessment under point 21.A.15(b)(6) or on the certification programme, or may otherwise necessitate a change to the level of involvement of the [F67CAA] previously notified to the applicant in accordance with point 21.B.100(c).

(c)

The applicant shall record justifications of compliance within the compliance documents as referred to in the certification programme.

(d)

After completion of all demonstrations of compliance in accordance with the certification programme, including any inspections and tests in accordance with point 21.A.33, and after all flight tests in accordance with point 21.A.35, the applicant shall declare that:

1.

it has demonstrated compliance with the type-certification basis, operational suitability data certification basis and environmental protection requirements, as established and notified by the [F67CAA], following the certification programme as accepted by the [F67CAA]; and

2.

no feature or characteristic has been identified that may make the product unsafe for the uses for which certification is requested.

(e)

The applicant shall submit to the [F67CAA] the declaration of compliance provided for in point (d). Where the applicant holds an appropriate design organisation approval, the declaration of compliance shall be made in accordance with Subpart J and submitted to the [F67CAA].

Textual Amendments

21.A.21 Requirements for the issuance of a type certificate or restricted type certificate U.K.
(a)

In order to be issued a product type certificate or, when the aircraft does not meet the essential requirements of Annex II to Regulation (EU) 2018/1139 an aircraft restricted type certificate, the applicant shall:

1.

demonstrate its capability in accordance with point 21.A.14;

2.

comply with point 21.A.20;

3.

demonstrate that the engine and propeller, if installed in the aircraft:

(A)

have a type-certificate issued or determined in accordance with this Regulation; or

(B)

have been demonstrated to be in compliance with the aircraft type-certification basis established and the environmental protection requirements designated and notified by the [F68CAA] as necessary to ensure the safe flight of the aircraft.

(b)

By derogation from point (a)(2), at the applicant's request included in the declaration referred to in point 21.A.20(d), the applicant is entitled to have the aircraft type-certificate or restricted type-certificate issued before the applicant has demonstrated compliance with the operational suitability data certification basis, provided that the applicant demonstrates such compliance before the date at which those data are to be actually used.]

Textual Amendments

F6521.A.23Issue of a restricted type-certificateU.K.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

21.A.31Type designU.K.
(a)The type design shall consist of:U.K.
1.

the drawings and specifications, and a listing of those drawings and specifications, necessary to define the configuration and the design features of the product shown to comply with the applicable type-certification basis and environmental protection requirements;

2.

information on materials and processes and on methods of manufacture and assembly of the product necessary to ensure the conformity of the product;

3.

[F14an approved airworthiness limitations section of the instructions for continued airworthiness as defined by the applicable certification specifications; and]

4.

[F9any other data allowing by comparison the determination of the airworthiness and, if relevant, the environmental characteristics of later products of the same type.]

(b)Each type design shall be adequately identified.U.K.
[F921.A.33 Inspections and tests U.K.
(a)

(Reserved)

(b)

Before each test is undertaken during the demonstration of compliance required by point 21.A.20, the applicant shall have verified:

1.

for the test specimen, that:

(i)

the materials and processes adequately conform to the specifications for the proposed type design;

(ii)

the parts of the products adequately conform to the drawings in the proposed type design; and

(iii)

the manufacturing processes, construction and assembly adequately conform to those specified in the proposed type design; and

2.

for the test and measuring equipment to be used for the test, that those are adequate for the test and appropriately calibrated.

(c)

On the basis of the verifications carried out in accordance with point (b), the applicant shall issue a statement of conformity listing any potential non-conformity, together with a justification that this will not affect the test results, and shall allow the [F69CAA] to make an inspection it considers necessary to check the validity of that statement.

(d)

The applicant shall allow the [F69CAA] to:

1.

review any data and information related to the demonstration of compliance; and

2.

witness or carry out any test or inspection conducted for the purpose of the demonstration of compliance.

(e)

For all the tests and inspections witnessed or carried out by the [F69CAA] in accordance with point (d)(2):

1.

the applicant shall submit to the [F69CAA] a statement of conformity provided for in point (c); and

2.

no change that affects the validity of the statement of conformity shall be made to the test specimen, or the test and measuring equipment, between the time the statement of conformity provided for in point (c) was issued and the time the test specimen is presented to the [F69CAA] for test.]

Textual Amendments

21.A.35Flight TestsU.K.
(a)Flight testing for the purpose of obtaining a type-certificate shall be conducted in accordance with conditions for such flight testing specified by the [F70CAA].U.K.

Textual Amendments

(b)The applicant shall make all flight tests that the [F70CAA] finds necessary:U.K.
1.

to determine compliance with the applicable type-certification basis and environmental protection requirements; and

2.

to determine whether there is reasonable assurance that the aircraft, its parts and appliances are reliable and function properly for aircraft to be certificated under this Annex I (Part 21), except for,

(i)

sailplanes and powered sailplanes;

(ii)

balloons and airships defined in ELA1 or ELA2;

(iii)

aeroplanes of 2 722 kg or less maximum take-off mass (MTOM).

(c)(Reserved)U.K.
(d)(Reserved)U.K.
(e)(Reserved)U.K.
(f)The flight tests prescribed in point (b)(2) shall include:U.K.
1.

for aircraft incorporating turbine engines of a type not previously used in a type-certificated aircraft, at least 300 hours of operation with a full complement of engines that conform to a type-certificate; and

2.

for all other aircraft, at least 150 hours of operation.

[F921.A.41 Type-certificate U.K.

The type-certificate and restricted type-certificate shall include the type design, the operating limitations, [F71the instructions for continued airworthiness,] the type-certificate data sheet for airworthiness and emissions, the applicable type-certification basis and environmental protection requirements with which the [F72CAA] records compliance, and any other conditions or limitations prescribed for the product in the applicable certification specifications and environmental protection requirements. The aircraft type-certificate and restricted type-certificate shall include in addition the applicable operational suitability data certification basis, the operational suitability data and the type-certificate data sheet for noise. The aircraft type-certificate and restricted type-certificate data sheet shall include the record of CO 2  emissions compliance and the engine type-certificate data sheet shall include the record of exhaust emissions compliance.]

Textual Amendments

21.A.44Obligations of the holderU.K.

Each holder of a type-certificate or restricted type-certificate shall:

(a)

[F73undertake the obligations laid down in points 21.A.3A to 21.A.8, 21.A.62 and 21.A.65 and, for this purpose, must continue to meet the qualification requirements for eligibility under point 21.A.13;]

(b)

specify the marking in accordance with Subpart Q.

Textual Amendments

F73Annex 1 point 21.A.44(a) substituted (21.6.2023) by The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(2), 6(3)(c)

[F7421.A.47TransferabilityU.K.

The transfer of a type-certificate, a restricted type-certificate or a UKTSO authorisation for an auxiliary power unit may only be made to a person that is able to undertake the obligations laid down in point 21.A.44, and, for this purpose, has demonstrated its capability in accordance with point 21.A.14.]

Textual Amendments

21.A.51Duration and continued validityU.K.
(a)A type-certificate and restricted type-certificate shall be issued for an unlimited duration. They shall remain valid subject to:U.K.
1.

the holder remaining in compliance with this Annex 1 (Part 21); and

2.

the certificate not being surrendered or revoked under the applicable administrative procedures established by the [F75CAA].

Textual Amendments

(b)Upon surrender or revocation, the type-certificate and restricted type-certificate shall be returned to the [F75CAA].U.K.
21.A.55 Record-keeping U.K.

F76. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

21.A.57 Manuals U.K.

F77. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

21.A.61Instructions for continued airworthinessU.K.
F78. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F2121.A.62 Availability of operational suitability data U.K.

The holder of the type-certificate or restricted type-certificate shall make available:

(a)

at least one set of complete operational suitability data prepared in accordance with the applicable operational suitability certification basis, to all known [F79United Kingdom operators] of the aircraft, before the operational suitability data must be used by a training organisation or [F80a United Kingdom operator]; and

(b)

any change to the operational suitability data to all known [F81United Kingdom operators] of the aircraft; and

(c)

on request, the relevant data referred to in points (a) and (b) above, to:

1.

[F82the CAA; and]

2.

any person required to comply with one or more elements of this set of operational suitability data.]

Textual Amendments

[F8321.A.65Continuing structural integrity for aeroplane structuresU.K.

The holder of a type-certificate or restricted type-certificate for a large aeroplane must ensure that the continuing structural integrity programme remains valid throughout the operational life of the aeroplane, taking into account service experiences and current operations.]

Textual Amendments

(SUBPART C — NOT APPLICABLE)U.K.

SUBPART D —CHANGES TO TYPE-CERTIFICATES AND RESTRICTED TYPE-CERTIFICATESU.K.

[F1421.A.90A Scope U.K.

This Subpart establishes the procedure for the approval of changes to type-certificates, and establishes the rights and obligations of the applicants for, and holders of, those approvals. This Subpart also defines standard changes that are not subject to an approval process under this Subpart. In this Subpart, references to type-certificates include type-certificate and restricted type-certificate.]

21.A.90BStandard changesU.K.
[F14(a) Standard changes are changes to a type-certificate: U.K.
1.

in relation to:

(i)

aeroplanes of 5 700  kg Maximum Take-Off Mass (MTOM) or less;

(ii)

rotorcraft of 3 175  kg MTOM or less;

(iii)

sailplanes, powered sailplanes, balloons and airships, as defined in ELA1 or ELA2,

2.

that follow design data included in certification specifications issued by the [F84CAA], containing acceptable methods, techniques and practices for carrying out and identifying standard changes, including the associated instructions for [F85continued] airworthiness; and

3.

that are not in conflict with TC holders data.]

Textual Amendments

F85Word in Annex 1 point 21.A.90B(a) substituted (21.6.2023) by The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(2), 6(4)(a)

(b)Points 21.A.91 to 21.A.109 are not applicable to standard changes.U.K.
[F8621.A.90CStand-alone changes to the instructions for continued airworthinessU.K.
(a)

Stand-alone changes to the instructions for continued airworthiness (“stand-alone changes”) are changes that are not directly prepared as a result of a change to the type design or repairs design.

(b)

Stand-alone changes can only be made by the holder of the design approval for which instructions for continued airworthiness have been established.

(c)

Points 21.A.91 to 21.A.109 do not apply to stand-alone changes that:

1.

do not affect the airworthiness limitations section of the instructions for continued airworthiness, and

2.

do not require the design approval holder to perform any additional demonstration of compliance with the certification basis.

(d)

Stand-alone changes referred to in point (c) must be approved by the design approval holder under procedures agreed with the CAA.]

Textual Amendments

[F921.A.91 Classification of changes to a type-certificate U.K.

Changes to a type-certificate are classified as minor and major. A ‘ minor change ’ has no appreciable effect on the mass, balance, structural strength, reliability, operational characteristics, operational suitability data, or other characteristics affecting the airworthiness of the product or its environmental characteristics. Without prejudice to point 21.A.19, all other changes are ‘ major changes ’ under this Subpart. Major and minor changes shall be approved in accordance with points 21.A.95 or 21.A.97, as appropriate, and shall be adequately identified.]

[F1421.A.92 Eligibility U.K.
(a)

Only the type-certificate holder may apply for approval of a major change to a type-certificate under this Subpart; all other applicants for a major change to a type-certificate shall apply under Subpart E.

(b)

Any natural or legal person may apply for approval of a minor change to a type-certificate under this Subpart.]

[F921.A.93 Application U.K.
(a)

An application for approval of a change to a type-certificate shall be made in a form and manner established by the [F87CAA].

(b)

An application shall include, or be supplemented after the initial application, [F88by] a certification programme for the demonstration of compliance in accordance with point 21.A.20, consisting of:

1.

a description of the change identifying:

(i)

the configuration(s) of the product in the type certificate upon which the change is to be made;

(ii)

all areas of the product in the type-certificate, including the approved manuals, that are changed or affected by the change; and

(iii)

when the change affects the operational suitability data, any necessary changes to the operational suitability data;

2.

an identification of any reinvestigations necessary to demonstrate compliance of the change and areas affected by the change with the type-certification basis, operational suitability data certification basis and environmental protection requirements; and

3.

for a major change to a type-certificate:

(i)

a proposal for the initial type-certification basis, operational suitability data certification basis and environmental protection requirements, prepared in accordance with the requirements and options specified in point 21.A.101;

(ii)

a proposal for a breakdown of the certification programme into meaningful groups of compliance demonstration activities and data, including a proposal for the means of compliance and related compliance documents;

(iii)

a proposal for the assessment of the meaningful groups of compliance demonstration activities and data, addressing the likelihood of an unidentified non-compliance with the type-certification basis, operational suitability data certification basis or environmental protection requirements and the potential impact of that non-compliance on product safety or environmental protection. The proposed assessment shall take into account at least the elements set out in subpoints (1)–(4) of point 21.B.100(a). Based on this assessment, the application shall include a proposal for the [F87CAA]'s involvement in the verification of the compliance demonstration activities and data; and

(iv)

a project schedule including major milestones.

(c)

An application for a change to a type-certificate of a large aeroplane or a large rotorcraft shall be valid for five years and an application for a change to any other type-certificate shall be valid for three years. In the case where the change has not been approved, or it is evident that it will not be approved, within the time limit provided for in this point, the applicant may:

1.

submit a new application for a change to the type-certificate and comply with the type-certification basis, operational suitability data certification basis and environmental protection requirements, as established by the [F87CAA] in accordance with point 21.A.101 and notified in accordance with point 21.B.105 for the date of the new application; or

2.

[F89apply for an extension of the time period provided for in the first sentence of point (c) for the original application and propose a new date for the issuance of the approval. In that case, the applicant shall comply with the type-certification basis, operational suitability data certification basis and environmental protection requirements, as established by the [F87CAA] in accordance with point 21.A.101 and notified in accordance with point 21.B.105, for a date to be selected by the applicant. However, that date shall not precede the new date proposed by the applicant for the issuance of the approval by more than five years for an application for a change to type-certificate or restricted type-certificate for a large aeroplane or a large rotorcraft, and by more than three years for an application for [F90a change to any other] to type-certificate or restricted type certificate.]]

Textual Amendments

F88Word in Annex 1 point 21.A.93(b) inserted (21.6.2023) by virtue of The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(2), 6(4)(c)(i)

F90Words in Annex 1 point 21.A.93(c) substituted (21.6.2023) by The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(2), 6(4)(c)(ii)

[F921.A.95 Requirements for approval of a minor change U.K.
(a)

Minor changes to a type-certificate shall be classified and approved by:

1.

the [F91CAA]; or

2.

an approved design organisation within the scope of its privileges provided for in points (1) and (2) of point 21.A.263(c), as recorded in the terms of approval.

(b)

A minor change to a type-certificate shall only be approved:

1.

when it has been demonstrated that the change and areas affected by the change comply with the type-certification basis and the environmental protection requirements incorporated by reference in the type-certificate;

2.

in the case of a change affecting the operational suitability data, when it has been demonstrated that the necessary changes to the operational suitability data comply with the operational suitability data certification basis incorporated by reference in the type-certificate;

3.

when compliance with the type-certification basis that applies in accordance with point (1) has been declared and the justifications of compliance have been recorded in the compliance documents; and

4.

when no feature or characteristic has been identified that may make the product unsafe for the uses for which certification is requested.

(c)

By derogation from point (1) in point (b), certification specifications which became applicable after those incorporated by reference in the type-certificate can be used for approval of a minor change, provided they do not affect the demonstration of compliance.

(d)

By derogation from point (a), at the applicant's request included in the declaration referred to in point 21.A.20(d), a minor change to an aircraft type-certificate may be approved before compliance with the operational suitability data certification basis has been demonstrated, provided that the applicant demonstrates such compliance before the date at which those data are actually used.

(e)

The applicant shall submit to the [F91CAA] the substantiation data for the change and a statement that compliance has been demonstrated in accordance with point (b).

(f)

An approval of a minor change to a type-certificate shall be limited to the specific configuration(s) in the type-certificate to which the change relates.

Textual Amendments

21.A.97 Requirements for approval of a major change U.K.
(a)

Major changes to a type-certificate shall be classified and approved by:

1.

the [F92CAA]; or

2.

an approved design organisation within the scope of its privileges provided for in points (1) and (8) of point 21.A.263(c), as recorded in the terms of approval.

(b)

A major change to a type-certificate shall only be approved:

1.

when it has been demonstrated that the change and areas affected by the change comply with the type-certification basis and environmental protection requirements, as established by the [F92CAA] in accordance with point 21.A.101;

2.

in the case of a change affecting the operational suitability data, when it has been demonstrated that the necessary changes to the operational suitability data meet the operational suitability data certification basis, as established by the [F92CAA] in accordance with point 21.A.101; and

3.

when compliance with points (1) and (2) has been demonstrated in accordance with point 21.A.20, as applicable to the change.

(c)

By derogation from points (2) and (3) of point (b), at the applicant's request included in the declaration referred to in point 21.A.20(d), a major change to an aircraft type-certificate may be approved before compliance with the operational suitability data certification basis has been demonstrated, provided that the applicant demonstrates such compliance before the date at which those data are actually used.

(d)

An approval of a major change to a type-certificate shall be limited to the specific configuration(s) in the type-certificate to which the change relates.

Textual Amendments

21.A.101 Type-certification basis, operational suitability data certification basis and environmental protection requirements for a major change to a type-certificate U.K.
(a)

A major change to a type-certificate and areas affected by the change shall comply with either the certification specifications applicable to the changed product on the date of the application for the change or certification specifications which became applicable after that date in accordance with point (f) below. The validity of the application shall be determined in accordance with point 21.A.93(c). In addition, the changed product shall comply with the environmental protection requirements designated by the [F93CAA] in accordance with point 21.B.85.

(b)

By derogation from point (a), an earlier amendment to a certification specification referred to in point (a) and to any other certification specification which is directly related may be used in any of the following situations, unless the earlier amendment became applicable before the date at which the corresponding certification specifications incorporated by reference in the type-certificate became applicable:

1.

a change that the [F93CAA] finds not to be significant. In determining whether a specific change is significant, the [F93CAA] shall consider the change in the context of all previous relevant design changes and all related revisions to the applicable certification specifications incorporated by reference in the type-certificate for the product. Changes meeting one of the following criteria shall automatically be considered significant:

(i)

the general configuration or the principles of construction are not retained;

(ii)

the assumptions used for certification of the product to be changed do not remain valid;

2.

each area, system, part or appliance that the [F93CAA] finds not affected by the change;

3.

each area, system, part or appliance that is affected by the change for which the [F93CAA] finds that compliance with the certification specifications referred to in point (a) does not contribute materially to the level of safety of the changed product or is impractical.

(ba)

[F94The derogation in point (b) does not apply to large aeroplanes subject to point 26.300 of Annex I to Commission Regulation (EU) 2015/640(1). For those large aeroplanes, the applicant must comply with certification specifications that provide at least an equivalent level of safety to points 26.300 and 26.330 of Annex I to Regulation (EU) 2015/640, except for applicants for supplemental type-certificates who are not required to take into account point 26.303.]

(c)

By derogation from point (a), in the case of a change to an aircraft other than a rotorcraft of 2 722  kg (6 000  lb) or less maximum weight, or to a non-turbine rotorcraft of 1 361  kg (3 000 lb) or less maximum weight, the change and areas affected by the change shall comply with the type-certification basis incorporated by reference in the type-certificate. However, if the [F93CAA] finds that the change is significant in an area, the [F93CAA] may require that the change and areas affected by the change comply with an amendment to a certification specification of the type-certification basis incorporated by reference in the type-certificate and with any other certification specification which is directly related, unless the [F93CAA] also finds that compliance with that amendment does not contribute materially to the level of safety of the changed product or is impractical.

(d)

If the [F93CAA] finds that the certification specifications applicable on the date of the application for the change do not provide adequate standards with respect to the proposed change, the change and areas affected by the change shall also comply with any special conditions, and amendments to those special conditions, prescribed by the [F93CAA] in accordance with point 21.B.75, to provide a level of safety equivalent to that established by the certification specifications applicable on the date of the application for the change.

(e)

By derogation from points (a), (b) and (c), the change and areas affected by the change may comply with an alternative to a certification specification designated by the [F93CAA] if proposed by the applicant, provided that the [F93CAA] finds that the alternative provides a level of safety which is:

1.

in the case of a type-certificate:

(i)

equivalent to that of the certification specifications designated by the [F93CAA] under (a), (b) or (c) above; or

(ii)

compliant with the essential requirements of Annex II to Regulation (EU) 2018/1139;

2.

in the case of a restricted type-certificate, adequate with regard to the intended use.

(f)

If an applicant chooses to comply with a certification specification set out in an amendment that becomes applicable after submitting the application for a change to a type-certificate, the change and areas affected by the change shall also comply with any other certification specification which is directly related.

(g)

When the application for a change to a type-certificate for an aircraft includes, or is supplemented after the initial application to include, changes to the operational suitability data, the operational suitability data certification basis shall be established in accordance with points (a)-(f).]

Textual Amendments

F6521.A.103Issue of approvalU.K.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

21.A.105 Record-keeping U.K.

F95. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

21.A.107Instructions for continued airworthinessU.K.
F96. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F2121.A.108 Availability of operational suitability data U.K.

In the case of a change affecting the operational suitability data, the holder of the minor change approval shall make available:

(a)

at least one set of changes to the operational suitability data prepared in accordance with the applicable operational suitability certification basis, to all known [F97United Kingdom operators] of the changed aircraft, before the operational suitability data must be used by a training organisation or [F98a United Kingdom operator]; and

(b)

any further change to the affected operational suitability data, to all known [F99United Kingdom operators] of the changed aircraft; and

(c)

on request, the relevant parts of the changes in points (a) and (b) above, to:

1.

[F100the CAA; and]

2.

any person required to comply with one or more elements of this set of operational suitability data.]

Textual Amendments

[F1421.A.109 Obligations and [F101UKPA] marking U.K.

The holder of a minor change approval to a type-certificate shall:

(a)

undertake the obligations laid down in points [F10221.A.4 to 21.A.8] and 21.A.108; and

(b)

specify the marking, including [F103UKPA (United Kingdom Part Approval)] letters, in accordance with point 21.A.804(a).]

Textual Amendments

Textual Amendments

SUBPART E —SUPPLEMENTAL TYPE-CERTIFICATESU.K.

[F921.A.111 Scope U.K.

This Subpart establishes the procedure for the approval of major changes to the type-certificate under supplemental type-certificate procedures, and establishes the rights and obligations of the applicants for, and holders of, those certificates. In this Subpart, the references to type-certificates include type-certificates and restricted type-certificates.

21.A.112A Eligibility U.K.

Any natural or legal person that has demonstrated, or is in the process of demonstrating, its capability in accordance with point 21.A.112B may apply for a supplemental type-certificate in accordance with the conditions laid down in this Subpart.]

21.A.112BDemonstration of capabilityU.K.
[F9(a) An applicant for a supplemental type-certificate shall demonstrate its capability by holding a design organisation approval, issued by the [F104CAA] in accordance with Subpart J.]U.K.

Textual Amendments

(b)By way of derogation from point (a), as an alternative procedure to demonstrate its capability, an applicant may seek [F104CAA] agreement for the use of procedures setting out the specific design practices, resources and sequence of activities necessary to comply with this Subpart.U.K.
[F9(c) By way of derogation from point (a), in the case of products referred to in point 21.A.14(c), an applicant may demonstrate its capability by obtaining the [F104CAA]'s acceptance of its certification programme established in accordance with point 21.A.93(b).]U.K.
21.A.113Application for a supplemental type-certificateU.K.
(a)An application for a supplemental type-certificate shall be made in a form and manner established by the [F105CAA].U.K.

Textual Amendments

[F9(b) When applying for a supplemental type-certificate, the applicant shall: U.K.
(i)

include in the application the information required by point 21.A.93(b);

(ii)

specify whether the certification data has been or will be prepared completely by the applicant or on the basis of an arrangement with the owner of the type-certification data.]

