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(5) Means should be created to recognize when parts are to be substituted or substitution parts may be used. The substituted parts should be reflected in the articles’ maintenance records and include substantiating equivalency approval data. The installer must determine that the substitute part meets all regulatory requirements.
(6) A method should be developed with instructions explaining how to perform comprehensive visual inspections of parts and materials received, including checks for obvious physical damage, defects, and state of preservation, and that appropriate quantities have been received.
(7) A means to verify that all part, model, serial numbers, etc., as appropriate, match the accompanying documentation, such as packing slips, invoices, certificates of conformance, work orders, maintenance release tags, or purchase orders.
(8) To ensure parts are free from contamination or damage, verify that all appropriate plugs, caps, or safety devises are installed as required by the manufacturer and that shipping container or packing is appropriate for items received or to be shipped.
(9) If applicable, a method should be created to identify dangerous goods that are flammable, toxic, or volatile materials received to ensure that they are packaged and stored in a safe manner, either per manufacturer’s recommendations or as specified by regulatory requirements. Segregation procedures should be established for these types of materials and for any other items for which segregation is appropriate.
(10) When applicable, a method should be included to examine materials subject to damage from electrostatic discharge (ESD). Materials should be packaged, handled, and protected in accordance with requirements for handling ESDs. Training for ESD recognition, handling, and processing should be accomplished and records maintained in the receiving inspection-training file or the individual employee’s training file. In addition, procedures should be defined, prescribing periodic checks/inspections on ESD mats and wrist straps in accordance with the manufacturer’s recommendations.
(11) Procedures explaining how to segregate and identify serviceable parts from unserviceable parts and maintaining documentation for traceability. The storage area for serviceable aircraft parts should be periodically checked (audited) for overall effectiveness of storage and identification methods of parts in inventory. The serviceable parts area should be controlled to prevent unintentional or unauthorized stocking of parts, materials, or components that have not been received through the system. Identified unserviceable (questionable) parts should be properly secured in a segregated area pending proper disposition of the part.
(12) Develop a procedure to control bulk shipments of identical parts to ensure traceability to the producer of the item(s), i.e., PAH, standard parts, or raw material(s), etc.
Whenever possible, original packaging should remain with the parts or materials for identification purposes. This would be used for identifying the producer and lot or batch number as applicable, until installed or sold.
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(13) Develop a procedure to identify and properly store shelf- and life-limited parts, environmentally sensitive/temperature-sensitive materials such as epoxy resins, prepreg composite materials, or sealants as an example. This procedure should ensure that outdated parts or materials are not inadvertently installed. Procedures should be in place to track the expiration date of and to explain how to segregate or dispose of them once their useful life has expired.
(14) Establish a means to verify whether any ADs are applicable to the any components or parts thereof received.
(15) When inspection stamps are used, a control system should be established to govern their issuance and use.
(16) Procedures to ensure incoming parts/materials affectively apply to the products being maintained.
g. Hazardous Materials (Hazmat) (Dangerous Goods Program). Hazmat (known internationally as dangerous goods) are found in many aircraft parts and in substances used in the aviation industry. Because there have been instances in the past when companies have shipped hazmat in violation of the regulations, the regulations require hazmat training for certain employees. A company’s hazmat program should address the company’s needs for training, as well as its internal procedures for handling and transporting hazmat. The principle applicable regulations are found in 49 CFR parts 171, 172, 173, and 175, which prescribe requirements applicable to aircraft operators, maintenance providers, distributors, and anyone else who may ship hazmat. These regulations address a wide range of topics, such as developing a training program, properly identifying hazmat, packaging hazmat, shipping hazmat, and air carrier acceptance of hazmat. Additional regulatory guidance on training programs for certain types of certificate holders can be found in 14 CFR parts 121, 135, and 145. At a minimum, any hazmat employer should have a program that covers proper packaging, marking, labeling, classification, description, and documentation of shipments of hazmat, as well as compliance with the appropriate regulations that apply to the particular hazmat-related functions undertaken at the company.
NOTE: Hazmat safety recommendations are available from the Department of Transportation Web site at: http://phmsa.dot.gov/hazmat.
h. Part/Material Documentation/Identification. Procedures should clearly state and/or illustrate the documentation or other means of identification that would be acceptable for receiving parts or material from different types of vendors. The following are possible sources, but not the only sources, for determining airworthiness:
(1) Shipping ticket, invoice, or other documents from the PAH.
