已頒發(fā)的適航法規(guī)及性文件2019年發(fā)布法序en ap

1、Aircraft Airworthiness Certification DepartmentCAACAP Number: Issued by: Effective date：Signature:AP-21-01R2 AADOctober 13, 2006VALIDATION PROCEDURES FORIMPORT CIVIL AVIATION PRODUCTS AND PARTSContent1General. - 1 -1.1Authority. - 1 -1.2Applicability. - 1 -1.3Cancellation. - 2 -1.4Explanation of ter

2、ms. - 2 -2Bilateral Airworthiness Agreement, Implementation Procedureand Technical Arrangement. - 4 -2.1Bilateral Airworthiness Agreement or MOU. - 4 -2.2Technical Arrangement on Type Validation. - 5 -Airworthiness ProceduresAP-21-01R2航空器適航審定司3Type Validation Procedure. - 6 -3.1Applicability. - 6 -3

3、.2Application. - 7 -3.3Acceptance for Application. - 9 -3.4Validation Basis. - 10 -3.5Type Validation Activities. - 11 -3.6Issue of Validation of Type. - 19 -4Supplemental Type Validation Procedure. - 23 -4.1Applicability. - 23 -4.2Application. - 23 -4.3Acceptance for Application. - 25 -4.4Validatio

4、n Basis. - 25 -4.5Supplemental Type Validation Process. - 25 -4.6Issue of Validation of Supplemental Type. - 28 -5Concurrent Supplemental Type Validation Procedure. - 31 -5.1Applicability. - 31 -5.2Application. - 32 -5.3Acceptance for Application. - 33 -5.4Validation Basis. - 34 -5.5Concurrent Suppl

5、emental Type Validation Process. - 34 -5.6Issue of Validation of Supplemental Type. - 36 -6Validation Procedure for Materials, Parts and Appliances DesigniiAP-21-01R2航空器適航審定司Approval. - 36 -6.1Applicability. - 36 -6.2Application. - 37 -6.4Validation Basis. - 39 -6.5Design Approval Validation Process

6、. - 40 -6.6Issue of Validation of Design Approval. - 44 -7PostActivities. - 47 -7.1Responsibilities of Holder. - 47 -7.2Design Change Approval. - 48 -8Airworthiness Support Activities. - 49 -8.1Flight Manual Approval. - 49 -8.2Flight Manual Supplemental Approval. - 49 -8.3Responsibilities of the Exp

7、orting Authority and CAAC. - 49 -9Supplementary Provision. - 50 -Attachment 1Application Form for VTC/VSTC. - 51 -Attachment 2Application Form for VDA. - 53 -Attachment 3Notification of Acceptance for Application. - 55 -Attachment 4Validation of Type. - 57 -Attachment 5Validation of TypeData Sheet.

8、- 58 -Attachment 6Validation of Supplemental Type. - 61 -Attachment 7Validation of Design Approval. - 62 -Attachment 8Technical Arrangement. - 64 -iiiAP-21-01R2航空器適航審定司（THIS PAGE IS INTENTIONALLY BLANK）ivAP-21-01R2航空器適航審定司1General1.1AuthorityThese procedures are established under the authority ofCiv

9、il Aviation Regulations Part 21, Certification Procedures for CivilAviation Products and Parts.1.2Applicability1.2.1Unlessotherwisementioned intheBilateralAirworthinessAgreement,ImplementationProcedureandTechnicalArrangementspecified in Section 2, these procedures apply to:(1) type validation of any

10、 civil aeronautical product imported to thePeoples(PRC);(2) supplemental type validation of any civil aeronautical productimported to the Peoples(PRC);(3) validation of design approval of a part, not as part of CAACvalidated/d aircraft, imported to PRC.1.2.2For a civil product or part which is alrea

11、dy imported into PRCwithout obtaining its CAAC validation approvals due to a historical cause,- 1 -AP-21-01R2航空器適航審定司the validation of its design must be accomplished on the basis ofapplicable provisions of these procedures.1.3CancellationCAACAirworthinessProceduresAP-21-01R1,ValidationProcedures fo

