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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SAMPLE PROCEDURE FORMAT 2 THE JOHN SMITH COMPANY OPERATING PROCEDURE 123 Title: Receiving Inspection Page 1 of 4 Revision: A Issue Date: November 12, 2001 ---------------------------------------------------------------------------------------------------------- Reason: To ensure consistent quality of incoming raw material.
Scope: Applies to all raw material shipments received. This procedure does not apply to incoming parts received for repair.
Responsibility: The receiving inspector is responsible for inspecting all incoming raw materials.
Procedure:
1. The receiving inspector will visually inspec t the container (if used) and/or material for any shipping or handling damage.
2. The receiving inspector will immediately re port any shipping or handling damage to the purchasing department.
3. Compare the purchase order (copy located in receiving file) with the shipping document to ensure the material is correct.
4. Etc.
b. Format Discussion. Format 2 assigns responsibility as part of each procedure. The narrative should be written in a format easily understood by the person who uses and must follow the procedure. Note that the format also includes revision status, issue date, and page numbering.
The reason and scope may be used to state the company policy or objective.
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SAMPLE PROCEDURE FORMAT 3 John Smith Overhaul & Repair Quality Procedure—Control of Inspection, Measuring, and Test Equipment QP 4.11 Approval Approval Revision/Date Reason for Change John Smith, Sr. Jane Doe Original—04/01/2000 Original issue John Smith, Sr. Jane Doe A—06/15/2000 Added gage request form
1.0 Purpose: To ensure that all precision tools and equipment are properly calibrated, identified, and maintained.
2.0 Scope: This procedure applies to all em ployees who use inspecting, measuring, and testing equipment, and those who calibrate that equipment.
3.0 Responsibility: The Director of Quality is responsible for ensuring that all inspecting, measuring, and testing equipment is calibrated and traceable. Only trained and qualified personnel are permitted to adjust and calibrate equipment.
4.0 Reference Documents:
4.1 QAP 15.0, Inspection and Test Status
4.2 MIL-STD-120 Gage Inspection
4.3 Work Instruction (WI) 4.11-1 through WI 4.11-20
5.0 Definitions:
5.1 Accuracy of Measurement: The closen ess of the agreement between the result of a measurement and the conventional true value of the measurement.
5.2 Uncertainty of Measurement: The result of the evaluation aimed at characterizing the range within the true value of a measurement. It’s estimated to lie generally within a given likelihood.
5.3 Etc.
5.4 Etc.
6.0 Procedure:
6.1 The gage calibration technician will maintain a computerized list of all precision tools and equipment using the Gage Control software program.
6.2 During the first week of the month, the gage technician should run the “Calibration Required” report, listing all tools and equipment that must be calibrated before the end of the month.
6.3 The gage calibration technician will issue a John Smith Recall Slip (Form 789) to the department or individual. This form states which tools are due for calibration and the date they must be returned to the tool crib.
6.4 Etc.
7.0 Records:
7.1 Form 789, Recall Slip
7.2 Form 456, Record of Calibration
7.3 Form 123, Identification Sticker
7.4 Etc.
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c. Format Discussion. Format 3 is often used for procedures included in an ISO 9000 quality system document. Note that space is provided to document approval and release of the document (part of a document control system). Terms used within the procedure are defined.
Additional documents associated with this procedure are listed. The format is structured— perhaps too structured—for some organizations. The procedure follows a standard numbering system for each portion of the procedure, allowing for precise reference for paragraphs that may be discussed or revised. Work instructions and records may follow the same numbering convention (i.e., QP 4.12, WI 4.12-1, and Form 4.12-A). Forms may be included within the procedure or in a separate forms section of the manual system.
d. Sample Procedure Format 4 Introduction.
(1) The following flowchart illustrates another possible method of presenting a procedure. Although the sample illustrates a simple procedure, complex processes could be presented using a flowchart. The person using the manual would need to be familiar and comfortable with flowcharts and flowchart symbols.
(2) The flowchart process may also be used to develop a procedure that was not previously documented. The procedure could be initially drawn on paper using a flowchart, and then described using the narrative format in the manual. This process works well when the users of the manual are more comfortable with narrative procedures rather than flowcharts.
(3) Another possible use of the flowchart is to verify if a narrative procedure will work.
This process is essentially the opposite of the process previously described. While reading the narrative of the procedure, a flowchart is created to visually represent the various steps. A review of the completed flowchart will show any redundant or missing steps.
(4) A flowchart can also be used during a process audit. The auditor creates a flowchart while reviewing the performance of a particular process. The auditor then compares the process he or she observed with the process described in the manual. Any differences may be noted in the auditor’s report.
e. Format Discussion. Format 4 requires the reader to have some familiarity with flow charts, but can be easily understood by someone who understands the format. Because the flow charts contain fewer words than other formats, the process can be read and understood quickly.
