U.S. Department of Transportation Federal Aviation Administration Advisory Circular Subject: Guide for Developing and Evaluating Repair Station and Quality Control Manuals Date: 3/19/09 Initiated by: AFS-300 AC No: 145-9 Change: 1
1. PURPOSE. This advisory circular (AC) has been revised to update contract maintenance information.
2. PRINCIPLE CHANGES. This change updates information on contract maintenance.
PAGE CONTROL CHART Remove Pages Dated Insert Pages Dated i and iii 7/3/03 i and iii 3/19/09 32 through 35 7/3/03 32 through 35 3/19/09
ORIGINAL SIGNED by Chester D. Dalbey for
John M. Allen Director, Flight Standards Service
U.S. Department of Transportation Federal Aviation Administration Advisory Circular Subject: Guide for Developing and Evaluating Repair Station and Quality Control Manuals Date: 3/19/09 Initiated by: AFS-300 AC No: 145-9 Change: 1
1. PURPOSE. This advisory circular (AC) provides information material for all repair station certificate holders or applicants under Title 14 of the Code of Federal Regulations (14 CFR) part 145 to develop and evaluate a Repair Station Manual (RSM) and Quality Control Manual (QCM). This AC describes an acceptable, but not the only means, to develop a manual and comply with the referenced regulations.
2. CANCELLATION. This AC cancels AC 145-3, Guide for Developing and Evaluating Repair Station Inspection Procedures Manuals, dated February 13, 1981.
3. RELATED 14 CFR PARTS. Title 14 CFR parts 1, 21, 43, 65, 91, 121, 125, 129, 135, and 145.
4. DEFINITION OF TERMS.
a. Acceptable. Data that meets the requirements of the applicable regulations.
b. Accountable Manager. The person designated by the certificated repair station to be responsible for and have authority over all repair station operations conducted under part 145.
This person’s duties include ensuring that repair station personnel follow regulations, and serving as the primary contact with the Federal Aviation Administration (FAA).
c. Approved. Approved by the Administrator unless used with reference to another person.
Approval is granted to a repair station when the information, such as a process specification or rating, is listed on the operations specifications (OpSpecs).
d. Article. An aircraft, airframe, aircraft engine, propeller, appliance, or component part.
e. Contracting. Entering into an agreement between the originating certificated repair station and another person or people to perform maintenance functions on an article. The originating repair station will exercise the privileges of its certificate and assume responsibility for the work performed by the contracted person(s).
f. Correction. An action taken to eliminate a detected nonconformity. For repair stations electing to use an International Organization for Standardization (ISO 9000) quality system, a correction may involve repair or rework and may be made in conjunction with a corrective action.
g. Corrective Action. An action taken to eliminate the cause of a detected nonconformity or other undesirable condition to prevent its reoccurrence. For repair stations electing to use an ISO 9000 or similar system, the undesirable condition may include potential regulatory violations, which differs from a nonconformity requiring correction.
h. Designated Engineering Representative (DER). A private person designated by the FAA Administrator to act as its representative for examining, inspecting, and testing aircraft and related data. A DER may recommend approval or approve data within the limitations of his or her certificate of authority.
i. Directly in Charge. Responsible for the work of a certificated repair station that performs maintenance, preventive maintenance, alterations, or other functions affecting aircraft airworthiness. A person directly in charge doesn’t need to physically observe and direct each worker constantly, but must be available for consultation on matters requiring instruction or decision from higher authority.
j. 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.
k. Maintenance. Inspection, overhaul, repair, preservation, and the replacement of parts, excluding preventive maintenance.
l. Maintenance Function. A step or series of steps in the process of performing maintenance, preventative maintenance, or alterations, which may result in approving an article for return to service.
m. Major Alteration. An alteration not listed in the aircraft, aircraft engine, or propeller specifications that:
(1) Might appreciably affect weight, balance, structural strength, performance, power plant operation, flight characteristics, or other qualities affecting airworthiness; or
(2) Is not done according to accepted practices or cannot be done by elementary operations.
n. Major Repair. A repair that:
(1) If improperly done, might appreciably affect weight, balance, structural strength, performance, power plant operation, flight characteristics, or other qualities affecting airworthiness; or
(2) Is not done according to accepted practices or cannot be done by elementary operations.
