Subject: ISSUANCE OF REPAIR
STATION CERTIFICATES TO FOREIGN
APPROVED MAINTENANCE
ORGANIZATIONS UNDER THE
MAINTENANCE IMPLEMENTATION
PROCEDURES OF A BILATERAL
AVIATION SAFETY AGREEMENT
Date: 9/23/02 Initiated By: AFS-300 AC No: 145-7A Change:
1. PURPOSE. This advisory circular (AC) provides information and guidance on an acceptable means, but not the only means, to be used by a National Aviation Authority (NAA) Approved Maintenance Organization (AMO) to obtain, renew, or amend a Title 14 of the Code of Federal Regulations (14 CFR) Part 145 repair station certificate. This certificate is obtained under the provisions of Maintenance Implementation Procedures (MIP) concluded according to a Bilateral Aviation Safety Agreement (BASA).
2. FOCUS. This AC applies to NAA AMOs seeking a Part 145 repair station certificate under the provisions of a BASA/MIP. The AMO must be located in a country with which the Federal Aviation Administration (FAA) has concluded a BASA/MIP.
3. CANCELLATION. AC 145-7, Issuance of Repair Station Certificates to JAA-Approved Maintenance Organizations under the Maintenance Implementation Procedures of a Bilateral Aviation Safety Agreement, dated May 11, 1998, is canceled.
4. RELATED MATERIAL.
a. 14 CFR Parts 43, 121, and 145.
b. Advisory Circulars. You may obtain copies of these documents from the U.S. Department of Transportation, Subsequent Distribution Center, SVC-121.23, Ardmore East Business Center, 3341 Q 75th Avenue, Landover, Maryland 20785.
(1) AC 00-2.13, Advisory Circular Checklist.
(2) AC 00-44II, Status of Federal Aviation Regulations.
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(3) AC 20-62, Eligibility, Quality, and Identification of Aeronautical Replacement Parts.
(4) AC 21-29, Detecting and Reporting Suspected Unapproved Parts.
(5) AC 140-7, FAA Certificated Repair Stations Directory.
(6) AC 187-1, Flight Standards Service Schedule of Charges Outside the United States.
c. FAA Orders. You may purchase copies of these documents from the Superintendent of Documents, P.O. Box 371954, Pittsburgh, Pennsylvania 15250-7954.
(1) Order WA 0000.5D, Washington Headquarters Directives Checklist.
(2) Order 8300.10, Airworthiness Inspector’s Handbook.
d. Joint Aviation Requirements (JAR) Documents. You may obtain copies of these documents from the Civil Aviation Authority, Printing and Publication Services, Global Engineering Documents, 15 Inverness Way East, Englewood, CO 80112-5776.
(1) JAR 145, Approved Maintenance Organizations.
(2) JAA Administrative and Guidance Material Section Two: Maintenance, Part Two:
Procedures, Chapter 30. This document describes working procedures for the application of the general elements of the special conditions in the MIP and prescribed procedures/working procedures.
5. BACKGROUND.
a. Under the provisions of 14 CFR Part 145, § 145.13, § 145.51, and subpart C, the FAA certificates repair stations that are located outside of the United States. Certificating foreign repair stations addresses the need to maintain, alter, or modify aeronautical products that are subject to U.S. airworthiness regulations in foreign countries. The need to maintain aircraft and components outside the United States has continued to expand with the corresponding increase in international air travel and the rise in the number of foreign-manufactured aeronautical products used by U.S. operators.
b. Similarly, many countries also have experienced an increase in their use of U.S. facilities to perform maintenance, alteration, or modification of aeronautical products, subject to their national requirements. Because the FAA and certain NAAs have extensive inspection, surveillance, evaluation, and certification programs for their respective repair facilities, a system to eliminate duplicate activities has been developed. This is accomplished by implementing a BASA and its accompanying MIP.
c. The MIP are based on an FAA and NAA evaluation of Parts 43 and 145 and the country’s national regulations governing AMOs. This evaluation has determined the areas in which these
Par 5 Page 3 regulations and requirements agree. The requirements in Parts 43 and 145 that are not in NAA requirements are in FAA Special Conditions in the MIP. The requirements in NAA regulations that are not in Part 145 are in NAA Special Conditions in the MIP. As a result, an NAA AMO complying with NAA requirements and the FAA Special Conditions in the MIP complies with Parts 43 and 145.
