# u.s. DEPARTMENT OF TRANSPORTATIOJ+l

# E

# cEI 

# vED Office of Hearings Washington, D. C. 

## MAR 1 2 2014



# ____________ _._.H

..... EARING DOCKET The Liberty Foundation, Inc. 

### FAA DOCKET NO. 2012-0477 (EIR 2011-GL-03-0070)

(Civil Penalty Action) Hon. J. E. Sullivan, Administrative Law Judge

RESPONDENTS NOTICE OF FILING SUPPLEMENTAL DOCUMENTS



### Pursuant to the Court's order at the oral argument on summary judgment on February 27, 2014, Respondent herewith files its supplemental documents, as follows: Undersigned counsel referenced Advisory Circular 120-16F during oral argument. That was an error in that AC 120-16F was not effective until November 15, 2012. However, AC 120-16E was in effect at all times material. There is no relevant difference between the two Advisory Circulars. Accordingly, attached hereto are the relevant pages from AC 120-16E and AC 120-16F. The portion referred to by undersigned counsel during the oral argument is the bottom right box on page 6 of both ACs.

### Respectfully submitted, STUART A. GOLDSTEIN, P. A. 7300 North Kendall Drive, Suite 380 Miami, FL 33156 Tel: (305) 670-1222 Fax: (305) 400-0685 Email: stuartgoldsteinpa@att.net 

# l .•

# Jlt1.~ By:

# AtJJJf{6 ·:0 Stuart A. 

### Goldstein Attorney for Respondent

CERTIFICATE OF SERVICE

# ::;~ I HEREBY CERTIFY that the foregoing has been served on this j 

### day of March, 2014, as set forth below: Christopher R. Stevenson, Esq. Office of the Regional Counsel Federal Aviation Administration 

### 0. Box20636 Atlanta, GA 30320 By email: christopherstevenson@faa.gov and regular U. S. Mail and that an original and one copy was served upon: Hearing Docket Clerk, AGC-430 Wilbur Wright Building, Suite 2W1 000 Federal Aviation Administration 800 Independence Avenue, S. W. Washington, D. C. 20591

STUART A. GOLDSTEIN, P. A. 

### 2

------- 7300 NORTH KENDALL DRIVE, SUITE 380, MIAMI, FL 33156

------- 

### r, (305) 670·1222 F' (305) 400·0685

### and that a copy was served upon: Honorable J. E. Sullivan Office of Hearings, M-20 U. S. Department of Transportation 1200 New Jersey Avenue, S. E. (E11-31 0) Washington, D. C. 20590 By Federal Express

# syJ~a.Jfrat/& Stuart A. 

### Goldstein

STUART A. GOLDSTEIN, P. A. 

### 3

-------- 7300 NORTH KENDALL DRIVE, SUITE 380, MIAMI, FL 33156 -------- T' [305) 670·1222 Fo 305) 400·0685

# f'~ U.S. Department of Transportation Federal Aviation Administration Subject: Air Carrier Maintenance Programs 

# Advisory Circular

Date: 6/7/11 AC No: 120-16E Initiated by: AFS-300 Change: 1 

### 1. PURPOSE. This advisory circular (AC) explains what the terms "maintenance program" and "air carrier maintenance program" mean. Our explanation describes the scope and content ofair carrier aircraft maintenance programs. We explainthe backgroundofthese programs as well as the Federal Aviation Administration's (FAA) regulatory requirements. We also describe and explain each ofthe 10 elements ofair carriermaintenance programs. Whenwe use "must" or 

### "will" 

### in this AC, we are referencing actual regulatory requirements. When we use "we," "us," or "our''in this AC, 

### we mean the FAA. 

### When we use ''you," ''your," or ''yours," we mean you, the air carrier. 2. PRINCIPAL CHANGES. Inthis change, we have incorporatedthe plainlanguage style of writing that adheres to our writing standards. We have included information on industry best practices such as an Airworthiness Directive (AD) managementprocess that may help you to ensure that the status ofAD's onyour airplanes remains current. We have also included information regarding who you may contact ifyou have questions or feedback on the material in this AC.



### RemovePa es 

### 2 thru 3 5 7 9 II thru 14 

### 16 23 thru 25 28 30 thru 31 34 thru 37 43 thru 48
ORIGINAL SIGNED by is/ John McGraw for John M. Allen PAGE CONTROL CHART 

### Dated 9/11/08 9/11/08 9/11/08 9/11/08 9/11/08 9/11/08 9/11/08 9/11/08 9/11/08 9/11/08 9/11/08 

### Insert Pa es 2 thru 3 5 7 9 11 thru 14 

### 16 23 thru 25 28 30thru31 34 thru 37 43 

### thru 48

Director, Flight Standards Service 

### Dated 

### 617/11 617/11 617/11 617/11 617/11 617/11 617/11 617/11 617/11 617/11 617/11

# ~~ U.S. Department of Transportation Federal Aviation Administration Subject: Air Carrier Maintenance Programs 

# Advisory Circular

Date: 6/7/11 AC No: 120-16E Initiated 

### by: AFS-300 Change: 1 

### FOREWORD This advisory circular (AC) explains what the term "maintenance program" means. Our explanation describes the scope and content ofair carrier aircraft maintenance programs. This is important as there is a significant difference between an air carrier maintenance programand an inspectionprogramused innon-air carriermaintenance operations. We explainthe background ofthese programs as well as the Federal AviationAdministration's (FAA) regulatory requirements. We also describe and explain each ofthe I0 elements ofair carrier maintenance programs. Whenwe use "must" or "will" in this AC, we are referencing actual regulatory requirements. When we use "we," "us," or "our" in this AC, we mean the FAA. Whenwe use 

### "you," "your," or "yours," we mean you, the air carrier. When we use the term "person," 

### it has the same meaning as that in Title 14 ofthe Code ofFederal Regulations (14 CFR) part 1, 

### § 

### 1.1. This AC is one method ofcompliance with the requirements ofthe regulations. Instead of following this method, you may electto follow an alternate method, providedthat your method is acceptable to us. Because the method ofcompliance that we present in this AC is not mandatory, the term "should" applies only ifyou choose to follow this particular methodwithout deviation. You should tailoryour maintenance program to your specific operation; therefore, we are not providing a single means ofcompliance that applies to all operators requiredto have a maintenance program. We have included information in this AC about our expectations regarding your implementation ofan air carriermaintenance program. We based these expectations on our regulations. As requiredby 14 CFRpart 121, § 121.367 and part 135, 

### § 135.425, your maintenance programmust ensure that each ofyour aircraft released to service is Airworthy and properlymaintained for operations in air transportation; that you provide competentpersonnel, adequate facilities, and equipment; and that everyone who works onyour aircraft follows your manual and yourprogram. In addition to strict compliance with the part 121 or 135 regulations, we encourage you to consider additional processes and methodology for use in your maintenance program, such as industry best practices or other government guidance relevant to maintenance, preventive maintenance, and alteration activities.

