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U.S. DEPARTMENT OF TRANSPORTATION

FEDERAL AVIATION ADMINISTRATION

 

ORDER

8000.85C

 

National Policy

Effective Date:

7/6/17

SUBJ:

FAA Program for the Establishment of a MIP Under the Provisions of a BASA

1.    Purpose. This order sets forth the Federal Aviation Administration (FAA) program for the establishment of Maintenance Implementation Procedures (MIP) under the provisions of a Bilateral Aviation Safety Agreement (BASA). This order provides FAA personnel and aviation authorities (AA) information on the procedures and requirements for developing a MIP.

2.    Audience. The primary audience for this order is Flight Standards Service (AFS) divisions and branches, and aviation safety inspectors (ASI). The secondary audience includes AAs located in foreign countries establishing MIP provisions.

3.    Where You Can Find This Order. You can find this order on the FAA website at http://www.faa.gov/regulations_policies/orders_notices.

4.    What This Order Cancels. Order 8000.85B, FAA Program for the Establishment of a MIP Under the Provisions of a BASA, dated March 11, 2013, is canceled.

5.    Background.

a.    Foreign Repair Station Certification. The FAA certificates repair stations located outside the United States that operate under the provisions of Title 14 of the Code of Federal Regulations (14 CFR) part 145. The certification of foreign repair stations responds to the need to perform maintenance, alteration, or modification of aeronautical products subject to U.S. airworthiness regulations in foreign countries. Maintaining aircraft and components outside the United States has continued to expand with the corresponding increase in international air travel and rise in the number of foreign-manufactured aeronautical products used by U.S. operators.

b.    AA Programs. Foreign countries have also experienced an increase in the use of U.S. facilities to perform maintenance, alteration, or modification of aeronautical products subject to foreign national requirements. AAs in countries where certificated maintenance facilities are located have also developed their own extensive inspection, surveillance, evaluation, and certification programs. The AAs have developed these programs to ensure that repair facilities accomplish maintenance, preventive maintenance, and modification/alteration of aeronautical products subject to their airworthiness regulations according to specific national standards.

c.    Conforming to FAA and AA Standards. In the absence of a BASA and corresponding MIP, a repair facility in a foreign country that performs work on aeronautical products subject to the airworthiness regulations of that country and on aeronautical products subject to the airworthiness regulations of the United States may be required to be inspected, surveilled, and evaluated by the FAA and the AA. Therefore, the repair facility must conform to two sets of standards–the FAA’s and the AA’s. A repair station located in the United States that performs work on aeronautical products subject to U.S. and foreign airworthiness regulations may also be required to conform to two or more sets of standards.

d.    MIP Conclusion.

(1)    The conclusion of a MIP provides for either:
(a)    The reciprocal acceptance of FAA recommendations for certification, renewal, amending, and documentation of surveillance when the AA issues certificates to U.S.-based repair stations; or
(b)    FAA acceptance of AA recommendations for certification, renewal, amending, and documentation of surveillance when the FAA issues certificates to foreign-based repair stations under part 145, § 145.53(b).
(2)    Either case results in increased efficiency by reducing or eliminating duplicate surveillance, evaluation, and inspection of repair facilities conducted by the FAA and the AA. The FAA and the AA achieve program goals when they reduce or eliminate duplicate activities while maintaining equivalent levels of safety.

e.    Evaluation. The FAA and the AA base MIPs on an evaluation of part 145 and foreign national regulations governing repair stations or Approved Maintenance Organizations (AMO). This evaluation is designed to determine the areas where these regulations and requirements harmonize and identify areas where they differ. The evaluation also determines the FAA’s and the AA’s ability to carry out surveillance on each other’s behalf.

6.    Definitions. The following definitions apply:

a.    Alteration or Modification. A change to the construction, configuration, performance, environmental characteristics, or operating limitations of the affected civil aeronautical product.

Note:  The above definition is consistent with wording in current MIPs. Additional descriptions of alteration/modification/environmental characteristics may be considered.

(1)    Alteration. A change, using technical data that has been approved by the FAA or the AA, to the construction, configuration, performance, environmental characteristics, or operating limitations of the affected civil aeronautical product.
(2)    Modification. A change, using technical data that is being presented to the FAA Administrator or the AA for approval, to the construction, configuration, performance, environmental characteristics, or operating limitations of the affected civil aeronautical product.

b.    Approved Maintenance Organizations (AMO). A maintenance organization certificated by the AA.

c.    Aviation Authorities (AA). The aviation regulatory authority of a foreign country or body. The term “AA” refers to the authority of a contracting State that has responsibility for the establishment, implementation, and oversight responsibilities of aviation regulations within their country.

d.    Bilateral Aviation Safety Agreement (BASA). A BASA is an executive agreement that provides for technical cooperation between the U.S. Government and a foreign government. A BASA authorizes the development of implementation procedures (IP) between the FAA and a foreign AA to facilitate the reciprocal acceptance of each authority’s aviation system in technical areas that may include:

    Airworthiness approvals of civil aeronautical products. Refer to Advisory Circular (AC) 21-23, Airworthiness Certification of Civil Aircraft, Engines, Propellers, and Related Products Imported to the United States.

    Environmental approvals and environmental testing.

    Approval and monitoring of maintenance facilities and alterations or modifications facilities.

    Approval and monitoring of maintenance personnel.

    Approval and monitoring of crews.

    Approval and monitoring of flight operations.

    Approval and monitoring of aviation training establishments.

Note:  These agreements are replacing Bilateral Airworthiness Agreements (BAA).

e.    Civil Aeronautical Product. Any civil aircraft, aircraft engine, propeller, subassembly, appliance, material, part, or component to be installed thereon.

f.    Compliance With Part 145. Pursuant to § 145.53(b), the FAA may issue a repair station certificate to an applicant located in a country with which the United States has a BASA, and the FAA finds that the repair station meets the requirements of part 145 based on a certification from the AA of that country. The Maintenance Agreement Guidance (MAG) provides additional procedures to support the MIP.

g.    Compliance With AA Requirements and Guidance. Accordingly, a part 145 repair station located within the United States, when in compliance with part 145 and meeting the requirements of the AA Special Conditions, may apply for an AA Aviation Maintenance Organization certificate under the provisions of a MIP.

h.    Data Approved by the FAA. Data approved by the Administrator or the Administrator’s designated representative.

i.    Data Approved by the AA. Data approved by the AA or an organization/person approved by the AA for that purpose.

j.    Geographic Authorization. An approval provided to an airframe-rated repair station located outside the United States to perform maintenance support under contract for a U.S. air carrier, or operator of U.S.-registered aircraft under 14 CFR part 129. It allows the repair station to perform line maintenance at a location outside of the geographic boundary of the country where the repair station’s main facility is located. A geographic authorization is issued by the FAA to respond to the need of a U.S. air carrier or part 129 operator for maintenance at a station where the frequency and scope of that maintenance does not warrant permanently staffing and equipping the station for its accomplishment.

k.    AA Procedures. AA application of regulations and procedures in its national systems, rules, practices, and policies.

l.    AA Regulations and Guidance. A uniform set of regulations issued by the AA. They are interpreted and implemented by the AA policy guidance in the form of written administrative and guidance material.

m.  Maintenance Agreement Guidance (MAG). The procedural document authorized by the MIP that sets forth the Special Conditions requirements to be met by repair stations and AMOs, and explains the procedures applicable to the FAA and the AA regarding recommendations for certification, renewal, and acceptance of eligible repair stations and AMOs.

Note:  The term Maintenance Annex Guidance (MAG) applies only to the agreement with the European Aviation Safety Agency (EASA). The term Maintenance Guidance (MaG) applies only to the agreement entered with Switzerland. Maintenance Agreement Guidance (MAG) relates to agreements entered with all other AAs. For the purposes of this order, the terms are synonymous.

n.    Main Base. The primary location of a repair station that includes the facilities where all aspects of maintenance under its rating can be performed and records are maintained.

o.    Maintenance. The performance of inspection, overhaul, repair, preservation, and replacement of parts, materials, appliances, or components of a civil aeronautical product to ensure the continued airworthiness of that product, excluding alterations or modifications.

p.    Maintenance Implementation Procedures (MIP) or Other Negotiated Term. The procedural document authorized by the BASA executive agreement related to the performance of maintenance, alterations, and modifications on civil aeronautical products. This document defines the process for reciprocal acceptance of each authority’s recommendations for certification, renewal, and acceptance of eligible repair stations and maintenance organizations.

q.    Overhaul. A process that ensures the aeronautical article is in complete conformity with the applicable service tolerances specified in the type certificate (TC) holder’s or equipment manufacturer’s instructions for continued airworthiness (ICA), or in conformity with the data approved or accepted by the AA. No person may describe an article as being overhauled unless it has been at least disassembled, cleaned, inspected, repaired as necessary, reassembled, and tested in accordance with the above specified data.

r.    Perceived Need. In accordance with § 145.51(c)(1), an applicant located outside of the United States must show the necessity for a certificate and rating. The applicant must have a current or future operational or economic need (a perceived need) for the maintenance, preventive maintenance, or alteration of aeronautical articles subject to the FAA’s regulatory oversight. The applicant can express this perceived need by including a statement from an operator of a U.S.-registered aircraft; foreign-registered aircraft operated under the provisions of 14 CFR part 121 or 135; a company that maintains or alters articles to be installed on these aircraft indicating that the repair station’s services are required; or documentation from a leasing company or a supplier/distributor showing that the applicant’s services are necessary, provided the applicant can confirm in writing that the leasing company or supplier/distributor is doing business with operators of U.S.-registered aircraft.

Note:  The AA may have their own requirements for a perceived need and this must be discussed during the development of the MIP.

s.    Required Inspection Items (RII). The items of maintenance and alterations that must be inspected by a person other than the one who performed the work, to include at least those items that could result in a failure, malfunction, or defect endangering the safe operation of the aircraft if not performed properly or if improper parts or materials are used.

t.    MIP Special Conditions. Conditions in a MIP that specify the requirements in 14 CFR parts 43 and 145 that the FAA has determined are not in AA requirements (FAA Special Conditions) and the AA requirements that an AA has determined are not in part 145 (AA Special Conditions).

u.    Title 14 of the Code of Federal Regulations (14 CFR). The codified Federal laws and regulations that are in effect as of the date of the publication pertaining to aeronautics, air transportation/aviation, and space exploration, including areas overseen by the FAA and the National Aeronautics and Space Administration (NASA).

v.    Unapproved Part. A part that does not meet the requirements of an “approved part” as specified in AC 21-29, Detecting and Reporting Suspected Unapproved Parts.

w.   Repair Station Manual (RSM), Quality Control Manual (QCM)/Section and Training Program. This manual explains the inspection system and internal procedures of a part 145 repair station. It describes how the repair station will comply with the quality control (QC) and overall operational requirements contained in part 145, as well as how the repair station will train its employees and monitor its employees’ training requirements.

7.    References (current editions).

a.    ACs:

(1)    AC 20-62, Eligibility, Quality, and Identification of Aeronautical Replacement Parts.
(2)    AC 21-2 Complying with the Requirements of Importing Countries or Jurisdictions When Exporting U.S. Products, Articles, or Parts.
(3)    AC 21-23, Airworthiness Certification of Civil Aircraft, Engines, Propellers, and Related Products Imported to the United States.
(4)    AC 145-9, Guide for Developing and Evaluating Repair Station and Quality Control Manuals.
(5)    AC 145-10, Repair Station Training Program.
(6)    AC 187-1, Flight Standards Service Schedule of Charges Outside the United States.

b.    Order. Order 8900.1, Flight Standards Information Management System (FSIMS).

c.    Title 14 CFR Parts:

(1)    Part 43, Maintenance, Preventive Maintenance, Rebuilding, and Alteration.
(2)    Part 145, Repair Stations.

d.    Other. FAA Certificated Repair Stations website (Directory), located at https://www.faa.gov/aircraft/repair/.

8.    Applicability. This order applies to FAA personnel involved in the development of a MIP with an AA under the terms of a BASA. This order also allows for the development of a MIP while a BASA is being formally pursued by the requesting country. However, it should be noted that a MIP may not be concluded without a signed BASA in place. Adherence to the procedures in this order is necessary for uniform administration of this directive material. Any deviations from this guidance material must be coordinated with, and approved by, the Aircraft Maintenance Division (AFS-300). Any such approvals will be communicated in writing to the appropriate entity.

Note:  The development of a MIP between the FAA and an AA requires a long-term commitment of considerable resources by both authorities. Past experience has demonstrated that it may take 3 to 5 years for completion of an agreement. An AA wishing to undertake such an initiative should have a viable aircraft maintenance surveillance and certification program, including competent personnel capable of finding compliance with national aircraft maintenance standards, practices, and procedures. The FAA prioritizes requests for a MIP based on the FAA’s strategic goals and the results of a capability assessment of the AA. The AA may develop its own process of evaluating the FAA’s ability to comply with the AA’s needs and requirements for concluding a MIP.

9.    Description of MIPs. A MIP is a technical implementation agreement between the FAA and the executive agent of another country or body under the provisions of the BASA, which pertain to maintenance, alterations, and modifications of aeronautical products.

a.    Equivalent Regulations. If a country’s aviation regulations for issuing certificates to facilities for the maintenance and alteration of aeronautical products and the general operating rules for holders of those certificates are harmonized with the requirements of 14 CFR, then compliance with AA regulations satisfies compliance with the intent of the requirements of parts 43 and 145.

b.    Special Conditions. In those instances where the regulations are not equivalent, the MIP will include Special Conditions that address those requirements of an authority that may not be addressed in the other authority’s regulations. In this case, compliance with the regulations of one authority and any Special Conditions contained in the MIP will be equivalent to compliance with the other authority’s regulations.

c.    Regulatory Changes. Greater harmonization of regulations can reduce the number of Special Conditions. Changes to either authority’s regulations after entry into the MIP could result in changes to Special Conditions in the MIP. Both authorities must coordinate any regulatory changes applicable to the MIP.

d.    Recommendations. Once a MIP is concluded, the authorities will be able to recommend:

(1)    Issuance of initial certification of repair stations;
(2)    Renewal of a repair station certificate with all of its current ratings;
(3)    Amendment to a repair station certificate; or
(4)    Denial of the renewal of a repair station certificate.

e.    Repair Facilities in the Partner Country. Under the terms of the MIP, FAA part 145 repair stations located in the MIP partner country performing maintenance on products under the regulatory authority of the FAA are certificated by the FAA, but are surveilled, evaluated, and inspected by the AA. The FAA, however, retains the right to participate in these actions and, if necessary, to suspend or revoke its certification of the repair facility. The FAA also retains the authority to inspect an FAA part 145 repair station and its contractors at any time.

f.    Approved Maintenance Organizations (AMO). Under the terms of the MIP, repair facilities located in the United States performing maintenance on products under the regulatory authority of another country are certificated, approved, or accepted by that AA, but are surveilled, evaluated, and inspected by the FAA. The AA, however, retains the right to participate in these actions and, if necessary, to suspend or revoke its certification, approval, or acceptance of the repair facility. The AA also retains the authority to inspect an AA-certificated repair facility and its contractors at any time.

g.    MIP Contents. A MIP includes the following (see Appendix I, Template MIP, for a sample MIP):

(1)    The terms and conditions by which the results of the signatories’ surveillance, evaluation, and inspections will be accepted by each signatory.
(2)    An indication that the MIP is drafted in accordance with a BASA and pursuant to a mutual assessment of the signatory AAs.
(3)    Procedures for initiating, terminating, and amending the MIP.
(4)    The designation of a specific individual as the responsible party within the executive agencies implementing the agreement.
(5)    A specific dispute resolution procedure.
(6)    Definitions of terms critical to the MIP.
(7)    The specific requirements for a signatory to certificate or approve a repair facility located in the other signatory country.
(8)    Procedures by which each signatory may audit the surveillance, evaluations, and inspections conducted by the other signatory.
(9)    The specification that the signatories retain the right to initiate enforcement action against any repair facility that it certificates in the other signatory country.
(10)   Any Special Conditions which ensure that the surveillance, evaluation, and inspections conducted by one signatory ensure compliance with requirements equivalent to those in parts 43 and 145 (for actions taken by the AA) and the AA’s equivalent of parts 43 and 145 (for FAA actions).
(11)   Requirements guaranteeing that the signatories will provide mutual assistance in implementing the provisions of the agreement. This assistance will include: technical evaluation assistance; exchanging of information pertaining to each country’s regulations and policies, guidance, practices, interpretations, and amendments to the regulations; exchanging of findings of regulatory noncompliance and information critical to flight safety; and assistance in investigations or enforcement actions.

h.    Additional Information. Additional information required for implementation and compliance with the MIP is included in guidance materials, such as Order 8900.1.

