3/11/21

 

8900.1 CHG 743

VOLUME 12  INTERNATIONAL AVIATION

CHAPTER 7  INTERNATIONAL FIELD OFFICE: MAINTENANCE INSPECTIONS, AUDITS, AND OTHER ACTIVITY

Section 5   Safety Assurance System: International Field Office Turnover Provisions of FAA-Certificated Repair Stations to an Aviation Authority Under a BASA/MIP

5.1    GENERAL.

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5.1.1    Purpose. This section must be used for Federal Aviation Administration (FAA) repair stations located outside of the United States and its territories under a Maintenance Implementation Procedure (MIP) of a Bilateral Aviation Safety Agreement (BASA). It describes the procedures for the turnover of FAA-certificated repair stations located outside the territory of the United States to a regulatory aviation authority (AA) of a foreign country. This publication applies to any country with a signed BASA/MIP with the United States. The Flight Standards Service (FS) International Program Division (AFS-50), Aircraft Maintenance Division (AFS‑300), and the Aircraft Certification Service (AIR) International Division (AIR-400) list the statuses of countries on the FAA’s website at https://www.faa.gov/aircraft/air_cert/international/bilateral_agreements/baa_basa_listing.

5.1.2    Scope. This section is applicable to all FAA International Field Offices (IFO) and FS offices having responsibilities associated with International Civil Aviation Organization (ICAO) Member States.

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5.1.3    Program Tracking and Reporting Subsystem (PTRS) Activity Codes. None.

5.1.4    Regulatory References. All regulatory references in this section are found in the Title 14 Code of Federal Regulations (14 CFR) unless otherwise indicated.

Note:  BASA Implementation Procedures (IP) are inclusive and cover Simulator Implementation Procedures (SIP), MIPs, and IPs for airworthiness. The European Union (EU) IPs are contained in the U.S./EU Aviation Safety Agreement (the Agreement), Annex 2, Maintenance. The EU Annex is similar to a MIP, and the terms are synonymous in this guidance.

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5.1.5    Requirements and Procedures. This section describes the requirements and procedures necessary to effectively and efficiently turn over surveillance and certification responsibilities to an AA that has signed a BASA/MIP with the United States. The FAA will always maintain the authority and be responsible for certification under part 145.

a)    Initial, renewal, or amendment certification requirements under a BASA/MIP are contained in the applicable Maintenance Agreement Guidance (MAG).

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b)    The applicable requirements for turning over the surveillance duties to an AA may be different for each country; the applicable MAG should be used along with this guidance.

Note:  Where differences are identified between the FAA Order 8900.1 guidance and the MAG, the MAG takes precedence.

5.1.6    Reporting System. Use Safety Assurance System (SAS) automation and the associated Data Collection Tools (DCT).

5.2    BACKGROUND.

5.2.1    Provisions of Part 145. The FAA certificates repair stations located outside the United States operating under the provisions of part 145. The certification of these 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 continues to expand with the corresponding increase in international air travel and the increase of foreign-manufactured aeronautical products used by U.S. operators.

5.2.2    Foreign National Requirements. Similarly, foreign countries 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. In countries where certificated maintenance facilities are located, the AA developed their own extensive inspection, surveillance, evaluation, and certification programs. The AA developed these programs to ensure repair facilities accomplish maintenance, preventive maintenance, and modification/alteration of aeronautical products subject to their airworthiness regulations according to specific national standards.

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5.2.3    Absent BASA/MIP Procedures. In the absence of a BASA and corresponding MIP, an Approved Maintenance Organization (AMO) in a foreign country conducting maintenance under the foreign countries’ airworthiness regulations, and on aeronautical products subject to 14 CFR in 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 or more sets of standards: the FAA’s and the AA’s.

5.2.4    MIP Conclusions. The conclusion of a MIP provides for the:

a)    FAA acceptance of AA recommendations for certification, amendment, renewal, and documentation of surveillance findings, when the FAA issues certificates to repair stations based outside of the United States.

