revision #38 1/2/2002 if you think training is expensive try ignorance

Revision #38 1/2/2002

If You Think Training Is Expensive

Try Ignorance

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IntroductionsIntroductions

Facilitators/Instructors

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AgendaAgenda

C.A.S.E. 1A StandardWhy do we have the

StandardSome FundamentalsReviewTest-70% min passing

closed book test

No Exceptions-waiting period min 3 months

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Let’s Get StartedLet’s Get Started

It just won’t work without class participation-we facilitate

Speak up, voice your opinion, ask your questions

We’re all going to be working together in the future, lets loosen up and get started!

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Fundamental Rules of Auditing


1. The FAA specifies that only CASE sustaining member airlines may use the Register to satisfy the requirement to perform an on-site audit in accordance with FAR’s and Continuing Analysis and Surveillance. [FAR 121.373, 135.431]

The FAA regards any contract maintenance as an extension of the Air Carrier’s maintenance program.

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2. Auditing is a function of management. The audit will review a facility for regulatory compliance based on sampling techniques.

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Fundamentals ContinuedFundamentals Continued

3. The persons performing the audits must be qualified to accomplish the task. It is not necessary that the person be totally qualified in every area audited.

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4. Audits must be performed against defined standards. Audits should also ensure that the organization stays in compliance as standards are changed.

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5. Any conclusions drawn from an audit

must be based on FACT. The

professional auditor removes any opinions

from findings during the audit process.

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What do we auditWhat do we audit

1. Policies and ProceduresPolicy- A defined set of rules.Procedures-The method of accomplishing defined tasks.

2. Quality SystemsWork Processes

3. FacilitiesTooling and EquipmentHousing

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The C.A.S.E. 1A Standard The C.A.S.E. 1A Standard

GeneralQuality Program InspectionTechnical Data ProgramShelf Life ProgramTool/Test Equipment

Calibration ProgramTraining

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Housing and FacilitiesSafety, Security, and

Fire ProtectionStorageWork ProcessingShippingScraped Parts

GeneralQuality Control InspectionTech Data ControlShelf Life ProgramTool/Test Equip


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The C.A.S.E. 1A StandardThe C.A.S.E. 1A Standard



Housing and FacilitiesSafety/Security/Fire

ProtectionStorageWork ProcessingShippingScrapped Parts

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GeneralGeneral

A This standard is intended to be a This standard is intended to be a

supplement to applicable FARs. It is supplement to applicable FARs. It is

not meant to be a restatement or not meant to be a restatement or

replacement for the FARs.replacement for the FARs.

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General Cont’dGeneral Cont’d

B This standard, in conjunction with applicable FARs, describes the minimum requirements for a component repair/overhaul vendor's quality program. It is designed to aid surveillance of a vendor who performs maintenance, preventive maintenance or alteration on aircraft, engines, propellers, or component parts thereof. This standard may be used to determine the adequacy of the vendor's quality program [CASE].

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C Compliance with this standard does not necessarily accept a vendor for entry into the CASE Register. Vendors that are accepted for listing in the CASE register must continue to meet the requirements of this standard. Vendors listed in the CASE register may not advertise their CASE status or use the CASE logo. Refer to CACS/ARSS 7. [CASE]

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CACS/ARSS 7

Turn to the appropriate appendix in your P&P for a sample of this form.

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D. Vendors are subject to a technical audit at any time during normal working hours. The audit may be conducted by the customer or by another CASE member. The audit may encompass the entire technical portion of the vendor's operation or any part thereof.

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D cont’d

Normally, the auditor will notify the vendor and arrange the audit so as to cause minimal interference with the vendor's operation. However, should circumstances dictate, the auditor may arrive unannounced. [CASE]

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E In addition to complying with this standard, all activities shall be accomplished in accordance with applicable portions of Federal Aviation Regulations Parts 43, 145, 121 Subpart L, 135 Subpart J, and regulations referenced therein. [145.2, 145.53 145.57]

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F The Original Equipment Manufacturer (OEM) may modify or rebuild parts manufactured under the manufacturer's authorization (PMA, PC, TSO, etc.), but must have a repair station certificate or be a Manufacturers Maintenance Facility (MMF) to overhaul or repair a part it manufactures.

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F cont,d

An MMF must meet all the requirements of the 1A standard (regardless of the exemptions in FAR 145) in order to be considered for update or addition to the CASE register. [145.1, 43.2, 43.3]

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G An acceptable audit result does not relieve

the vendor of its responsibility to provide

an acceptable product. [CASE]

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H All CASE listed vendors shall maintain for a

period of three years, audit findings and corrective

actions resulting from a 1A Standard Audit. This

file shall be accessible to any CASE authorized

auditor on request. [CASE]Review the file for repeat findings, proper corrective action, and implementation of

root cause analysis procedures.

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General Cont’dGeneral Cont’dI Definitions: [FAR 1.1]

(1) Maintenance - Means inspection, overhaul, repair, preservation, and the replacement of parts, but excludes preventive maintenance.

(2) Person - Means an individual, firm, partnership, corporation, company, association, joint-stock association, or governmental entity. It includes a trustee, receiver, assignee, or similar representative of any of them.