# tJ U.S. Department of Transportation Federal Aviation Administration Subject: Air Carrier Maintenance Programs 

# Advisory Circular

Date: 6/7/11 AC No: 120-16E Initiated 

### by: AFS-300 Change: 1 1. 

### PURPOSE. This advisory circular (AC) explains whatthe terms "maintenance program" and "air carrier maintenance program" mean. Our explanation describes the scope and content ofair carrier aircraft maintenance programs. We explain the background ofthese programs as well as the Federal AviationAdministration's (FAA) regulatory requirements. We also describe and explain each ofthe I0 elements ofair carrier maintenance programs. Whenwe use "must" or "will" in this AC, we are referencing actual regulatory requirements. When we use "we," "us," 

### or "our" in this AC, we mean the FAA. When we use "you," "your," or ''yours," we mean you, the air carrier. 

### 2. PRINCIPAL CHANGES. Inthis change, we have incorporated the plain language style of writing tbat adheres to our writing standards. We have included information on industry best practices such as anAirworthiness Directive (AD) managementprocess thatmay help youto ensure thatthe status ofAD's on your airplanes remains current. We have also included informationregarding who you may contact ifyou have questions or feedback onthe material in this AC.



### RemovePa es 2 thru 3 5 7 9 11 thru 14 16 23 thru 25 28 30thru31 34 thru 37 43 thru 48
ORIGINAL SIGNED by /s/ John McGraw for John M. Allen 

### PAGE CONTROL CHART Dated Insert Pa es 9/11108 2 thru 3 9/11/08 5 9/11108 7 9/11/08 9 9/11108 11 thru 14 9/11/08 16 9/11/08 23 thru 25 9/11/08 28 9/11/08 30 thru 31 9/11/08 34 thru 37 9/11/08 43 thru 48

Director, Flight Standards Service 

### Dated 617/11 6/7/11 6/7/11 6/7/11 6/7/11 6/7/11 6/7/11 6/7/11 6/7/11 6/7/11 6/7/11

### 6171 ll AC 120-16E CHG 1
CONTENTS 

### Paragraph Page CHAPTER 1. GENERAL INFORMATION
................................................................................... ! 

### 100. Purpose
..............................................................................................................................1 101. Cancellation
...................................................................................................................... 1 102. Audience
........................................................................................................................... ! 

### 103. Legal Basis for Air Carrier Maintenance Programs
......................................................... 

### ! 104. Maintenance ProgramAuthorization
................................................................................2 105. Air Carrier Maintenance Program Objectives
..................................................................3 106. Air Carrier Maintenance Program Elements
.....................................................................3 CHAPTER 2. AIRWORTHINESS RESPONSIBILITY
.................................................................5 200. Responsibility for Aircraft Maintenance
..........................................................................5 201. Differences Between Programs
.........................................................................................5 Table 2-1. Maintenance Program and Inspection Program Differences
...........................5 CHAPTER 3. A1R CARRIER MAINTENANCE MANUAL
........................................................

### ? 300. Air Carrier Maintenance Manual Requirement.
...............................................................? 

### 301. Role ofYour Air CarrierMaintenance Manual.
...............................................................7 302. Major Sections ofthe Typical Air Carrier Maintenance Manual.
....................................? 

### CHAPTER4. AIR CARRIERMAINTENANCE ORGANIZATION
......................................... !! 

### 400. Maintenance Organization-General.
............................................................................ 11 401. Required Maintenance OrganizationManagementPositions
......................................... 11 402. Required Air CarrierMaintenance Organizational Structure
.........................................12 403. Separation ofInspection And Maintenance Departments
.............................................. 12 Figure 4.1. Maintenance Organizational Chart
...............................................................l4 CHAPTER 5. ACCOMPLISHMENT AND APPROVAL OF MAINTENANCE AND ALTERATIONS
............................................................................................................................ 15 500. Accomplishment ofMaintenance
................................................................................... 15 501. Major Repairs and Alterations
.......................................................................................15 502. Airworthiness Release Form or Aircraft Log Entry and Approval for Return to Service
.............................................................................................................................16 503. Scope ofMaintenance
..................................................................................................... 16 504. Parts and Appliances Maintenance Program
.................................................................. 

### !? CHAPTER 6. MAINTENANCE SCHEDULE
............................................................................. 19 600. The Maintenance Schedule
............................................................................................ 19 601. The FAA's Role in Relation to the Maintenance Schedule
........................................... 19 602. Maintenance Schedule Contents
..................................................................................... 19 Page iii

