[Federal Register Volume 64, Number 223 (Friday, November 19, 1999)]
[Notices]
[Pages 63363-63364]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-30267]



[[Page 63363]]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration


Proposed Issuance of Policy Memorandum 99-XX, Issuance of an 
Experimental Airworthiness Certificate for Show Compliance Flight 
Testing or Research and Development

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of availability.

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SUMMARY: After reviewing a 1995 guidance memorandum, it has been noted 
that changes are needed to better ensure compliance with Title 14 Code 
of Federal Regulations and Title 49 of the United States Code. This 
notice announces the availability of proposed Policy Memorandum (PM) 
99-XX for review and comment. The purpose of this memorandum is to 
address the issuance of an experimental airworthiness certificate to 
perform each flight test required for the purpose of showing compliance 
to the airworthiness regulations or for research and development. To 
add clarification, the PM also defines the differences in a show 
compliance flight test versus an operational flight check after 
installation of an FAA-approved modification or alteration, and 
emphasizes showing compliance through analysis and/or ground testing 
when appropriate.

DATES: Comments submitted must be received no later than January 18, 
2000.

ADDRESSES: Copies of proposed PM 99-XX can be obtained from and 
comments may be returned to the following: Federal Aviation 
Administration, Production and Airworthiness Certification Division, 
AIR-200, Room 815, 800 Independence Avenue, SW., Washington, DC 20591.

FOR FURTHER INFORMATION CONTACT: Loyal Woodworth, Federal Aviation 
Administration, Production and Airworthiness Certification Division, 
AIR-200, Room 815, 800 Independence Avenue, SW., Washington, DC 20591, 
(202) 267-8361. E-mail address: [email protected].

SUPPLEMENTARY INFORMATION: Interested persons are invited to comment on 
the proposed PM 99-XX listed in this notice, by submitting such written 
data, views, or arguments as they desire to the aforementioned address. 
Comments must be marked ``Comments to PM 99-XX.'' The Director, 
Aircraft Certification Service, will consider all communications 
received on or before the closing date, before issuing the final PM. 
Comments received on the proposed PM 99-XX may be examined before and 
after the comment closing date in Room 815, FAA headquarter building 
(FOB-10A), 800 Independence Avenue, SW., Washington, DC 20591, between 
8:30 a.m. and 4:30 p.m.

    Section 21.181(a)(1) of Title 14 of the CFR states that a standard 
airworthiness certificate remains effective as long as maintenance, 
preventive maintenance, and alterations are performed in accordance 
with 14 CFR parts 4 and 91. Section 91.407(a)(1) states that an 
aircraft that has undergone maintenance, preventive maintenance, 
rebuilding, or alteration may not be operated unless it has been 
approved for return to service by a person authorized under 14 CFR 
43.7, and the maintenance record entry required by Secs. 43.9 or 43.11 
has been made. The impact of the above regulations is that a standard 
airworthiness certificate for an aircraft that has undergone alteration 
is not effective until the aircraft is returned to service in 
accordance with part 43. Operation of that aircraft prior to return to 
service would violate 14 CFR 91.203(a)(1) and 49 U.S.C. 44.711(a)(1), 
because there would not be an effective airworthiness certificate for 
the aircraft.
    Part 21 of Title 14 contains the requirements for amending type 
certificates and for issuing supplemental type certificates. A type 
certificate (TC) may be amended (ATC) for the purpose for incorporating 
a major change into the type design; a supplemental type certificate 
(STC) is issued for a major change to type design made by someone other 
than the TC holder (although nothing prohibits the TC holder from 
obtaining an STC). In order to issue an ATC or STC, the FAA must find 
that the altered product complies with the airworthiness standards 
incorporated in the TC.
    In many instances, a flight test of the altered aircraft is 
required in order to show compliance with the applicable airworthiness 
requirements; some regulations specifically require flight testing. A 
major alteration must be performed in accordance with FAA-approved data 
(see, e.g., 14 CFR Secs. 65.95(a)(1), 121.379(b), 135.437(b), and 
145.51), and a successful flight test, if required, is necessary for 
the FAA to approve the data. Because the flight test is performed after 
the alterations are made to the aircraft, but before the aircraft is 
returned to service, there is no effective airworthiness certificate 
for the aircraft unless the FAA issues an experimental airworthiness 
certificate. The FAA issues that experimental certificate under 14 CFR 
Sec. 21.191(b), Experimental certificates for showing compliance with 
regulations.
    In addition, an aircraft may be altered for the purpose of 
conducting research and development. For the purpose of conducting that 
kind of flight before returning the aircraft to service in its 
unaltered state, the FAA will issue an experimental certificate under 
14 CFR Sec. 21.191(a), Experimental certificates for research and 
development. Similarly, aircraft may be flown after a major alteration 
or major repair is made to it, but before the aircraft is returned to 
service; in that case, and experimental airworthiness certificate or 
another special airworthiness certificate is issued.
    The 1995 guidance memorandum, No. 95-4, Issuance of Experimental 
Certificates for Flight test of Modified Aircraft, dated March 7, 1995, 
improperly described situations where an aircraft with a major 
alteration ``could'' be operated ``under'' its standard airworthiness 
certificate before it was returned to service. That part of the 
memorandum was contrary to the regulatory and statutory requirements 
described above. Proposed Policy Memorandum No. 99-XX would cancel 95-
4, and would provide correct guidance to FAA field offices that deal 
offices that deal with applications for ATCs and STCs.
    Part of the confusion created by 95-4 was because it did not 
adequately explain the difference between the above-described flight 
test for showing compliance with regulations, and the ``operational 
flight check'' required by 14 CFR Sec. 91.407(b). Section 91.407(b) 
states (in pertinent part):

    No person may carry any person (other than crewmembers) in an 
aircraft that has been * * * altered in a manner that may have 
appreciably changed its flight characteristics or substantially 
affected its operation in flight until an appropriately rated pilot 
with at least a private pilot certificate flies the aircraft, makes 
an operational check of the * * * alternation made, and logs the 
flight in the aircraft records.

    (In addition, paragraph (c) of Sec. 91.407 provides an exception to 
paragraph (b), where ground tests and/or inspections show conclusively 
that the alteration has not appreciably changed the flight 
characteristics or substantially affected the flight operation of the 
aircraft.)
    As noted above, paragraph (a) of Sec. 91.407 prohibits all persons 
from operating an altered aircraft prior to return to service; in 
contrast, paragraph (b) addresses operation of the aircraft with 
passengers aboard. Thus, paragraph (b) of Sec. 91.407 is premised on 
the operator of the aircraft complying

[[Page 63364]]

with paragraph (a), and the flight check required by paragraph (b) is 
conducted after the aircraft is returned to service. After the aircraft 
is returned to service, the standard airworthiness certificate is 
effective, and there is no need for an experimental airworthiness 
certificate to be issued for the operational flight check.

    Issued in Washington, DC, on November 15, 1999.
Frank P. Paskiewicz,
Manager, Production and Airworthiness Certification Division, AIR-200.
[FR Doc. 99-30267 Filed 11-18-99; 8:45 am]
BILLING CODE 4910-13-M