u.s. DEPARTMENT OF TRANSPORTATIOJ+l E c E I v ED 

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 

By: A l tJJJf{6 .• ·:0 Jlt1.~ 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 of air 

carrier aircraft maintenance programs. We explain the background of these programs as well as 

the Federal Aviation Administration's (FAA) regulatory requirements. We also describe and 

explain each of the 10 elements of air 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 mean the FAA. When we use ''you," ''your," or ''yours," we mean you, 

the air carrier. 

2. PRINCIPAL CHANGES. In this change, we have incorporated the plain language style of 

writing that adheres to our writing standards. We have included information on industry best 

practices such as an Airworthiness Directive (AD) management process that may help you to 

ensure that the status of AD's on your airplanes remains current. We have also included 

information regarding who you may contact if you have questions or feedback on the material in 

this AC. 

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~~ 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 of air carrier aircraft maintenance programs. This is 

important as there is a significant difference between an air carrier maintenance program and an 

inspection program used in non-air carrier maintenance operations. We explain the background 

of these programs as well as the Federal Aviation Administration's (FAA) regulatory 

requirements. We also describe and explain each of the I 0 elements of air 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 mean the 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 of the Code of Federal Regulations (14 CFR) part 1, § 1.1. 

This AC is one method of compliance with the requirements of the regulations. Instead of 

following this method, you may elect to follow an alternate method, provided that your method 

is acceptable to us. Because the method of compliance that we present in this AC is not 

mandatory, the term "should" applies only if you choose to follow this particular method without 

deviation. You should tailor your maintenance program to your specific operation; therefore, we 

are not providing a single means of compliance that applies to all operators required to have a 

maintenance program. We have included information in this AC about our expectations 

regarding your implementation of an air carrier maintenance program. We based these 

expectations on our regulations. As required by 14 CFR part 121, § 121.367 and part 135, 

§ 135.425, your maintenance program must ensure that each of your aircraft released to service 

is Airworthy and properly maintained for operations in air transportation; that you provide 

competent personnel, adequate facilities, and equipment; and that everyone who works on your 

aircraft follows your manual and your program. 

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 what the terms "maintenance program" and 

"air carrier maintenance program" mean. Our explanation describes the scope and content of air 

carrier aircraft maintenance programs. We explain the background of these programs as well as 

the Federal Aviation Administration's (FAA) regulatory requirements. We also describe and 

explain each of the I 0 elements of air 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 mean the FAA. When we use "you," "your," or ''yours," we mean you, 

the air carrier. 

2. PRINCIPAL CHANGES. In this 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 an Airworthiness Directive (AD) management process that may help you to 

ensure that the status of AD's on your airplanes remains current. We have also included 

information regarding who you may contact if you have questions or feedback on the material in 

this AC. 

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6171 ll AC 120-16E CHG 1 

CONTENTS 

Paragraph Page 

CHAPTER 1. GENERAL INFORMATION ................................................................................... ! 

1 00. Purpose .............................................................................................................................. 1 

101. Cancellation ...................................................................................................................... 1 

102. Audience ........................................................................................................................... ! 

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

104. Maintenance Program Authorization ................................................................................ 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 of Your Air Carrier Maintenance Manual. ............................................................... 7 

302. Major Sections of the Typical Air Carrier Maintenance Manual. .................................... ? 

CHAPTER 4. AIR CARRIER MAINTENANCE ORGANIZATION ......................................... !! 

400. Maintenance Organization-General. ............................................................................ 11 

401. Required Maintenance Organization Management Positions ......................................... 11 

402. Required Air Carrier Maintenance Organizational Structure ......................................... 12 

403. Separation of Inspection And Maintenance Departments .............................................. 12 

Figure 4.1. Maintenance Organizational Chart ............................................................... l4 

CHAPTER 5. ACCOMPLISHMENT AND APPROVAL OF MAINTENANCE AND 

ALTERATIONS ............................................................................................................................ 15 

500. Accomplishment of Maintenance ................................................................................... 15 

501. Major Repairs and Alterations ...................................................................................... .15 

502. Airworthiness Release Form or Aircraft Log Entry and Approval for Return to 

Service ............................................................................................................................. 16 

503. Scope of Maintenance ..................................................................................................... 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 

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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. When To Make Records Available to the FAA .............................................................. 28 

807. Responsibility for Making Records Available to the FAA ............................................. 28 

808. Required Records ............................................................................................................ 29 

809. Other Required Records and Reports ............................................................................ .31 

810. Requirements for Reports of Major Alterations and Major 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 of Your 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 