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J Any license or certification required by Federal

Aviation Regulations of any individual,

equipment, or facility shall be kept current and

shall be available for inspection. [145.39,

145.103, 145.17]

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K Vendors that deal in non-aircraft parts, materials,

or maintenance activities shall segregate the

aircraft function from other functions to preclude

getting unapproved parts or materials on an

aircraft unit. [145.35]

What are some examples of segregation methods?

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Examples

Bar Coding

Id Tags

Physical Separation

Floor Markings

Shelf Identification


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L The vendor shall display its Air Agency Certificate and

ratings at a place in the repair station that is normally

accessible to the public and is not obscured. [145.19]

Ensure ROV is working to its Operation Specifications and in

the case of a Limited Rating, the limited capability list is

approved by the FAA and documented on the Ops Spec.

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General Cont’dGeneral Cont’dM The U.S. Domestic repair stations shall have an active,

FAA approved anti-drug & alcohol testing plan that complies with FAR 121, appendix I and J. The plan may be the vendor's plan, a consortium plan to which the vendor subscribes, or an air carrier customer's plan. The Anti-Drug/AMPP program should include the following:

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M Cont’d1. Program Manager

Has program knowledge and is still employed by the company2. Copy of the program certification letter

reflecting the following:FAA acceptance Number of covered employeesIdentification of Medical Review

Officer (MRO)Plan NumberROV name and certificate number


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M cont’d

The vendor shall provide proof of membership in the plan and FAA acceptance of the plan. Letters of acceptance or exemption must be from the Drug Abatement Branch, Office of Aviation Medicine, Washington, DC. not from regional offices.

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M. The US. domestic repair stations shall have an active, FAA approved anti-drug & alcohol testing plan that complies with FAR 121, Appendix I. The plan may be the vendor's plan, a consortium plan to which the vendor subscribes, or an air carrier customer's plan. The vendor shall provide proof of membership in the plan and FAA acceptance of the plan. Letters of acceptance or exemption must be from the Drug Abatement Branch Office of Aviation Medicine, Washington, DC, not from regional offices

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All programs (e.g. shelf life, technical data, tool

calibration, and scrap parts) that require a person

by title, to be responsible for the effectiveness of

the program must have a back-up person, by title,

to ensure the programs continuity during the

primary individual’s absence. [CASE]

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Each certificate holder (or person performing maintenance or preventive maintenance functions for it) shall relieve each person performing such work from duty for a period of at least twenty-four consecutive hours during any seven consecutive days, or the equivalent thereof within any one calendar month. [121.377]

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CACS-20 or ARSS-20 is the CASE

checklist associated with this standard.

REFER TO YOUR P&P FOR A SAMPLE

OF THE FORM

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Fire ProtectionStorageWork ProcessingShippingScrap Parts

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Quality Control ProgramQuality Control Program

A. The vendor shall have an established

quality control program adequate to

assure a quality product or service

that complies with customer

specifications and applicable Federal

Aviation Regulations. [145.2, 145.45]

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B. The quality control program, including

procedures and operations, shall be

described in detail in a quality control manual

or other appropriate document. The

document shall include, but shall not be

limited to, a detailed description of: [145.45]

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1) The Quality Control Department, including an organizational chart showing the relationship of quality control to the rest of the organization. [121.365]

Confirm by reviewing Organizational Chart/Duties and Responsibilities.

2) Duties, responsibilities and reporting relationship of the inspectors. [121.365, 145.45, CASE]

Confirm by reviewing Organizational Chart/Duties and Responsibilities.

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Quality Control ProgramQuality Control Program3) Manuals and other technical data

distribution and revision control system. [145.57] Confirm Technical Data is current and ROV

has a procedure to maintain currency.

Examples of Technical Data:

CMMs, Wiring Diagrams, Drawings, Air Carrier Specifications, or any other data used to return an aircraft or aircraft component to service.

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Quality Control Program 4) Return-to-service procedure, documents, and

signature requirements. [43.5, 43.9, 145.59, 145.61] Signature roster Stamp Control 8130-3 or equivalent

5) Record keeping system and retention times. [43.5, 43.9, 145.61, 121.380]

Two years Stated in ROV’s IPM Files are stored to prevent loss or damaged Electronic Format

– Back-up Procedure

– Accepted by the FAA

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Quality Control ProgramQuality Control Program6) Personnel training requirements and

records. [121.375, 145.39, 145.45, 145.59] Documentation Record Retention

7) Shelf life control program. [43.13] Documentation Record Retention

8) Procedure/control of rejected and/or scrapped parts. [145.35]

Documentation Record Retention Return and/or mutilation procedure

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Quality Control Program

9) Receiving inspection procedures. [145.45]

Documentation Record Retention Approved vendor list Access Training and authorization for Inspectors

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10) A system for identifying customer materials parts and units throughout the

repair/overhaul process. [CASE]

11) Tool and test equipment, calibration program. [145.47]

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12) Housing and storage facilities. [145.35] Description Adequate for work performed

13) Facility environmental controls, as appropriate for work performed. [145.35]

NOTE: If forms are used in the accomplishment of any of these programs – they must be included in the IPM with instructions for completion and revision control to include date and form number.

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C. The Quality Control manual or document shall be kept current and be readily available to employees and to the customer's auditor or designee. [145.45]

It must be given to all supervisors and inspection personnel.