[F10(c) Point 21.A.93(c) applies to the requirements for the time limits of the application effectivity as well as the requirements related to the need to update the type-certification basis, operational suitability data certification basis and environmental protection requirements, when the change has not been approved or it is evident that it will not be approved within the time limit established.]U.K.
F6521.A.114Showing of complianceU.K.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F921.A.115 Requirements for approval of major changes in the form of a supplemental type-certificate U.K.
(a)

Supplemental type certificates shall be issued by:

1.

the [F106CAA]; or

2.

an approved design organisation within the scope of its privileges provided for in points (1) and (9) of point 21.A.263(c), as recorded in the terms of approval.

(b)

A supplemental type-certificate shall only be issued when:

1.

the applicant has demonstrated its capability in accordance with point 21.A.112B;

2.

it has been demonstrated that the change to a type-certificate and areas affected by the change comply with the type-certification basis and the environmental protection requirements, as established by the [F106CAA] in accordance with point 21.A.101;

3.

in the case of a supplemental type-certificate affecting the operational suitability data, it has been demonstrated that the necessary changes to the operational suitability data meet the operational suitability data certification basis, as established by the [F106CAA] in accordance with point 21.A.101;

4.

compliance with points (2) and (3) has been demonstrated in accordance with point 21.A.20, as applicable to the change; and

5.

in case the applicant has specified that it provided certification data on the basis of an arrangement with the owner of the type-certification data in accordance with point 21.A.113(b):

(i)

the type-certificate holder has indicated that it has no technical objection to the information submitted under point 21.A.93; and

(ii)

the type-certificate holder has agreed to collaborate with the supplemental type-certificate holder to ensure discharge of all obligations for continued airworthiness of the changed product through compliance with points 21.A.44 and 21.A.118A.

(c)

By derogation from points (3) and (4) of point (b), at the applicant's request included in the declaration referred to in point 21.A.20(d), the applicant is entitled to have a supplemental type-certificate for an aircraft issued before the applicant has demonstrated compliance with the operational suitability data certification basis, provided that the applicant demonstrates such compliance before the date at which those data are to be actually used.

(d)

A supplemental type-certificate shall be limited to the specific configuration(s) in the type-certificate to which the related major change relates.]

Textual Amendments

21.A.116TransferabilityU.K.

A supplemental type-certificate shall only be transferred to a natural or legal person that is able to undertake the obligations of point 21.A.118A and for this purpose has demonstrated its ability to qualify under the criteria of point 21.A.112B except for ELA1 aircraft for which the natural or legal person has sought the [F107CAA] agreement for the use of procedures setting out its activities to undertake these obligations.

Textual Amendments

21.A.117Changes to that part of a product covered by a supplemental type-certificateU.K.
(a)Minor changes to that part of a product covered by a supplemental type-certificate shall be classified and approved in accordance with Subpart D.U.K.
(b)Each major change to that part of a product covered by a supplemental type-certificate shall be approved as a separate supplemental type-certificate in accordance with this Subpart.U.K.
(c)By way of derogation from point (b), a major change to that part of a product covered by a supplemental type-certificate submitted by the supplemental type-certificate holder itself may be approved as a change to the existing supplemental type-certificate.U.K.
21.A.118AObligations and [F108UKPA] markingU.K.

Each holder of a supplemental type-certificate shall:

(a)

[F14undertake the obligations:

1.

laid down in points [F10921.A.3A to 21.A.8] and 21.A.120B;

2.

implicit in the collaboration with the type-certificate holder under point 21.A.115(d)(2);

and for this purpose continue to meet the criteria of point 21.A.112B;]

(b)

specify the marking, including [F110UKPA] letters, in accordance with point 21.A.804(a).

Textual Amendments

F109Words in Annex 1 point 21.A.118A(a)(1) substituted (1.7.2024) by virtue of The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(3), 6(5)(a)

Textual Amendments

F108Word in Annex 1 point 21.A.118A heading substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 198(3) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

21.A.118BDuration and continued validityU.K.
(a)A supplemental type-certificate shall be issued for an unlimited duration. It shall remain valid subject to:U.K.
1.

the holder remaining in compliance with this Annex I (Part 21); and

2.

the certificate not being surrendered or revoked under the applicable administrative procedures established by the [F111CAA].

Textual Amendments

(b)Upon surrender or revocation, the supplemental type-certificate shall be returned to the [F111CAA].U.K.
21.A.119 Manuals U.K.

F112. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

21.A.120A Instructions for continued airworthiness U.K.
F113. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

(b)In addition, changes to those variations of the instructions for continued airworthiness shall be made available to all known operators of a product incorporating the supplemental type-certificate and shall be made available, on request, to any person required to comply with any of those instructions. A programme showing how changes to the variations to the instructions for continued airworthiness are distributed shall be submitted to the [F114CAA].U.K.

Textual Amendments

[F2121.A.120B Availability of operational suitability data U.K.

In the case of a change affecting the operational suitability data, the holder of the supplemental type-certificate shall make available:

(a)

at least one set of changes to the operational suitability data prepared in accordance with the applicable operational suitability certification basis, to all known [F115United Kingdom operators] of the changed aircraft, before the operational suitability data must be used by a training organisation or [F116a United Kingdom operator]; and

(b)

any further change to the affected operational suitability data, to all known [F117United Kingdom operators] of the changed aircraft; and

(c)

on request, the relevant parts of the changes in points (a) and (b) above, to:

1.

[F118the CAA; and]

2.

any person required to comply with one or more elements of this set of operational suitability data.]

Textual Amendments

SUBPART F —PRODUCTION WITHOUT PRODUCTION ORGANISATION APPROVALU.K.

21.A.121ScopeU.K.
(a)This Subpart establishes the procedure for demonstrating the conformity with the applicable design data of a product, part and appliance that is intended to be manufactured without a production organisation approval under Subpart G.U.K.
(b)This Subpart establishes the rules governing the obligations of the manufacturer of a product, part, or appliance being manufactured under this Subpart.U.K.
21.A.122EligibilityU.K.

Any natural or legal person may apply to show conformity of individual products, parts or appliances under this Subpart, if:

(a)

it holds or has applied for an approval covering the design of that product, part or appliance; or

(b)

it has ensured satisfactory coordination between production and design, through an appropriate arrangement with the applicant for, or holder of, an approval of such a design.

21.A.124ApplicationU.K.
(a)Each application for an agreement to the showing of conformity of individual products, parts and appliances under this Subpart shall be made in a form and manner established by the [F119CAA].U.K.

Textual Amendments

(b)Such application shall contain:U.K.
1.

evidence which demonstrates, where applicable, that:

(i)

the issuance of a production organisation approval under Subpart G would be inappropriate; or

(ii)

the certification or approval of a product, part or appliance under this Subpart is needed pending the issuance of a production organisation approval under Subpart G;

2.

an outline of the information required in point 21.A.125A(b).

[F12021.A.124AMeans of complianceU.K.
(a)An organisation may, with prior approval from the CAA, use alternative means of compliance to establish compliance with this Regulation.U.K.
(b)To obtain prior approval, referred to in point (a), an organisation must provide the CAA with a full explanation indicating how compliance with this Regulation is to be achieved, including any revisions to manuals or procedures.]U.K.

Textual Amendments

21.A.125AIssue of a letter of agreementU.K.

The applicant shall be entitled to have a letter of agreement issued by the [F121CAA] agreeing to the showing of conformity of individual products, parts and appliances under this Subpart, after:

Textual Amendments

(a)

having established a production inspection system that ensures that each product, part or appliance conforms to the applicable design data and is in condition for safe operation;

(b)

having provided a manual that contains:

1.

a description of the production inspection system required under point (a);

2.

a description of the means for making the determination of the production inspection system;

3.

a description of the tests required in points 21.A.127 and 21.A.128, and the names of persons authorised for the purpose of point 21.A.130(a);

(c)

demonstrating that it is able to provide assistance in accordance with points 21.A.3A and 21.A.129(d).

[F12221.A.125BFindings and observationsU.K.
(a)After receipt of the notification of findings pursuant to point 21.B.125, the holder of a letter of agreement must, within the period agreed with the CAA:U.K.
1.

identify the root cause of, and any contributing factors to, the non-compliance;

2.

submit to the CAA a corrective action plan;

3.

demonstrate the implementation of the corrective action plan to the satisfaction of the CAA.

(b)Where observations are received pursuant to point 21.B.125(f), the holder of a letter of agreement must give due consideration to the observations received and must keep a record of the decisions taken in respect of those observations.]U.K.

Textual Amendments

21.A.125CDuration and continued validityU.K.
[F123(a)The letter of agreement must state the period of time for which it is issued, which must not exceed one year. It remains valid subject to the following conditions:U.K.
1.

the production organisation continues to comply with the applicable requirements of this Annex;

2.

the production organisation, and its suppliers and contractors as appropriate, permit the CAA to carry out investigations in accordance with point 21.A.8;

3.

the production organisation provides the CAA with evidence showing it maintains satisfactory control of the manufacture of products, parts and appliances under the letter of agreement;

4.

the letter of agreement has not been revoked by the CAA under point 21.B.65 or surrendered by the production organisation, and its duration has not expired.]

Textual Amendments

(b)Upon surrender, revocation or expiry, the letter of agreement shall be returned to the [F124CAA].U.K.

Textual Amendments

21.A.126Production inspection systemU.K.
(a)The production inspection system required under point 21.A.125A(a) shall provide a means for determining that:U.K.
1.

incoming materials, and bought or subcontracted parts, used in the finished product are as specified in the applicable design data;

2.

incoming materials, and bought or subcontracted parts, are properly identified;

3.

processes, manufacturing techniques and methods of assembly affecting the quality and safety of the finished product are accomplished in accordance with specifications accepted by the [F125CAA];

4.

design changes, including material substitutions, have been approved under Subpart D or E and controlled before being incorporated in the finished product.

Textual Amendments

(b)The production inspection system required by point 21.A.125A(a), shall also be such as to ensure that:U.K.
1.

parts in process are inspected for conformity with the applicable design data at points in production where accurate determinations can be made;

2.

materials subject to damage and deterioration are suitably stored and adequately protected;

3.

current design drawings are readily available to manufacturing and inspection personnel, and used when necessary;

4.

rejected materials and parts are segregated and identified in a manner that precludes installation in the finished product;

5.

materials and parts that are withheld [F126because of deviations from design data] or specifications, and that are to be considered for installation in the finished product, are subjected to an approved engineering and manufacturing review procedure. Those materials and parts determined by this procedure to be serviceable shall be properly identified and reinspected if rework or repair is necessary. Materials and parts rejected by this procedure shall be marked and disposed of to ensure that they are not incorporated in the final product;

6.

F127. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

21.A.127Tests: aircraftU.K.
(a)Each manufacturer of an aircraft manufactured under this Subpart shall establish an approved production ground and flight test procedure and check-off forms, and in accordance with those forms, test each aircraft produced, as a means of establishing relevant aspects of compliance with point 21.A.125A(a).U.K.
(b)Each production test procedure shall include at least the following:U.K.
1.

a check on handling qualities;

2.

a check on flight performance (using normal aircraft instrumentation);

3.

a check on the proper functioning of all aircraft equipment and systems;

4.

a determination that all instruments are properly marked, and that all placards and required flight manuals are installed after flight test;

5.

a check of the operational characteristics of the aircraft on the ground;

6.

a check on any other items peculiar to the aircraft being tested.

21.A.128Tests: engines and propellersU.K.

Each manufacturer of engines, or propellers manufactured under this Subpart shall subject each engine, or variable pitch propeller, to an acceptable functional test as specified in the type-certificate holder’s documentation, to determine if it operates properly throughout the range of operation for which it is type-certificated, as a means of establishing relevant aspects of compliance with point 21.A.125A(a).

21.A.129Obligations of the manufacturerU.K.

Each manufacturer of a product, part or appliance being manufactured under this Subpart shall:

(a)

make each product, part or appliance available for inspection by the [F128CAA];

(b)

maintain at the place of manufacture the technical data and drawings necessary to determine whether the product conforms to the applicable design data;

(c)

maintain the production inspection system that ensures that each product conforms to the applicable design data and is in condition for safe operation;

(d)

provide assistance to the holder of the type-certificate, restricted type-certificate or design approval in dealing with any continuing airworthiness actions that are related to the products, parts or appliances that have been produced;

(e)

establish and maintain an internal occurrence reporting system in the interest of safety, to enable the collection and assessment of occurrence reports in order to identify adverse trends or to address deficiencies, and to extract reportable occurrences. This system shall include evaluation of relevant information relating to occurrences and the promulgation of related information;

(f)
1.

report to the holder of the type-certificate, restricted type-certificate or design approval, all cases where products, parts or appliances have been released by the manufacturer and subsequently identified to have deviations from the applicable design data, and investigate with the holder of the type-certificate, restricted type-certificate or design approval to identify those deviations which could lead to an unsafe condition;

2.

report to the [F129CAA] the deviations which could lead to an unsafe condition identified according to point (1). Such reports shall be made in a form and manner [F130established by the CAA] under point 21.A.3A(b)(2) F131...;

3.

where the manufacturer acts as supplier to another production organisation, report also to that other organisation all cases where it has released products, parts or appliances to that organisation and subsequently identified them to have possible deviations from the applicable design data.

Textual Amendments

F131Words in Annex 1 point 21.A.129(f)(2) omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 199(3)(b)(iii) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

21.A.130Statement of conformityU.K.
(a)Each manufacturer of a product, part or appliance manufactured under this Subpart shall raise a statement of conformity, an [F132CAA] Form 52 (see Appendix VIII), for complete aircraft, or [F132CAA] Form 1 (see Appendix I), for other products, parts or appliances. This statement shall be signed by an authorised person who holds a responsible position in the manufacturing organisation.U.K.

Textual Amendments

[F9(b) A statement of conformity shall include all of the below: U.K.
1.

for each product, part or appliance, a statement that the product, part or appliance conforms to the approved design data and is in condition for safe operation;

2.

for each aircraft, a statement that the aircraft has been ground- and flight-checked in accordance with point 21.A.127(a);

3.

for each engine, or variable pitch propeller, a statement that the engine or variable pitch propeller has been subjected by the manufacturer to a final functional test in accordance with point 21.A.128;

4.

additionally, in the case of environmental requirements:

(i)

a statement that the completed engine is in compliance with the applicable engine exhaust emissions requirements on the date of manufacture of the engine, and;

(ii)

a statement that the completed aeroplane is in compliance with the applicable CO 2 emissions requirements on the date its first certificate of airworthiness is issued.]

(c)Each manufacturer of such a product, part or appliance shall:U.K.
1.

upon the initial transfer by it of the ownership of such a product, part or appliance; or

2.

upon application for the original issue of an aircraft certificate of airworthiness; or

3.

upon application for the original issue of an airworthiness release document for an engine, a propeller, a part or appliance,

present a current statement of conformity, for validation by the [F133CAA].

Textual Amendments

(d)The [F134CAA] shall validate by counter-signature the statement of conformity if it finds after inspection that the product, part or appliance conforms to the applicable design data and is in condition for safe operation.U.K.

Textual Amendments

SUBPART G —PRODUCTION ORGANISATION APPROVALU.K.

21.A.131ScopeU.K.

This Subpart establishes:

(a)

the procedure for the issuance of a production organisation approval for a production organisation showing conformity of products, parts and appliances with the applicable design data;

(b)

the rules governing the rights and obligations of the applicant for, and holders of, such approvals.

21.A.133EligibilityU.K.

Any natural or legal person (‘organisation’) shall be eligible as an applicant for an approval under this Subpart. The applicant shall:

(a)

justify that, for a defined scope of work, an approval under this Subpart is appropriate for the purpose of showing conformity with a specific design; and

(b)

hold or have applied for an approval of that specific design; or

(c)

have ensured, through an appropriate arrangement with the applicant for, or holder of, an approval of that specific design, satisfactory coordination between production and design.

21.A.134ApplicationU.K.

Each application for a production organisation approval shall be made to the [F135CAA] in a form and manner established by that authority, and shall include an outline of the information required by point 21.A.143 and the terms of approval requested to be issued under point 21.A.151.

Textual Amendments

[F13621.A.134AMeans of complianceU.K.
(a)

An organisation may, with prior approval from the CAA, use alternative means of compliance to establish compliance with this Regulation.

(b)

To obtain prior approval, referred to in point (a), an organisation must provide the CAA with a full explanation indicating how compliance with this Regulation is to be achieved, including details of any revisions to manuals or procedures.]

Textual Amendments

21.A.135Issue of production organisation approvalU.K.

An organisation shall be entitled to have a production organisation approval issued by the [F137CAA] when it has demonstrated compliance with the applicable requirements under this Subpart.

Textual Amendments

[F13821.A.139Production management systemU.K.
(a)

The production organisation must establish, implement and maintain a production management system that includes a safety management element and a quality management element, with clearly defined accountability and lines of responsibility throughout the organisation.

(b)

The production management system must:

1.

correspond to the size of the organisation, and to the nature and complexity of its activities, taking into account the hazards and associated risks inherent in those activities;

2.

be established, implemented and maintained under the direct accountability of a single manager appointed pursuant to point 21.A.145(c)(1).

(c)

As part of the safety management element of the production management system, the production organisation must:

1.

establish, implement and maintain a safety policy and the corresponding related safety objectives;

2.

appoint key safety personnel in accordance with point 21.A.145(c)(2);

3.

establish, implement and maintain a safety risk management process to identify safety hazards entailed by its aviation activities, evaluate them and manage associated risks, including taking actions to mitigate the risks and verify their effectiveness;

4.

establish, implement and maintain a safety assurance process that includes:

(i)

the measurement and monitoring of the organisation’s safety performance;

(ii)

the management of changes in accordance with point 21.A.147;

(iii)

the principles for the continuous improvement of the safety management element;

5.

promote safety in the organisation through:

(i)

training and education;

(ii)

communication;

6.

establish an occurrence reporting system in accordance with point 21.A.3A in order to contribute to the continuous improvement of safety.

(d)

As part of the quality management element of the production management system, the production organisation must:

1.

ensure that each product, part or appliance produced by the organisation or by its partner, or supplied from or subcontracted to outside parties, conforms to the applicable design data and is in condition for safe operation, thus enabling the exercise of the privileges set out in point 21.A.163;

2.

establish, implement and maintain, as appropriate, within the scope of the approval, control procedures for:

(i)

document issue, approval or change;

(ii)

vendor and subcontractor assessment audit and control;

(iii)

verification that incoming products, parts, materials and equipment, including items supplied new or used by buyers of products, are as specified in the applicable design data;

(iv)

identification and traceability;

(v)

manufacturing processes;

(vi)

inspection and testing, including production flight tests;

(vii)

calibration of tools, jigs and test equipment;

(viii)

non-conforming item control;

(ix)

airworthiness coordination with the applicant for, or holder of, the design approval;

(x)

records completion and retention;

(xi)

personnel competence and qualification;

(xii)

issue of airworthiness release documents;

(xiii)

handling, storage and packing;

(xiv)

internal quality audits and resulting corrective actions;

(xv)

work within the terms of approval performed at any location other than the approved facilities;

(xvi)

work carried out after completion of production but prior to delivery, to maintain the aircraft in a condition for safe operation;

(xvii)

issue of permit to fly and approval or associated flight conditions;

3.

include specific provisions in the control procedures for any critical parts.

(e)

The production organisation must establish, as part of the production management system, an independent monitoring function to verify compliance of the organisation with the relevant requirements of this Annex as well as compliance with, and adequacy of, the production management system. Monitoring must include feedback to the person referred to in point 21.A.145(c)(2) and to the manager referred to in point 21.A.145(c)(1) to ensure, where necessary, the implementation of corrective action.

(f)

If the production organisation holds one or more additional organisation certificates within the scope of Regulation (EU) 2018/1139, the production management system may be integrated with that required under the additional certificate held.]

Textual Amendments

21.A.143ExpositionU.K.
(a)

[F139The production organisation must establish and maintain a production organisation exposition (“POE”) that provides directly or by cross-reference the following information related to the production management system as described in point 21.A.139:]

1.

a statement signed by the accountable manager confirming that the production organisation exposition and any associated manuals which define the approved organisation’s compliance with this Subpart will be complied with at all times;

2.

the title(s) and names of managers accepted by the [F140CAA] in accordance with point 21.A.145(c)(2);

3.

the duties and responsibilities of the manager(s) as required by point 21.A.145(c)(2) [F141and 21.A.145(c)(4)] including matters on which they may deal directly with the [F140CAA] on behalf of the organisation;

4.

an organisational chart showing associated chains of responsibility of the managers as required by point [F14221.A.145(c)(1), (2) and (4)];

5.

a list of certifying staff as referred to in point 21.A.145(d);

6.

a general description of man-power resources;

7.

a general description of the facilities located at each address specified in the production organisation’s certificate of approval;

8.

a general description of the production organisation’s scope of work relevant to the terms of approval;

9.

the procedure for the notification of organisational changes to the [F140CAA];

10.

the amendment procedure for the production organisation exposition;

11.

[F143a description of the production management system and the policy, processes and procedures as provided for in point 21.A.139(c);]

12.

a list of those outside parties referred to in point [F14421.A.139(d)(1)][F145;]

13.

[F146if flight tests are to be conducted, a flight test operations manual defining the organisation's policies and procedures in relation to flight test. The flight test operations manual shall include:

(i)

a description of the organisation's processes for flight test, including the flight test organisation involvement into the permit to fly issuance process;

(ii)

crewing policy, including composition, competency, currency and flight time limitations, in accordance with Appendix XII to this Annex I (Part 21), where applicable;

(iii)

procedures for the carriage of persons other than crew members and for flight test training, when applicable;

(iv)

a policy for risk and safety management and associated methodologies;

(v)

procedures to identify the instruments and equipment to be carried;

(vi)

a list of documents that need to be produced for flight test.]

(b)

[F147The initial issue of the POE must be approved by the CAA.

(c)

The POE must be amended as necessary so that it remains an up-to-date description of the organisation. Copies of any amendments must be supplied to the CAA.]

Textual Amendments

F147Annex 1 point 21.A.143(b)(c) substituted for Annex 1 point 21.A.143(b) (1.7.2024) by The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(3), 6(7)(c)(vi)

21.A.145 [F148Resources] U.K.

[F149The production organisation must demonstrate that:]

(a)

[F150the] facilities, working conditions, equipment and tools, processes and associated materials, number and competence of staff, and general organisation are adequate to [F151discharge its obligations] under point 21.A.165;

(b)

[F9with regard to all necessary airworthiness and [F152environmental protection data]:

1.

[F153the production organisation holds all data it needs to determine conformity with the applicable design data. Such data may originate from the CAA and from the holder of, or applicant for, the type-certificate, restricted type-certificate or design approval, and may include any exemption granted from the environmental protection requirements;]

2.

the production organisation has established a procedure to ensure that airworthiness and [F152environmental protection data] are correctly incorporated in its production data and,

3.

such data are kept up to date and made available to all personnel who need access to such data to perform their duties;

(c)

with regard to management and staff:

1.

[F154an accountable manager has been appointed by the production organisation with the authority to ensure that, within the organisation, all production is performed to the required standards and that the production organisation is continuously in compliance with the requirements of the production management system referred to in point 21.A.139, and the date and procedures identified in the POE referred to in point 21.A.143;

2.

a person has been nominated by the accountable manager to ensure that the organisation is in compliance with the requirements of this Annex, and is identified, together with the extent of their authority;]

3.

staff at all levels have been given appropriate authority to be able to discharge their allocated responsibilities and that there is full and effective coordination within the production organisation in respect of airworthiness and environmental [F155protection] data matters;]

4.

