12/28/16

 

8900.1 CHG 504

VOLUME 2  AIR OPERATOR AND AIR AGENCY CERTIFICATION AND APPLICATION PROCESS

Indicates new/changed information.

CHAPTER 11  CERTIFICATION OF A PART 145 REPAIR STATION

Section 11  Safety Assurance System: Initial, Renewal, or Amendment Certification of an EASA Part‑145 EU-Based AMO Applying for a 14 CFR Part 145 Certificate

2-1355    REPORTING SYSTEM(S). Use Safety Assurance System (SAS) automation and the associated Data Collection Tools (DCT).

2-1356    OBJECTIVE. This section guides International Field Office (IFO) aviation safety inspectors (ASI) on how to certificate a European Aviation Safety Agency (EASA) Approved Maintenance Organization (AMO) that is applying for approval under Title 14 of the Code of Federal Regulations (14 CFR) part 145. ASIs must use this section in conjunction with the Maintenance Annex Guidance (MAG). However, the MAG supersedes this section if conflicts exist between the two documents.

2-1357    BACKGROUND. The United States (U.S.)/European Union (EU) Aviation Safety Agreement (“the Agreement”), effective from June 30, 2008, is between the U.S. and the European Union to cooperate in the regulation of civil aviation safety. The Agreement’s official title is “Agreement Between the United States of America and the European Community on Cooperation in the Regulation of Civil Aviation Safety.” The Agreement contains two annexes. Annex 1 pertains to airworthiness and environmental certification, while Annex 2 pertains to maintenance. This section focuses on Annex 2.

A.    The Agreement. The Agreement allows the Federal Aviation Administration (FAA) and EASA to rely on each other’s surveillance systems, minimize the duplication of efforts, increase efficiency, and conserve resources to the greatest extent possible. The Agreement calls for successful completion of regularly scheduled FAA inspections. The FAA and EASA must agree that repair stations located in the U.S. and EU‑based AMOs meet the conditions of Annex 2.

B.    Annex 2. Annex 2 of the Agreement allows EASA and the FAA to accept each other’s standards, systems, and approvals relating to repair stations located in the U.S. and EU-based AMOs that maintain civil aviation products. Annex 2 also explains how to establish points of communication and cooperation when urgent or unusual situations develop.

C.    MAG. The MAG is the general term for the document whose official title is “Maintenance Annex Guidance Between the Federal Aviation Administration for the United States of America and the European Aviation Safety Agency for the European Union.” The MAG, which is a separate document from the Agreement, explains how to implement the Agreement and its Annex 2.

NOTE:  The MAG is located on the Flight Standards Information Management System (FSIMS).

2-1358    FAA COORDINATOR FOR THE FAA AND THE AVIATION AUTHORITY (AA). The IFO may appoint an ASI as an FAA Coordinator (IFO) for each country listed in Annex 2, appendix 2. The FAA recommends that each AA also appoint a country coordinator, which would help cooperation and communication between the FAA and the AAs. However, any issues that may arise beyond the scope of the FAA or AA country coordinators should be resolved per the MAG.

A.    AA and AMO Responsibilities. The MAG contains additional processes, procedures, and responsibilities.

B.    FAA Responsibilities. For the purpose of this guidance, all FAA Coordinators must have current training and be familiar with the current revision of the MAG. Their primary duty is to provide guidance and assistance to the AAs with regulatory oversight of FAA-certificated repair stations. The duties and responsibilities of these positions include, but are not limited to the following:

1)    The FAA Coordinator (International Field Office Management Branch (AFS-54)). The AFS‑54 Coordinator will:
a)    Serve as the primary liaison with the FAA National Coordinator (Aircraft Maintenance Division (AFS-300)) on matters regarding policy and policy interpretation for FAA-certificated repair stations located outside the U.S.
b)    Be the primary liaison for communication with the FAA National Coordinator (AFS-300), EASA, or any other authority with which the FAA has an Aviation Safety Agreement concerning matters involving terms of the applicable Agreement.
c)    Provide guidance and assistance to FAA coordinators located in the IFOs.
d)    Monitor the activities of FAA Coordinators (IFO) through document reviews and periodic audits to ensure compliance with established standards.
e)    Review Sampling Inspection System (SIS) candidates submitted by the FAA Coordinator (IFO) for risk-based justification, and then provide a list of candidates to the FAA National Coordinator (AFS‑300) for concurrence.
f)    Review the Audit Report 1 (SIS Audit Report of an AA) and request the AA to provide a corrective action plan in a timely manner, but not later than 90 days after the visit. The FAA Coordinator (AFS‑54) shall be informed of the completion of the CAP. Findings and resolutions are to be presented annually during the meeting of the Joint Maintenance Coordination Board (JMCB).
g)    Review guidance associated with FAA management of maintenance agreements based on personal and field input and if applicable, makes change recommendations to FAA National Coordinator (AFS‑300). Develop and maintain a common IFO/FAA Coordinator (AFS-54) SharePoint site for electronic storage of all documents, reports, and data related to the activities that support the management of maintenance agreements. Develop AFS-54 policy and processes to manage the site.
h)    Make suggested recommendations for changes to the MAG/Maintenance Implementation Procedures (MIP) to the FAA National Coordinator (AFS-300).
i)    Participate and/or assist the FAA National Coordinator (AFS-300) as requested in training/workshops to EASA and AAs.
2)    The FAA Coordinator (IFO). The IFO Coordinators should resolve issues with the FAA Coordinator (AFS-54). However, they may elevate issues to the FAA National Coordinator (AFS-300) if deemed necessary. The IFO Coordinators:
a)    Are the primary focal point for communication with AA representatives in countries with which the FAA has an Aviation Safety Agreement, on matters concerning the agreement, or AAs in countries not under an agreement located outside the U.S. Review and update data contained in SAS, Program Tracking and Reporting Subsystem (PTRS), and previous surveillance activity results received from AAs and EASA to identify AA SIS candidates based on risk-based analysis and submit those recommendations to the FAA Coordinator (AFS-54) for review.
b)    Review guidance associated with FAA management of maintenance agreements based on personal and field input and if applicable, make change recommendations to the FAA National Coordinator (AFS‑300) via the FAA Coordinator (AFS-54).
c)    Participate and/or assist the FAA National Coordinator (AFS-300) as requested in training/workshops to EASA and AAs.
d)    Verify consistent IFO application of national guidance in performance of repair station certifications and renewals under a maintenance agreement.
e)    Review Air Agency Certificate renewal dates prior to the transfer of certificates to ensure a minimum of 6 months remaining before the expiration of the certificate. Prior to certificate transfer to the AA, ensure all outstanding findings have a CAP agreed upon by the FAA and the AA.
f)    Maintain repair station files of FAA-certificated air agencies located outside the U.S. and ensure the current safety system is utilized for risk assessment.
g)    Serve as project lead on SIS audits of AAs and FAA-certificated repair stations located outside the U.S.
h)    Serve as primary FAA point of contact (POC) with the AA country coordinator or designated person for communication with regard to the bilateral agreement and associated certificate management issues.
i)    Maintain liaison with AAs joining the agreement to ensure the certificate transfer process is conducted per the MAG.
j)    Assist on AA and EASA standardization inspections as determined by management.
k)    Monitor renewal package discrepancies from AAs/AMOs.

NOTE:  If an issue or concern cannot be resolved between the FAA principal inspector (PI) and the AA representative, it should be raised to the next management level for resolution. Issues or concerns of a policy nature should be addressed to the FAA Coordinator (AFS-54) and FAA National Coordinator (AFS-300).

2-1359    CERTIFICATION PROCESS—GENERAL INFORMATION.

A.    General. An AMO that is approved under EASA Part-145 and is located in a country listed in Annex 2, appendix 2 can apply for a part 145 certificate. The MAG describes the certification procedures. The ASI can review the applicable references in Volume 2, Chapter 11, Sections 1 through 5 for the certification process.

B.    Fees.

1)    The IFO will notify the AMO, in writing, of the fee for processing the part 145 certificate. Advisory Circular (AC) 187-1, Flight Standards Service Schedule of Charges Outside the U.S., establishes these fees. The AMO will send this fee in accordance with the IFO’s prescribed procedures.
2)    The IFO will issue a certificate and operations specification (OpSpec) only after it receives payment of the prescribed fee. The IFO may grant additional time for the payment of fees.
3)    Fees under the Agreement are normally limited to administrative fees. Refer to AC 187-1 for applicable fees. Sampling inspections of repair stations or AAs is not a category of fees in 14 CFR part 187.