(2) Parts markings such as PMA, TSO, data plates, serial numbers, part numbers, manufacturing production numbers, etc.
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(3) Letter of Direct Ship Authority, issued to the supplier by the PAH.
(4) Maintenance release document(s) that meet part 43, signed by an appropriately certificated person, qualified for the relevant function, that signifies the item was approved for return to service after maintenance, preventative maintenance, rebuilding, or alteration. Records could also reflect the removal of parts/components or appliances from a TC’d product.
(5) FAA Form 8130-3 is used for export approval, conformity determination from the PAH, or approval for return to service after maintenance or alteration by an authorized part 145 repair station or the holder of an air carrier operating certificate issued under part 121 or 135.
Export Certificate of Airworthiness, JAA Form 1 (invalid if dated after 11/28/04), Transport Canada Authorized Release Certificate – Form One, and EASA Form 1 (effective on 11/28/04) provided the United States has a current BASA and MIP with the exporting country. Part or material certification forms such as ATA Form 106, or a material certification form verifying that the standard parts conform to established industry or U.S. specifications, could be provided.
i. Part Evaluation. The evaluation should include a review of any usage history supplied with the part at the time of purchase, which could include accumulated time/cycles, remaining time/cycles, alterations, and/or repairs. Part verification could also include part number, serial number, symbols, manufacturing marks, identification stamps, etchings, casting codes, bar codes, dates, or lot numbers. Any item (indicators such as manufacturing numbers) unique to a particular manufacturer could assist in providing traceability to a PAH. The manufacturer’s system for identification during the manufacturing process is not always available to the end user. However, such information is often obtained by contacting the manufacturer.
j. Unsalvageable Parts/Material. Establish written procedures for mutilating “scrapped” parts to an extent that precludes the possibility of them ever being used for their original intended purpose. The disposition of scrap parts should be documented and retained for an appropriate period of time.
NOTE: AC 21-43 provides information and guidance for control of rejected parts and materials.
k. Unserviceable Parts. Parts that may have exceeded approved repair limits, time, cycle limits, etc. If unserviceable parts are to be retained for possible future use, procedures should specify that they are to be segregated from serviceable parts. It is recommended that all documentation remain with these parts for possible later return to service, which could be because new approved repair procedures were later developed or the manufacturer extended time life extensions.
l. Segregation. At times, articles received may lack appropriate documentation or other supporting data necessary to show that the regulatory requirements were met. These requirements would include findings to show that the part was produced and/or maintained
Page 14 Par 6 properly. Segregate those parts of questionable nature from serviceable parts until a sound determination can be made of their status and prevent them from subsequently being installed.
7. RECEIVING INSPECTION PROCEDURES FOR PARTS AND MATERIALS TEMPLATE. The following receiving inspection procedures provide information and guidance for developing and/or evaluating a receiving inspection system. These procedures set forth one means, but not the only means, for receiving parts or materials into inventories. In addition, Appendices 1 and 2 provides a comprehensive overview of the material presented in the body of this AC. To meet the needs of their specific organizations, the users, as appropriate, may modify the checklists (Appendix 1) and the logic chart (Appendix 2).
a. Acceptance of New Parts Manufactured by FAA-Certificated Sources. Receiving personnel should ensure that new parts produced by FAA-certificated sources are accompanied by the referenced documents or other information:
(1) PC Holders. Invoice, packing list, or equivalent documentation (normal shipping documents), stating the part number(s) and corresponding quantities in each shipment.
(2) STC Holder. Normal shipping documents, documentation that identifies the part as an STC part and the production authority under which the part was produced.
(3) TSOA Holder. Normal shipping documents, documentation, and/or markings that identify the part as a TSO part.
(4) PMA Holder. Normal shipping documentation and/or markings that identify the part as an FAA-PMA part. The part or packaging must be marked “FAA-PMA.”
(5) APIS Holder. Normal shipping documents, other documentation, and/or data plates that identify the product as being produced under a TC only with an APIS.
(6) Letter of Direct Ship Authority Authorization. Evidence that authority was given to the supplier from the PAH to ship parts directly to the customer, which may have a statement on the purchase order stating that the part(s) “were produced under FAA-approved manufacturing and quality control systems/methods as set forth in the FAA Production Certificate.”
b. Acceptance of New Parts from Non-FAA-Certificated Sources. Receiving personnel should ensure that the distributor (seller) provides sufficient documentation to show traceability to one of the following:
(1) A copy of shipping tickets, packing lists, invoices, and/or other documents providing evidence that the origin of the part is from an FAA PAH or that the original acquisition was from an FAA-approved source.