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b)    AA acceptance of FAA recommendations for certification, amendments, renewal, and documentation of surveillance findings, when the AA issues certificates to U.S.-based AMOs.

Note:  Either case results in increased efficiency by reducing or eliminating duplicate surveillance, evaluation, and inspection of repair facilities conducted by the FAA and AA. The FAA and AA achieve program goals when they reduce or eliminate duplicate activities while maintaining equivalent levels of safety.

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5.2.5    MIP Establishment Provisions. The FAA and AA base MIPs on an evaluation of parts 43 and 145 and foreign national regulations governing repair stations or AMOs. FAA Order 8000.85, FAA Program for the Establishment of a MIP Under the Provisions of a BASA, describes the procedures to develop a MIP. The MIP evaluation determines the areas where these regulations and requirements are harmonized, equivalent, or areas where they differ. The evaluation also determines the FAA’s and AA’s ability to carry out surveillance on each other’s behalf.

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5.2.6    Maintenance Annex Guidance (MAG) and Maintenance Agreement Guidance (MAG). The FAA developed some unique policies pertaining specifically to foreign repair stations under a BASA/MIP. The MAG is a MIP-authorized procedural document, which explains the Special Conditions requirements and defines the recommendation processes for certification, renewal, or amendments to the certificate, of eligible repair stations and AMOs.

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Note:  The term used in this guidance for Maintenance Annex Guidance (MAG) only pertains to the EU under the Annex agreement, equivalent to a MIP. Maintenance Agreement Guidance (MAG) is specifically applicable to a country under a MIP and is not associated with the EU. The MAG terms in this guidance are synonymous.

5.3    PREREQUISITES AND COORDINATION REQUIREMENTS.

5.3.1    Prerequisites.

    Knowledge of the regulatory requirements of parts 43 and 145.

    Successful completion of FAA Course 21058, Certification and Surveillance of Part 145 Repair Stations, Course, or equivalent.

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

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    Completion of training/briefing on the applicable country MAG requirements.

5.3.2    Coordination. This task requires coordination with the:

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    Repair station;

    AA of the country in which the applicant AMO is located;

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    AFS-300;

    AFS-50;

    International Field Office Management Branch (AFS-54); and

    FAA Coordinators (as applicable).

5.4    REFERENCES, FORMS, AND JOB AIDS.

5.4.1    References (current editions):

    Title 14 CFR Parts 43 and 145.

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    Volume 1, Chapter 3, Section 1, Safety Assurance System: Responsibilities of Aviation Safety Inspectors.

    Volume 2, Chapter 11, Certification of a Title 14 CFR Part 145 Repair Station.

    Volume 10, Safety Assurance System Policy and Procedures.

    Volume 12, Chapter 7, International Field Office: Maintenance Inspections, Audits, and Other Activity.

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     Volume 14, Chapter 1, Section 2, Flight Standards Service Compliance Action Decision Procedure.

    Advisory Circular (AC) 145-11, Repair Station Guidance for Compliance with the Safety Agreement Between the United States and the European Union (for EU Member States only).

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

    The applicable MIPs.

    EU Annex 2 (Maintenance Annex Extract). For EU Member States only.

    The applicable MAG.

5.4.2    Forms:

    FAA Form 8000-4, Air Agency Certificate.

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    FAA Form 8000-4-1, Repair Station Operations Specifications, Automated Repair Station Operations Specifications (OpSpecs).

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    FAA Form 8400-6, Pre-application Statement of Intent.

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

    AA approval certificate and documentation defining the AMO’s limitations or scope of work or approval.

    AA surveillance/inspection report and AA Recommendation for FAA Certification/Renewal/Amendment.

    AA internal evaluation report (in the case of the European Union Aviation Safety Agency (EASA), Standardization Inspection Report).

    Documentation supporting continuing need.

