12/17/19

 

8900.1 CHG 685

VOLUME 6  SURVEILLANCE

CHAPTER 2  PARTS 121, 135, AND 91 SUBPART K INSPECTIONS

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Section 41  Safety Assurance System: Evaluate/Inspect a Contract Maintenance Organization Facility—Parts 91K, 125, 129, and 135 (9 or Less Without OpSpec D072)

6-1121    REPORTING SYSTEM(S).

A.    Program Tracking and Reporting Subsystem (PTRS). For Title 14 of the Code of Federal Regulations (14 CFR) parts 129, part 91 subpart K (part 91K), and 125, use PTRS activity codes 3338, 3640, 3624, 5338, 5640, and 5624.

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B.    Safety Assurance System (SAS). For 14 CFR part 135 (9 or less), use SAS automation. This section relates to SAS Element 4.5.2 (AW) Maintenance Providers.

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6-1122    OBJECTIVE. This chapter provides guidance for evaluating and inspecting parts 91K, 125, 129 (N-registered only), and 135 (9 or less without operations specification (OpSpec) D072) operators’ contract maintenance organization facility(s), and provides guidance for compliance with the air carrier’s manual procedure system and with regulatory requirements of associated 14 CFR sections.

6-1123    GENERAL.

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A.    Responsibilities. The Federal Aviation Administration (FAA) air carrier inspector will evaluate the contract maintenance provider’s (CMP) facility (certificated or noncertificated and other air carrier) to ensure that it has adequate housing, equipment, spare parts, technical data, and qualified personnel available to satisfactorily complete all contracted maintenance in accordance with parts 91K, 125, 129 (N-registered only), and 135 (9 or less), and the air carrier’s or the commercial operator’s program and applicable sections of its maintenance manual.

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NOTE:  The purpose of this guidance is to evaluate and provide oversight of an air carrier’s contract maintenance program. This guidance is not intended to evaluate a certificated repair station (CRS), noncertificated repair facility, or certificated air carrier.

B.    Inspections Outside Office Boundaries. Some contract maintenance organization/facility inspections are conducted outside the boundaries of the responsible Flight Standards office. In such cases, the aviation safety inspector (ASI) will coordinate with, and request assistance as necessary from, the Flight Standards (FS) office responsible for the certificate management of a repair station or the management of the air carrier to be inspected.

6-1124    INITIATION AND PLANNING. Before inspecting a contract maintenance organization/facility, the inspecting ASI should:

A.    Review the Safety Performance Analysis System (SPAS) Data Package. This data will provide the inspecting ASI with analysis and information that will be useful before and during the inspection (if data are available).

B.    Arranging a Visit. Schedule a meeting with the air carrier’s management to discuss the arrangements made with this CMP and the plans and provisions that will be in place during this visit/inspection.

C.    Check Agreements. Ensure the agreements stated in the contract are in accordance with the procedures in the air carrier’s or operator’s manual. Contract agreements change routinely.

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D.    Point of Contact. If an ASI is a shared resource conducting a facility inspection on behalf of the responsible Flight Standards office, the ASI will contact the air carrier’s principal inspectors (PI) to discuss the scope of the inspection.

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E.    Contract Review. If you are the air carrier’s Principal Maintenance Inspector (PMI) or Principal Avionics Inspector (PAI), you must review the airworthiness agreement between the air carrier and the contractor before the inspection.

F.    Obtain a List of Management Personnel. Before the inspection, the ASI should request a listing and telephone numbers of management personnel at the contract facility. If the facility is a CRS, the ASI may obtain a listing of management personnel from SPAS (refer to profile).

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G.    Inspections Outside the United States. During the early planning phase of the trip, the inspecting ASI should contact the U.S. Department of State (DOS). The ASI may view travel advisories for the country he or she plans to visit on the DOS website at https://travel.state.gov. A minimum of 30 calendar-days is recommended to obtain a visa and address any restrictions.

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NOTE:  Travel to any foreign country requires a security briefing in accordance with FAA Order 1600.61, International Travel Security Program.

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H.    Contract Maintenance Facility Outside the United States with a Bilateral Aviation Safety Agreement (BASA) Maintenance Implementation Procedures (MIP) Approval. During the planning phase of a visit to a repair station/CMP that is located in a country with a BASA and associated MIP with the United States, it is important that the ASI contact the International Field Office (IFO)/responsible Flight Standards office and the repair station’s PI. The inspecting ASI and the repair station PI should discuss the scope and intent of the inspection.

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I.    Contract Maintenance Facility Outside the United States Without a BASA MIP Approval. Before the visit, contact the IFO/responsible Flight Standards office and the repair station’s PI, to discuss the scope and intent of the inspection.