12、r Import Civil Aviation Products and Parts, dated on January1, 2000 is cancelled since October 13, 2006.1.4Explanation of terms1.4.1Action Item: means an item for which the validation requirementsand/or means of compliance is not designated, and the substantiation isnot closed at the end of a valida

13、tion phase.1.4.2Environmental Approval: means an environmentalorequivalent issued by the exporting authority for finding that a productcomplies with its own standards concerning noise and/or fuel venting andexhaust emission.1.4.3Exporting Authority: means the airworthiness authority of anapplicant w

14、ithin the exporting State.- 2 -AP-21-01R2航空器適航審定司1.4.4ProductOperatingDocuments:meanseachoperatingandoperating limitation document approved by the exporting authority andcompliantwiththetype(orsupplementaltype)designdefinitionapproved by CAAC, such as Aircraft Flight Manuals, Master MinimumEquipment

15、 List(MMEL), Weight and Balance Manuals and ConfigurationDeviation List (CDL) for aircraft, or Installation Manuals and OperatingManuals for engines or propellers.1.4.5ProductionApproval:meansaProductionandLimitation Records, or a Production Organization Approval (POA) orequivalent issued by the exp

16、orting authority.1.4.6Supplemental Type Approval: means a Supplemental Type(STC) or equivalent issued by the exporting authority.1.4.7Issue Papers: means a document that describes and records thesignificant issues related to validation basis and its means of compliances.- 3 -AP-21-01R2航空器適航審定司2Bilat

17、eral Airworthiness Agreement, Implementation Procedureand Technical Arrangement2.1Bilateral Airworthiness Agreement or MOU2.1.1The precondition of CAAC issuing Validation of Type(VTC),ValidationofSupplementalType(VSTC)andValidation of Design Approval (VDA) is that Bilateral AirworthinessAgreement or

18、 MOU, such as Bilateral Airworthiness Agreement (BAA)or Bilateral Aviation Safety Agreement (BASA), on import and export ofaviation product has been signed between the government of an applicantandgovernment.2.1.2In orderto implement above mentioned agreements, BilateralAirworthinessImplementationPr

19、oceduresuchasSpecificImplementationProcedure(SIP)andImplementationProcedureofAirworthiness (IPA) can be signed between CAAC and ExportingAuthorityinconjunctionwithAirworthinessAgreement.Theseprocedures specify the agreement and arrangement on validation of typedesign approval, production activities,

20、 exporting airworthiness approval,postactivities and technical support activities.- 4 -AP-21-01R2航空器適航審定司2.2Technical Arrangement on Type Validation2.2.1If Bilateral Airworthiness Implementation Procedure has not beensigned, the Technical Arrangement specifically related to this certain typecan be s

21、igned between CAAC and the Exporting Authority.Other typesto be validated can be incorporated into the Technical Arrangement byamending it.2.2.2Technical Arrangement on Product Type Validation normallyinclude:(1) Purpose and Applicability;(2) Focal points and communication procedures between CAAC an

22、dthe exporting authority;(3) Arrangement on validation process, including delegation ofvalidation basis, process of finding compliance and its;(4) Arrangement on airworthiness support activities, for example, foreach aircraft to be delivered, arrangement on Flight Manual (or FlightManual Supplementa

23、l) approval (refer to Section 8 of this procedure)and issuance of exporting airworthiness; for engine, propellerorpartstobedelivered,arrangementonissuanceofexportingairworthiness;(5) Post typevalidation activities (refer to Section 7 of this- 5 -AP-21-01R2航空器適航審定司procedure);(6) Other applicable matt

24、ers.Attachment 8 shows the sample of the Technical Arrangement.2.2.3For a priority important part which will be imported to PRCseparately for the first time, if necessary, Technical Arrangement onValidation of Design Approval for Part can be signed between CAAC andexporting authority according to Pa

25、ragraph 2.2.1 and 2.2.2.3Type Validation Procedure3.1Applicability3.1.1For a product imported for the first time to PRC for the civilaviation purposes, its type design must be validated through the processas established in this section and obtain a Validation of Type(VTC) from the CAAC, before the p