6. DEFINITIONS.
a. Alteration or Modification. A change to the construction, configuration, performance, environmental characteristics, or operating limitations of the affected civil aeronautical product.
b. Approved Maintenance Organization (AMO). A maintenance organization certificated by an NAA.
c. Article. After April 2003, which is the effective date of the revised Part 145 rule, article means an aircraft, airframe, aircraft engine, propeller, appliance, or component part.
d. Bilateral Aviation Safety Agreement (BASA). An executive agreement concluded between the United States and a foreign country for the promotion of aviation safety. Also known as an Agreement for the Promotion of Aviation Safety.
e. Civil Aeronautical Product. Any civil aircraft, aircraft engine or propeller, or subassembly, appliance, material, part, article, or component to be installed thereon.
f. Compliance with 14 CFR Parts 43 and 145. For an AMO from a JAA country, compliance with the latest issue of JAR 145 and the FAA Special Conditions as set forth in the Implementation Procedures and all Interpretive Explanatory Materials (IEM), Acceptable Means of Compliance (AMC), and JAA Maintenance Temporary Guidance Leaflets (TGL). For an AMO from a non-JAA country, compliance with the NAA requirements and the FAA Special Conditions in the MIP.
g. Compliance with Foreign National Requirements and Guidance. Compliance with the latest issue of Parts 43 and 145 and the NAA Special Conditions as set forth in an MIP, recognizing that FAA ACs and NAA policy documents provide additional guidance in this area.
h. Data Approved by the FAA. Data approved by the Administrator or the Administrator’s designated representative.
i. Data Approved by the NAA. Data approved by an NAA or by an organization approved by the NAA for that purpose.
j. Code of Federal Regulations (14 CFR). Title 14 of the Code of Federal Regulations, Parts 1 through 199.
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k. Geographic Authorization. An approval provided to a foreign repair station to perform maintenance support under contract for a U.S. air carrier, or an operator of U.S.-registered aircraft under 14 CFR Part 129, at a location other than the repair station facility. The FAA issues a geographic authorization to respond to the maintenance needs of a U.S. air carrier or Part 129 operator at a station where the frequency and scope of that maintenance does not warrant permanently staffing and equipping the station for its accomplishment.
l. Inspection Procedures Manual (IPM). A manual explaining the inspection system and internal inspection procedures of a 14 CFR Part 145 certificated repair station. It describes how the repair station will comply with the inspection requirements and the procedures for the performance of work away from the station.
m. Implementation Procedures for Airworthiness (IPA). The procedural document authorized by the BASA Executive Agreement for design approval, production activities, export airworthiness approvals, post-design activities, and technical assistance between authorities. See AC 21-23 for additional information.
n. Joint Aviation Authorities (JAA). An organization consisting of representatives of the NAA of European countries that have signed an “Arrangement Concerning the Development and the Acceptance of the Joint Airworthiness Requirements.” The JAA maintains a current listing at Joint Aviation Authorities, P.O. Box 3000, 2130 KA Hoofddorp, Netherlands;
telephone: 31 23 56 79711; facsimile: 31 23 56 21714.
o. Joint Aviation Requirements (JAR). JAR are a uniform set of regulations issued by the JAA. They are interpreted and implemented by JAA policy guidance in the form of IEMs, AMC, JAA Maintenance TGLs, and JAA Administrative and Guidance Material, Part Two:
Maintenance.
p. Line Maintenance.