This format takes longer to develop unless the author has specific software for the purpose.
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SAMPLE PROCEDURE FORMAT 4 (Continued) Section: 5 Page: 3 Revision: 1 Date: 11/14/2001
Yes Move to material cage Release form Acceptable?Forward to QC Form 789 See material review QP No No Return to vendor Form 456 Yes Damage acceptable?
Compare shipper to purchase order and specification Determined by QC Manager Visually inspect container/material Damaged?
Notify Purchasing and Quality Control Manager Yes No Form 123 Page 10 Par 1-5
CHAPTER 2. MANUAL REVISION AND CONTROL
2-1. PROCEDURES FOR REVISION.
a. References:
• Section 145.207(e),
• Section 145.209(j),
• Section 145.209(k),
• Section 145.211(c)(4), and
• Section 145.211(d).
b. Requirements. The RSM and the QCM must contain procedures for revising the manual(s) and notifying the CHDO of revisions.
NOTE: The regulations do not require FAA review and acceptance of revisions before implementation, provided the repair station follows the revision procedures in its manual. The repair station should have a procedure in its manual to recall revisions if the FAA finds a revision unacceptable.
c. Control Submissions and Revisions. This section of the manual must contain procedures to control the original submission of the manual and subsequent revisions. The procedures should ensure that persons issued a manual receive revisions. Repair station employees may require training on the content of the revisions, especially if a standard operating procedure or inspection procedure is changed.
d. Describe Control System. The manual must include a description of the system used to identify and control sections of the manual. The format and structure of this system is not specified by the regulation. This flexibility will accommodate the technological changes that permit repair stations to maintain and revise the manuals in different formats and manners.
e. Procedures. Regardless of the media used for the manual, the procedures for making revisions should include:
(1) Who, by title, is responsible for making revisions?
(2) Who will submit revisions to the FAA for review and acceptance?
(3) How will the repair station incorporate changes to revisions found not acceptable to the FAA, which do not conform to applicable regulations?
(4) How will the repair station correct any maintenance/administrative actions performed under revisions that were found not acceptable to the FAA?
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(5) How will the revisions be distributed and made available within electronic systems, and how will the FAA receive its revisions?
(6) Accountability—how will the facility ensure that each manual holder or designated location receives each revision?
(7) Identification of each revision to the text on each affected page. For example, a vertical bar in the margin or other suitable method may indicate the revised portion of text.
2-2. PROVISIONS FOR CONTROL. If the manual is in paper format, the revision and control part of the manual should contain the following (or equivalent) information:
a. Revisions. Procedures for revising the RSM and notifying its CHDO of revisions, including how the FAA will be notified of revisions.
b. Details. Provisions for selecting the revision number, the date of the revision, the pages revised, and a place for the person making the revisions to the assigned manual to sign or initial.
c. Manual Control Number and Assignment. Each manual should have a unique number assigned to it and the name of the individual, department, or group assigned to that particular manual. The manual procedure should identify who will maintain a master distribution list that contains the manual number, assigned individual, and revision status.
NOTE: An acknowledgement form is a common method of tracking the receipt and insertion of the revision by the manual holder, which ensures accountability. With this method, after receiving a revision, each manual holder inserts the revised pages into the manual, records incorporation of the revision in the record of revisions, and returns the signed acknowledgement form to the person responsible for manual control.
2-3. ELECTRONIC FORMAT. The manual(s) may be maintained on a computer network or other electronic medium. AC 120-78, Acceptance and Use of Electronic Signatures, Electronic Recordkeeping Systems, and Electronic Manuals, provides additional guidance for electronic systems.
a. Network. If the manual is maintained on a network server, the following concerns must be addressed in the procedures:
(1) Security—How will the repair station ensure that only authorized personnel make any changes? Who (by title) will be authorized to make those changes and how is that person authorized?
(2) Access—Have the employees been trained to access the manual on the network? Is access protected by passwords? Do all of the supervisors and inspectors have access to the manual?
(3) Revisions—How will the user know that the manual has been revised, and the content of that revision?
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(4) Availability—How will the repair station ensure that the current manual(s) are available for all shifts?
b. Disk. If the manual is maintained on a disk, the following concerns must be addressed in the procedures:
(1) How will the manual and any subsequent revisions be distributed? How will receipt of the revision be documented?
(2) Is the software used for writing the manual compatible with the software used by all manual holders, including the FAA?
(3) Are all of the manual holders trained on the procedures necessary to access the manual at their workstations?
(4) How can station personnel verify if the disks are current before they use them?