C.    Unimpeded Access. For the purposes of surveillance and inspections, the FAA and EASA (and AAs) will help each other gain unimpeded access to repairs stations/AMOs subject to their jurisdiction. It is incumbent upon the repair station/AMO to provide unimpeded access to the EASA and FAA to all work areas having civil aviation application. The repair station/AMO should ensure that, where possible, there is clear delineation between work areas with civil and military applications within the repair station/AMO.

D.    Line Stations. EASA uses the term “line stations,” while the FAA uses the term “line maintenance authorization” in relation to part 145. This is to advise the ASI that these terms are synonymous when applied under the terms of the Agreement. The FAA certificate shall only cover additional line stations which are under the surveillance of an AA identified in the Agreement, Annex 2, appendix 2, except those located in U.S. territory.

2-1360    PREREQUISITES AND COORDINATION REQUIREMENTS.

A.    Prerequisites:

·    Knowledge of 14 CFR parts 43 and 145 requirements.

·    Completion of the Airworthiness Inspector Indoctrination course(s), or equivalent.

·    Previous experience with certification or surveillance of part 145 repair stations.

·    Completion of FAA training course 21058, Certification and Surveillance of Part 145 Stations, or equivalent.

·    Completion of Web-based training course 27100066, Understanding the U.S./EU Aviation Safety Agreement.

·    Knowledge of the MAG requirements.

·    Completion of Introduction to Safety Assurance System, (27100190).

·    Completion of Data Collection Tool Fundamentals for SAS (27100214).

·    Completion of SAS for Inspectors and Field Office Management, (21000102).

B.    Coordination. This task may require coordination with:

·    The applicant AMO.

·    The AA of the country in which the AMO is located.

·    The appropriate FAA coordinator.

·    AFS-300.

·    The FAA Coordinator (AFS-54).

2-1361    REFERENCES, FORMS, AND JOB AIDS.

A.    References (current editions):

·    Title 14 CFR Parts 43 and 145.

·    AC 145-10, Repair Station Training Program.

·    AC 145-11, Repair Station Guidance for Compliance with the Safety Agreement between the United States and the European Union.

·    AC 187-1, Flight Standards Service Schedule of Charges Outside the United States.

·    Agreement Between the United States of America and the European Community on Cooperation in the Regulation of Civil Aviation Safety (the Agreement).

·    Maintenance Annex Guidance Between the Federal Aviation Administration for the United States of America and the European Aviation Safety Agency for the European Union (the MAG).

·    FAA Order 8130.2, Airworthiness Certification of Products and Articles.

·    FAA Order 8130.21, Procedures for Completion and Use of the Authorized Release Certificate, FAA Form 8130-3, Airworthiness Approval Tag.

·    Volume 2, Chapter 11, Sections 1, 2, 3, 4, 5, and 7.

·    Volume 10, Safety Assurance System Policy and Procedures.

B.    Forms:

·    FAA Form 8000-4, Air Agency Certificate.

·    FAA Form 8000-4-1, Repair Station Operations Specifications.

·    FAA Form 8130-3, Authorized Release Certificate, Airworthiness Approval Tag.

·    FAA Form 8310-3, Application for Repair Station Certificate and/or Rating.

·    FAA Form 8400-6, Preapplication Statement of Intent.

·    EASA Form 1, Authorised Release Certificate.

·    EASA Form 3, Maintenance Organisation Approval Certificate (located at https://www.easa.europa.eu/easa-and-you/aircraft-products/continuing-airworthiness-organisations/foreign-part-145-organisations-in-us).

·    FAA Annex to Audit Report 2: AA Recommendation of an FAA-certificated AMO (located in the MAG).

C.    Job Aids. The MAG includes job aids as appendices.

2-1362    INITIAL CERTIFICATION PROCESS. The FAA, AA, and AMO will accomplish initial certification in accordance with this section in conjunction with the MAG, section C.

