2-9 Figure 2-4. 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 employees 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 closeness 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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2.4.3 Format 3 Discussion. Figure 2-4, Sample Procedure Format 3, is often used for procedures included in an ISO 9000 quality management 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 (e.g., 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.
2.4.4 Introduction to Figure 2-5, Sample Procedure Format 4.
2.4.4.1 The following flowchart illustrates another possible method of presenting a procedure. Although the sample illustrates a simple procedure, complex processes could also be presented using a flowchart. The person using the manual would need to be familiar and comfortable with flowcharts and flowchart symbols.
2.4.4.2 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.
2.4.4.3 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.
2.4.4.4 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.
2.4.5 Format 4 Discussion. Format 4 requires the reader to have some familiarity with flowcharts, but can be easily understood by someone who understands the format.
Because the flowcharts 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 that purpose.
Figure 2-5. Sample Procedure Format 4 Section: 5 Page: 3 Revision: 1 Date: 11/14/2001 Notify container/material Visually inspect Damaged? Yes → Quality Control Purchasing and Manager Form No 123 Compare shipper to purchase order Yes Damage and specification acceptable?
Determined No by QC No Manager Forward Acceptable?
to QC Return to Form vendor Yes 789 See Form material Move to 456 review material cage QP Release form 2-11
3-1 CHAPTER 3. MANUAL REVISION AND CONTROL
3.1 Procedures for Revision.
3.1.1 References. Title 14 CFR part 145:
• Section 145.207(e).
• Section 145.209(j).
• Section 145.209(k).
• Section 145.211(c)(4).
• Section 145.211(d).
3.1.2 Requirements. The RSM and the QCM must contain procedures for revising the manual(s) and notifying the responsible Flight Standards office 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.
3.1.3 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 (SOP) or inspection procedure is changed.
3.1.4 Control System Description. 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.
3.1.5 Procedures. Regardless of the media used for the manual, the procedures for making revisions should include:
1.A person who is clearly identifiable (by title) has the responsibility for the quality of the process for making revisions.
2.A person who is clearly identifiable (by title) has the authority to set up and change a process and will submit revisions to the FAA for review and acceptance.
3. H ow will the repair station incorporate changes to revisions and document methods to accomplish a process?
4. How will the repair station control revisions and submittals by checks and restraints designed into the process to ensure the desired result?
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5. Are the process measures used to validate a process and identify problems or potential problems in order to correct them?
6. What interfaces and interactions between processes that must be managed in order to ensure desired outcomes are there?
7. How will the repair station ensure that the RSM is accessible for use by repair station personnel?
8. 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.
3.2 Provisions of Control. If the manual is in paper format, the revision and control part of the manual should contain the following (or equivalent) information:
3.2.1 Revisions. Procedures for revising the RSM and notifying the responsible Flight Standards office of revisions, including how the FAA will be notified of revisions.
3.2.2 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.
3.2.3 Manual Control Number and Assignment. Although the regulations do not state how manuals should be controlled, they do state that a manual control should be included in the procedures. The FAA suggests that each manual 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.
3.3 Electronic Format. The manual(s) may be maintained on a computer network or other electronic medium. AC 120-78, Electronic Signatures, Electronic Recordkeeping, and Electronic Manuals, provides additional guidance for electronic systems.
3.3.1 Network. If the manual is maintained on a network server, the following concerns should 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?
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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?
4. Availability. How will the repair station ensure that the current manual(s) are available for all shifts? How will the repair station ensure that manual users will have access to the manuals in the event of Internet or computer outages?
3.3.2 Disk. If the manual is maintained on a disk, the following concerns should 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 agencies can no longer refuse electronic versions of manuals, forms, record systems, etc. 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.
4-1 CHAPTER 4. REPAIR STATION ORGANIZATIONAL CHART
4.1 Organizational Chart.
4.1.1 Reference. Title 14 CFR part 145, § 145.209(a).
4.1.2 Authority. The organizational 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 § 145.205 and is performing Required Inspection Items (RII), the FAA suggests that the chart reflect the separation between the maintenance and inspection departments.
Figure 4-1. Example Repair Station Organizational Charts
4.1.3 Procedure Details. Ensure that the following concerns are addressed in the manual procedures.
4.1.3.1 Are the titles and reporting structure for the organizational chart appropriate for the facility?
4.1.3.2 Are the titles for the positions the same throughout the manual?
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4.1.3.3 Is each management position with authority to act on behalf of the repair station identified?