10.    Selection of AAs for Potential MIP.

a.    Written Request. AAs seeking to conclude a MIP with the FAA should submit a written request to the Director of Flight Standards Service (AFS-1), 800 Independence Ave SW, Washington, D.C. 20591. The Formal Request Job Aid (see Appendix A, Formal Request—Aviation Authority (AA) Requesting a MIP) should accompany the request.

b.    Priority List. AFS-300 maintains a priority list of AAs under consideration for a MIP. FAA priorities are based on strategic goals, priorities, resource requirements, and perceived need. A cost–benefit analysis should be another factor of consideration due to the increased workload of surveillance functions for AA Special Conditions.

c.    Regional Aviation Organization and Coordinating Groups. Participation in a regional aviation organization or coordinating group should be looked upon by the AA seeking to enter into a MIP with the United States as an important (though not mandatory) step in securing an agreement. Harmonizing the standards, regulations, and policies among a group of similarly situated countries greatly simplifies the FAA’s task of determining the level of similarity between the aviation regulations of a group of AAs seeking MIPs and compliance with 14 CFR. The adoption of common regulations facilitates the ability of the FAA and the AA to agree on the basis of a MIP because the parties can conduct one regulatory comparison that applies to all members. The FAA can, therefore, concentrate its evaluation efforts on determining the ability of each AA to certificate and surveil maintenance organizations to a standardized set of regulations.

11.    Responsibilities of FAA Offices.

a.    Office of the Director of Flight Standards Service (AFS-1). AFS-1 provides the approval to initiate and proceed with the phases of the MIP development process.

b.    Office of International Affairs (API-1). API-1 leads the FAA’s international programs for the harmonization of global standards, technical assistance, training, and infrastructure planning. API-1 is the signature authority for a MAG.

c.    Aircraft Maintenance Division (AFS-300). AFS-300 maintains a prioritized list of countries under consideration for a MIP and is the policy owning division of the MIP. Prepares required documentation throughout the development process, reports, maintains the initial records from the applicants, maintains an official file for all correspondence and applicable documents referenced in this order, coordinates with the AA, develops the policy for the MIP and MAG, establishes a project plan and associated timelines, assigns the MIP Team Lead for all required evaluations, defines FAA Special Conditions, and is the responsible branch for managing the MIP.

d.    International Programs and Policy Division (AFS-50). AFS-50 facilitates coordination and communication with the Associate Administrator for Aviation Safety (AVS-1) for a MIP. AFS-50 conducts a review of the initial MIP request, coordinates recommendation memos to proceed with the development process, secures funding, notifies U.S. Congress, coordinates draft versions of the MIP, and coordinates the signing of the MIP. Upon implementation, conducts outreach and training to stakeholders.

e.    FAA Coordinator, International Field Office Management Branch (AFS-54). AFS-54 serves as the primary point of contact (POC) between the International Field Office (IFO) and the overseeing AA with whom the FAA has entered into the MIP. AFS-54 reviews Sampling Inspection System (SIS) data for the mitigation of identified risks and issues associated with part 145 certificate holders located outside of the United States. The primary duty is to provide guidance and assistance to the IFOs and the ASIs, implementation training, certification, and oversight of repair stations located outside the United States under a MIP.

f.    FAA Technical Coordinator (AFS-300). The Technical Coordinator serves as the primary POC between the certificate-holding district office (CHDO) and the overseeing AA with whom the FAA has entered into the MIP for the mitigation of identified risks and issues of U.S.-based part 145 certificate holders. The primary duty is to provide guidance and assistance to the CHDO and the ASIs with regulatory interpretation, certification, implementation training, renewals and oversight of part 145 repair stations located in the United States under a MIP.

g.    The International Law and Legal Policy Branch (AGC-International Law Division). AGC‑International Law develops the agency’s position on international aviation law issues; serves as liaison for the FAA on international aviation legal matters with international organizations, foreign countries, other government agencies, and industry; and provides legal policy guidance on all matters related to international aviation. For FAA assessments of foreign AAs, AGC-International Law is responsible for the review of a foreign authority’s primary aviation legislation, rules and regulatory structure, and compliance and enforcement program. As a member of the FAA MIP Team, AGC-International Law participates in the assessment of an AA, provides legal review of the regulatory comparison, assists in the negotiation and development of the BASA, MIP, and MAG, and serves as liaison with the AA’s legal staff.

12.    MIP Schedule of Events. Figure 1, MIP Schedule of Events, contains the process for concluding and documenting the development of a MIP.

Note:  Throughout the process, in the event that the FAA and the AA teams cannot agree to mutually acceptable terms and conditions, the FAA team will refer to AFS-1 to either continue or terminate the process.

Note:  If the country does not have a BASA signed, the team may continue, provided the country initiates the process.

Figure 1.  MIP Schedule of Events

PHASE 1—AA System Familiarization

Total Time

Formal Request (Complete the following within 30 days)--------------GATE 0 »»

30 Calendar-Days

AFS-1 received AA Formal Request to pursue a MIP

 

AFS-1 provides copy of Formal Request to AFS-50, AFS-300, AGC-International Law, and API

 

API reviews IASA program status and U.S. policy concerns

 

AFS-50 reviews IASA program and provides copy of IASA Category and status to AFS-300

 

AFS-300 conducts Formal Request review (Appendix A)

 

AFS-300 reviews BASA for implementation procedures with maintenance provisions

 

AFS-340 updates MIP priority listing to include estimated cost

 

Country on hold until confirmation from AFS-1 directing AFS-50 and AFS-300 to start the MIP

 

 

 

Start of Formal Negotiations

AFS-1 Decision to Start MIP (Complete within 30 days)---------------GATE 1 »»

START of MIP

AFS-1 forwards the memorandum to start a MIP to AFS-50, AFS-300, AGC‑International Law, and API

 

AFS-300 discusses available resources with AFS-50, AFS-54, AFS-340, and AGC‑International Law

 

AFS-50 prepares written correspondence to notify Congress of formal negotiations

 

AFS-300 forms a MIP Team

 

AFS-300 kickoff meeting--------(Review MIP Team current workload and reassign work, if required)

 

MIP Team reviews FAA Order 8000.85 and drafts action pland drafts action plan

 

 

 

Formal Negotiations (Complete within 60 days)-------------------------GATE 2 »»

90 Calendar-Days

AFS-300 and MIP Team start Formal Negotiation kickoff meeting with AA. MIP Team provides the AA with Order 8000.85 and requirements to complete job aid

 

AA provides FAA with any requirements for conducting an FAA assessment

 

 

 

Document Submission (Complete within 90 days)-----------------------GATE 3 »»

180 Calendar-Days

AA submits completed job aid to MIP Team

 

AA submits supporting documents, regulations, etc.

 

FAA submits assessment to the AA and any supporting documents, orders, or ACs

 

 

 

Document Evaluation (Complete within 90 days)------------------------GATE 4 »»

9 Months

MIP Team conducts document evaluation of job aid

 

MIP Team develops action plan (projected timelines, resources, etc.)

 

MIP Team drafts Decision Memorandum to AFS-1

 

Decision memo coordinated to AFS-1

 

AFS-1 decision memo decision (proceed/disapproval) to Phase 2

 

 

 

PHASE 2—AA System Evaluation

Capability Assessment (Complete within 3 months)--------------------GATE 1 »»

12 Months

MIP Team completes capability assessment of Aviation Authority

 

MIP Team prepares AA Capability Assessment Memorandum

 

MIP Team provides AA with assessment letter and identified items

 

AA completes FAA assessment requirements

 

 

 

Regulatory Comparison (Complete within 6 months)-------------------GATE 2 »»

18 Months

MIP Team conducts regulatory comparison

 

AA legal and AGC-International Law review comparison

 

 

 

Joint Assessment (Complete within 3 months)----------------------------GATE 3 »»

21 Months

MIP Team conducts joint assessment of repair stations

 

AA conduct joint assessment within the United States

 

MIP Team and AA discussions and resolution of differences

 

MIP Team develops AA System Evaluation Report

 

AGC-International Law reviews System Evaluation Report for concurrence

 

AFS-300 reviews the report and authorizes the MIP Team to proceed to Phase 3

 

MIP Team provides AFS-50 a copy of the report

 

 

 

PHASE 3—Development of the MIP

Development of MIP (Complete within 6 months)

27 Months

AFS-50 provides AFS-300 with the formal BASA progress report (verify BASA progress)

 

MIP Team and AA discuss Special Conditions

 

MIP Team prepares Special Conditions

 

MIP Team and AA discuss differences

 

MIP Team and AA draft the MIP

 

MIP Team will identify any required guidance material (Order 8900.1, ACs, informational memos, etc.)

 

MIP Team and AA discuss the development of the MAG

 

MIP Team and AA discuss the development of training and implementation requirements

 

 

 

PHASE 4—Coordination Process

Formal Coordination (Complete within 6 months)

33 Months

MIP Team holds preliminary coordination meeting with AFS-50, AFS-300 management, AGC-International Law, and API

 

AA conducts formal review of draft MIP

 

MIP Team resolution of any issues with AA

 

MIP Team provides AFS-50, AFS-300, AGC-International Law, AIR-400, and API draft MIP for formal review

 

MIP Team prepares MIP for formal coordination

 

MIP Team will ensure BASA is complete and contains implementation procedures for maintenance

 

 

 

FAA and AA sign the MIP

MIP Signed at 33 Months

API notifies U.S. State Department the MIP is completed

 

 

 

PHASE 5—Implementation

MAG Development (Completed within 12 months)---------------------GATE 1 »»

45 Months

MIP Team and AA develop the MAG

 

MIP Team provides formal review of MAG to AFS-50, AFS-54, AFS-300, AGC‑International Law, AIR-400, API-1, and affected IFO

 

MIP Team develops training and or briefing presentations

 

MAG is signed by API-1, or by a delegated person with written delegated authority from API-1

 

 

 

Training/Briefing Development (Completed within 3 months)-------GATE 2 »»

48 Months

MIP Team and AA deliver training/briefings

 

 

 

Turnover of Surveillance (Completed within 12 Months)--------------GATE 3 »»

60 Months

FAA and AA turnover surveillance responsibilities

 

13.    Phase 1—AA System Familiarization.

Note:  Normally the first country inquiry with the FAA regarding opening MIP discussions is made with AFS-1 or AFS-300 informally to discuss the methods, procedures, and purpose of developing a MIP. If the country elects to pursue a MIP, AFS-1 or AFS-300 will advise the country of the method to submit a Formal Request to AFS-1, who will forward the request to AFS‑300 and AFS-50 for internal FAA coordination.

a.    Formal Request Review. The Formal Request submitted to AFS-1 will be reviewed by AFS-300 for completeness and system impacts. AFS-1 will be briefed on the outcome of the review.

(1)    AFS-1 provides a copy of the Formal Request to AFS-50, the Office of International Aviation (API), AGC-International Law, and AFS-300.
(2)    API reviews the International Aviation Safety Assessment (IASA) Program status and U.S. policy concerns.
(3)    AFS-300 will conduct a cursory review of AA regulations, BASA, and initial answers to the job aid (see Appendix A) to determine the required resources to support a MIP. AFS-300 will discuss the request and available resources with AFS-50.
(4)    AFS-300 will document the AA Formal Request on the MIP priority list for consideration based on the initial letter and job aid (see Appendix A).

b.    AFS-50 Review. AFS-50 will coordinate with the appropriate desk officer in API and the Office of Chief Counsel (AGC-International Law) of the request. AFS-50, in coordination with API, will discuss the IASA program status of the AA to confirm they hold an IASA Category 1. AFS and API will also consult and determine if there are any U.S. policy concerns that would affect the FAA’s ability to enter into an agreement with the requesting AA.

c.    MIP Priority. The status of the Formal Request is placed on hold on the MIP priority list. Based on prioritization and available resources, AFS-1, AFS-50, and AFS-300 will discuss the necessary resources and recommend to AFS-1 a country from the priority list that would be advantageous to the U.S. Government. Based on prioritization and available resources, AFS-50 and AFS-300 must agree to pursue starting a MIP with a particular country.

d.    Start of Formal Negotiations. Formal negotiations may start once written confirmation of the selected country is obtained from AFS-1 (see Appendix C, Sample Selection of MIP Country Memorandum).

(1)    After receiving AFS-1 approval to pursue a MIP, AFS-50 should prepare the Congressional letters for the Administrator’s signature within 30 calendar-days of the approval.
(2)    The Administrator shall notify the U.S. Senate Committee on Commerce, Science, and Transportation and the House of Representatives Committee on Transportation and Infrastructure no later than 30 calendar-days after initiating formal negotiations with AAs or other appropriate foreign government agencies on a new maintenance safety or maintenance implementation agreement.

e.    MIP Team. AFS-300 will form a MIP Team within 30 calendar-days from notification of the selected country. The team may include representatives (or designees) from AFS-50, AFS-54, AFS-300, AGC‑International Law, the Technical Coordinator, and FAA IFO Coordinator, as necessary. The MIP Team Lead must be trained (level 3), qualified, and must have at least 5 years’ experience in the certification and surveillance of part 145 repair stations. AIR may be added to the team for the technical review of the MIP and MAG, as necessary. API may assist in the MIP and MAG coordination process. Team members participating in the joint assessment of repair stations and AMOs must have completed level 3 training in certification and surveillance activities of part 145 repair stations. Team composition is designed to provide a standardized approach to the development of a MIP. With the approval of AFS-300, the team composition detailed above may differ depending on the complexity of the assignment. The team is responsible for implementing the process below to determine whether it would be feasible to enter into a MIP with the AA. AFS-300 is responsible for assembling the team at an appropriate location to brief the team on the content of this order, stressing the importance of treating each country in a standard manner. AFS-300 will advise the team of the sensitivity relating to assessments. The briefing will also provide the team with the FAA philosophy on using a system approach when assessing the AA, as well as a description of the FAA international goals.

Note:  At no point in the process should a team member express personal views or indicate to the AA that they are ready for a MIP. Only AFS management can make decisions about the progress of each phase in the MIP process.

f.    Formal Negotiation Meeting. If there are no policies or concerns precluding the pursuit of a MIP with the requesting AA, the team, with AFS-300 management, will host the first formal negotiation meeting with the AA and provide a copy of this order. The appropriate assessment job aid and sample documents can be found in the appendices of this order.

g.    Document Submission. The AA should complete and submit its portions of the assessment job aid (see Appendix B, Assessment Job Aid—FAA Auditor’s Assessment Checklist of Aviation Authority (AA) Requesting a BASA/MIP), as well as a copy of their applicable regulations, ACs, acceptable means of compliance (AMC), AA internal procedures for certification, surveillance, training, etc., in the English language to the designated team lead within 90 calendar-days of receipt of the assessment job aid. However, the FAA recognizes the difficulties associated with language differences and the time needed for translation to the English language. Since additional time may be needed, the 90-day time period is a recommendation.

Note:  The AA may conduct an assessment of the FAA and will also identify regulatory differences, which will become AA Special Conditions.

h.    Document Evaluation. The team will evaluate the completed assessment job aid and copies of AA regulations and procedures to determine whether there is sufficient compatibility between FAA and AA systems to progress with the MIP process. Depending on the complexity of the AA response to the assessment job aid and regulations, the team should complete the preliminary review within 90 calendar-days of receipt of the submitted material by the AA.

Note:  If after 120 calendar-days the AA has not provided the FAA with their assessment job aid and regulations, AFS-300 will notify the AA in writing that negotiations may be suspended if progress is not made within a negotiated time frame. The FAA recognizes that language barriers and resource availability can affect the time needed by an AA. A request for a time extension is in the best interest of all concerned, when necessary.

Note:  The AA may have an assessment questionnaire for the FAA to file out for familiarization. AFS-50, with assistance from AFS-300 and AGC-International Law, will coordinate its completion, as necessary.

i.    Action Plan. If the team determines there is sufficient compatibility, it will prepare a detailed action plan, including projected timelines, budget requirements, and availability of personnel. The plan may require some prior contact with AA contacts/team, as applicable.

j.    Decision Memorandum. The team will prepare a decision memorandum (see Appendix D, Sample Decision Memorandum) from AFS-300 to AFS-1 summarizing the action plan, costs, timelines, and a request for concurrence on whether to proceed to Phase 2. The memorandum and action plan will be prepared for signature by the team lead, coordinated with AFS-50, AFS-54, and AFS-300 for concurrence. The memorandum will be submitted to AFS-1 for a written decision. The affected labor unions should be notified early in the development process, as the MIP will affect its membership’s workload.

Note:  The estimated cost for the development of the MIP should also include the implementation cost. The estimate should be for AFS travel cost for employees associated with the development and implementation of the MIP, turnover of surveillance responsibilities, MAG development, and travel cost associated with training/briefing the AA and repair stations. This should include, at a minimum, AFS-50, AFS-300, AGC-International Law, and CHDO/IFO managers and applicable principal inspectors (PI).