• There must be distribution list by title.

D. The vendor shall have an internal audit and surveillance function that: [CASE, 145.57]

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1) Periodically reviews its programs to assure that the programs have

procedures in place that assure compliance with customer specifications, regulatory requirements, and good industry

practice.– Review ROV checklist and audit schedule

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Quality Control ProgramQuality Control Program2) Verifies that operations are being conducted in

accordance with these programs. Review recently completed audit files

3) Verifies that work performed by a sub-contractor is a quality product that meets customer specifications and legal requirements. The vendor shall be responsible for any work performed by a sub-contractor.

Verify procedures for receiving parts from non-FAA certified sources. (use approved vendor list)

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E. The vendors' internal audit and surveillance function shall contain provisions to assure that appropriate corrective action is taken promptly to: [CASE]

1) Correct the discrepancies reported.2) Locate and correct similar

discrepancies, if they exist, in areas not audited

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3) Correct the root cause of the problem evidenced by the discrepancies.

NOTE: Root cause is not to be a restatement of the corrective

action.

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F. For vendors that perform Required Inspections Items (RII) as defined in FAR 121, the vendor's company structure shall be organized such that the inspection function

shall be separate from the maintenance repair and overhaul function. The

separation shall be below the level of administrative control at which overall responsibility for the inspection function and maintenance, repair, and overhaul function is exercised. [145.2, 121.365]

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G. The ROV shall maintain a list of its certified sub-contracted maintenance providers. In addition, the ROV must identify in its IPM those providers that are non-certificated. [145.11, 145.47]

Sample certificated sub-contractor files, for proof of Air Agency Certificate and Operations Specification.

Sub-Contractor list shall include:– Function (work performed)– Form– Repair Station Number

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Quality Control ProgramQuality Control ProgramH. Records of sub-contracted work must

show: [145.47]1) Proof that the sub-contractor is a

certificated repair station or,2) If the sub-contractor is not a certificated

repair station, the vendor himself shall determine the airworthiness of the article involved by inspection or test.

Sample sub-contractor work package for:– Appropriate support and control

– Tooling, Test Equipment, and Tech Data

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I. The vendor shall have a documented procedure in effect to report defects

and unairworthy conditions to the customer and the FAA. [121.703, 145.63]

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InspectionInspection

A. Each person performing required inspections must be appropriately certificated, properly trained, and authorized to do so. [145.39,

145.43, 145.45, 121.371]

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INSPECTION Cont’dINSPECTION Cont’d

B. Inspection personnel must be thoroughly familiar with the inspection methods, techniques, and equipment used in their specialty to determine the quality of airworthiness of the article being repaired or overhauled. They must: [145.45, 145.59]

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1) Maintain proficiency in those skills,2) Have available and understand all

applicable and current tolerances and procedures, and

3) Be able to properly identify defects.

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C. The vendor shall maintain an up-to- date roster of supervisory and inspection personnel. The roster shall include: [145.43, CASE]

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INSPECTION Cont’dINSPECTION Cont’d1) Its supervisory personnel, including names

of officials that are responsible for its management and the names of technical supervisors, such as foreman and crew chiefs.

2) Its inspection personnel, including the names of the chief inspector and those inspectors who make final airworthiness determinations before releasing an article to service.

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3) The names of all personnel authorized

by the repair station for return to

service of aircraft, engines, propellers or

components thereof.4) The inspections for which they are

authorized, including RII, if applicable.

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5) Repairman's or mechanic's certificate

numbers, if applicable.6) Current examples of inspector's

signatures, initials and/or ID stamp, as applicable.

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D. The station shall provide a summary

of employment for all personnel

listed on the repair station roster. It

shall include: [145.43]

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1) The persons present title,2) Their total years of experience in the

type of work he/she is doing,3) Their past employment record with

names of places and term of employment by month and year,

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4) The scope of their present employment, and

5) The type and number of the mechanic or repairman certificate that he/she holds and the ratings on that certificate.

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E. The vendor shall have a satisfactory method of assuring that: [145.45]

1) Incoming parts and materials comply with specifications.

2) The part is free of defects or malfunctions, and

3) The part is in a good state of preservation.

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The vendor shall maintain a record of inspections and tests used to make this verification.

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F. The vendor shall have a system for controlling inspection stamps, and production stamps if applicable, that includes the following: [CASE]

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1) A facsimile of each stamp type,2) A means of identifying who stamps

are issued to,3) A policy for stamps that are lost or

stolen,4) And a requirement that no stamp will

be reissued within a six month period to two different employees.

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Questions From Section 3: Inspection


5. INSPECTIONA. Are RII inspectors properly trained

and certified? (3A, B)B. Is there proper separation of

maintenance and inspection responsibilities for vendors that perform required inspections? (2F)

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C. Does ROV maintain a list of RII items each inspector is authorized to inspect? [3C(4)]

D. Does ROV perform any required inspections (RII) for any customers?

E. Does repair station roster identify all supervisory and inspection personnel? (3C)

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F. Does the roster identify all personnel authorized for return to service? (3C)

G. Does the repair station have an employment summary for all personnel

listed on the repair station roster? (3D)H. Does the ROV have an acceptable

receiving inspection system? (3E)

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I. Does the ROV have an acceptable procedure to identify customers parts? [2B(10), 11C]

J. Does ROV maintain traceability certification

on all parts and raw materials?[2B(9), 3E,

10H]K. Are acceptable sampling procedures

adequate to ensure quality? (3E)

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L. Does the vendor have an acceptable

system for controlling stamps, for

both inspection and production

personnel? (3F)

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Technical Data ControlTechnical Data Control

A. All maintenance actions shall be accomplished in accordance with customer's manuals. This shall include: [145.2]

1) Technical data originating with or provided by the customer

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2) OEM data as modified by the customer, or

3) Unmodified OEM data if so specified by the customer.