### AC l20-16E CHG 1 617/11
CONTENTS (Continued) 

### Paragraph Page 603. Standards For Determining Maintenance Time Limitations
.........................................20 CHAPTER 7. REQUIRED INSPECTION ITEMS
.......................................................................23 700. Rlls
..................................................................................................................................23 Figure 7.1. Required lnspection Items
............................................................................24 701. Rll Procedures, Standards, and Limits
...........................................................................25 CHAPTER 8. MAINTENANCE RECORDKEEPING SYSTEM
................................................27 800. Reasons for Making and Keeping Maintenance Records
...............................................27 801. Part 43 Requirements
......................................................................................................27 802. Work Performed by a Part 145 Repair Station
...............................................................27 803. Penalties for Improper Air Carrier Maintenance Recordkeeping
...................................28 804. Making And Keeping Required Records
........................................................................28 805. Required Air Carrier Maintenance Records
...................................................................28 806. WhenTo Make Records Available to the FAA
..............................................................28 807. Responsibility for MakingRecords Available to the FAA
.............................................28 808. Required Records
............................................................................................................29 809. Other Required Records and Reports
.............................................................................31 810. Requirements for Reports ofMajor Alterations andMajor Repairs
...............................34 811. Requirements for Historical or Source Records
.............................................................34 CHAPTER 9. CONTRACT MAINTENANCE
............................................................................35 900. Maintenance Providers
....................................................................................................35 901. Responsibility for Maintenance Performed by Others
....................................................36 902. Unscheduled Contract Maintenance Performed Away from Regular Facilities
.............36 903. Airworthiness Release Form or Aircraft Log Entry
.......................................................37 904. Evaluating New Maintenance Providers
.........................................................................37 905. Continuing Maintenance Provider Oversight
.................................................................38 906. Using s Certificated Repair Station as One ofYour Maintenance Providers
.................38 CHAPTER 10. PERSONNEL TRAINING
...................................................................................39 1000. Maintenance Program Training Requirements
..............................................................39 1001. Types ofTraining
...........................................................................................................39 1002. lnitial Training
...............................................................................................................39 1003. Recurrent Training
.........................................................................................................39 1004. Specialized Training
......................................................................................................40 1005. Maintenance Provider Training
.....................................................................................40 1006. Competency-Based Training
.........................................................................................40

Page iv

### 6/7/11 AC 120-16E CHG 1 CONTENTS (Continued) Paragraph Page CHAPTER 11. CASS
....................................................................................................................43 1100. Background ofthe CASS
...............................................................................................43 1101. CASSis a Safety Management Tool.
............................................................................43 1102. Basic CASS Processes
...................................................................................................43 1103. Risk-based Decisions
.....................................................................................................45 1104. Scope ofCASS
..............................................................................................................45 1105. CASS Design Principles
................................................................................................45 1106. CASS Personnel Requirements
......................................................................................46 CHAPTER 12. ADMINISTRATIVE
............................................................................................47 1200. Who to Contact
..............................................................................................................47 1201. Regulatory References
...................................................................................................47 1202. Other Related Legal and Guidance Material.
................................................................47 1203. Obtaining Reference Materia\...
.....................................................................................48

Page v (and vi)9/11/08 AC 120-16E
CHAPTER l. GENERAL INFORMATION IOO. PURPOSE. We describe the 10 elements that comprise air carrier maintenance programs and what you should include in your air carrier maintenance program. In this advisory circular (AC), when we say "air carrier maintenance," we mean inspection, overhaul, repair, preservation, and the replacement ofparts, as well as preventive maintenance. Consistentwith regulations, inspection functions are an inherent and integral part ofyour maintenance program; they are not separate. Your maintenance manual is the part ofyour air carrier manual that describes your maintenance program. 101. CANCELLATION. This AC cancels AC 120-160, Air Carrier Maintenance Programs, dated March 20, 2003. 102. AUDIENCE. This AC applies to you ifyou are a Title 14 ofthe Code ofFederal Regulations (14 CFR) part 119 air carrier conducting operations under 14 CFRparts 121 and/or 135. Forpart 135 operations, this AC applies only to those maintenance operations conducted under part 135, § 135.411(a)(2). This AC also applies to eachperson employed or used by an air carrier certificate holder for any maintenance, preventive maintenance, or alteration ofits aircraft. We have defmed the meaning of"person" in 14 CFRpart 1, § 1.1 as "anindividual, firm, partnership, corporation, company, association,joint-stock association, or governmental entity." This regulatory meaning of"person" includes a trustee, receiver, assignee, or similar representative ofany ofthem. Wheneverwe say "person" inthis AC, we mean the same as that in§ 1.1. 103. LEGAL BASIS FORAIR CARRIERMAINTENANCE PROGRAMS.
a. Title 49 U.S.C. § 44701 is the primary authority for all air carrier Federal aviation regulations. Title 49 U.S.C. § 44701 instructs us to promote the safe flight ofcivil aircraft in air commerce by prescribing regulations and standards in the interest ofsafety. b. When prescribing regulations and standards, Title 49 U.S.C.§ 44701 also obliges us to consideryour dutyto provide service with the highest possible degree ofsafety in the public interest, to consider differences between air transportation and other air commerce, and to classify a regulation or standard appropriate to the differences between air transportation and other air commerce. Congress has defined the term "air commerce" within 49 U.S.C.§ 40102 as "foreign air commerce, interstate air commerce, the transportation ofmail by aircraft, the operation ofaircraft within the limits ofa Federal airway, or the operation ofaircraft that directly affects, or may endanger safety in, foreign or interstate air commerce." Simply stated, operations in air commerce are almost everything but operations in air transportation.
c. Consistent with the requirements of49 U.S.C. § 44701, we regulate aircraft operations at different levels ofsafety. Hence, we have prescribed those regulations that govern air carrier operations (air transportation) and the operations ofother air commerce with a different structure to reflect the differences between these two segments ofthe aviation industry. Establishing appropriate standards and regulatory requirements is a riskmanagement (RM) process and the underlying legal structure provides for more than one level ofacceptable risk appropriate to different types offlight operations. We have written air transportation regulations to be

Par 100 Page 1AC 120-16E CHG I 6/7/11
all-inclusive and stand-alone, whereas the regulations governing other air commerce do not. Similarly, we wrote the scope ofresponsibility for those in air transportation operations very broad and not shared, whereas in other air commerce we wrote the scope ofresponsibility relatively narrow and commonly shared. The regulations in parts 119, 121, and 135 relate directly to air carrier maintenance programs and reflect the highest possible degree ofsafety in the public interest. The regulations in 14 CFR parts 43, 65, 91, and 145 do not necessarily reflect the highest possible degree ofsafety in the public interest. We have included more specific references to relevant regulations in subsequentparagraphs. 