[F154the person nominated for the purpose of point (2) must be:

(i)

responsible to, and have direct access to, the accountable manager appointed under point (1); and

(ii)

have appropriate knowledge, background and experience to discharge their responsibilities.”;]

(d)

with regard to certifying staff, authorised by the production organisation to sign the documents issued under point 21.A.163 [F156within the scope of the terms of approval]:

1.

[F157they have appropriate knowledge, background, including that gained through undertaking other functions in the organisation, and experience to discharge their allocated responsibilities;

2.

they are provided with evidence of the scope of their authorisation.]

Textual Amendments

F154Annex 1 point 21.A.145(c)(1)(2)(4) substituted for Annex 1 point 21.A.145(c)(1)(2) (1.7.2024) by The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(3), 6(7)(d)(iv)(aa)

F157Annex 1 point 21.A.145(d)(1)(2) substituted for Annex 1 point 21.A.145(d)(1)-(3) (1.7.2024) by The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(3), 6(7)(d)(v)(bb)

Textual Amendments

21.A.147Changes to the approved production organisationU.K.
[F9(a) After the issue of a production organisation approval, each change to the approved production organisation that is significant to the showing of conformity or to the airworthiness and environmental characteristics of the product, part or appliance, particularly changes to the quality system, shall be approved by the [F158CAA]. An application for approval shall be submitted in writing to the [F158CAA] and the organisation shall demonstrate to the [F158CAA], before implementing the change, that it complies with this Subpart.]U.K.

Textual Amendments

(b)The [F158CAA] shall establish the conditions under which a production organisation approved under this Subpart may operate during such changes unless the [F158CAA] determines that the approval should be suspended.U.K.
21.A.148Changes of locationU.K.

A change of the location of the manufacturing facilities of the approved production organisation shall be deemed of significance and therefore shall comply with point 21.A.147.

21.A.149TransferabilityU.K.

Except as a result of a change in ownership, which is deemed significant for the purposes of point 21.A.147, a production organisation approval is not transferable.

21.A.151Terms of approvalU.K.

The terms of approval shall identify the scope of work, the products or the categories of parts and appliances, or both, for which the holder is entitled to exercise the privileges under point 21.A.163.

Those terms shall be issued as part of a production organisation approval.

21.A.153Changes to the terms of approvalU.K.

Each change to the terms of approval shall be approved by the [F159CAA]. An application for a change to the terms of approval shall be made in a form and manner established by the [F159CAA]. The applicant shall comply with the applicable requirements of this Subpart.

Textual Amendments

21.A.157InvestigationsU.K.

F160. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F16121.A.158Findings and observationsU.K.
(a)

After receipt of the notification of findings under 21.B.225(e), the holder of the production organisation approval certificate must:

1.

identify the root cause of, and contributing factors to, the non-compliance;

2.

define a corrective action plan;

3.

demonstrate the implementation of the corrective action plan to the satisfaction of the CAA.

(b)

The actions referred to in point (a) must be performed within the period agreed with the CAA in accordance with point 21.B.225.

(c)

Where the holder of the production organisation approval certificate receives a notice of observations from the CAA pursuant to point 21.B.225(f), the holder of the production organisation approval certificate must give due consideration to the observations made and must keep a record of the decisions taken in respect of those observations.]

Textual Amendments

21.A.159[F162Duration and continued validityU.K.
(a)

A production organisation approval certificate must be issued for an unlimited period of time pursuant to point 21.B.220. It is valid from the date of issue and remains valid subject to the following conditions:

1.

the production organisation continues to comply with the applicable requirements of Regulation (EU) 2018/1139;

2.

the production organisation, and its suppliers or subcontractors, as appropriate, permit the CAA to carry out investigations in accordance with point 21.A.8;

3.

the production organisation provides the CAA with evidence showing that it maintains satisfactory control of products, parts and appliances under the approval;

4.

the production organisation approval certificate has not been revoked by the CAA under point 21.B.65 or surrendered by the production organisation.

(b)

Upon surrender or revocation, the production organisation approval certificate must be returned to the CAA.]

Textual Amendments

21.A.163PrivilegesU.K.

Pursuant to the terms of approval issued under point 21.A.135, the holder of a production organisation approval may:

(a)

perform production activities under this Annex I (Part 21);

(b)

in the case of complete aircraft and upon presentation of a statement of conformity ([F163CAA] Form 52) under point 21.A.174, obtain an aircraft certificate of airworthiness and a noise certificate without further showing;

(c)

in the case of other products, parts or appliances, issue authorised release certificates ([F164CAA] Form 1) without further showing;

(d)

maintain a new aircraft that it has produced and issue a certificate of release to service ([F165CAA] Form 53) in respect of that maintenance;

(e)

under procedures agreed with [F166the CAA] for production, for an aircraft it has produced and when the production organisation itself is controlling under its POA the configuration of the aircraft and is attesting conformity with the design conditions approved for the flight, to issue a permit to fly in accordance with point 21.A.711(c) including approval of the flight conditions in accordance with point 21.A.710(b).

Textual Amendments

21.A.165Obligations of the holderU.K.

The holder of a production organisation approval shall:

(a)

ensure that the production organisation exposition furnished in accordance with point 21.A.143 and the documents to which it refers, are used as basic working documents within the organisation;

(b)

maintain the production organisation in conformity with the data and procedures approved for the production organisation approval;

(c)
1.

determine that each completed aircraft conforms to the type design and is in condition for safe operation prior to submitting statements of conformity to the [F167CAA]; or

2.

[F168determine that other products, parts or appliances are complete and conform to the approved design data and are in a condition for safe operation before issuing an [F169CAA] Form 1 to certify conformity to approved design data and condition for safe operation;

3.

[F89additionally, in the case of environmental requirements determine that:

(i)

the completed engine is in compliance with the applicable engine exhaust emissions requirements on the date of manufacture of the engine: and

(ii)

the completed aeroplane is in compliance with the applicable CO 2 emissions requirements on the date its first certificate of airworthiness is issued.]

4.

determine that other products, parts or appliances conform to the applicable data before issuing an [F169CAA] Form 1 as a conformity certificate;]

(d)

record all details of work carried out;

(e)

establish and maintain an internal occurrence reporting system in the interest of safety, to enable the collection and assessment of occurrence reports in order to identify adverse trends or to address deficiencies, and to extract reportable occurrences. This system shall include evaluation of relevant information relating to occurrences and the promulgation of related information;

(f)
1.

report to the holder of the type-certificate or design approval, all cases where products, parts or appliances have been released by the production organisation and subsequently identified to have possible deviations from the applicable design data, and investigate with the holder of the type-certificate or design approval in order to identify those deviations which could lead to an unsafe condition;

2.

report to the [F170CAA] the deviations which could lead to an unsafe condition identified according to point (1). Such reports shall be made in a form and manner [F171established by the CAA] under point 21.A.3A(b)(2) F172...;

3.

where the holder of the production organisation approval is acting as a supplier to another production organisation, report also to that other organisation all cases where it has released products, parts or appliances to that organisation and subsequently identified them to have possible deviations from the applicable design data;

(g)

provide assistance to the holder of the type-certificate or design approval in dealing with any continuing airworthiness actions that are related to the products parts or appliances that have been produced;

(h)

establish an archiving system incorporating requirements imposed on its partners, suppliers and subcontractors, ensuring conservation of the data used to justify conformity of the products, parts or appliances. Such data shall be held at the disposal of the [F173CAA] and be retained in order to provide the information necessary to ensure the continuing airworthiness of the products, parts or appliances;

(i)

where, under its terms of approval, the holder issues a certificate of release to service, determine that each completed aircraft has been subjected to necessary maintenance and is in condition for safe operation, prior to issuing the certificate;

(j)

where applicable, under the privilege of point 21.A.163(e), determine the conditions under which a permit to fly can be issued;

(k)

where applicable, under the privilege of point 21.A.163(e), establish compliance with points 21.A.711(c) and (e) before issuing a permit to fly to an aircraft.

Textual Amendments

F172Words in Annex 1 point 21.A.165(f)(2) omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 200(6)(b)(iii) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

SUBPART H —CERTIFICATES OF AIRWORTHINESS AND RESTRICTED CERTIFICATES OF AIRWORTHINESSU.K.

21.A.171ScopeU.K.

This Subpart establishes the procedure for issuing airworthiness certificates.

21.A.172EligibilityU.K.

Any natural or legal person under whose name an aircraft is registered or will be registered in [F174the United Kingdom], or its representative, shall be eligible as an applicant for an airworthiness certificate for that aircraft under this Subpart.

Textual Amendments

21.A.173ClassificationU.K.

Airworthiness certificates shall be classified as follows:

(a)

certificates of airworthiness shall be issued to aircraft which conform to a type-certificate that has been issued in accordance with this Annex I (Part 21);

(b)

restricted certificates of airworthiness shall be issued to aircraft:

1.

which conform to a restricted type-certificate that has been issued in accordance with this Annex I (Part 21); or

2.

which have been shown to the [F175CAA] to comply with specific airworthiness specifications ensuring adequate safety.

Textual Amendments

21.A.174ApplicationU.K.
(a)Pursuant to point 21.A.172, an application for an airworthiness certificate shall be made in a form and manner established by the [F176CAA].U.K.

Textual Amendments

[F9(b) Each application for a certificate of airworthiness or restricted certificate of airworthiness shall include: U.K.
1.

the class of airworthiness certificate applied for;

2.

with regard to new aircraft:

(i)

a statement of conformity:

  • issued under point 21.A.163(b); or

  • issued under point 21.A.130 and validated by the [F177CAA]; or

  • for an imported aircraft, a statement signed by the exporting authority that the aircraft conforms to a design approved by the [F178CAA];

(ii)

a weight and balance report with a loading schedule and;

(iii)

the flight manual, when required by the applicable certification specifications for the particular aircraft.

3.

[F89with regard to used aircraft originating from:

(i)

[F179the United Kingdom], an airworthiness review certificate issued in accordance with Annex I (Part-M) or Annex Vb (Part-ML) to Commission Regulation (EU) No 1321/2014 (5);

(ii)

a third country:

  • a statement by the competent authority of the State where the aircraft is, or was, registered, reflecting the airworthiness status of the aircraft on its register at the time of transfer,

  • a weight and balance report with a loading schedule,

  • the flight manual when such a manual is required by the airworthiness code for the aircraft,

  • historical records to establish the production, modification and maintenance standard of the aircraft, including all limitations associated with a restricted certificate of airworthiness issued in accordance with point 21.B.327,

  • a recommendation for the issuance of a certificate of airworthiness or restricted certificate of airworthiness and for an airworthiness review certificate pursuant to an airworthiness review in accordance with Annex I (Part-M) [F180, or an airworthiness review certificate in accordance with] or Annex Vb (Part-ML) to Regulation (EU) No 1321/2014 [F181,

—the date on which the first certificate of airworthiness was issued and, if the standards of Volume 3 of Annex 16 to the Chicago Convention apply, the CO2 metric value data].]]

Textual Amendments

F180Words in Annex 1 point 21.A.174(b) inserted (21.6.2023) by The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(2), 6(8)(a)(i)

F181Words in Annex 1 point 21.A.174(b) inserted (21.6.2023) by The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(2), 6(8)(a)(ii)

(c)Unless otherwise agreed, the statements referred to in points (b)(2)(i) and (b)(3)(ii) shall be issued no more than 60 days before presentation of the aircraft to the [F182CAA].U.K.

Textual Amendments

21.A.175LanguageU.K.

The manuals, placards, listings, and instrument markings and other necessary information required by applicable certification specifications shall be presented in [F183English].

Textual Amendments

21.A.177Amendment or modificationU.K.

An airworthiness certificate may be amended or modified only by the [F184CAA].

Textual Amendments

21.A.179Transferability and re-issuance F185...U.K.
([F186a)Where ownership of an aircraft has changed, it remains on the United Kingdom register, and it has either a certificate of airworthiness or a restricted certificate of airworthiness conforming to a restricted type-certificate only, that certificate or restricted certificate (as the case may be) must be transferred together with the aircraft.]U.K.

Textual Amendments

([F187b)Where ownership of an aircraft has changed, it remains on the United Kingdom register, and the aircraft has a restricted certificate of airworthiness not conforming to a restricted type-certificate, that restricted certificate must be transferred together with the aircraft.]U.K.

Textual Amendments

Textual Amendments

F185Words in Annex 1 point 21.A.179 heading omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 201(7)(a) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

21.A.180InspectionsU.K.

F188. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

21.A.181Duration and continued validityU.K.
(a)

An airworthiness certificate shall be issued for an unlimited duration. It shall remain valid subject to:

1.

[F189the aircraft continuing to comply with the applicable type design and continued airworthiness requirements; and]

2.

the aircraft remaining on the same register; and

3.

the type-certificate or restricted type-certificate under which it is issued not being previously invalidated under point 21.A.51;

4.

[F190the certificate having not been revoked by the CAA under point 21.B.65 or surrendered by the certificate holder.]

(b)

Upon surrender or revocation, the certificate shall be returned to the [F191CAA].

Textual Amendments

F189Annex 1 point 21.A.181(a)(1) substituted (21.6.2023) by The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(2), 6(8)(c)(i)

21.A.182Aircraft identificationU.K.

Each applicant for an airworthiness certificate under this Subpart shall demonstrate that its aircraft is identified in accordance with Subpart Q.

SUBPART I —NOISE CERTIFICATESU.K.

21.A.201ScopeU.K.

This Subpart establishes the procedure for issuing noise certificates.

21.A.203EligibilityU.K.

Any natural or legal person under whose name an aircraft is registered or will be registered in [F192the United Kingdom], or its representative, shall be eligible as an applicant for a noise certificate for that aircraft under this Subpart.

Textual Amendments

21.A.204ApplicationU.K.
(a)Pursuant to point 21.A.203, an application for a noise certificate shall be made in a form and manner established by the [F193CAA].U.K.

Textual Amendments

(b)Each application shall include:U.K.
1.

with regard to new aircraft:

(i)

a statement of conformity:

  • issued under point 21.A.163(b), or

  • issued under point 21.A.130 and validated by the competent authority, or

  • for an imported aircraft, a statement, signed by the exporting authority that the aircraft conforms to a design approved by the [F194CAA]; and

(ii)

the noise information determined in accordance with the applicable noise requirements;

2.

with regard to used aircraft:

(i)

the noise information determined in accordance with the applicable noise requirements; and

(ii)

historical records to establish the production, modification, and maintenance standard of the aircraft.

Textual Amendments

(c)Unless otherwise agreed, the statements referred to in point (b)(1) shall be issued no more than 60 days before presentation of the aircraft to the [F195CAA].U.K.

Textual Amendments

21.A.207Amendment or modificationU.K.

A noise certificate may be amended or modified only by the [F196CAA].

Textual Amendments

21.A.209Transferability and re-issuance F197...U.K.

Where ownership of an aircraft has [F198changed and it remains on the United Kingdom register, the noise certificate must be transferred together with the aircraft.]

Textual Amendments

(a)

F199...

(b)

F199...

Textual Amendments

Textual Amendments

F197Words in Annex 1 point 21.A.209 heading omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 202(5)(a) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

21.A.210InspectionsU.K.

F200. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

21.A.211Duration and continued validityU.K.
(a)

A noise certificate shall be issued for an unlimited duration. It shall remain valid subject to:

1.

compliance with the applicable type-design, environmental protection and continuing airworthiness requirements; and

2.

the aircraft remaining on the same register; and

3.

the type-certificate or restricted type-certificate under which it is issued not being previously invalidated under point 21.A.51;

4.

[F201the certificate having not been revoked by the CAA under point 21.B.65 or surrendered by the certificate holder.]

(b)

Upon surrender or revocation, the certificate shall be returned to the [F202CAA].

Textual Amendments

SUBPART J —DESIGN ORGANISATION APPROVALU.K.

[F921.A.231 Scope U.K.

This Subpart establishes the procedure for the approval of design organisations and rules governing the rights and obligations of applicants for, and holders of, such approvals. In this Subpart, the references to type-certificates include type-certificates and restricted type-certificates.]

21.A.233EligibilityU.K.

Any natural or legal person (‘organisation’) shall be eligible as an applicant for an approval under this Subpart

(a)

in accordance with points 21.A.14, 21.A.112B, 21.A.432B or 21.A.602B; or

(b)

for approval of minor changes or minor repair design, when requested for the purpose of obtaining privileges under point 21.A.263.

21.A.234ApplicationU.K.

Each application for a design organisation approval shall be made in a form and manner established by the [F203CAA] and shall include an outline of the information required by point 21.A.243, and the terms of approval requested to be issued under point 21.A.251.

Textual Amendments

21.A.235Issue of design organisation approvalU.K.

An organisation shall be entitled to have a design organisation approval issued by the [F204CAA] when it has demonstrated compliance with the applicable requirements under this Subpart.

Textual Amendments

[F20521.A.239Design management systemU.K.
(a)

The design organisation must establish, implement and maintain a design management system that includes a safety management element and a design assurance element with clearly defined accountability and lines of responsibility throughout the organisation.

(b)

The design management system must:

1.

correspond to the size of the organisation and to the nature and complexity of its activities, taking into account the hazards and associated risks inherent in those activities;

2.

be established, implemented and maintained under the accountability of a single manager appointed pursuant to point 21.A.245(a).

(c)

As part of the safety management element of the design management system, the design organisation must:

1.

establish, implement and maintain a safety policy and the corresponding related safety objectives;

2.

appoint key safety personnel in accordance with point 21.A.245(b);

3.

establish, implement and maintain a safety risk management process that includes the identification of aviation safety hazards entailed by its activities, their evaluation and the management of the associated risks, including taking actions to mitigate the risks and verify their effectiveness;

4.

establish, implement and maintain a safety assurance process that includes:

(i)

the measurement and monitoring of the organisation’s safety performance;

(ii)

the management of changes in accordance with points 21.A.243(c) and 21.A.247;

(iii)

the principles for the continuous improvement of the safety management element;

5.

promote safety in the organisation through:

(i)

training and education;

(ii)

communication;

6.

establish an occurrence reporting system in accordance with point 21.A.3A in order to contribute to continuous improvement of safety.

(d)

As part of the design assurance element of the design management system, the design organisation must:

1.

establish, implement, and maintain a system for control and supervision of the design, of design changes and repairs, of products, parts and appliances covered by the terms of approval, which must:

(i)

include an airworthiness function responsible for ensuring that the design of products, parts and appliances, or the design changes and repairs, comply with the applicable type-certification basis, the applicable operational suitability data certification basis and the environmental protection requirements;

(ii)

ensure that the design organisation properly discharges its responsibilities in accordance with this Annex and with the terms of approval issued under point 21.A.251;

2.

establish, implement and maintain an independent verification function on the basis of which the design organisation demonstrates compliance with the applicable airworthiness, operational suitability data and environmental protection requirements;

3.

specify the manner in which the design management system accounts for the acceptability of the parts or appliances that are designed or the tasks that are performed by its partners or subcontractors according to the methods which are the subject of written procedures.

(e)

The design organisation must establish, as part of the design management system, an independent monitoring function to verify compliance of the organisation with the relevant requirements of this Annex as well as the compliance with, and adequacy of, the design management system. Monitoring must include feedback to the person referred to in point 21.A.245(b) and to the manager referred to in point 21.A.245(a) to ensure, where necessary, the implementation of appropriate corrective action.

(f)

If the design organisation holds one or more additional organisation certificates within the scope of Regulation (EU) 2018/1139, the design management system may be integrated with that required under the additional certificate.]

Textual Amendments

21.A.243[F206Design handbook and flight test operations manual]U.K.
(a)

[F207As part of the design management system, the design organisation must provide the CAA with a handbook that describes, directly or by cross reference:

(1)

the organisation and its relevant policies, processes and procedures;

(2)

the type of design work and the categories of products, parts and appliances for which the design organisation holds a design organisation approval, as identified in the terms of approval issued under point 21.A.251 (terms of approval);

(3)

where relevant, the interfaces with and the control of its partners or subcontractors.

(aa)

If flight tests are to be conducted, a flight test operations manual that defines the organisation’s policies and procedures in relation to flight tests must also be provided to the CAA. The flight test operations manual must include:

(1)

a description of the organisation’s processes for flight tests, including any involvement by a flight test organisation in the permit to fly issuance process;

(2)

crewing policy, including composition, competency, currency and flight time limitations, in accordance with Appendix XII (categories of flight tests and associated flight test crew qualifications), where applicable;

(3)

procedures for the carriage of persons other than crew members and for flight test training, when applicable;

(4)

a policy for risk and safety management and associated methodologies;

(5)

procedures to identify the instruments and equipment that must be carried on board the aircraft;

(6)

a list of documents that need to be produced for flight tests.]

(b)

Where any parts or appliances or any changes to the products are designed by partner organisations or subcontractors, the handbook shall include a statement of how the design organisation is able to [F208demonstrate], for all parts and appliances, the assurance of compliance required by point [F20921.A.239(d)(2)], and shall contain, directly or by cross-reference, descriptions and information on the design activities and organisation of those partners or subcontractors, as necessary to establish this statement.

(c)

The handbook shall be amended as necessary to remain an up-to-date description of the organisation, and copies of amendments shall be supplied to the [F210CAA].

(d)

[F211The design organisation must establish, maintain and supply to the CAA a statement of the qualifications and experience of the management staff and of other persons in the organisation who are responsible for decisions that affect airworthiness, operational suitability data and environmental protection.]

Textual Amendments

F207Annex 1 point 21.A.243(a)(aa) substituted for point 21.A.243(a) (6.12.2024) by The Aviation Safety (Amendment) Regulations 2024 (S.I. 2024/1290), regs. 1(2), 23(2)(c)

Textual Amendments

[F21221.A.245 ResourcesU.K.
(a)

The design organisation must appoint a head of the design organisation, who is an accountable manager, to ensure that the organisation’s design activities are performed to the required standards and that the design organisation continues to comply with the requirements of the design management system referred to in point 21.A.239 and the procedures specified in the handbook referred to in point 21.A.243.

(b)

The head of the design organisation must nominate and determine the extent of the authority of:

1.

a head of airworthiness;

2.

a head of independent monitoring;

3.

depending on the size of the organisation and the nature and complexity of its activities, any other person that is required to ensure that the organisation complies with the requirements of this Annex.

(c)

By way of derogation from point 21.A.245(b)(1), the airworthiness function referred to in point 21.A.239(d)(1)(i) may be performed under the direct supervision of the head of the design organisation where:

1.

the scope of activities, or work, of the design organisation, as identified in the terms of approval issued under point 21.A.251, is limited to minor changes, minor repairs, or both; or

2.

for a limited period of time, which is to be agreed with the CAA, the design organisation does not have a nominated head of airworthiness and the exercise of that function under the direct supervision of the head of the design organisation is commensurate with the scope and level of the organisation’s activities.

(d)

The persons nominated pursuant to point (b) must:

1.

have direct access to, and be answerable to, the head of the design organisation;

2.

have the appropriate knowledge, background and experience to discharge their responsibilities.

(e)

The design organisation must ensure that:

1.

there are sufficient number of suitably experienced technical department staff with the appropriate authority to discharge their allocated responsibilities and the facilities, equipment and accommodation are adequate to enable those staff to fulfil the airworthiness, operational suitability data and environmental protection requirements as regards the product;

2.

there is full and efficient coordination between the departments and within the departments in respect of airworthiness, operational suitability data and environmental protection matters.]

Textual Amendments

[F1421.A.247 Changes in design [F213management] system U.K.

After the issue of a design organisation approval, each change to the design [F214management] system that is significant to the showing of compliance or to the airworthiness, operational suitability and environmental protection of the product, [F215part or appliance] shall be approved by the [F216CAA][F217before being implemented]. An application for approval shall be submitted in writing to the [F216CAA] and the design organisation shall demonstrate to the [F216CAA], on the basis of submission of proposed changes to the handbook, and before implementation of the change, that it will continue to comply with this Subpart after implementation.]