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o. Operations Specifications (OpSpecs). The official document that describes the authorizations, ratings, and limitations of the repair station.
p. Preventive Action. An action taken to eliminate the cause of a potential nonconformity or other potentially undesirable situation. For repair stations electing to use an ISO 9000 system, preventative action is taken to prevent an occurrence, whereas corrective action is taken to prevent a reoccurrence. For a repair station using an American Society for Quality (ASQ) system, preventative action is taken to remove or improve a process to prevent potential future occurrences of a nonconformance.
q. Preventive Maintenance. Simple or minor preservation operations and the replacement of small standard parts not involving complex assembly operations.
r. Procedure. A specified way to perform an activity or a series of steps, such as a procedure that describes the methods, steps, or means to carry out policy.
s. Quality Control Manual (QCM). A manual that describes the inspection and quality control procedures used by the repair station.
t. Rating. A part of the repair station’s certificate that describes the special conditions, privileges, or limitations issued under part 145, §§ 145.59 and/or 145.61.
u. Repair Station Manual (RSM). A manual that describes the procedures and policies of a repair station’s operations.
v. Required Inspection Item (RII). An item of maintenance that, if not performed properly, or done with improper parts or materials, could result in a failure, malfunction, or defect, endangering the safe operation of the aircraft. An RII must be inspected by a trained, qualified, and authorized inspector. The inspector must be listed on the repair station’s roster but can’t be the same individual who performed the work. See parts 121, 125, and 135, §§ 121.371,
125.251, and 135.429 for details of this requirement.
w. Supervisor. A person who directs the work performed under the repair station’s certificate and OpSpecs and is available in person at the repair station when work is being performed. See part 145, § 145.153 for supervisory personnel requirements.
5. BACKGROUND. The FAA has revised part 145, the regulation for repair stations because many of the former repair station regulations did not reflect advancements in the repair station business, and technologies. Part 145 reorganizes the requirements applicable to repair stations to reduce duplication of regulatory language and eliminate obsolete information. It also clarifies the minimum requirements for an RSM, introduces a QCM, and describes the items that should be included in these manuals.
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CONTENTS
ParagraphPage
CHAPTER 1. GENERAL INFORMATION1
1-1. Purpose1
1-2. The Manual(s)1
1-3. Combining Portions of the Repair Sta tion Manual with the Quality Control Manual3
1-4. Identification and Control of Sections4
1-5. Sample Procedure Formats5
CHAPTER 2. MANUAL REVISION AND CONTROL11
2-1. Procedures for Revision..................................................................................................1 1
2-2. Provisions for Control12
2-3. Electronic Format12
CHAPTER 3. REPAIR STATION ORGANIZATION CHART15
3-1. Organization Chart15
3-2. Duties and Responsibilities16
CHAPTER 4. REPAIR STATION AND QUALITY CONTROL MANUAL ELEMENTS19
4-1. Repair Station Personnel Roster19
4-2. Operations, Housing, Faciliti es, Equipment, and Materials21
4-3. Capability List23
4-4. Training Program Revision26
4-5. Work Performed at Another Location27
4-6. Maintenance, Preventive Maintenance, and Alterations Performed for Air Carriers
Under Parts 121, 125, 129, and 13529
4-7. Contract Maintenance Information32
4-8. Proficiency of Inspection Personnel37
4-9. Current Technical Data...................................................................................................3 9
4-10. Inspection and Quality Control System41
4-11. Required Records and Recordkeeping50
4-12. Calibration of Measuring and Test Equipment53
4-13. Taking Corrective Action on Deficiencies56
APPENDIX 1. FORMS (2 pages)1
APPENDIX 2. CHECKLIST (12 pages)1
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CHAPTER 1. GENERAL INFORMATION
1-1. PURPOSE. This document is a guide for developing and evaluating the RSM and QCM required by part 145,§§ 145.207 through 145.211. This guide does not provide a complete sample RSM and QCM for all repair stations. The examples included illustrate one of many possible ways to comply with the regulations.