(2) A copy of the written letter of direct shipment authorization that includes a statement that those parts were produced in accordance with the PAH quality system.
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(3) A copy of the Certificate of Conformance (C of C) (i.e., standard parts). This certificate should identify the acceptable standard to which the part was produced.
(4) A copy of the return to service from FAA-approved foreign repair stations and/or FAA-certificated sources.
(5) The return to service entry under part 43 maintenance record entry.
(6) A return to service record entry from an FAA-certificated air carrier operating under part 121 or 135.
c. Acceptance of Used, Repaired, or Overhauled Parts from FAA-Certificated Sources.
One or more of the following should accompany parts approved for return to service procured from FAA-certificated sources:
(1) Repair station work order.
(2) FAA Form 8130-3, Airworthiness Approval Tag; JAA Form 1 (prior to 11/28/04);
EASA Form 1 (after 11/28/04); or Transport Canada Authorized Release Certificate – Form One.
(3) FAA Form 8130-3, Authorized Release Certificate, Airworthiness Approval Tag;
JAA Form 1 (prior to 11/28/04); EASA Form 1 (after 11/28/04); or Transport Canada Authorized Release Certificate – Form One.
(4) Air carriers operating under parts 121 or 135 return to service maintenance record entry; part 145 repair station return to service maintenance record entry that the repair station is authorized to perform.
(5) Part 145 repair station return to service maintenance record entry that the repair station is authorized to perform.
(6) Parts/components maintained under part 43 return to service release.
d. Acceptance of Used, Repaired, or Overhauled Parts from Non-FAA Certificated Sources. Parts procured from non-FAA-certificated sources, such as distributors, should be accompanied by one of the following:
(1) A return to service maintenance record entry from an FAA-certificated air carrier operating under part 121 or 135;
(2) A return to service maintenance record entry from an FAA-certificated air agency operating under part 145; or
(3) The return to service entry from the certificated entity that performed the original repair or overhaul under part 43.
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e. Acceptance of Parts from Foreign Sources. The need to maintain aircraft and components outside the United States has continued to expand, along with an increase in the rise of foreign-manufactured aeronautical products used by U.S. operators and repair facilities.
Receiving personnel should ensure they receive the proper documents with parts that were repaired or manufactured from foreign sources.
f. Acceptance of Life-Limited or Time-Controlled Parts from Any Source. Procedures for accepting life-limited or time-controlled used parts into an inventory system require special attention due to safety ramifications. In addition to the documentation listed in paragraphs 7a, b, c, or d receiving inspection personnel should ensure that life-limited and time-controlled parts are accompanied by the following documentation to substantiate the time remaining on the part:
(1) The accumulated total time or remaining hours, cycles, and/or calendar times, whichever time limit applies to the part;
(2) AD status;
(3) Modification status (i.e., SBs, technical bulletins), if applicable;
(4) All major repairs, alterations, and modifications which may have been accomplished;
(5) Any usage/storage history, which may result in an adjustment to the remaining life of the part; and
(6) Record of work accomplished during the last maintenance, repair, overhaul, or alteration performed.
8. SUSPECTED UNAPPROVED PARTS (SUP). SUP reports originate from many different sources, such as being detected during incoming receiving inspections, facility audits or surveillance, complaints, Congressional inquiries, or from accident or incident investigations.
The FAA’s policy is to encourage voluntary disclosure of information affecting aviation safety, such as SUPs. Although reports may be made anonymously, the submission of the reporter’s name is requested to enable the FAA to gather additional information if needed and provide confirmation and/or followup to the reporter. AC 21-29 provides updated information and guidance to the aviation community for detecting SUPs and the procedures for reporting them to the FAA. FAA Form 8120-11, Suspected Unapproved Parts Notification Form, serves as a standardized means of reporting. Additional information and guidance can be found at the:
a. SUP Program Office Web site at http://www.faa.gov/aircraft/safety/programs/sups/.
b. Federal Aviation Administration Office of Audit and Evaluation 800 Independence Avenue, SW Washington, DC 20591 Attn: AAE-300, Room 911
Par 8 Page 17 (and 18)
c. FAA Aviation Safety Hotline at (800) 255-1111.
d. Questions or comments regarding a SUP-related issue may also be directed to the SUP Program Office via http://www.faa.gov/aircraft/safety/programs/sups/.