Textual Amendments

Textual Amendments

F213Word in Annex 1 point 21.A.247 heading substituted (1.7.2024) by The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(3), 6(9)(d)

21.A.249TransferabilityU.K.

Except as a result of a change in ownership, which is deemed significant for the purposes of point 21.A.247, a design organisation approval is not transferable.

[F921.A.251 Terms of approval U.K.

The terms of approval shall identify the types of design work, the categories of products, parts and appliances for which the design organisation holds a design organisation approval, and the functions and duties that the organisation is approved to perform with regard to the airworthiness, operational suitability and environmental characteristics of the products. For design organisation approvals covering type-certification or [F218UKTSO] authorisation for auxiliary power units (APUs), the terms of approval shall contain in addition the list of products or APUs. Those terms shall be issued as part of a design organisation approval.]

Textual Amendments

21.A.253Changes to the terms of approvalU.K.

Each change to the terms of approval shall be approved by the [F219CAA]. An application for a change to the terms of approval shall be made in a form and manner established by the [F219CAA]. The design organisation shall comply with the applicable requirements of this Subpart.

Textual Amendments

21.A.257InvestigationsU.K.
F220. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F22121.A.258Findings and observationsU.K.
(a)

After receipt of a notification of findings in accordance with point 21.B.433, the holder of the design organisation approval must:

1.

identify the root cause of, and any contributing factors to, the non-compliance;

2.

establish a corrective action plan;

3.

demonstrate the implementation of the corrective action plan to the satisfaction of the CAA.

(b)

The actions in point (a) must be undertaken within the period set by the CAA in accordance with point 21.B.433.

(c)

Where the holder of the design organisation approval certificate receives a notification of observations pursuant to 21.B.433(e), the holder of the design organisation approval certificate must give due consideration to the observations made and must keep a record of decisions taken in respect of those observations.]

Textual Amendments

21.A.259Duration and continued validityU.K.
(a)

[F222The CAA must issue a design organisation approval for an unlimited period of time pursuant to point 21.B.430. It is valid from the date of issue and remains valid subject to compliance with all the following conditions:

1.

the design organisation continues to comply with Regulation (EU) 2018/1139, taking into account the provisions of point 21.B.433 of this Annex related to the handling of findings;

2.

the holder of the design organisation approval, and its partners and subcontractors as appropriate, acknowledge that the CAA may carry out investigations in accordance with point 21.A.8;

3.

the design organisation provides the CAA with evidence showing that the design management system of the organisation maintains satisfactory control and supervision of the design of products, repairs and changes to the products under the approval;

4.

the design organisation approval certificate has not been revoked by the CAA under point 21.B.65 or surrendered by the design organisation.

(b)

Upon surrender or revocation, the production organisation approval certificate must be returned to the CAA.]

Textual Amendments

[F921.A.263 Privileges U.K.
(a)

(Reserved)

(b)

(Reserved)

(c)

A holder of a design organisation approval shall be entitled, within the scope of its terms of approval [F223issued under point 21.A.251], and under the relevant procedures of the [F224design management system]:

1.

to classify changes to a type-certificate or to a supplemental type-certificate and repair designs as ‘ major ’ or ‘minor’ ;

2.

to approve minor changes to a type-certificate or to a supplemental type-certificate and minor repair designs;

3.

(Reserved);

4.

(Reserved);

5.

to approve certain major repair designs under Subpart M to products or auxiliary power units (APUs);

6.

to approve for certain aircraft the flight conditions under which a permit to fly can be issued in accordance with point 21.A.710(a)(2), except for permits to fly to be issued for the purpose of point 21.A.701(a)(15);

7.

to issue a permit to fly in accordance with point 21.A.711(b) for an aircraft it has designed or modified, or for which it has approved, in accordance with point 21.A.263(c)(6), the flight conditions under which the permit to fly can be issued, and where the holder of a design organisation approval itself:

(i)

controls the configuration of the aircraft, and

(ii)

attests conformity with the design conditions approved for the flight;

8.

to approve certain major changes to a type-certificate under Subpart D; and

9.

to issue certain supplemental type-certificates under Subpart E and approve certain major changes to those certificates.]

Textual Amendments

F224Words in Annex 1 point 21.A.263(c) substituted (1.7.2024) by The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(3), 6(9)(i)(ii)

[F921.A.265 Obligations of the holder U.K.

The holder of a design organisation approval shall, within the scope of its terms of approval, as established by the [F225CAA]:

(a)

maintain the handbook required under point 21.A.243 in conformity with the design assurance system;

(b)

ensure that this handbook or the relevant procedures included by cross-reference are used as a basic working document within the organisation;

(c)

[F226determine that the design of the products, or of the changes or repairs to the products, complies with the applicable type-certification basis, operational suitability data certification basis, and the environmental protection requirements, and has no unsafe features; ]

(d)

provide the [F225CAA] with statements and associated documentation confirming compliance with point (c), except for approval processes carried out in accordance with point 21.A.263(c);

(e)

provide to the [F225CAA] data and information related to the actions required under point 21.A.3B;

(f)

determine, in accordance with point 21.A.263(c)(6), the flight conditions under which a permit to fly can be issued;

(g)

establish, in accordance with point 21.A.263(c)(7), compliance with points (b) and (e) of point 21.A.711 before issuing a permit to fly to an aircraft;

(h)

designate data and information issued under the authority of the approved design organisation within the scope of its terms of approval as established by the [F225CAA] with the following statement: ‘The technical content of this document is approved under the authority of the DOA ref. [F227CAA.21J].[XXXX]’.]

(i)

[F228comply with Subpart A of this Section.]

Textual Amendments

F227Word in Annex 1 point 21.A.265(h) substituted (21.6.2023) by The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(2), 6(9)(j)(ii)

SUBPART K —PARTS AND APPLIANCESU.K.

21.A.301ScopeU.K.

This Subpart establishes the procedure relating to the approval of parts and appliances.

21.A.303Compliance with applicable requirementsU.K.

The showing of compliance of parts and appliances to be installed in a type-certificated product shall be made:

(a)

in conjunction with the type-certification procedures of Subpart B, D or E for the product in which it is to be installed; or

(b)

where applicable, under the [F229UKTSO] authorisation procedures of Subpart O; or

(c)

in the case of standard parts, in accordance with officially recognised Standards.

Textual Amendments

21.A.305Approval of parts and appliancesU.K.

In all cases where the approval of a part or appliance is explicitly required by F230... law or [F231CAA] measures, the part or appliance shall comply with the applicable [F232UKTSO] or with the specifications recognised as equivalent by the [F233CAA] in the particular case.

Textual Amendments

[F23421.A.307The eligibility of parts and appliances for installationU.K.
(a)

A part or appliance is eligible for installation in a type-certified product when it is in a condition for safe operation, marked in accordance with Subpart Q and accompanied by an authorised release certificate (CAA Form 1), certifying that the item was manufactured in conformity with approved design data.

(b)

By way of derogation from point (a), where the conditions in point (c) are met, the following parts or appliances do not require a CAA Form 1 in order to be eligible for installation in a type-certified product:

1.

a standard part;

2.

in the case of ELA1 or ELA2, a part or appliance that is:

(i)

not life-limited, nor part of the primary structure, nor part of the flight controls;

(ii)

identified for installation in the specific aircraft; and

(iii)

to be installed in an aircraft whose owner has verified compliance with the applicable conditions in (i) and (ii), and has accepted responsibility for this compliance;

3.

a part or appliance for which the consequences of a non-conformity with its approved design data have a negligible safety effect on the product, and which is identified as such by the holder of the design approval in the instructions for continued airworthiness. In order to determine the safety effects of a non-conforming part or appliance, the design approval holder may establish in the instructions for continued airworthiness specific verification activities to be conducted by the installer of the part or appliance on the product;

4.

in the case of the embodiment of a standard change in accordance with point 21.A.90B, or a standard repair in accordance with point 21.A.431B, a part or appliance for which the consequences of a non-conformity with its design data have a negligible safety effect on the product, and which is identified as such in the certification specifications for standard changes and standard repairs issued in accordance with point 21.A.90B(a)(2) and 21.A.431B(a)(2). In order to determine the safety effects of a non-conforming part or appliance, specific verification activities to be conducted by the installer of the part or appliance on the product may be established in the certification specifications referred to above;

5.

a part or appliance exempted from an airworthiness approval under Commission Regulation (EU) No 965/2012; and

6.

a part or appliance that is an item of a higher assembly identified in points (1) to (5).

(c)

Parts and appliances listed in point (b) are eligible for installation in a type-certified product without being accompanied by a CAA Form 1, provided that the installer holds a document issued by the person or organisation that manufactured the part or appliance, which declares the name of the part or appliance, the part number, and the conformity of the part of appliance with its design data, and which contains the issuance date.]

Textual Amendments

(SUBPART L — NOT APPLICABLE)U.K.

SUBPART M —REPAIRSU.K.

21.A.431AScopeU.K.
[F9(a) This Subpart establishes the procedure for the approval of a repair design of a product, part or appliance and establishes the rights and obligations of the applicants for, and holders of, those approvals.]U.K.
(b)This Subpart defines standard repairs that are not subject to an approval process under this Subpart.U.K.
[F9(c) A ‘ repair ’ means the elimination of damage and/or restoration to an airworthy condition following the initial release to service by the manufacturer of any product, part or appliance. U.K.
(d) The elimination of damage by replacement of parts or appliances without the necessity for design activity shall be considered as a maintenance task and shall therefore require no approval under this Annex.]U.K.
(e)A repair to an [F235UKTSO] article other than an Auxiliary Power Unit (APU) shall be treated as a change to the [F235UKTSO] design and shall be processed in accordance with point 21.A.611.U.K.

Textual Amendments

[F10(f) In this Subpart, the references to type-certificates include type-certificates and restricted type-certificates.]U.K.
21.A.431BStandard repairsU.K.
(a)Standard repairs are repairs:U.K.
(1)

in relation to:

(i)

aeroplanes of 5 700 kg Maximum Take-Off Mass (MTOM) or less;

(ii)

rotorcraft of 3 175 kg MTOM or less;

(iii)

sailplanes and powered sailplanes, balloons and airships as defined in ELA1 or ELA2.

(2)

that follow design data included in certification specifications issued by the [F236CAA], containing acceptable methods, techniques and practices for carrying out and identifying standard repairs, including the associated instructions for [F237continued] airworthiness; and

(3)

that are not in conflict with TC holders data.

Textual Amendments

F236Word in Annex 1 point 21.A.431B(a)(2) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 205(3) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F237Word in Annex 1 point 21.A.431B(a) substituted (21.6.2023) by The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(2), 6(11)(a)

(b)Points 21.A.432A to 21.A.451 are not applicable to standard repairs.U.K.
21.A.432AEligibilityU.K.
(a)Any natural or legal person that has demonstrated, or is in the process of demonstrating, its capability under point 21.A.432B shall be eligible as an applicant for a major repair design approval under the conditions laid down in this Subpart.U.K.
(b)Any natural or legal person shall be eligible to apply for approval of a minor repair design.U.K.
21.A.432BDemonstration of capabilityU.K.
[F9(a) An applicant for approval of a major repair design shall demonstrate its capability by holding a design organisation approval, issued by the [F238CAA] in accordance with Subpart J.]U.K.

Textual Amendments

(b)By way of derogation from point (a), as an alternative procedure to demonstrate its capability, an applicant may seek [F238CAA] agreement for the use of procedures setting out the specific design practices, resources and sequence of activities necessary to comply with this Subpart.U.K.
[F9(c) By way of derogation from point (a), in the case of products referred to in point 21.A.14(c), an applicant may demonstrate its capability by obtaining the [F239CAA’s] acceptance of its certification programme established in accordance with point 21.A.432C(b).]U.K.

Textual Amendments

F239Word in Annex 1 point 21.A.432B(c) substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 61(5)(a)

[F1021.A.432C Application for a repair design approval U.K.
(a)

An application for a repair design approval shall be made in a form and manner established by the [F240CAA].

(b)

An application for a major repair design approval shall include, or be supplemented after the initial application, [F241by] a certification programme containing:

1.

a description of the damage and repair design identifying the configuration of the type design upon which the repair is made;

2.

an identification of all areas of the type design and the approved manuals that are changed or affected by the repair design;

3.

an identification of any reinvestigations necessary to demonstrate compliance of the repair design and areas affected by the repair design with the type-certification basis incorporated by reference in, as applicable, either the type-certificate, the supplemental type-certificate or the APU ETSO authorisation;

4.

any proposed amendments to the type-certification basis incorporated by reference in, as applicable, either the type-certificate, the supplemental type-certificate or the APU ETSO authorisation;

5.

a proposal for a breakdown of the certification programme into meaningful groups of compliance demonstration activities and data, including the means and process proposed to be followed to demonstrate compliance with point 21.A.433(a)(1) and references to related compliance documents;

6.

a proposal for the assessment of the meaningful groups of compliance demonstration activities and data, addressing the likelihood of an unidentified non-compliance with the type-certification basis and the potential impact of that non-compliance on product safety. The proposed assessment shall take into account at least the elements set out in subpoints (1)-(4) of point 21.B.100(a). Based on this assessment, the application shall include a proposal for the [F242CAA’s] involvement in the verification of the compliance demonstration activities and data; and

7.

the specification whether the certification data is prepared completely by the applicant or on the basis of an arrangement with the owner of the type-certification data.]

Textual Amendments

F240Word in Annex 1 point 21.A.432C(a) substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 61(5)(b)(i)

F241Word in Annex 1 point 21.A.432C(b) inserted (21.6.2023) by virtue of The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(2), 6(11)(b)

F242Word in Annex 1 point 21.A.432C(b)(6) substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 61(5)(b)(ii)

[F921.A.433 Requirements for approval of a repair design U.K.
(a)

A repair design shall only be approved:

1.

when it has been demonstrated, following the certification programme referred to in point 21.A.432C(b), that the repair design complies with the type-certification basis incorporated by reference in, as applicable, either the type-certificate, the supplemental type-certificate or the APU [F243UKTSO] authorisation, as well as with any amendments established and notified by the [F244CAA] in accordance with point 21.B.450;

2.

when compliance with the type-certification basis that applies in accordance with point (a)(1) has been declared and the justifications of compliance have been recorded in the compliance documents;

3.

when no feature or characteristic has been identified that may make the product unsafe for the uses for which certification is requested; F245...

4.

where the applicant has specified that it provided certification data on the basis of an arrangement with the owner of the type-certification data in accordance with point 21.A.432C(b)(7):

(i)

when the holder has indicated that it has no technical objection to the information submitted under point (a)(2); and

(ii)

when the holder has agreed to collaborate with the repair design approval holder to ensure discharge of all obligations for continued airworthiness of the changed product through compliance with point 21.A.451 [F246; and

5.

when, for a repair to an aeroplane subject to point 26.302 of Annex I to Regulation (EU) 2015/640, it has been demonstrated that the structural integrity of the repair and affected structure is at least equivalent to the level of structural integrity established for the baseline structure by point 26.302 of Annex I to that Regulation].

(b)

The applicant shall submit to the [F247CAA] the declaration referred to in point (a)(2) and, on request by the [F247CAA], all necessary substantiation data.

Textual Amendments

F245Word in Annex 1 point 21.A.433(a) omitted (21.6.2023) by virtue of The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(2), 6(11)(c)(i)

F246Annex 1 point 21.A.433(a)(5) and word inserted (21.6.2023) by The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(2), 6(11)(c)(ii)

21.A.435 Classification and approval of repair designs U.K.
(a)

A repair design shall be classified as either ‘ major ’ or ‘ minor ’ in accordance with the criteria set out in point 21.A.91 for a change to the type-certificate.

(b)

A repair design shall be classified and approved by:

1.

the [F248CAA]; or

2.

an approved design organisation within the scope of its privileges provided for in points (1), (2) and (5) of point 21.A.263(c), as recorded in the terms of approval.]

Textual Amendments

F6521.A.437Issue of a repair design approvalU.K.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

21.A.439Production of repair partsU.K.

Parts and appliances to be used for the repair shall be manufactured in accordance with production data based upon all the necessary design data as provided by the repair design approval holder:

(a)

under Subpart F; or

(b)

by an organisation appropriately approved in accordance with Subpart G; or

(c)

by an appropriately approved maintenance organisation.

21.A.441Repair embodimentU.K.
[F89(a) The embodiment of a repair shall be made in accordance with Annex I (Part-M), Annex II (Part-145), Annex Vb (Part-ML) or Annex Vd (Part-CAO) of Regulation (EU) No 1321/2014, or by a production organisation approved in accordance with Subpart G of this Annex, in accordance with the privilege provided for in point 21.A.163(d).]U.K.
(b)The design organisation shall transmit to the organisation performing the repair all the necessary installation instructions.U.K.
21.A.443LimitationsU.K.

A repair design may be approved subject to limitations, in which case the repair design approval shall include all necessary instructions and limitations. These instructions and limitations shall be transmitted by the repair design approval holder to the operator in accordance with a procedure agreed with the [F249CAA].

Textual Amendments

21.A.445Unrepaired damageU.K.
(a)When a damaged product, part or appliance, is left unrepaired, and is not covered by previously approved data, the evaluation of the damage for its airworthiness consequences may only be made:U.K.
1.

by the [F250CAA]; or

2.

by an appropriately approved design organisation under a procedure agreed with the [F250CAA].

Textual Amendments

Any necessary limitations shall be processed in accordance with the procedures of point 21.A.443.

(b)Where the organisation evaluating the damage under point (a) is neither the [F251CAA] nor the type-certificate, supplemental type-certificate or APU [F252UKTSO] authorisation holder, this organisation shall justify that the information on which the evaluation is based is adequate either from its organisation’s own resources or through an arrangement with the type-certificate, supplemental type-certificate or APU [F252UKTSO] authorisation holder, or manufacturer, as applicable.U.K.

Textual Amendments

21.A.447Record-keepingU.K.

F253. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

21.A.449Instructions for continued airworthinessU.K.

F254. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

Textual Amendments

21.A.451Obligations and [F255UKPA] markingU.K.
(a)

Each holder of a major repair design approval shall:

1.

undertake the obligations:

(i)

laid down in points 21.A.3A, 21.A.3B, 21.A.4, [F25621.A.5 to 21.A.8,] 21.A.439, 21.A.441 [F257and 21.A.443];

(ii)

implicit in the collaboration with the type-certificate, supplemental type-certificate and with the APU [F258UKTSO] authorisation holder under point 21.A.433 (b), as appropriate.

2.

specify the marking, including [F259UKPA] letters, in accordance with point 21.A.804(a).

(b)

Except for type-certificate holders or APU authorisation holders for which point 21.A.44 applies, the holder of a minor repair design approval shall:

1.

undertake the obligations laid down in points 21.A.4, [F26021.A.5 and 21.A.7]; and

2.

specify the marking, including [F261UKPA] letters, in accordance with point 21.A.804(a).

Textual Amendments

F258Word in Annex 1 point 21.A.451(a)(1)(ii) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 205(12)(b) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

Textual Amendments

(SUBPART N — NOT APPLICABLE)U.K.

SUBPART O —[F262UNITED KINGDOM] TECHNICAL STANDARD ORDER AUTHORISATIONSU.K.

21.A.601ScopeU.K.

This Subpart establishes the procedure for issuing [F263UKTSO] authorisations and the rules governing the rights and obligations of applicants for, or holders of, such authorisations.

Textual Amendments

21.A.602AEligibilityU.K.

Any natural or legal person that produces or is preparing to produce an [F264UKTSO] article, and that has demonstrated, or is in the process of demonstrating, its capability under point 21.A.602B shall be eligible as an applicant for an [F264UKTSO] authorisation.

Textual Amendments

21.A.602BDemonstration of capabilityU.K.

Any applicant for an [F265UKTSO] authorisation shall demonstrate its capability as follows:

Textual Amendments

(a)

for production, by holding a production organisation approval, issued in accordance with Subpart G, or through compliance with Subpart F procedures; and

(b)

for design:

1.

for an Auxiliary Power Unit, by holding a design organisation approval, issued by the [F266CAA] in accordance with Subpart J;

2.

for all other articles, by using procedures setting out the specific design practices, resources and sequence of activities necessary to comply with this Annex I (Part 21).

Textual Amendments

21.A.603ApplicationU.K.
(a)An application for an [F267UKTSO] authorisation shall be made in a form and manner established by the [F268CAA] and shall include an outline of the information required by point 21.A.605.U.K.

Textual Amendments

(b)When a series of minor changes in accordance with point 21.A.611 is anticipated, the applicant shall set forth in its application the basic model number of the article and the associated part numbers with open brackets after it to denote that suffix change letters or numbers (or combinations of them) will be added from time to time.U.K.
[F921.A.604 [F269UKTSO] authorisation for an auxiliary power unit (APU) U.K.

With regard to an [F269UKTSO] authorisation for an APU:

(a)

by way of derogation from points [F27021.A.8,] 21.A.603, 21.A.610 and [F27121.A.621], the following points shall apply: points 21.A.15, 21.A.20, 21.A.21, 21.A.31, 21.A.33, 21.A.44, [F27221.A.47,] 21.B.75 and 21.B.80. However, an [F269UKTSO] authorisation shall be issued in accordance with point 21.A.606 instead of a type-certificate;

(b)

[F89by way of derogation from point 21.A.611, the requirements of Subpart D shall apply to the approval of design changes by the APU [F269UKTSO] authorisation holder and design changes from other applicants classified as a minor change, and the requirements of Subpart E shall apply to the approval of design changes by other applicants classified as a major change. Where the requirements of Subpart E apply, a separate [F269UKTSO] authorisation shall be issued instead of a supplemental type certificate; and]

(c)

the requirements of Subpart M shall apply to the approval of repair designs.

Textual Amendments

Textual Amendments

21.A.605 Data requirements U.K.
(a)

The applicant shall submit to the [F273CAA] the following documents:

1.

a certification programme for the [F274UKTSO] authorisation, setting out the means to demonstrate compliance with point 21.A.606(b);

2.

a statement of compliance certifying that the applicant has met the requirements of this Subpart;

3.

a declaration of design and performance (DDP), stating that the applicant has demonstrated that the article complies with the applicable [F274UKTSO] in accordance with the certification programme;

4.

a copy of the technical data required in the applicable [F274UKTSO];

5.

the exposition, or a reference to the exposition, referred to in point 21.A.143 for the purpose of obtaining an appropriate production organisation approval under Subpart G or the manual, or a reference to the manual, referred to in point 21.A.125A(b) for the purpose of manufacturing under Subpart F without production organisation approval;

6.

for an APU, the handbook, or a reference to the handbook, referred to in point 21.A.243 for the purpose of obtaining an appropriate design organisation approval under Subpart J;

7.

for all other articles, the procedures, or a reference to the procedures, referred to in point 21.A.602B(b)(2);

(b)

The applicant shall report to the [F275CAA] any difficulty or event encountered during the approval process that may significantly impact the [F276UKTSO] authorisation.

Textual Amendments

21.A.606 Requirements for the issuance of an [F277UKTSO] authorisation U.K.

In order to be issued an [F277UKTSO] authorisation, the applicant shall:

(a)

demonstrate its capability in accordance with point 21.A.602B;

(b)

demonstrate that the article complies with the technical conditions of the applicable [F277UKTSO] or with deviations therefrom approved in accordance with point 21.A.610, if any;

(c)

comply with the requirements of this Subpart; and

(d)

declare that no feature or characteristic has been identified that may make the article unsafe for the uses for which certification is requested.]

Textual Amendments

21.A.607[F278UKTSO] authorisation privilegesU.K.

The holder of an [F278UKTSO] authorisation is entitled to produce and to mark the article with the appropriate [F278UKTSO] marking.