1-2. THE MANUAL(S).
a. Combining Information. The applicant/certificate holder may combine portions required by part 145, § 145.209 with portions required by § 145.211 into one section or chapter of the manual system. For example, the procedures required in § 145.209 for RSM revision and the procedures required in § 145.211 for QCM revision could be combined into one chapter/section titled, “Manual Revision.” Additionally, the repair station may use applicable portions of its ISO manual or other quality system, such as ASQ, to show compliance with part 145.
b. Accessibility. The repair station’s manual(s) must remain current and be accessible to repair station personnel, as required by part 145 subpart D. The manual(s) may contain more procedures than required by the regulations for the certificate holder to describe the repair station’s overall functions, responsibilities, and quality control procedures. Procedures described in the manual(s) should ensure that the repair station could satisfactorily perform maintenance in accordance with (IAW) its rating(s). In that regard, a repair station with a Limited Specialized Service Rating would have different procedures in its manual system criteria than a repair station with a Class 3 Airframe Rating. Each manual system should be developed based on the repair station’s authorized ratings and the size and complexity of the repair station.
c. Checklist. The checklist in Appendix 2 may be used to assist the applicant/certificate holder in reviewing the content of its manual(s). All items listed on the checklist may not be applicable to each repair station due to differences in rating, size, and type of maintenance performed.
d. Submit the Manual. The applicant/certificate holder may submit the manual(s) to the FAA certificate-holding district office (CHDO) on paper or electronically. If the repair station submits the manual as part of an initial certification, the manual may be submitted together with related documents, such as the application form and repairmen applications, to the CHDO. If the repair station submits the manual electronically, they should discuss the format, software, and revision procedures with the CHDO before submittal. All submissions will require a cover letter.
The repair station should follow the procedures described in its manual when submitting revisions to an existing manual (see Chapter 2, Manual Revision and Control).
e. Required Content. The basic regulatory requirements for manual content are listed below and will be discussed in detail in the following sections of this AC.
(1) RSM Elements.
(a) Manual Revision and Notifying the CHDO.
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(b) Identification and Control of Sections of the Manual.
(c) Organization Chart:
• Identify each management position
• The area of responsibility assigned to each management position
• Duties and responsibilities
(d) Rosters—Procedures for Maintaining and Revising.
(e) Description of Operations, Including the Housing, Facilities, Equipment, and Materials.
(f) Capabilities List—Procedures for (if applicable):
• Revision
• CHDO Notification
• Self-Evaluation Before Revision
• Methods
• Frequency
• Reporting Results
(g) Training Program—Procedures for:
• Revision
• Submitting to CHDO
(h) Procedures Governing Work Performed at Another Location.
(i) Procedures for Maintenance, Preventive Maintenance, or Alterations for Air Carriers.
(j) Contracting—Procedures for:
• Maintaining and revising the list of approved maintenance functions, including submitting revisions to the CHDO
• ct maintenance providers, including submitting revisions to CHDO
(k) Required Records and Recordkeeping System.
Maintaining and revising the list of contra Page 2 Par 1-2
(2) QCM Elements.
(a) Revision Procedures and Notifying the CHDO.
(b) Qualifying and Surveilling Noncertificated Persons Performing Maintenance, Preventative Maintenance, or Alteration for the Repair Station.
(c) Establishing and Maintaining Proficiency of Inspection Personnel.
(d) Establishing and Maintaining Current Technical Data.
(e) Inspection System:
• Incoming raw material inspection
• Preliminary inspection
• Hidden damage inspection
• Final inspection and return to service
(f) Calibration of Measuring and Test Equipment, Including Intervals of Calibration.
(g) Corrective Action.
(h) Samples of Inspection Forms and Instructions for Completion (may be a separate manual).
(3) Portions Recommended for Most Manuals.
(a) Table of Contents.
(b) List of Effective Pages.
(c) Record of Revisions.
1-3. COMBINING PORTIONS OF THE REPAIR STATION MANUAL WITH THE QUALITY CONTROL MANUAL.
a. Possible Combination. The following chart illustrates one of several possible combinations that applicants/certificate holders could use to structure a single manual system. It includes the procedures required in both the RSM and the QCM. Other combinations may be possible depending upon the ratings, size, and complexity of the repair station. The manual’s content must include the applicable procedures required by the regulations, but may be formatted in any manner easily understood by employees of the repair station.