Note:  The FAA and the AA are expected to cover their own travel costs and available resources during the MIP development and implementation.

k.    Decision to Proceed. If AFS-1 decides to proceed, the team will proceed to Phase 2. If AFS-1 decides not to proceed, the team will prepare a letter from AFS-1 to the AA stating the reasons and recommendations for possible future MIP cooperation. AFS-50 notifies the API and prepares a notification letter to the AA.

l.    Proceeding Without a BASA. If AFS-1 decides to proceed with an AA whose government has not concluded a BASA which includes maintenance provisions with the United States, the FAA will advise the AA to contact the API Assistant Administrator (API-1) and formally initiate the diplomatic process to negotiate a BASA in accordance with this order.

Note:  In certain situations, an assessment of an AA may begin without final conclusion of a BASA; however, the MIP may not be signed until the BASA is concluded.

14.    Phase 2—AA System Evaluation.

a.    AA System Evaluation. If the FAA determines that a MIP with the AA is feasible based on the preliminary review in Phase 1, the FAA and the AA will enter into Phase 2—AA System Evaluation. The FAA team must consider this MIP process as a system approach. The AA system may not be identical to the FAA system; however, the AA system should meet the objectives and surveillance goals of the FAA. The AA System Evaluation phase permits the FAA to do the following:

(1)    Observe and document the AA’s evaluation procedures and assess the AA’s regulatory basis for certificating and surveilling a repair station;
(2)    Conduct an in-depth comparison of FAA/AA regulations and procedures;
(3)    Gain a working knowledge of the practical application of regulations and procedures by the AA and repair stations under its authority; and
(4)    Confirm differences that could result in Special Conditions.

b.    Capability Assessment of AA. The FAA team, consisting of members from AFS-300, AGC‑International Law, and AFS-50, will use the completed AA assessment job aid (see Appendix B), and other documentation submitted by the AA to perform an in-country capability assessment. The purpose of the in‑country capability assessment is to confirm the AA’s responses to the assessment job aid and to ensure the AA is fully capable of conducting oversight on behalf of the FAA. The visit should take place in the AA’s HQ, and may include visits to regional and field offices, as applicable. At the conclusion of the visit, the team leader will submit a capability assessment letter (see Appendix F, Sample Capability Assessment Letter to AA) to the AA POC, identifying the results of the assessment and any issues that need to be resolved under the team leader’s signature.

Note:  Countries the FAA has a long-standing maintenance relationship with may have a combined capability assessment. This would allow combining the capability assessment of the AA with the joint assessment of repair stations into one in-country visit. AFS-300 will make the decision to conduct a combined capability assessment based on historical working relationships with the organization and/or countries involved. If combining these two assessments, the regulatory comparison must be accomplished prior to the in-country visit.

c.    Capability Assessment Memorandum. The team leader will prepare a capability assessment memorandum (see Appendix E, Sample Capability Assessment Memorandum), based on the assessment of the job aid completed by the team, and any other associated documentation provided by the AA. The memorandum will identify any areas of concern that need to be addressed by the AA. The memo will be submitted to AFS-300 for review and concurrence. Once AFS-300 has concurred with the assessment memo, a copy will be forwarded to AFS-50 to be placed in the country file.

d.    Regulatory Comparison.

(1)    The FAA team, including AGC-International Law, will conduct a comparison of parts 43 and 145 (as applicable) and relevant FAA procedures and guidance with the AA’s regulations, policy, and guidance. The team will complete three columns of the comparison matrix, indicating FAA requirements, AA requirements, and potential differences. The fourth column of the matrix is reserved for the joint assessment of repair stations (Appendix G, Sample Regulatory Comparison Matrix, includes a sample matrix). The matrix will note any differences between the regulations, and how they should be applied.

Note:  The team leader may request AFS-50 to provide contractor services to develop the regulatory comparison. Regulations that are forecasted to become effective during the regulatory comparison should be discussed during the comparison.

(2)    Simple differences in wording should not automatically be considered substantive differences in standards or regulations. If the intent of the respective regulations is equivalent and compliance with the local regulation would result in compliance with the corresponding section of 14 CFR, the comparison should state that no substantive differences exist. Differences from compliance with the procedures specified in part 145 should, however, be specifically noted. The team should consider, but not give excessive weight, to guidance material. AFS-300 will make the final determination of equivalency or differences between regulations. Differences could include the following:
(a)    The use of approved replacement parts.
(b)    The use of approved data for major repairs and major alterations.
(c)    Contracting of certain maintenance functions to another repair facility.
(d)    Certification of foreign manufacturers’ maintenance facilities as repair stations.
(e)    Compliance with the recordkeeping requirements of part 43, §§ 43.5, 43.9, and 43.11; and 14 CFR part 91, §§ 91.411 and 91.413.
(f)    Compliance with the required inspection function specified in § 145.205.
(g)    Compliance with change of address requirements specified in § 145.51.
(h)    Possession of equipment and materials appropriate to a repair station’s rating.
(i)    Differences between ratings issued by the FAA and the AA.
(j)    Additional personnel qualifications.
(k)    Incoming inspection system, hidden damage inspection.
(l)    English language capability requirements for certain personnel, as specified in §§ 145.151, 145.153, 145.155, and 145.157.
(m)    Reporting of serious defects or unairworthy conditions to the FAA, per § 145.221.
(n)    The use of FAA Form 337, Major Repair and Alteration (Airframe, Powerplant, Propeller, or Appliance), and the completion of FAA Form 8130-3, Authorized Release Certificate, Airworthiness Approval Tag, in English.
(o)    Training requirements.
(p)    Hazardous materials (hazmat) training requirements.
(q)    Quality system requirements.
(r)    Work away authorization, additional fixed location, and line maintenance.
(s)    Perceived need requirements.

Note:  The AA regulatory differences will require additional FAA surveillance to satisfy the AA Special Conditions. These must be identified and reported to AFS-300 as such. After the regulatory comparison is completed, if the number of differences are greater than 15, AFS-300 will decide if continuing the MIP would be in the best interest of the FAA. Normally, the joint assessment will provide enough information to reduce or minimize the differences by observing the practical application of the rules, as well as accepting each other’s policies and procedures. The AA is entitled to refer the differences to their appropriate management to reach a decision to proceed or not. The intent of a MIP is to recognize as much of each other’s system as possible. A large amount of differences defeats the purpose of the agreement. Administrative differences should not be considered as Special Conditions, but may be addressed in other areas of the agreement, such as the MAG.

e.    Joint Assessment of Repair Stations and AMOs.

Note:  Countries or regional organizations that the FAA has had a long-standing working relationship with may have limited joint assessment inspections. The MIP development team will make the decision to conduct joint assessment inspections based on historical working relationships with the organization and/or countries involved. For example, the FAA and EASA and its predecessor, the Joint Aviation Authority (JAA), have had a long-standing involvement in each other’s quality systems. Joint assessment of repair stations and/or AMOs were deemed not necessary.

(1)    The focus of the joint assessment is not directed specifically at the repair stations and/or AMOs, but rather observing and documenting the AA’s surveillance process and procedures, noting the techniques and practices used in normal surveillance. The team will work with the AA to identify a representative assessment of repair stations and/or AMOs. The assessments will include FAA and non-FAA part 145 repair stations and/or AMOs. The repair stations and/or AMOs should vary in size, complexity, and ratings. The number of repair stations and/or AMOs in the assessment group should be based on the number of FAA part 145 repair stations and/or AMOs and the amount and type of aeronautical maintenance activity. If the AA uses a rolling surveillance system, each repair station and/or AMO in the assessment should be in a different phase of the surveillance system. The AA should involve the individual AA inspectors responsible for the surveillance of each identified repair station and/or AMO during the joint assessment. This will ensure a broad overview of the AA surveillance process, procedures, and standardization. AAs with many regions and/or repair stations and/or AMOs spread over a large geographical area may require an extended visit or more than one visit.
(2)    The FAA team should request the AA to contact the repair stations and/or AMOs to establish an itinerary for the joint visits within a specified timeframe. The FAA team, consisting of AFS-54, AFS-300, and any additional members, as needed, from the applicable IFO, along with the AA, will visit the agreed upon repair stations and/or AMOs to observe AA oversight in various areas. The team will utilize the 4th column of the Regulatory Comparison Matrix in Appendix G. The team should complete the 4th column of the matrix, thereby confirming or eliminating previously identified differences, or adding additional differences identified during the visit. The FAA team will complete the 4th column of the Regulatory Comparison Matrix (see Appendix G) to finalize the identification of differences and route to AGC-International Law.

f.    Discussion.

(1)    Resolution or Confirmation of Differences. Following the joint assessments, the FAA team will hold discussions with the AA to resolve or confirm differences identified. The team should avoid applying personal interpretations to the evaluations.

Note:  Resolution of differences between 14 CFR and the AA’s regulations before the drafting of a MIP facilitates the adoption of the agreement and simplifies the drafting of any Special Conditions to the MIP. Review the AA assessment of the FAA and include the impact of the AA’s Special Conditions in the report. These will be additional requirements the FAA will have to conduct within the United States on behalf of the AA.

(2)    AA System Evaluation Report. The team analyzes the results of the capability assessment, the regulatory comparison, and the joint assessment (including a list of assessed repair stations visited). Any issues identified in the Capability Assessment Memorandum (see Appendix E) should be resolved by this point. Once the AA has demonstrated the requisite capability to conduct oversight on behalf of the FAA, the team will submit an AA System Evaluation Report (see Appendix H, Sample AA System Evaluation Report) to AFS-300. The report should be routed to AGC-International Law and AFS-50 for concurrence prior to submitting to AFS-300. The report should include the following:
(a)    An indication of whether the AA has demonstrated the requisite capability to issue certification recommendations and conduct surveillance on behalf of the FAA.
(b)    An analysis of the AA’s regulatory system and highlight areas in AA regulations, standards, practices, and procedures that may result in Special Conditions.
(c)    Identify areas of existing inspector guidance material that might need to be modified to accommodate a MIP with the AA.
(d)    Identify basic surveillance procedures, documentation, and reporting requirements that would be required of the AA under a MIP.

Note:  The team may take into consideration information and knowledge about the practices of an AA with which the FAA has a close, long-term working relationship.

(3)    Concurrence with the Report. Once AFS-300 reviews and concurs with the report, a copy must be provided to AFS-50. AFS-50 will file the report in the appropriate country or organization file and retain the report in accordance with FAA policy.
(4)    Proceeding to Phase 3. Once AFS-300 concurs with the final AA System Evaluation Report, the FAA team will proceed to Phase 3—Development of a MIP.

Note:  If the team combined the capability assessment with the Joint Assessment into one in-country visit, the final AA System Evaluation Report can be combined into one report.

15.    Phase 3—Development of a MIP.

Note:  In the absence of a BASA, the team should ensure that adequate progress toward the conclusion of a BASA is being made before initiating formal MIP discussions with the AA. AFS‑50 should provide AFS-300 with a formal BASA progress report. AFS-1 will make any final decision to suspend or delay continued discussions on the MIP if the BASA progress has not met expectations.

a.    Scope of a MIP.

(1)    The FAA team and the AA will discuss the technical provisions that will form the basis for the development of the MIP. Using the MIP template (see Appendix I), the team will discuss the following technical areas with the AA:
(a)    Chapter I—General;
(b)    Chapter II—Reciprocal Acceptance of Findings of Compliance;
(c)    Chapter III—Mutual Cooperation and Technical Assistance;
(d)    Chapter IV—Transfer Provisions, Continued Confidence, and Fees;
(e)    Chapter V—Authority; and
(f)    Appendix 1—Special Conditions.
(2)    In order to maintain a standard process, follow the template language to the greatest extent possible. All other chapters of the MIP contain standard, approved language and are not open for negotiation at the team level. However, any potential deviations should be noted, discussed with AFS-300 management, and coordinated, as appropriate.
(3)    If necessary, the FAA team and the AA may discuss and recommend the addition of definitions that are not included in the MIP template to address terminology that is unique to the AA’s system.
(4)    The Special Conditions can be included as an appendix to the MIP for ease of future revisions.

b.    Preparation of Special Conditions. The FAA team will meet with AA representatives to discuss their respective regulatory comparisons. The FAA and the AA should agree to any FAA or AA Special Conditions to be included in the MIP. The MIP will state that the FAA and the AA are responsible for their respective surveillance of the Special Conditions. Special Conditions may concern, but are not limited to, one or more of the following:

(1)    Approval for return to service procedures.
(2)    Compliance statement regarding approved data.
(3)    Defect reporting.
(4)    Enforcement.
(5)    Facility requirements.
(6)    Inspection procedures and access.
(7)    Investigation procedures.
(8)    Language requirements.
(9)    Manual requirements.
(10)  Major/minor repairs/alterations and/or modifications documentation.
(11)  Personnel requirements.
(a)    Training program requirements.
(b)    Training program approval.
(c)    Qualification of management personnel.
(12)  Procedures for contracting/subcontracting work.
(13)  QC and monitoring.
(a)    QCM.
(b)    Internal Evaluation Program (IEP).
(14)  Records to document the acceptability of parts.
(15)  Records and recordkeeping.
(16)  Repair facility certification.
(17)  Repair facility requirements.
(18)  Rating system.
(19)  Capability list.
(20)  Suspected unapproved parts (SUP) program.

Note:  The AA Special Conditions must also be included in the MIP and discussed for the impact to the FAA field offices.

c.    Issues for Discussion with AA. The FAA team and AA representatives must address how the procedures set forth in the MIP and the MAG will be implemented, and resolve the impact of any significant considerations. Considerations that must be resolved prior to implementation of the MIP include the following:

(1)    Implementation of the Agreement. The FAA and the AA will perform all duties necessary to ensure compliance with the provisions of the MIP. These actions will include the certification of repair facilities and AMOs, FAA and AA recommendations under the provisions of the agreement, a program for maintaining confidence in each other’s system, surveillance of selected repair facilities and AMOs, and the enforcement of respective laws and regulations within the scope of the MIP. AFS-300 must develop an implementation plan which outlines and tracks the turnover responsibilities of surveillance, training, briefings, and impact on FAA personnel.
(2)    Publication of Guidance. AFS-300 will develop appropriate guidance material explaining the privileges and limitations placed upon repair facilities, as set forth in each agreement, as well as any Special Conditions that may apply to work performed under the agreement. AFS-300 will also issue guidance material to FAA personnel specifying how to comply with the terms of the MIP (e.g., Order 8900.1 and the MAG, as applicable).
(3)    Development of the MAG. Once the Special Conditions are near finalization, the MAG will be developed to describe the procedures for the implementation of the MIP. The MAG is divided into the following four sections:
(a)    Section A—Authority interaction. This section supports the MIP and includes interactions between the FAA and the AA.
(b)    Section B—Requirements for AA approval for AMOs located in the United States. This section includes procedures and surveillance requirements for the AA Special Conditions.
(c)    Section C—Requirements for 14 CFR part 145 repair stations located in the AA’s country. This section includes procedures and surveillance requirements for the FAA Special Conditions.
(d)    Section D—Temporary revisions to the MAG.
(4)    Accident/Incident Investigation Assistance. Maintenance records for an aeronautical product that was repaired by a facility approved under a BASA and MIP could be an important factor in an accident/incident investigation. The FAA has determined that the MIP must include provisions for the expeditious transfer of information between the FAA and an AA that may be relevant to an accident/incident between the FAA and an AA.
(5)    Surveillance and Enforcement.
(a)    The FAA retains its authority to enforce U.S. laws and regulations governing part 145 repair stations located in a country with which the United States has concluded a BASA and MIP. The suspension, revocation, or surrender of a maintenance organization’s certificate affects the respective FAA and AA surveillance and certificate management duties under the MIP. The FAA and the AA must agree, subject to applicable laws and regulations, to provide mutual cooperation and assistance in any investigation or enforcement proceeding of any alleged or suspected violation of any law or regulation under the scope of the MIP. The FAA and the AA will inform each other if either determines that a repair station or an AMO is not in compliance with the terms of the MIP. Each authority will immediately inform the other of any enforcement action it takes against a violation of its respective law or regulation. The FAA retains its authority to suspend, revoke, or accept the surrender of a repair station’s certificate, or to take any enforcement action against a part 145 repair station that the FAA deems appropriate.
(b)    All MIPs must include provisions for the FAA and the AA to surveil any repair facility that is certificated, approved, or accepted under the terms of a MIP. The MIP allows the FAA and the AA to use its own enforcement resources and to enlist each other’s support to ensure compliance with all applicable regulatory requirements.
(6)    FAA and AA Surveillance Reporting Requirements. The FAA and the AA should discuss and agree to the reporting requirements and forms to be used by each authority during the conduct of required surveillance. These documents should contain any Special Conditions identified by the FAA and/or the AA, as well as any other specific procedural requirements for initial certification and ongoing surveillance. The FAA and the AA should agree to the frequency of the submission of these documents.
(7)    Language Requirements. The language in which maintenance records are retained is an important element in any maintenance agreement. The FAA will specify those records that are required to be retained in English, to include those portions of the repair station’s manual that are currently required by 14 CFR. The repair station’s maintenance manuals do not need to be in English. The release and approval for return to service documents should meet the requirements of §§ 43.9 and 43.11 and describe the work performed in English; however, work cards are not required to be retained in English. A MIP and any Special Conditions should include provisions that require supervisory personnel to read, write, and understand English. Details of which records must be in English will be included in the MIP and Special Conditions. Normally, a MIP would have a generic statement that requires any record required by the owner/operator of a U.S.-registered aircraft to be in English.
(8)    Training. The FAA and the AA should discuss and agree to conduct training/briefings for the FAA and the AA inspector workforce. Both parties should develop a plan including timeframes (training should be completed prior to the turnover process), curriculum, and MIP procedures. Initial training/briefings should occur prior to the commencement of the turnover process referred to in the template MIP.