Textual Amendments

21.A.608Declaration of Design and Performance (DDP)U.K.
(a)The DDP shall contain at least the following information:U.K.
1.

information corresponding to point 21.A.31(a) and (b), identifying the article and its design and testing standard;

2.

the rated performance of the article, where appropriate, either directly or by reference to other supplementary documents;

3.

a statement of compliance certifying that the article has met the appropriate [F279UKTSO];

4.

reference to relevant test reports;

5.

reference to the appropriate Maintenance, Overhaul and Repair Manuals;

6.

the levels of compliance, where various levels of compliance are allowed by the [F279UKTSO];

7.

list of deviations accepted in accordance with point 21.A.610.

Textual Amendments

(b)The DDP shall be endorsed with the date and signature of the holder of the [F279UKTSO] authorisation, or its authorised representative.U.K.
21.A.609Obligations of holders of [F280UKTSO] authorisationsU.K.

The holder of an [F280UKTSO] authorisation under this Subpart shall:

(a)

manufacture each article in accordance with Subpart G or Subpart F that ensures that each completed article conforms to its design data and is safe for installation;

(b)

prepare and maintain, for each model of each article for which an [F280UKTSO] authorisation has been issued, [F281an updated set of complete technical data and records in accordance with point 21.A.5;]

(c)

prepare, maintain and update master copies of all manuals required by the applicable airworthiness specifications for the article;

(d)

make available to users of the article and to the [F282CAA] on request those maintenance, overhaul and repair manuals necessary for the usage and maintenance of the article, and changes to those manuals;

(e)

mark each article in accordance with point 21.A.807;

(f)

comply with points 21.A.3A, 21.A.3B [F283, 21.A.4 and 21.A.8;]

(g)

continue to meet the qualification requirements of point 21.A.602B.

Textual Amendments

F281Word in Annex 1 point 21.A.609(b) substituted (1.7.2024) by The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(3), 6(12)(b)(i)

Textual Amendments

21.A.610Approval for deviationU.K.
(a)Each manufacturer who requests approval to deviate from any performance standard of an [F284UKTSO] shall demonstrate that the standards from which a deviation is requested are compensated for by factors or design features providing an equivalent level of safety.U.K.

Textual Amendments

(b)The request for approval to deviate, together with all pertinent data, shall be submitted to the [F285CAA].U.K.

Textual Amendments

21.A.611Design changesU.K.
(a)The holder of the [F286UKTSO] authorisation may make minor design changes (any change other than a major change) without further authorisation by the [F287CAA]. In this case, the changed article keeps the original model number (part number changes or amendments shall be used to identify minor changes) and the holder shall forward to the [F287CAA] any revised data that are necessary for compliance with point 21.A.603(b).U.K.

Textual Amendments

(b)Any design change by the holder of the [F288UKTSO] authorisation that is extensive enough to require a substantially complete investigation to determine compliance with an [F288UKTSO] is a major change. Before making such a change, the holder shall assign a new type or model designation to the article and apply for a new authorisation under point 21.A.603.U.K.

Textual Amendments

(c)No design change by any natural or legal person other than the holder of the [F289UKTSO] authorisation who submitted the statement of compliance for the article is eligible for approval under this Subpart O unless the person seeking the approval applies under point 21.A.603 for a separate [F289UKTSO] authorisation.U.K.

Textual Amendments

21.A.613Record-keepingU.K.

F290. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

21.A.615Inspection by the CAA U.K.

F291. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

21.A.619[F292Duration and continued validityU.K.
(a)

A UKTSO authorisation, issued by the CAA under point 21.B.480, is valid from the date of issue and remains valid for an unlimited period subject to compliance with the following conditions:

1.

the conditions set when the UKTSO authorisation was issued continue to be observed by the UKTSO authorisation holder;

2.

the obligations specified in point 21.A.609 continue to be discharged by the UKTSO authorisation holder;

3.

the UKTSO authorisation holder, and its suppliers and subcontractors as appropriate, acknowledge that the CAA may carry out investigations in accordance with point 21.A.8;

4.

in the opinion of the CAA the UKTSO article has not given rise to unacceptable hazards in service;

5.

the UKTSO authorisation has not been revoked by the CAA under point 21.B.65 or surrendered by its holder.

(b)

Upon surrender or revocation, the UKTSO authorisation must be returned to the CAA.]

Textual Amendments

21.A.621TransferabilityU.K.

Except for a change in ownership of the holder, which shall be regarded as a change of significance, and shall therefore comply with points 21.A.147 and 21.A.247 as applicable, an [F293UKTSO] authorisation issued under this Annex I (Part 21) is not transferable.

Textual Amendments

Textual Amendments

F262Words in Annex 1 s. A Subpart O heading substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 206(2) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

SUBPART P —PERMIT TO FLYU.K.

21.A.701ScopeU.K.
(a)Permits to fly shall be issued in accordance with this Subpart to aircraft that do not meet, or have not been shown to meet, applicable airworthiness requirements but are capable of safe flight under defined conditions and for the following purposes:U.K.
1.

development;

2.

showing compliance with regulations or certification specifications;

3.

design organisations or production organisations crew training;

4.

production flight testing of new production aircraft;

5.

flying aircraft under production between production facilities;

6.

flying the aircraft for customer acceptance;

7.

delivering or exporting the aircraft;

8.

flying the aircraft for Authority acceptance;

9.

market survey, including customer’s crew training;

10.

exhibition and air show;

11.

flying the aircraft to a location where maintenance or airworthiness review are to be performed, or to a place of storage;

12.

flying an aircraft at a weight in excess of its maximum certificated takeoff weight for flight beyond the normal range over water, or over land areas where adequate landing facilities or appropriate fuel is not available;

13.

record breaking, air racing or similar competition;

14.

flying aircraft meeting the applicable airworthiness requirements before conformity to the environmental requirements has been found;

15.

for non-commercial flying activity on individual non-complex aircraft or types for which a certificate of airworthiness or restricted certificate of airworthiness is not appropriate[F9;]

16.

[F10flying an aircraft for troubleshooting purposes or to check the functioning of one or more systems, parts or appliances after maintenance.]

(b)This Subpart establishes the procedure for issuing permits to fly and approving associated flight conditions, and establishes the rights and obligations of the applicants for, and holders of, those permits and approvals of flight conditions.U.K.
21.A.703EligibilityU.K.
(a)Any natural or legal person shall be eligible as an applicant for a permit to fly except for a permit to fly requested for the purpose of point 21.A.701(a)(15) where the applicant shall be the owner.U.K.
(b)Any natural or legal person shall be eligible for application for the approval of the flight conditions.U.K.
21.A.705Competent authorityU.K.

F294. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

21.A.707Application for permit to flyU.K.
(a)Pursuant to point 21.A.703 and when the applicant has not been granted the privilege to issue a permit to fly, an application for a permit to fly shall be made to the [F295CAA] in a form and manner established by [F296the CAA].U.K.

Textual Amendments

(b)Each application for a permit to fly shall include:U.K.
1.

the purpose(s) of the flight(s), in accordance with point 21.A.701;

2.

the ways in which the aircraft does not comply with the applicable airworthiness requirements;

3.

the flight conditions approved in accordance with point 21.A.710.

(c)Where the flight conditions are not approved at the time of application for a permit to fly, an application for approval of the flight conditions shall be made in accordance with point 21.A.709.U.K.
21.A.708Flight conditionsU.K.

Flight conditions include:

(a)

the configuration(s) for which the permit to fly is requested;

(b)

any condition or restriction necessary for safe operation of the aircraft, including:

1.

the conditions or restrictions put on itineraries or airspace, or both, required for the flight(s);

2.

[F145any conditions or restrictions put on the flight crew to fly the aircraft, in addition to those defined in Appendix XII to this Annex I (Part 21);]

3.

the restrictions regarding carriage of persons other than flight crew;

4.

the operating limitations, specific procedures or technical conditions to be met;

5.

the specific flight test programme (if applicable);

6.

the specific continuing airworthiness arrangements including maintenance instructions and regime under which they will be performed;

(c)

the substantiation that the aircraft is capable of safe flight under the conditions or restrictions of point (b);

(d)

the method used for the control of the aircraft configuration, in order to remain within the established conditions.

21.A.709Application for approval of flight conditionsU.K.
(a)Pursuant to point 21.A.707(c) and when the applicant has not been granted the privilege to approve the flight conditions, an application for approval of the flight conditions shall be made:U.K.
1.

when approval of the flight conditions is related to the safety of the design, to the [F297CAA] in a form and manner established by the [F297CAA]; or

2.

when approval of the flight conditions is not related to the safety of the design, to the [F298CAA] in a form and manner established by that authority.

Textual Amendments

(b)Each application for approval of the flight conditions shall include:U.K.
1.

the proposed flight conditions;

2.

the documentation supporting these conditions; and

3.

a declaration that the aircraft is capable of safe flight under the conditions or restrictions of point 21.A.708(b).

21.A.710Approval of flight conditionsU.K.
(a)When approval of the flight conditions is related to the safety of the design, the flight conditions shall be approved by:U.K.
1.

the [F299CAA]; or

2.

an appropriately approved design organisation, under the privilege of point 21.A.263(c)(6).

Textual Amendments

(b)When approval of the flight conditions is not related to the safety of the design, the flight conditions shall be approved by the [F300CAA], or the appropriately approved organisation that will also issue the permit to fly.U.K.

Textual Amendments

(c)Before approving the flight conditions, the [F301CAA] or the approved organisation must be satisfied that the aircraft is capable of safe flight under the specified conditions and restrictions. The [F302CAA] may make or require the applicant to make any necessary inspections or tests for that purpose.U.K.

Textual Amendments

21.A.711Issue of a permit to flyU.K.
(a)A permit to fly ([F303CAA] Form 20a, see Appendix III) may be issued by the [F304CAA] under the conditions specified in point 21.B.525.U.K.

Textual Amendments

(b)An appropriately approved design organisation may issue a permit to fly ([F305CAA] Form 20b, see Appendix IV) under the privilege granted under point 21.A.263(c)(7), when the flight conditions referred to in point 21.A.708 have been approved in accordance with point 21.A.710.U.K.

Textual Amendments

(c)An appropriately approved production organisation may issue a permit to fly ([F306CAA] Form 20b, see Appendix IV) under the privilege granted under point 21.A.163(e), when the flight conditions referred to in point 21.A.708 have been approved in accordance with point 21.A.710.U.K.

Textual Amendments

[F89(d) An approved organisation may issue a permit to fly ([F307CAA] Form 20b, see Appendix IV) under the privilege granted in accordance with [F308point M.A.711 of Annex I (Part-M) of Regulation (EU) No 1321/2014,] point CAMO.A.125 of Annex Vc (Part-CAMO) of Regulation (EU) No 1321/2014 or point CAO.A.095 of Annex Vd (Part-CAO) of Regulation (EU) No 1321/2014, when the flight conditions referred to in point 21.A.708 of this Annex have been approved in accordance with point 21.A.710 of this Annex.]U.K.

Textual Amendments

F308Words in Annex 1 point 21.A.711(d) inserted (21.6.2023) by The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(2), 6(13)(a)

(e)The permit to fly shall specify the purpose(s) and any conditions and restrictions which have been approved in accordance with point 21.A.710.U.K.
(f)For permits issued under points (b), (c) or (d), a copy of the permit to fly and associated flight conditions shall be submitted to the [F309CAA] at the earliest opportunity but not later than 3 days.U.K.

Textual Amendments

(g)Upon evidence that any of the conditions specified in point 21.A.723(a) are not met for a permit to fly that an organisation has issued pursuant to points (b), (c) or (d), that organisation shall immediately revoke that permit to fly and inform without delay the [F310CAA].U.K.

Textual Amendments

21.A.713ChangesU.K.
(a)Any change that invalidates the flight conditions or associated substantiation established for the permit to fly shall be approved in accordance with point 21.A.710. When relevant an application shall be made in accordance with point 21.A.709.U.K.
(b)A change affecting the content of the permit to fly requires the issuance of a new permit to fly in accordance with point 21.A.711.U.K.
21.A.715LanguageU.K.

The manuals, placards, listings, and instrument markings and other necessary information required by applicable certification specifications shall be presented in [F311English].

Textual Amendments

21.A.719TransferabilityU.K.
(a)A permit to fly is not transferable.U.K.
(b)Notwithstanding point (a) for a permit to fly issued for the purpose of point 21.A.701(a)(15), where ownership of an aircraft has changed, the permit to fly shall be transferred together with the aircraft F312....U.K.

Textual Amendments

F312Words in Annex 1 point 21.A.719(b) omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 207(8) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

21.A.721InspectionsU.K.

F313. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

21.A.723Duration and continued validityU.K.
(a)

A permit to fly shall be issued for a maximum of 12 months and shall remain valid subject to [F314compliance with all the following conditions]:

1.

[F315the organisation continues to comply] with the conditions and restrictions of point 21.A.711(e) associated with the permit to fly [F316as set out in point 21.A.711(e)];

2.

[F317the holder, and its suppliers or subcontractors as appropriate, acknowledge that the CAA may carry out investigations in accordance with point 21.A.8;

2A.

the permit to fly has not been revoked by the CAA under point 21.B.65 or surrendered by its holder;]

3.

the aircraft remaining on the same register.

(b)

Notwithstanding point (a), a permit to fly issued for the purpose of point 21.A.701(a)(15) may be issued for unlimited duration.

(c)

Upon surrender or revocation, the permit to fly shall be returned to the [F318CAA].

Textual Amendments

F317Annex 1 point 21.A.723(2)(2A) substituted for point 21.A.723(2) (1.7.2024) by The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(3), 6(13)(c)(iii)

21.A.725Renewal of permit to flyU.K.

Renewal of the permit to fly shall be processed as a change in accordance with point 21.A.713.

21.A.727Obligations of the holder of a permit to flyU.K.

The holder of a permit to fly shall ensure that all the conditions and restrictions associated with the permit to fly are satisfied and maintained.

21.A.729Record-keepingU.K.

F319. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

SUBPART Q —IDENTIFICATION OF PRODUCTS, PARTS AND APPLIANCESU.K.

21.A.801Identification of productsU.K.
(a)The identification of products shall include the following information:U.K.
1.

manufacturer’s name;

2.

product designation;

3.

manufacturer’s Serial number;

4.

any other information the [F320CAA] finds appropriate.

Textual Amendments

(b)Any natural or legal person that manufactures an aircraft or engine under Subpart G or Subpart F shall identify that aircraft or engine by means of a fireproof plate that has the information specified in point (a) marked on it by etching, stamping, engraving, or other approved method of fireproof marking. The identification plate shall be secured in such a manner that it is accessible and legible, and will not likely be defaced or removed during normal service, or lost or destroyed in an accident.U.K.
(c)Any natural or legal person that manufactures a propeller, propeller blade, or propeller hub under Subpart G or Subpart F shall identify it by means of a plate, stamping, engraving, etching or other approved method of fireproof identification that is placed on it on a non-critical surface, contains the information specified in point (a), and will not likely be defaced or removed during normal service or lost or destroyed in an accident.U.K.
(d)For manned balloons, the identification plate prescribed in point (b) shall be secured to the balloon envelope and shall be located, if practicable, where it is legible to the operator when the balloon is inflated. In addition, the basket, load frame assembly and any heater assembly shall be permanently and legibly marked with the manufacturer’s name, part number, or equivalent, and serial number, or equivalent.U.K.
21.A.803Handling of identification dataU.K.
(a)No person shall remove, change, or place identification information referred to in point 21.A.801(a) on any aircraft, engine, propeller, propeller blade, or propeller hub, or in point 21.A.807(a) on an APU, without the approval of the [F321CAA].U.K.

Textual Amendments

(b)No person shall remove or install any identification plate referred to in point 21.A.801, or in point 21.A.807 for an APU, without the approval of the [F321CAA].U.K.
(c)By way of derogation from points (a) and (b), any natural or legal person performing maintenance work under the applicable associated implementing rules may, in accordance with methods, techniques and practices established by the [F321CAA]:U.K.
1.

remove, change, or place the identification information referred to in point 21.A.801(a) on any aircraft, engine, propeller, propeller blade, or propeller hub, or in point 21.A.807(a) on an APU; or

2.

remove an identification plate referred to in point 21.A.801, or point 21.A.807 for an APU, when necessary during maintenance operations.

(d)No person shall install an identification plate removed in accordance with point (c)(2) on any aircraft, engine, propeller, propeller blade, or propeller hub other than the one from which it was removed.U.K.
21.A.804Identification of parts and appliancesU.K.
(a)

Each part or appliance [F322which is eligible for installation in a type-certified product] shall be marked permanently and legibly with:

1.

a name, trademark, or symbol identifying the manufacturer in a manner identified by the applicable design data; and

2.

the part number, as defined in the applicable design data; and

3.

the letters [F323UKPA] for parts or appliances produced in accordance with approved design data not belonging to the type-certificate holder of the related product, except for [F324UKTSO] articles [F325and for parts and appliances covered under point (b) of point 21.A.307].

(b)

By way of derogation from point (a), if the [F326CAA] agrees that a part or appliance is too small or that it is otherwise impractical to mark a part or appliance with any of the information required by point (a), the authorised release document accompanying the part or appliance or its container shall include the information that could not be marked on the part [F327or appliance].

Textual Amendments

21.A.805Identification of critical partsU.K.

In addition to the requirement of point 21.A.804, each manufacturer of a part to be fitted on a type-certificated product which has been identified as a critical part shall permanently and legibly mark that part with a part number and a serial number.

21.A.807Identification of [F328UKTSO] articlesU.K.
(a)Each holder of an [F329UKTSO] authorisation under Subpart O shall permanently and legibly mark each article with the following information:U.K.
1.

the name and address of the manufacturer;

2.

the name, type, part number or model designation of the article;

3.

the serial number or the date of manufacture of the article or both; and

4.

the applicable [F329UKTSO] number.

Textual Amendments

(b)By way of derogation from point (a), if the [F330CAA] agrees that a part is too small or that it is otherwise impractical to mark a part with any of the information required by point (a), the authorised release document accompanying the part or its container shall include the information that could not be marked on the part.U.K.

Textual Amendments

(c)Each person who manufactures an APU under Subpart G or Subpart F shall identify that APU by means of a fireproof plate that has the information specified in point (a) marked on it by etching, stamping, engraving, or other approved method of fireproof marking. The identification plate shall be secured in such a manner that it is accessible and legible, and will not likely be defaced or removed during normal service, or lost or destroyed in an accident.U.K.

Textual Amendments

SECTION BU.K.PROCEDURES FOR [F331THE CAA]

SUBPART A —GENERAL PROVISIONSU.K.

21.B.5ScopeU.K.
(a)

[F332This section establishes the conditions for conducting the certification oversight and enforcement tasks as well as the administrative and management system requirements to be complied with by the CAA when exercising its tasks and responsibilities referred to in this Annex.]

(b)

The [F333CAA] shall develop in accordance with [F334Article 76 Regulation (EU) 2018/1139] certification specifications and guidance material to assist F335... in the implementation of this Section.

Textual Amendments

[F33621.B.6Immediate reaction to a safety problemU.K.
(a)

Without prejudice to Regulation (EU) No 376/2014, the CAA must implement a system to appropriately collect, analyse and disseminate safety information.

(b)

Upon analysing the safety information, the CAA must take adequate measures to address any safety problem identified.

(c)

The CAA must immediately notify measures taken under point (b) to all persons who need to comply with them under Regulation (EU) 2018/1139.]

Textual Amendments

21.B.20Obligations of the competent authorityU.K.

F337. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F33821.B.25Management systemU.K.
(a)

The CAA must establish and maintain a management system, including at least the following:

1.

documented policies and procedures to describe the organisation, the means and methods for establishing compliance with Regulation (EU) 2018/1139. Those policies and procedures must be kept up to date, and must serve as the basic working documents within the CAA for all its related tasks;

2.

sufficient personnel to perform its tasks and discharge its responsibilities, together with a system to plan the availability of personnel to ensure proper completion of all tasks;

3.

qualified personnel that have the necessary knowledge and experience and training to perform their allocated tasks and receive initial and recurrent training to ensure continuing competency;

4.

adequate facilities and office accommodation for personnel to perform their allocated tasks;

5.

a means of monitoring compliance of the management system with the relevant requirements and the adequacy of the procedures, including an internal audit process and a safety risk management process. This must include a system for feedback of audit findings to the senior management of the CAA to ensure the implementation of corrective actions as necessary;

6.

a person with responsibility to the senior management of the CAA for compliance monitoring.

(b)

The CAA must, for each field of activity, including the management system, appoint one or more persons with the overall responsibility for the management of the relevant task.]

Textual Amendments

[F33921.B.30Allocation of tasks to qualified entitiesU.K.
(a)

The CAA may allocate tasks related to the initial certification or to the continuing oversight of products and parts and persons subject to Regulation (EU) 2018/1139 to qualified entities. When allocating tasks, the CAA must:

1.

ensure it has a system in place to continuously assess compliance of the qualified entity with Annex VI to Regulation (EU) 2018/1139. That system and the assessment results must be documented;

2.

establish a written agreement with the qualified entity, approved by both parties at the appropriate management level, which specifies:

(i)

the tasks to be performed;

(ii)

the declarations, reports and records to be provided;

(iii)

the technical conditions to be met when performing such tasks;

(iv)

the related liability coverage;

(v)

the protection given to the information acquired when carrying out such tasks.

(b)

The CAA must ensure that the internal audit process and the safety risk management process established under point 21.B.25(a)(5) covers all the certification and continuing oversight tasks performed by the qualified entity on its behalf.]

Textual Amendments

[F34021.B.35Changes in the management systemU.K.
(a)

The CAA must have a system in place to identify changes that affect its capability to perform its tasks and discharge its responsibilities as defined in Regulation (EU) 2018/1139. That system must enable the CAA to take action necessary to ensure that its management system remains adequate and effective.

(b)

The CAA must, in a timely manner, update its management system to reflect any changes to Regulation (EU) 2018/1139 to ensure its effective implementation.]

Textual Amendments

21.B.40Resolution of disputesU.K.

F341. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

Textual Amendments

21.B.45Reporting/coordinationU.K.

F342. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

Textual Amendments

[F34321.B.55Record keepingU.K.
(a)

The CAA must establish a record-keeping system that allows the adequate storage, accessibility and traceability of:

1.

the documented policies and procedures of the management system;

2.

personnel training, qualification and authorisation records;

3.

allocation of tasks, covering the elements required by point 21.B.30, as well as the details of tasks allocated;

4.

certification processes and continuing oversight of certified organisations, including:

(i)

the application for a certificate, approval, authorisation and letter of agreement;

(ii)

the CAA’s continuing oversight programme, including all the assessments, audits and inspection records;

(iii)

the certificates, approvals, authorisations and letters of agreement issued, including any changes to them;

(iv)

a copy of the oversight programme, listing the dates when audits are due and when audits were carried out;

(v)

copies of all formal correspondence;

(vi)

recommendations for the issue or continuation of a certificate, an approval, authorisation or a letter of agreement, details of findings and actions taken by the organisations to close those findings, including the date of closure, enforcement actions and observations;

(vii)

any relevant assessment, audit and inspection report issued by the competent authority of a third country;

(viii)

copies of any other documents approved by the CAA;

5.

Statements of Conformity (CAA Form 52, Appendix VIII) and Authorised Release Certificates (CAA Form 1, Appendix I) that have been validated by the CAA for organisations that produce products, parts or appliances without a production organisation approval certificate according to Subpart F of Section A of this Annex.

(b)

The CAA must include in the record keeping:

1.

documents supporting the use of alternative means of compliance;

2.

safety information in accordance with point 21.B.6(a) and follow-up measures;

3.

the use of safeguard and flexibility provisions in accordance with Articles 70, 71(1) and 76(4) of Regulation (EU) 2018/1139.