5.4.3    Job Aids. See applicable MAG.

5.5    PRE-TURNOVER PROCESS.

5.5.1    Repair Station/AMO Expiration Dates. Before implementing the MIP, both the AA and FAA must work together to align repair station/AMO expiration dates. This process must start as early as possible to facilitate a smooth and efficient turnover process.

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Note:  Repair stations that have FAA exemptions or do not hold an AA certificate for the same scope of maintenance within the AA rating system prior to MIP implementation will need to be reviewed by AFS-300 and the AFS-54 on a case-by-case basis before the turnover.

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5.5.2    Identifying Repair Stations for Turnover. The FAA IFO must identify the repair stations that will be turned over to the AA. Any repair station that has a significant violation history with the IFO within a 2-year period prior to turnover will remain under FAA surveillance and will not be turned over until the FAA is satisfied that the repair stations can meet the MIP requirements. The IFO will establish a list of eligible repair stations and coordinate that list with the AA, the FAA National Coordinator, and the FAA Coordinator (AFS-54). A turnover inspection/followup may be performed with the AA if deemed necessary by FAA management.

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5.5.3    Supplement to Accepted/Approved Manuals. Once the MIP is signed and the repair stations are identified and agreed upon, the FAA and AA should request that each repair station review the MAG and submit an FAA supplement to their AMO accepted/approved manuals as outlined in the MAG. The repair stations/AMOs should be thoroughly familiar with the Special Conditions as outlined in the MAG.

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5.5.4    FAA and AA Trainings/Briefings. The FAA and AA inspectors/surveyors must have completed the training/briefings as required in the MAG prior to the turnover process.

5.6    TURNOVER PROCEDURES.

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5.6.1    Surveillance. Once the MIP is in force, the FAA IFO may start to turn over the surveillance responsibility of repair stations to the applicable AA. To ensure a smooth transition, it is essential that the responsibilities of the FAA and the AA be agreed to as outlined below.

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Note:  An existing FAA repair station which does not hold the same scope of maintenance authorized by the AA certificate and ratings may apply to have the FAA limit the rating(s), add limitations, or continue operations not under the MIP agreement. AFS-300, AFS-54, and the IFO must be informed of the stand-alone FAA facilities that do not meet the MIP requirements for the FAA to continue surveillance.

5.6.2    Manual Requirements. It must be understood that the initial turnover of FAA repair stations in a MIP country involves the AA reviewing and accepting the FAA supplement on behalf of the FAA. This must be accomplished before the effective turnover date. It is not necessary for the FAA to review the AMO’s manual or FAA supplement if they are satisfied with the training the AA received. The MAG contains specific instructions and an example of the required supplement.

5.6.3    Expiration Dates. Expiration dates should have been aligned during the MIP development process. There should be at least a minimum of 6 months remaining on the FAA certificate before the turnover. The alignment must ensure the AA is scheduled to perform their renewal inspection to include the FAA Special Conditions. For unforeseen events, if the alignment of the expiration dates cannot be accomplished, the FAA will conduct the renewal inspection to allow additional time for the turnover.

5.6.4    Records. The transfer of records should only involve the FAA turning over the most current certification/surveillance records to the applicable AA. The repair stations have been under FAA surveillance for a given period of time; therefore, the FAA should be assured that the repair stations are in compliance at the time of turnover.

5.6.5    Timeframe.

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a)    Once the MIP is in force, the FAA IFO and AA will formulate a schedule identifying repair stations to be turned over and will establish a target date. An agreed-upon list will be developed and submitted to AFS-300, AFS-54, and AA headquarters (in the case of additional countries added under EASA, a copy should be forwarded to the EASA maintenance division to monitor progress). The turnover will be accomplished by the FAA and AA, not by the repair stations. This process is intended to avoid misunderstandings and reduce unnecessarily lengthy turnover procedures.