(1) Any unscheduled maintenance resulting from unforeseen events, or
(2) Scheduled checks that contain servicing and/or inspections that do not require specialized training, equipment, or facilities.
q. Main Base. The primary location of a repair station. It includes the facilities where all aspects of maintenance under its rating can be performed and records are maintained.
r. Maintenance. The performance of inspection, overhaul, repair, and preservation, and the replacement of parts, materials, appliances, or components of a civil aeronautical product to ensure the continued airworthiness of that product, excluding alterations or modifications.
s. Maintenance Implementation Procedures (MIP). Procedures for implementing the provisions of a BASA that apply to maintenance.
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t. Maintenance Standardization Team (MAST). A team of maintenance inspectors from JAA-member NAAs who visit an NAA. The team determines whether that NAA applies maintenance-related JAR in accordance with JAA standards.
u. Maintenance Organization Exposition (MOE). A manual required by JAR 145.70 that describes an AMO and sets forth its procedures, means, and methods.
v. Manual Deviation. Minor deviation from instruction for continued airworthiness (ICA) that does not require NAA- or FAA-approved data. However, such a deviation must be coordinated with the operator of the aeronautical product and identified on the product record.
w. NAA Procedures. NAA application of regulation and procedures in its national systems, rules, practices, and policy.
x. NAA Regulations and Guidance. A uniform set of regulations issued by an NAA. They are interpreted and implemented by NAA policy guidance in the form of written Administrative and Guidance Material.
y. National Aviation Authority (NAA). The aviation regulatory authority of a foreign country.
z. Perceived Need. A current or future operational or economic necessity for the maintenance, preventive maintenance, or alteration of aeronautical products, subject to the FAA’s regulatory oversight, at a facility located outside the United States.
aa. Required Inspection Items (RII). The items of maintenance and alterations that must be inspected by a person other than the one who performed the work. The inspection must include at least those items that could result in a failure, malfunction, or defect, endangering the safe operation of the aircraft if not performed properly or if improper parts or materials are used.
bb. Special Conditions. Conditions in an MIP that specify the requirements in Parts 43 and 145 that the FAA has determined are not in NAA requirements (FAA Special Conditions). Also the NAA requirements that an NAA has determined are not in Parts 43 and 145 (NAA Special Conditions).
NOTE: FAA Special Conditions are in Appendix 1 of this AC.
cc. Unapproved Part. A part that does not meet the requirements of an “approved part” as specified in AC 21-29B, Detecting and Reporting Suspected Unapproved Parts.
7. SPECIAL PROVISIONS FOR REPAIR STATIONS LOCATED OUTSIDE THE UNITED STATES. The FAA, NAA, and industry should be aware of the following special provisions and situations:
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a. The Statement of Perceived Need. In the statement of perceived need, the applicant AMO should indicate its need to perform maintenance on or alteration/modification of aeronautical products subject to U.S. airworthiness regulations in foreign countries and to obtain a Part 145 repair station certificate. The applicant AMO can substantiate this perceived need by including a statement from an operator of U.S.-registered aircraft or a company that maintains or alters items to be installed on U.S.-registered aircraft, indicating that the applicant AMO’s services are required. The perceived need also can be established with documentation from a leasing company or a supplier/distributor showing that the applicant AMO’s services are needed.
The applicant AMO can confirm in writing that the leasing company or supplier/distributor is doing business with operators of U.S.-registered aircraft.
b. NAA Reporting Requirements. The MIP allows the FAA to recognize the corrective action of the NAA without taking additional action. The NAA inspector must provide the FAA with the appropriate information on the appropriate surveillance form, indicating any findings/discrepancies and/or corrective action as described in paragraph 11, Continuing Validity.
c. NAA Limitations Document/FAA Operation Specifications (OpSpecs).
(1) General. The NAA must provide the FAA inspector with a copy of the applicant AMO’s NAA certificate and limitations document (in the case of the JAA, JAA Form 3, including approval schedule). The FAA will add the appropriate FAA ratings to the FAA certificate. This is normally a broad rating; the FAA OpSpecs will contain the limitations. The FAA will add the NAA Certificate identifier/certificate number (in the case of the JAA, the JAA certificate number or Form 3 approval schedule number) as the limitation to the FAA OpSpecs.