Note:  In the event that the FAA and the AA teams cannot agree to mutually acceptable terms and conditions, the FAA team will refer the issues to AFS-1.

16.    Phase 4—Coordination Process. Once a satisfactory draft of the MIP has been developed by the FAA team and the AA, the draft must be coordinated with the responsible parties. The MAG, training, and implementation plan should be in final preparation.

a.    Preliminary Coordination Meeting. AFS-300 will request AFS-50 to schedule a preliminary coordination meeting with AGC-International Law, the appropriate API desk officer, and any other organizations, as necessary, to discuss the draft MIP. The team should highlight any deviations from the standard text for review by AGC-International Law and API. The AFS-300 team will disposition all comments from the review.

b.    Resolution of Any Issues with AA. The AA should conduct its own internal review of the draft MIP. Any issues regarding the draft shall be resolved through discussions between the FAA and the AA.

c.    Formal Coordination. When the FAA team and the representatives of the AA have agreed to the terms of the draft MIP, each authority will forward the document through its respective internal review process. For the FAA, AFS-50 will forward the document for final clearance. Offices typically included on the clearance record include:

    AFS-1,

    The Director of the Office of Environment and Energy (AEE-1),

    API-1,

    AGC-International Law,

    AFS-50,

    The International Affairs Branch (AFS-51),

    AFS-54,

    The Technical Information and Communications Branch (AFS-140);

    AFS-300,

    The Director of the Aircraft Certification Service (AIR-1),

    The Delegation and Airworthiness Programs Branch (AIR-140),

    The Aircraft Certification Service International Branch (AIR-400), and

    Relevant AFS field offices.

(1)    API must notify the U.S. Department of State (DOS) at the beginning of formal negotiations and at formal coordination. API maintains the original signed MIP.

Note:  The DOS has determined that implementing procedures are binding, technical-level arrangements which do not require DOS review, unless there are issues relating to binding commitments under statutes.

(2)    AIR-400 ensures the signed MIP is posted to the FAA external website (http://www.faa.gov/aircraft/air_cert/international/bilateral_agreements/baa_basa_listing/).

d.    Signing of the MIP. If approved by the FAA and the AA, the FAA and the AA representatives will sign the final document. API-1 holds a standing delegated signature authority for international agreements from the FAA Administrator. API may further delegate this authority to other FAA officials, as necessary. These organizations will serve as the executive agencies for the implementation of the MIP under the BASA. In many cases, the MIP must be translated into our bilateral partner’s native language before it can be signed. If this occurs, the AA is responsible for the translation. However, the FAA must verify that the translation is accurate. AFS-50 will inform API of the AA’s requirement. API will coordinate the verification of the translation with the DOS. Since the verifications can be time consuming, the team should allow ample time for their completion. Both the English and the translated versions must be signed.

Note:  API-1 holds signature authority for international agreements. This includes both MIPs and MAGs. API may delegate this to other FAA officials, as necessary. This is done through an official delegation of signature authority memorandum, which must be coordinated in advance.

17.    Phase 5—Implementation. The MAG, training/briefings, and guidance must be fully developed to support the implementation of the agreement.

a.    MAG Finalization. The MIP Team may conduct additional discussions with the AA to ensure the MAG contains the necessary procedures and implementation requirements.

b.    MAG Formal Review. Once the MAG is finalized, the MIP Team will coordinate a formal review with AFS-50, AFS-54, AFS-300, AGC-International Law, AIR-400, API-1, and the affected IFO.

c.    MAG Signing. API-1 holds the authority to sign the MAG. API-1 and the appropriate AA representative will sign the MAG. API-1 may delegate the signing of the MAG to AFS-1. The delegation from API-1 to AFS-1 must be in a written format and archived properly. API retains a copy of the signed MAG.

d.    Training. The FAA and the AA must receive training/briefings prior to assuming responsibilities of surveillance and certification duties under the MIP. Depending on the MIP special conditions, a basic course may satisfy the MIP, but further training may need to be developed based on the MAG procedures. The FAA and the AA must prepare, document, and train/brief each other on their respective MAG requirements and must provide training/briefings to the industry (repair stations/AMOs) under the MIP. The following training programs are suggested:

(1)    Training sessions in each country to industry.
(a)    The FAA should host MAG training/briefings for the AA and industry outside the United States.
(b)    The AA should host the MAG training/briefings within the United States. Training must cover the affected AA offices, regions, inspectors, and industry.
(2)    The AA must train their inspectors/surveyors for the turnover process and the MAG conditions for conducting FAA surveillance and certification recommendations.
(3)    Industry is to be briefed on the MIP and MAG procedures. Initial training/briefing on the FAA Special Conditions and MAG requirements should be documented in the repair station for its employees.
(4)    Training/briefings regarding MAG revisions, lessons learned, and procedural changes should be conducted every 2 years by the FAA and the AA.

e.    Turnover Process. Once the MIP and MAG have been signed, AFS-300 and the IFO having geographic responsibility for the MIP will schedule a meeting with the AA to discuss the implementation of the turnover process, as described in Order 8900.1, Volume 12, Chapter 9, or as included in the MIP. It must be noted that the turnover process may not begin until the MIP is signed by both the FAA and the AA, and the training/briefings on the MIP/MAG are complete.

18.    Continued Management of the MIP. To ensure the MIP remains effective over time, both the FAA and the AA should communicate and amend the MIP or MAG as needed.

a.    Bilateral Meetings. Periodic meetings should be held between the FAA and the AA to discuss any issues in the implementation of the MIP, as well as to discuss any process improvements. AFS-50 and AFS-300 should coordinate with the AA to determine when meetings are necessary, which should typically be on an annual basis. Meeting minutes should be kept and signed by both the FAA and the AA, and action items should be assigned and closed accordingly. AFS-50 should manage the overall coordination process for these meetings and ensure funding is available for international travel, as necessary.

b.    Amending the MIP. Depending on the extent of an amendment, it may not be necessary to formally coordinate the entire MIP. AFS-50 and AFS-300 should meet to discuss the type and scope of changes needed, and then determine the level of internal coordination that will be needed. AFS-50 should ensure that API is included in any amendment process, as they are responsible for maintaining the most current version of any international agreement. In coordination with the AA, AFS-300 is responsible for amendments to the MAG. The MIP may also be revoked with proper notification by the FAA or the AA.

c.    Regulatory Changes. The FAA and the AA must notify each other of changes to their respective regulations affecting the MIP.

19.    Directive Feedback Information. Direct questions or comments to AFS-300 at 202-385-6435. For your convenience, FAA Form 1320-19, Directive Feedback Information, is the last page of this order. Note any deficiencies found, clarifications needed, or suggested improvements regarding the contents of this order on FAA Form 1320-19.

ORIGINAL SIGNED by

/s/ John S. Duncan

Director, Flight Standards Service


Appendix A.  Formal Request—Aviation Authority (AA) Requesting a MIP

1.00—Aviation Authority Formal
Request Information

Objective:  The development of Maintenance Implementation Procedures (MIP) under a Bilateral Aviation Safety Agreement (BASA) between the FAA and an aviation authority (AA) requires a long-term commitment of considerable resources by both authorities. Information gathered will assist the FAA in determining the system, procedures, and regulatory basis for certification, inspection, enforcement, and continuing surveillance of Approved Maintenance Organizations (AMO). It contains specific information proprietary to the FAA. Completion of this job aid will be analyzed to determine assessment resource needs. Once reviewed by the FAA, this information will support the list of MIP development countries and will confirm your placement on the FAA MIP priority list for consideration.

Instructions:  This job aid was developed for computer use and is printable as a Word document. When completing this job aid, tab to each field and fill in the information requested. If more space is needed, indicate in the comment field, “Attachments are provided.” Attachments should reference the question number being addressed. If referencing an AA document while completing a question, please indicate if the document is available in the English language and provide the document number and, if possible, attach the applicable section(s) of the document.

Country requesting a MIP:

1.01    Who is the specific person (or persons) in the AA authorized to sign official correspondence to the FAA regarding the AA’s compliance with national, international, and FAA aviation safety requirements?

Names

Title

Telephone #

Facsimile #

 

 

 

 

1.02    AA Headquarters office(s).

Provide complete address and location information.

Address

 

Comments

Name and title of person in charge of the maintenance section:

1.03    Regional office(s).

Provide complete address and location information for each Regional office. If more space is needed, please attach.

Address

 

Comments

Name and title of person in charge of the maintenance section:

1.04    Field office(s).

Provide complete address and location information for each Field office. If more space is needed, please attach.

Address

 

Comments

Name and title of person in charge of the maintenance section:

1.05    Please attach an organization chart of the AA. This should include the AA’s airworthiness unit for audit/surveillance of 145 maintenance organizations.

Comments

 

1.06    Has the country’s IASA category been downgraded in the past 10 years?

Yes    ☐         No    ☐

If yes, explain.

1.07    Does the country have a signed Bilateral Airworthiness Agreement (BAA)/Bilateral Aviation Safety Agreement (BASA) with the United States?

Yes    ☐         No    ☐

If no, explain.

1.08    Does the Bilateral Agreement have provisions allowing Implementation Procedures for maintenance facilities and personnel?

Yes    ☐         No    ☐

If no, explain.

2.00—AMO Complexity

Organizational Structure and Safety Oversight Functions

 

2.01    How many Approved Maintenance Organizations (AMO) hold valid maintenance certifications under your authority?

How many AMOs directly support U.S. Air Carriers?

 

2.02    How many new applicant certifications for AMOs are in process or planned?

 

2.03    Describe the system the AA uses for the issuance of maintenance organization certificates and limitations.

EASA  ☐        FAA  ☐         Other  ☐

Comments

 

2.04    Describe the primary aviation legislation/law/decree which establishes your authority for aviation.

(Please provide the website.)

Comments

 

2.05    Describe the primary aviation legislation/laws for AA oversight/audit responsibilities for AMOs.

Comments

 

2.06    Briefly describe the enforcement requirements to include civil sanction processes.

Comments

 

2.07    Does the AA have other advisory material, guidance material, acceptable means of compliance, describing AMO requirements? (suspected unapproved parts (SUP), repair data, manual requirements, etc.)

Yes    ☐         No    ☐

(Provide the website.)

Comments

 

2.08    Describe the AA department/branch responsible for enforcement actions taken against maintenance organizations.

Comments

 

2.09    Describe the AA’s responsibilities regarding the following:

a)  Recommendations regarding issuance of AMO certificates.

b)  Development of regulations for maintenance and AMOs.

c)  Recommendations regarding enforcement.

d)  Surveillance of AMOs.

(If more space is needed, provide attachments and documents.)

Comments

 

2.10    Does the AA delegate any of its AMO maintenance oversight responsibilities to other organizations or personnel that are not directly affiliated with the AA, such as:

a)  Other State bodies:  Yes  ☐     No  ☐

b)  Private agencies:      Yes  ☐     No  ☐

c)  Designated persons to include inspectors, auditors, surveyors:  Yes  ☐     No  ☐

d)  Other countries:       Yes  ☐     No  ☐

e)  Other:                        Yes  ☐     No  ☐

(Where applicable, provide reference documents by number and attachments.)

Comments

 

2.11    Is the AA independent from entities subject to its regulatory oversight?

Does the AA government have more than a 50% financial ownership with any of the AMOs?

☐  Yes. If yes, verify separation of the AA from industry.     ☐  No. If no, explain reasoning.

Comments

 

3.00—Acknowledgement of the AA Formal Request for a MIP with the United States

 

3.01    An AA wishing to undertake such an initiative should have a viable aircraft maintenance surveillance and certification program, including competent personnel capable of finding compliance with aircraft maintenance standards, practices, and procedures. The FAA prioritizes requests for a MIP based on the FAA’s strategic goals, the results of AA capability assessments, and budget and resource availability. The Flight Standards Service (AFS) continuously reviews and updates this prioritization. Please express your Formal Request with a letter to the Director of Flight Standards Service (AFS-1) and attach the Appendix A form to pursue a MIP with the United States.

Name_______________________________________    Date

Title________________________________________

 

FAA ONLY————AFS-300 Review————FAA ONLY

 

How many FAA part 145 Air Agencies are certificated in this country?

How many are in Certification Services Oversight Process (CSOP) or pending certification for this country?

 

Run an excel report from SPAS to include total amount of employees, the types of ratings held, Additional fixed locations (A101), work away (D100), Line Maintenance (D107) or Geographic Authorization (B050). Attach to Formal Request.

Is Formal Request complete and acceptable?  Yes  ☐     No  ☐

If no, explain why.

 

Once Formal Request is complete and acceptable, update MIP priority list. Brief AFS-300 initial review is complete and priority list is updated.

Name of FAA Inspector.                                      Date of review.

 


Appendix B.  Assessment Job Aid—FAA Auditor’s Assessment Checklist of Aviation Authority (AA) Requesting a BASA/MIP

1.00—Aviation Authority System

Familiarization (Phase 1)

Objective:  This job aid is used to verify and collect information needed to assess an aviation authority (AA) during Formal Negotiations for Maintenance Implementation Procedures (MIP) under a Bilateral Aviation Safety Agreement (BASA). Information gathered will assist the FAA in determining the system, procedures, and regulatory basis for certification, inspection, enforcement, and continuing surveillance of Approved Maintenance Organizations (AMO). It contains specific information proprietary to the FAA. Completed job aid responses will be used to verify the currency of the Formal Request information and to perform the in-country AA assessment process in Phase 1 of this order. This must be completed within 90 calendar-days upon receipt.

Instructions:  This job aid was developed for computer use and is printable as a Word document. When completing this job aid, tab to each field and fill in the information requested. If more space is needed, indicate in the comment field, “Attachments are provided.” Attachments should reference the question number being addressed. If referencing an AA document while completing a question, please indicate if the document is available in the English language and provide the document number and, if possible, attach the applicable section(s) of the document.

Country to be assessed:

Assessment job aid received by the AA for completion:

Completion date:

In-country assessment planned date:

Assessment completed date:

FAA to complete–What are the names and positions of the FAA officials on the Assessment team:

(Select team leader and members)

Team Lead:

Members:

1.

2.

3.

4.

5.

6.

7.

8.

Review and verify the Formal Request (Appendix A) information is current, revise as necessary.

Is the information current?

Yes  ☐  No  ☐

FAA reviewer and date:

Date:

1.01    What are the names and positions of the AA officials with whom the assessment will be conducted?

Names

Positions

1.

2.

3.

4.

5.

1.

2.

3.

4.

5.

1.02    Who are the specific persons to whom the FAA should direct all correspondence regarding findings/questions noted during the assessment?

Names

Title

Telephone #

1.

2.

3.

1.

2.

3.

1.

2.

3.

1.03    Is the country a member of a multi-national organization or coordinating group seeking to harmonize the national aviation regulations of its members?

Yes  ☐         No  ☐

If yes, with whom?

 

1.04    If yes to question 1.03, is the multi-national organization or coordinating group undertaking efforts to harmonize its regulations or recommended practices with 14 CFR?

Yes  ☐         No  ☐

If yes, describe at what level of harmonization or completion the process is at.

Comments

 

FAA–Review FAA part 145 materials for background information on the AA and list/attach any findings.

International Field Office (IFO) inspection reports:    Yes  ☐     No  ☐

Enforcement Reports:    Yes  ☐     No  ☐

Accident/incident investigation reports:    Yes  ☐     No  ☐

Review of information should be limited to 2 years prior to this assessment.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

1.00—Aviation Authority Complexity

Organizational Structure and Safety Oversight Functions

1.05    Provide a description of the organization and legal structure governing civil aviation, e.g., ministry/department and aviation authority (AA).

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

1.06    Has a master organizational structure for the AA been established?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

(Attach organizational chart)

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

1.07    Describe the mission and functions for which the AA is responsible.

(Attach copy of functional statement outlining duties and responsibilities.)

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

1.08    Is the maintenance inspection organization integrated by:

a)  Maintenance only (stand alone):    ☐  Yes    ☐  No

b)  Operations and maintenance:        ☐  Yes    ☐  No

c)  Different specialties:                        ☐  Yes    ☐  No

d)  Certification and maintenance:     ☐  Yes    ☐  No

(Describe the mission and function from the selection made above.)

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

1.09    What provisions are made for communicating with other departments responsible for safety regulations, i.e., the communication between operations, engineering, certification, enforcement, and maintenance?