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J.    Canadian Approved Maintenance Organization (AMO) Visit. See Volume 6, Chapter 9, Section 22.

6-1125    PERFORMING THE TASK.

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A.    Inspecting ASI Responsibilities. The inspecting ASI must determine whether the CMP has an adequate organization, equipment, and facilities. All maintenance personnel should be appropriately certificated (when necessary), trained by the air carrier or operator, and authorized to perform the work. The inspecting ASI must keep in mind that the contract provider’s maintenance facility is an extension of the air carrier’s overall maintenance organization; therefore, maintenance performed by the provider must be in accordance with the air carrier’s maintenance program. Refer to 14 CFR part 145, § 145.205.

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B.    Before Visiting the Contract Facility. Before visiting the contract facility, the inspecting ASI should review SPAS data and any other information available. The SPAS program is an outstanding source for gathering supportive data.

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NOTE:  An alternate surveillance plan is included in this section. The inspection information contained in the “Comment” field is based on the information in this section. It is provided as a sample surveillance plan only. It should not be considered mandatory. (See Figure 6-41, Sample Basic Surveillance Plan.)

6-1126    COORDINATION REQUIREMENTS. If the CMP holds a part 145 Repair Station Certificate, Air Carrier Certificate, or Operating Certificate, the ASI should make every effort to contact his or her PI and advise the PI of the planned inspection.

6-1127    REFERENCES, FORMS, AND JOB AIDS.

A.    References (current editions):

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    Title 14 CFR Parts 43, 91, 119, 125, 129, 135 (9 or less), and 145.

    Title 49 of the Code of Federal Regulations (49 CFR) Part 180.

    Advisory Circular (AC) 120-16, Air Carrier Maintenance Programs.

    Air carriers’ or operators’ maintenance manuals and manual systems.

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    Air carriers’ contract maintenance programs.

B.    Forms. None.

C.    Job Aids. None.

6-1128    PROCEDURES. For part 125 or 129 (N-registered aircraft), if the contractor is a CRS or Canadian AMO, the inspecting ASI should determine the maintenance provider’s qualifications. Ensure that the contract maintenance facility is properly certificated and rated for the work being performed. If the repair station is authorized to work at a place other than the fixed location, the ASI should review the repair station’s OpSpecs. OpSpec D100 will list the authorized work able to be accomplished away from the fixed base and, in the case of a repair station, the manual location in which the procedures are listed.

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NOTE:  Subparagraphs A through R below are appropriate to ASIs who are assigned operators who use the PTRS for documenting and recording inspections.

A.    Notify the Aircraft Maintenance Division. If the inspection is to be accomplished on U.S. aeronautical products located in Canada, see Volume 6, Chapter 9, Section 22.

B.    Inspect the Contract Provider’s Organization. Ensure that the contractor’s organization is adequate to support the air carrier’s maintenance program.

C.    Inspect the Technical Library. Ensure that the maintenance facility’s library is available for use by the facility personnel and includes the following:

1)    Repair Station Manual (RSM) (if applicable).
2)    Quality Control Manual (QCM) (if applicable).
3)    Transport Canada-approved supplement to the maintenance policy manual (MPM) for Canadian AMOs.
4)    If applicable, portions of the air carrier’s or operator’s General Maintenance Manuals (GMM)/General Practices and Procedures (GPP).
5)    If required, applicable parts of the air carrier’s or operator’s FAA-approved inspection program.
6)    If applicable, portions of pertinent maintenance instructions from the manual system.
7)    Applicable instructions for continued airworthiness (ICA).
8)    Manufacturers’ aircraft, engine, propeller, appliance, and emergency equipment component repair manual(s) or work scopes as required.
9)    If applicable, air carrier-provided aircraft, engine, propeller, appliance, and emergency equipment component repair manuals and work scopes.
10)    Airworthiness Directives (AD), Engineering Orders (EO), etc.

D.    Review the Work Process. If there is an aircraft, engine, or propeller in the facility undergoing maintenance, review the entire contracting process at work. The air carrier’s work package usually comes to the planning department first. Review the inspection package provided by the air carrier. The first page is normally titled the work scope. It will list all of the ADs, nonroutine maintenance, and scheduled phase or check work cards, and list any components scheduled for removal and replacement during this heavy maintenance.

NOTE:  It is recommended that ASIs verify that the air carrier’s or operator’s manual has procedures to cover the work processes.

