Advisory Circular AC 21.17(0) APRIL 1999 EXPORT AIRWORTHINESS APPROVALS CONTENTS 1. References 1 2. Purpose 1 3. Status of this AC 1 4. Classification of products 2 5. General 2 6. Who may apply? 4 7. Who may issue? 4 8. Compliance as at date of issue 5 9. Aircraft for which an Export CoA may be issued 5 10. Application for Export CoA 6 11. Export airworthiness approval of engines, propellers, and Class II and Class III products 6 1. REFERENCES Civil Aviation Safety Regulations 1998 (CASRs), Part 21 Subpart L - Export Airworthiness Approvals. 2. PURPOSE This advisory circular provides information and guidance to applicants applying for the issue of export airworthiness approvals for Class I, Class II, and Class III products. 3. STATUS OF THIS AC This is the first AC to be written on the subject. Advisory Circulars (ACs) are advisory only. ACs provide recommendations and guidance to illustrate a method, or several methods, not necessarily being the only method by which legislative requirements may be met. They also provide a means of illustrating the meaning of certain requirements by offering interpretive and explanatory guidance. ACs should always be read in conjunction with the referenced regulations.
2 AC 21.17(0): Export airworthiness approvals 4. CLASSIFICATION OF PRODUCTS The full definitions of products are given in CASR 21.321(2). Essentially, the definitions are: 5. GENERAL (a) a Class I product is a complete aircraft, engine or propeller; (b) a Class II product is a major component of a Class I product, the failure of which would jeopardise the safety of a Class I product, or is an item manufactured under an Australian Technical Standard Order (ATSO) [refer to AC 21.32 Australian Technical Standard Order - Certification ]; (c) a Class III product is any part or component which is not a Class I or Class II product. Whilst standard parts, for example those designated as AN, NAS or SAE, and raw materials are Class III products as defined in CASR 21.321(c), export airworthiness approvals are not normally issued for such standard parts; (d) an overhauled product is one that has not been operated or placed in service, except for functional testing, since having been overhauled, inspected and approved for return to service in accordance with the applicable CASRs. 5.1 Certification of compliance with applicable airworthiness requirements 5.1.1 Export airworthiness approvals are issued to certify compliance with the applicable airworthiness requirements of Australia, and of the importing country unless the National Airworthiness Authority (NAA) of the importing country accepts otherwise. 5.1.2 It is not mandatory for an exporter to obtain an export airworthiness approval from an authorised person or CASA in order to export a product. However, once a product has been exported, it may be very difficult, if not impossible, to obtain export airworthiness approval. Prospective exporters of aeronautical products are strongly advised to obtain an export airworthiness approval, as such an approval facilitates acceptance of the product by the NAA of the importing country. 5.1.3 It is the responsibility of the exporter to determine the applicable airworthiness requirements. 5.2 Export airworthiness approval of aircraft For aircraft, an export airworthiness approval is issued in the form of an Export Certificate of Airworthiness (CoA). An Export CoA does not constitute authority to operate the aircraft [Reference CASR 21.325(2)]. A Standard or Special CoA, or a Special Flight Permit, is required if the aircraft is to be flown to the destination. 5.3 Export airworthiness approval of aircraft engines and propellers, and Class II and Class III products 5.3.1 Export airworthiness approvals of aircraft engines, propellers, and Class II and Class III products are issued in the form of an airworthiness tag/release notes [Reference CASR 21.325]. In the case of Class III standard parts, the release note or invoice is taken to be the
AC 21.17(0): Export airworthiness approvals 3 export airworthiness approval. Standard parts may be exported, depending on the importing country s requirements, under a certificate of conformancy or material reports. 5.3.2 CASA Form DA1 (FORM ONE) Authorised Release Certificate - Airworthiness Approval Tag is an airworthiness tag/release note for the purposes of CASR 21.325, when appropriately completed and signed. Refer to CAAP 42W-2 Guidelines for the Completion of DA1 (FORM ONE) and for the Development of an Alternative Approved Document. 5.3.3 The following regulations give the requirements that must be met for the various classes of products: (a) for a Class I engine or propeller CASR 21.329 (b) for a Class II product CASR 21.331 (c) for a Class III product CASR 21.333 5.3.4 For Class III standard parts, for example those designated as AN, NAS or SAE, any export airworthiness approval acceptable to the importing country will be specified by the NAA of the importing country. Form DA1 (FORM ONE) may or may not be required. In some cases, a statement of conformity may be acceptable. 5.4 Special and additional requirements, and special conditions of the importing country 5.4.1 Exporters are responsible for obtaining information on any special and additional requirements and special conditions from the NAA of the importing country. 5.4.2 An authorised person or CASA must certify the exporter s compliance with any special requirements of the importing country, including special conditions and/or additional conditions specified by the NAA of the importing country, unless a written statement is obtained from the NAA of the importing country, by the exporter, and submitted with the application for export airworthiness approval, that the NAA will accept the deviation. 