(c)

The CAA must maintain a list of all the certificates, approvals, authorisations and letters of agreement it has issued.

(d)

All the records referred to in points (a) to (c) must be kept for at least 5 years, in so far as that is compatible with data protection legislation.]

Textual Amendments

21.B.60Airworthiness directivesU.K.

F344. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F34521.B.65Suspension, limitation and revocationU.K.
(a)

The CAA must:

1.

suspend a relevant approval where it considers there are reasonable grounds to believe that such action is necessary to prevent a credible threat to aircraft safety;

2.

suspend, revoke or limit a relevant approval where such action is required pursuant to point 21.B.125, 21.B.225 or 21.B.433;

3.

suspend or revoke a certificate of airworthiness or a noise certificate upon evidence that any of the conditions specified in points 21.A.181(a) and 21.A.211(a) are not met;

4.

suspend or limit in whole or in part a relevant approval where unforeseeable circumstances outside the control of the CAA prevent its inspectors from discharging their oversight responsibilities over the oversight planning circle.

(b)

In this point, “relevant approval” means a certificate, approval, permit to fly, authorisation or letter of agreement.]

Textual Amendments

[F9[F9SUBPART B — TYPE-CERTIFICATES AND RESTRICTED TYPE-CERTIFICATES U.K.

21.B.70 Certification specifications U.K.

The [F346CAA], in accordance with Article 76(3) of Regulation (EU) 2018/1139, shall issue certification specifications and other detailed specifications, including certification specifications for airworthiness, operational suitability data and environmental protection, that F347... organisations and personnel may use to demonstrate compliance of products, parts and appliances with the relevant essential requirements set out in Annexes II, IV and V to that Regulation, as well as with those for environmental protection set out in Article 9(2) and Annex III of that Regulation. Such specifications shall be sufficiently detailed and specific to indicate to applicants the conditions under which certificates are to be issued, amended or supplemented.

Textual Amendments

F347Words in Annex 1 point 21.B.70 omitted (31.12.2020) by virtue of The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 61(7)(a)(ii)

21.B.75 Special conditions U.K.
(a)

The [F348CAA] shall prescribe special detailed technical specifications, named ‘special conditions, for a product if the related certification specifications do not contain adequate or appropriate safety standards for the product because:

1.

the product has novel or unusual design features relative to the design practices on which the applicable certification specifications are based;

2.

the intended use of the product is unconventional; or

3.

experience from other similar products in service or products having similar design features or newly identified hazards have shown that unsafe conditions may develop.

(b)

Special conditions contain such safety standards as the [F348CAA] finds necessary in order to establish a level of safety equivalent to that of the applicable certification specifications.

Textual Amendments

F348Word in Annex 1 points 21.B.75-21.B.85 substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 61(7)(b)

21.B.80 Type-certification basis for a type-certificate or restricted type-certificate U.K.

The [F348CAA] shall establish the type certification basis and notify it to the applicant for a type-certificate or restricted type-certificate. The type certification basis shall consist of:

(a)

the certification specifications for airworthiness designated by the [F348CAA] from those applicable to the product at the date of application for that certificate, unless:

1.

the applicant chooses to comply, or is required to comply in accordance with point 21.A.15(f), with certification specifications which became applicable after the date of the application; If an applicant chooses to comply with a certification specification which became applicable after the date of the application, the [F348CAA] shall include in the type-certification basis any other certification specification that is directly related; or

2.

the [F348CAA] accepts any alternative to a designated certification specification that cannot be complied with, for which compensating factors have been found that provide an equivalent level of safety; or

3.

the [F348CAA] accepts or prescribes other means that:

(i)

in the case of a type-certificate, demonstrate compliance with the essential requirements of Annex II to Regulation (EU) 2018/1139; or

(ii)

in the case of a restricted type-certificate, provide a level of safety adequate with regard to the intended use; and

(b)

any special condition prescribed by the [F348CAA] in accordance with point 21.B.75(a).

21.B.82 Operational suitability data certification basis for an aircraft type-certificate or restricted type-certificate U.K.

The [F348CAA] shall establish the operational suitability data certification basis and notify it to the applicant for an aircraft type-certificate or restricted type-certificate. The operational suitability data certification basis shall consist of:

(a)

the certification specifications for operational suitability data designated by the [F348CAA] out of those applicable to the aircraft at the date of the application or at the date of the application supplement for operational suitability data, whichever date is later, unless:

1.

the applicant chooses to comply, or in accordance with point 21.A.15(f) is required to comply with certification specifications which became applicable after the date of the application; If an applicant chooses to comply with a certification specification which became applicable after the date of the application, the [F348CAA] shall include in the type-certification basis any other certification specification that is directly related; or

2.

the [F348CAA] accepts or prescribes alternative means to demonstrate compliance with the relevant essential requirements of Annexes II, IV and V to Regulation (EU) 2018/1139.

(b)

any special condition prescribed by the [F348CAA] in accordance with point 21.B.75(a).]

[F1021.B.85 Designation of applicable environmental protection requirements and certification specifications for a type-certificate or restricted type-certificate U.K.
(a)

The [F348CAA] shall designate and notify to the applicant for a type-certificate or restricted type-certificate for an aircraft, for a supplemental type-certificate or for a major change to a type-certificate or to a supplemental type-certificate, the applicable noise requirements established in Annex 16 to the Chicago Convention, Volume I, Part II, Chapter 1 and:

1.

for subsonic jet aeroplanes, in Chapters 2, 3, 4 and 14;

2.

for propeller-driven aeroplanes in Chapters 3, 4, 5, 6, 10, and 14;

3.

for helicopters, in Chapters 8 and 11;

4.

for supersonic aeroplanes, in Chapter 12; and

5.

for tilt rotors, in Chapter 13.

(b)

The [F348CAA] shall designate and notify to the applicant referred to in point (a) the applicable emission requirements for preventions of intentional fuel venting for aircraft established in Annex 16 to the Chicago Convention, Volume II, Part II, Chapter 1 and 2.

(c)

The [F348CAA] shall designate and notify to the applicant referred to in point (a) the applicable smoke, gaseous and particulate matter engine emission requirements established in Annex 16 to the Chicago Convention, Volume II, Part III, Chapter 1 and

1.

for smoke and gaseous emissions of turbojet and turbofan engines intended for propulsion only at subsonic speeds, in Chapter 2;

2.

for smoke and gaseous emissions of turbojet and turbofan engines intended for propulsion at supersonic speeds, in Chapter 3;and

3.

for particulate matter emissions of turbojet and turbofan engines intended for propulsion only at subsonic speeds, in Chapter 4.

(d)

The [F348CAA] shall designate and notify to the applicant referred to in point (a) the applicable aeroplane CO 2  emission requirements established in Annex 16 to the Chicago Convention, Volume III, Part II, Chapter 1 and

1.

for subsonic jet aeroplanes, in Chapter 2; and

2.

for subsonic propeller-driven aeroplanes, in Chapter 2.]

[F921.B.100 Level of involvement U.K.
(a)

The [F349CAA] shall determine its involvement in the verification of the compliance demonstration activities and data related to the application for a type-certificate, restricted type-certificate, major change approval, supplemental type certificate, major repair design approval or [F350UKTSO] authorisation for APU. It shall do so on the basis of an assessment of meaningful groups of compliance demonstration activities and data of the certification programme. That assessment shall address:

  • the likelihood of an unidentified non-compliance with the type-certification basis, operational suitability data certification basis or environmental protection requirements; and

  • the potential impact of that non-compliance on product safety or environmental protection,

and consider at least the following elements:

1.

novel or unusual features of the certification project, including operational, organisational and knowledge management aspects;

2.

complexity of the design and/or demonstration of compliance;

3.

criticality of the design or technology and the related safety and environmental risks, including those identified on similar designs; and

4.

performance and experience of the design organisation of the applicant in the domain concerned.

(b)

For the approval of a minor repair design, minor change or [F351UKTSO] authorisation other than for APU, the [F352CAA] shall determine its involvement at the level of the entire certification project, taking into account any novel or unusual features, complexity of the design and/or demonstration of compliance, criticality of the design or technology, as well as the performance and experience of the applicant's design organisation.

(c)

The [F353CAA] shall notify its level of involvement to the applicant and it shall update its level of involvement when this is warranted by information which has an appreciable impact on the risk previously assessed pursuant to point (a) or (b). The [F353CAA] shall notify the applicant about the change in the level of involvement.

Textual Amendments

F353Word in Annex 1 point 21.B.100(c) substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 61(7)(e)

21.B.103 Issuance of a type-certificate or restricted type-certificate U.K.
(a)

The [F354CAA] shall issue an aircraft, engine or propeller type-certificate or an aircraft restricted type-certificate, provided that:

1.

the applicant has complied with point 21.A.21;

2.

the [F354CAA], through verifications of the demonstration of compliance in accordance with its involvement determined pursuant to point 21.B.100, has not found any non-compliance with the type-certification basis, the operational suitability data certification basis where applicable in accordance with point 21.B.82, and the environmental protection requirements; and

3.

no feature or characteristic has been identified that may make the product unsafe for the uses for which the certification is requested.

(b)

By derogation from point (a), at the applicant's request included in the declaration referred to in point 21.A.20(d), the [F354CAA] may issue an aircraft type-certificate before compliance with the operational suitability data certification basis has been demonstrated, provided that the applicant demonstrates such compliance before the date at which those data are to be actually used.]

Textual Amendments

(SUBPART C — NOT APPLICABLE)U.K.

SUBPART D —CHANGES TO TYPE-CERTIFICATES AND RESTRICTED TYPE-CERTIFICATESU.K.

F18. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F921.B.105 Type-certification basis, environmental protection requirements and operational suitability data certification basis for a major change to a type-certificate U.K.

The [F355CAA] shall establish the applicable type-certification basis, the environmental protection requirements, and in the case of a change affecting the operational suitability data, the operational suitability data certification basis established in accordance with point 21.A.101 and notify them to the applicant for a major change to a type certificate.

Textual Amendments

21.B.107 Issuance of an approval of a change to a type-certificate U.K.
(a)

The [F356CAA] shall issue an approval of a change to a type-certificate provided that:

1.

the applicant for an approval has complied with:

(i)

point 21.A.95 for a minor change; or

(ii)

point 21.A.97 for a major change;

2.

the [F356CAA], through its verification of the demonstration of compliance in accordance with the level of its involvement determined pursuant to point (a) or (b) of point 21.B.100 has not found any non-compliance with the type-certification basis, operational suitability data certification basis where applicable in accordance with point 21.B.82, and environmental protection requirements; and

3.

no feature or characteristic has been identified that may make the product unsafe for the uses for which certification is requested.

(b)

In the case of a change affecting the operational suitability data, by derogation from points (1) and (2) of point (a), at the applicant's request included in the declaration referred to in point 21.A.20(d), the [F356CAA] may approve a change to an aircraft type-certificate before compliance with the operational suitability data certification basis has been demonstrated, provided that the applicant demonstrates such compliance before the date at which those data are to be actually used.

(c)

The approval of the changes to the operational suitability data shall be included in the approval of the change to the type-certificate.

(d)

The approval of a change to a type-certificate shall be limited to the specific configuration(s) in the type-certificate to which the change relates.]

Textual Amendments

SUBPART E —SUPPLEMENTAL TYPE-CERTIFICATESU.K.

[F9In this Subpart, references to type-certificates include type-certificates and restricted type-certificates.

21.B.109 Type-certification basis, environmental protection requirements and operational suitability data certification basis for a supplemental type-certificate U.K.

The [F357CAA] shall establish the applicable type-certification basis, the environmental protection requirements and, in the case of a change affecting the operational suitability data, the operational suitability data certification basis established in accordance with point 21.A.101 and notify them to the applicant for a supplemental type-certificate.

Textual Amendments

21.B.111 Issuance of a supplemental type-certificate U.K.
(a)

The [F357CAA] shall issue a supplemental type-certificate, provided that:

1.

the applicant has complied with point 21.A.115(b);

2.

the [F357CAA], through its verification of the demonstration of compliance in accordance with the level of involvement established pursuant to point 21.B.100(a), has not found any non-compliance with the type-certification basis, operational suitability data certification basis where applicable in accordance with point 21.B.82, and environmental protection requirements; and

3.

no feature or characteristic has been identified that may make the product unsafe for the uses for which certification is requested.

(b)

In the case of a supplemental type-certificate affecting the operational suitability data, by derogation from points (1) and (2) of point (a), at the applicant's request included in the declaration referred to in point 21.A.20(d), the [F357CAA] may issue a supplemental type-certificate before compliance with the operational suitability data certification basis has been demonstrated, provided that the applicant demonstrates such compliance before the date at which those data are to be actually used.

(c)

The approval of the changes to the operational suitability data shall be included in the supplemental type-certificate.

(d)

The supplemental type-certificate shall be limited to the specific configuration(s) in the type-certificate to which the related major change relates.]

21.B.115F358. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

Textual Amendments

SUBPART F —PRODUCTION WITHOUT PRODUCTION ORGANISATION APPROVALU.K.

[F35921.B.120Initial certification procedureU.K.
(a)

The CAA must:

1.

upon receipt of an application for a letter of agreement for the purpose of demonstrating conformity of the individual products, parts and appliances, verify the applicant’s compliance with the applicable requirements;

2.

record all the findings issued, closure actions and recommendations for the issue of the letter of agreement;

3.

confirm in writing to the applicant all findings raised during the verification;

4.

issue the letter of agreement (CAA Form 65, Appendix XI) when satisfied that the applicant complies with the applicable requirements.

(b)

The letter of agreement must:

1.

contain the scope of the agreement, a termination date and, where applicable, the appropriate limitations;

2.

not exceed one year in duration.

(c)

Where the application is in relation to initial certification, the CAA may only issue the letter of agreement after being satisfied that all findings have been corrected to its satisfaction.]

Textual Amendments

[F36021.B.125Findings and corrective actions; observationsU.K.
(a)

The CAA must have a system in place to analyse findings for their safety significance.

(b)

The CAA must issue a level 1 finding where any significant non-compliance is detected with the applicable requirements of Regulation (EU) 2018/1139, with the organisation’s procedures or manuals, or with the certificate including the terms of approval, which lowers safety or seriously endangers flight safety.

(c)

Level 1 findings include:

1.

any failure to grant the CAA access to the organisation’s facilities referred to in point 21.A.8 during normal operating hours and after two written requests;

2.

obtaining the letter of agreement or maintaining its validity by falsification of the submitted documentary evidence; and

3.

any evidence of malpractice or fraudulent use of the letter of agreement.

(d)

The CAA must issue a level 2 finding where any non-compliance is detected with the applicable requirements of Regulation (EU) 2018/1139, the organisation’s procedures and manuals, or with the terms of the letter of agreement, which is not classified as a level 1 finding.

(e)

When a finding is detected during oversight or by any other means, the CAA must, without prejudice to any additional action required by Regulation (EU) 2018/1139, issue the finding to the organisation and request corrective action to address the non-compliance identified.

1.

Where there are any level 1 findings, the CAA must take immediate and appropriate action to prohibit or limit the activities of the organisation involved. Where appropriate, this action may be to revoke the letter of agreement or limit or suspend it in whole or in part, depending on the extent of the finding, until successful corrective action has been taken by the organisation.

2.

Where there are any level 2 findings, the CAA must:

(i)

grant the organisation a corrective action implementation period appropriate to the nature of the finding which must not be more than 3 months from the date of the written communication under point (e). At the end of that period, and subject to the nature of the finding, the CAA may extend the 3-month period provided that a corrective action plan has been agreed with the CAA;

(ii)

assess the corrective action plan and implementation method proposed by the organisation following the written communication under point (e), and if the assessment concludes that they are sufficient to address the non-compliance, accept them.

3.

Where the organisation fails to submit an acceptable corrective action plan or fails to perform the corrective action within the time period accepted or extended by the CAA, the CAA must raise the finding to level 1 and action must be taken as laid down in point (e)(1).

(f)

The CAA may issue observations for any of the following cases not requiring level 1 or level 2 findings:

1.

for any item whose performance has been assessed to be ineffective;

2.

when it has been identified that an item has the potential to cause a non-compliance under point (d) or (e);

3.

when suggestions or improvements are of interest for the overall safety performance of the organisation.

(g)

The CAA must communicate the observations issued under this point in writing to the organisation and must keep a record of those observations and communications.

(h)

The CAA, subject to the nature of the finding, may extend the 3 month corrective action implementation period provided that a corrective action plan has been agreed with the CAA.]

Textual Amendments

21.B.130Issue of letter of agreementU.K.

F361. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

21.B.135Maintenance of the letter of agreementU.K.

The [F362CAA] shall maintain the letter of agreement as long as:

(a)

the manufacturer is properly using the [F363CAA] Form 52 (see Appendix VIII) as a statement of conformity for complete aircraft, and the [F363CAA] Form 1 (see Appendix I) for products other than complete aircraft, parts and appliances; and

(b)

inspections performed by the [F364CAA] before validation of the [F365CAA] Form 52 (see Appendix VIII) or the [F365CAA] Form 1 (see Appendix I), as per point 21.A.130(c) did not reveal any findings of non-compliance with the requirements or the procedures as contained in the manual provided by the manufacturer, or any non-conformity of the respective products, parts or appliances. These inspections shall check at least that:

1.

the agreement covers the product, part or appliance being validated, and remains valid;

2.

the manual described in point 21.A.125A(b) and its change status referred in the letter of agreement is used as basic working document by the manufacturer. Otherwise, the inspection shall not continue and therefore the release certificates shall not be validated;

3.

production has been carried out under the conditions prescribed in the letter of agreement and satisfactorily performed;

4.

inspections and tests (including flight tests, if appropriate), as per points 21.A.130(b)(2) and/or (b)(3), have been carried out under the condition prescribed in the letter of agreement and satisfactorily performed;

5.

the inspections by the [F366CAA] described or addressed in the letter of agreement have been performed and found acceptable;

6.

the statement of conformity complies with point 21.A.130, and the information provided by it does not prevent its validation; and

(c)

any termination date for the letter of agreement has not been reached.

Textual Amendments

21.B.140Amendment of a letter of agreementU.K.
(a)

The [F367CAA] shall investigate, as appropriate, in accordance with point 21.B.120 any amendment of the letter of agreement.

(b)

When the [F367CAA] is satisfied that the requirements of Section A, Subpart F continue to be complied with, it shall amend the letter of agreement accordingly.

Textual Amendments

21.B.145Limitation, suspension and revocation of a letter of agreementU.K.

F368. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

21.B.150Record-keepingU.K.

F369. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F37021.B.215Means of complianceU.K.
(a)

AMC may be used to establish compliance with Regulation (EU)2018/1139 [F371and this Regulation].

(b)

Alternative means of compliance may be used by an organisation to establish compliance with this Regulation when approved by the CAA.]

Textual Amendments

F371Words in Annex 1 point 21.B.215(a) inserted (6.12.2024) by The Aviation Safety (Amendment) Regulations 2024 (S.I. 2024/1290), regs. 1(2), 23(3)(b)

Textual Amendments

SUBPART G —PRODUCTION ORGANISATION APPROVALU.K.

[F37221.B.220Initial certification procedureU.K.
(a)

Upon receipt of an application for the initial issue of a production organisation approval certificate, the CAA must verify the applicant’s compliance with the applicable requirements.

(b)

The CAA must convene a meeting with the accountable manager of the applicant at least once during the investigation for initial certification to ensure that this person understands their role and accountability.

(c)

The CAA must record all findings issued, closure actions and recommendations for the issue of the production organisation approval certificate.

(d)

The CAA must confirm to the applicant in writing all the findings raised during the verification.

(e)

For initial certification, all findings must be corrected to the satisfaction of the CAA before the certificate can be issued.

(f)

When the CAA is satisfied that the applicant complies with the applicable requirements, the CAA must issue the production organisation approval certificate (CAA Form 55 in Appendix X).

(g)

The certificate reference number must be included on the production organisation approval certificate.

(h)

The certificate must be issued for an unlimited duration. The privileges and scope of the activities that the organisation is approved to conduct, including any limitations as applicable, must be specified in the terms of approval attached to the certificate.]

Textual Amendments

[F37321.B.221Oversight principlesU.K.
(a)

In carrying out the oversight programme under point 21.B.222, the CAA must verify:

1.

compliance with the requirements that are applicable to organisations prior to issue of the production organisation approval certificate;

2.

continued compliance with the applicable requirements of the organisations it has certified;

3.

the implementation of appropriate safety measures mandated by the CAA according to point 21.B.6(c).

(b)

This verification must:

1.

be supported by documentation specifically intended to provide CAA personnel responsible for oversight with guidance to perform their functions;

2.

provide the organisations concerned with the results of oversight activities;

3.

be based on assessments, audits, inspections and, if needed, unannounced inspections;

4.

provide the CAA with the evidence of non-compliance needed in case further action is required, including the measures provided for in point 21.B.225.

(c)

The CAA must establish the scope of the oversight in points (a) and (b) taking into account the results of past oversight activities and the safety priorities.

(d)

The CAA must collect and process any information deemed necessary for performing its oversight activities.]

Textual Amendments

[F37321.B.222Oversight programmeU.K.
(a)

The CAA must establish and maintain an oversight programme covering the oversight activities in point 21.B.221(a).

(b)

The oversight programme must be based on the assessment of the associated risks and take into account the specific nature of the organisation, the complexity of its activities, and the results of past certification and past oversight activities. Within each oversight planning cycle, it must include:

1.

assessments, audits and inspections, including, as appropriate:

(i)

management system assessments and process audits;

(ii)

product audits of a relevant sample of the products, parts and appliances that are within the scope of the approval of the organisation;

(iii)

sampling of the work performed;

(iv)

unannounced inspection;

2.

meetings between the accountable manager and the CAA to ensure both parties remain informed of all significant issues.

(c)

The oversight planning cycle must not exceed 24 months.

(d)

Notwithstanding point (c), the oversight planning cycle may be extended to 36 months if the CAA has, in the preceding 24 months, established that:

1.

the organisation has demonstrated that it can effectively identify aviation safety hazards and manage the associated risks;

2.

the organisation has continuously demonstrated compliance with points 21.A.147 and 21.A.148 and it has full control over all changes to the production management system;

3.

no level 1 findings have been issued;

4.

all corrective actions have been implemented within the time period agreed with the CAA under point 21.B.225.

(e)

Notwithstanding points (c) and (d), the oversight planning cycle may be further extended to a maximum of 48 months if, in addition to the conditions set out at point (d), the organisation has established, and the CAA has approved, an effective, continuous system for reporting to the CAA on the safety performance and regulatory compliance of the organisation itself.

(f)

The oversight planning cycle may be reduced if there is evidence that the safety performance of the organisation has decreased.

(g)

The oversight programme must include records of the dates when assessments, audits, inspections and meetings are due, and when assessments, audits, inspections and meetings have been effectively carried out.

(h)

At the completion of each oversight planning cycle, the CAA must issue a recommendation report on the continuation of the approval, reflecting the results of the oversight.]

[F37421.B.225Findings and corrective actions; observationsU.K.
(a)

The CAA must have a system in place to analyse findings for their safety significance.

(b)

The CAA must issue a level 1 finding where any significant non-compliance is detected with the applicable requirements of Regulation (EU) 2018/1139, with the organisation’s procedures or manuals, or with the certificate including the terms of approval, which lowers safety or seriously endangers flight safety.

(c)

Level 1 findings include:

1.

any failure to grant the CAA access to the organisation’s facilities mentioned in point 21.A.8 during normal operating hours and after two written requests;

2.

obtaining the production organisation approval certificate or maintaining its validity by falsification of submitted documentary evidence;

3.

any evidence of malpractice or fraudulent use of the production organisation approval certificate;

4.

failure to appoint an accountable manager pursuant to point 21.A.245(a).