4) Technical data developed by the vendor which is approved by the customer prior to use.

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NOTE: "Manuals" in this context include any technical data required to perform the required maintenance action, e.g..... drawings, wiring diagrams, test specs., etc...

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B. The vendor shall have a documented system to assure that: [145.57]

1) All technical data is kept current and

there is a record of revisions received and filed,

2) Only the latest technical data is available to persons performing maintenance actions, and,

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3) The technical data used by persons performing maintenance actions is appropriate for the work being done, readily available, in good condition, and in adequate quantity.

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C. If the vendor maintains a master copy

of each "manual" in addition to the

working copies used for maintenance

actions, the working copies shall be

revised at the same time as the

masters. [145.57]

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D. Technical data shall be properly

identified as to applicability and stored

in a manner that will protect it from

dirt and damage. [145.57]

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E. Where technical data is on microfilm, microfiche, or electronic device, an appropriate viewing device must be provided. It shall be: [145.53, CASE]

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1) Maintained in good working order,2) Protected from dust, dirt, water and

damage, and,

3) Available and convenient to the

persons performing maintenance actions.

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F. Specific individual(s), by title, shall be named as responsible for: [CASE]

1) Maintaining an adequate quantity of the appropriate technical data up-to-date and properly distributed.

2) Maintaining the technical data in an environment that will protect it from loss or damage.

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3) Maintaining viewing devices, if

required, in good working order and

protected from damage.

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G. Should the vendor deviate from OEM

data via their SFAR-36 authority, the

vendor shall have a system for

approval (including customer's) and

control of these revisions.

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Questions From Section 4: Technical Data Control

Questions From Section 4: Technical Data Control

6. TECHNICAL DATA CONTROL

NOTE: "Manuals" in this context includes

any technical data, i.e... drawings, wiring

diagrams, test specs., necessary to perform

the required service.

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Questions: Tech Data Cont’dQuestions: Tech Data Cont’d

A. Does the ROV have the required shop manuals and specifications to performthe repair/overhaul in accordance with customer requirements? (4A)

B. Are there established approved procedures controlling revisions in manuals deviating from OEM specifications? e.g..... EO or EA. (4A)

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C. Does the ROV have a system to ensure technical data is current? (4B)

D. Does ROV have records of manual revisions? [4B(1)]

E. Are manual revisions up to date?

[4B(1)]

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Questions: Tech Data Cont’d Questions: Tech Data Cont’d F. Are component overhaul manuals

properly identified and available to mechanics? (4B)

G. Does ROV have a system to control working copies of manuals to ensure they are revised with the masters? (4C)

H. Is technical data stored in a manner that will protect it from dirt and damage?(4D)

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Questions: Tech Data Cont’dQuestions: Tech Data Cont’dI. Are adequate viewing devices in good

condition available for viewing the technical data? (4E)

J. Is a specific individual, by title, responsible for the Technical Data Program? (4F)

K. If the ROV has SFAR 36 authority, does he have a system for receiving customer approval prior to use of the data? (4G)

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L. Does the ROV have an approved

SFAR 36 manual and roster? (4G)

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Shelf Life ProgramShelf Life Program5. SHELF LIFE PROGRAM [43.13, 145.45,

CASE]

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Shelf Life ProgramShelf Life ProgramA. If the vendor uses materials that have a

shelf life he shall describe in his manual a program, procedures, and a detailed listing of parts and materials that are subject to shelf life. The listing may be maintained as a document separate from the manual but the manual must describe the listing or reference it and identify the person, by title, responsible for maintaining it.

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Shelf Life ProgramShelf Life Program

B. The program shall identify a particular individual, by title, that is responsible for assuring an effective program.

C. The program shall include a means

of identifying the expiration date of

each shelf life limited item.

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Shelf Life ProgramShelf Life Program

D. Any part or material that is past its expiration date shall not be used in the maintenance action of a

customer's unit or any spare unit that may be used on an aircraft.

E. The program shall specify a system that will assure that no expired

material or part will be issued.

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Questions From Section 5: Shelf Life Program

Questions From Section 5: Shelf Life Program

7. SHELF LIFE PROGRAMA. Does ROV have a documented shelf

life program? [2B(7), 5A]

B. Does the program list parts and

materials that have self life limits? [5A]

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Questions: Shelf Life Cont’dQuestions: Shelf Life Cont’dC. Does the program assign program

responsibility to a specific person by title? (5B)

D. Does each shelf life item have the shelf life expiration limit displayed? (5C)

E. Is there an adequate system to assure that no item will be issued or used

past its expiration date? [5D, 5E]F. Were items sampled for shelf life

within limits? [5D, E]

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Tool/test Equip Calibration Tool/test Equip Calibration ProgramProgram


A. Tools and test equipment used to

comply with or verify specifications must

be calibrated periodically to assure

their accuracy.B. The program shall identify the individual(s) responsible, by title, for

the operation of the calibration program.

