U .S. Department of Transportation Federal Aviation Administration Advisory Circular Subject: Guide for Developing and Evaluating Repair Station and Quality Control Manuals Date: 10/6/17 AC No: 145-9A Initiated by: AFS-300 Change:
This advisory circular (AC) provides informational material for all repair station certificate holders and/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.
ORIGINAL SIGNED by /s/ John S. Duncan Executive Director, Flight Standards Service
ii
CONTENTS Paragraph Page
Chapter 1. General Information1-1
1.1 Purpose1-1
1.2 Cancellation1-1
1.3 Related 14 CFR Parts1-1
1.4 Definition of Terms1-1
1.5 Background1-4
1.6 Where You Can Find This AC1-4
1.7 AC Feedback Form1-4
Chapter 2. Manual Contents and Format2-1
2.1 The Manual(s)2-1
2.2 Combining Portions of the RSM with the QCM2-4
2.3 Identification and Control of Sections2-5
2.4 Sample Procedure Formats2-6
Chapter 3. Manual Revision and Control3-1
3.1 Procedures for Revision3-1
3.2 Provisions of Control3-2
3.3 Electronic Format3-2
Chapter 4. Repair Station Organizational Chart4-1
4.1 Organizational Chart4-1
4.2 Duties and Responsibilities4-2
Chapter 5. Repair Station and Quality Control Manual Elements5-1
5.1 Repair Station Personnel Roster5-1
5.2 Operations, Housing, Facilities, Equipment, and Materials5-3
5.3 Capability List (CL)5-6
5.4 Training Program Revision5-8
5.5 Work Performed at Another Location5-9
5.6 Maintenance, Preventive Maintenance, and Alterations Performed for
Air Carriers Under 14 CFR Parts 121, 125, 129, and 1355-14
5.7 Contract Maintenance Information5-18
5.8 Proficiency of Inspection Personnel5-23
iii
5.9 Current Technical Data5-25
5.10 Inspection and QC System5-28
5.11 Required Records and Recordkeeping5-38
5.12 Calibration of Measuring and Test Equipment5-41
5.13 Taking Corrective Action on Deficiencies5-45
Appendix A. FormsA-1
Appendix B. ChecklistB-1
List of Figures
Figure 2-1. Example Structure of a Single Manual System2-5
Figure 2-2. Sample Procedure Format 12-7
Figure 2-3. Sample Procedure Format 22-8
Figure 2-4. Sample Procedure Format 32-9
Figure 2-5. Sample Procedure Format 42-11
Figure 4-1. Example Repair Station Organizational Charts4-1
Figure 4-2. Narrative Format Sample4-2
Figure 4-3. Outline/List Format Sample4-3
Figure 4-4. ISO/Industry Format Sample4-3
Figure 5-1. Roster Format Example 15-2
Figure 5-2. Roster Format Example 25-3
Figure 5-3. Roster Format Example 35-3
1-1 CHAPTER 1. GENERAL INFORMATION
1.1 Purpose. This document is a guide for developing and evaluating the Repair Station Manual (RSM) and Quality Control Manual (QCM) required by Title 14 of the Code of Federal Regulations (14 CFR) 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 Cancellation. This advisory circular (AC) cancels AC 145-9 CHG 1, Guide for Developing and Evaluating Repair Station and Quality Control Manuals, dated March 19, 2009.
1.3 Related 14 CFR Parts. Parts 1, 21, 33, 39, 43, 65, 91, 121, 125, 129, 135, and 145.
1.4 Definition of Terms.
1.4.1 Acceptable. Data that meets the requirements of the applicable regulations.
1.4.2 Accountable Manager. The person designated by the certificated repair station (CRS) who is responsible for and has the authority over all repair station operations that are conducted under part 145, including ensuring that repair station personnel follow the regulations and serving as the primary contact with the Federal Aviation Administration (FAA).
Note: The FAA’s definition of an accountable manager may differ from the European Aviation Safety Agency’s (EASA) definition of an accountable manager; however, one person may serve both positions.
1.4.3 Approved. Approved, unless used with reference to another person, means approved by the FAA or any person to whom the FAA has delegated its authority in the matter concerned; or approved under the provisions of a bilateral agreement between the United States and a foreign jurisdiction.