26、roduct initially enters into PRC.3.1.2For a changed product whose VTC has been issued, if its typedesign changes cause TC amendment or TypeData Sheet(TCDS) amendment, or VTC amendment or VTCDS amendment, its typedesign changes must be validated in the light of this procedure and obtain- 6 -AP-21-01R

27、2航空器適航審定司an amended VTC or amended VTCDS from CAAC, before the changedproduct initially enters into PRC.3.1.3For any other type design changes not specified in Paragraph 3.1.1and 3.1.2.3.2Application3.2.1An applicant for a VTC should be an applicant or holder of TC orequivalent approval issued by th

28、e exporting authority.3.2.2In order to avoid delaying the aircraft delivery, the applicantshould submit the VTC application to CAAC as early as possible. Foraircraft whose TC application has been accepted by exporting authoritybut TC does not issued, in order to help the applicant get VTC soon after

29、the exporting authority issuing the Typeand reduce theduplicate certification work, CAAC encourages the applicant submit VTCapplication as early as possible so that CAAC can conduct the concurrenttypevalidationwiththeexportingauthorityafteracceptingtheapplication based on its resource status.3.2.3VT

30、C application for engine or propeller shall be submitted to- 7 -AP-21-01R2航空器適航審定司CAAC no later than the date when VTC application for the aircraft onwhich the engine or propeller installs is submitted.3.2.4An applicant shall submit a complete application form (seeAttachment 1 for a sample of the ap

31、plication form AAC-021), togetherwith attached data as required in the paragraph 3.2.5 of this section, toCAAC in the manner concurred by CAAC and the exporting authority.3.2.5The following applicable data shall be attached to the application:(1) Recommendation letter on teral description of the pro

32、ductwritten by the exporting authority to CAAC;(2) Description of design feature and basicdata of the product,including a three-view drawing for aircraft, or mspecifications forengines and propellers;(3) The copy of Typeand TypeData Sheetissued by the exporting authority (if applicable);(4) The copy

33、 of Productionor equivalent document (ifapplicable);(5) The copy of environmental approval document (if applicable);(6) The user of the first aircraft and schedule of the first delivery (ifapplicable);(7) Proposed validation plan;- 8 -AP-21-01R2航空器適航審定司(8) Other necessary data required by CAAC.3.2.6

34、CAACmayrequesttheapplicanttoarrangeainitialfamiliarization meeting, when CAAC finds it necessary.3.2.7An application for type certification of a transport categoryaircraft is effective for 5 years and an application for any other typeis effective for 3 years from the date of application.3.3Acceptanc

35、e for Application3.3.1CAAC will send a Notification of Acceptance for Application (seeAppendix 3 for a sample of the notification form AAC-013) to theapplicant when it is found that the application has met applicablerequirements. CAAC will notify the applicant refusal of the applicationand give the

36、reason by letter when it is found that application can notmeet applicable requirements. For VTC application of the product forwhich there is nopotential user, CAAC will determine whetheror not the application is accepted based on human resource and workload.3.3.2The applicant shall complete the form

37、alities as required in the- 9 -AP-21-01R2航空器適航審定司notification form after receiving it from CAAC, and discuss with CAACa time schedule for on-site validation activities.3.3.3Onceconfirming the applicants completion of the formalitiesrequiredinthenotificationform,CAACwillestablishaprojectcertification

38、team(hereafterreferredascertificationteam).Thecertification team will notify the designated department of the exportingauthority time schedule of on-site validation in the manner concurred byCAAC and the exporting authority.3.4Validation Basis3.4.1CAAC validation basis will be established on the fol

39、lowingprinciples:(1) Certification basis as established by the exporting authority forthe product type design and design changes;(2) Additional Technical Conditions (ATC) prescribed by CAAC.Additional Technical conditions may include:(i) After contrasting the certification basis with applicableairwo