5.4.3 An authorised person or CASA must list on the export airworthiness approval, as exceptions, the requirements that are not met and the differences in configuration, if any, between the product to be exported and the related type certificated product, eg fitment of a temporary ferry fuel system and other installations for the delivery flight. Note 1: Special requirements are administrative requirements which must be satisfied as a condition of shipment at the time of export. For example, the requirement for an Australian Export CoA, copies of logbooks, flight manuals etc. Note 2: Additional requirements are those found necessary by the importing country, in addition to the exporting country s certification basis, to provide a level of safety and environmental quality equivalent to the importing country s certification basis. Note 3: Special conditions are airworthiness standards issued to cover novel and unusual design features that are not adequately covered by a country s applicable laws, regulations, or requirements. These special conditions should be included in the Type Certificate Data Sheet (TCDS) or Supplemental Type Certificate (STC) as applicable.
4 AC 21.17(0): Export airworthiness approvals Note 4: FAA AC 21-2 lists special requirements of importing countries (except the USA) and FAA AC 21-23 lists the special requirements of products imported into the USA. 6. WHO MAY APPLY? Any person may obtain an export airworthiness approval for a Class I, Class II or Class III product [CASR 21.323 refers]. 7. WHO MAY ISSUE? 7.1 For aircraft Export Certificates of Airworthiness may only be issued by CASA or by a person who has applied to a CASA DO and been given an authorisation. 7.2 For engine, propellers, and Class II and Class III products 7.2.1 A general Instrument of Appointment Number CASA 23/99 has been raised to permit certain persons to issue export airworthiness approvals for products other than aircraft. A condition is that the approvals must be in the manner specified in, and in accordance with the procedures of, CAAP No 42W-1(0) Documents for the Supply of Aircraft Components and Materials and CAAP No 42W-2(0) Guidelines for the Completion of DA 1 (Form One) and for the Development of an Alternative Approved Document. 7.2.2 The schedule of the class of persons who can issue export airworthiness approvals is given in the Instrument Number CASA 23/99 available at CASA DOs. Persons wishing to issue export airworthiness approval should obtain a copy. The schedule is given here for information only. The class of persons comprises individuals who: (a) are authorised under CAR 1988 to certify for the completion of maintenance: (i) on Class I products (except aircraft); or (ii) on Class II products; or (iii) on Class III products (except standard products); and (b) are employed by an organisation which holds a certificate of approval to carry out maintenance: (i) on Class I products (except aircraft); or (ii) on Class II products; or (iii) on Class III products (except standard products); and (c) have experience in, and hold qualifications relevant to, carrying out maintenance on the particular product; and (d) have demonstrated a thorough understanding of: (i) the provisions of CAR 1988; and (ii) the provisions of CAR 1998; which relate to the issue of export airworthiness approvals:
AC 21.17(0): Export airworthiness approvals 5 (iii) for Class I products (except aircraft); or (iv) for Class II products; or (v) for Class III products (except standard products); and (e) have demonstrated their awareness of their responsibilities as set out in the organisation s system of quality control; and (f) are clearly identified (by name or by the title of their position) in the organisation s system of quality control as a person who meets the requirements set out in paragraphs (a) to (e) (inclusive). 7.2.3 In Instrument Number CASA 23/99, standard product has the same meaning as in Civil Aviation Advisory Publication No. 42W-2(0) as available on 1 January 1999. 7.2.4 Instrument Number CASA 23/99 ceases to have effect at the end of November 2000, by which time the new maintenance rules are expected to be implemented. 8. COMPLIANCE AS AT THE DATE OF ISSUE The date of issue for an export airworthiness approval is the date the product was inspected by CASA or an authorised person and found to comply with the pertinent requirements. An export airworthiness approval means that AS OF THE DATE OF ISSUE the product covered was found airworthy and in compliance with the applicable requirements. In order to preclude complaints from other countries and subsequent investigation by CASA, it is recommended that the exporter ensure that the product meets its type design, is in a condition for safe operation, and meets the importing country s NAA requirements, WHEN DELIVERED TO THE IMPORTER. 9. AIRCRAFT FOR WHICH AN EXPORT CERTIFICATE OF AIRWORTHINESS MAY BE ISSUED 9.1 An Export CoA may be issued for the following aircraft [refer CASR 21.325(4)]: (a) new, assembled and flight tested aircraft; (b) new aircraft without assembly or flight test, manufactured under a production certificate, as follows: (i) aircraft certificated under CASR Part 23; (ii) gliders, powered sailplanes, and manned free balloons issued with a type certificate under CASR 21.21 or 21.24; (iii) normal category rotorcraft certificated under CASR Part 27; (c) used aircraft possessing a valid CoA, shipped either assembled or unassembled. 9.2 CASA is not required to issue an Export CoA for used aircraft having a valid CoA, and located outside Australia, unless there is no undue burden on CASA.