(See paragraph 9a, Extent of Approval, for additional information.)
(2) Capabilities List. Using a Capabilities List (CL) limited ratings is an effective way of identifying all articles for which an AMO has an established repair capability. The CL is an extension of the AMO’s OpSpecs. Its use depends on the AMO establishing procedures for conducting self-audits of its facility and capabilities that are approved and accepted by the AMO’s NAA on the FAA’s behalf. (See paragraph 8b(7) for scope and detail.)
NOTE: Due to FAA recognition of the JAA rating system, MIP countries will not be issued class ratings.
d. Line Stations. Although the NAA may have issued an applicant AMO a single NAA certificate for facilities that include line stations, the FAA will issue a separate repair station certificate for each maintenance organization facility. However, under the BASA/MIP agreement, FAA will allow the line stations of a facility that are within the boundaries of the MIP country to be under one certificate and listed in the AMO’s manual. (See paragraph 9b for scope and detail.) Outside of the MIP country, the FAA may issue geographic authorizations.
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e. Geographic Authorizations. This provision provides for work performed by an AMO on a continuing basis outside the BASA/MIP country while under contract with an operator of U.S.-registered aircraft. (See paragraph 9d for scope and detail.)
(1) The FAA will not issue a geographic authorization for a facility located in the United States.
(2) A Part 129 operator of U.S.-registered aircraft seeking to have work performed by a foreign repair station at a location other than the main facility will follow the same process as a Part 121 air carrier.
8. DISCUSSION. An NAA AMO seeking certification as a Part 145 repair station under the provisions of a BASA/MIP must follow the NAA procedures in addition to the following requirements.
a. Initial Certification. Initial certification will be for a 1-year period. Under the BASA/MIP, renewals of an FAA Part 145 repair station certificate are required every 2 years/24 months.
(1) To apply for a Part 145 repair station certificate under the provisions of a BASA/MIP, an NAA AMO must be located in and under the regulatory control of a country that has signed a BASA/MIP with the United States. The AMO also must not have relevant outstanding findings of noncompliance from NAA oversight audits. A maintenance organization may not apply concurrently for a Part 145 repair station certificate and NAA approval/certification under the MIP.
(2) After receiving an inquiry from an AMO, the NAA having jurisdiction over that AMO will return a copy of this AC and the relevant NAA procedures as determined by the NAA.
(3) After thoroughly reviewing this AC, the AMO should submit basic information to the NAA, which will be forwarded to the FAA as described below.
(a) Air Agency Name:
i. If applicable, “Doing Business As” (DBA);
ii. Physical Location;
/g183/g32 Address to include city, postal code, country
/g183/g32 Mailing address, if different from above
iii. Business phone number;
iv. Fax number; and
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v. E-mail address, if available.
(b) Chief Executive Officer (Accountable Manager):
i. Name;
ii. Title;
iii. Address to include city, postal code, country;
iv. Business phone number;
v. Fax number; and
vi. E-mail address, if available.
(c) Company Liaison to the FAA (Quality Manager):
i. Name;
ii. Title;
iii. Business phone number;
iv. Fax number; and
v. E-mail address, if available.
(d) Personnel:
i. Number of FAA-certificated mechanics;
ii. Number of non-FAA certificated mechanics; and
iii. Number of total employees.
(e) A statement that indicates the perceived need, as described in paragraph 7a.
NOTE: This information is entered into the FAA Vital Information Subsystem (VIS), which is a computer database used to identify all FAA certificate holders. In most cases, the FAA International Field Offices (IFO) provide a sample form of the above questions on their IFO web pages. This information may be provided directly to the FAA via the web page form.
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(4) If the NAA determines the information is complete and acceptable, the NAA will forward this information and the rating applied for to the FAA IFO/Certificate-Holding District Office (CHDO) with geographic responsibility for the country where the AMO is located. After receiving the information, the IFO/CHDO will obtain and forward a precertification number to the NAA to distribute. Use of this precertification number by the AMO will help the FAA process the application. The IFO will also establish an office list of pending applications using the above information. The NAA will follow their normal procedures and processes during all phases of the certification process. The NAA should forward FAA Form 8310-3, Application for Repair Station Certificate and/or Rating, to the AMO for completion.