Appendix 1 APPENDIX 1. RECEIVING INSPECTION SYSTEM CHECKLIST
RECEIVING INSPECTION SYSTEM CHECKLIST
RESPONSIBLE PERSON
Y N N/A
1. [ ] [ ] [ ] Receiving/inspection personnel listed on company roster by position and name?
2. [ ] [ ] [ ] Inspection functions authorized for named individual identified?
3. [ ] [ ] [ ] Individual trained to perform authorized functions, by name?
4. [ ] [ ] [ ] Individual issued a letter or stamp for functions authorized to perform?
TRAINING
Y N N/A
1. [ ] [ ] [ ] Individuals’ training records documented?
2. [ ] [ ] [ ] Training records on file and subject(s) covered?
3. [ ] [ ] [ ] Part/material identification procedures?
4. [ ] [ ] [ ] Procedures for identifying current status of part/material?
5. [ ] [ ] [ ] Procedures for making a quality determination of the part/material?
6. [ ] [ ] [ ] Understand regulatory compliance requirements?
7. [ ] [ ] [ ] Inspection procedures for individual’s intended function?
8. [ ] [ ] [ ] Proper handling procedures?
9. [ ] [ ] [ ] Proper storage procedures?
10. [ ] [ ] [ ] Ordering procedures?
11. [ ] [ ] [ ] Functional testing procedures?
12. [ ] [ ] [ ] Inspection procedures, i.e., visual, bench check, etc., for airworthiness determinations?
13. [ ] [ ] [ ] Recordkeeping requirements?
14. [ ] [ ] [ ] Use of inspection stamps and control procedures?
15. [ ] [ ] [ ] Hazardous materials (hazmat) procedures?
TECHNICAL DATA
Y N N/A
1. [ ] [ ] [ ] Current?
2. [ ] [ ] [ ] Applicable?
3. [ ] [ ] [ ] Adequate?
4. [ ] [ ] [ ] Production Approval Holder (PAH) design data?
5. [ ] [ ] [ ] Type Certificate Data Sheets (TCDS)?
6. [ ] [ ] [ ] Airworthiness Directives (ADs)
7. [ ] [ ] [ ] U.S. or industry specifications?
8. [ ] [ ] [ ] Illustrated parts lists or catalogs?
9. [ ] [ ] [ ] Maintenance manuals?
10. [ ] [ ] [ ] Structural Repair Manuals (SRM)?
11. [ ] [ ] [ ] Overhaul manuals?
12. [ ] [ ] [ ] Service Bulletins (SB)/Service Letters (SL)?
13. [ ] [ ] [ ] Operator’s Federal Aviation Administration (FAA)-approved maintenance program/requirements?
14. [ ] [ ] [ ] Manufacturer’s specifications?
15. [ ] [ ] [ ] Code of Federal Regulations (CFR)?
Appendix 1 APPENDIX 1. RECEIVING INSPECTION SYSTEM CHECKLIST (Continued)
16. [ ] [ ] [ ] Advisory circulars (AC)?
17. [ ] [ ] [ ] Engineering Orders (EO)?
MEASUREMENT/TEST EQUIPMENT
Y N N/A
1. [ ] [ ] [ ] Calibration to National Institute of Standards and Technology (NIST) standards or other accredited calibration facilities recognized to follow ISO 10012-1, ISO Guide 25 (17025), American National Standards Institute (ANSI)/National Conference of Standards Laboratories (NCSL) Z540.1, or country of type certificate (TC) manufacturer?
2. [ ] [ ] [ ] Current calibrations specifications for equipment to be calibrated?
3. [ ] [ ] [ ] Proper storage?
4. [ ] [ ] [ ] Procedures to prevent past due measuring/test equipment from being used?
RECEIVING INSPECTION SYSTEM
Y N N/A
1. [ ] [ ] [ ] Written procedures?
2. [ ] [ ] [ ] Internal quality audit procedures?
3. [ ] [ ] [ ] Signature procedures?
4. [ ] [ ] [ ] Procedures for checking for physical damage and defects?
5. [ ] [ ] [ ] Preservation procedures?
6. [ ] [ ] [ ] Procedures for quantities received controls?
7. [ ] [ ] [ ] Verification procedures for part/model/serial numbers?
8. [ ] [ ] [ ] Documentation matches part(s)/material(s) received?