6 AC 21.17(0): Export airworthiness approvals 10. APPLICATION FOR EXPORT CERTIFICATE OF AIRWORTHINESS 10.1 An application for export airworthiness approval of an aircraft is to be made on CASA Form No 722 Application for issue of an Export Certificate of Airworthiness. This form is comprehensive and prompts for the required information. A copy of this form may be obtained at CASA District Offices. A list of these Offices with contact details is given in Advisory Circular AC 11.1 Advisory Circulars - Guidelines. 10.2 If the application is for CASA to issue the Export CoA, a copy of the application and any supporting justification is to be supplied to CASA for retention on the aircraft file, along with the Export CoA. CASA will apply a cost recovery charge at an hourly fee as specified in the CASA Schedule of Charges. 10.3 Suitably qualified persons may apply to CASA for an Instrument of Appointment under CASR 21.324 to sign and issue Export CoAs. If an authorised person is to issue the Export CoA, application is still to be made on CASA Form 722. Copies of the application, any supporting justification, and the Export CoA are to be supplied to CASA for retention on the aircraft file, along with the Export CoA. Note 1: For aircraft shipped un-assembled, the assembly and test requirements must be supplied with the Export CoA. Note 2: For used aircraft, the person issuing the Export CoA must verify the modification and maintenance status. Note 3: If a temporary ferry flight fuel and other installations have been fitted especially for the delivery flight, then the Export CoA should state that these systems are to be removed after delivery. Note 4: De-registration procedures are contained in Advisory Circular AC 47.1 Registration of aircraft. 11. EXPORT AIRWORTHINESS APPROVAL OF ENGINES, PROPELLERS, AND CLASS II AND CLASS III PRODUCTS 11.1 The export airworthiness approval of aircraft engines, propellers, Class II products, and Class III products (other than standard parts and raw material) is made on CASA Form DA1 (FORM ONE). Copies of Form DA1 (FORM ONE) may be purchased from: Airservices Australia Publications Centre PO Box 1986 Carlton South VIC 3053 Phone: 1300 306 630 Fax: (03) 9347 4407 11.2 Export airworthiness approvals for these products may be issued by a person included in the class of persons authorised by Instrument Number CASA 23/99, for manufacture and maintenance of aeronautical products. There is no requirement to involve CASA, nor submit any documentation to CASA. 11.3 When CASA Form DA1 (FORM ONE) is used as an export airworthiness approval, the document must be filled out in accordance with the guidelines contained in CAAP 42W- 1(0) Documents for the Supply of Aircraft Components and Materials. Also, any
AC 21.17(0): Export airworthiness approvals 7 requirements or conditions of the importing country must be entered in the Remarks column. 11.4 A batch of identical products may be covered by the one CASA Form DA1 (FORM ONE), provided they are being shipped to the same destination. 11.5 Exceptions to any special requirements or conditions of the importing country should be obtained by the exporter and listed, together with written acceptance by the NAA of the importing country, and copies attached to the DA1 (FORM ONE) shipped with the product, with the originals retained by the exporter. If you require any further information, contact your local CASA District Office. Richard G. Yates Assistant Director Aviation Safety Standards