NOTE: A part 145 repair station that also holds an air carrier certificate may refer to sections of its air carrier approved maintenance program in its Par 1-2 Page 3
part 145 manuals. If the manuals are structured in this manner, those sections must adhere to part 145 regulatory requirements. The affected sections would apply to aircraft listed on the air carrier OpSpecs or to other third party air carriers or aircraft owners that are serviced by the certificate holder.
b. Meeting the Requirements. The repair station should include a table to show the FAA that its manual system meets the requirements of §§ 145.209 and 145.211.
1-4. IDENTIFICATION AND CONTROL OF SECTIONS.
a. Page Numbering. Sequential numbering of the manual(s) from front to rear may cause difficulty for the revision process. A minor revision to one of the first pages may cause a change in the content of each successive page. The FAA advises the repair station to divide the manual into several sections, so that a revision to one page of a section does not affect the entire manual.
b. Related Subject Matter. Most RSMs are divided into sections of similar subject matter. For instance, one section of the manual may contain all of the procedures related to the inspection system. The repair station may establish these sections or the sections may be contained within an established industry format (such as ISO). The sample formats included in this chapter contain a few examples of the many possible methods used for identification. The sections may consist of several similar individual procedures grouped together through a common numbering system, or several similar procedures described in narrative format within a section. Regardless of the method used, each section must be identified and controlled.
c. Table of Contents. Many RSM sections are controlled using a table of contents. The table of contents lists each section of the manual and the location in the manual. Some repair stations choose to reissue a complete section of the manual if any page within that section is revised. The table of contents for those facilities may indicate revision status for each section, rather than each page.
d. Master Document Control List. Some RSMs are controlled using a master document control list. This document lists each procedure and the revision status of that procedure. A unique number and revision status should identify each procedure within the manual system. If a page within a procedure is revised, the entire procedure is reissued. In this system, each procedure is identified and controlled, rather than each section.
e. Section Control. The procedures to control sections of the manual should address (as applicable):
(1) Identification.
(2) Revision status.
(3) Page numbering.
(4) Issue date.
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(5) Approvals of internal personnel responsible for the manual and revisions.
EXAMPLE.
Repair Station Manual Element + Quality Control Manual Element = Possible Chapter/Section Title
Training program, revision, notifying CHDO + Establishing and maintaining proficiency of inspection personnel = Training Maintaining and revising contract information + Qualifying and surveilling noncertificated persons = Contracting Manual revision, CHDO notification, identification, and control of sections + Manual revision and CHDO notification = Manual Control Records and recordkeeping system + Establishing and maintaining current technical data = Document Control Etc. + Etc. = Etc.
f. Additional Combinations. Additional combinations that work effectively within the facility and are acceptable to the FAA principal inspector (PI) may be included in the manual system.
1-5. SAMPLE PROCEDURE FORMATS. The following samples are provided to help the manual writer determine a possible format for the procedures in the manual system. These are only four examples of many possible formats. Part 145 sets the requirements for content, not format. The format used for the procedures in the manual should fit the size and complexity of the facility. If there are existing procedure manuals in the facility, the manual writer may wish to include the same format in the RSM(s). If facility employees are accustomed to a particular format, the manual writer should continue to use that format.
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SAMPLE PROCEDURE FORMAT 1 Section: 5 Page: 3John Smith Component Repair, Inc.
Revision: 1123 Any Street Date: 11/14/2001Somewhere, CT 12345
PRELIMINARY INSPECTION The Chief Inspector (WHO) of the repair station is responsible for the performance of appropriate inspections, including functional and nondestructive tests. This inspection will be conducted on the hangar floor or in the inspection area (WHERE) for components. This will ensure that all units (WHAT) delivered to the repair station for maintenance are inspected to determine the state of preservation and any defects. This inspection will be recorded on the Preliminary Inspection Form 567 (RECORD) with any discrepancies noted. The form must be attached to the work order and will remain with the applicable inspection records until the unit is released for service. Forms 123 and 789 will be used to record the results of the functional and nondestructive tests. Those forms will show the work order number and will be routed, attached to the work package.
HOW
a. Format Discussion.
(1) Advantages. Format 1 includes each of the required elements of a procedure in a narrative format. This format is easy to write, as long as the author remembers to include all of the elements. This format is usually easy for the reader to understand and requires no special training for the author or reader.
(2) Disadvantages. The narrative can easily become too complex or wordy. The author may fail to include all of the required elements of the procedure. The narrative must be presented in a logical sequence so the reader can easily understand the flow of the procedure.
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