(Describe how the system works.)

Comments

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

1.10    Does the AA delegate any of its maintenance oversight responsibilities to other organizations or personnel that are not directly affiliated with the AA, such as:

a)  Other State bodies:    ☐  Yes    ☐  No

b)  Private agencies:        ☐  Yes    ☐  No

c)  Designated persons to include inspectors, auditors, surveyors:    ☐  Yes    ☐  No

d)  Other countries:         ☐  Yes    ☐  No

e)  Other:                          ☐  Yes    ☐  No

(Where applicable, provide reference documents by number and attachments.)

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

1.11    If yes to any selection in question 1.10, what is the relationship with the AA?

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

1.12    If yes to any selection in question 1.10, what mechanism is in place to keep these delegated organizations/persons under supervisory and technical control?

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

1.13    If yes to any selection in question 1.10, what are the requirements and procedures for designation?

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

1.14    Are regional office(s) responsible for maintenance safety oversight?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

1.15    If yes to question 1.14, what is the extent of their responsibility and has the AA established a system for coordination and/or control of the regional offices?

(Please describe the policy.)

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

1.00—Aviation Authority Complexity

Staffing and Resources

1.16    Provide over-all staffing resources in the following areas:

Staffing at Headquarters:__________

    Maintenance section: Directors, managers, supervisors:__________

    Technical staff: Development of policy, procedures, regulations:__________

    Training staff:__________

Staffing at Regional Offices:__________

    Maintenance section: Directors, managers, supervisors:__________

    Technical staff: Application of policy, procedures, regulations:__________

    Training staff:__________

Staffing at Field Offices:__________

    Management/supervisor:__________

   Inspectors/surveyors:__________

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

1.17    Are sufficient inspection personnel available for maintaining oversight responsibility of certificated maintenance organizations?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

1.18    Describe methods/policy in place on how the AA determines appropriate inspection personnel levels and allocation.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

1.19    Describe the AA’s average attrition rate for inspection personnel. For example, retirements, transfers, etc.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

1.20    Are AA inspectors responsible for oversight of manufacturing facilities?

☐  Yes. If yes, how many manufacturing facilities are located in your country?    ☐  No.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.00—Primary Aviation Legislation and Regulation

Content and Amendment Procedure

2.00    Describe the primary aviation legislation rules of maintenance for AMOs.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.01    At what level was the primary aviation legislation established?

a)  Head of State        b)  Prime Minister         c)  Parliament

d)  Council of Ministers        e)  Minister        f)  Other (specify)

Describe the policy used to establish the legislation.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.02    Describe AA procedures for the amendment of its primary aviation legislation.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.03    Describe how the AA issues AMO certificates and limitations for: AMO Certificates, operations specifications (OpSpecs)/scope of work.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.04    Describe the primary aviation legislation and/or specific maintenance regulations authorizing the AA to develop specific orders, directives, and instructions (guidance materials).

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.05    Describe the legal status (mandatory vs. advisory) of such orders, directives, and/or instructions.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.06    Are the maintenance regulations, orders, directives, and amendments readily available to the AA and AMOs?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

(Describe how the AA provides this information to regional and field offices.)

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.07    If part of a multinational organization, are there differences between the national regulations and the multinational regulation?

☐  Yes        ☐  No

If yes, explain how the AA complies with the regulation set forth by the multinational organization.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.00—Primary Aviation Legislation and Regulation

Enforcement of Civil Aviation Regulations—General/Maintenance

2.08    Who is responsible for the enforcement of the maintenance regulations?

Describe the policy in place used by the AA.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.09    Describe how enforcement is implemented.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.10    Provide an overview of enforcement action(s) taken on maintenance organizations in the last 12 months (e.g., certificates, ratings, and noncompliance).

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.11    Does the AA have adequate resources to enforce its regulations?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.12    Describe AA regulations for providing unrestricted access to inspect AMOs and sub‑contractors.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.13    Describe the AA policy and list the division/branch which has the authority to refuse, withdraw, revoke, or revise the maintenance organization’s approvals.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.00—Primary Aviation Legislation and Regulation

Approved Maintenance Organizations (AMO)—Certification

2.14    Describe the AA policy requirements for approval of maintenance organizations.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.15    Do regulations require that a maintenance organization procedures manual be submitted to the AA?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.16    Does the AA review the maintenance organization procedures manual to ensure that it provides users with the necessary policy guidance and instructions in a clear and concise manner?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.17    Describe whether the maintenance organization procedures manual is approved or accepted by the AA as part of the AMO approval process.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.18    Do procedures require the AA to review and accept revisions to the maintenance organization procedures manual?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.19    Do AA regulations define what must be included in the maintenance organization procedures manual?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.20    Do AA regulations require a system for qualifying and/or certification of AMO personnel?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.00—Primary Aviation Legislation and Regulation

Exchange of Continuing Airworthiness Information

2.21    Has the AA established a mandatory system whereby information on faults, malfunctions, and defects is reported to the organization responsible for the design of the aircraft or article?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.22    Are regulations established requiring AMOs to report faults, malfunctions, and defects to the AA?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

2.23    Describe the AA system for alerting aircraft owners, operators, and maintenance organizations of critical aviation safety information (e.g., Airworthiness Directives).

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

3.00—Technical Guidance

Maintenance Division—Maintenance Inspection

3.00    Is the AA prepared to implement surveillance procedures and make recommendations to the FAA?    ☐  Yes    ☐  No

Specific examples:

a)  Certification of AMOs:    ☐  Yes    ☐  No

b)  FAA Special Conditions from MIP:    ☐  Yes    ☐  No

c)  Approval of FAA AMO manual supplements on behalf of the FAA:    ☐  Yes    ☐  No

d)  AMO maintenance organization procedures manual revisions on behalf of the FAA:    ☐  Yes    ☐  No

Explain the AA plan.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

3.00—Technical Guidance

Maintenance Division—Maintenance Documentation

3.01    Is there an airworthiness technical library available for maintenance personnel?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

3.02    Does the AA retain up-to-date copies of the AMO maintenance organization procedures manual?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

3.03    Are there requirements for the maintenance organization procedures manual to contain an inspection system and/or quality control procedures?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

4.00—Qualified Technical Personnel

Personnel/Training

4.00    Describe how AA personnel are trained and qualified in the implementation of inspection and surveillance policies.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

4.01    Does the AA operate a training center to satisfy its need for trained and qualified personnel?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

4.02    Does the AA have a policy on qualifications, experience, and minimum standard requirements for inspection personnel? AA part 66 requirements?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

4.03    Are inspection personnel provided with initial training and recurrent training?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

5.00—Aircraft Maintenance Organizations (AMO)—Surveillance

5.00    Does the AA maintenance inspection organization carry out inspections of the maintenance organizations on an ongoing basis?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

5.01    Does the AA certificate and inspect facilities that are outside its domestic jurisdiction?

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

5.02    Is a formal schedule established for conducting inspections?

What is the name of the system?

Does the schedule include off hours (weekends, mid/night shifts)?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

5.03    Is there official guidance material for certification and surveillance of maintenance organizations?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

5.04    What forms or checklists, if any, are used during surveillance/inspections of AMOs?

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

5.05    Does the AA require that repair organizations inspection systems ensure all maintenance, preventive maintenance, repairs, and alterations are performed in accordance with approved or acceptable manuals/data?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

5.06    Does the AA require maintenance records to be retained for the work performed?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

5.07    Do AA regulations have requirements for determining acceptability of parts? (i.e., suspected unapproved parts program.)

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

5.08    Does the AA have an internal evaluation program/quality control system for internal evaluation of its systems?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

5.09    Do AA field office procedures require retaining current and past inspection surveillance documents and vital information on the AMO?

☐  Yes. If yes, describe the AA policy.     ☐  No. If no, explain reasoning.

Comments

 

FAA Finding

☐  Satisfactory

☐  Not satisfactory

☐  Not implemented

Finding:

Follow-up action:

Date:                                        Initials:

 


Appendix C.  Sample Selection of MIP Country Memorandum

Federal Aviation Administration Seal and Letterhead

Memorandum

Date:     [Type date here]

To:     Aircraft Maintenance Division (AFS-300), International Programs and Policy Division (AFS-50), International Law (AGC), International Affairs (API), International Field Office Policy Branch (AFS-54)

From:     Flight Standards Service (AFS-1)

Prepared by:     [Type who prepared memo here]

Subject:     ACTION: Selection of Country for Maintenance Implementation Procedures (MIP)

Memo Divding Line

The Federal Aviation Administration is considering the pursuit of Maintenance Implementation Procedures (MIP) with the [AA] of [country]. The selection of [country] was based upon an initial review of the MIP request and information provided on the MIP Priority List. The sequential steps in FAA Order 8000.85 will be administered. The selection of a MIP Team and formal negotiations are authorized with the Aviation Authority of [country].

AFS-1 must be provided with a decision memorandum within 9 months from the date of this memorandum prior to Phase 2 of the MIP process.

 


Appendix D.  Sample Decision Memorandum

Federal Aviation Administration Seal and Letterhead

Memorandum

Date:     [Type date here]

To:     AFS-1, THRU: AFS-300, AFS-50

From:     Team Lead

Prepared by:     [Type who prepared memo here]

Subject:     ACTION: Decision to Pursue MIP with [AA]

Memo Divding Line

The FAA is considering the pursuit of Maintenance Implementation Procedures (MIP) with the [AA] of [country]. AFS-50 has reviewed [AA]’s International Aviation Safety Assessment (IASA) standing and has coordinated the proposal with API. A team of AFS experts has reviewed the [AA]’s completed assessment checklist and maintenance regulations, and has determined that there is a sufficient basis for pursuing a MIP with [AA]. The team has prepared an action plan detailing the process for developing and concluding a MIP with [AA]. The following highlights from the action plan address major milestones and resource requirements. Please indicate your concurrence/nonconcurrence with the proposal to pursue a MIP with [AA].

FAA Capability Assessment of [AA] System. A team consisting of [number] representatives from AFS-300, AFS-50, [name] International Field Office, AGC-International Law, and [name] Region will conduct an in‑country assessment of the [AA] between [date] and [date]. The team will visit [AA] headquarters and [number] regional offices in [country] and, using the checklist as completed by [AA], assess the ability of [AA] to conduct repair station surveillance on behalf of the FAA. The team estimates the cost of the in-country assessment to be $[xxxxx].

Regulatory Comparison. AFS-300, in conjunction with the team, will review all [AA] regulations, procedures, and guidance pertaining to the certification of repair stations. Contract support for this activity will be necessary and is estimated to cost $[xxxx]. The comparison is estimated to be completed by [date].

Joint Sampling of Repair Stations. Upon completion of the regulatory comparison, the team will meet with the [AA] in [country] to review the comparison table and address items that were identified as potential differences. In addition, the FAA, together with the [AA], will visit [number] repair stations throughout [country] in order to observe the practical application of [AA]’s regulations by the industry, and to verify the comparison table. At the conclusion of the visits, the FAA and the [AA] will discuss the FAA observations and resolve any remaining questions. The cost of the Joint Sampling is estimated to be $[xxxx].

Development of MIP. The team will develop a proposed draft MIP with [AA] based on the MIP template and conclusions from the regulatory comparison and joint samplings. The team estimates that it will be necessary to hold [number] discussion sessions with [AA] at an estimated cost of $[xxxx]. In addition to addressing the content of the MIP, periodic discussions provide the FAA with an opportunity to ensure that conditions, regulations, and processes at the [AA] have not changed during the development of the MIP.

Development of the MAG. The FAA and [AA] will discuss the eventual implementation of the MIP, development of the MAG to include necessary forms, guidance, training, regular meetings, etc. The team estimates these discussions can be concluded by [date]. It will be necessary to hold [number] discussion sessions with the AA for the development of the MAG at an estimated cost of $[xxxxxx]. Once the MAG is developed, the implementation of training/briefings for FAA personnel and industry is estimated to cost $[xxxxxx].

Please indicate below whether you concur with the total Flight Standards Service resource commitment of $[xxxxxxx] that this project will require.

Concur ______________________   Nonconcur ______________________

File:

 


Appendix E.  Sample Capability Assessment Memorandum

Federal Aviation Administration Seal and Letterhead

Memorandum

Date:     [Type date in here]

To:     Manager, Aircraft Maintenance Division, AFS-300

From:     Team Lead, FAA Maintenance Assessment Team

Prepared by:     [Type who prepared memo here]

Subject:     INFORMATION: [Name of Country] [AA] Assessment Report

Memo Divding Line

EXECUTIVE SUMMARY.

The FAA has conducted a capability assessment of the [AA] of [name of country] and observed that it is a competent authority with a skilled and well-trained inspector workforce and adequate resources.

BACKGROUND.

From [date] to [date], the FAA conducted an assessment of the [AA] to determine their ability to perform surveillance and certificate management responsibilities of Title 14 of the Code of Federal Regulations (14 CFR) part 145 repair stations based in [name of country] on behalf of the FAA.

The FAA team consisted of [names of FAA team].

The team conducted an in-briefing with the following [AA] officials:

[Names of the AA officials]

On [date], the FAA team conducted an out-briefing with the same [AA] officials.

The FAA team conducted an in-depth assessment of the [AA] competencies in the following areas:

Aviation Authority Complexity.

The FAA team conducted a thorough review of the internal and external organizational structure, staffing, and resources of the [AA].

[Insert description of the AA]

The FAA found this organizational structure to be independent and empowered, with adequate internal controls. In addition, the [AA] was found to have adequate resources and personnel to conduct oversight of repair stations.

Primary Aviation Legislation and Regulation.

[Insert description of legislative and regulatory structure of the AA].

Overall, the FAA AGC-International Law was satisfied with the [AA]’s legislative and regulatory structure.

The FAA also conducted a review of the [AA] regulations and procedures for approval, surveillance, and enforcement of Aircraft Maintenance Organizations (AMO). The FAA evaluated information on the [AA] overall policy of certificating an AMO, maintenance organization procedures manual policies, and approval/acceptance requirements of manuals required, and AMO personnel qualifications. In addition, the FAA reviewed enforcement policies, procedures, and recent actions. Finally, the FAA reviewed the [AA] procedures for the exchange of airworthiness information, including incident reporting and mechanisms for alerting operators of critical safety information. The FAA found the [AA]’s policies and procedures to be adequate.

Technical Guidance.

This section required the [AA] to clarify their position on the ability to implement surveillance procedures and make recommendations to the FAA regarding certification of AMOs, MIP Special Conditions, and approval of FAA supplements and revisions. The [AA] indicated some reluctance regarding the burden this could create, depending on what terms are negotiated under an eventual MIP. This did not bring into question the ability of the [AA] to oversee U.S. repair stations, but it did foretell an area of negotiations that will require special attention.

Additionally, the [AA] demonstrated their policy and procedures for the retention of documents, the use of a technical library, revision capabilities for regulatory materials, and the requirements for inspection procedures manuals to contain an inspection system/quality control (QC) procedures. The [AA] retention of documents (both electronically and in hard copy) was adequate, as well as their database of certifications and regulations. They were also able to demonstrate adequate policy and procedures for the Repair Station Manual (RSM) and the quality program/section (RSM/QPM) requirements.

Personnel Qualifications and Training.

The FAA found the [AA] personnel requirements and training procedures to be adequate to maintain a highly capable management structure and cadre of surveyors. In addition to high initial educational and training requirements, surveyors have on-the-job training and are required to participate in surveillance activities of other teams for purposes of cross-training. The FAA will need to ensure that the [AA] maintains adequate personnel levels to oversee part 145 repair stations.

Maintenance Surveillance of AMOs.

This section required the [AA] to demonstrate adequate policy and procedures for the surveillance of AMOs. Specifically, questions were asked in the following areas: scheduling of inspections, audit procedures, reporting and retention requirements, frequency of inspections, and other associated questions pertaining to the surveillance of AMOs. Because of the AA audit system, many larger repair stations had surveyors on the premises many times per year. In addition, surveyors are rotated among approval holders every 2-3 years. No findings or concerns were noted in this area.

CONCLUSION.

The FAA team found no technical areas of concern that would prevent the [AA] from surveilling and certificating part 145 repair stations on behalf of the FAA, once the FAA has determined that the AA rules and procedures will not alter that assessment. Following the completion of a comparison of the applicable Federal aviation regulations and the AA regulations, the FAA will make a final determination as to whether a further review of the [AA] would be necessary.

 


Appendix F.  Sample Capability Assessment Letter to the AA

[Name]

[Title]

[Name of AA]

[Street Address]

[Street Address 2][City][Country]

Dear [Name]:

Thank you for accommodating the visit of the FAA maintenance assessment team from [date] to [date]. The information and access you provided was very helpful toward establishing an understanding of the [AA] of [name of country] system, processes, and procedures for repair station certification.