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b)    Once the FAA IFO finalizes the turnover schedule, the IFO should provide written notification to the repair stations to inform them of the turnover dates. In addition to formal training, the FAA may provide further technical assistance, clarification, or workshop briefings as agreed to during the MIP development process.

5.6.6    FAA Responsibilities/Actions.

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a)    The FAA National Coordinator (Repair Stations Branch (AFS-340)) will:

    Complete the MIP development using Order 8000.85 as revised.

    Ensure the scheduled signing of the MIP is agreed upon by the FAA and AA.

    Develop the MAG and review Order 8900.1 applicable guidance for necessary changes.

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    Develop training courses as required and coordinate training with the IFOs, applicable Inspectors, and FAA Coordinators.

    Be the point of contact for scheduling AA sampling inspections for repair stations within the United States.

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b)    The FAA Coordinator (AFS-54) will:

    Serve as the primary liaison with the FAA National Coordinator (AFS-340) on matters regarding policy for FAA-certificated repair stations located outside the United States.

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    Be the primary liaison for communication with AFS-340 and the AA with whom the FAA has an Aviation Safety Agreement concerning matters involving terms of the applicable agreement.

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    Participate in and/or assist the AFS-340 (as requested) with training/workshops to the AAs and industry.

    Review Sampling Inspection System (SIS) candidates submitted by the FAA Coordinator (IFO) for risk-based justification and provide a list of candidates to the FAA National Coordinator for concurrence.

    Monitor the activities of FAA Coordinators (IFO) through document review and periodic audits to ensure compliance with established standards.

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    Provide guidance and assistance to FAA Coordinators located in the IFO(s).

c)    The FAA Coordinator (IFO) will:

    Be assigned as an IFO-FAA Coordinator for specific countries.

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    Be the primary focal point for communication with AA representatives in countries with whom the FAA has a MIP.

    Ensure completion of training on the MIP and MAG requirements prior to the turnover.

    Establish a line of communication with the appropriate AA representative to ensure any issues/concerns regarding BASA/MIP turnover are resolved.

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    Review FAA and AA certificate expiration dates.

    Verify the FAA ratings for the scope of work do not exceed the AA ratings and scope of work per the MAG.

    Ensure any FAA-authorized additional locations, line maintenance, or satellite facilities do not exceed the AMO authorized locations.

    Maintain repair station files of FAA-certificated air agencies located outside the United States.

    Ensure all outstanding findings/concerns have been satisfied prior to the turnover.

    Identify information to be turned over to the AA.

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    Coordinate a list (including target dates) of repair stations to be turned over to the AA.

    Ensure all outstanding findings have a corrective action plan (CAP) agreed upon by the FAA and the AA. Any open enforcement actions must be resolved prior to the turnover.

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    Provide a letter from the IFO to the AA that includes requesting AA surveillance responsibility (Acknowledgment of Surveillance Responsibility). The letter should be used for each repair station when the surveillance responsibility is turned over to the AA.

    Conduct the analysis and determination for FAA sampling inspections for FAA facilities under the MIP using the MAG procedures.

    Monitor renewal package discrepancies from the AA.

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Note 1:  If an issue or concern cannot be resolved between the FAA principal inspector (PI) and the AA representative, it should be raised to the next management level for resolution. Issues or concerns of a policy nature should be addressed to the FAA Coordinator (AFS-54).

Note 2:  It is not necessary to review the AMO’s FAA manual supplement or maintenance organization exposition (MOE). This is now the responsibility of the AA to review and accept FAA manual supplements and revisions on the FAA’s behalf.

5.6.7    AA Responsibilities/Actions. The AA will:

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a)    Designate an AA representative to serve as a liaison to the FAA IFO in the resolution of any concerns/issues arising from the MIP turnover.

b)    Ensure the AA representative and inspector/surveyor have AA training in MIP procedures and MAG requirements prior to the turnover.

c)    Establish a line of communication with the appropriate FAA Coordinator to ensure any issues/concerns.

d)    Review and approve the current revision of the FAA supplement.

e)    Establish and coordinate a list that includes target dates of repair stations/AMOs to be accepted for turnover.

f)    Work with the FAA in aligning FAA and AA certificate expiration dates.

