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) (c. 748)

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

SECTION A U.K. TECHNICAL REQUIREMENTS

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

[F1 21.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.]

Textual Amendments

F1 Substituted by Commission Regulation (EU) No 69/2014 of 27 January 2014 amending Regulation (EU) No 748/2012 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 (Text with EEA relevance).

21.A.90B Standard changes U.K.

[F1 (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 [F2 CAA], containing acceptable methods, techniques and practices for carrying out and identifying standard changes, including the associated instructions for [F3 continued] airworthiness; and

3.

that are not in conflict with TC holders data.]

Textual Amendments

F2 Word in Annex 1 point 21.A.90B substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 197(2) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F3 Word 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.

[F4 21.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.]

Textual Amendments

F4 Substituted by Commission Delegated Regulation (EU) 2019/897 of 12 March 2019 amending Regulation (EU) No 748/2012 as regards the inclusion of risk-based compliance verification in Annex I and the implementation of requirements for environmental protection (Text with EEA relevance).

[F1 21.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.]

[F4 21.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 [F5 CAA].

(b)

An application shall include, or be supplemented after the initial application, [F6 by] 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 [F5 CAA]'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 [F5 CAA] 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.

[F7 apply 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 [F5 CAA] 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 [F8 a change to any other] to type-certificate or restricted type certificate.]]

Textual Amendments

F5 Word in Annex 1 point 21.A.93 substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 197(2) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F6 Word 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)

F7 Substituted by Commission Delegated Regulation (EU) 2020/570 of 28 January 2020 amending and correcting Regulation (EU) No 748/2012 as regards the alignment of rules for continuing airworthiness of aircraft and aeronautical products, parts and appliances with Regulation (EU) No 1321/2014 (Text with EEA relevance).

F8 Words 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)

[F4 21.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 [F9 CAA]; 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 [F9 CAA] 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

F9 Word in Annex 1 point 21.A.95 substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 197(2) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

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 [F10 CAA]; 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 [F10 CAA] 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 [F10 CAA] 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

F10 Word in Annex 1 point 21.A.97 substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 197(2) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

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 [F11 CAA] 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 [F11 CAA] finds not to be significant. In determining whether a specific change is significant, the [F11 CAA] 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 [F11 CAA] finds not affected by the change;

3.

each area, system, part or appliance that is affected by the change for which the [F11 CAA] 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)

[F12 The 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 [F11 CAA] finds that the change is significant in an area, the [F11 CAA] 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 [F11 CAA] 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 [F11 CAA] 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 [F11 CAA] 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 [F11 CAA] if proposed by the applicant, provided that the [F11 CAA] 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 [F11 CAA] 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

F11 Word in Annex 1 point 21.A.101 substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 197(2) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F12 Annex 1 point 21.A.101(ba) inserted (21.6.2023) by The Aviation Safety (Amendment) Regulations 2023 (S.I. 2023/588), regs. 1(2), 6(4)(d)

F13 21.A.103 Issue of approval U.K.

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

Textual Amendments

F13 Deleted by Commission Delegated Regulation (EU) 2019/897 of 12 March 2019 amending Regulation (EU) No 748/2012 as regards the inclusion of risk-based compliance verification in Annex I and the implementation of requirements for environmental protection (Text with EEA relevance).

[F1 21.A.105 Record-keeping U.K.

For each change, all relevant design information, drawings and test reports, including inspection records for the changed product tested, shall be held by the applicant at the disposal of the [F14 CAA] and shall be retained in order to provide the information necessary to ensure the continued airworthiness, continued validity of the operational suitability data and compliance with applicable environmental protection requirements of the changed product.]

Textual Amendments

F14 Word in Annex 1 point 21.A.105 substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 197(2) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

21.A.107 Instructions for continued airworthiness U.K.

[F1 (a) The holder of a minor change approval to a type-certificate shall furnish at least one set of the associated variations, if any, to the instructions for continued airworthiness of the product on which the minor change is to be installed, prepared in accordance with the applicable type-certification basis, to each known owner of one or more aircraft, engine, or propeller incorporating the minor change, upon its delivery, or upon issuance of the first certificate of airworthiness for the affected aircraft, whichever occurs later, and thereafter make those variations in instructions available, on request, to any other person required to comply with any of the terms of those instructions.] U.K.

(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 minor change and shall be made available, on request, to any person required to comply with any of those instructions. U.K.

[F15 21.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 [F16 United Kingdom operators] of the changed aircraft, before the operational suitability data must be used by a training organisation or [F17 a United Kingdom operator]; and

(b)

any further change to the affected operational suitability data, to all known [F18 United Kingdom operators] of the changed aircraft; and

(c)

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

1.

[F19 the CAA; and]

2.

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

Textual Amendments

F16 Words in Annex 1 point 21.A.108(a) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 197(3)(a)(i) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F17 Words in Annex 1 point 21.A.108(a) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 197(3)(a)(ii) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F18 Words in Annex 1 point 21.A.108(b) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 197(3)(b) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F19 Annex 1 point 21.A.108(c)(1) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 197(3)(c) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

Textual Amendments

F15 Inserted by Commission Regulation (EU) No 69/2014 of 27 January 2014 amending Regulation (EU) No 748/2012 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 (Text with EEA relevance).

[F1 21.A.109 Obligations and [F20 UKPA] marking U.K.

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

(a)

undertake the obligations laid down in points 21.A.4, 21.A.105, 21.A.107 and 21.A.108; and

(b)

specify the marking, including [F21 UKPA (United Kingdom Part Approval)] letters, in accordance with point 21.A.804(a).]

Textual Amendments

F21 Words in Annex 1 point 21.A.109(b) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 197(4)(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

F20 Word in Annex 1 point 21.A.109 heading substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 197(4)(a) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)