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
5-3 Figure 5-2. Roster Format Example 2 Section: III Date Completed: 11/13/2001 Revision No. 1 Personnel Title: Chief Inspector/Repairman Authorized Signature: Kyle R. Bowman FAA Airman Certificate Held: Repairman No. 123456789 Authorized to Sign: Logbooks and other approvals for return to service, Malfunction and Defect Reports Figure 5-3. Roster Format Example 3 John Smith Component Repair, Inc.
Effective Date: 11/13/2001 Supervisory and Inspection Personnel Roster TITLE NAME CERT. TYPE & NO. AUTHORITY CEO John Smith N/A N/A Q.C. Manager Jane Smith Repairman 1234567 FPI, Machining Foreman Dan Jones Repairman 98765432 Machining, Cleaning Chief Inspector David Jones N/A N/A
5.2 Operations, Housing, Facilities, Equipment, and Materials.
5.2.1 References:
• Title 14 CFR part 43.
• Sections 145.101 through 145.109.
5.2.2 Operations. This section of the manual should include a general description of the repair station operations. The manual should describe how the repair station operates, from receiving an article for maintenance to approval for return to service. The description could be in a narrative, flowchart, or other format. Any/all standard operating procedures (SOP) developed for the facility could be included to aid in describing the repair station’s normal, day-to-day business practices and/or operations.
5.2.3 Housing and Facilities. This section should include a description of the housing and facilities. This also could be in a narrative, flowchart, or other format, such as a drawing showing the floor plan of the facility. A drawing of the facility depicting the areas of
5-4 repair station operations is not regulatory, but can be helpful in describing the housing and facilities. If using a drawing to further describe the areas of operation within the repair station, the drawing could include the entrance(s), parking areas, and street locations. The drawing and description may include the type of heating, lighting, equipment location, shop areas, electrical, and compressed air outlets. A description of any facilities used for spray painting, avionics, engine or airframe repair, or any other work that would have special requirements should be included.
5.2.4 Equipment, Tools, and Materials.
5.2.4.1 The repair station must have the equipment, tools, and materials necessary to perform the maintenance in accordance with part 43. The equipment, tools, and materials must be located on the premises and under the repair station’s control when the work is being done, per § 145.109. Some of this equipment may be very expensive and the repair station may rarely use it. If the repair station does not own the equipment and it is not kept at the facility, the manual should describe how the equipment is obtained (e.g., lease, rental, etc.). The manual should also describe the procedure for ensuring the equipment is on the premises and under the repair station’s control at the time the work is being performed.
5.2.4.2 This section of the manual should also describe where the equipment is likely to be used and how the repair station will comply with special handling requirements for sensitive tools and equipment. Some test benches and special equipment may require calibration/verification after relocation. This section of the manual should describe how the repair station ensures that required calibration/verification is performed before using the equipment to perform maintenance or alteration on civil aviation articles. The RSM should identify which department is responsible for calibrating leased tools and equipment.
5.2.4.3 The RSM should include a description of the equipment used to perform maintenance. For example, if the facility includes a machining area, then a generic description of the types of machines located in that area should be included in the manual. The description should not be so specific that updating equipment would result in a manual revision. The equipment, tools, and materials must be those recommended by the manufacturer of the article or must be at least equivalent to those recommended by the manufacturer and acceptable to the FAA. The repair station may refer to a list of equipment maintained for other purposes, such as a list kept by the accounting department for tax purposes.
5.2.5 Equivalent Tools and Equipment.
Note: This section is not intended to discuss industry standard tools and equipment (e.g., wrenches, multimeters, sockets, etc.) that are manufactured to a recognized industry standard.
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5.2.5.1 If the repair station will be using equipment, tools, or materials other than those recommended by the manufacturer, the manual should explain the procedure it will use for determining equivalency of equipment, tools, and materials. To determine equivalency, compare the technical requirements of the special equipment or test apparatus recommended by the manufacturer with the proposed replacements. The equipment or test apparatus may look different, be made of different materials, be a different color, and so forth.
However, the equipment or test apparatus must be capable of performing all necessary tests and checking all required parameters of the articles. The level of accuracy should be at least equal to that recommended by the manufacturer of the equipment/tools. Reverse engineering should include the data, drawings, testing, or reports necessary to determine that the article is equivalent to the article recommended by the manufacturer. The basis of equivalency is the requirement that the article meet the manufacturer’s standards and specifications in all respects regarding tolerances, repeatability, and accuracy.
5.2.5.2 Standard industry practice establishes that each piece of special equipment or test apparatus have a unique part number and serial number to identify it within the repair station’s inventory system. Whether the equipment or apparatus is obtained from the manufacturer or produced by the repair station, it should be identified in the system for calibration and tracking purposes.