### d. Performance-based Regulations. We wrote almost all ofthe parts 121 and 135 maintenance regulations in a performance-based format. We used the performance-based regulatory approachbecause it focuses on measurable outcomes, ratherthan prescriptive processes, techniques, orprocedures. Performance-based regulation leads to defined results without a specific direction or specific instruction in the regulation regarding how to obtain those results. This approach permits our regulations to apply to a wide variety ofcertificate holders and stillhave the same standards. For example, our performance-basedregulations at part 121, § 121.367 and § 135.425 apply equally to the one airplane operator and the 900 airplane operator. The defined result is always the same: anAirworthy airplane that has been properly maintained for operations in air transportation. Performance-basedregulation also permits the regulationto remain current in the face ofadvances in technology ormethodology.
e. 

### Acceptable Means ofCompliance (AMC). The otherhalfofwriting performancebasedregulation is to explain what constitutes anAMC. We wrote this AC to show you what acceptable methods ofcompliance with the performance-basedmaintenance programregulatory requirements are. Inthis AC, we have describedprocesses, techniques, and procedures that will lead to the definedresults in the maintenance regulations. None ofthe information inthis AC is mandatory or constitutes a regulation. We have not included any material in this AC that imposes, reduces, or changes a regulatory burden on anyone. Ifyou use the method of compliance presented in this AC, the term "should" used herein applies only ifyou choose to follow these particular methods. Yau should tailor your maintenance programto your particular and specific operation; therefore, we cannotprovide a single means ofcompliance that applies to all certificate holders required to develop and implement an air carrier maintenance program. 

### f. Continuous Airworthiness Program (CAP). The FAA introduced the Continuous Airworthiness Program (CAP) in a final rule at 29 FR 6522 on May 20, 1964. Since then, the CAP has become known, in a colloquial sense, as a Continuous Airworthiness Maintenance Program (CAMP). This 1964 rulemaking was our response to safety concerns and discoveries of weaknesses in the maintenance programs ofsome air carriers that we found during accident investigations and surveillance ofoperator maintenance activities. We designed the air carrier CAP to strengthen requirements for air carrier safety management activities. Each one ofthe air carrier maintenance program elements that we describe in this AC were a part ofthat 1964 rulemaking. 

### 104. MAINTENANCE PROGRAM AUTHORIZATION. We don't approve your maintenance program. There is no regulation that requires an approval. However, we do issue air carrier operations specifications (OpSpecs) to you that authorize you to use a maintenance program and the air carrier maintenance manual required by Federal Aviation Administration Page 2 Par 103

# I 6/7/11 AC 120-16E CHG I (FAA) regulations. This method for authorizing operations and maintenance in air transportation evolved from the Civil Aeronautics Board's (CAB) earlier method ofissuing operating certificates and temporary permits accompaniedby competency letters issued by the Secretary of Commerce. These competency letters contained information that authorized the air carrier's services, routes, aircraft, maintenance, airmen, and weather procedures; they were part ofyour air carrier operating certificate. We, oryou, could amend them as the circumstances dictated. In 1953, we amended the Civil Air Regulations (CAR) to require the issuance ofair carrier OpSpecs that replaced, formalized, and standardized the competency letters that we used at the time. We also amendedthe regulations to state that OpSpecs were not part ofyour air carrier certificate. Tailored to your specific operating context and the requirements ofyour individual operations, we use OpSpecs to convey the general terms ofregulations ioto specific terms, conditions, and limitations. As with the predecessor competency letters, OpSpecs are amended as circumstances dictate. Issuedbyus, the terms, conditions, and limitations contained in OpSpecs are made mandatorythrough specific regulatory language. (See part 119, § 119.5 for the applicable language.) 

### 105. AIR CARRIERMAINTENANCE PROGRAM OBJECTIVES.
a. Program Objectives. Your maiotenance program must ensure that three specific program objectives are achieved in order to provide the highest possible level ofsafety in air transportation: 

### (1) Each ofyour aircraft that you release to service must be Airworthy and properly maintaioed for operations in air transportation; (2) You, or any otherperson, perform all ofthe maintenance and alterations on your aircraft in accordance with yourmaintenance manual; and 

# I (3) You, or any otherperson, provide competentpersonnel, and adequate facilities and

equipment to perform maintenance and alterations on your aircraft. 

### b. Continuing Analysis and Surveillance System (CASS). Your maiotenance program should also have a system ofcontinuing surveillance, iovestigation, data collection, analysis, corrective action, and corrective action follow up that ensures all parts ofyour maintenance program are effective and are being performed in accordance withyour manual. Effective means thatyou are achieving the desired results accordiog to the maintenance program objectives and 

# Ithe standards that you, the air carrier, set. Program performance means that all personnel are

following yourprogram as you have documented it in your manual. 

### 106. AIR CARRIER MAINTENANCE PROGRAM ELEMENTS. Your air carrier maintenance program includes the following 10 elements. We explain each ofthese elements individually. In some cases, there is another AC that provides more detailed information about one or more ofthe maintenance program elements. Ifanother AC exists, we won't exp)ain that element in depth.

• Airworthiness responsibility, • Air carrier maintenance manual,

Par I04 Page 3

### AC 120-16E 9/11108

• Air carrier maintenance organization, • Accomplishment and approval ofmaintenance and alterations, • Maintenance schedule, • Required Inspection Items (Rll), • Maintenance recordkeeping system, • Contractmaintenance, • Personnel training, and • CASS.

Page 4 Par 106

### 617/11 AC 120-l6E CHG 1
CHAPTER 2. AIRWORTHINESS RESPONSIBILITY 200. RESPONSIBILITY FORAIRCRAFT MAINTENANCE. 

# I a. Part 119 Certificate Holder Responsibilities. Consistent with§§ 121.363 and 135.413, you, as a part 119 certificate holder, are primarily responsible for (1) the airworthiness ofyour aircraft, and (2) the performance ofall ofthe maintenance or alterations onyour aircraft. Your air carrier certificate makes you a maintenance entity. Under your air carrier certificate, you accomplish your own maintenance, preventive maintenance, or alterations, or you canuse other persons who are not direct employees to accomplish that work. Consistent with our regulations in§§ 121.l(b) and 135.1(a)(2), the part 121 or 135 regulations govern eachperson that you use or that you employ for any maintenance, preventive maintenance, or alteration of your aircraft. Each ofthese persons that you use mustbe under your direction and control and must follow your maintenance program. 

