GM3 21.B.220 Initial certification procedure

COMPETENT AUTHORITY SURVEILLANCE OF SUPPLIERS OF A POA HOLDER LOCATED IN OTHER MEMBER STATES

(a) The aviation legislation identifies specific State obligations in relation to complete products.

The State of manufacture, as used in ICAO Annex 8, normally identifies the country where the final assembly and the final determination of airworthiness is made. However, sub-assemblies and parts may be produced by POA holders in other countries and Form 1 - Authorised Release Certificate will identify those countries as the locations for production.

Among Member States, the obligations of the State of manufacture may be discharged through the use of the Part 21 POA system.

According to Part 21 Section A, Subpart G, each POA holder must have established and documented in its POE a system for its own control of suppliers/supplies. Surveillance of this system is part of the responsibility of the competent authority of the POA holder wherever the suppliers are located.

This surveillance may be exercised through the POA holder and/or at supplier level especially in the cases where the supplier would be eligible for its own POA.

The purpose of this procedure is to ensure the completeness of the chain of responsibilities so that no separate technical agreement between these competent authorities is necessary, and when necessary to establish a means of communication between the involved competent authorities of the Member States.

(b) Principle to organise competent authority supplier surveillance between Member States

In order to avoid duplication and to take the best advantage of Regulation (EU) 2018/1139(EC) No 216/2008 that establishes under Article 67 mutual recognition of certificates issued by production organisations approved in accordance with Part 21 Section A, Subpart G by a Member State, the principle for the competent authority surveillance of the suppliers of a POA holder located in other Member States is for the responsible competent authority to delegate surveillance activities to the other competent authority of the supplier.

This applies between Member States and for suppliers holding a Part 21 POA.

Delegation of surveillance tasks does not imply a delegation of the overall responsibility, therefore the competent authority of the contractor always retains the right of direct supervision at the supplier location especially when serious quality problems are encountered. In such a case, there will be coordination between both competent authorities.

This delegation of surveillance is to be considered automatic as soon as the supplier holds a Part 21 POA, provided that the intended supply is included in the approved scope of work. Evidence of that approval will normally be found through the release of the supplied parts with a Form 1. In addition, the competent authority of the supplier should immediately inform the competent authority of the contractor in any case of a serious quality problem.

In the cases where the competent authority of the contractor considers that it is necessary to establish closer ties with the competent authority of the supplier (i.e., critical or significant parts), the exchange of information between the competent authorities should be organised as follows:

(1) Tasks of the competent authority of the POA contractor

The competent authority of the contractor should inform in writing the competent authority of the subcontractor of the following:

(i) The identification (and location) of the contractor;

(ii) The identification (and location) of the subcontractor;

(iii) The identification of the subcontracting (parts, contract No, etc.);

(iv) A reference to the quality requirements attached to the contract;

(v) The name and address of the competent authority office/person in charge of the POA;

(vi) Whether direct delivery authorisation (DDA) applies;

(vii) Any specific action item/requirement from the competent authority; and

(viii) A request for a bi-annual reporting (both ways).

EASA Form 58A is provided for the convenience of the competent authority for this purpose.

The competent authority of the contractor should require the contract/order from the contractor to the subcontractor to indicate that it is placed under the surveillance of its competent authority on behalf of the competent authority of the contractor, and should address the subject to the payment of the possible surveillance fees.

(2) Tasks of the competent authority of the supplier (subcontractor)

On receipt of the information from the competent authority of the contractor, the competent authority of the subcontractor should:

(i) verify that the scope of work of the POA of the supplier covers the intended supply (or envisage extending it in liaison with the supplier).

(ii) verify that the specific quality requirements for the parts have been introduced into the quality system of the supplier.

(iii) confirm to the competent authority of the contractor that the procurement is included in the POA of the supplier and that their surveillance will cover this activity; and

(iv) indicate the name and address of the competent authority’s office/person in charge of the POA.

If the supplier has no POA under Part 21, or does not want to extend it, and/or if its competent authority cannot conduct surveillance on behalf of the other competent authority, the competent authority of the supplier will inform the competent authority of the contractor in order for it to decide on the appropriate actions.

(3) Exchange of information between the competent authorities

This information should normally take two forms:

— Immediate exchange of information between both competent authorities in case of serious quality problems;

— A bi-annual exchange of information on a given date in order to guarantee proper ongoing control of the subcontract by both competent authorities.

This information should cover in a concise form:

(i) for the competent authority of the contractor:

— a résumé of the quality problems encountered by the contractor, on receipt inspection, on installation on aircraft or on in service aircraft; and

— a status of the reference documents.

(ii) For the competent authority of the subcontractor:

— a résumé of at least the following subjects:

— changes in organisation and qualification of the subcontractor.(in case of impact on the procurement);

— quality problems encountered during manufacture;

— corrective actions following problems encountered earlier on the procurement;

— findings from competent authorities surveillance that may have an impact on the procurement; and

— quality problems related to the contractor procurement (materials, documentation, procedures, processes).

Any exchange of information between competent authorities according to this procedure is strictly confidential and should not be disclosed to other parties.

It is recommended to plan at least every 5 years a meeting between industry and the two competent authorities to review each major subcontract to verify that there is proper management by the various parties involved.

3. Miscellaneous

(a) Release documentation

The release of parts by the POA subcontractor to the contractor will be accompanied by an ‘Authorised Release Certificate EASA Form 1’ issued for ‘Airworthiness’ or for ‘Conformity ’ as appropriate.

(b) Subsubcontracting

If the subcontractor wants itself to subcontract, it is up to the competent authority of the subcontractor to verify that this is done in accordance with the conditions of the contract, to organise as necessary the related authority surveillance and to inform the competent authority of the contractor.

(c) Language

Except if it is agreed otherwise, it is recommended to use the English language for the exchange of information between the competent authorities.

EASA Form 58A – Request for reporting on subcontractor surveillance, Page x of x

EASA Form 58B – Report on subcontractor surveillance, Page x of x