40、rthiness requirements and environmental requirements of CCARs ineffect at the date of the application, additional conditions based ondifferences in the airworthiness standards, environmental requirements，- 10 -AP-21-01R2航空器適航審定司applications,serviceexperiences,policies,andguidancematerialsbetween CAA

41、C and the exporting authority;(ii) Special conditions for novel or unusual design featureswhich are not covered by the certification basis of the exporting authority.The novel or unusual design features may include application of newtechnology, novel application of existing technology, and unconvent

42、ionaluse of the product etc.;(iii) Additional conditions based on an evaluation of equivalentsafety findings and exemptions granted by the exporting authority;(iv) Additional conditions based on mandatory airworthinessactions (e.g. Airworthiness Directives) directed by the exporting authorityand rel

43、ated service experiences to ensure continuous safety operation ofthe product.3.4.2Whenestablishingthevalidationbasisanditsmeansofcompliance, operationalrequirements such as markings and placards inlanguage andfuel specifications, with design impactsand with the necessityfor continuing safe operation

44、 under particularcircumstancesshould be considered.3.5Type Validation Activities- 11 -AP-21-01R2航空器適航審定司This section specifies the key points and general methodologies ofthe validation process, but the certification team can make the necessaryadjustment according to the product characteristics.3.5.1

45、In order to smooth the on-site certification, while completing theformalities required in the notification form, the applicant should contrastthe applicable airworthiness requirements of CCARs in effect at the dateof the application with the certification basis of the exporting authority asrequiredi

46、nSection3.4andfindthe compliancestatuswiththedifferences.3.5.2Familiarization BriefingIn order to fully understand the project, the certification team mayrequiretheapplicanttoarrangeafamiliarizationbriefingandfamiliarization flight test (if necessary). A familiarization flight should beperformedwhen

47、necessary.Thefamiliarizationbriefingnormallyincludes:(1) Product design and any unique or novel design features,including the design changes by the application time;(2)Certificationbasisestablishedbytheexportingauthority,including related issue paspecial conditions, equivalent safetyfindings, exempt

48、ions, etc.;- 12 -AP-21-01R2航空器適航審定司(3) Relevant service experiences, corrective measures to precludeoccurrence of incidents or accidents, and mandatory airworthiness actions(e.g. Airworthiness Directives);(4) General introduction of the compliance checklist with thecertification basis of the exporti

49、ng authority;(5) Contrasting result as required in Paragraph 3.5.1 and findings ofcompliance with the differences;(6) Any other matters deemed necessary by the certification teamand/or the applicant.3.5.3Technical BriefingIn order to make the finding of compliance with the certificationbasis of the

50、exporting authority and establish the ATC, the certificationteam should require the applicant to arrange a technical briefing andprovide the related data. The technical briefing may include detailed typedesign of the product and its system, detailed description of thecompliance with the certificatio

51、n basis of the exporting authority, and theevaluation results of the compliance status with the regulation differencesbetween the certification basis of the exporting authority and the theapplicable airworthiness requirements of CCARs.3.5.4The certification team discuss with the applicant and establ

52、ish the- 13 -AP-21-01R2航空器適航審定司validation basis.3.5.5Key Aspects of Substantiation ProcessThe applicant must show that the product complies with eachrequirement of the validation basis in accordance with the means ofcomplianceconcurredbythecertificationteamandsatisfythecertification team, and all th

53、e substantiation activities should be recordedin the Validation Compliance Check List.(1) It is acceptable for the applicant to directly use substantiatingdata accepted by the exporting authority for showing compliance with theprovisions of the validation basis which are covered by the certification

54、basis of the exporting authority, if the certification team agrees;(2) For each ATC, the applicant should show compliance with ATCto the exporting authority and satisfy the authority, and get concurrencewith the certification team. The applicant should record the compliancestatus with the ATC and in

55、corporate the related design changes forcomplying with the ATC to the type design, and record the compliancestatue in the compliance checklist.(3) For a certain validation requirement and its means of compliance,the applicants and the certification teams positions may be presented inissue paper and achieve the concurrence.(4) The final revision of the validation compliance checklist should- 14 -AP-21