A.    Application Package.

1)    Once the ASI receives the AMO’s application package, he or she will ensure that it is complete per the MAG, section C.
a)    If the ASI finds the documentation supporting an AMO’s initial application satisfactory, he or she will then process the application per the MAG, section C.
b)    Notify the Transportation Security Administration (TSA).
c)    Update SAS Configuration Module 1 Vitals Information.
d)    If the ASI finds the documentation supporting an AMO’s initial application unsatisfactory, he or she will prepare a letter or email (through the office manager to the AA) indicating the deficiencies. The AA, in turn, will notify the AMO of the FAA’s findings. The AMO must correct all deficiencies within 60 days of the FAA’s notification to the AA for the application process to continue. If the application process is terminated, the ASI must close out all certification files and complete the SAS automation to terminate the certification.
2)    When the ASI completes the review of the application package, he or she will sign FAA Form 8310-3, block 10.
3)    The ASI will:

·    Obtain the Repair Station Designator Number,

·    Complete FAA Form 8000-4,

·    Issue FAA automated repair station OpSpecs, and

·    Notify the TSA.

NOTE:  The OpSpec must include the appropriate AA certificate number.

4)    The ASI will complete FAA Form 8000-4, paying particular attention to the following:
a)    Indicate the AMO’s FAA ratings. The ASI should ensure that the appropriate FAA rating applies to the certificate by using the cross-reference charts in the MAG, section A.
b)    The ASI must adjust the part 145 certificate’s expiration date to coincide with the AA‑recommended schedule, which the AA should note on the appropriate surveillance form. However, the date that the ASI inserts after “shall continue in effect” should not be more than 12 months from the original (initial) certificate issue date.
c)    For the Air Agency Certificate of an AMO, the ASI should cross out the language at the bottom of the form that states, “Any alteration of this…or both.”
d)    The ASI should provide an annual list to the AA of each AMO that is due for renewal during the next fiscal year. (The ASI should determine the format and timeframe to submit this list.) This advanced notification will allow an AA to schedule its surveillance and resources to accommodate the renewal process.

NOTE:  The IFO must recognize that Annex 2 requires close cooperation and coordination between the AA and the IFO. Therefore, the FAA should make every attempt to provide AAs with adequate information to enable them to utilize and schedule its resources in an efficient manner.

B.    FAA Repair Station OpSpecs.

1)    The ASI should select paragraph b in OpSpec A001, which reads, “The repair station specified on these operations specifications and located within the EU performs maintenance and/or alteration of aircraft and/or aeronautical products to be installed on U.S.-registered aircraft under the terms and conditions of the U.S./EU Safety Agreement, Annex 2, Maintenance, between the FAA and the EU.”
2)    The FAA will only recognize an AMO’s line station when it is under the direct surveillance of an AA of those countries listed in Annex 2, appendix 2. The AA responsible for the EASA Part-145 certificate is also responsible for receiving the appropriate surveillance form (i.e., Audit Report 2: AA Recommendation of an FAA-certificated AMO) from any other authority performing the surveillance of the line station. There must still be a requirement for a perceived need for the OpSpec D107 locations. Ensure documentation is obtained from the AA. Communicate with the U.S. Air Carrier’s CHDO to ensure there are no concerns or objections before issuing D107.

EXAMPLE: ABC AMO, which is based in the United Kingdom, has a line maintenance authorization for Paris, France, and Frankfurt, Germany, which are in countries that are a part of the Agreement. However, they also have a line station located in Athens, Greece. Since Greece is not included in the Agreement (although it is an EU Member State), an AA from a country that is part of the Agreement, such as the United Kingdom, Germany, or France’s AA, must oversee this line maintenance authorization. The rationale is that the FAA has assessed only the countries listed in the Agreement.

NOTE:  Line stations that were authorized by the FAA prior to the “entry into force date” of the Agreement and do not hold the equivalent EASA authorizations need to be surveilled by the FAA. Coordination with the air carrier’s certificate-holding district office (CHDO) or the IFOs should be accomplished. Bilateral Oversight Board (BOB) decision 3 directs the FAA to convert OpSpecs for AMOs that currently have equivalent geographic authorizations (B050) located in EU member states to line maintenance authorizations (D107).

NOTE:  Line station locations that do not hold equivalent authorizations, or are not surveilled by the AA under the Agreement, should be listed as geographic authorizations (B050). Any additional line station authorizations must follow the latest MAG.