# I b. Maintenance Responsibilities. For any work done onyour aircraft, you retain direct and primary responsibility for performing and approving all maintenance and alterations, whether you accomplish that work or whether someone else does it for you (for example, a maintenance provider such as a repair station). However, you always retain primary responsibility for the performance and approval ofthe maintenance done bythat maintenance provider. 201. DIFFERENCES BETWEEN PROGRAMS. The following table provides a comparison ofthe differences between air carrier maintenance programs and part 91 general aviation inspection programs. 

# I Table 2-1. Maintenance Program and Inspection Program Differences Element Part 121 and 135 Air Carriers Part 91 Owners/Operators Use ofa Requiredto use a maintenance Required to use an inspectionprogram. maintenance or program for its aircraft. an inspection program. Responsibilities Responsible for the performance Responsible for maintaining the aircraft within the ofmaintenance in accordance in an airworthy condition relevant with its maintenance program and (14 CFRpart 91, § 91.403). program. manual, as well as the airworthiness ofits aircraft, including airframes, aircraft engines, propellers, appliances, andparts thereof. NOTE: The wording in part 91 is deliberately different from the wording in 14 CFRparts 121 and 135 and is consistent with the difference between air transportation and other air commerce described in 49 U.S.C. 

### §44701. Responsible for the development Responsible for the selection ofan and use ofthe maintenance existing inspectionprogram and the

Par 200 Page 5

### AC 120-16E 9/11/08
program and manual, determining scheduling ofaircraft for the inspections, the method ofperforming and for ensuring that discrepancies that maintenance, a required occur between scheduled inspections are inspection list, a continuous repaired. analysis and surveillance system, a maintenance organization that can exercise operational control over maintenance operations, and other items that collectively and systematically serve to ensure each aircraft has been properly maintained for operations in air transportation and is Airworthy. Must determine what Must make the airplane available to maintenance is required, how to authorized and certificated person(s) do it, when to do it, performthat who accomplish inspections and other maintenance, and approve its own maintenance. aircraft for return to service. May authorize anotherperson to accomplishthe maintenance work, but the maintenance must be carried out according to the air carrier's maintenance program andmanual. The air carrier still retains the responsibility for the proper completion of maintenance (part 121 

### § 121.363 orpart 135 

### § 135.413.1 Along with FAA oversight, is the The authorized and certificatedperson(s) primary authority with regard to has the responsibility to perform the its maintenance program. Holds maintenance properly in accordance with the primary responsibility for the the manufacturer's manual and to performance ofmaintenance in approve the aircraft for return to service. accordance with its maintenance The owner/operator does nothave this program and manual, as well as responsibility. However, the the airworthiness ofits aircraft, owner/operator is responsible for including airframes, aircraft ensuring maintenance personnel make engines, propellers, appliances, appropriate entries inthe aircraft and parts thereof. maintenance records indicating the aircraft has received approval for return to service.

Page 6 Par 201U.S. Department ofTransportation Federal Aviation Administration Subject: Air Carrier Maintenance Programs 

# Advisory Circular

Date: 11/15/12 AC No: 120-16F Initiated by: AFS-300 Change: This advisory circular (AC) explains whatthe term "maintenanceprogram" means. Our explanation describes the scope and content ofair carrier aircraft maintenance programs. This is important as there is a significant difference between an air carriermaintenance program and an inspectionprogram used in non-air carrier maintenance operations. We explain the background ofthese programs as well as the Federal Aviation Administration's (FAA) regulatory requirements. We also describe and explain each ofthe 10 elements ofair carrier maintenance programs. When we use "must" or "will" in this AC, we are referencing actual regulatory requirements. When we use "we," "us," or "our" in this AC, we meanthe FAA. When we use 

### "you," ''your," or "'yours," we mean you, the air carrier. When we use the term "person," it has the same meaning as that in Title 14 ofthe Code ofFederal Regulations (14 CFR) part I,§ 1.1. This AC is one method ofcompliance withthe requirements ofthe regulations. Instead of following this method, youmay elect to follow an alternate method, providedthat yourmethod is acceptable to us. Because the method ofcompliance that we present in this AC is not mandatory, the term "sho!lld" applies only ifyou choose to follow this particular methodwithout deviation. Yon should tailor your maintenance program to your specific operation; therefore, we are not providing a single means ofcompliance that applies to all operators required to have a maintenance program. We have included information in this AC about our expectations regarding your implementation ofan air carriermaintenance program. We based these expectations on ourregulations. As requiredby 14 CFR part 121, § 121.367 andpart 135, § 135.425, your maintenance programmust ensure that each ofyour aircraftreleased to service is Airworthy andproperly maintained for operations in air transportation; that you provide competentpersonnel, adequate facilities, and equipment; and that everyone who works on your aircraft follows your manual andyourprogram. In addition to strict compliance with the part 121 or 135 regulations, we encourage you to consider additional processes and methodologies for use in your maintenance program, such as industry best practices or other government guidance relevant to maintenance, preventive maintenance, and alteration activities.

John M. Allen Director, Flight Standards Service

### 11115/12 AC 120-16F 

### CONTENTS Paragraph Page CHAPTER 1. GENERAL INFORMATION
................................................................................... ! 

### 1-1. Purpose
.............................................................................................................................. ! 

### 1-2. Cancellation
...................................................................................................................... ! 

### 1-3. Audience
........................................................................................................................... ! 