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C. The calibration program shall include identification of the tools and test equipment in the program, the frequency of

calibration, and the applicable tolerance or

specification.D. Standards used in calibration shall be

traceable

to the controlling government agency or to a

standard provided by the equipment

manufacturer, e.g. (N.I.S.T).

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E. The program shall provide a system

for identifying the calibration status

of each piece of equipment in the

calibration program and their

calibration due dates.

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F. Tools and test equipment that are in the calibration program, but are out of calibration or are past due

calibration check, shall be identified in a manner that will prevent maintenance personnel from using them.

G. Personal tools or equipment used in verifying or complying with

specifications shall be included in the program.

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H. Records shall:1) Show the date the item was

calibrated or checked.2) Show the date the next calibration is

due.3) Identify the individual or the vendor,

if an outside company, that accomplished the calibration or check.

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4) Contain a certificate of calibration for each item calibrated by an outside agency, and

5) Record the details of any adjustment or repair required.

6) Identify the standard, including the part number and serial number, used to calibrate the tool.

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Questions From Section 6: Questions From Section 6: Tool/test Equipment Tool/test Equipment Calibration ProgramCalibration Program

Questions From Section 6: Questions From Section 6: Tool/test Equipment Tool/test Equipment Calibration ProgramCalibration Program

8. TOOL & TEST EQUIPMENT CALIBRATION

A. Does ROV have a tool calibration program? [2B (11), 6A]

B. Does the ROV have a person, by title, responsible for the tool calibration program? (6B)

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Questions: Tool & Test Cont’dQuestions: Tool & Test Cont’dQuestions: Tool & Test Cont’dQuestions: Tool & Test Cont’dC. Are all tools in use listed on the tool

calibration list? (6C)D. Are standards used to calibrate tools

traceable to the controlling government agency, e.g..... The National Institute of Standards and Technology? (6D)

E. Is there a system to identify each tool in the program, its calibration frequency and its calibration due date? (6C, 6E)

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Questions: Tool & Test Cont’dQuestions: Tool & Test Cont’dQuestions: Tool & Test Cont’dQuestions: Tool & Test Cont’d

F. Does ROV have a procedure for controlling and/or preventing out-of-service and due-for-calibration tools & equipment from being used? (6F)

G. Does the ROV have a procedure to

control the calibration of personal

tools?(6G)

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H. Did a sample check of the calibrated

tooling indicate that the tooling is

within calibration? [6A]

I. Are the tools and test equipment in a

serviceable condition? [11A (2)]

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K. Do records? [6H]

1. Show date calibrated?

2. Identify individual or vendor that

performed calibration or check?

3. Show calibration due date?

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4. Contain a calibration certificate for each item calibrated by an outside agency?

5. Record details of adjustments and repairs?

6. Show the P/N and S/N of the standard used to perform the calibration?

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TrainingTrainingTrainingTraining

7. TRAINING [145.39, 145.45, 121.371, 121.375, CASE]

A. The vendor shall assure that each employee is properly trained for the work he/she is to perform.

B. The vendor shall document both formal (classroom) and on-the-job (OJT) training.

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TrainingTrainingTrainingTraining

C. Employee training records for

mechanics, inspectors, and

supervisors shall be retained for two

years after the employee has left the

company. The records shall be available

for inspection.

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Questions From Section 7: Questions From Section 7: TrainingTraining

Questions From Section 7: Questions From Section 7: TrainingTraining

9. TRAININGA. Does ROV have a documented

training program? [2B(6), 7A, 7B]B. Does it include all mechanics,

inspectors and technical supervisors? [3A,3B,7A]

C. Is formal and OJT training documented? [7B]

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Questions: Training Cont’dQuestions: Training Cont’dQuestions: Training Cont’dQuestions: Training Cont’d

D. Are training records for mechanics,

inspectors and supervisors retained

for two years after the person leaves

the company? [7C]

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Revision #38 1/2/2002

Housing and FacilitiesHousing and Facilities

8. HOUSING AND FACILITIES [145.35]

A. The vendor shall provide suitable:1) Housing for its necessary equipment

and material.2) Facilities for properly storing,

segregating and protecting materials, parts, and supplies.

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3) Facilities for properly protecting parts

and sub-assemblies during storage,

disassembly, cleaning, inspection,

repair, and assembly.

4) Filtered air or clean rooms as

required.

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B. The housing and facilities shall

protect:

1) Parts, materials, and customers' units

from weather, dust, heat/cold, damage,

theft, fire, and contamination from

other shop activities, e.g.... Paint

spraying, grinding, and plating fumes.

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2) The workers, such that the quality of

their workmanship is not impaired by

their physical efficiency.

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C. Housing and facilities shall have adequate space for the work to be accomplished and adequate lighting so that the quality of work is not impaired. The vendor shall exercise good housekeeping practices to prevent loss, damage, and contamination of customer parts and equipment and for personnel safety.

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D. The vendor shall provide suitable

storage facilities used exclusively for

storing parts and materials. The area

must be separated from the shop and

work space and organized such that

only acceptable parts and supplies are

issued for any job.