3)    FAA issuance of a specialized services rating requires approved specifications. The IFO and the applicable Aircraft Certification Office (ACO) may coordinate the AMO’s specification for approval. The ASI will record the FAA-approved process specifications on the AMO’s OpSpecs.
4)    For OpSpecs that reference a Capabilities List, use the autofill statement. The list should not be used for entire aircraft make and models.
5)    The ASI will forward the original certificate and two original OpSpecs to the AMO. The AMO will sign both original OpSpecs and return one to the IFO. The ASI will then provide the AA with a copy of the certificate and the AMO-signed OpSpec.

C.    Prepare the Certification Report. The ASI will prepare and file the following documents in the IFO’s official file:

·    A completed FAA Form 8310-3 (ensure blocks 6, 7, 8, and 9 are completed approving the functions to be contracted out);

·    A copy of the completed Audit Report 2 (refer to the MAG, section A) for the AMO and for each additional fixed location and/or line station;

·    If applicable, a list of the additional fixed locations in which the AMO intends on utilizing its FAA certificate privileges;

·    A list of line station authorizations, as applicable;

·    The AMO’s letter certifying that it has trained its employees in the transportation of dangerous goods in accordance with International Civil Aviation Organization (ICAO) standards, if applicable; and

·    A copy of the AMO’s EASA Part-145 certificate and scope of work (EASA Form 3).

NOTE:  The AA is required to retain one current copy of the FAA supplement as well as the document that shows an evidence of need for a part 145 certificate (written in English). The AA will make these two items available to the FAA on request.

D.    Task Outcomes. Complete the appropriate SAS Custom Data Collection Tool (C DCT) as required:

1)    Document any Audit Report 2 findings by the AA.
2)    File the completed the Audit Report 2 (refer to the MAG, section A).
3)    Document the initial inspection date in the SAS Configuration Module 1 Vitals Information.

2-1363    ADDITIONAL FIXED LOCATIONS UNDER ONE FAA CERTIFICATE WHEN LOCATED IN AN EU MEMBER STATE LISTED IN THE AGREEMENT.

A.    Requirements of Additional Fixed Locations. The AMO must hold a valid AA certification issued under EASA Part-145 and be in compliance with the most current EASA Part-145. The FAA may issue the AMO a certificate that covers additional fixed locations within a country listed in the Agreement if those additional locations are part of the EASA Part-145 certificate. The AMO must list the additional fixed locations in its maintenance organization exposition (MOE). The FAA will issue an OpSpec page that identifies each location covered under the FAA certificate. Refer to the MAG, section C, for additional guidance.

EXAMPLE: ABC AMO’s main base is located in France. ABC may have additional fixed locations in France, Germany, and the United Kingdom, all operating under the FAA certificate held in France. Each country is a part of the Agreement. However, ABC also has an additional fixed location in Russia, which is not part of the European Union. Thus, the fixed location in Russia does not meet the Agreement’s requirements.

B.    New Fixed Locations Being Planned by the AMO. If applicable, an AMO that intends to add a new additional fixed location under its FAA certificate must complete FAA Form 8310-3 for each new location and include them in its renewal package. The application should include the address of each location and, as an attachment, the telephone and fax numbers, email address (if available), and the AA office with oversight responsibility.

C.    Audit Report 2. The AA must provide the FAA with a completed Audit Report 2 form for each additional fixed location.

2-1364    CERTIFICATE RENEWAL PROCESS.

A.    Effectivity of a Renewal Certificate. An initial certification can only be issued for 12 months. Certificate renewals are issued for 24 months per Annex 2.

B.    Renewal Requirements Under the MAG. AMOs located in an EU Member State may request a renewal of an existing part 145 certification by using the procedures in the MAG, section C. When an AA follows the terms and conditions of Annex 2, the ASI must accept the surveillance and recommendations for renewal of a part 145 certificate. (Refer to the MAG, section C.) The FAA should ask the AA if additional OpSpecs are necessary (e.g., line maintenance authorization, additional facilities locations, electronic signatures, or work away from station).

NOTE:  For renewal, only one Audit Report 2 form is required to cover all facilities under one approval certificate.