(d)

The CAA must issue a level 2 finding where any non-compliance is detected with the applicable requirements of Regulation (EU) 2018/1139, with the organisation’s procedures or manuals, or with the certificate including the terms of approval, which is not classified as a level 1 finding.

(e)

When a finding is detected during oversight or by any other means, the CAA must, without prejudice to any additional action required by Regulation (EU) 2018/1139, write to the organisation and request corrective action to address the non-compliance identified.

1.

If there are any level 1 findings, the CAA must take immediate and appropriate action to prohibit or limit the activities of the organisation involved and, if appropriate, revoke the production organisation approval certificate or limit or suspend it in whole or in part, depending on the extent of the level 1 finding, until successful corrective action has been taken by the organisation.

2.

If there are any level 2 findings, the CAA must grant the organisation a corrective action implementation period appropriate to the nature of the finding which must not be more than 3 months from the date of the written communication under point (e).

3.

If there are any level 2 findings, the CAA must assess the corrective action and implementation plan proposed by the organisation following the written communication under point (e), and if the assessment concludes that these are sufficient to address the non-compliance, accept them.

4.

Subject to the nature of the finding, at the end of the 3 month period referred to in point (e)(2), the CAA may extend the 3 month period provided that the organisation has agreed a corrective action plan with the CAA.

5.

If there are any level 2 findings, if the organisation fails to submit an acceptable corrective action plan or fails to perform the corrective action within the time period accepted or extended by the CAA, the finding must be raised to level 1, and action must be taken as laid down in point (e)(1).

(f)

The CAA may issue observations for any of the following cases not requiring level 1 or level 2 findings:

1.

for any item whose performance has been assessed to be ineffective; or

2.

when it has been identified that an item has the potential to cause a non-compliance under point (b) or (d);

3.

when suggestions or improvements are of interest for the overall safety performance of the organisation.

(g)

The CAA must notify the production organisation in writing of any observations issued under point (f) and must keep a record of those observations.]

Textual Amendments

21.B.230Issue of certificateU.K.

F375. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

21.B.235Continued surveillanceU.K.

F376. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F37721.B.240Changes in the production management systemU.K.
(a)

Upon receipt of an application for a significant change to the production management system, the CAA must verify the organisation’s compliance with the applicable requirements of this Annex before issuing the approval.

(b)

The CAA must establish the conditions under which the organisation may operate during the evaluation of a change unless the CAA determines that the production organisation approval certificate needs to be suspended.

(c)

When satisfied the organisation complies with the applicable requirements, the CAA must approve the change.

(d)

Without prejudice to any other enforcement measures, where the organisation implements a significant change to the production management system without prior approval of the CAA under point (c), the CAA may suspend, limit or revoke the organisation’s certificate if it considers necessary.

(e)

For non-significant changes to the production management system, the CAA must include the review of such changes in its continuing oversight in accordance with the principles set out in point 21.B.221. Where any non-compliance is found, the CAA must notify the organisation, request further changes and act in accordance with point 21.B.225.]

Textual Amendments

21.B.245Suspension and revocation of a production organisation approvalU.K.

F378. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

21.B.260Record-keepingU.K.

F379. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F38021.B.265Means of complianceU.K.
(a)

AMC may be used to establish compliance with Regulation (EU) 2018/1139 and this Regulation.

(b)

Alternative means of compliance may be used by an organisation to establish compliance with this Regulation when approved by the CAA.]

Textual Amendments

SUBPART H —CERTIFICATES OF AIRWORTHINESS AND RESTRICTED CERTIFICATES OF AIRWORTHINESSU.K.

21.B.320InvestigationU.K.
(a)

The [F381CAA] shall perform sufficient investigation activities for an applicant for, or holder of, an airworthiness certificate to justify the issuance, maintenance, amendment, suspension or revocation of the certificate or permit.

(b)

The [F381CAA] shall prepare evaluation procedures covering at least the following elements:

1.

evaluation of eligibility of the applicant;

2.

evaluation of the eligibility of the application;

3.

classification of airworthiness certificates;

4.

evaluation of the documentation received with the application;

5.

inspection of aircraft;

6.

determination of necessary conditions, restrictions or limitations to the airworthiness certificates.

Textual Amendments

21.B.325Issue of airworthiness certificateU.K.
(a)

The [F382CAA] shall issue or change a certificate of airworthiness ([F383CAA] Form 25, see Appendix VI) without undue delay when it is satisfied that the requirements of point 21.B.326 and the applicable requirements of Section A of Subpart H of this Annex I (Part 21) are met.

(b)

The [F384CAA] shall issue or change a Restricted certificate of airworthiness ([F385CAA] Form 24, see Appendix V) without undue delay when it is satisfied that requirements of point 21.B.327 and the applicable requirements of Section A of Subpart H of this Annex I (Part 21) are met.

(c)

[F386For new aircraft, and used aircraft originating from a third country, in addition to the appropriate airworthiness certificate referred to in point (a) or (b), the CAA must issue:

1.

for aircraft subject to Annex I (Part-M) to Regulation (EU) No 1321/2014, an initial airworthiness review certificate (CAA Form 15a, Appendix II);

2.

for new aircraft subject to Annex Vb (Part-ML) to Regulation (EU) No 1321/2014, an initial airworthiness review certificate (CAA Form 15c, Appendix II);

3.

for used aircraft originating from a third country, and subject to Annex Vb (Part-ML) to Regulation (EU) No 1321/2014, an initial airworthiness review certificate (CAA Form 15c, Appendix II), when the CAA has performed the airworthiness review.]

Textual Amendments

[F921.B.326 Certificate of airworthiness U.K.

The [F387CAA] shall issue a certificate of airworthiness for:

(a)

new aircraft:

1.

upon presentation of the documentation required by point 21.A.174(b)(2);

2.

where the [F387CAA] is satisfied that the aircraft conforms to an approved design and is in a condition for safe operation; this may include inspections by the [F387CAA]; and

3.

where the [F387CAA] is satisfied that the aircraft is in compliance with the applicable CO 2 emissions requirements on the date on which the certificate of airworthiness is first issued.

(b)

used aircraft:

1.

upon presentation of the documentation required by point 21.A.174(b)(3) demonstrating that:

(i)

the aircraft conforms to a type design approved under a type-certificate and any supplemental type-certificate, change or repair approved in accordance with this Annex I (Part 21) and;

(ii)

the applicable airworthiness directives have been complied with and;

(iii)

[F89the aircraft has been inspected in accordance with the provisions of Annex I (Part-M) or Annex Vb (Part-ML) of Regulation (EU) No 1321/2014, as appropriate.]

(iv)

the aircraft was in compliance with the applicable CO 2 emissions requirements on the date on which the certificate of airworthiness was first issued;

2.

where the [F387CAA] is satisfied that the aircraft conforms to an approved design and is in a condition for safe operation; this may include inspections by the [F387CAA] and;

3.

where the [F387CAA] is satisfied that the aircraft was in compliance with the applicable CO 2 emissions requirements on the date on which the certificate of airworthiness was first issued.]

Textual Amendments

21.B.327Restricted certificate of airworthinessU.K.
(a)

The [F388CAA] shall issue a restricted certificate of airworthiness for:

1.

new aircraft:

(i)

upon presentation of the documentation required by point 21.A.174(b)(2);

(ii)

when the [F389CAA] is satisfied that the aircraft conforms to a design approved by the [F390CAA] under a restricted type-certificate or in accordance with specific airworthiness specifications, and is in a condition for safe operation. This may include inspections by the [F391CAA];

2.

used aircraft:

(i)

upon presentation of the documentation required by point 21.A.174(b)(3) demonstrating that:

(A)

the aircraft conforms to a design approved by the Agency under a restricted type-certificate or in accordance with specific airworthiness specifications and any supplemental type-certificate change or repair approved in accordance with this Annex I (Part 21); and

(B)

the applicable airworthiness directives have been complied with; and

(C)

[F89the aircraft has been inspected in accordance with the provisions of Annex I (Part-M) or Annex Vb (Part-ML) of Regulation (EU) No 1321/2014, as appropriate;]

(ii)

when the [F392CAA] is satisfied that the aircraft conforms to the approved design and is in a condition for safe operation. This may include inspections by the [F392CAA].

(b)

For an aircraft that cannot comply with the essential requirements referred to in Regulation (EC) No 216/2008 and which is not eligible for a restricted type-certificate, the [F393CAA] shall, as necessary to take account of deviations from these essential requirements:

1.

issue and check compliance with specific airworthiness specifications ensuring adequate safety with regard to the intended use, and

2.

specify limitations for use of this aircraft.

(c)

Limitations for use will be associated with restricted certificates of airworthiness, including airspace restrictions, as necessary to take account of deviations from essential requirements for airworthiness laid down in Regulation (EC) No 216/2008.

Textual Amendments

21.B.330Suspension and revocation of certificates of airworthiness and restricted certificates of airworthinessU.K.

F394. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

21.B.345Record-keepingU.K.

F395. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

SUBPART I —NOISE CERTIFICATESU.K.

21.B.420InvestigationU.K.
(a)

The [F396CAA] shall perform sufficient investigation activities for an applicant for, or holder of, a noise certificate to justify the issuance, maintenance, amendment, suspension or revocation of the certificate.

(b)

The [F396CAA] shall prepare evaluation procedures as part of the documented procedures covering at least the following elements:

1.

evaluation of eligibility;

2.

evaluation of the documentation received with the application;

3.

inspection of aircraft.

Textual Amendments

21.B.425Issue of noise certificatesU.K.

The [F397CAA] shall, as applicable, issue, or amend noise certificates ([F398CAA] Form 45, see Appendix VII) without undue delay when it is satisfied that the applicable requirements of Section A, Subpart I are met.

Textual Amendments

21.B.430Suspension and revocation of a noise certificateU.K.

F399. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

21.B.445Record-keepingU.K.

F400. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F400Annex 1 point 21.B.445 omitted (1.7.2024) by virtue of The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(3), 7(7) (also omitted by reg. 7(9))

SUBPART J —DESIGN ORGANISATION APPROVALU.K.

[F40121.B.430Initial certification procedureU.K.
(a)

Upon receiving an application for the initial issue of a design organisation approval, the CAA must verify the applicant’s compliance with the applicable requirements.

(b)

A meeting with the head of the design organisation must be convened at least once during the investigation for initial certification to ensure that this person understands their role and accountability.

(c)

The CAA must record all the findings issued, closure actions and recommendations for the issue of the design organisation approval.

(d)

The CAA must confirm to the applicant in writing all the findings raised during the verification. For initial certification, all findings must be corrected to the satisfaction of the CAA before the design organisation approval can be issued.

(e)

When satisfied that the applicant complies with the applicable requirements, the CAA must issue the design organisation approval.

(f)

The certificate reference number must be included in the design organisation approval in a manner specified by the CAA.

(g)

The certificate must be issued for an unlimited period of time. The privileges and the scope of the activities that the design organisation is approved to perform, including any limitations as applicable, must be specified in the terms of approval attached to the design organisation approval.

Textual Amendments

21.B.431Oversight principlesU.K.
(a)

The CAA must verify whether certified organisations continue to comply with the applicable requirements.

(b)

The verification must:

1.

be supported by documentation specifically intended to provide CAA personnel responsible for oversight with guidance to perform their functions;

2.

provide the organisations concerned with the results of oversight activities;

3.

be based on assessments, audits, and inspections pursuant to point 21.B.432 and, if needed, unannounced inspections;

4.

provide the CAA with the evidence needed in case further action is required, including the measures provided for in point 21.B.433.

(c)

The CAA must establish the scope of the oversight set out in point (b) taking into account the results of past oversight activities and the safety priorities.

(d)

The CAA must collect and process any information deemed necessary for performing oversight activities.

21.B.432Oversight programmeU.K.
(a)

The CAA must establish and maintain an oversight programme covering the oversight activities required to comply with point 21.A.431(a).

(b)

The oversight programme must take into account the specific nature of the organisation, the complexity of its activities, and the results of past certification and oversight activities, and it must be based on the assessment of the associated risks. It must include, within each oversight planning cycle:

1.

assessments, audits and inspections, including, where appropriate:

(i)

management system assessments and process audits;

(ii)

product audits of a relevant sample of the design and certification of the products, parts and appliances that are within the scope of work of the organisation;

(iii)

sampling of the work performed;

(iv)

unannounced inspections;

2.

meetings between the head of the design organisation and the CAA to ensure that both parties remain informed of all significant issues.

(c)

The oversight planning cycle must not exceed 24 months.

(d)

Notwithstanding point (c), the oversight planning cycle may be extended to 36 months if the CAA has established that during the previous 24 months:

1.

the organisation has demonstrated that it can effectively identify aviation safety hazards and manage the associated risks;

2.

the organisation has continuously demonstrated compliance with point 21.A.247 and has full control over all changes to the design management system;

3.

no level 1 findings have been issued;

4.

all corrective actions have been implemented within the time period that was accepted or extended by the CAA as provided for in point 21.B.433(e).

(e)

Notwithstanding points (c) and (d), the oversight planning cycle may be further extended to a maximum of 48 months if, in addition to the conditions laid down in point (d), the organisation has established, and the CAA has approved, an effective continuous system for reporting to the CAA on the safety performance and regulatory compliance of the organisation itself.

(f)

The oversight planning cycle may be reduced if there is evidence that the safety performance of the organisation has decreased.

(g)

The oversight programme must include records of the dates when assessments, audits, inspections and meetings are due, and when assessments, audits, inspections and meetings have been effectively carried out.

(h)

At the completion of each oversight planning cycle, the CAA must issue a recommendation report on the continuation of the approval, reflecting the results of the oversight.

21.B.433Findings and corrective actions; observationsU.K.
(a)

The CAA must have a system in place to analyse findings for their safety significance.

(b)

The CAA must issue a level 1 finding where a severe non-compliance is detected with the applicable requirements of Regulation (EU) 2018/1139, with the organisation’s procedures or manuals, or with the design organisation’s certificate including the terms of approval, which may lead to uncontrolled non-compliances and to a potential unsafe condition.

(c)

Level 1 findings include:

1.

any failure to grant the CAA access to the organisation’s facilities referred to in point 21.A.8 during normal operating hours and after two written requests;

2.

obtaining the design organisation approval or maintaining its validity by falsification of the submitted documentary evidence;

3.

any evidence of malpractice or fraudulent use of the design organisation approval;

4.

failure to appoint a head of the design organisation pursuant to point 21.A.245(a).

(d)

The CAA must issue a level 2 finding where any non-compliance, which is not classified as a level 1 finding is detected with the applicable requirements of Regulation (EU) 2018/1139, with the organisation’s procedures or manuals, or with the certificate including the terms of approval.

(e)

Where a finding is detected during oversight or by any other means, the CAA must, without prejudice to any additional action required by Regulation (EU) 2018/1139, communicate the finding in writing to the organisation and request corrective action to address the non-compliance identified.

1.

Where there are any level 1 findings:

(i)

the CAA must grant the organisation a corrective action implementation period, appropriate to the nature of the finding, which must not be more than 1 month commencing from the date of the written communication of the finding to the organisation under point (e);

(ii)

the CAA must assess the corrective action plan and implementation plan proposed by the organisation, and if it concludes that they are sufficient to address the non-compliance, accept them;

(iii)

where the organisation fails to submit an acceptable corrective action plan, or fails to perform the corrective action within the time period accepted by the CAA, take immediate and appropriate action to prohibit or limit the activities of the organisation involved and, if appropriate, take action to revoke the design organisation approval or to limit or suspend it in whole or in part, depending on the extent of the level 1 finding, until successful corrective action has been taken by the organisation.

2.

Where there are any level 2 findings:

(i)

the CAA must grant the organisation a corrective action implementation period, appropriate to the nature of the finding, which must not be more than 3 months commencing from the date of the written communication of the finding to the organisation under point (e). At the end of the 3 month period, and subject to the nature of the finding, the CAA may extend the 3 month period provided that a corrective action plan has been agreed by the CAA;

(ii)

the CAA must assess the corrective action and the implementation plan proposed by the organisation, and if it concludes that they are sufficient to address the non-compliance, accept them;

(iii)

where the organisation fails to submit an acceptable corrective action plan or fails to perform the corrective action within the time period accepted or extended by the CAA, the CAA must raise the finding to level 1 and action must be taken as laid down in point (e)(1).

(f)

The CAA may issue observations for any of the following cases not requiring level 1 or level 2 findings:

1.

for any item whose performance has been assessed as ineffective;

2.

when it has been identified that an item has the potential to cause a non-compliance under points (b), (c) or (d);

3.

when suggestions or improvements are of interest for the overall safety performance of the organisation.

(g)

The observations issued under this point must be communicated in writing to the organisation and recorded by the CAA.

21B.435Changes in the design management systemU.K.
(a)

Upon receiving an application for a significant change to the design management system, the CAA must verify the organisation’s compliance with the applicable requirements of Regulation (EU) 2018/1139 before issuing the approval.]

(b)

The CAA must establish the conditions under which the organisation may operate during the change unless the CAA determines that the design organisation approval needs to be suspended.

(c)

When it is satisfied that the organisation complies with the applicable requirements of Regulation (EU) 2018/1139, the CAA must approve the change.

(d)

Without prejudice to any additional enforcement measures, if the organisation implements a significant change to the design management system without having received the approval of the CAA pursuant to point (c), the CAA must consider the need to suspend, limit or revoke the organisation’s certificate.

(e)

For non-significant changes to the design management system, the CAA must include the review of such changes in its continuing oversight in accordance with the principles set out in point 21.B.431. If any non-compliance is found, the CAA must notify the organisation, request further changes and act in accordance with point 21.B.433.

SUBPART K —PARTS AND APPLIANCESU.K.

Administrative procedures established by the [F402CAA] shall apply.

Textual Amendments

(SUBPART L — NOT APPLICABLE)U.K.

SUBPART M —REPAIRSU.K.

[F921.B.450 Type-certification basis and environmental protection requirements for a repair design approval U.K.

The [F403CAA] shall designate any amendments to the type-certification basis incorporated by reference in, as applicable, either the type-certificate, the supplemental type-certificate or the APU [F404UKTSO] authorisation, which the [F405CAA] considers necessary for maintaining a level of safety equal to that previously established and notify them to the applicant for a repair design.

Textual Amendments

21.B.453 Issuance of a repair design approval U.K.
(a)

The [F406CAA] shall issue an approval of a major repair design, provided that:

1.

the applicant has demonstrated its capability in accordance with point 21.A.432B;

2.

the applicant has complied with point 21.A.433;

3.

the [F406CAA], through its verification of the demonstration of compliance in accordance with the level of involvement established pursuant to point 21.B.100(a), has not found any non-compliance with the type-certification basis and environmental protection requirements; and

4.

no feature or characteristic has been identified that may make the product unsafe for the uses for which certification is requested.

(b)

The [F406CAA] shall issue an approval of a minor repair design, provided that the applicant has complied with points (2) and (4) of point (a) and provided that the [F406CAA], through its verifications of the demonstration of compliance in accordance with the level of involvement pursuant to point 21.B.100(b), has not found any non-compliance with the type-certification basis and environmental protection requirements.]

Textual Amendments

(SUBPART N — NOT APPLICABLE)U.K.

SUBPART O — [F407UNITED KINGDOM] TECHNICAL STANDARD ORDER AUTHORISATIONSU.K.

[F921.B.480 Issuance of an ETSO authorisation U.K.

The [F408CAA] shall issue an [F409UKTSO] authorisation, provided that:

Textual Amendments

(a)

the applicant has complied with point 21.A.606;

(b)

the [F410CAA], through its verifications of the demonstration of compliance in accordance with the level of involvement pursuant to point 21.B.100(b), has not found any non-compliance with the technical conditions of the applicable [F411UKTSO] or with deviations therefrom approved in accordance with point 21.A.610, if any; and

(c)

no feature or characteristic has been identified that may make the article unsafe for the uses for which certification is requested.]

Textual Amendments

Textual Amendments

F407Words in Annex 1 s. B Subpart O heading substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 221(a) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

SUBPART P —PERMIT TO FLYU.K.

21.B.520InvestigationU.K.
(a)

The [F412CAA] shall perform sufficient investigation activities to justify the issuance, or revocation of the permit to fly.

(b)

The [F412CAA] shall prepare evaluation procedures covering at least the following elements:

1.

evaluation of the eligibility of the applicant;

2.

evaluation of the eligibility of the application;

3.

evaluation of the documentation received with the application;

4.

inspection of the aircraft;

5.

approval of the flight conditions in accordance with point 21.A.710(b).

Textual Amendments

21.B.525Issue of permits to flyU.K.

The [F413CAA] shall issue a permit to fly ([F414CAA] Form 20a, see Appendix III) without undue delay:

(a)

upon presentation of the data required by point 21.A.707; and

(b)

when the flight conditions referred to in point 21.A.708 have been approved in accordance with point 21.A.710; and

(c)

when the [F415CAA], through its own investigations, which may include inspections, or through procedures agreed with the applicant, is satisfied that the aircraft conforms to the design defined under point 21.A.708 before flight.

Textual Amendments

21.B.530Revocation of permits to flyU.K.

F416. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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21.B.545Record-keepingU.K.

F417. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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SUBPART Q —IDENTIFICATION OF PRODUCTS, PARTS AND APPLIANCESU.K.

Administrative procedures established by the [F418CAA] shall apply.]

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Textual Amendments

F331Words in Annex 1 Pt. 21 s. B heading substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 209 (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

Appendices

[F419CAA FORMS]U.K.

When the Forms of this Annex are issued in a language other than English they shall include an English translation.

The [F420CAA] Forms referred to in the appendices to this Part shall have the following obligatory features. [F421The CAA] shall ensure that the [F422CAA Forms] they issue are recognisable and shall be responsible for having those Forms printed.

Textual Amendments

Appendix I

—

[F423CAA Form] 1 Authorised release Certificate

[F89Appendix II

—

[F423CAA Form] 15a and 15c – Airworthiness Review Certificate]

Appendix III

—

[F423CAA Form] 20a Permit to Fly

Appendix IV

—

[F423CAA Form] 20b Permit to Fly (issued by approved organisations)

Appendix V

—

[F423CAA Form] 24 Restricted Certificate of Airworthiness

Appendix VI

—

[F423CAA Form] 25 Certificate of Airworthiness

Appendix VII

—

[F423CAA Form] 45 Noise Certificate

Appendix VIII

—

[F423CAA Form] 52 Aircraft Statement of Conformity

Appendix IX

—

[F423CAA Form] 53 Certificate of Release to Service

Appendix X

—

[F423CAA Form] 55 Production Organisation Approval Certificate

Appendix XI

—

[F423CAA Form] 65 Letter of Agreement for production without production organisation approval

[F146Appendix XII

—

Categories of flight tests and associated flight test crew qualifications 85]

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Appendix I

F424F425F426Authorised Release Certificate — [F427CAA Form 1] referred to in Annex I (Part 21)U.K.
Instructions for the use of [F428CAA Form 1]U.K.

[F14These instructions relate only to the use of the [F429CAA Form 1] for production purposes. Attention is drawn to Appendix II to Annex I (Part M) of Regulation (EC) No 2042/2003 which covers the use of the [F429CAA Form 1] for maintenance purposes.]