1)    Be aware that every air carrier’s or operator’s system is different. The information herein is provided as a tool, and is not to be used verbatim. The inspecting ASI must always use the air carrier’s or operator’s manual procedure as a guide.
2)    By sampling the records, the inspecting ASI will ensure the work is accomplished and documented in accordance with the air carrier’s or operator’s manual.
3)    Ensure that Required Inspection Items (RII) notations are accomplished in accordance with the air carrier’s manuals.
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4)    Ensure the airworthiness release is accomplished in accordance with § 125.411 and part 129 in accordance with the country of origin’s requirements, and signed in accordance with the air carrier’s or operator’s manual.
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E.    Review Personnel Training Records. Review the maintenance provider’s records to ensure that personnel are trained to perform the work for which they have been contracted. Inspect the quality control (QC)/quality assurance (QA) system. Ensure that the facility personnel have been trained to the air carrier’s program and procedures.

F.    Responsibility. Responsibilities for maintenance and inspection functions are separate.

G.    Personnel. Staffing reflects the complexity of the operation.

H.    Personnel Qualifications. Personnel are appropriately certificated (if required), qualified, and trained to perform inspections.

I.    RII Personnel. Personnel performing RII functions are properly trained and authorized by the air carrier.

J.    Authorized Personnel. Lists of authorized inspectors and RII personnel are maintained, including the type of equipment and limitations authorized.

K.    Records. All inspection personnel training records are maintained and kept current.

L.    Accountability. The air carrier’s system for controlling accountability and documentation of all the work accomplished.

1)    The air carrier and the CMP comply with the suspected unapproved parts (SUP) program.
2)    Incoming parts and supplies to the repair station are properly inspected, tagged, and distributed in accordance with the quality manual procedures.
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3)    Verify the air carrier or operator has properly trained and authorized the CMP’s receiving and incoming parts and equipment personnel.
4)    Verify the air carrier or operator has properly trained the receiving inspection personnel (aircraft maintenance representatives) in accordance with the air carrier’s or operator’s manual.

M.    Inspect the CMP’s Maintenance Department. Ensure the following (this applies to all types of facilities):

1)    Verify that the CMP’s personnel are properly trained for the complexity of the work performed.
2)    The facilities are adequate for the type of work performed. Space, lighting, and ventilation reflect the requirements of the work being performed. (This does not apply to a CRS with line rating only.)
3)    Special tools and test equipment are available to support the work being performed.

NOTE:  ASIs inspecting the air carrier’s or an operator’s calibrated tool program must concentrate on the air carrier’s program, not the repair station’s calibration program, unless the air carrier or operator has adopted the repair station’s program. The ASI must ensure there is traceable documentation. In all cases, all calibrations programs must be in accordance with the National Institute of Standards and Technology (NIST).

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a)    All work is to be accomplished in accordance with ICAs and any other maintenance instructions.
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b)    The shift turnover procedures must be in accordance with the air carrier’s manual, not the repair station’s procedures.
4)    Flammable and hazardous materials are properly segregated and stored.
5)    Serviceable and unserviceable parts are identified and segregated.
6)    Shelf life limits are controlled.
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7)    Review a copy of the audit form if the air carrier or operator’s internal audit system incorporates an “in-process audit.” Ask the operator whether you can use the form to observe that it accomplishes its intended task.
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8)    The CMP’s parts-scrapping procedures must be in accordance with the air carrier’s procedures.
9)    Duty time limitations must be in accordance with the air carrier’s manual procedures.

N.    Analyze Findings. Upon completion of the inspection, record all deficiencies and determine the appropriate corrective action(s).

O.    Debrief the Contractor Facility’s Management Team. Before leaving the facility, discuss the discrepancies and leave a courtesy copy of the inspection with the facility’s or contractor’s management. Clarify that this is a preliminary listing.

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P.    Determine Whether Any of the Findings Pertain to an Apparent Noncompliance Issue. Common courtesy dictates that the inspecting ASI contact the repair station’s responsible Flight Standards office and PI. The inspecting ASI and the maintenance provider’s management should discuss the conditions and nature of the alleged discrepancy to ensure that all parties are aware of the condition.

Q.    Complete Appropriate Forms. When the inspecting ASI returns to his or her workplace, the inspector must complete the appropriate forms and enter the inspection into the appropriate database.

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R.    Communicate Findings. If the inspection was performed by the Flight Standards District Office (FSDO) with oversight responsibility, that FSDO is responsible for coordinating all findings with the responsible Flight Standards office, the assigned PIs, and, for Canadian AMOs, the Aircraft Maintenance Engineers (AME).

6-1129    TASK OUTCOMES.

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A.    Complete the PTRS Record. For parts 129, 91K, and 125, the surveillance is recorded under PTRS activity code 3640 or 5640.