C.    Findings and Corrective Actions. The ASI must review all documents in the renewal application package to verify they are complete and acceptable. The ASI will also verify that there are no outstanding issues involving corrective actions by reviewing the AA’s findings in the recommendations section of the surveillance form (or Audit Report 2 form). The FAA will follow the corrective action policy as follows:

1)    Annex 2 allows the FAA to recognize the AA’s corrective action without additional FAA action. The AA must provide the FAA with a recommendation on the appropriate surveillance form indicating any of the findings/discrepancies listed below.
2)    When the AMO has corrected the findings/discrepancies, or when the AA accepts a plan for corrective action, the AA must attach the plan for corrective action to the appropriate surveillance form when submitted to the FAA. The following are reportable issues that should be described on the AA surveillance form:

·    Serious failure to comply with national regulations and requirements (or EASA Part-145),

·    Overall failure to comply with FAA special conditions identified in the MAG and Annex 2,

·    Failure to use FAA- or EASA-approved data in accordance with the reciprocal acceptance of repair data agreement (refer to Order 8130.2), and/or

·    Failure of the AMO to maintain a working quality control (QC) system (or EASA-approved quality monitoring system) or internal self-audit system.

3)    When the AA finds significant safety issues using the criteria above, it should provide the FAA with a nonrecommendation if the AMO has not taken corrective action and if the AA has not accepted a plan for corrective action.
4)    The FAA will renew an AMO’s certificate only after corrective action has taken place or the AA has submitted an approved CAP with the appropriate surveillance form. The FAA may issue an extension while corrective action is taking place. In such cases, the extension should be issued only with the AA’s agreement.
5)    Once the AMO has completed all corrective actions to the satisfaction of both the FAA and the AA, the FAA should renew the certificate for the remaining 24 months from its original renewal date in order to maintain the renewal schedule.
6)    If the ASI finds the documentation supporting an AMO’s renewal application unsatisfactory, he or she will prepare a letter or email (through the office manager to the AA) indicating the deficiencies and document in the Action Item Tracking Tool, AITT. The AA, in turn, will notify the AMO of the FAA’s findings. The AMO must correct all deficiencies within 60 days of the FAA’s notification to the AA for the application process to continue. If the application process is terminated, the ASI must close out all certification files and complete the SAS Configuration Module to terminate the certification process.

D.    Preparing the Certificate and OpSpec. The ASI should complete this process in the same manner as the initial certification process with one exception. The renewal date should reflect the renewal date recommended by the AA. This allows the AA to program its surveillance to meet the renewal requirements.

E.    Task Outcomes. Complete the appropriate SAS C DCT as required:

1)    Document any Audit Report 2 findings by the AA.
2)    File the completed Audit Report 2 (refer to the MAG, section A).
3)    Document the initial inspection date in the SAS Configuration Module 1 Vitals Information.

2-1365    CERTIFICATE AMENDMENT PROCESS. Refer to the MAG, section C, for requirements and procedures.

A.    FAA Responsibilities.

1)    Based on the AA’s recommendation, the ASI will determine if the AMO meets all the requirements for the amendment. Once the ASI has determined this, he or she will complete FAA Form 8310-3 and issue the AMO a revised part 145 certificate and a revised OpSpec. For any additional ratings, date the ratings in parentheses on FAA Form 8000-4 using the format MM/DD/YYYY. The ASI will include the following items in the AMO’s certification file:

·    A completed FAA Form 8310-3;

·    A copy of FAA Form 8000-4;

·    A copy of the AMO’s OpSpecs (must include OpSpec A060);

·    The appropriate AA surveillance form, including FAA special conditions, the Audit Report 2 form, or the FAA/AA accepted equivalent;

·    A copy of the AMO’s amended certificate and limitations document (or EASA Form 3 and amended approval schedule);

·    Receipt of fees paid; and

·    Documentation, with AA recommendation.

2)    The ASI will forward to the AMO the original certificate and two original OpSpecs. The AMO will sign one of the original OpSpecs and return it to the FAA. The FAA will then provide the AA with a copy of the certificate and the AMO-signed OpSpec as soon as possible.

B.    Task Outcomes. Complete the appropriate SAS C DCT as required:

1)    Document any Audit Report 2 findings by the AA.
2)    File the completed the Audit Report 2 (refer to the MAG, section A).
3)    Document the initial inspection date in the SAS Configuration Module 1 Vitals Information.

RESERVED. Paragraphs 2-1366 through 2-1370.