### 1-4. Legal Basis for Air Carrier Maintenance Programs
........................................................

### .! 1-5. Maintenance Program Authorization
................................................................................3 1-6. Air Carrier Maintenance Program Objectives
..................................................................3 1-7. Air Carrier Maintenance Program Elements
.....................................................................3 CHAPTER 2. AIRWORTHINESS RESPONSIBILITY
.................................................................5 2-1. Responsibility for Aircraft Maintenance
..........................................................................5 2-2. Differences Between Programs
.........................................................................................5 Table 2-1. Maintenance Program and Inspection Program Differences
...........................5 CHAPTER 3. AIRCARRIERMAINTENANCE MANUAL
........................................................7 3-1. Air Carrier Maintenance Manual Requirement
................................................................7 3-2. Role ofY our Air Carrier Maintenance Manual..
..............................................................7 3-3. Major Sections ofthe Typical Air CarrierMaintenance Manual
.....................................7 CHAPTER 4. AIR CARRIER MAINTENANCE ORGANIZATION
......................................... !! 

### 4-1. Maintenance Organization---General
.............................................................................ll 4-2. Required Maintenance Organization Management Positions
......................................... !! 

### 4-3. Required Air Carrier Maintenance Organizational Structure
.........................................12 4-4. Separation oflnspection And Maintenance Departments
.............................................. 12 Figure 4-1. Maintenance Organizational Chart
..............................................................14 CHAPTER 5. ACCOMPLISHMENT AND APPROVAL OF MAINTENANCE AND ALTERATIONS
..................................................................................................... 15 5-1. Accomplishment ofMaintenance
................................................................................... 15 5-2. Major Repairs and Alterations
........................................................................................ 15 5-3. Airworthiness Release Form or Aircraft Log Entry and Approval for RTS
...................l6 5-4. Scope ofMaintenance
.....................................................................................................l6 5-5. Parts and Appliances Maintenance Program
.................................................................. 17 CHAPTER 6. MAINTENANCE SCHEDULE
............................................................................. 19 6-1. The Maintenance Schedule
............................................................................................. 19 6-2. The FAA's Role in Relation to the Maintenance Schedule
............................................l9 6-3. Maintenance Schedule Contents
.....................................................................................l9

Page iii

### AC 120-16F 11/15/12
CONTENTS (Continued) 

### Paragraph Page 6-4. Standards For Determining Maintenance Schedules
......................................................20 CHAPTER 7. REQUIRED INSPECTION ITEMS
.......................................................................23 7-1. RI!s
..................................................................................................................................23 Figure 7-1. Required Inspection ltems
............................................................................24 7-2. Ril 

### Procedures, Standards, and Limits
...........................................................................25 CHAPTER 8. MAINTENANCE RECORDKEEPING SYSTEM
................................................27 8-1. Reasons for Making and Keeping Maintenance Records
...............................................27 8-2. Part 43 Requirements
......................................................................................................27 8-3. WorkPerformed by a Part 145 Repair Station
...............................................................27 8-4. Penalties for Improper Air Carrier Maintenance Recordkeeping
...................................28 8-5. Making And Keeping Required Records
........................................................................28 8-6. Required Air CarrierMaintenance Records
...................................................................28 8-7. When To Make Records Available to the FAA
..............................................................28 8-8. Responsibility for Making Records Available to the FAA
.............................................29 8-9. Required Records
............................................................................................................29 8-10. Other Required Records and Reports
.............................................................................32 8-11. Requirements for Reports ofMajor Alterations andMajor Repairs
...............................34 8-12. Requirements for Historical or Source Records
.............................................................35 CHAPTER 9. CONTRACT MAINTENANCE
............................................................................37 9-1. Maintenance Providers
....................................................................................................3 7 9-2. Responsibility for Maintenance Performed by Others
....................................................38 9-3. Unscheduled ContractMaintenance Performed Away from Regular Facilities
.............38 9-4. Airworthiness Release Form or Aircraft Log Entry
.......................................................39 9-5. Evaluating New Maintenance Providers
.........................................................................39 9-6. Continuing Maintenance Provider Oversight
.................................................................40 9-7. Using A CRS as One ofYour Maintenance Providers
...................................................40 CHAPTER 10. PERSONNEL TRAINING
...................................................................................41 10-1. Maintenance Program Training Requirements
...............................................................41 10-2.Types ofTraining
............................................................................................................41 10-3. Initial Training
................................................................................................................41 10-4.Recurrent Training
..........................................................................................................41 10-5. SpecializedTraining
.......................................................................................................42 10-6. Maintenance Provider Training
......................................................................................42 10-7. Competency-Based Training
..........................................................................................42

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### 11115/12 AC 120-16F
CONTENTS (Continued) 

### Paragraph Page CHAPTER 11. CONTINUING ANALYSIS AND SURVEILLANCE SYSTEM
.......................45 11-1. Background ofthe CASS
................................................................................................45 11-2. CASSis a Safety Management Too\
..............................................................................45 11-3. Basic CASS Processes
....................................................................................................45 11-4. Risk-Based Decisions
.....................................................................................................47 11-5. Scope ofA CASS
............................................................................................................47 11-6. CASS DesignPrinciples
.................................................................................................47 11-7. CASS Personnel Requirements
.......................................................................................48 CHAPTER 12. ADMINISTRATIVE
............................................................................................49 12-1. Whomto Contact
............................................................................................................49 12-2. Regulatory References
....................................................................................................49 12-3. Other Related Regulations and Guidance Material
........................................................49 12-4. Obtaining Reference Material (current editions)
............................................................50

Page v (andvi)11115/12 AC 120-16F 

### CHAPTER 1. 

### GENERAL INFORMATION 1-1. PURPOSE. We describe the 10 elements that comprise air carrier maintenance programs and what you should include in your air carrier maintenance program. In this advisory circular (AC), when we say "air carrier maintenance," we mean inspection, overhaul, repair, preservation, and the replacement ofparts, as well as preventive maintenance. Consistent with regulations, inspection functions are an inherent and integral part ofyourmaintenance program; they are not separate. Yourmaintenance manual is the part ofyour air carriermanual that describes your maintenance program. 