5.2.5.3 The following questions or concerns are offered as a guide and are intended to help initiate the procedures for describing the housing, facilities, and equipment in the manual(s). They should not be considered all-inclusive. Each facility is unique and therefore may require additional procedures to verify regulatory requirements and needs of the repair station.
1. Does the manual include a description of how the repair station operates?
2. Does the manual include a description and/or a drawing of the housing, identifying the various work facilities within the building(s) and giving a narrative description of the housing and facilities?
3. Does the description and/or layout identify areas with special requirements?
4. Does the description include a generic overview of the type of equipment?
5. When leasing or renting equipment, does the manual contain procedures describing the lease/rent process and who is responsible for managing the program, including the required calibration/verifications?
6. How does the repair station ensure that the equipment is in place and under the facility’s control when the work is performed?
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7. If the repair station is using special equipment or tools other than those recommended by the manufacturer, does the manual include procedures for determining equivalency?
8. Does the manual include a description of the stock room/area, how inventory is requisitioned for particular jobs, and how shelf life inventory is maintained?
5.3 Capability List (CL).
5.3.1 References:
• Section 145.209(d).
• Section 145.215.
5.3.2 CL. A certificated repair station (CRS) with a limited rating may perform maintenance, preventive maintenance, or alterations on an article if it is listed on a current CL acceptable to the FAA or on the repair station’s operations specifications (OpSpecs). If the repair station chooses to use a CL, the RSM must:
1. Contain procedures for revising the list and notifying the responsible Flight Standards office;
2. Include how often the responsible Flight Standards office will be notified of revisions;
3. Contain the procedures for the self-evaluation required under § 145.215(c) for revising the CL;
4. Describe the methods and frequency of such evaluations; and
5. Contain the procedures for reporting the results to the appropriate manager for review and action.
5.3.3 Revising the List. The CL itself may be included as a part of the RSM, but it is suggested that it be made a separate document for ease in revising the list without the need to revise the RSM; however, the procedures for performing the self-evaluation, revising the list, and making those revisions available to the FAA must be included in the manual.
5.3.4 Self-Evaluation.
5.3.4.1 The individual performing the self-evaluation required under § 145.215(c) should have the following qualifications:
1. Experience with performing evaluations (or audits, if that is the method selected by the repair station).
2. An understanding of the requirements of part 145.
3. Knowledge of the maintenance requirements for the particular make/model of the article to be added to the list.
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5.3.4.2 The individual must follow the procedures in the RSM for accomplishing a self-evaluation. Checklists, working documents, and forms designed by the repair station to record the self-evaluation should be included in the forms section of the manual system. The self-evaluation should ensure that the repair station has the following:
1. The appropriate limited rating.
2. Adequate housing and facilities.
3. Recommended tools, equipment, and materials, or equivalent, as necessary to perform the maintenance in accordance with part 43.
4. Current technical data.
5. Sufficiently trained and qualified personnel.
6. Completed self-evaluation records on file.
5.3.5 Record and Report of Self-Evaluation Results. Procedures should be established for conducting the self-evaluation, recording and retaining the self-evaluation, and reporting the results to the appropriate repair station manager for review and action. The procedure used to revise the list should describe the method used to indicate any changes made to the list. Any deficiencies found during the self-evaluation should be corrected before the article can be added to the CL. When the self-evaluation establishes satisfactory results, the article may be placed on the CL. Notification of the revision to the list should be provided to the responsible Flight Standards office in accordance with the procedures required in § 145.209(d)(1). The repair station should retain documentation of the self-evaluation as long as the article is listed on the current CL. If the article was authorized in OpSpecs prior to establishing a CL, or the self-evaluation documents were missing, a baseline assessment should be documented for the current listing. For repair stations located outside the United States, the records of the self-evaluation may be in the national language; however, they must be made available to the FAA in English.
5.3.6 Person Responsible for Maintaining the CL. The procedures for revising the CL and notifying the responsible Flight Standards office should include who (by title) is responsible for maintaining the CL and communicating any revisions to the office. If the self-evaluation was satisfactory, the CL may be revised.
5.3.7 Maintaining the CL. CL currency can be shown by a List of Effective Pages (LEP) or equivalent document. The CL must identify each article by make and model or other nomenclature designated by the article’s manufacturer.