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E. The areas for receiving and for shipping

customer units shall have adequate space,

lighting, shelving, security, and fire

protection to accommodate customers' units

in a manner that will preclude damage, loss,

and theft.

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F. There shall be an adequate and

appropriate storage area to safely store

customers' reusable shipping containers

and to protect them from environmental

damage. [CASE]

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Questions From Section 8: Housing And Facilities

[145.35]

Questions From Section 8: Housing And Facilities

[145.35]

10. HOUSING AND FACILITIES

A. Does ROV have a facility of

adequate size to house all necessary

tooling, equipment, material and parts to

perform work? [8A, 8D]

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Questions: Housing & Facilities Cont’d


B. Does the housing adequately protect parts, materials, and customer unitsfrom damage, theft and

contamination? (8A, 8B, 8C)C. Is the environment appropriate to

protect workers so that the quality ofworkmanship is not impaired by

physical efficiency? [8B (2)]

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D. Does facility have adequate lighting? (8C)

E. Are storage facilities separate from shop and work areas? (8D)

F. Do shipping and receiving areas have adequate space, lighting, shelving, security and fire protection? (8E)

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G. Is there adequate and appropriate

storage space to safely store

customer's shipping containers and

protect them from damage? [8F]

H. Is the work area, including

supervisors' offices, clean? [8C]

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Revision #38 1/2/2002

Safety, Security, and Fire Safety, Security, and Fire ProtectionProtection


9. SAFETY/SECURITY/FIRE PROTECTION

A. The housing and facilities shall provide adequate security and protection from fire. [CASE]

B. Security systems shall be reviewed periodically by vendor management or by a qualified outside firm to assure that the system is still adequate. [CASE]

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C. Fire protection devices and systems

shall be inspected periodically. [NFPA

10]

D. Fire fighting equipment and its

locations shall be well identified and

maintained in serviceable condition.

[NFPA 10]

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E. Walkways, doors, and fire

extinguishers shall be clear of

obstructions and easily accessible.

[NFPA 10]

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F. Appropriate safety devices shall be maintained in good condition and shall be used. [CASE]

G. Operations shall be conducted in a safe manner and in a safe environment that will avoid personnel injury and damage to customer property.

[145.35, CASE]

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Questions From Section 9: Questions From Section 9: Safety/security/fire ProtectionSafety/security/fire ProtectionQuestions From Section 9: Questions From Section 9:

Safety/security/fire ProtectionSafety/security/fire Protection

11. SAFETY/SECURITY/FIRE PROTECTION [9]

A. Does ROV provide adequate security for customer parts in his possession?

B. Is the security system reviewed periodically by management or an outside vendor?

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Questions: Safety Security & Questions: Safety Security & Fire Protection Cont’dFire Protection Cont’d


C. Are fire protection devices inspected

periodically?

D. Are fire stations identified and

extinguishers in serviceable condition?

E. Are fire lanes, doors and fire

extinguishers clear of obstruction?

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F. Are safety guards in place on power

equipment?

G. Are ROV shop operations conducted

in a safe manner and environment?

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StorageStorageStorageStorageA. Parts and materials shall be properly

identified so that only acceptable parts and supplies will be issued for any job. [145.35]

B. Serviceability status of parts and materials shall be indicated in a manner that readily identifies serviceable parts and materials from the unserviceable. [145.35]

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StorageStorageStorageStorage

C. Rejected parts and materials, including

questionable items awaiting disposition,

shall be identified as rejected and stored

separately from usable stock to preclude

them from being issued for any job or

shipped to the customer as serviceable.

[145.35]

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D. Parts and material shall be protected in storage and during transit, until installation, in a manner that will prevent damage, contamination, loss,

or substitution. [145.35, 145.37]E. Flammable, toxic or volatile materials

shall be stored in a fire proof cabinet or facility. [145.35 & NFPA 30]

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StorageStorage

F. Sensitive parts and equipment, e.g....

oxygen parts, "o" rings or electrostatic

sensitive devices, shall be properly

packaged, stored, identified, and

protected from contamination and

damage. [145.35]

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G. High pressure bottles must be

correctly labeled and properly stored and

secured. [CASE]

H. The vendor must maintain traceability

records for parts and raw material.

[CASE]

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Questions From Section 10: Storage

Questions From Section 10: Storage

12. STORAGE

A. Are parts and material properly

identified and properly stored? (10A)

B. Does the ROV have a quarantine area

for rejected parts and materials

awaiting disposition? (10C)

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Questions: Storage Cont’dQuestions: Storage Cont’d

C. Do parts in bin match part number on bins? (10A)

D. Are parts and material properly protected from damage and

deterioration? (10D)E. Are flammable, toxic or volatile

materials properly identified and stored?(10E)

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Questions: Storage Cont’dQuestions: Storage Cont’d

F. Are sensitive parts and equipment (oxygen parts, o-rings, electrostatic sensitive devices, etc..) properly

packaged, identified and stored to protect from damage and contamination?

[10F]G. Are oxygen and other high pressure

bottles correctly identified and stored?[10G]

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Revision #38 1/2/2002

Work ProcessingWork ProcessingWork ProcessingWork Processing

11. WORK PROCESSING

A. No vendor may perform any

maintenance action unless the person

performing that maintenance action:

[145.39, 145.41, 145.45, 145.5,

121.375]

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1) Is properly trained, authorized, and

certificated if required.

