7.8.6 Export Certificate of Airworthiness (C of A), Joint Aviation Authority (JAA) Form 1 (invalid if dated after 11/28/04), Transport Canada Authorized Release Certificate – Form One, and European Union Aviation Safety Agency (EASA) Form 1 (effective on 11/28/04) provided the United States has a current Bilateral Aviation Safety Agreement (BASA) and Maintenance Implementation Procedures (MIP) with the exporting country.
7.8.7 Other part or material certification forms, or a material certification form verifying that the standard parts conform to established industry or U.S. specifications, could be provided.
7.9 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, barcodes, 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.
7.10 Unsalvageable Articles. Establish written procedures for disposing of scrap products and materials. When appropriate, the proper and thorough mutilation of products and articles will ensure they are unusable for their original application and render them incapable of being reworked or camouflaged to provide the appearance of being serviceable. When mutilation is not appropriate, other methods may be used to prevent future representation such as those described in AC 21-43, Production Unde r 14 CFR Part 21, Subparts F, G, K, and O, Appendix D, Scrap or Salvageable Aircraft Products and Articles.
7.11 U nserviceable 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.
7.12 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 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.
8 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.
8 Note: Appendices A and B provide a comprehensive overview of the material presented in the body of this AC. Users should modify the checklists (Appendix A) and the sample supplier documentation matrix (Appendix B) to meet the needs of their specific organization. Additionally, AC 00-56, appendix 1, contains a documentation matrix based on the class of the part being evaluated.
8.1 Acceptance of New Parts Manufactured by FAA-C ertificated Sources. Receiving personnel should ensure that new parts produced by FAA-certificated sources are accompanied by the referenced documents or other information:
8.1.1 Production Certifi cate (PC) Holders. Invoice, packing list, or equivalent documentation (normal shipping documents), stating the part number(s) and corresponding quantities in each shipment.
8.1.2 Supplemental Type Certificate (STC) H older. Normal shipping documents, documentation that identifies the part as an STC part and the production authority under which the part was produced.
8.1.3 Technical Standard Order Authorization (TSOA) Holder. Normal shipping documents, documentation, and/or markings that identify the part as a TSO part.
8.1.4 PMA Holder. Nor mal shipping documentation and/or markings that identify the part as an FAA-PMA part. The part or packaging must be marked “FAA-PMA” (refer to 14 CFR part 45, § 45.15).
8.1.5 Approved Production Inspection System (APIS) Holder. Normal shipping documents, other documentation, and/or data plates that identify the product as being produced under a type certificate (TC) only with an APIS.
8.1.6 Letter of Direct Ship Authority Authorization. E vidence 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.”
8.2 Acceptance of New Parts from Non-F AA-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.
3. A copy of the Certificate of Conformity (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.
8.3 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; JAA Form 1 (prior to 11/28/04); EASA Form 1 (after 11/28/04);
or Transport Canada Authorized Release Certificate – Form One.
3. Air carriers operating under part 121 or 135 return to service maintenance record entry.
4. Part 145 repair station return to service maintenance record entry that the repair station is authorized to perform.
5. Parts/components maintained under part 43 return to service release.
8.4 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;
3. The return to service entry from the certificated entity that performed the original repair or overhaul under part 43; or
4. For “as-is” articles, documentation that describes the current condition of the article and conveys that the part may not meet airworthiness requirements.
8.5 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.
8.6 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 above, receiving inspection personnel should ensure that life-limited and time-controlled parts are accompanied by the following documentation:
8.6.1 Documentation that substantiates the part number, serial number, and current life status of the part (i.e., the accumulated total time or remaining hours, cycles, and/or calendar time, whichever time limit applies to the part; or any usage/storage history, which may result in an adjustment to the remaining life of the part).
Note: Life-limited parts, when sold or transferred, must include the mark, tag, or other record used to comply with § 43.10.