Textual Amendments

1.PURPOSE AND USEU.K.
1.1.A primary purpose of the certificate is to declare the airworthiness of new aviation products, parts and appliances (‘the item(s)’).U.K.
1.2.Correlation must be established between the certificate and the item(s). The originator must retain a certificate in a form that allows verification of the original data.U.K.
1.3.The certificate is acceptable to many airworthiness authorities, but may be dependent on bilateral agreements and/or the policy of the airworthiness authority.U.K.
1.4.The certificate is not a delivery or shipping note.U.K.
1.5.Aircraft are not to be released using the certificate.U.K.
1.6.The certificate does not constitute approval to install the item on a particular aircraft, engine, or propeller but helps the end user determine its airworthiness approval status.U.K.
1.7.A mixture of production released and maintenance released items is not permitted on the same certificate.U.K.
1.8.A mixture of items certified in conformity with ‘approved data’ and to ‘non-approved data’ is not permitted on the same certificate.U.K.
2.GENERAL FORMATU.K.
2.1.The certificate must comply with the format attached including block numbers and the location of each block. The size of each block may however be varied to suit the individual application, but not to the extent that would make the certificate unrecognisable.U.K.
2.2.The certificate must be in ‘landscape’ format but the overall size may be significantly increased or decreased so long as the certificate remains recognisable and legible. If in doubt consult the competent authority.U.K.
2.3.The User/Installer responsibility statement can be placed on either side of the form.U.K.
2.4.All printing must be clear and legible to permit easy reading.U.K.
2.5.The certificate may either be pre-printed or computer generated but in either case the printing of lines and characters must be clear and legible and in accordance with the defined format.U.K.
2.6.The certificate should be in English F430....U.K.

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2.7.The details to be entered on the certificate may be either machine/computer printed or hand-written using block letters and must permit easy reading.U.K.
2.8.Limit the use of abbreviations to a minimum, to aid clarity.U.K.
2.9.The space remaining on the reverse side of the certificate may be used by the originator for any additional information but must not include any certification statement. Any use of the reverse side of the certificate must be referenced in the appropriate block on the front side of the certificate.U.K.
3.COPIESU.K.
3.1.There is no restriction in the number of copies of the certificate sent to the customer or retained by the originator.U.K.
4.ERROR(S) ON A CERTIFICATEU.K.
4.1.If an end-user finds an error(s) on a certificate, he must identify it/them in writing to the originator. The originator may issue a new certificate if they can verify and correct the error(s).U.K.
4.2.The new certificate must have a new tracking number, signature and date.U.K.
4.3.The request for a new certificate may be honoured without re-verification of the item(s) condition. The new certificate is not a statement of current condition and should refer to the previous certificate in block 12 by the following statement: ‘This certificate corrects the error(s) in block(s) [enter block(s) corrected] of the certificate [enter original tracking number] dated [enter original issuance date] and does not cover conformity/condition/release to service’. Both certificates should be retained according to the retention period associated with the first.U.K.
5.COMPLETION OF THE CERTIFICATE BY THE ORIGINATORU.K.
Block 1Approving competent authority/CountryU.K.

F431...

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Block 2 [F432CAA Form 1] headerU.K.

‘AUTHORISED RELEASE CERTIFICATE [F432CAA FORM 1’]

Textual Amendments

Block 3Form Tracking NumberU.K.

Enter the unique number established by the numbering system/procedure of the organisation identified in block 4; this may include alpha/numeric characters.

Block 4Organisation Name and AddressU.K.

Enter the full name and address of the production organisation (refer to [F433CAA Form 55] Sheet A) releasing the item(s) covered by this certificate. Logos etc. of the organisation are permitted if they can be contained within the block.

Textual Amendments

Block 5Work Order/Contract/InvoiceU.K.

To facilitate customer traceability of the item(s), enter the work order number, contract number, invoice number, or similar reference number.

Block 6ItemU.K.

Enter line item numbers when there is more than one line item. This block permits easy cross-referencing to the Remarks in block 12.

Block 7DescriptionU.K.

Enter the name or description of the item. Preference should be given to the term used in the instructions for continued airworthiness or maintenance data (e.g. Illustrated Parts Catalogue, Aircraft Maintenance Manual, Service Bulletin, Component Maintenance Manual).

Block 8Part NumberU.K.

Enter the part number as it appears on the item or tag/packaging. In case of an engine or propeller the type designation may be used.

Block 9QuantityU.K.

State the quantity of items.

Block 10Serial NumberU.K.

If the item is required by regulation to be identified with a serial number, enter it here. Additionally, any other serial number not required by regulation may also be entered. If there is no serial number identified on the item, enter ‘N/A’.

Block 11Status/WorkU.K.

Enter either ‘PROTOTYPE’ or ‘NEW’.

Enter ‘PROTOTYPE’ for:

(i)

the production of a new item in conformity with non-approved design data;

(ii)

re-certification by the organisation identified in block 4 of the previous certificate after alteration or rectification work on an item, prior to entry into service, (e.g. after incorporation of a design change, correction of a defect, inspection or test, or renewal of shelf-life.) Details of the original release and the alteration or rectification work are to be entered in block 12.

Enter ‘NEW’ for:

(i)

the production of a new item in conformity with the approved design data;

(ii)

re-certification by the organisation identified in block 4 of the previous certificate after alteration or rectification work on an item, prior to entry into service, (e.g. after incorporation of a design change, correction of a defect, inspection or test, or renewal of shelf-life.) Details of the original release and the alteration or rectification work are to be entered in block 12;

(iii)

re-certification by the product manufacturer or the organisation identified in block 4 of the previous certificate of items from ‘prototype’ (conformity only to non-approved data) to ‘new’ (conformity to approved data and in a condition for safe operation), subsequent to approval of the applicable design data, provided that the design data has not changed. The following statement must be entered in block 12:

‘RE-CERTIFICATION OF ITEMS FROM “PROTOTYPE” TO “NEW”: THIS DOCUMENT CERTIFIES THE APPROVAL OF THE DESIGN DATA [INSERT TC/STC NUMBER, REVISION LEVEL], DATED [INSERT DATE IF NECESSARY FOR IDENTIFICATION OF REVISION STATUS], TO WHICH THIS ITEM (THESE ITEMS) WAS (WERE) MANUFACTURED.’

The box ‘approved design data and are in a condition for safe operation’ should be marked in block 13a;

(iv)

the examination of a previously released new item prior to entry into service in accordance with a customer-specified standard or specification (details of which and of the original release are to be entered in block 12) or to establish airworthiness (an explanation of the basis of release and details of the original release are to be entered in block 12).

Block 12RemarksU.K.

Describe the work identified in block 11, either directly or by reference to supporting documentation, necessary for the user or installer to determine the airworthiness of item(s) in relation to the work being certified. If necessary, a separate sheet may be used and referenced from the [F434CAA Form 1]. Each statement must clearly identify which item(s) in block 6 it relates to. If there is no statement, state ‘None’.

Textual Amendments

Enter the justification for release to non-approved design data in block 12 (e.g. pending type-certificate, for test only, pending approved data).

If printing the data from an electronic [F434CAA Form 1] any data not appropriate in other blocks should be entered in this block.

Block 13aMark only one of the two boxes:U.K.
1.Mark the ‘approved design data and are in a condition for safe operation’ box if the item(s) was/were manufactured using approved design data and found to be in a condition for safe operation.U.K.
2.Mark the ‘non-approved design data specified in block 12’ box if the item(s) was/were manufactured using applicable non-approved design data. Identify the data in block 12 (e.g. pending type-certificate, for test only, pending approved data).U.K.

Mixtures of items released against approved and non-approved design data are not permitted on the same certificate.

Block 13bAuthorised SignatureU.K.

This space shall be completed with the signature of the authorised person. Only persons specifically authorised under the rules and policies of the competent authority are permitted to sign this block. To aid recognition, a unique number identifying the authorised person may be added.

Block 13cApproval/Authorisation NumberU.K.

Enter the approval/authorisation number/reference. This number or reference is issued by the [F435CAA].

Textual Amendments

Block 13dNameU.K.

Enter the name of the person signing block 13b in a legible form.

Block 13eDateU.K.

Enter the date on which block 13b is signed, the date must be in the format dd = 2 digit day, mmm = first 3 letters of the month, yyyy = 4 digit year.

Block 14a-14eGeneral Requirements for blocks 14a-14e:U.K.

Not used for production release. Shade, darken, or otherwise mark to preclude inadvertent or unauthorised use.

User/Installer ResponsibilitiesU.K.

Place the following statement on the certificate to notify end users that they are not relieved of their responsibilities concerning installation and use of any item accompanied by the form:

‘THIS CERTIFICATE DOES NOT AUTOMATICALLY CONSTITUTE AUTHORITY TO INSTALL.

WHERE THE USER/INSTALLER PERFORMS WORK IN ACCORDANCE WITH REGULATIONS OF AN AIRWORTHINESS AUTHORITY DIFFERENT THAN THE AIRWORTHINESS AUTHORITY SPECIFIED IN BLOCK 1, IT IS ESSENTIAL THAT THE USER/INSTALLER ENSURES THAT HIS/HER AIRWORTHINESS AUTHORITY ACCEPTS ITEMS FROM THE AIRWORTHINESS AUTHORITY SPECIFIED IN BLOCK 1.

STATEMENTS IN BLOCKS 13A AND 14A DO NOT CONSTITUTE INSTALLATION CERTIFICATION. IN ALL CASES AIRCRAFT MAINTENANCE RECORDS MUST CONTAIN AN INSTALLATION CERTIFICATION ISSUED IN ACCORDANCE WITH THE NATIONAL REGULATIONS BY THE USER/INSTALLER BEFORE THE AIRCRAFT MAY BE FLOWN.’

Textual Amendments

Textual Amendments

F424Annex 1 Appendix 1 CAA Form 1: in box 1 the word "CAA" is substituted for "Approving Competent Authority/Country" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 225(3)(a) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F425Annex 1 Appendix 1 CAA Form 1: in box 2 the word "CAA Form 1" is substituted for "EASA Form 1" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 225(3)(b) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F426Annex 1 Appendix 1 CAA Form 1: at the end of the form the words "CAA Form 1-21 Issue 1" are substituted for "EASA Form 1-21 Issue 2" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 225(3)(c) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

Appendix II

[F436UK CAA Form 15a – Airworthiness Review CertificateU.K.

Textual Amendments

UK CAA Form 15c – Airworthiness Review Certificate]U.K.

F437F438F439F440F441Appendix III

Textual Amendments

F437Annex 1 Appendix 3: the words "CAA logo" are substituted for "Competent authority logo" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 227(a) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F438 Annex 1 Appendix 3: the words "in the United Kingdom" are substituted for "in all Member States" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 227(b) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F439 Annex 1 Appendix 3: the word "other" is substituted for "non-Member" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 227(c) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F440Annex 1 Appendix 3: the words "CAA representative" are substituted for "competent authority representative" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 227(d) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F441 Annex 1 Appendix 3: the words "CAA Form 20a" are substituted for "EASA Form 20a" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 227(e) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F442F443F444F445Appendix IV

Textual Amendments

F442 Annex 1 Appendix 4: in the first box the words "United Kingdom" are substituted for the words from "Member State of the Competent Authority" to "issued by EASA" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 228(a) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F443 Annex 1 Appendix 4: the words "in the United Kingdom" are substituted for "in all Member States" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 228(b) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F444 Annex 1 Appendix 4: the word "other" is substituted for "non-Member" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 228(c) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F445 Annex 1 Appendix 4: the words "CAA Form 20b" are substituted for "EASA Form 20b" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 228(d) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F446F447F448F449F450Appendix V

Textual Amendments

F446 Annex 1 Appendix 5: the words "CAA logo" are substituted for "Competent Authority logo" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 229(3) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F447 Annex 1 Appendix 5: the words "United Kingdom" are substituted for "[Member State of registry]" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 229(4)(a) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F448 Annex 1 Appendix 5: the words "Civil Aviation Authority" are substituted for "[competent authority of the Member State]" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 229(4)(b) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F449 Annex 1 Appendix 5: in box 6 the word "CAA" is substituted for "competent authority of the Member State of registry" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 229(4)(c) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F450 Annex 1 Appendix 5: the words "CAA Form 24 Issue 1" are substituted for "EASA Form 24 Issue 2" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 229(4)(d) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

Restricted Certificate of Airworthiness — [F451CAA Form 24]U.K.

Textual Amendments

F452F453F454F455F456Appendix VI

Textual Amendments

F452 Annex 1 Appendix 6: the words "CAA logo" are substituted for "Competent Authority logo" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 230(3) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F453 Annex 1 Appendix 6: the words "United Kingdom" are substituted for "[Member State of registry]" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 230(4)(a) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F454 Annex 1 Appendix 6: the words "Civil Aviation Authority" are substituted for "[competent authority of the Member State]" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 230(4)(b) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F455 Annex 1 Appendix 6: in box 6 the word "CAA" is substituted for "competent authority of the Member State of registry" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 230(4)(c) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F456 Annex 1 Appendix 6: the words "CAA Form 25 Issue 1" are substituted for "EASA Form 25 Issue 2" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 230(4)(d) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

Certificate of Airworthiness — [F457CAA Form 25]U.K.

Textual Amendments

F458Appendix VII

Textual Amendments

F458 Annex 1 Appendix 7: the words "CAA Form 45" are substituted for "EASA Form 45" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 231 (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

Appendix VIII

[F459Aircraft statement of conformity — CAA Form 52]U.K.
CAA Form 52, continued
CAA Form 52 continued.
CAA Form 52 Continued.
CAA Form 52 continued.

Textual Amendments

F460Appendix IX

Textual Amendments

F460Annex 1 Appendix 9 CAA Form 53: the words "CAA Form 53" are substituted for "EASA Form 53" (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 233(2) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

CERTIFICATE OF RELEASE TO SERVICE — [F461CAA FORM 53]COMPLETION INSTRUCTIONSU.K.

The Block BRIEF DESCRIPTION OF WORK PERFORMED appearing in [F461CAA FORM 53] should include reference to the approved data used to perform the work.

The Block LOCATION appearing in [F461CAA FORM 53] refers to the location where the maintenance has been performed, not to the location of the facilities of the organisation (if different).

Textual Amendments

Appendix X

[F462Production Organisation Approval Certificates referred to in Subpart G of Annex I (Part 21) — CAA Form 55]U.K.
CAA Form 55 continued.

Textual Amendments

Appendix XI

[F463Letter of agreement — CAA Form 65— referred to in Subpart F of Annex I (Part 21)]U.K.

Textual Amendments

[F146Appendix XII

Categories of flight tests and associated flight test crew qualifications U.K.
A. General U.K.

This Appendix establishes the qualifications necessary for flight crew involved in the conduct of flight tests for aircraft certified or to be certified in accordance with CS-23 for aircraft with a maximum take-off mass (MTOM) of or above 2 000  kg, CS-25, CS-27, CS-29 or equivalent airworthiness codes.

B. Definitions U.K.
1.

‘ Flight test engineer ’ means any engineer involved in flight test operations either on the ground or in flight.

2.

‘ Lead flight test engineer ’ means a flight test engineer assigned for duties in an aircraft for the purpose of conducting flight tests or assisting the pilot in the operation of the aircraft and its systems during flight test activities.

3.

‘ Flight tests ’ mean:

3.1.

flights for the development phase of a new design (aircraft, propulsion systems, parts and appliances);

3.2.

flights to demonstrate compliance to certification basis or conformity to type design;

3.3.

flights intended to experiment new design concepts, requiring unconventional manoeuvres or profiles for which it could be possible to exit the already approved envelope of the aircraft;

3.4.

flight test training flights.

C. Categories of flight tests U.K.
1. General U.K.

The descriptions below address the flights performed by design and production organisations under Annex I (Part 21).

2. Scope U.K.

If more than one aircraft is involved in a test, each individual aircraft flight shall be assessed under this Appendix to determine if it is a flight test and when appropriate, its category.

The flights referred to in point (6)(B)(3) are the only flights that belong to the scope of this Appendix.

3. Categories of flight tests U.K.

Flights tests include the following four categories:

3.1.

Category One (1)

(a)

Initial flight(s) of a new type of aircraft or of an aircraft of which flight or handling characteristics may have been significantly modified;

(b)

Flights during which it can be envisaged to potentially encounter flight characteristics significantly different from those already known;

(c)

Flights to investigate novel or unusual aircraft design features or techniques;

(d)

Flights to determine or expand the flight envelope;

(e)

Flights to determine the regulatory performances, flight characteristics and handling qualities when flight envelope limits are approached;

(f)

Flight test training for Category 1 flight tests.

3.2.

Category Two (2)

(a)

Flights not classified as Category 1 on an aircraft whose type is not yet certified;

(b)

Flights not classified Category 1 on an aircraft of an already certified type, after embodiment of a not yet approved modification and which:

(i)

require an assessment of the general behaviour of the aircraft; or

(ii)

require an assessment of basic crew procedures, when a new or modified system is operating or is needed; or

(iii)

are required to intentionally fly outside of the limitations of the currently approved operational envelope, but within the investigated flight envelope;

(c)

Flight test training for Category 2 flight tests.

3.3.

Category Three (3)

Flights performed for the issuance of statement of conformity for a new-built aircraft which do not require flying outside of the limitations of the type certificate or the aircraft flight manual.

3.4.

Category Four (4)

Flights not classified as Category 1 or 2 on an aircraft of an already certified type, in case of an embodiment of a not yet approved design change.

[F146D. Competence and experience of pilots and lead flight test engineers U.K.
1. General U.K.

Pilots and lead flight test engineers shall have the competences and experience specified in the following table.

Categories of flight tests
Aircraft 1 2 3 4
CS-23 commuter or aircraft having a design diving speed (Md) above 0,6 or a maximum ceiling above 7 260  m ( 25 000 ft), CS-25, CS-27, CS-29 or equivalent airworthiness codes Competence level 1 Competence level 2 Competence level 3 Competence level 4
Other CS-23 with an MTOM of or above 2 000  kg Competence level 2 Competence level 2 Competence level 3 Competence level 4
1.1. Competence level 1 U.K.
1.1.1. Pilots shall comply with the requirements of Annex I (Part-FCL) to Commission Regulation (EU) No 1178/2011 of 3 November 2011 (6) . U.K.
1.1.2. Lead flight test engineer shall have: U.K.
(a)

satisfactorily completed a Competence level 1 training course; and

(b)

a minimum of 100 hours of flight experience, including flight test training.

1.2. Competence level 2 U.K.
1.2.1. Pilots shall comply with the requirements of Annex I (Part-FCL) to Regulation (EU) No 1178/2011. U.K.
1.2.2. The lead flight test engineer shall have: U.K.
(a)

satisfactorily completed a Competence level 1 or level 2 training course; and

(b)

a minimum of 50 hours of flight experience, including flight test training.

The competence level 1 or level 2 training courses for Lead flight test engineer shall cover at least the following subjects:

(i)

Performance;

(ii)

Stability and control/handling qualities;

(iii)

Systems;

(iv)

Test management; and

(v)

Risk/safety management.

1.3. Competence level 3 U.K.
1.3.1. Pilot(s) shall hold a valid licence appropriate to the category of aircraft under test, issued in accordance with Part-FCL and hold a Commercial Pilot Licence (CPL) as a minimum. In addition, the pilot-in-command shall: U.K.
(a)

hold a flight test rating; or

(b)

have at least 1 000 hours of flight experience as pilot-in-command on aircraft having similar complexity and characteristics; and

(c)

have participated, for each class or type of aircraft, in all flights that are part of the programme leading to the issuance of the individual certificate of airworthiness of at least five aircraft.

1.3.2. Lead flight test engineer shall: U.K.
(a)

satisfy Competence level 1 or level 2; or

(b)

have gained a significant amount of flight experience relevant to the task; and

(c)

have participated in all flights that are part of the programme leading to the issuance of the individual certificate of airworthiness of at least five aircraft.

1.4. Competence level 4 U.K.
1.4.1. Pilot(s) shall hold a valid licence appropriate to the category of aircraft under test, issued in accordance with Part-FCL and hold a CPL as a minimum. The pilot-in-command shall hold a flight test rating or have at least 1 000 hours as pilot-in-command on aircraft having similar complexity and characteristics. U.K.
1.4.2. Competence and experience for lead flight test engineers is defined in the flight test operations manual. U.K.
2. Lead flight test engineers U.K.

Lead flight test engineers shall receive an authorisation from the organisation that employs them detailing the scope of their functions within the organisation. The authorisation shall contain the following information:

(a)

name;

(b)

date of birth;

(c)

experience and training;

(d)

position in organisation;

(e)

scope of the authorisation;

(f)

date of first issue of the authorisation;

(g)

date of expiry of the authorisation, if appropriate; and

(h)

identification number of the authorisation.

Lead flight test engineers shall only be appointed for a specific flight if they are physically and mentally fit to safely discharge assigned duties and responsibilities.

The organisation shall make all relevant records related to authorisations available to their holders.]

E. Competence and experience of other flight test engineers U.K.

Other flight test engineers on board the aircraft shall have an amount of experience and training commensurate with the tasks assigned to them as crew members, and in accordance with the flight test operations manual, when applicable.

The organisation shall make all relevant records related to their flight activities available to the relevant flight test engineer.]

ANNEX IIU.K.

Repealed Regulation with list of its successive amendments

Commission Regulation (EC) No 1702/2003(OJ L 243, 27.9.2003, p. 6).
Commission Regulation (EC) No 381/2005(OJ L 61, 8.3.2005, p. 3).
Commission Regulation (EC) No 706/2006(OJ L 122, 9.5.2006, p. 16).
Commission Regulation (EC) No 335/2007(OJ L 88, 29.3.2007, p. 40).
Commission Regulation (EC) No 375/2007(OJ L 94, 4.4.2007, p. 3).
Commission Regulation (EC) No 287/2008(OJ L 087, 29.3.2008, p. 3).
Commission Regulation (EC) No 1057/2008(OJ L 283, 28.10.2008, p. 30).
Commission Regulation (EC) No 1194/2009(OJ L 321, 8.12.2009, p. 5).

ANNEX IIIU.K.

Correlation table

Regulation (EC) No 1702/2003This Regulation
Article 1(1)Article 1(1)
Article 1(2)Article 1(2), points (a) to (h)
—Article 1(2), points (i) and (j)
Article 2(1) and (2)Article 2(1) and (2)
Article 2(3)—
Article 2a(1), introductory wordingArticle 3(1), introductory wording
Article 2a(1), points (a) and (b)Article 3(1), points (a) and (b)
Article 2a(1), points (c) and (d)—
Article 2a(2) to (5)Article 3(2) to (5)
Article 2bArticle 4
Article 2c(1)Article 5
Article 2c(2) and (3)—
Article 2dArticle 6
Article 2e, first paragraphArticle 7
Article 2e, second paragraph—
Article 3(1), (2) and the first sentence of point 3Article 8(1), (2) and (3)
Article 3(3) second sentence, (4) and (5)—
Article 3(6)—
Article 4(1), (2) and the first sentence of point 3Article 9(1), (2) and (3)
Article 4(3) second sentence, (4), (5) and (6)—
—Article 10
—Article 11
Article 5(1)Article 12
Article 5(2) to (5)—
AnnexAnnex I
—Annex II
—Annex III
(3)

See Annex II.

(4)

[F10Regulation (EU) 2018/1139 of the European Parliament and of the Council of 4 July 2018 on common rules in the field of civil aviation and establishing a European Union Aviation Safety Agency, and amending Regulations (EC) No 2111/2005, (EC) No 1008/2008, (EU) No 996/2010, (EU) No 376/2014 and Directives 2014/30/EU and 2014/53/EU of the European Parliament and of the Council, and repealing Regulations (EC) No 552/2004 and (EC) No 216/2008 of the European Parliament and of the Council and Council Regulation (EEC) No 3922/91 ( OJ L 212, 22.8.2018, p. 1 ).]

(5)

[F9 [F89Commission Regulation (EU) No 1321/2014 of 26 November 2014 on the continuing airworthiness of aircraft and aeronautical products, parts and appliances, and on the approval of organisations and personnel involved in these tasks ( OJ L 362, 17.12.2014, p. 1 ).] ]

(6)

[F146 [F146Commission Regulation (EU) No 1178/2011 of 3 November 2011 laying down technical requirements and administrative procedures related to civil aviation aircrew pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council ( OJ L 311, 25.11.2011, p. 1 ).] ]

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