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g)    Ensure FAA Special Conditions are included into the surveillance plan.

5.7    TURNOVER OF REPAIR STATION PROCEDURES.

5.7.1    IFO Turnover Procedures. The IFO will:

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a)    Prepare and sign a letter (once the MIP is in force) for each repair station titled “Notification of Transition to the MIP.” This letter notifies the repair stations of the MIP agreement and summarizes the turnover conditions in the applicable MAG. The letter also advises the repair station to provide the AA with an FAA supplement prior to the turnover and indicates when the turnover is scheduled. The next renewal should be accomplished by the AA under the MAG procedures.

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b)    Provide the most current documentation for the repair station being turned over to the AA per the applicable MAG.

c)    At the discretion of FAA management, conduct a joint surveillance of the repair station with the AA to ensure any outstanding findings have been resolved and there are no new findings.

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Note:  There may be occasions when a short-term certificate may be issued while corrective action is taking place. In those cases, the short-term certificate should be issued for no more than 90 days and only with the agreement of the AA. Once all corrective action has been completed to the satisfaction of the FAA and AA, the certificate can be turned over. The certificate may be renewed for the balance of the remaining 24 months from its original renewal date.

d)    Coordinate with AA inspectors and discuss the turnover process during the actual turnover.

e)    Identify a target turnover date and sign correspondence indicating both the FAA and the AA agree to the turnover of surveillance for the repair station.

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f)    The IFO must maintain a current listing of all AA-accepted supplements until the turnover is completed.

g)    Amend FAA OpSpecs per the applicable MAG for the turnover. Ensure the FAA’s scope of authorized maintenance does not exceed the AMO’s scope of authorized maintenance. Ensure the AMOs additional AA‑authorized locations align with FAA repair station locations. The MAG contains a cross-reference chart for aligning the ratings and how to document the AMO certificate and limitations.

h)    Amend FAA Form 8000-4 as required per the applicable MAG.

i)    Finalize prescribed fees as appropriate.

j)    Complete SAS automation and change the repair station from Peer Group 145G to Peer Group 145H.

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k)    To ensure the AA understands all the elements of the turnover process, perform the following additional procedures for the initial first set of repair stations:

1)    Coordinate with the National Coordinator (AFS-300) and the FAA Coordinator (AFS-54) for a joint review of the turnover packages as needed.

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2)    Conduct a face-to-face meeting for the initial set of turnovers. This should include a short briefing to recap the program and reinforce intra-agency communication. Assistance from the National Coordinator and the FAA Coordinator (AFS-54) may be requested to ensure standardization in conveying MAG procedures.

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l)    Once FAA certificates have been turned over and accepted by the AA, the IFO can expect the AA to provide them with a complete renewal package as identified in the MAG during the next repair station renewal cycle.

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5.7.2    AA Turnover Procedures. The AA will:

a)    Accept surveillance responsibilities for each repair station turned over.

b)    Conduct surveillance of the repair stations on the FAA’s behalf as described in the applicable MAG. Provide the FAA with a copy of the appropriate surveillance form(s), which include surveillance of the FAA Special Conditions.

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c)    Promptly notify the FAA on reporting requirement issues, or any investigation into noncompliance that can result in the loss of the AMO’s approval and/or suspension of its AA certificate.

Note:  The MIP may limit geographic authorizations, additional fixed locations, and line station authorizations at locations outside the territories of the MIP country. See the applicable MAG for any limitations placed on locations in that foreign country.