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6/7/11 AC 120-16E CHG 1 

CONTENTS (Continued) 

Paragraph Page 

CHAPTER 11. CASS ................................................................................................................... .43 

1100. Background of the CASS .............................................................................................. .43 

1101. CASSis a Safety Management Tool. ............................................................................ 43 

1102. Basic CASS Processes .................................................................................................. .43 

1103. Risk-based Decisions .................................................................................................... .45 

1104. Scope of CASS ............................................................................................................. .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 of parts, as well as preventive maintenance. Consistent with 

regulations, inspection functions are an inherent and integral part of your maintenance program; 

they are not separate. Your maintenance manual is the part of your 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 if you are a Title 14 of the Code of Federal 

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 

under part 135, § 135.411(a)(2). This AC also applies to each person employed or used by an air 

carrier certificate holder for any maintenance, preventive maintenance, or alteration of its 

aircraft. We have defmed the meaning of "person" in 14 CFR part 1, § 1.1 as "an individual, 

firm, partnership, corporation, company, association, joint-stock association, or governmental 

entity." This regulatory meaning of"person" includes a trustee, receiver, assignee, or similar 

representative of any of them. Whenever we say "person" in this AC, we mean the same as that 

in§ 1.1. 

103. LEGAL BASIS FOR AIR CARRIER MAINTENANCE 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 of civil aircraft in air 

commerce by prescribing regulations and standards in the interest of safety. 

b. When prescribing regulations and standards, Title 49 U.S.C.§ 44701 also obliges us to 

consider your duty to provide service with the highest possible degree of safety 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 of mail by aircraft, the 

operation of aircraft within the limits of a Federal airway, or the operation of aircraft 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 of 49 U.S.C. § 44701, we regulate aircraft operations 

at different levels of safety. Hence, we have prescribed those regulations that govern air carrier 

operations (air transportation) and the operations of other air commerce with a different structure 

to reflect the differences between these two segments of the 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 of acceptable risk appropriate to 

different types of flight operations. We have written air transportation regulations to be 

Par 100 Page 1 
AC 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 of responsibility for those in air transportation operations very 

broad and not shared, whereas in other air commerce we wrote the scope of responsibility 

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 of safety in 

the public interest. The regulations in 14 CFR parts 43, 65, 91, and 145 do not necessarily reflect 

the highest possible degree of safety in the public interest. We have included more specific 

references to relevant regulations in subsequent paragraphs. 

d. Performance-based Regulations. We wrote almost all of the parts 121 and 135 

maintenance regulations in a performance-based format. We used the performance-based 

regulatory approach because it focuses on measurable outcomes, rather than prescriptive 

processes, techniques, or procedures. 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 of certificate holders and 

still have the same standards. For example, our performance-based regulations 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: an Airworthy airplane that has been properly 

maintained for operations in air transportation. Performance-based regulation also permits the 

regulation to remain current in the face of advances in technology or methodology. 

e. Acceptable Means of Compliance (AM C). The other half of writing performancebased regulation is to explain what constitutes an AMC. We wrote this AC to show you what 

acceptable methods of compliance with the performance-based maintenance program regulatory 

requirements are. In this AC, we have described processes, techniques, and procedures that will 

lead to the defined results in the maintenance regulations. None of the 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. If you use the method of 

compliance presented in this AC, the term "should" used herein applies only if you choose to 

follow these particular methods. Y au should tailor your maintenance program to your particular 

and specific operation; therefore, we cannot provide 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 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 of some air carriers that we found during accident 

investigations and surveillance of operator maintenance activities. We designed the air carrier 

CAP to strengthen requirements for air carrier safety management activities. Each one of the air 

carrier maintenance program elements that we describe in this AC were a part of that 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 
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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 of issuing operating 

certificates and temporary permits accompanied by 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 of your 

air carrier operating certificate. We, or you, could amend them as the circumstances dictated. 

In 1953, we amended the Civil Air Regulations (CAR) to require the issuance of air carrier 

OpSpecs that replaced, formalized, and standardized the competency letters that we used at the 

time. We also amended the regulations to state that OpSpecs were not part of your air carrier 

certificate. Tailored to your specific operating context and the requirements of your individual 

operations, we use OpSpecs to convey the general terms of regulations ioto specific terms, 

conditions, and limitations. As with the predecessor competency letters, OpSpecs are amended as 

circumstances dictate. Issued by us, the terms, conditions, and limitations contained in OpSpecs 

are made mandatory through specific regulatory language. (See part 119, § 119.5 for the 

applicable language.) 