[Additional questions/issues that need resolution]

The FAA will now conduct a comprehensive comparison of [AA] and FAA regulations, procedures, and guidance for repair station certification and surveillance to determine those areas where FAA and [AA] rules and procedures may differ. After the comparison, the FAA and the [AA] will discuss the comparison and visit several repair stations in [name of country] in order to observe the practical application of [AA]’s regulations. Following this system evaluation, the FAA will propose a draft MIP and suggest timeframes for further discussions.

We look forward to the completion of this process. In the meantime, we should remain in contact and exchange any information that is relevant to maintaining an understanding of each other’s repair station oversight system.

Sincerely,

Team Lead

 


Appendix G.  Sample Regulatory Comparison Matrix

SAMPLE REGULATORY COMPARISON FOR THE PURPOSES OF DETERMINING FAA SPECIAL CONDITIONS TO BE MET BY REPAIR STATIONS UNDER A BASA/MIP

AA’s Part 145

14 CFR Parts 43 and 145

Comparison Indicators

Joint Sampling

145.A.10, Scope

This Section establishes the requirements to be met by an organization to qualify for the issuance or continuation of an approval for the maintenance of aircraft and components.

§ 145.1, Applicability

This part describes how to obtain a repair station certificate. This part also contains the rules a certificated repair station must follow related to its performance of maintenance, preventive maintenance, or alterations of an aircraft, airframe, aircraft engine, propeller, appliance, or component part to which part 43 applies. It also applies to any person who holds, or is required to hold, a repair station certificate issued under this part.

There is not a difference.

Intent of the regulations is the same. The aviation authority’s (AA) part 145 uses the term “scope” in the same manner as the § 145.1, Applicability.

 

Implementing Regulation, Article 2, Definitions

In par.2(c), “component” means any engine, propeller, part, or appliance

§ 145.3(b), Article

An aircraft, airframe, aircraft engine, propeller, appliance, or component part.

There is not a difference.

Intent of the regulations is the same. The FAA and AA use “component” differently; and the AA does not use the term “article.”

FAA “article” = AA “component” + aircraft + airframe. Appears to be no effect since each side, when using its own terms to define a class of applicability of a requirement, uses them consistently with the other’s definition of a class and the applicable ratings.

 

145.A.20, Terms of approval

The organization shall specify the scope of work deemed to constitute approval in its exposition (Appendix annex II to this Part Annex contains a table of all classes and ratings).

§ 43.1, Applicability

This part prescribes rules governing the maintenance, preventative maintenance, rebuilding, and alteration of any—

(1) Aircraft having a U.S. airworthiness certificate,

(2) Foreign registered civil aircraft used in common carriage or carriage of mail under the provisions of part 121 or 135 of this chapter… etc.

§ 145.5, Certificate and operations specifications requirements

(a) No person may operate as a certificated repair station without, or in violation of, a repair station certificate, ratings, or operations specifications issued under this part.

Regulations are the same. Applies to aircraft having an airworthiness certificate issued by the country of registration and may be operated by another operator in a different country but must meet the country of registration’s requirements.

145.A.20, Terms of approval

The organization shall specify the scope of work deemed to constitute approval in its exposition (Appendix Annex II to this Part Annex contains a table of all classes and ratings).

145.A.15, Application

An application for the issue or variation of an approval shall be made to the competent authority in a form and manner established by such authority.

§ 145.51, Application for certificate

(a) An application for a repair station certificate and rating must be made in a format acceptable to the FAA…, etc.

(d) An application for an additional rating, amended repair station certificate, or renewal of a repair station certificate must be made in a format acceptable to the FAA. The application must include only that information necessary to substantiate the change or renewal of the certificate.

§ 145.53, Issue of certificate

(a) Except as provided in… paragraph (b)… of this section, a person who meets the requirements of this part is entitled to a repair station certificate with appropriate ratings prescribing such operations specifications and limitations as are necessary in the interest of safety.

No major differences here. The 14 CFR is slightly more prescriptive.

 

145.A.85, Changes to the organization

The organization shall notify the competent authority of any proposal to carry out any of the following changes before such changes take place to enable the competent authority to determine continued compliance with this part, and to amend, if necessary, the approval certificate….

1. the name of the organization;

2. the main location of the organization

* * *

(b) If the holder of a repair station certificate sells or transfers its assets, the new owner must apply for an amended certificate in accordance with § 145.51.

§ 145.57, Amendment to or transfer of certificate

(a) The holder of a repair station certificate must apply for a change to its certificate in a format acceptable to the FAA. A change to the certificate is necessary if the certificate holder—

(1) Changes the location of the repair station, or

(2) Requests to add or amend a rating.

Regulations are the same, with the following exception:

Neither the AA nor the guidance material specifically address this situation. Need discussion.

 

145.A.90, Continued validity

(a) An approval shall be issued for an unlimited duration. It shall remain valid subject to:

* * *

2. the competent authority being granted access to the organization to determine continued compliance with this part…, etc.

§ 145.223, FAA inspections

(a) A certificated repair station must allow the FAA to inspect that repair station at any time to determine compliance with this chapter.

(b) A certificated repair station may not contract for the performance of a maintenance function on an article with a noncertificated person unless it provides in its contract with the noncertificated person that the FAA may make an inspection and observe the performance of the noncertificated person’s work on the article.

(c) A certificated repair station may not return to service any article on which a maintenance function was performed by a noncertificated person if the noncertificated person does not permit the FAA to make the inspection described in paragraph (b) of this section.

§ 145.223(a) provision for entering “at any time” is more specifically forceful than 145.A.90.

Would not impede FAA access. Intent of the regulations are the same.

 

145.A.45, Maintenance data

(a) The organization shall hold and use applicable current maintenance data in the performance of maintenance, including modifications and repairs. “Applicable” means relevant to any aircraft, component or process specified in the organization’s approval class rating schedule and in any associated capability list. In the case of maintenance data provided by an operator or customer, the organization shall hold such data when the work is in progress, with the exception of the need to comply with 145.A.55(c).

(b) For the purposes of this Part, applicable maintenance data shall be any of the following:

1. Any applicable requirement, procedure, operational directive or information issued by the authority responsible for the oversight of the aircraft or component;

2. Any applicable airworthiness directive issued by the authority responsible for the oversight of the aircraft or component;

3. Instructions for continuing airworthiness, issued by type certificate holders, supplementary type certificate holders, any other organization required to publish such data by part 21, and in the case of aircraft or components from third countries, the airworthiness data mandated by the authority responsible for the oversight of the aircraft or component;

4. Any applicable standard, such as but not limited to, maintenance standard practices recognized by the agency as a good standard for maintenance;

5. Any applicable data issued in accordance with paragraph (d).

§ 145.109, Equipment, materials, and data requirements

(d) A certificated repair station must maintain, in a format acceptable to the FAA, the documents and data required for the performance of maintenance, preventive maintenance, or alterations under its repair station certificate and operations specifications in accordance with part 43. The following documents and data must be current and accessible when the relevant work is being done:

(1) Airworthiness directives,

(2) Instructions for continued airworthiness,

(3) Maintenance manuals,

(4) Overhaul manuals,

(5) Standard practice manuals,

(6) Service bulletins, and

(7) Other applicable data acceptable to or approved by the FAA.

The 14 CFR only requires data to be current and accessible when the work is being done. It also does not require a specific procedure for keeping data current as AA’s § 145.45(h). Major difference: AA’s part 145 requires AA-approved or acceptable data for AA‑registered aircraft or components. FAA difference:

FAA-approved or acceptable data for U.S.-registered aircraft or article to be installed on U.S.-registered aircraft.

 

 


Appendix H.  Sample AA System Evaluation Report

Federal Aviation Administration Seal and Letterhead

Memorandum

Date:     [DATE]

To:     Manager, Aircraft Maintenance Division, AFS-300

From:     Team Lead, [Country] Maintenance Assessment Team

Prepared by:     [Team Lead]

Subject:     FAA Maintenance Implementation Procedures (MIP) Development Team System Evaluation Report of the [country] Aviation Authority (Joint Sampling of Repair Stations)

Memo Divding Line

EXECUTIVE SUMMARY

During the week of [date], the Federal Aviation Administration (FAA) Maintenance Implementation Procedures (MIP) development team conducted a joint system evaluation with [name of country’s aviation authority (AA)]. The purpose of the joint evaluation is designed to confirm what FAA Special Conditions would be applied to the MIP document. The FAA team identified the differences between Title 14 of the Code of Federal Regulations (14 CFR) parts 43 and 145. The FAA confirmed the difference between 14 CFR and [country] Civil Aviation Regulations (CAR) as directly applied by [country AA] inspection staff. The FAA team found that development of a MIP with [country AA] should continue to Phase 3 in accordance with FAA Order 8000.85. Phase 3 is development of the actual written agreement. The FAA team and the [country AA] have agreed to put a strong effort into having a draft agreement ready for management review by [date], [quarter], and [fiscal year (FY)].

BACKGROUND

After completing the regulatory comparison and identifying the potential Special Conditions in accordance with FAA Order 8000.85, Phase 2, the FAA and [country] team leader scheduled the next section of Phase 2 in the MIP development process. Phase 2 consists of [country AA] system evaluation. This process required the FAA team to sample FAA-certificated repair stations as well as non-FAA-certificated maintenance organizations located in [country].

The focus of the joint sampling is not on the repair stations, but rather it is directed at observing and documenting the [country AA] surveillance process and procedures, as well as noting the techniques and practices in normal surveillance. The team worked with the [country AA] to identify a representative sampling of repair stations. [Country] currently has [number] FAA-certificated repair stations. The sampling included FAA-certificated and non-FAA-certificated repair stations. The FAA and [country AA] agreed to sample [number] facilities that varied in ratings and size. [Number] facilities were selected because of the number of FAA-certificated repair stations located within [country]. The [country AA] uses a rolling type surveillance system. Each repair station in the sampling was in a different phase of the AA’s surveillance system. The repair stations selected were in different cities:

(1)    Name, address. FAA certificate number, as applicable, and number of employees.

(2)    Name, address. FAA certificate number, as applicable, and number of employees.

The [country AA] facilitated the assessment by contacting the repair stations to establish an itinerary for the joint visits within a specified timeframe. The FAA team, along with the [country AA], observed [country AA] inspectors perform oversight in various areas, which allowed the team to confirm previously identified differences. In some areas the team was able to identify areas where differences may be reduced due to internal AA guidance. The FAA team completed the fourth column of the comparison worksheet identified in FAA Order 8000.85, Appendix G, and identified proposed differences.

The FAA team consisted of:

    [List FAA team members]

The team conducted an in-briefing with the following [country AA] officials:

    [List AA officials]

On [date], the FAA team conducted an out-briefing with the same [country AA] officials. [Country AA] management agreed to expedite the development of the agreement and make every effort to have a draft agreement ready for management review by [date], [quarter], and [FY].

The FAA team conducted an evaluation of [country AA] competencies in the following areas:

(1)    The [country AA] inspection staff competency: The FAA team conducted a thorough review of the internal and external organizational structure, staffing, and resources of the [country AA]. The [country AA] was found to have adequate resources and personnel to conduct oversight of repair stations, provide the FAA with certification recommendations, and conduct surveillance on behalf of the FAA.

(2)    Analysis of [country AA] regulatory system: FAA legal council, along with the FAA team, completed a regulatory comparison identifying the differences between 14 CFR parts 43 and 145 and [country AA] part 145. The joint evaluation confirmed the practical application of [country AA] part 145, thereby confirming the differences. (See attached four-column worksheet used during the joint assessment.)

(3)    Identifying technical guidance changes:

(a)    The FAA team recommends the FAA develop an advisory circular (AC). This will aid industry and the [country AA] in applying a new agreement. The FAA should also revise or develop internal FAA inspector guidance to accommodate a new agreement.
(b)    The [country AA] will need to revise internal guidance, as well as provide the FAA with guidance, to meet their requirements in the United States.

(4)    The FAA team will develop the reporting and documentation requirements to be included in the agreement. The FAA team expects that similar reporting and documentation requirements identified in the AA agreement can be used by re-identifying the documents in the [country] agreements.

Short description of FAA Special Conditions:

(1)    Show a need for FAA certification.

(2)    FAA-approved data major repairs and major alterations.

(3)    Compliance with air carriers Continuous Airworthiness Maintenance Program (CAMP) including Required Inspection Items (RII).

(4)    FAA Airworthiness Directives (AD).

(5)    Compliance with manufacturers’ manuals and deviation thereto.

(6)    Personnel requirements: Chief Inspector, English language, (address not accepting applications from a person that has been involved in certification revocation).

(7)    FAA-approved training program.

(8)    Capabilities list/scope of work.

(9)    Malfunction or defect (M or D)/Service Difficulty Report (SDR) reporting requirements to FAA.

(10)  Recognition of [country AA] Form 1 for return to service.

(11)  Hazardous material (hazmat) letter from applicant.

(12)  Contract Maintenance, FAA inspection of noncertificated subcontractors.

Administrative Issues: 24-month renewal, fees, forms, and reporting requirements.

CONCLUSION.

The FAA team found no technical areas of concern that would prevent the [country AA] from surveilling and making recommendation for certificating 14 CFR part 145 repair stations to the FAA. The FAA will make a final determination as to whether further review of the [country AA] is necessary once the appropriate management officials and the U.S. Department of State (DOS) have reviewed the draft agreement.

NEXT STEPS.

Phase 3—Development of the MIP and MAG. After the conclusion of a MIP, we will need to develop MAG procedures and training requirements to support the MIP.

Phase 4—Coordination Process. The MIP will be coordinated for final signatures. Additional discussions will be required for the development of the MAG and training requirements to support the implementation process.

Phase 5—Implementation Process. Once the MIP and MAG are in effect, implementation procedures must be developed to include training/briefings. A turnover process is required, in which the FAA will work with the [country AA] to ensure the appropriate personnel are trained to oversee FAA certificates under the MIP.

 


Appendix I.  Template MIP

MAINTENANCE IMPLEMENTATION

PROCEDURES

Under the

Agreement for the Promotion of Aviation Safety

Between

The Government of the United States of America

and

The Government of [INSERT APPLICABLE COUNTRY]

Signed [INSERT MONTH, DAY, YEAR]

Revision and History Log

Version #

Date

Revision Description

Prepared By

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

TABLE OF CONTENTS

CHAPTER I.  GENERAL..................................................................................................................... H-4

1.0  Purpose.................................................................................................................................. H-4

1.1  Authorization......................................................................................................................... H-4

1.2  Entry into Force and Termination......................................................................................... H-4

1.3  Amendments.......................................................................................................................... H-5

1.4  FAA and Aviation Authorities (AA) Responsibilities.......................................................... H-5

1.5  Applicable Requirements...................................................................................................... H-6

1.6  Communications and Cooperation........................................................................................ H-6

1.7  Resolution of Disagreements................................................................................................. H-7

1.8  Definitions............................................................................................................................. H-7

CHAPTER II.  RECIPROCAL ACCEPTANCE OF FINDINGS OF COMPLIANCE................. H-9

2.0  General.................................................................................................................................. H-9

2.1  FAA Certificates................................................................................................................... H-9

2.2  AA Certificates.................................................................................................................... H-10

2.3  Independent Inspections...................................................................................................... H-10

2.4  Emergency and Nonroutine Maintenance........................................................................... H-10

CHAPTER III.  MUTUAL COOPERATION AND TECHNICAL ASSISTANCE...................... H-11

3.0  Periodic Meetings................................................................................................................ H-11

3.1  Information.......................................................................................................................... H-11

3.2  Technical Assistance........................................................................................................... H-11

3.3  Exchange of Information..................................................................................................... H-11

3.4  Urgent or Unusual Situations.............................................................................................. H-12

3.5  Notification of Investigation or Enforcement Action.......................................................... H-12

3.6  Protection of Proprietary Data and Requests for Information............................................. H-12

3.7  Accident/Incident Investigation Requests........................................................................... H-13

3.8  Unimpeded Access.............................................................................................................. H-13

CHAPTER IV.  TRANSFER PROVISIONS, CONTINUED CONFIDENCE,
AND FEES
.................................................................................................................. H-14

4.0  Transfer Provisions.............................................................................................................. H-14

4.1  Continued Confidence......................................................................................................... H-14

4.2  Fees...................................................................................................................................... H-15

CHAPTER V.  AUTHORITY............................................................................................................. H-16

APPENDIX 1.  SPECIAL CONDITIONS......................................................................................... H-17

1.0  FAA Special Conditions Applicable to [INSERT COUNTRY-145 AMOs]...................... H-17

2.0  AA Special Conditions Applicable to U.S.-Based Repair Stations.................................... H-19

CHAPTER I.  GENERAL

1.0    Purpose.

(a)    This document sets forth the implementation procedures (IP) for the approval and monitoring of maintenance and alteration or modification facilities and maintenance personnel (Maintenance Implementation Procedures (MIP) pursuant to the Agreement between the Government of the United States of America and the Government of the [INSERT COUNTRY] for Promotion of Aviation Safety (Bilateral Aviation Safety Agreement (BASA)) (“the Agreement”) signed on [INSERT DATE OF BASA]). Under these Maintenance Implementation Procedures, the Federal Aviation Administration (FAA) and the [INSERT AA] (Authority or the Authorities) will pursue mutual cooperation and technical assistance in evaluation and acceptance of each other’s approved maintenance organization systems, including recommendations for FAA and [INSERT AA] certification, renewal of certification, and continued monitoring of maintenance and alteration or modification facilities.