5.3.8 Revising the CL. If the repair station no longer wishes to maintain an article on its CL, the article should be deleted. The repair station must have the necessary tools, equipment, housing, facilities, and trained personnel to maintain articles on the CL at the time the work is performed. The procedures in the manual should describe how to add and delete articles from the list and how to forward the revised list to the FAA. The repair station may choose to audit the CL on a regular basis to ensure that it continues to have the
5-8 housing, facilities, equipment, and technical data that meet all necessary requirements to maintain the articles listed in the document. Whenever equipment, tooling, personnel, and data must be obtained in order to perform the maintenance or alteration on an article that is going to be added to the CL, the procedures for adding the article should state how the repair station will ensure that the equipment, tooling, personnel, and data will be available when the work is being performed on the article listed.
5.3.9 Electronic Media. If the CL is maintained on electronic media, the repair station will need to work with the responsible Flight Standards office to ensure compatibility of the media, equipment, and software with that of the office. Revision procedures will need to address how the FAA will be notified of the revision.
5.3.10 Procedures Guide. The following questions or concerns are offered as a guide and are intended to help initiate the procedures in the manual. They should not be considered all-encompassing. Each facility is unique and therefore may require additional procedures to verify regulatory requirements and the needs of the repair station.
1. Who (by title) will maintain the CL?
2. How will the self-evaluation be performed?
3. Who (by title) will perform the self-evaluation?
4. How will the self-evaluation be documented?
5. How will results of the self-evaluation be reported to management and how will management review the addition of capabilities to the list?
6. How will items be added to and deleted from the list?
7. How are changes clearly indicated on the document?
8. If electronic media is used, is the hardware and software compatible with that of the responsible Flight Standards office?
9. Where and by whom will self-evaluation reports be maintained?
10. Are the self-evaluations retained by the repair station for as long as an article is listed on the current CL and what is the time period of retention after an article is removed?
5.4 Training Program Revision.
5.4.1 References:
• Section 145.163.
• Section 145.209.
5.4.2 Chapter Information. Repair stations developing a training program may use the information in this chapter as a reference. AC 145-10, Repair Station Training Programs, provides additional information on developing the repair station employee training program required under § 145.163.
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5.4.3 Required Procedures. The RSM must include procedures required by § 145.163 for revising the training program. It must also include procedures for submitting those revisions to the responsible Flight Standards office for approval.
5.4.4 Responsibility for Revisions. The procedures should address who (by title) will be responsible for ensuring that revisions are submitted to the principal inspector (PI) at the responsible Flight Standards office for review and approval.
5.4.5 Frequency of Review. The procedures should address how often the program will be reviewed to determine if it is current and adequate for the type of maintenance being performed at the facility. Because the advancements in technology can cause aviation maintenance to change rapidly, a periodic review of training needs would be appropriate.
Repair stations that have established a management review program should include the training program for review during that meeting.
5.4.6 Training Program. The training program may be documented as a section of the RSM or as a separate document within the manual system. If the training program is a separate document, that document will need to include the procedures for submission to the FAA for approval prior to implementing the training.
5.4.7 Training Program Guide. The following questions or concerns are offered as a guide and are intended to help the repair station initiate the procedures in its manual(s). They should not be considered all-inclusive. Each facility is unique and may require additional procedures to verify regulatory requirements and the needs of the repair station.
1. Who (by title) is responsible for submitting the initial training program and its revisions to the FAA?
2. When will the revision be submitted?
3. What are the procedures for submitting revisions to the responsible Flight Standards office for approval?
4. How often will the training program be reviewed for currency and completeness?
5. Who (by title) is responsible for performing the review?
6. How will revisions be recorded and implemented?
7. How will the revised text be identified?
5.5 Work Performed at Another Location.
5.5.1 Reference. Section 145.203.
5.5.2 Special Circumstances: § 145.203(a) (OpSpec D100 is not required). This section states that a repair station may temporarily transport material, equipment, and personnel needed to perform maintenance, preventive maintenance, alterations, or certain specialized services on an article for which it is rated to a place other than the repair station’s fixed locations due to a special circumstance, as determined by the FAA. Examples would be
5-10 an aircraft on the ground or in preparation for a ferry flight (nonroutine maintenance or alteration actions).
Note: Normally, work performed at another location does not include working outside the country where the repair station is located. However, work performed outside the country under a special circumstance may be authorized under § 145.203(a). If work must be performed outside the country, the repair station should obtain required approvals from the country where the work will be performed and notify their responsible Flight Standards office.
5.5.2.1 If the repair station wishes to perform maintenance away from the fixed location for special circumstances, it may put a procedure in its manual for the types of special circumstances that it may need to perform. The RSM should address the following:
1. The types of and limitations on the work that would be considered special circumstances (e.g., emergency repairs, aircraft on the ground, and ferry flight preparation).
2. The estimated length of time away from the fixed location.
3. The procedure to ensure adequate personnel are chosen, including the person(s) responsible for performing, supervising, inspecting (including inspections regarding receiving/incoming, preliminary, hidden damage, in-process, and final), and approving the work for return to service.