Note: For the FAA aviation safety inspector (ASI), “approved” or “approved by” means the item has been formally approved by the FAA (or appropriate Civil Aviation Authority (CAA)). Approvals are granted by letter, by a stamp of approval, by the issuance of operations specifications (OpSpecs), or by other official means.
1.4.4 Article. An aircraft, airframe, aircraft engine, propeller, appliance, or component part.
1.4.5 Capability List (CL). A CL is a list of articles by make and model or other nomenclature in which the repair station is rated to perform maintenance, preventive maintenance, or alterations.
1-2
1.4.6 Contract Maintenance. Entering into an agreement between the originating CRS and another person or entity (FAA certificated or noncertificated) 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 or entity.
1.4.7 Correction. A correction is an action to eliminate an identified nonconformity as it relates to the articles or the maintenance processes.
1.4.8 Corrective Action. Corrective action is an action to eliminate the cause of an identified nonconformity or other undesirable condition to prevent its recurrence. An example of a corrective action could be accomplished as a proactive initiative, such as a technically conforming article could be removed because of an upcoming life limit.
1.4.9 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 (COA).
1.4.10 Directly in Charge. Having the responsibility for the work of a CRS that performs maintenance, preventive maintenance, alterations, or other functions affecting aircraft airworthiness. A person directly in charge does not need to physically observe and direct each worker constantly, but must be available for consultation on matters requiring instruction or decision from a higher authority.
1.4.11 Line Maintenance. Line maintenance is any unscheduled maintenance resulting from unforeseen events, or scheduled checks that contain servicing and/or inspections that do not require specialized training, equipment, or facilities.
1.4.12 Maintenance. Inspection, overhaul, repair, preservation, and the replacement of parts, excluding preventive maintenance.
1.4.13 Maintenance Function. A step or series of steps in the process of performing maintenance, preventive maintenance, or alterations.
1.4.14 Major Alteration. An alteration not listed in the aircraft, aircraft engine, or propeller specifications that:
1. Might appreciably affect weight, balance, structural strength, performance, powerplant operation, flight characteristics, or other qualities affecting airworthiness; or
2. Is not done according to accepted practices or cannot be done by elementary operations.
1-3
1.4.15 Major Repair. A repair that:
1. If improperly done, might appreciably affect weight, balance, structural strength, performance, powerplant operation, flight characteristics, or other qualities affecting airworthiness; or
2. Is not done according to accepted practices or cannot be done by elementary operations.
1.4.16 Mobile Field Service. Repair station personnel, materials, tools, and equipment deployed to perform work away from the fixed location for a special circumstance and/or for recurring work.
1.4.17 Mobile Maintenance Unit. A vehicle deployed by the repair station to transport materials, equipment, data, and personnel from one location to another.
1.4.18 Operations Specifications (OpSpecs). The official documents that describe the authorizations, ratings, and limitations of the repair station.
1.4.19 Preventive Maintenance. Simple or minor preservation operations and the replacement of small standard parts not involving complex assembly operations.
1.4.20 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. A procedure should include who performs each task and when, where, and how the task is performed.
1.4.21 Quality Control Manual (QCM). A manual that describes the inspection and quality control (QC) procedures used by the repair station.
1.4.22 Rating. A part of the repair station’s certificate that describes the special conditions, privileges, or limitations issued under § 145.59 and/or § 145.61.
1.4.23 Repair Station Manual (RSM). A manual that describes the procedures and policies of a repair station’s operations.
1.4.24 Required Inspection Item (RII). The requirement to inspect an item of maintenance that, if not performed properly, or is 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 cannot be the same individual who performed the work. (Refer to part 121, § 121.371; part 125, § 125.251; and part 135, § 135.429 for details of this requirement.)
1.4.25 Supervisor. Person or persons employed by the repair station that direct the work performed under the repair station certificate and OpSpecs. The supervisor must also oversee the work performed by any individuals who are unfamiliar with the methods, techniques, practices, aids, equipment, and tools used to perform the maintenance, preventive maintenance, or alterations.
1-4
1.4.26 Temporary/Temporarily. Transient; an arrangement without permanency, lasting for a limited time.
Note: The phrase “temporary transport” (especially as it relates to § 145.203(b) of the rule) is not defined or explained in the regulation or the preambles. An unspecified return-to-base frequency cannot be read into the current rule.