5.7.3    FAA PI Turnover Procedures. The FAA PI will:

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a)    Amend FAA Form 8000-4. The certificate must contain the appropriate FAA rating (i.e., limited airframe) using the cross-reference chart in the applicable MAG. There are some occasions when the AA rating may exceed the FAA rating. In these cases, the FAA may add an additional limited rating to cover the scope of work of the AA rating to allow the same privileges based on need.

b)    Complete the form and pay particular attention to the following:

1)    The FAA inspector must adjust the expiration date of the part 145 certificate renewal to coincide with the AMO’s AA certificate expiration date. The date indicated after “shall continue in effect” should not exceed 24 months from its renewal date; however, it may be less than 24 months.

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Note:  Some AA certificates are renewed on an annual basis and may not align with the FAA 24-month period. Communication with the AA is essential and confirmation of the AA annual renewal needs to be documented. MAG procedures require the AA to immediately notify the FAA if the AA certificate expires, or is suspended, surrendered, or terminated. Ensure the AA is scheduled to complete the renewal to include FAA Special Conditions when adjusting the FAA expiration date.

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2)    Review the repair station’s authorization under its current ratings to ensure the FAA ratings and limitations do not exceed the AA ratings and scope of work. The MAG will contain specific guidance on the ratings and limitations for certificates.

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c)    The FAA inspector will complete OpSpecs. Particular attention should be given to the following:

1)    Select the appropriate A001 subparagraph d for the MIP or EU Annex 2.

2)    Ensure the AMO line station authorization(s) align to the locations listed in D107. The FAA cannot list (D107) locations that are not authorized under the AMO approval. Contact the AA for a listing of locations. All line station locations must be under the AA surveillance and within the territories as specified in the applicable MAG.

Note:  The requirement to add U.S.-registered aircraft to D107 locations in support of U.S. air carriers should be coordinated with the responsible Flight Standards office of the air carrier. Ensure the AA has conducted surveillance for the tooling, equipment, personnel and manuals to support the air carrier’s operations before issuing D107.

3)    Geographic Authorization (OpSpec B050) for line stations located outside the geographic boundaries of the MIP country must specifically be authorized in the MIP. Ensure the authorized locations are under the surveillance of the AA.

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4)    OpSpec A003 may include the appropriate AA certificate number in the limitations section. In some instances, the AA certificate may not provide enough information on the articles or any limitations. In these cases, the MOE may contain additional limitations called “Scope of Work.” The A003 limitations block may reference the MOE paragraph for the scope of work to identify any limitations.

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Note:  Repair stations located in the EU, United Kingdom of Great Britain and Northern Ireland, or Switzerland may use OpSpec A060 when referencing the foreign part 145 ratings.

5)    FAA-approved data may not be acceptable to the AA. In these cases, the repair station’s OpSpecs may reference the FAA-approved data as it only applies to U.S.-registered aircraft or components for installation on U.S.-registered aircraft. The applicable MAG must be reviewed for the issuance of a Specialized Service rating.

d)    The FAA ASI will:

1)    Retain all documents listed in the applicable MAG for inclusion in the IFO repair station certification file.

2)    Update the SAS Vitals Information in the same manner with the data provided by the repair station. Ensure the Bilateral Agreement block is checked and the AA certificate number with the expiration date is documented.

5.8    TASK OUTCOMES.

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5.8.1    Complete the Task. Follow Volume 10 for completion of SAS Activity Recording (SAS AR) or DCT.

5.8.2    Conduct Debriefing. Brief the certificate holder on the inspection results. Discuss all deficiencies, certificate holder corrective actions, and FAA actions. The ASI can find instructions for conducting briefing in Volume 1, Chapter 3, Section 1.

5.8.3    Document the Task. Place all supporting paperwork in the certificate holder’s office file. Update the Vitals tab in the SAS configuration module, as required.

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5.8.4    Compliance and Enforcement Action. If safety issues and/or regulatory noncompliance are identified, follow the process contained in Volume 14, Chapter 1, Section 2 to determine the appropriate FAA compliance or enforcement action.

5.9    FUTURE ACTIVITIES. Follow Volume 10 guidance to plan future risk-based surveillance in SAS.