(5) The NAA will require the AMO to submit the following documents in the English language and they may request a duplicate copy in the national language.
(a) A completed FAA Form 8310-3, Application for Repair Station Certification and/or Rating, including a list of maintenance functions to be performed for the AMO under contract. This list is required to be part of the manual/FAA supplement, and may be referenced with an attached copy of the list.
(b) An FAA Supplement to the AMO’s manual. The FAA Supplement addresses compliance with all FAA Special Conditions. If the FAA Supplement refers to a section of the AMO’s manual to demonstrate compliance with any FAA Special Condition, that section of the manual must be available in English. If the FAA Supplement refers to the AMO’s management or quality system to demonstrate compliance with FAA Special Conditions, the AMO should ensure that these systems specifically address not only NAA requirements but also FAA Special Conditions (e.g., the AMO’s quality system should provide for auditing FAA Special Conditions). A sample FAA Supplement to a manual is in Appendix 2.
(c) A copy of the AMO’s NAA Certificate and limitation document/Approval Schedule, including any referenced CL.
(d) Two copies of a brochure providing a physical description of the facility. (After April 2003, the brochure will not be required. A written description of the facility or photograph will meet this requirement).
(e) The NAA-approved procedures for the AMO to use a CL must contain information for the self-audit/internal evaluation program or quality monitoring system procedures to ensure the following:
i. The AMO’s procedures for revisions do not exceed the AMO’s FAA rating;
ii. The self-audit is complete for the articles being added, ensuring that the AMO has the technical data, equipment/material, and trained personnel, housing, and facilities for the article being added; and
Par 8 Page 10 iii. A record-keeping procedure that retains copies in the English language of the CL revision audit will be available to the FAA on request.
(6) The NAA will review the AMO’s application package for conformance with the FAA Special Conditions. The NAA also will review the results of previous audits/inspections for compliance with any outstanding corrective actions mandated by the NAA. If deficiencies are found in any document, the NAA will inform the applicant of the deficient areas and indicate that the application process will not continue until all deficiencies are corrected.
(7) If the information that the AMO submits is acceptable, the NAA will conduct an oversight audit for compliance with NAA requirements and FAA Special Conditions, using the appropriate inspection form agreed to in the MIP. If the AMO has successfully completed an NAA oversight audit within 90 days of the NAA’s recommendation to the FAA for certification, the NAA will not have to conduct a review for compliance with their requirements. However, the NAA will conduct an oversight audit for compliance with FAA Special Conditions regardless of whether an audit for compliance with NAA requirements has been successfully completed within 90 days of the NAA’s recommendation. The NAA may require the AMO to pay a fee for the performance of this audit. The NAA fees are not part of the MIP or FAA requirement, but in accordance with NAA requirements. The AMO should direct all questions regarding these fees to the NAA.
(8) If the NAA discovers deficiencies in an AMO’s application package or after conducting an oversight audit, the NAA will allow sufficient time after notification to correct the deficiencies, in accordance with NAA procedures. If the applicant fails to correct the deficiencies within the NAA timeframe, the NAA will terminate the application process and notify the FAA. In the event of unusual circumstances, the NAA will notify the FAA, which may agree to extend the period upon mutual agreement for a reasonable period of time, provided that the applicant demonstrates an ability and willingness to correct the noted deficiencies. If corrective action must be taken, the applicant should notify the NAA in writing when all deficiencies have been corrected. A copy of the application package must be retained by the NAA for a minimal period of a year and made available to the FAA on request.
(9) When an audit indicates that the AMO is in compliance with NAA requirements and the FAA Special Conditions, the NAA will complete the audit form, including a signed recommendation. (In the case of the JAA, the FAA annex to JAA Form 6.)