NOTE: Federal law prohibits agencies from making the use of electronic media more difficult or from requiring additional steps or procedures for users of electronic media. Therefore, all repair station document submissions, regardless of the media used, must be accompanied by a cover letter that describes the submission and is signed by an appropriate manager. FAA inspectors will either accept or reject the manual revision.
The FAA inspector will, by letter, inform the repair station of acceptance or rejection. The letter will address the manual title, manual date, and revision number. If the manual is rejected, the FAA inspector will provide a detailed explanation of the deficiencies and advise the repair station not to perform maintenance if the rejected manual procedures are in use.
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CHAPTER 3. REPAIR STATION ORGANIZATION CHART
3-1. ORGANIZATION CHART.
a. Reference. Section 145.209(a).
b. Authority. The organization chart identifies (by title only) each management position with authority to act on behalf of the repair station. If the repair station performs work for air carriers or air operators under part 145, § 145.205, and is performing RII, the FAA suggests that the chart reflect the separation between the maintenance and inspection departments.
EXAMPLE EXAMPLE Complex Repair Station Small Repair Station
c. Procedure Details. Ensure that the following concerns are addressed in the manual procedures.
(1) Are the titles and reporting structure for the organization chart appropriate for the facility?
(2) Are the titles for the positions the same throughout the manual?
(3) Is each management position with authority to act on behalf of the repair station identified?
(4) Is an accountable manager designated?
General Manager Repair Station Manager Machinist Supervisor/ Repairman Shipping/ Receiving Quality Manager/Accountable Manager President Human Resource Manager Purchasing Comptroller Inspectors Chief Inspector Owner/President Accountable Manager Technician Chief Inspector Par 3-1 Page 15
3-2. DUTIES AND RESPONSIBILITIES.
a. Organization. This section may be combined with the organization chart as one section/chapter of a manual system. If the repair station documents its procedures in a format that includes a Responsibility section in each procedure, it will not need to have a separate Duties and Responsibilities section (see Chapter 1, Sample Procedure Formats 2 and 3).
b. Area of Responsibility. This section includes the area of responsibility assigned to each management position and the duties, responsibilities, and authority of each management position. The repair station must ensure that the duties and responsibilities are appropriate and that the positions exist within the company. Although not required by the regulation, many repair stations choose to include duties and responsibilities beyond the required management personnel. Positions described in the organizational chart should be included in the duties and responsibilities section to ensure consistency.
c. Additional Responsibilities. Duties and responsibilities that are outside the scope of the management, but are part of the regulatory requirements, should be described in this section of the manual. For example, equipment maintenance, approval for return to service, applications for repairmen, and so forth.
NOTE: Only titles, not names, should appear in this section. Titles should be the same as on the organization chart and elsewhere in the manual.
NOTE: Titles used in the following format samples are only examples.
SAMPLE: NARRATIVE FORMAT.
Owner/President: The Owner/President is responsible for the overall operation of (name of the repair station) in accordance with the applicable CFRs. The Owner/President’s duties include maintaining an adequate and knowledgeable staff to plan, perform, supervise, and inspect the work being performed on civil aviation articles. The Owner/President may delegate all duties to the qualified persons as necessary. However, such delegation does not relieve the Owner/President of the overall responsibility.
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SAMPLE: OUTLINE/LIST FORMAT.
Quality Manager: The Quality Manager reports to the President and is responsible for managing the repair station quality control system. The duties of the Quality Manager include:
(1) Supervising all inspection personnel.
(2) Maintaining a current file of pertinent technical data, including CFRs, specifications, manufacturer’s maintenance manuals, service bulletins (SB), Airworthiness Directives (AD), and other data acceptable to or approved by the FAA.
(3) Ensuring the proper execution of FAA Form 337, Major Repair and Alteration (Airframe, Powerplant, Propeller, or Appliance), when required.
(4) Etc.
SAMPLE: ISO/INDUSTRY FORMAT.
The duties and responsibilities may be addressed in the management responsibility section of the manual (i.e., section 4.1).
a. The following questions or concerns are offered as a guide and are intended to help the facility initiate the procedures in its RSM. They should not be considered all-inclusive. Each facility is unique and therefore may require additional procedures to verify regulatory requirements and the needs of the repair station.
(1) Do the duties and responsibilities include the areas of responsibility assigned to each management position?
(2) Do the duties and responsibilities indicate the reporting structure (to what other position does each report)?
(3) Does the narrative describe the job function(s) that person performs (i.e., calibration, training, personnel management)?
(4) Do the procedures ensure that the duties and responsibilities of supervisory and inspection personnel are performed in their absence?
(5) Does the manual have a procedure to determine if a supervisor or inspector is qualified for any delegated duties?
b. Consider the following when assigning duties and responsibilities within the repair station:
(1) Is each supervisor certificated?
(2) Do the inspectors understand, read, and write English?
(3) Are persons with approval for return to service authority certificated?
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