105. AIR CARRIER MAINTENANCE 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 of safety in air 

transportation: 

(1) Each of your aircraft that you release to service must be Airworthy and properly 

maintaioed for operations in air transportation; 

(2) You, or any other person, perform all of the maintenance and alterations on your 

aircraft in accordance with your maintenance manual; and 

I (3) You, or any other person, provide competent personnel, 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 of continuing surveillance, iovestigation, data collection, analysis, 

corrective action, and corrective action follow up that ensures all parts of your maintenance 

program are effective and are being performed in accordance with your manual. Effective means 

that you are achieving the desired results accordiog to the maintenance program objectives and 

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

following your program 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 of these elements 

individually. In some cases, there is another AC that provides more detailed information about 

one or more of the maintenance program elements. If another AC exists, we won't exp)ain that 

element in depth. 

• Airworthiness responsibility, 

• Air carrier maintenance manual, 

Par I 04 Page 3 
AC 120-16E 9/11108 

• Air carrier maintenance organization, 

• Accomplishment and approval of maintenance and alterations, 

• Maintenance schedule, 

• Required Inspection Items (Rll), 

• Maintenance recordkeeping system, 

• Contract maintenance, 

• Personnel training, and 

• CASS. 

Page 4 Par 106 
617/11 AC 120-l6E CHG 1 

CHAPTER 2. AIRWORTHINESS RESPONSIBILITY 

200. RESPONSIBILITY FOR AIRCRAFT 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 

of your aircraft, and (2) the performance of all of the maintenance or alterations on your 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 can use 

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 each person 

that you use or that you employ for any maintenance, preventive maintenance, or alteration of 

your aircraft. Each of these persons that you use must be under your direction and control and 

must follow your maintenance program. 

I b. Maintenance Responsibilities. For any work done on your 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 of the maintenance done by that maintenance 

provider. 

201. DIFFERENCES BETWEEN PROGRAMS. The following table provides a comparison 

of the 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 of a 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 of maintenance in accordance in an airworthy condition 

relevant with its maintenance program and (14 CFR part 91, § 91.403). 

program. manual, as well as the 

airworthiness of its aircraft, 

including airframes, aircraft 

engines, propellers, appliances, 

and parts thereof. 

NOTE: The wording in part 91 is deliberately different from the wording in 

14 CFR parts 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 of an 

and use of the maintenance existing inspection program and the 

Par 200 Page 5 
AC 120-16E 9/11/08 

program and manual, determining scheduling of aircraft for the inspections, 

the method of performing 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, perform that who accomplish inspections and other 

maintenance, and approve its own maintenance. 

aircraft for return to service. May 

authorize another person to 

accomplish the maintenance 

work, but the maintenance must 

be carried out according to the air 

carrier's maintenance program 

and manual. The air carrier still 

retains the responsibility for the 

proper completion of 

maintenance (part 121 § 121.363 

or part 135 § 135.413.1 

Along with FAA oversight, is the The authorized and certificated person(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 of maintenance in approve the aircraft for return to service. 

accordance with its maintenance The owner/operator does not have this 

program and manual, as well as responsibility. However, the 

the airworthiness of its aircraft, owner/operator is responsible for 

including airframes, aircraft ensuring maintenance personnel make 

engines, propellers, appliances, appropriate entries in the aircraft 

and parts thereof. maintenance records indicating the 

aircraft has received approval for return 

to service. 

Page 6 Par 201 

U.S. Department 

of Transportation 

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 what the term "maintenance program" means. Our 

explanation describes the scope and content of air carrier aircraft maintenance programs. This is 

important as there is a significant difference between an air carrier maintenance program and an 

inspection program used in non-air carrier maintenance operations. We explain the background 

of these programs as well as the Federal Aviation Administration's (FAA) regulatory 

requirements. We also describe and explain each of the 10 elements of air 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 mean the 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 of Federal Regulations (14 CFR) part I,§ 1.1. 

This AC is one method of compliance with the requirements of the regulations. Instead of 

following this method, you may elect to follow an alternate method, provided that your method 

is acceptable to us. Because the method of compliance that we present in this AC is not 

mandatory, the term "sho!lld" applies only if you choose to follow this particular method without 

deviation. Yon should tailor your maintenance program to your specific operation; therefore, we 

are not providing a single means of compliance that applies to all operators required to have a 

maintenance program. We have included information in this AC about our expectations 

regarding your implementation of an air carrier maintenance program. We based these 

expectations on our regulations. As required by 14 CFR part 121, § 121.367 and part 135, 

§ 135.425, your maintenance program must ensure that each of your aircraft released to service 

is Airworthy and properly maintained for operations in air transportation; that you provide 

competent personnel, adequate facilities, and equipment; and that everyone who works on your 

aircraft follows your manual and your program. 