B.    Complete the Applicable SAS DCTs. For part 135, follow SAS Volume 10, Chapter 5 guidance for Data Collection and Data Reporting.

C.    New PTRS Activity Codes.

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1)    Figure 6-40, Description and Definitions for New PTRS Activity Codes, provides the description and definitions for the new PTRS activity codes. The recording requirements for surveillance activities in the PTRS record for CMP/facilities include activities to:

    Describe the initial evaluation of a contract maintenance facility,

    Describe an onsite inspection of that facility,

    Evaluate the contractual agreement between the air carrier and the maintenance facility, and

    Record a review of any revisions to that contractual agreement.

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2)    PTRS activity codes 3624 (maintenance) and 5624 (avionics) were developed to track inspection observations at a CMP/facility that does not perform essential maintenance for the operator.
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D.    A Canadian AMO Does Not Have PTRS Designators. When entering the results of this type of inspection in the PTRS, place the AMO name and operating number as it appears on the Transport Canada Operating Certificate in the “Non-Cert Activity Name/Company” field of Section I of the PTRS record.

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E.    Section I of the PTRS Record. When completing Section I of the PTRS record for a Canadian AMO, ASIs will list the name of the maintenance provider in the “Affiliated Designator” field or “Non-Cert Activity Name/Company” field if a PTRS designator does not exist.

NOTE:  A Canadian AMO is not a part 145 CRS.

NOTE:  All other information is the same.

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6-1130    FUTURE ACTIVITIES. For parts 129 and 125, if deficiencies were noted during the surveillance, follow-up inspections are authorized.

Figure 6-40.  Description and Definitions for New PTRS Activity Codes

APPLICABLE 14 CFRs

PTRS ACTIVITY CODE

SURVEILLANCE

AFFILIATED DESIGNATOR

125, 129

3624/5624

New

Onsite inspection. Surveillance of any contract maintenance provider/facility not covered under the essential maintenance provider. PTRS description: SURVL/INSP NON‑ESS/MX/PROVD

Required

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Figure 6-41.  Sample Basic Surveillance Plan

PROGRAM TRACKING AND REPORTING SUBSYSTEM DATA SHEET

SECTION I—Transmittal

Name Code:

Record ID:

Activity Number:

FAR:

Start Date:

Status:

Call-up Date:

Designator:

Results:

Closed Date:

Affiliated Designator:

Location:

****

SECTION II—AS REQUIRED

SECTION III—AS REQUIRED

SECTION IV—COMMENTS (unlimited)

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Primary Area

Keyword

Opinion Code

I, U, P

CONTRACT MAINTENANCE FACILITY

INSPECTION (3640/5640/3624/5624)

EVALUATION (3338/5378)

 

 

 

1.0 OPERATOR’S CONTRACTOR

 

 

1.1

Review the contract maintenance provider’s (CMP) certificate and operations specifications (OpSpecs) (only required if it is a certificated repair station or air carrier).

 

 

1.2

Review the air carrier’s or operator’s work scope and work instructions to the CMP.

 

 

 

2.0 TECHNICAL LIBRARY

 

 

2.1

Inspect the library:

1)  Ensure the contract maintenance facilities library is available for use by all facility personnel. Library contents should include but are not limited to:

a)  The contract agency’s Repair Station Manual (RSM) and Quality Control Manual (QCM);

b)  If applicable, the air carrier’s or operator’s maintenance manual;

c)  Current applicable advisory circulars (AC), Airworthiness Directives (AD), and Type Certificate Data Sheets (TCDS);

d)  * Manufacturers’ aircraft, engine, propeller, appliance, and emergency equipment maintenance and component repair manuals;

e)  If applicable, the air carrier’s or operator’s aircraft, engine, propeller, appliance, and emergency equipment maintenance and component repair manuals; and

f)  If applicable, task cards (phase/calendar), Engineering Orders (EO), and pertinent instructions for continued airworthiness (ICA).

2)  Does the CMP have published procedures consistent throughout their manual system?

 

 

 

3.0 AIRCRAFT RECORDS

 

 

3.1

Inspect the records (maintenance records, aircraft, powerplant, propeller, component, appliances, etc.). Sample the used records to ensure that the work is accomplished and documented in accordance with the air carrier’s or operator’s manual.

 

 

 

4.0 TRAINING RECORDS

 

 

4.1

Personnel training records (if applicable):

1)  Review the CMP’s personal training records.

2)  Are the CMP inspection personnel training records maintained and kept current in accordance with the repair station’s training program requirement?

3)  Ensure their maintenance personnel have been trained in accordance with the air carrier’s training requirements.