8.6.2 Optional additional documentation that can help to establish history and installation eligibility of the article:
1. AD status;
2. Modification status (i.e., SBs, technical bulletins), if applicable;
3. All major repairs, alterations, and modifications accomplished on the article; and
4. Record of work accomplished during the last maintenance, repair, overhaul, or alteration performed.
9 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, Detecting and Reporting Suspected Unapproved Parts, 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 Report, serves as a standardized means of reporting. Additional information and guidance can be found at the following:
1. SUP Program Office web site at https://www.faa.gov/aircraft/safety/programs/sups.
2. Federal Aviation Administration Office of Audit and Evaluation 800 Independence Avenue, SW Washington, DC 20591 Attn: AAE-300, Room 911
3. FAA Aviation Safety Hotline at 800-255-1111.
4. Questions or comments regarding a SUP-related issue may also be directed to the SUP Program Office via https://www.faa.gov/aircraft/safety/programs/sups.
9.1 SUPs Procedures. Organizations should incorporate SUPs identification, reporting, and disposition procedures into the receiving inspection system. Procedures should also include a system for reviewing inventory and suppliers when SUP reports have been issued by the FAA.
9.2 SUPs Training. Organizations should develop and provide training to employees, appropriate to their duties, on the detection of SUPs and on the organizations’ procedures for identifying, reporting, and dispositioning a SUP.
10 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.
H ugh Thomas for Lawrence Fields Executive Director, Flight Standards Service
Appendix A A-1 APPENDIX A. 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 (AD)?
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 A A-2 APPENDIX A. 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 International Organization for Standardization (ISO) 10012, ISO 17025, American National Standards Institute (ANSI)/National Conference of Standards Laboratories (NCSL) Z540.3, 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 vendors, such as documents required?
3. [ ] [ ] [ ] Procurement system for ordering FAA-approved parts/materials?
Appendix A A-3 APPENDIX A. 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 (C of A)?
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 non-aviation-related uses?
Appendix A A-4 APPENDIX A. 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?
Appendix B B-1 APPENDIX B. SAMPLE AIRCRAFT PARTS AND MATERIALS
DOCUMENTATION MATRIX This is a suggested matrix for making a documentation determination based on the supplier of the part. AC 00-56, Voluntary Industry Distributor Accreditation Program, appendix 1, contains a documentation matrix based on the class of the part being evaluated.
Pa rt Supplier Part Con dition Rotable, Repairable, Expendable (Notes 1, 2, & 3) Standard Part or Material Commercial Part or Material Production Certificate (PC) Holder/Licensee New/Rebuilt PC PC or CS PS Parts Manufacturer Approval (PMA), Technical Standard Order Authorization (TSOA) Holder New/Rebuilt PS CS PS U.S. Air Carrier, Repair Station, Repair Station located outside the United States, Production Approval Holder (PAH), Supplemental Type Certificate (STC)/type certificate (TC) only New/Rebuilt FL or FR CS PS Repaired FR - - Overhauled FL or FR - - Foreign Carrier/ Repair Station located outside the United States, Foreign Mfg.
New/Rebuilt JL or JR CS PS Repaired JR - - Overhauled JL or JR - - Distributor Serviceable PA CS PS “AS IS” PS PS PS Any Source “AS IS” PS PS PS Purpose: To identify the minimum documents that should be provided when receiving parts or materials.
Appendix B B-2 APPENDIX B. SAMPLE AIRCRAFT PARTS AND MATERIALS DOCUMENTATION MATRIX (Continued) KEY PC Shipping ticket, packing slip, invoice, etc., from the PC holder/licensee with the PC number listed.
Include PAH part number and manufacturer’s name.
Optional: Use FL or JL.
FL Federal Aviation Administration (FAA) Form 8130-3 left side signed that lists manufacturer’s name.
FR FAA Form 8130-3 right side signed for return to service. Include approval reference.
XYZ will verify airworthiness and return part to service if form is signed only for work performed.