(10) The NAA will send the following completed documents to the FAA IFO/CHDO with geographic responsibility for the country in which the AMO is located:
(a) FAA Form 8310-3, to include a list of maintenance functions to be performed for the AMO under contract;
(b) A copy of the completed appropriate FAA annex surveillance/audit form, which includes the NAA-signed recommendation (in the case of the JAA, FAA annex to Form 6 and signed recommendation);
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(c) A copy of the brochure providing a physical description of the facility with accompanying photographs. A copy of the brochure will be retained by the NAA (After April 2003, the brochure will not be required. A written description of the facility or a photograph will meet this requirement); and
(d) A copy of the AMO’s NAA Certificate and limitation document/Approval Schedule, including any referenced procedures for the use and revision to a capability list, a copy of the CL, and a copy of the AMO’s line station listing, as listed in the FAA supplement (reference paragraph 9b)
NOTE: The copy of the CL is only necessary during initial certification.
(11) All documents should be submitted in the English language. The IFO/CHDO will review the documents to ensure the package is complete.
(12) The NAA will review and approve the procedures for the AMO to use a CL, which must contain information for the self-audit/internal evaluation program or quality monitoring system procedures to ensure the following:
(a) The AMO’s procedures for revisions do not exceed its FAA rating;
(b) The self-audit is complete for the articles being added, ensuring that the AMO has the technical data, equipment/material, and trained personnel, housing, and facilities for the article being added; and
(c) A record-keeping procedure that retains copies of the CL revision audit, which will be available to the FAA in the English language on request.
(13) During initial certification no finding should be noted on the surveillance form (FAA annex to JAA Form 6) or any of the documents submitted to the FAA. However, the FAA recognizes that several languages are involved in BASA/MIP programs. Therefore, minor discrepancies may occasionally be noted because of various interpretations or misunderstandings on the documents submitted. These minor discrepancies should be discussed with the NAA but should not delay the issuance of the FAA certificate. Time should be allocated and agreed to by the NAA and FAA for corrective action.
(14) When satisfied that the package confirms that the AMO meets the requirements for the issuance of a certificate and has paid the appropriate fee, the FAA will forward FAA Form 8000-4, Air Agency Certificate, and FAA Form 8000-4-1, Repair Station Operations Specifications. These forms will list all applicable limitations to the NAA for distribution to the AMO. The limitation on the FAA OpSpecs will list the NAA rating as the limitation. The Air Agency certificate will list the FAA rating.
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(15) After issuing a Part 145 repair station certificate and Repair Station Operations Specifications, the IFO/CHDO will prepare and retain a Certification Report that includes the following:
(a) A completed FAA Form 8310-3;
(b) The appropriate NAA surveillance/audit form, including the FAA annex with the NAA recommendation (in the case of the JAA, the FAA annex to Form 6 and a signed recommendation);
(c) A copy of the AMO’s NAA certificate, limitation document/Approval Schedule, and U.S. operator line station listing (refer to paragraph 9b);
(d) A copy of the brochure providing a physical description of the facility with accompanying photographs;
(e) A copy of FAA Form 8000-4, Air Agency Certificate;
(f) A copy of FAA Form 8000-4-1, Repair Station Operations Specifications (or new computer generated OpSpecs); and
(g) A summary of discrepancies noted during the certification process and corrective action taken.
(16) Enter VIS information required by paragraph 8a(3).
b. Change in Certificate.
(1) Each of the following situations require the certificate holder to apply for a change in a repair station certificate using FAA Form 8310-3:
(a) A change in the location, housing, or facilities of the repair station (after April 2003, an FAA application need only be submitted when the change in the housing and facilities effects the certificate, i.e., address change/ownership change);
(b) A request to add or amend a rating; and/or
(c) A change in ownership or name change. If the holder of a repair station certificate sells or transfers its assets, the new owner must apply for an amended certificate.
Name changes also require an application and certificate change.
(2) The AMO requesting a change will forward a completed FAA Form 8310-3, indicating the change to the NAA, including any supporting documentation required by the change. All of the AMO documentation submitted should be available in the English language.
The NAA may require the AMO to submit a duplicate document in the national language. If the