4.1.3.4 Is an accountable manager designated?
4.2 Duties and Responsibilities.
4.2.1 Organization. This section may be combined with the organizational 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 2, Figure 2-3, Sample Procedure Format 2, and Figure 2-4, Sample Procedure Format 3).
4.2.2 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. 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.
4.2.3 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 (e.g., equipment maintenance, approval for return to service, applications for repairmen, and so forth).
Note 1: Only titles, not names, should appear in this section. Titles should be the same as on the organizational chart and elsewhere in the manual.
Note 2: Titles used in the following format samples are only examples.
Figure 4-2. Narrative Format Sample Owner/President: The Owner/President is responsible for the overall operation of (name of the repair station) in accordance with the applicable Code of Federal Regulations (CFR). 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.
4-3 Figure 4-3. Outline/List Format Sample Quality Manager: The Quality Manager reports to the President and is responsible for managing the repair station quality control (QC) 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.
Figure 4-4. ISO/Industry Format Sample 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?
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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?
5-1 CHAPTER 5. REPAIR STATION AND QUALITY CONTROL MANUAL ELEMENTS
5.1 Repair Station Personnel Roster.
5.1.1 References. Title 14 CFR part 145:
• Section 145.161.
• Section 145.209(b).
5.1.2 Records of Management, Supervisory, and Inspection Personnel. Personnel rosters are lists of management and supervisory personnel that include repair station officials who are responsible for its management and the names of its supervisors who oversee maintenance functions. These rosters can be maintained in paper or electronic format, but they must be made available to the FAA.
5.1.3 Roster Format. Each repair station may develop its own roster format, as long as it contains all of the appropriate names and employment summaries of each individual listed on the roster and required by § 145.161(a)(1) through (3).
5.1.4 Manual Inclusion. The rosters do not need to be included in the manual, but the procedures for maintaining and revising the rosters must be in the manual. If the rosters are not included in the manual, the procedure should describe how the roster will be made available to the FAA. The procedure should describe how the roster will be revised within 5 business-days when there is a change caused by termination, reassignment, change in duties or scope of assignment, or addition of any personnel.
5.1.5 Combination Roster. Although not required by regulation, it may be appropriate for the repair station to develop a combination roster, which would include initials, signatures, stamp numbers, certificate numbers, or any other information used to designate the authority of inspection or supervisory personnel who can sign/stamp off work documents or approve articles for return to service.
5.1.6 Employment Summaries. The repair station must maintain employment summaries for each person whose name appears on the rosters. Employment summaries are required by § 145.161(a)(4)(i) through (v), to include present title, total years of experience and the type of maintenance work performed, past relevant employment with names of employers and periods of employment, scope of present employment, and the type of mechanic or repairman certificate held and the ratings on that certificate, if applicable.
5.1.7 Roster Procedures. The following questions should be answered during the development of the procedures concerning the rosters:
1. Who is responsible (by title) for maintaining the rosters and employment summaries in current condition? Has an alternate been designated?
2. Where will the rosters be located? How will the rosters be made available to the FAA?
3. How will the rosters be revised within 5 business-days?
4. Is authority to approve an article for return to service shown on the rosters?
Who is responsible for designating those individuals, and how are those individuals designated?
5. Are the managers, supervisors, inspectors, and persons authorized to approve articles for return to service all listed on the rosters?
6. Are the supervisors certificated, and with what type of certificate?
7. Are the persons authorized to approve articles for return to service certificated? (Each person authorized to approve articles for return to service must be certificated under 14 CFR part 65, unless located outside the United States.)
8. Are there employment summaries for each person on the roster?
5.1.8 Examples. The following are examples of possible roster formats.
Figure 5-1. Roster Format Example 1 Name and Title Certificate Signature and Stamp Authorization Type and Initials Number John Smith A&P 12345678 A, B, C
JOHN SMTH, JS Chief Inspector Jane Doe Repairman B Receiving 789654321 vane Doe, VD Inspector David Goodeye Repairman A, C David Goodeye, DG Final Inspector 456789123 Etc.
Explanation of Authorization:
A-Authorized to approve articles for return to service B-Authorized to sign for a specific inspection -Authorized to sign for in-process and final inspection 5-2