2) Has available the appropriate tools

and test equipment in good condition

and properly calibrated, the correct

parts, and current technical data.

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Should any of the above requirements be lacking, the vendor shall refuse the work or take appropriate corrective action to correct the deficiency.

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B. OEM/non-OEM designated equipment: [43.13]

For either OEM or non-OEM test equipment, the vendor shall:

Have an operating manual and maintenance manual for the equipment.

Perform maintenance, preventive maintenance, and servicing as required by the operating and/or maintenance manual.

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Work Processing Cont’dWork Processing Cont’d

Maintain records for two years of maintenance, preventive maintenance, and servicing, if any if required.

If appropriate, list the test equipment in it’s calibration program .

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Work Processing Cont’dWork Processing Cont’d

Where non-OEM designated test equipment is used, the vendor shall: Provide written certification that the equipment

adequately performs the tests required by the OEM manual. The certification shall be signed by the OEM of the part(s) being tested, or an outside firm qualified to make such a determination, or an engineer on the vendors staff qualified to make such a determination.

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Show written evidence that the equipment is

acceptable to the FAA. Acceptance may be shown as

follows:

• Listed in the repair station's FAA accepted

inspection procedures manual,

• Listed on the repair station’s Operations

Specifications,

• A letter from the FAA

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NOTE: This section does not apply to

standard test equipment such as volt/ohm

meters, oscilloscopes, power supplies, etc..,

that is equivalent to the equipment called

out in the component maintenance manual.

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C. The vendor shall have a system for identifying a specific customer's parts, materials, or units throughout the entire maintenance action process, including storage before and after the repair, overhaul, or modification. This system shall include complete identification of the part by nomenclature, part number, serial number, model number, as appropriate, and legible records of all work accomplished. [CASE]

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D. Where there is work turned over from

one shift to another, there shall be a

system of documentation that assures

continuity of the work and that the

complete bill-of-work is

accomplished. [121.369, CASE]

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E. There shall be adequate procedures

and controls of processes, and adequate

checks, inspections, and tests to assure a

good quality product that complies with

customer specifications. [145.45, 145.55,

145.57, 145.61]

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F. The vendor shall prohibit smoking, eating, and drinking or storing food and drink in any area where parts or customer units are stored or

worked (e.g. fuel controls, hydraulic units, instruments, or electronic components), or have a written procedure ensuring parts or units have adequate protection against contamination or damage from such

activity. [145.35]

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G. Fluid dispensers used in the shop

areas shall be properly marked and

stored to prevent spillage.

H. The vendor shall maintain adequate

records of all work performed

including: [145.61, 43.9]

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1) The description of the work performed or reference to data acceptable to the

administrator.2) The date of completion of the work

performed.3) The name of the person performing the

work.4) The name of the person inspecting the

work.

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5) The name of the certificated mechanic or repairman who performed or supervised the work.

6) The signature, certificate number, and type of certificate of the person returning the article to service.

NOTE: The person, as stated above, may be one or more individuals.

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I. The vendor shall provide a return to service

document with a component that has been made

serviceable. The document shall include the signature

(not printed name or inspection stamp/symbol,

signature) of the individual authorized by the repair

station to return the article to service. The

document must include: [43.9, Part 43, Appendix B]

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1) A description of the work performed or reference to data acceptable to the administrator.

2) The date of completion of the work performed.

3) The name of the person performing the work if different than the person specified in item 4 below.

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4) The signature, certificate number, and kind of certificate held by the person approving the work. The signature constitutes the approval for return to service only for the work performed.

5) In addition, major repairs and major alterations shall be entered on a form

in accordance with Part 43, Appendix B.

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NOTE: The serviceable parts tag is the most common document used for the return to service or maintenance release statement. This information or release may also be included on the work order or other document and is acceptable. In any case, a copy of the work order or maintenance record must also be sent with the part.

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J. The vendor shall retain each record

of a maintenance action for at least

two years after the work to which it

applies is done. [145.61]

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Questions From Section 11: Work Processing

Questions From Section 11: Work Processing

13. WORK PROCESSING

A. Does ROV have adequate tooling and

test equipment to perform the work? (11A)

B. If ROV uses test equipment that differs

from the OEM specified equipment:

(11B)

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Questions: Work Processing Cont’dQuestions: Work Processing Cont’d

1. Is it properly certified as equivalent?2. Does ROV have operating and

maintenance manuals?3. Is maintenance and servicing

performed per the manual?4. Is maintenance and servicing

recorded and records retained for two years?

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5. Is the equipment listed in the

calibration program?

6. Has the equipment been accepted

by the FAA?

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C. Are mechanics, inspectors and supervisors

properly trained, authorized and

certificated, if required, for the work they

perform? [3A, 7A, 11A]

D. Are adequate tools and current manuals

available or at the mechanics' work

stations? [11A (2)]

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E. Are customers' parts properly identified throughout the maintenance actions and in storage? [11C]

F. Is there a work turnover procedure used? [12D]

G. Does the shop segregate serviceable from unserviceable components?

[2B(8), 10B]

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H. Does the facility provide adequate protection of parts in work? e.g.... filtered air or clean room depending on type of part. [8A]

I. Are smoking, eating and drinking forbidden in the work area, or does the vendor have a written program to ensure units are protected from contamination? [11F]

J. Are fluid dispensing cans and servicing units properly identified?[11G]

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K. Are ROV work records complete, in order, and legible? [11H, 12B]

L. Do the records contain: [11H]1. The description of the work

performed or reference to data acceptable to the administrator?