1.4.27 Traceability. The ability to verify the history, location, or application of an item by means of documented recorded identification.
1.4.28 Tracking. A method developed and utilized by the certificate holder to identify the location of work being performed away from the fixed location (by mobile field services, maintenance units, or other means).
1.5 Background. The FAA has revised this AC to incorporate policies and procedures identified in related FAA guidance for clarity and consistency. It also clarifies the minimum requirements for an RSM and QCM and provides guidance for items that should be included in these manuals. The RSM and QCM are essentially a “living” manual system. When regulations change or FAA guidance is revised, as well as when the repair station’s procedures and operations change, the manual(s) and procedures need to be reviewed, revised, and followed. Although repair stations range from very small
(e.g., 1–2 person) operations to very large (e.g., 1,000+ person) repair stations, the suggested procedures within this AC should assist repair stations of all sizes in designing procedures that meet the intent of the regulations and its individual operations.
1.6 Where You Can Find This AC. You can find this AC on the FAA’s website at http://www.faa.gov/regulations_policies/advisory_circulars.
1.7 AC Feedback Form. For your convenience, the AC Feedback Form is the last page of this AC. Note any deficiencies found, clarifications needed, or suggested improvements regarding the contents of this AC on the Feedback Form.
2-1 CHAPTER 2. MANUAL CONTENTS AND FORMAT
2.1 The Manual(s).
2.1.1 Combining Information. The applicant/certificate holder may combine portions required by § 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.” The manual(s) content must include procedures required by the regulations, but may be formatted in any manner easily understood by employees of the repair station.
2.1.2 Accessibility. The repair station’s current RSM must be accessible for use by repair station personnel required by part 145 subpart D, as stated in § 145.207.
Section 145.211 includes a QC system in which the CRS must prepare and keep current a QCM and requires repair station personnel to follow the QC system.
2.1.3 Checklist. Appendix B, Checklist, 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 ratings, sizes, and types of maintenance performed.
2.1.4 Submit the Manual. The applicant/certificate holder may submit the manual(s) to the responsible Flight Standards office 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 responsible Flight Standards office. If the repair station submits the manual electronically, they should discuss the format, software, and revision procedures with the responsible Flight Standards office before submittal. The repair station must follow the procedures described in its manual when submitting revisions to an existing manual (see Chapter 3, Manual Revision and Control).
2.1.5 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.
2.1.5.1 RSM Elements.
1. Manual Revision and Notifying the Responsible Flight Standards Office. Procedures for revising the RSM and notifying the responsible Flight Standards office of revisions to the manual, including how often the office will be notified of the revisions (refer to § 145.209(j)).
2. Identification and Control of Sections of the Manual. A description of the system used to identify and control sections of the RSM (refer to § 145.209(k)).
2-2
3. Organizational Chart (§ 145.209(a)). An organizational chart identifying:
• Each management position with authority to act on behalf of the repair station.
• The areas of responsibility assigned to each management position.
• The duties, responsibilities, and authority of each management position.
4. Rosters. Procedures for maintaining and revising the rosters required by § 145.161 (refer to § 145.209(b)).
5. Housing and Facilities:
• A description of the housing (refer to § 145.209(c)). For example, this may include dimensions, construction method, heating, ventilation systems, environmental protection, lighting, door openings, and physical address.
• A description of the facilities, including the layout of the shop, hangar, work areas, segregation areas, material storage, or machining.
• A description of the equipment, tooling, and materials used to perform maintenance (refer to § 145.209(c)).
Note: The description of materials used to perform maintenance should not be a physical description of the material, but rather an explanation of the repair station’s handling and storage of the materials. If materials require specific environmental controls or cannot be stored next to certain chemicals or solvents, these should be identified. For example, it would not be acceptable to store oxygen equipment near petroleum products.
• If the repair station does not own the equipment, tools, and materials necessary to perform the maintenance, preventive maintenance, or alterations under its repair station certificate and OpSpecs in accordance with part 43, include procedures in the manual that describe how the repair station will obtain them (lease, rentals, etc.).
6. CL. Procedures for (if applicable):
• Revising the CL provided in §§ 145.209(d)(1) and 145.215.
• Responsible Flight Standards office notification of revisions to the list, including how often the repair station will notify the office of revisions (refer to § 145.209(d)(1)).