(b)    The objective of these Maintenance Implementation Procedures, in accordance with the Agreement, is to outline the terms and conditions under which the FAA and the [INSERT AA] can accept each other’s inspections and evaluations of maintenance facilities based in the United States (U.S.) and its territories, and in the [INSERT COUNTRY] with regard to findings of compliance, thereby reducing redundant regulatory oversight without adversely affecting aviation safety.

1.1    Authorization. The authorization for these Maintenance Implementation Procedures is Article [INSERT] of the Agreement. In that respect, the FAA and the [INSERT AA] have assessed each other’s standards and systems relating to the approval of repair stations/Approved Maintenance Organizations (AMO) that perform maintenance and alterations or modifications on civil aeronautical products, and as a result, have established an understanding of such standards and systems.

1.2    Entry into Force and Termination.

(a)    These Maintenance Implementation Procedures shall enter into force [INSERT 60, 90, or 180 days] after the date of the last signature and shall remain in force until terminated. These Maintenance Implementation Procedures may be terminated upon sixty (60) days’ written notice by either the FAA or the [INSERT AA]. Termination of these Maintenance Implementation Procedures will not affect the validity of activity conducted thereunder prior to termination.

(b)    These Maintenance Implementation Procedures shall remain in effect contingent upon the Agreement remaining in effect, unless these Maintenance Implementation Procedures are otherwise terminated in accordance with subparagraph 1.2(a) above.

(c)    Upon the entry into force of these Maintenance Implementation Procedures, maintenance facilities that are certificated by the FAA as a Title 14 of the Code of Federal Regulations (14 CFR) part 145 repair station, and approved by the [INSERT AA] as a [INSERT AA 145 Regulation] AMO must comply within 2 years with all the requirements of these Maintenance Implementation Procedures.

1.3    Amendments.

(a)    These Maintenance Implementation Procedures may be amended by mutual consent of the FAA and the [INSERT AA]. These Maintenance Implementation Procedures may also be supplemented by appendices. The details of any such amendment or appendix shall be recorded and signed by the representatives of the office identified in subparagraph 1.6(d), or their designees.

(b)    Suggestions for improvement are encouraged and may be addressed to the designated FAA or [INSERT AA] technical implementation offices that are identified in the U.S.–[INSERT COUNTRY] MAG.

(c)    The FAA and the [INSERT AA] recognize that revisions by either Authority to its organization, regulations, procedures, or standards may affect the basis on which these Maintenance Implementation Procedures are executed. Accordingly, each Authority shall advise the other of plans for such changes at the earliest possible opportunity and discuss the extent to which such planned changes affect the basis of these Maintenance Implementation Procedures. If consultations result in an agreement to amend these Maintenance Implementation Procedures, the Authorities shall seek to ensure that such an amendment enters into force at the same time as, or as soon as possible after, the entry into force or implementation of the change that prompted such amendment.

(d)    In the event the Agreement is modified, the FAA and the [INSERT AA] shall consider amending these Maintenance Implementation Procedures to reflect those modifications.

1.4    FAA and [INSERT AA] Responsibilities.

(a)    Under the terms of these Maintenance Implementation Procedures, the [INSERT AA] on behalf of the FAA will:

(1)    Provide recommendations or endorsements to the FAA for initial certification, renewal, and amendment to repair station approvals made pursuant to part 145 of [AA COUNTRY 145 REGULATION] AMOs located in [INSERT COUNTRY];
(2)    Perform surveillance and provide reports regarding the continued compliance with the requirements set forth in these Maintenance Implementation Procedures and the procedures outlined in the FAA–[INSERT AA] Maintenance Agreement Guidance (FAA–[INSERT AA] MAG) by [INSERT AA COUNTRY 145 REGULATION] AMOs located in [INSERT AA COUNTRY];
(3)    Accept or approve, as appropriate, the FAA supplement to maintenance organization exposition (MOE) as described in these Maintenance Implementation Procedures and the procedures outlined in the FAA–[INSERT AA] MAG; and
(4)    Comply with the procedures as specified in the FAA–[INSERT AA] MAG.

(b)    Under the terms of these Maintenance Implementation Procedures, the FAA on behalf of the [INSERT AA] will:

(1)    Provide recommendations or endorsements to the [INSERT AA] for initial certification, renewal, and amendment to [AA 145 REGULATION] AMO approvals of part 145 repair stations located in the United States;
(2)    Perform surveillance and provide reports regarding the continued compliance with the requirements set forth in these Maintenance Implementation Procedures and the procedures outlined in the U.S.–[INSERT COUNTRY] MAG by repair stations located in the United States;
(3)    Accept or approve, as appropriate, the [INSERT AA] supplement to the repair station manual as described in these Maintenance Implementation Procedures and the procedures outlined in the FAA–[INSERT AA] MAG; and
(4)    Comply with the procedures as specified in the FAA–[INSERT AA] MAG.

1.5    Applicable Requirements.

(a)    The foreign AA of [INSERT COUNTRY] [INSERT AA REGULATION] comprises the primary civil aviation legislation in [INSERT COUNTRY]. The [INSERT AA] technical standard requirements for continuing airworthiness are specified in the [INSERT COUNTRY] Airworthiness Requirements. Guidance material and policy are contained in acceptable means of compliance (AMC), Interpretative/Explanatory Material (IEM), advisory circulars (AC), Information Circulars (IC), and airworthiness notices.

(b)    The legal standards for safety regulation by the FAA are contained in 14 CFR and are explained in ancillary documents and procedures, such as FAA orders, policy memoranda, and ACs.

1.6    Communications and Cooperation.

(a)    The FAA and the [INSERT AA] shall exchange a list of contact points for the various technical aspects of these Maintenance Implementation Procedures. This list, which shall also be included in the FAA–[INSERT AA] MAG, will be updated as necessary.

(b)    All communications between the Authorities, including technical documentation provided for review or approval as detailed in these Maintenance Implementation Procedures, shall be in the English language.

(c)    When urgent or unusual situations develop, each Authority’s contact shall communicate and ensure that the appropriate immediate actions are taken.

(d)    The designated offices for the technical coordination and implementation of these Maintenance Implementation Procedures are:

(1)    For the FAA:
Flight Standards Service
Aircraft Maintenance Division (AFS-300)
950 L’Enfant Plaza, SW
Washington, DC 20024
USA
Telephone: +1-202-267-1675
Fax: +1-202-267-1813
(2)  For the [INSERT AA]:
Aviation Authority of [INSERT COUNTRY]
Airworthiness and Flight Operations Division
[INSERT COUNTRY]
[INSERT ADDRESS]

1.7    Resolution of Disagreements. In accordance with Article [INSERT BASA ARTICLE NUMBER] of the Agreement, any disagreement regarding the interpretation or application of these Maintenance Implementation Procedures shall be resolved by consultation between the FAA and the [INSERT AA]. If appropriate, resolution of such disagreements will be recorded as an amendment or appendix to these Maintenance Implementation Procedures, in accordance with paragraph 1.3 above.

1.8    Definitions. For purposes of these Maintenance Implementation Procedures (and notwithstanding definitions contained in 14 CFR or the [AA COUNTRY 145 REGULATION] requirements), the following definitions apply:

(a)    “Alteration or modification” means making a change to the construction, configuration, performance, environmental characteristics, or operating limitations of the affected civil aeronautical product.

(b)    “Aviation Authority (AA)” (Authority) means a responsible government agency or entity that exercises aviation safety oversight over regulated entities and determines their compliance with applicable standards, regulations, and other requirements within its jurisdiction.

(c)    “Civil aeronautical product” means any civil aircraft, aircraft engine, or propeller or subassembly, appliance, material, part, or component to be installed thereon.

(d)    “Data approved by the FAA” means data that is approved by the FAA Administrator or the Administrator’s designated representative.

(e)    “Data approved by the [INSERT AA]” means data that is approved by the [INSERT AA] or by an organization approved by the [INSERT AA] to make such approvals.

(f)    “Maintenance” means the performance of inspection, overhaul, repair, alteration or modification, preservation, and the replacement of parts, materials, appliances, or components of a product to ensure the continued airworthiness of that product.

(g)    “Maintenance Agreement Guidance” (MAG) means a document that defines the procedures and activities as agreed between the FAA and the [INSERT AA] and contains the requirements to implement the MIP under a BASA.

(h)    “Monitoring” means the periodic surveillance by the FAA and the [INSERT AA] to determine continuing compliance with the appropriate standards.

(i)    “Overhaul” means a process that ensures the aeronautical article is in complete conformity with the applicable service tolerances specified in the type certificate (TC) holder’s or equipment manufacturer’s instructions for continued airworthiness (ICA), or in the data which is approved or accepted by the FAA or the [INSERT AA].

Note:  No person may describe an article as being overhauled unless it has been at least disassembled, cleaned, inspected, repaired as necessary, reassembled, and tested in accordance with the above-specified data.

(j)    “Regulated entity” means any natural or legal person whose civil aviation safety and environmental testing and approval activities are subject to the statutory and regulatory jurisdiction of one or both of the Authorities.

(k)    “Special Conditions” means the requirements of either 14 CFR parts 43 and 145 or in [AA COUNTRY 145 REGULATION] that have been found, based on a comparison of the regulatory maintenance systems, not to be common to both systems and which are significant enough that they must be addressed. The Special Conditions are contained in Appendix 1, Special Conditions (FAA Special Conditions and [INSERT AA] Special Conditions) of these Maintenance Implementation Procedures.

CHAPTER II.    RECIPROCAL ACCEPTANCE OF FINDINGS OF COMPLIANCE

2.0    General.

(a)    The FAA and the [INSERT AA] agree, subject to the terms of these Maintenance Implementation Procedures, to accept each other’s inspections and monitoring of repair stations/maintenance organizations for findings of compliance with their respective requirements as the basis for the issuance and continued validity of certificates.

(b)    The certificate issued by an Authority under these Maintenance Implementation Procedures shall not exceed the scope of the ratings and limitations contained in the certificate issued by the other Authority.

(c)    Maintenance and alterations or modifications performed on a civil aeronautical product under the regulatory control of the [INSERT AA] may be accomplished and that product returned to service by a repair station under the FAA’s regulatory control, where it has been approved by the [INSERT AA] in accordance with the provisions of these Maintenance Implementation Procedures.

(d)    Maintenance and alterations or modifications performed on a civil aeronautical product under the regulatory control of the FAA may be accomplished and that product returned to service by a [AA COUNTRY 145 REGULATION] AMO under [INSERT AA] regulatory control, where it has been approved by the FAA in accordance with the provisions of these Maintenance Implementation Procedures.

2.1    FAA Certificates.

(a)    Without prejudice to the FAA Administrator’s discretion under part 145, an AMO shall be issued an FAA certificate and operations specifications (OpSpecs) if it has been approved for maintenance by the [INSERT AA] in accordance with the [AA COUNTRY 145 REGULATION], complies with the conditions set forth in these Maintenance Implementation Procedures, including the FAA Special Conditions set forth in Appendix 1, and the [INSERT AA] has issued a recommendation or endorsement to the FAA for certification.

(b)    The FAA certificate shall only cover additional fixed locations, or line stations located within [INSERT COUNTRY]. Each additional fixed location or line station must also be under the surveillance of the [INSERT AA].

(c)    Any maintenance facility that was certificated by the FAA prior to the date of entry into force of these Maintenance Implementation Procedures, and did not hold a [INSERT AA] [AA COUNTRY 145 REGULATION] AMO certificate with equivalent ratings, may continue to exercise the privileges of its part 145 certificate with the understanding that the FAA will continue independent regulatory oversight, certificate renewal, and continued monitoring.

(d)    Any maintenance facility located in [INSERT COUNTRY] that applies for initial repair station certification under part 145 repair station after the date of entry into force of these procedures must comply with all of these Maintenance Implementations Procedures.

[or]

(e)    FAA-certificated repair facilities and applicants for FAA certificates located in [INSERT COUNTRY] and not requiring [INSERT AA] approval are excluded from the provisions of these Maintenance Implementation Procedures. Applications by [INSERT AA]-approved maintenance organizations for FAA ratings or limitations that are not contained in their [INSERT AA] certificates are also excluded from these Maintenance Implementation Procedures. [INSERT AA]-approved maintenance organizations in the United States not requiring an FAA certificate are also excluded from the provisions of these Maintenance Implementation Procedures.

2.2    [INSERT AA] Certificates.

(a)    Without prejudice to the discretion of the [INSERT AA] Director-General of [AA COUNTRY 145 REGULATION], a repair station shall be issued a [INSERT AA] certificate of approval for the purpose of performing maintenance on a [INSERT COUNTRY]-registered aircraft and aircraft components intended for fitment on a [INSERT COUNTRY] aircraft if it has been approved for maintenance by the FAA in accordance with parts 43 and 145, complies with the conditions set forth in these Maintenance Implementation Procedures, including the [INSERT AA] Special Conditions set forth in Appendix 1, and the FAA has issued a recommendation or endorsement to the [INSERT AA] for certification.

(b)    The [INSERT AA] certificate shall only cover additional fixed stations, or line stations located within the United States. Each additional fixed location or line station must also be under the surveillance of the FAA. These Maintenance Implementation Procedures do not apply to any [INSERT AA] approved line maintenance facility located outside of the United States.

(c)    Any maintenance facility located in the United States that applies for initial certification under [INSERT COUNTRY] Airworthiness Requirements ([AA COUNTRY 145 REGULATION]) AMO on or after the date of entry into force of these procedures must comply with all the requirements of these Maintenance Implementation Procedures.

2.3    Independent Inspections. The FAA and the [INSERT AA] may conduct independent inspections of repair stations/AMOs when specific safety concerns warrant it. The FAA and the [INSERT AA] agree to coordinate with each other regarding any independent inspection.

2.4    Emergency and Nonroutine Maintenance. The FAA and the [INSERT AA] agree that emergency or nonroutine maintenance may be performed outside the territories specified in these Maintenance Implementation Procedures in order to maintain an aircraft or component, subject to prior approval. The approval for emergency or nonroutine maintenance shall be granted by each Authority in accordance with the FAA–[INSERT AA] MAG.

CHAPTER III.    MUTUAL COOPERATION AND TECHNICAL ASSISTANCE

3.0    Periodic Meetings. The FAA and the [INSERT AA] shall meet at least once a year to discuss these Maintenance Implementation Procedures. The frequency of these meetings will depend on the resources available to each Authority, as well as the significance of any outstanding issues. The topics to be discussed may include:

(a)    Developing, approving, and revising detailed guidance to be used for processes covered by these Maintenance Implementation Procedures;

(b)    Sharing information on major safety issues and developing action plans to address them;

(c)    Ensuring the consistent application of these Maintenance Implementation Procedures; and

(d)    Ongoing projects, changes in their own organizations, any revisions to their requirements, technical assistance requests, or any other matters relating to these Maintenance Implementation Procedures.

3.1    Information. The FAA and the [INSERT AA] shall provide information and assistance regarding the maintenance and alterations or modifications to be performed under the terms of these Maintenance Implementation Procedures, and shall develop and circulate appropriate publications through established methods in their respective countries to:

(a)    Inform the public of the terms of these Maintenance Implementation Procedures and any amendments or appendices; and

(b)    Outline the regulatory requirements and special requirements necessary for persons to perform work under the terms of these Maintenance Implementation Procedures.

3.2    Technical Assistance. The FAA and the [INSERT AA] agree to provide technical assistance to each other, upon request, to further the purposes and objectives of these Maintenance Implementation Procedures. The FAA and the [INSERT AA] may decline to provide such technical assistance due to lack of resource availability, because the activity is not within the scope of these Maintenance Implementation Procedures, or there is no regulatory involvement with the facility. Such areas of assistance may include, but are not limited to:

(a)    Conducting and reporting on investigations at the request of the other Authority.

(b)    Obtaining and providing data for reports, where requested.

3.3    Exchange of Information. The FAA and the [INSERT AA] shall provide each other with regulations, policies, guidance, practices, and interpretations relevant to these Maintenance Implementation Procedures, and shall ensure that such documents are updated in a timely manner. In addition, any FAA or [INSERT AA] proposal to amend such documents shall be provided to the other Authority for the opportunity to review prior to the amendment being effected, consistent with their national laws and administrative procedures.

3.4    Urgent or Unusual Situations. When urgent or unusual situations develop, the FAA and the [INSERT AA]’s contact points shall communicate and ensure that the appropriate immediate actions are taken. The appropriate FAA and [INSERT AA] representatives are identified in subparagraph 1.6(d) above.