2. The date of completion of the work performed?

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3. The name of the person performing

the work?

4. The name of the person inspecting

the work?

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Questions: Work Processing Cont’d

Questions: Work Processing Cont’d

5. The name of the certificated mechanic

or repairman who performed or

supervised the work?

6. The signature, certificate number,

and type of certificate of the person

returning the article to service?

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M. Are all test and inspection records in work package? [11H]

N. Does ROV record keeping system and retention time meet FAR

requirements? [11H, 11J]O. Does ROV's return-to-service

documents meet customer and FAA requirements? [2B (4), 11J]

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Revision #38 1/2/2002

ShippingShipping

12. SHIPPING

A. Components shall be returned to the

customer in an appropriate shipping

container or one required y the

customer. [CASE]

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ShippingShipping

B. Serial number (S/N) and part number

(P/N) or model number, including

dash numbers or letters on the

documentation for the part shall match

the identification information on the

part data plate. [CASE]

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Questions From Section 12: Shipping

Questions From Section 12: Shipping

14. SHIPPINGA. Are components returned in an

appropriate shipping container or as specified by the customer?

B. Does the ROV verify that identifying data (P.N./SN/nomenclature/mod. no.) on the parts tag and the data plate match?

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Revision #38 1/2/2002

Scrap PartsScrap Parts13. SCRAPPED PARTSA. The vendor shall have a documented

procedure in place to either return scrapped parts to their owner or to mutilate them by drilling, grinding, cutting or other appropriate means. Parts shall be mutilated to the extent that will preclude the possibility of their being

restored and returned to service. [CASE]

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Scrap PartsScrap Parts

B. The procedure shall identify by title

the individual responsible for

verifying that parts were adequately

damaged before discard. [CASE]

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Scrap PartsScrap Parts

C. The vendor shall maintain a record of all life limited parts scrapped out The record shall contain a description of the part, its part number, and serial

number, if applicable, and the date of the part was scrapped. The vendor shall retain this record for at least two (2)years. The vendor may retain the

records for a longer period if desired.

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Questions From Section 13: Scrapped Parts


15. SCRAPPED PARTS (13)

A. Does the ROV have a documented

procedure to assure that scrapped

parts are either returned to the

customer or mutilated beyond repair?

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B. Does the program identify an individual, by title, responsible for verifying that mutilation is accomplished?

C. Does the ROV maintain a record of life limited parts scrapped for two years?

1) Does the record include the P/N and S/N of the part and the date

scrapped?

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1a Standard Review1a Standard Review

LETS GET IT CLEARED UPNow is the time to clarify any concerns you

might have.Ask the questions now, not after you’ve

missed it on the test.70% min score required, if you don’t make

it now it’s 6 months before you get another chance.

Revision #38 1/2/2002




Housing and FacilitiesSafety/Security/Fire

ProtectionStorageWork ProcessingShippingScrapped Parts

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Revision #38 1/2/2002

Let’s Talk About Some Items That Have Caused Concerns

Within Our Operation.

Let’s Talk About Some Items That Have Caused Concerns

Within Our Operation.

Revision #38 1/2/2002

AuditsAudits

Any successful audit conducted to the

CASE standard, whether assigned by the

CASE audit allocation program or not,

should be considered for addition to or

update of the Register.

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AuditsAudits* The Data Base must be updated if the audit was

an allocated one. (ADDVEN, OTHER, UPAUD,

DELVEN)

* Use NOACT for those allocated, not

currently listed on the register, and failing to

meet the appropriate standard.

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Allocations

Allocation Process:

** Member representatives shall assure onsite audits are performed on all vendors assigned by the allocation program.

** All sustaining air carrier members maintain a usage listing in the Data Center of all vendors utilized by the member.

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Allocations

* Each sustaining member will indicate their willingness to audit individual vendors by prioritizing their choices.

* When an allocated audit is perceived by the allocated member as too large an audit for their resources, that member may contact other user air carriers to assist in the audit. If an insufficient number of users agree to assist, the allocated carrier will be absolved from the audit.

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Deleting From The Register

* Violations of safety of flight requirements, whether or not they are FAR violations.

* Intent to defraud.

* Ceasing operations or business.

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Data Base Deletions

* When the CASE Data Center receives authentic information from any source the the listed vendor/ supplier or parts distributor has:

- Suspended operations. - Sold out to another owner. - Merged into another corporation. - Moved principle operations to another location.

Deletion immediately from the Register will occur.

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It is the auditor’s decision as to the vendor’s placement in or removal from the CASE

Register. Whatever action is taken, it must be done in a

professional manner with firm backup data.

revision #38 1/2/2002 if you think training is expensive try ignorance

Documents

standard housing

applicable fars

vendors quality program

general contd compliance

preventive maintenance

contract maintenance

onsite audit

audit process