4)  Ensure personnel working on the air carrier’s or operator’s aircraft are trained for the work contracted.

 

 

 

5.0 INSPECTION DEPARTMENT

 

 

5.1

*Inspect the quality control (QC) system:

1)  Responsibilities for maintenance and inspection functions are separated.

2)  Staffing reflects the complexity of the operation.

3)  Personnel are appropriately certificated, qualified, and trained to perform inspections under the operator’s program.

 

 

5.2

Personnel performing Required Inspection Items (RII) (if applicable):

1)  Does the list include the type of equipment and limitations authorized?

2)  Is the number of authorized RII inspectors at a level that would support the air carrier’s or operator’s contract requirements?

 

 

 

6.0 CONTRACT MAINTENANCE FACILITIES SYSTEM

 

 

6.1

Procedures for controlling accountability and documentation:

1)  Is the maintenance accomplished as specified in the air carrier’s or operator’s contract, work instructions, and ICA?

2)  Are procedures in place that direct the flow and control of all maintenance and inspection records?

 

 

6.2

* Are the CMP’s incoming parts and supplies inspected and tagged in accordance with the RSM?

 

 

6.3

Are the air carrier’s incoming parts and supplies inspected and tagged in accordance with the air carrier’s or operator’s maintenance manual?

 

 

 

7.0 HANGAR FACILITIES

 

 

7.1

Are the facilities adequate for the work performed?

1)  Do space, lighting, and ventilation reflect the requirements of the work being performed?

2)  Are safety procedures established and adhered to?

3)  Procedures—Direct the flow and control of all maintenance and inspection records.

 

 

7.2

* Parts and storage areas:

1)  Available for the air carrier’s or operator’s equipment?

2)  Has the air carrier or operator propositioned spare parts so that they are available to support the complexity of the maintenance requirement?

 

 

7.3

Are receiving inspections accomplished in accordance with the operator’s manuals/procedures?

 

 

7.4

Components and hardware: are they properly identified, protected, and classified as to serviceability?

 

 

7.5

Shift turnover procedures should be in accordance with the air carrier’s manual. The procedures should be in place and utilized by the CMP.

 

 

7.6

Special tools and test equipment:

NOTE:  The repair station’s calibration program is not under inspection at this time. However, if the air carrier or operator has adopted the repair station program, ensure there is documentation to show the operator has inspected the CMP’s program before acceptance. In all cases, all calibrations programs must be in accordance with the National Institute of Standards and Technology (NIST).

1)  If foreign manufactured, are they to the standards of the country where they were manufactured?

2)  Does the Administrator approve the standards?

3)  Are there appropriate types and quantities available?

4)  Is proper storage and protection utilized?

 

 

7.7

Flammable and hazardous materials are properly segregated and stored.

 

 

7.8

Are serviceable and unserviceable parts and hardware identified and segregated?

 

 

7.9

For local use.

 

 

 

8.0 SHELF LIFE

 

 

8.1

Shelf life limits: Are they controlled in accordance with the air carrier’s or operator’s manual or manufacturer’s recommendations?

 

 

 

9.0 ENGINEERING DEPARTMENT

 

 

9.1

Inspect the engineering department (if applicable):

1)  Is the staffing adequate for the complexity of assigned duties?

2)  Are the personnel qualified?

 

 

9.2

Is all required technical data current and available? (Refer to AC 120-77, Maintenance and Alteration Data.)

 

 

9.3

If applicable, are air carrier or operator EOs accomplished and recorded in accordance with the air carrier’s or operator’s manual procedures?

 

 

9.4

Major repairs and alterations:

1)  Accomplished in accordance with FAA-approved data (refer to Order 8900.1)?

2) Are major repair reports retained and available?

 

 

 

10.0 MAINTENANCE PRODUCTION/PLANNING CONTROL INSPECTION

 

 

10.1

Is there evidence that the planning system is effective? Review:

1)  Inspection/overhaul scheduling.

2)  Facility scheduling.

3)  Parts forecast.

4)  Personnel requirements, and communication with other departments.

 

 

10.2

Service Difficulty Report (SDR) reporting requirements are in coordination with the air carrier’s procedures, and the requirements of 14 CFR part 145, § 145.221.

 

 

 

11.0 REPAIR STATION WITH LINE RATING (OPSPEC D107, LINE MAINTENANCE AUTHORIZATION)

 

 

 

NOTES:

Date:

Originator: (If Required)

Office:

Inspector Signature: (If Required)

Supervisor Initials: (If Required)

RESERVED. Paragraphs 6-1131 through 6-1145.