• Performing the self-evaluation required by §§ 145.209(d)(2) and 145.215(c), including methods and frequency of such evaluations and procedures for reporting the results to the appropriate manager for review and action.
2-3
7. Training Program. Procedures for revising the training program and submitting revisions to the responsible Flight Standards office for approval, in accordance with the procedures required by § 145.209(e).
8. Procedures Governing Work Performed at Another Location (§ 145.209(f)):
• The work is necessary due to a special circumstance, as identified in § 145.203(a); or
• The work is performed on a recurring basis and the RSM includes procedures for accomplishing the work at a place other than the repair station’s fixed location, as identified in § 145.203(b).
9. Procedures for Maintenance, Preventive Maintenance, or Alterations Performed Under § 145.205 (if applicable). Procedures for performing maintenance, preventive maintenance, and alterations for certificate holders under parts 121, 125, and 135, and for foreign air carriers or foreign persons operating a U.S.-registered aircraft in common carriage under part 129 (refer to § 145.209(g)).
10. Contract Maintenance Procedures. Procedures for:
• Maintaining and revising the contract maintenance information required by § 145.217(a)(2)(i), including submitting revisions to the responsible Flight Standards office for approval (refer to § 145.209(h)(1)).
• Maintaining and revising the contract maintenance information required by § 145.217(a)(2)(ii) and notifying the responsible Flight Standards office of revisions to this information, including how often the office will be notified of revisions (refer to § 145.209(h)(2)).
11. Required Records and Recordkeeping System. A description of the required records and the recordkeeping system used to obtain, store, and retrieve the required records per §§ 145.209(i) and 145.219.
2.1.5.2 QCM Elements.
1. Revision Procedures and Notifying the Responsible Flight Standards Office. Refer to § 145.211(d).
2. Qualifying and Surveilling Noncertificated Persons Performing Maintenance, Preventive Maintenance, or Alteration for the Repair Station. Refer to § 145.211(c)(1)(vi).
3. Establishing and Maintaining Proficiency of Inspection Personnel.
Refer to § 145.211(c)(1)(iv).
2-4
4. Establishing and Maintaining Current Technical Data. Refer to § 145.211(c)(1)(v).
5. Inspection System. Description and procedures for (refer to § 145.211(c)(1)(i), (ii), (iii), and (vii)):
• Inspecting incoming raw materials.
• Performing preliminary inspection of all articles that are maintained.
• Inspecting all articles that have been involved in an accident for hidden damage before maintenance, preventive maintenance, or alteration is performed.
• Performing final inspection and return to service.
6. Calibration of Measuring and Test Equipment, Including Intervals of Calibration. Refer to § 145.211(c)(1)(viii).
7. Taking Corrective Action on Deficiencies. Refer to § 145.211(c)(1)(ix).
8. References. References, where applicable, to the manufacturer’s inspection standards for a particular article, including reference to any data specified by that manufacturer (refer to § 145.211(c)(2)).
9. Samples of Inspection Forms and Instructions for Completion.
May be a separate manual (refer to § 145.211(c)(3)).
10. Portions Recommended for Manual Organization:
• Table of Contents.
• List of Effective Pages (LEP).
• Record of Revisions.
2.2 Combining Portions of the RSM with the QCM.
2.2.1 Possible Combination. Figure 2-1, Example Structure of a Single Manual System, 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.
2-5 Figure 2-1. Example Structure of a Single Manual System Repair Station Manual Element + Quality Control Manual Element = Possible Chapter/Section Title Training program, revision, notifying responsible Flight Standards office + Establishing and maintaining proficiency of inspection personnel = Training Maintaining and revising contract information + Qualifying and surveilling noncertificated persons = Contract Maintenance Manual revision, responsible Flight Standards office notification, identification, and control of sections + Manual revision and responsible Flight Standards office notification = Manual Control Records and recordkeeping system + Establishing and maintaining current technical data = Document Control Etc. + Etc. = Etc.
2.2.2 Meeting Manual Requirements. The repair station should include a table referencing the manual contents listed in §§ 145.209 and 145.211 to clearly identify that the RSM and QCM meet regulatory requirements.
2.3 Identification and Control of Sections.
2.3.1 Page Numbering. Sequential numbering of the manual(s) from front to back 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.
2.3.2 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 the International Organization for Standardization (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.