### 1-2. CANCELLATION. This AC cancels AC 120-16E, Air Carrier Maintenance Programs, dated September 11, 2008. 

### 1-3. AUDIENCE. This AC applies to you ifyou are a Title 14 ofthe Code ofFederal Regulations (14 CFR) part 119 air carrier conducting operations under 14 CFR parts 121 and/or 135. For part 135 operations, this AC applies only to those maintenance operations conducted underpart 135, § 135.4ll(a)(2), 135.4ll(b) and 135.411(d). This AC also applies to eachperson employed orused by an air carrier certificate holder for any maintenance, preventive maintenance, or alteration ofits aircraft. We have defined the meaning of"person" in 14 CFR part 1, § 1.1 as "an individual, firm, partnership, corporation, company, association,joint-stock association, or goverrnnental entity." This regulatory meaning of"person" includes a trustee, receiver, assignee, or similar representative ofany ofthem. Wheneverwe say "person" inthis AC, we mean the same as that in § 1.1. 

### 1-4. LEGAL BASIS FOR AIR CARRIER MAINTENANCE PROGRAMS.
a. Title 49 ofthe United States Code (49 U.S.C.). Title 49 U.S.C. § 44701 is the primary authority for all air carrier Federal aviation regulations. Title 49 U.S.C. 

### § 44701 instructs us to promote the safe flight ofcivil aircraft in air commerce by prescribing regulations and standards in the interest ofsafety. 

### h. Air Commerce. When prescribing regulations and standards, Title 49 U.S.C. § 44701 also obliges us to consider your duty to provide service withthe highestpossible degree ofsafety in the public interest, to consider differences between airtransportation and other air commerce, and to classify a regulation or standard appropriate to the differences between air transportation and other air commerce. Congress has defined the term "air commerce" within 49 U.S.C. § 40102 as "foreign air commerce, interstate air commerce, the transportation ofmail by aircraft, the operation ofaircraft withinthe limits ofa Federal airway, or the operation ofaircraft that directly affects, or may endanger safety in, foreign or interstate air commerce." Simply stated, operations in air commerce are almost everything but operations in air transportation.


### c. Regulations. Consistent with the requirements of49 U.S.C. § 44701, we regulate aircraft operations at different levels ofsafety. Hence, we have prescribed those regulations that govern air carrier operations (air transportation) and the operations ofother air commerce with a different structure to reflect the differences between these two segments ofthe aviation industry. Establishing appropriate standards and regulatory requirements is a risk management (RM) process, and the underlying legal structure provides for more than one level ofacceptable risk

Par 1-1 Page IAC 120-16F 11/15/12 appropriate to different types oft1ight operations. We have written air transportation regulations to be all-inclusive and stand-alone, whereas the regulations governing other air commerce are not. Similarly, we wrote the scope ofresponsibility for those in airtransportation operations very broad and not shared, whereas in other air commerce we wrote the scope ofresponsibility relatively narrow and commonly shared. The regulations in parts 119, 121, and 135 relate directly to air carrier maintenance programs and reflect the highest possible degree ofsafety in the public interest. The regulations in 14 CFRparts 43, 65, 91, and 145 do not necessarily reflect the highest possible degree ofsafety in the public interest. We have included more specific references to relevant regulations in subsequentparagraphs. 

### d. Performance-based Regulations. We wrote almost all ofthe parts 121 and 135 maintenance regulations in a performance-based format. We usedthe performance-based regulatory approachbecause it focuses onmeasurable outcomes, rather than onprescriptive processes, techniques, or procedures. Performance-based regulation leads to defined results without a specific direction or specific instruction inthe regulation regarding how to obtain those results. This approach permits our regulations to apply to a wide variety ofcertificate holders and still have the same standards. For example, ourperformance-based regulations in part 121, § 121.367 and§ 135.425 apply equally to the !-airplane operator and the 900 airplane operator. The defined result is always the same: an Airworthy airplane thatthe operatorhas properly maintained for operations in air transportation. Performance-based regulation also permits the regulation to remain current in the face ofadvances in technology or methodology.


### e. Acceptable Means ofCompliance (AMC). The other halfofwriting performance-basedregulation is to explain what constitutes an AMC. We wrote this ACto show you what acceptable methods ofcompliance with the performance-basedmaintenance program regulatory requirements are. Inthis AC, we have describedprocesses, techniques, and procedures that will lead to the definedresults in the maintenance regulations. None ofthe information in this AC is mandatory or constitutes a regulation. We have not included any material in this AC that imposes, reduces, or changes a regulatory burden on anyone. Ifyouuse the method ofcompliance presented inthis AC, the term "should" used herein applies only if you choose to follow these particular methods. Yau shouldtailor your maintenance programto your particular and specific operation; therefore, we cannotprovide a single means of compliance that applies to all certificate holders required to develop and implement an air carrier maintenance program. 

### f. Continuous Airworthiness Program (CAP). The Federal Aviation Administration (FAA) introduced the CAP in a final rule at 29 Federal Register (FR) 6522 on May 20, 1964. Since then, the CAP has become known, in a colloquial sense, as a Continuous Airworthiness Maintenance Program (CAMP). This 1964 rulemaking was our response to safety concerns and discoveries ofweaknesses in the maintenance programs ofsome air carriers that we found during accident investigations and surveillance ofoperatormaintenance activities. We designed the air carrier CAP to strengthen requirements for air carrier safety management activities. Each one ofthe air carrier maintenance program elements that we describe in this AC were a part ofthat 1964 rulemaking.

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### 11115/12 AC 120-16F


### 1-5. MAINTENANCE PROGRAM AUTHORIZATION. We do not approve your maintenance program. There is no regnlation thatrequires an approval. However, we do issue air carrier operations specifications (OpSpecs) to you that authorize you to use a maintenance program and the air carrier maintenance manual required by FAAregulations. This method for authorizing operations and maintenance in air transportation evolved from the Civil Aeronautics Board's (CAB) earlier method ofissuing operating certificates and temporary permits accompaniedby competency letters issuedbythe Secretary ofCommerce. These competency letters contained information that authorized the air carrier's services, routes, aircraft, maintenance, airmen, and weatherprocedures; they were part ofyour air carrier operating certificate. We, or you, could amendthem as the circumstances dictated. In 