9. [ ] [ ] [ ] Storage area for serviceable parts/materials?
10. [ ] [ ] [ ] Is batch segregation maintained to assure traceability to the part/material producer?
11. [ ] [ ] [ ] Procedures for keeping parts/materials with original packaging?
12. [ ] [ ] [ ] Storage area for unserviceable parts/materials?
13. [ ] [ ] [ ] Procedures to identify serviceable parts from unserviceable parts?
14. [ ] [ ] [ ] Serviceable parts area secured to prevent unauthorized cannibalizing of components?
15. [ ] [ ] [ ] System to assure proper control of shelf life-limited parts/materials?
16. [ ] [ ] [ ] Reference system for determining status of ADs?
17. [ ] [ ] [ ] System to control inspection stamps, if used?
18. [ ] [ ] [ ] Segregation maintained for requiring additional testing, i.e., flammability?
19. [ ] [ ] [ ] Flammable, toxic, or volatile material procedures for storage, receiving, and appropriate packaging?
20. [ ] [ ] [ ] Procedures for verifying all required plugs and caps, etc., are installed?
21. [ ] [ ] [ ] Shipping container and packaging appropriate for items received?
ORDERING PROCEDURES
Y N N/A
1. [ ] [ ] [ ] Approved vendor/alternate vendor list as revised?
2. [ ] [ ] [ ] Special requirements communicated to venders, such as documents required?
3. [ ] [ ] [ ] Procurement system for ordering FAA-approved parts/materials?
Appendix 1 APPENDIX 1. RECEIVING INSPECTION SYSTEM CHECKLIST (Continued)
HAZARDOUS MATERIAL
Y N N/A
1. [ ] [ ] [ ] Hazmat advisory publications?
2. [ ] [ ] [ ] Availability of hazmat-related Federal regulations?
DOCUMENTATION IDENTIFICATION
Y N N/A
1. [ ] [ ] [ ] Procedures for determining what types of documentation/identification are acceptable?
2. [ ] [ ] [ ] Shipping ticket, invoice, or other PAH documents?
3. [ ] [ ] [ ] Parts marking, such as Parts Manufacturer Approval (PMA), Technical Standard Order (TSO), data plates, serial numbers, or manufacturer’s markings?
4. [ ] [ ] [ ] Maintenance release documents?
5. [ ] [ ] [ ] Airworthiness approval forms, i.e., FAA Form 8130-3?
6. [ ] [ ] [ ] Export Certificate of Airworthiness?
7. [ ] [ ] [ ] Part or material certification?
8. [ ] [ ] [ ] Retention procedures for original documentation?
SEGREGATION
Y N N/A
1. [ ] [ ] [ ] Area for Airworthy parts/materials?
2. [ ] [ ] [ ] Area for nonaircraft parts/materials?
3. [ ] [ ] [ ] Area for questionable parts where further determinations must be made (segregation)?
BULK QUANTITIES
Y N N/A
1. [ ] [ ] [ ] Traceability procedures for same type parts received in large quantities?
2. [ ] [ ] [ ] Procedures for duplicating certificate received with bulk shipment of the same type part?
PART EVALUATION
Y N N/A
1. [ ] [ ] [ ] Review known history?
2. [ ] [ ] [ ] Accumulated time?
3. [ ] [ ] [ ] Accumulated cycles?
4. [ ] [ ] [ ] Calendar time?
5. [ ] [ ] [ ] Major alterations with supporting documentation?
6. [ ] [ ] [ ] Major repairs with supporting documentation?
7. [ ] [ ] [ ] Part markings could include, part number, serial number, casting codes, etc.?
UNSERVICEABLE PARTS/MATERIALS
Y N N/A
1. [ ] [ ] [ ] Mutilating procedures?
2. [ ] [ ] [ ] Retention/segregation procedures for unserviceable parts?
3. [ ] [ ] [ ] Procedures for donating to entities such as schools, to be used for training?
4. [ ] [ ] [ ] Procedures for turning parts over to nonaviation-related uses?
Appendix 1 APPENDIX 1. RECEIVING INSPECTION SYSTEM CHECKLIST (Continued)
REPORTING SUSPECTED UNAPPROVED PARTS (SUP)
Y N N/A
1. [ ] [ ] [ ] Procedures outlined for detecting SUPs?
2. [ ] [ ] [ ] Procedures outlined for reporting SUPs?