4. If necessary, the procedure for ensuring the location will have the necessary housing and facilities for accomplishing the work.
5. The procedure for transporting any equipment, tools, materials, and data to the work site. If the equipment, tools, materials, and/or data will be obtained at the location, include the procedure used for ensuring they are received and controlled under the repair station’s quality system for the duration of their work.
6. The procedures used for storing any equipment, tools, materials, and data for the duration of the project.
7. The procedure used in notifying the responsible Flight Standards office of the request to work away and what type of information will be included in the request. Examples of information could include identifying the customer and describing the work requested or anticipated, and the location at which the work will be performed.
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8. The title of the person who will notify the responsible Flight Standards office of the special circumstance and how that notification will be made.
9. How the repair station will receive the FAA’s determination of acceptance or denial for the request to work away from the fixed location for the special circumstance.
5.5.2.2 By requesting the general determination of special circumstances and obtaining verification from the FAA (written response), the repair station will not need to request permission on a case-by-case basis. The repair station would follow its procedures and notify the FAA each time work was performed away from the fixed location for those special circumstances.
5.5.2.3 If the repair station will not perform work away from location on a recurring basis and does not include a procedure in its manual for work away from the fixed location for special circumstances, then it must submit each request to the FAA for evaluation on a case-by-case basis prior to performing the requested work. The FAA will make a determination and inform the repair station of any parameters that it must follow to perform the requested work.
The request should provide the following information:
1. The types of and limitations on the work that would be considered special circumstances (e.g., aircraft on the ground, ferry flight preparation, maintenance that must be performed prior to moving an article due to an unsafe condition, etc.).
2. The estimated length of time away from the fixed location.
3. The procedure used to ensure the location will have the necessary housing and facilities for accomplishing the work when necessary.
4. The procedure used for transporting any equipment, tools, materials, and data to the work site. If the equipment, tools, materials, and/or data will be obtained at the location, include the method for ensuring they are received and controlled under the repair station’s quality system for the duration of their use on the project.
5. The procedure used for storing any equipment, tools, materials, and data for the duration of the project.
6. The FAA will make a determination and provide a written response to the repair station, which may include additional parameters or limitations that it must follow to ensure compliance with parts 43 and 145.
5.5.3 Recurring Work: § 145.203(b) (OpSpec D100 is required). If the repair station is performing maintenance away from the fixed location on a recurring basis (part of everyday business rather than under special circumstances), the RSM includes the
5-12 procedures for accomplishing the maintenance, preventive maintenance, alterations, or specialized services at a place other than the repair station’s fixed location. This type of work could include fuel cell repair, Nondestructive Testing (NDT), mobile field services, etc., where most, if not all, of the work is completed away from the repair station’s fixed location. Procedures to govern work performed at another location in accordance with § 145.203(b) are required if the repair station performs work at another location on a recurring basis. This business practice will provide flexibility and mobility to meet industry needs and should not be restricted “only” to special circumstances. The procedures listed below are suggested, and those listed that support regulatory requirements will be noted as such with the regulation in parentheses. The manual procedures should address the following:
1. Procedures for generating work orders from the repair station’s fixed location for the scope, nature, and location (refer to § 145.209(i)).
2. Procedures for communication between and among personnel in the field and the repair station’s fixed location. The communication methodology needs to ensure the ability to transmit voice and data on a consistent basis. The ability to transmit verbal instruction and written documents is essential to establishing and maintaining continuous compliance with parts 43 and 145.
3. Procedures for analyzing the qualifications of and dispatching or obtaining personnel required for the scope and type of work anticipated and performed.
Consider the following:
• General knowledge (through training and experience) and capability requirements (refer to §§ 145.151 and 145.163);
• The requirement for individual certification for supervisors and persons authorized to approve work for return to service (refer to §§ 145.153 and 145.157); and
• Ensuring persons performing inspection activities are listed on the roster and meet the requirements of § 145.155.
4. Procedures for ensuring employment summaries (refer to § 145.161(a)(4)) and rosters (refer to § 145.161(a)) are kept current and that the RSM reflects the appropriate duties, responsibilities, and authority of management (supervisory, inspection, and approval for return to service personnel) for persons authorized to work away from the fixed location (refer to § 145.209(a)).
5. Procedures for verifying the extent and nature of available housing and facilities (refer to § 145.209(c)).
6. Procedures for providing or obtaining the calibrated equipment needed to make final airworthiness determinations on the work performed (refer to § 145.211(c)(viii)).
7. Procedures for providing or obtaining necessary equipment, tools, and tooling needed to accomplish the work scope.