### 1953, we amended the Civil Air Regnlations (CAR) to require the issuance ofair carrier OpSpecs that replaced, formalized, and standardized the competency letters that we used at the time. We also amended the regnlations to state that OpSpecs were notpart ofyour air carrier certificate. Tailored to your specific operating context andthe requirements ofyour individual operations, we use OpSpecs to convey the general terms ofregulations into specific terms, conditions, and limitations. As with the predecessor competency letters, OpSpecs are amended as circumstances dictate. Issuedbyus, the terms, conditions, and limitations containedin OpSpecs are made mandatory through specific regulatory language. (Refer to part 119, 

### § 119.5 for the applicable langnage.) 

### 1-6. AIR CARRIER MAINTENANCE PROGRAM OBJECTIVES.
a. Program Objectives. Yourmaintenanceprogrammust ensure that three specific program objectives are achieved in orderto provide the highest possible level ofsafety in air transportation: 

### (1) Each ofyour aircraft that yourelease to service mustbe Airworthy and properly maintained for operations in air transportation; 

### (2) You, or any other person, perform all ofthe maintenance and alterations on your aircraft in accordance with your maintenance manual; and 

### (3) You, or any other person, provide competent personnel, and adequate facilities and equipment to performmaintenance and alterations onyour aircraft. 

### b. Continuing Analysis and Surveillance System (CASS). Your maintenance program should also have a system ofcontinuing surveillance, investigation, data collection, analysis, corrective action, and corrective action followup that ensures all parts ofyour maintenance program are effective and are being performed in accordance with your manual. "Effective" means that you are achieving the desired results according to the maintenance program objectives and the standards that you, the air carrier, set. Program performance means that all personnel are following yourprogram as you have documented it in your manual. 

### l-7. AIR CARRIER MAINTENANCE PROGRAM ELEMENTS. Your air carrier maintenance program includes the following 10 elements. We explain each ofthese elements individually. In some cases, there is another AC that provides more detailed information about one or more ofthe maintenance program elements. If

### another AC exists, we will not explain that element in depth.

Par 1-5 Page 3

### AC 120-16F 11115112

• Airworthiness responsibility, • Air carrier maintenance manual, • Air carrier maintenance organization, • Accomplishment and approval ofmaintenance and alterations, • Maintenance schedule, • Required Inspection Items (Rll), 

### • Maintenance recordkeeping system, • Contract maintenance, • Personnel training, and • CASS.

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### 11115/12 AC 120-16F
CHAPTER 2. AIRWORTHINESS RESPONSIBILITY 2-1. RESPONSIBILITY FORAIRCRAFT MAINTENANCE.
a. Part 119 Certificate Holder Responsibilities. 

### Consistent with§§ 121.363 and 135.413, you, as a part 119 certificate holder, are primarily responsible for the airworthiness ofyour aircraft, and the performance ofall ofthe maintenance or alterations on your aircraft. Your air carrier certificate makes you a maintenance entity. Under your aircarrier certificate, you accomplish your own maintenance, preventive maintenance, or alterations, or you can use other persons who are not direct employees to accomplish that work. Consistent with our regulations in§§ 121.l(b) and 135.l(a)(2), the part 121 or 135 regulations govern each person that you use or that you employ for any maintenance, preventive maintenance, or alteration of your aircraft. Each ofthese persons that youuse must be under your direction and control and must follow your maintenance program. b. Maintenance Responsibilities. 

### For any work done onyour aircraft, youretain direct and primary responsibility for performing and approving all maintenance and alterations, whether you accomplish that work or whether someone else does it for you, such as a repair station. However, you always retain primaryresponsibility for the performance and approval ofthe maintenance done bythat maintenance provider. 2-2. DIFFERENCES BETWEEN PROGRAMS. 

### The following table provides a comparison ofthe differences between air carrier maintenance programs andpart 91 General Aviation (GA) inspectionprograms. TABLE 2-1. MAINTENANCE PROGRAMAND INSPECTION PROGRAM DIFFERENCES Element Part 121 and 135 Air Carriers Part 91 Owners/Operators 

### Use ofa Required to use a maintenance Required to use an inspection program. maintenance or program for its aircraft. an inspection program. Responsibilities Responsible for the performance Responsible for maintaining the aircraft within the ofmaintenance in accordance in an Airworthy condition relevant with its maintenance program and (14 CFRpart 91, § 91.403). program. manual, as well as the airworthiness ofits aircraft, including airframes, aircraft engines, propellers, appliances, and parts thereof. NOTE: The wording in part 91 is deliberately different from the wording in 14 CFRparts 121 and 135 and is consistent with the difference between air transportation and other air commerce described in 49 U.S.C. § 44701. Responsible for the development Responsible for the selection ofan and use ofthe maintenance existing inspection program and the

Par 2-1 Page 5AC l20-l6F llll5/l2
program and manual, determining scheduling ofaircraft for the the method ofperforming inspections, and for ensuring that maintenance, a required discrepancies that occur between inspection list, a Continuous scheduled inspections are repaired. Analysis and Surveillance System (CASS), a maintenance organization that can exercise operational control over maintenance operations, and other items that collectively and systematically serve to ensure each aircraft has beenproperly maintained for operations in air transportation and is Airworthy. Must determine what maintenance Must make the airplane available to is required, how to do it, when to authorized and certificatedperson(s) do it, performthat maintenance, who accomplish inspections and other and approve its own aircraft for maintenance. return to service (RTS). May authorize another person to accomplish the maintenance work, but the maintenance must be carried out according to the air carrier's maintenance program andmanual. The air carrier still retains the responsibility for the proper completion ofmaintenance (part 121, § 121.363 or part 135, § 135.413). Along withFAA oversight, is the The authorized and certificated primary authority with regard to person(s) has the responsibility to its maintenance program. Holds perform the maintenance properly in the primary responsibility for the accordance with the manufacturer's performance ofmaintenance in manual and to approve the aircraft for accordance with its maintenance RTS. The owner/operator does not have program andmanual, as well as this responsibility. However, the the airworthiness ofits aircraft, owner/operator is responsible for including airframes, aircraft ensuring maintenance personnel make engines, propellers, appliances, appropriate entries inthe aircraft andparts thereof. maintenance records indicating the aircraft has received approval for RTS.

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