JL Joint Aviation Authority (JAA) Form 1 (invalid if dated after 11/28/04), European Union Aviation Safety Agency (EASA) Form 1 (valid after 11/28/04), Transport Canada Authorized Release Certificate – Form One, or equivalent form from Bilateral Aviation Safety Agreement (BASA) country with left side signed that lists manufacturer’s name.
JR JAA Form 1 (invalid if dated after 11/28/04), EASA Form 1 (valid after 11/28/04), Transport Canada Authorized Release Certificate – Form One, or equivalent form from BASA country with right side signed for return to service. Include approval reference. Item cannot be accepted without BASA unless the person/organization is authorized by the FAA, and is so indicated on the form. Operator will verify airworthiness and return part to service if form is signed only for work performed.
CS Certification statement on packing slip or attachment that lists manufacturer’s nam e. The statement must indicate the part or material meets the applicable specifications.
Optional: Use Certificate of Conformity (C of C), material certification, FL, or JL.
PS Packing slip that lists manufacturer’s name.
Unmarked PMA/Technical Standard Order (TSO) piece parts require FL, FR, JL, or JR. Parts procured “AS IS” will be treated as UNSERVICEABLE until conformity is accomplished.
PA Packing slip attachments showing traceability through documentation to an approved source listed in Appendix A. Part markings (i.e., part number, mfg. name, PAH stamp, etc.) may be us ed in lieu of paper documentation.
Optional: Use FL, FR, JL, or JR.
NOTES f or Rotable, Repairable, and Expendable Parts or Components:
(1) For life-limited parts, the seller must supply documentation indicating the current status of the part, including items listed in Notes 2 and 3. There must be a sufficient degree of certainty that the parts status is current.
(2) For time-controlled parts, the seller must list hours, cycles, and/or days since last overhaul and the record of work accomplished, with approval references.
(3) Airworthiness Directive (AD) and Service Bulletin (SB) modification status must be provided, if applicable.
Appendix C C-1 APPENDIX C. REGULATIONS, GUIDANCE MATERIAL, AND DEFINITIONS C.1 Related Regulations.
C.1.1 Title 14 of the Code of Federal Regulations (14 CFR) :
• Part 1, Definitions and Abbreviations.
• Part 21, Certification Procedures for Products and Articles.
• Part 43, Maintenance, Preventive Maintenance, Rebuilding, and Alteration.
• Part 45, Identification and Registration Marking.
C.1.2 Title 49 of the Code of Federal Regulations (49 CFR), Transportation.
C.2 Related Guidance Materials (current editions):
C.2.1 Advisory Circulars (AC). Y ou can obtain the following documents from the Federal Aviation Administration (FAA) website at https://www.faa.gov/regulations_policies/advi sory_circulars/.
• AC 00-56, Voluntary Industry Distributor Accreditation Program.
• AC 20-62, Eligibility, Quality, and Identification of Aeronautical Replacement Parts.
• AC 21-29, Detecting and Reporting Suspected Unapproved Parts.
• AC 21-43, Production Under 14 CFR Part 21, Subparts F, G, K, and O.
• AC 21-45, Commercial Parts.
• AC 23-27, Parts and Materials Substitution for Vintage Aircraft.
• AC 43-9, Maintenance Records.
• AC 43-18, Fabrication of Aircraft Parts by Maintenance Personnel.
• AC 45-2, Identification and Registratio n Marking.
• AC 145-5, Repair Station Internal Evaluation Programs.
• AC 145-9, Guide for Developing and Evaluating Repair Station and Quality Control Manuals.
• AC 145-11, Repair Station Guidance for Compliance with the Safety Agreement Between the United States and the European Union.
C.2.2 FAA Orders. FAA e mployees can obtain the following documents from the MyFAA employee website at https://employees.faa.gov/tools_resources/orders_notices and the Dynamic Regulatory System (DRS) at https://drs.faa.gov. Inspectors, operators, and the public can access these documents at https://www.faa.gov/regulations_policies/orders_no tices and DRS.