3.5    Notification of Investigation or Enforcement Action.

(a)    The FAA and the [INSERT AA] agree, subject to applicable laws and regulations, to provide mutual cooperation and assistance in any investigation or enforcement proceedings of any alleged or suspected violation of any laws or regulations under the scope of these Maintenance Implementation Procedures. In addition, each Authority shall notify the other promptly of any investigation when mutual interests are involved.

(b)    The FAA and the [INSERT AA] agree to notify each other of noncompliances with regulations and Special Conditions set forth in these Maintenance Implementation Procedures in accordance with the FAA–[INSERT AA] MAG. The Authorities will also notify each other promptly of any investigation into noncompliance that could result in delisting, certificate suspension, or penalty. The notification will be sent to the other Authority’s representative identified in subparagraph 1.6(d). The FAA and the [INSERT AA] agree that noncompliances will be corrected in a timely manner.

(c)    The FAA and the [INSERT AA] retain the right to take enforcement action. However, in some cases, an Authority may choose to review a remedial action taken by the other Authority. The enforcement consultation process under these Maintenance Implementation Procedures will be subject to a regular joint review by the FAA and the [INSERT AA].

(d)    The FAA and the [INSERT AA] agree to notify each other in the event of a revocation or suspension of a part 145 certificate of a repair station or a [AA COUNTRY 145 REGULATION] certificate for an AMO.

3.6    Protection of Proprietary Data and Requests for Information.

(a)    The FAA and the [INSERT AA] recognize that information related to these Maintenance Implementation Procedures submitted by a regulated entity or other person may contain intellectual property, trade secrets, confidential business information, proprietary data, or other data held in confidence by that regulated entity, other person or another person (restricted information). Unless required by law, neither Authority shall copy, release, or show information identified as restricted to anyone other than an employee of that Authority without prior written consent of the person or entity possessing confidentiality interests in the restricted information.

(b)    Requests from the public for information referred to in subparagraph 3.6(a), including access to documents, shall be addressed in accordance with the applicable laws and regulations of the Authority receiving such requests. An Authority receiving a request for such information supplied by the other Authority, or its regulated entities, shall consult with that Authority prior to releasing such information. The FAA and the [INSERT AA] shall provide assistance to each other in responding to these requests, as necessary.

3.7    Accident/Incident Investigation Requests. When the FAA or the [INSERT AA] needs information regarding repair stations/AMOs for the investigation of accidents or incidents involving civil aeronautical products, the request for information should be directed to the technical points of contact that are identified in the FAA–[INSERT AA] MAG. In turn, upon receipt of the request for information, the other Authority will provide the requested information in a timely manner.

3.8    Unimpeded Access. For purposes of surveillance and inspections, each Authority shall assist the other with the objective of gaining unimpeded access to regulated entities subject to its jurisdiction.

CHAPTER IV.  TRANSFER PROVISIONS, CONTINUED CONFIDENCE, AND FEES

4.0    Transfer Provisions. The FAA and the [INSERT AA] agree that the transfer of approvals of repair stations/AMOs on the date of entry into force of these Maintenance Implementation Procedures shall be accomplished in accordance with the following transfer provisions:

(a)    The FAA and the [INSERT AA] must complete training or briefings of its personnel regarding procedures relating to these Maintenance Implementation Procedures, the Special Conditions, and the U.S.–[INSERT COUNTRY] MAG prior to the transfer.

(b)    The activities of inspecting, monitoring, and surveillance of qualified repair stations/AMOs can commence once a sufficient number of staff has completed the training or briefing to provide oversight of the repair stations/AMOs transferred in accordance with these Maintenance Implementation Procedures.

(c)    The transfers of activities of inspecting, monitoring, and surveillance should take place within 2 years of the date of the entry into force of these Maintenance Implementation Procedures.

4.1    Continued Confidence. The FAA and the [INSERT AA] shall continue to demonstrate effective oversight according to agreed procedures defined in the FAA–[INSERT AA] MAG.

(a)    In particular, the FAA and the [INSERT AA] shall:

(1)    Have the right to participate in each other’s quality audits and sampling inspections.
(2)    Ensure that regulated entities provide access to the FAA and the [INSERT AA] for audits and inspections.
(3)    Make available the reports from quality audits and sampling inspections applicable to these Maintenance Implementation Procedures.
(4)    Make the appropriate personnel available to participate in the sampling inspection.
(5)    Make available the maintenance organization’s records and inspection reports, including completed enforcement actions.
(6)    Provide interpretive assistance, where necessary, at their office during the review of internal maintenance organization records and documentation.
(7)    Assist each other in closure of any findings from the inspection.
(8)    Ensure that any sampling inspections are identified and based on risk analysis and objective criteria, without prejudice to the discretionary power of the authorities.

(b)    The FAA and the [INSERT AA] shall notify each other at the earliest opportunity in the event that either Authority is not able to meet a requirement in this paragraph. If either FAA or [INSERT AA] believes that technical competency is no longer adequate, the Authorities shall consult and propose an action plan, including any necessary rectification activities, in order to address deficiencies.

(c)    In the event that the FAA and the [INSERT AA] do not rectify deficiencies within the timeframe specified in the action plan, either Authority may address the matter during their periodic meetings, as specified in paragraph 3.0 of these Maintenance Implementation Procedures.

(d)    When the FAA or the [INSERT AA] intends to suspend acceptance of findings or approvals, they shall promptly notify the other Authority, if applicable.

4.2    Fees. Each Authority shall endeavor to ensure that fees imposed on applicants and regulated entities for certification and approval-related services under these Maintenance Implementation Procedures are just, reasonable, commensurate with the services, and in accordance with applicable regulatory requirements.

CHAPTER V.  AUTHORITY

The FAA and the [INSERT AA] agree to the provisions of these Maintenance Implementation Procedures, as indicated by the signature of their duly-authorized representatives.

Done at [INSERT AA], this [INSERT AA/MM/YYYY].

Federal Aviation
Administration (FAA)

Aviation Authority of
[INSERT COUNTRY]

____________________________________

____________________________________

[INSERT NAME]

Administrator

[INSERT NAME]

APPENDIX 1.  SPECIAL CONDITIONS

1.0    FAA Special Conditions Applicable to [INSERT COUNTRY]-based [AA COUNTRY 145 REGULATION] AMOs. [This is an example of Special Conditions that have appeared in previous MIPs. Special Conditions in this MIP will be based on the FAA–AA regulatory comparison.]

To be approved in accordance with part 145 and pursuant to the terms of these Maintenance Implementation Procedures, [AA COUNTRY 145 REGULATION] AMOs shall comply with all of the following Special Conditions:

(1)    The [AA COUNTRY 145 REGULATION] AMO shall submit an application in a form and a manner acceptable to the FAA.

(a)    The application for both initial and renewed FAA certification shall include:
(1)    A statement demonstrating that the FAA repair station certificate and/or rating is necessary for maintaining or altering U.S.-registered aeronautical products or foreign-registered aeronautical products operated under the provisions of 14 CFR.
(2)    A list of maintenance functions, approved by the [INSERT AA], to be contracted/subcontracted to perform maintenance on U.S. civil aeronautical products.
(3)    In the case of transport of dangerous goods by air, written confirmation demonstrating that all involved employees have been trained as outlined in the transport of dangerous goods in accordance with the most current edition of International Civil Aviation Organization (ICAO) standards, specified in Annex 18 and the Technical Instructions for the Safe Transport of Dangerous Goods by Air.
(4)    The part 145 repair station must hold a valid [INSERT AA] [AA COUNTRY 145 REGULATION] AMO approval issued in accordance with the most current [AA COUNTRY 145 REGULATION]. The FAA certificate will not exceed the scope of the ratings and limitations contained in the [INSERT AA] [AA COUNTRY 145 REGULATION] certificate.

(2)    The [AA COUNTRY 145 REGULATION] AMO must provide a supplement in English to its MOE (the FAA supplement) that is approved by the [INSERT AA] on behalf of the FAA and maintained at the [AA COUNTRY 145 REGULATION] AMO. Once approved by the [INSERT AA], the supplement shall be deemed approved by the FAA. All revisions to the supplement must be approved by the [INSERT AA]. The FAA supplement to the MOE shall include the following:

(a)    A signed and dated statement by the Accountable Manager that obligates the organization to comply with these Maintenance Implementation Procedures.
(b)    A summary of its quality system which shall also cover the FAA Special Conditions.
(c)    Procedures for approval for return to service that satisfy the requirements of part 43 for aircraft and the use of FAA Form 8130-3, Authorized Release Certificate, Airworthiness Approval Tag. This includes the information required by part 43, §§ 43.5, 43.7, 43.9, and 43.11; part 91, §§ 91.411 and 91.413; and all information required to be made or kept by the owner or operator, as appropriate.
(d)    Procedures for reporting to the FAA within 96 hours of any serious failures, malfunctions, or defects, and suspected unapproved parts (SUP) discovered, or intended to be installed, on U.S. aeronautical products.
(e)    Procedures to ensure initial and recurrent training for management, supervisors, inspectors, and return to service personnel are thoroughly familiar with FAA-applicable regulations and MAG requirements.
(f)    Procedures to notify the FAA regarding any changes to the following:
(1)    Line stations.
(2)    Additional fixed location.
(3)    Change of ownership.
(4)    Any changes to the FAA OpSpecs.
(5)    Employing former FAA employees who had direct oversight of the AMO in the preceding 2 years.
(g)    Procedures to qualify and monitor additional fixed locations within [INSERT COUNTRY].
(h)    Procedures to verify that all contracted/subcontracted maintenance functions include provisions for the following:
(1)    The AMO remains directly in charge,
(2)    The contractor/subcontractor follows an equivalent Quality System, and
(3)    For a non-FAA-certificated source to return the article to the AMO, that the AMO verifies by test and/or inspection the work has been performed satisfactorily and the article is Airworthy before approving it for return to service.
(i)    Procedures to ensure that major repairs and major alterations (as defined in 14 CFR) are accomplished in accordance with approved data.
(j)    Procedures to ensure compliance with an air carrier’s Continuous Airworthiness Maintenance Program (CAMP), including the separation of maintenance from inspection on those items identified by the air carrier/customer as Required Inspection Items (RII).
(k)    Procedures to ensure compliance with the manufacturer’s maintenance manuals or ICAs and handling of deviations.
(l)    Procedures to ensure that all current and applicable Airworthiness Directives (AD) published by the FAA are available to maintenance personnel at the time the work is being performed.
(m)    Procedures to permit work away from the fixed location, when applicable.

(3)    To continue to be approved in accordance with parts 43 and 145, pursuant to the terms of these Maintenance Implementation Procedures, [INSERT AA] shall verify that the [AA COUNTRY 145 REGULATION] AMO complies with the following:

(a)    Allow FAA, or the [INSERT AA] on behalf of the FAA, unimpeded access to inspect it for continued compliance with the requirements of [AA COUNTRY 145 REGULATION] and these Special Conditions (i.e., parts 43 and 145);
(b)    The [AA COUNTRY 145 REGULATION] AMO must continue to comply with [AA COUNTRY 145 REGULATION] and the FAA Special Conditions; and
(c)    Investigations and enforcement by the FAA may be undertaken in accordance with FAA rules and directives and the AMO must cooperate with any investigation or enforcement action.

(4)    When regulatory compliance is maintained, the FAA may renew the [AA COUNTRY 145 REGULATION] AMO’s certificate 12 months after the initial certification and every 24 months thereafter.

2.0    [INSERT AA] Special Conditions Applicable to U.S.-Based Repair Stations.

To be approved in accordance with [AA COUNTRY 145 REGULATION], and pursuant to the terms of these Maintenance Implementation Procedures, part 145 repair stations shall comply with all of the following Special Conditions:

(1)    The repair station shall submit an application in a form and a manner acceptable to the [INSERT AA].

(a)    The application for both initial and renewed [INSERT AA] approval shall include:
(1)    A letter of intent from a [INSERT COUNTRY] Air Operator Certificate (AOC) holder or a [AA COUNTRY 145 REGULATION] AMO demonstrating that the [INSERT AA] certificate and/or rating is necessary for maintaining [INSERT COUNTRY]-registered aircraft and aircraft components intended for fitment on a [INSERT COUNTRY] aircraft.
(2)    The repair station must hold a valid FAA repair station certificate issued in accordance with the requirements of part 145. The [INSERT AA] certification will not exceed the scope of the ratings and limitations contained in the part 145 certificate.

(2)    The repair station must provide a supplement to its Repair Station Manual (RSM) accepted by the FAA on behalf of the [INSERT AA], that includes the following:

(a)    Specification of the repair station’s scope of work relevant to the extent of the [AA COUNTRY 145 REGULATION] approval.
(b)    Procedures for the release or approval for return to service that meet the requirements of [AA COUNTRY 145 REGULATION] for aircraft and the use of the [INSERT AA FORM XX] for aircraft components, and any other information required by the owner or operator, as appropriate.
(c)    Procedures to ensure that repairs and modifications, as defined by the [INSERT AA] requirements, are accomplished in accordance with data approved by the [INSERT AA].
(d)    Procedures to ensure completeness of, and compliance with, the customer or operator’s work order or contract, including notified ADs issued by the [INSERT AA] or the State of Design, and other notified mandatory instructions.
(e)    Procedures for the repair station to ensure that the FAA-approved initial and recurrent training program and any revision thereto must include relevant [AA COUNTRY 145 REGULATION] regulatory requirements, up-to-date knowledge of relevant technology, and human factors (HF) training.
(f)    Procedures for reporting unairworthy conditions as required on civil aeronautical products to [INSERT AA], aircraft type certificate holder, and the customer or operator.
(g)    The supplement must contain a statement by the Accountable Manager of the repair station, as defined in the current edition of [INSERT AA] [AA COUNTRY 145 REGULATION] which commits the repair station to compliance with the MIP and the Special Conditions, as listed.
(h)    Procedures to permit work away from the fixed location due to the need for such maintenance arising either from the unserviceability of the aircraft or from the necessity of supporting occasional line maintenance.
(i)    Procedures to use only aircraft components/parts/materials acceptable to [INSERT AA].
(j)    Procedures to notify [INSERT AA] of any changes that could affect the [AA COUNTRY 145 REGULATION] approval.

(3)    The repair station shall ensure that return to service personnel for [INSERT COUNTRY]-registered aircraft satisfy the following conditions:

(a)    Holders of an Airframe and Powerplant (A&P) license and have exercised the privileges of the license for at least 2 years (for authorizing person as a line maintenance certifying staff);
(b)    Are appropriately type-trained as a prerequisite; and
(c)    Involved in at least 6 months of aircraft maintenance experience in the preceding 2-year period.

(4)    For base maintenance, return to service personnel are required to hold an appropriately-rated Aircraft Maintenance License. The certification authorization permits the certification of scheduled base maintenance by the issue of a single certificate of return to service for the complete aircraft after the completion of all such maintenance.

(5)    Procedures detailing the operation of an independent quality monitoring system, including oversight of all multiple facilities and line stations within the territory of the United States.

(6)    To continue to be approved in accordance with [AA COUNTRY 145 REGULATION], pursuant to the terms of these Maintenance Implementation Procedures, the FAA shall verify that the repair station complies with the following:

(a)    The repair station must allow the [INSERT AA], or the FAA on behalf of the [INSERT AA], to inspect it for continued compliance with the requirements of the part 145 and these Special Conditions (i.e., [INSERT AA 145 REGULATION]).
(b)    The repair station must continue to comply with part 145 and these Special Conditions.
(c)    Accept that investigation and enforcement action may be taken by the [INSERT AA] in accordance with any relevant procedures and the repair station must cooperate with any [INSERT AA] investigation or enforcement action.

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U.S. Department

of Transportation

Federal Aviation

Administration

FAA Form 1320-19, Directive Feedback Information

Please submit any written comments or recommendations for improving this directive, or suggest new items or subjects to be added to it. Also, if you find an error, please tell us about it.

Subject: Order 8000.85C, FAA Program for the Establishment of a MIP Under the Provisions of a BASA

To: Flight Standards Directive Management Officer at 9-AWA-AFS-140-Directives@faa.gov

(Please check all appropriate line items)

Selection box for, "An error (procedural or typographical) has been noted in paragraph [enter paragraph number] on page [enter page number]." An error (procedural or typographical) has been noted in paragraph __________________ on
page ________ .

Selection box for, "Recommend paragraph [enter paragraph] on page [enter page number] be changed as follows: (attach separate sheet if necessary)" Recommend paragraph ______ on page ___________ be changed as follows: (attach separate sheet if necessary)

Selection box for, "In a future change to this directive, please include coverage on the following subject (briefly describe what you want added):" In a future change to this directive, please include coverage on the following subject (briefly describe what you want added):

Selection box for, "Other comments:" Other comments:

Selection box for, "I would like to discuss the above. Please contact me." I would like to discuss the above. Please contact me.

Submitted by: ___________________________________________ Date: ________________

FTS Telephone Number: _______________________ Routing Symbol: ____________________

FAA Form 1320-19 (8-89)