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. AIR CARRIER MAINTENANCE MANUAL ........................................................ 7 

3-1. Air Carrier Maintenance Manual Requirement ................................................................ 7 

3-2. Role ofY our Air Carrier Maintenance Manual.. .............................................................. 7 

3-3. Major Sections of the Typical Air Carrier Maintenance 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 of Maintenance ................................................................................... 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 of Maintenance ..................................................................................................... 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 

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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 RECORD KEEPING SYSTEM ................................................ 27 

8-1. Reasons for Making and Keeping Maintenance Records ............................................... 27 

8-2. Part 43 Requirements ...................................................................................................... 27 

8-3. Work Performed 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 Carrier Maintenance Records ................................................................... 28 

8-7. When To Make Records Available to the FAA .............................................................. 28 

8-8. Responsibility for Making Records Available to the F AA ............................................. 29 

8-9. Required Records ............................................................................................................ 29 

8-10. Other Required Records and Reports ............................................................................. 32 

8-11. Requirements for Reports of Major Alterations and Major 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 Contract Maintenance 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 of Your Maintenance Providers .................................................. .40 

CHAPTER 10. PERSONNEL TRAINING ................................................................................... 41 

10-1. Maintenance Program Training Requirements .............................................................. .41 

10-2. Types of Training ........................................................................................................... .41 

10-3. Initial Training ................................................................................................................ 41 

10-4. Recurrent Training ......................................................................................................... .41 

10-5. Specialized Training ..................................................................................................... ..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 of the 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 of A CASS ........................................................................................................... .47 

11-6. CASS Design Principles ................................................................................................ .47 

11-7. CASS Personnel Requirements ...................................................................................... .48 

CHAPTER 12. ADMINISTRATIVE ........................................................................................... .49 

12-1. Whom to Contact ........................................................................................................... .49 

12-2. Regulatory References ................................................................................................... .49 

12-3. Other Related Regulations and Guidance Material ....................................................... .49 

12-4. Obtaining Reference Material (current editions) ............................................................ 50 

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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 of parts, as well as preventive maintenance. Consistent with 

regulations, inspection functions are an inherent and integral part of your maintenance program; 

they are not separate. Your maintenance manual is the part of your air carrier manual 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 if you are a Title 14 of the Code of Federal 

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 under part 135, § 135.4ll(a)(2), 135.4ll(b) and 135.411(d). This AC also applies to 

each person employed or used by an air carrier certificate holder for any maintenance, preventive 

maintenance, or alteration of its 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 of any of them. Whenever we say "person" in this 

AC, we mean the same as that in § 1.1. 

1-4. LEGAL BASIS FOR AIR CARRIER MAINTENANCE PROGRAMS. 

a. Title 49 of the 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 of civil aircraft in air commerce by prescribing regulations and standards 

in the interest of safety. 

h. Air Commerce. When prescribing regulations and standards, Title 49 U.S.C. § 44701 

also obliges us to consider your duty to provide service with the highest possible degree of safety 

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 of mail by aircraft, 

the operation of aircraft within the limits of a Federal airway, or the operation of aircraft 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 of 49 U.S.C. § 44701, we regulate 

aircraft operations at different levels of safety. Hence, we have prescribed those regulations that 

govern air carrier operations (air transportation) and the operations of other air commerce with a 

different structure to reflect the differences between these two segments of the 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 of acceptable risk 

Par 1-1 Page I 
AC 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 of responsibility for those in air transportation operations very 

broad and not shared, whereas in other air commerce we wrote the scope of responsibility 

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 of safety in 

the public interest. The regulations in 14 CFR parts 43, 65, 91, and 145 do not necessarily reflect 

the highest possible degree of safety in the public interest. We have included more specific 

references to relevant regulations in subsequent paragraphs. 

d. Performance-based Regulations. We wrote almost all of the parts 121 and 135 

maintenance regulations in a performance-based format. We used the performance-based 

regulatory approach because it focuses on measurable outcomes, rather than on prescriptive 

processes, techniques, or procedures. 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 of certificate holders and 

still have the same standards. For example, our performance-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 that the operator has 

properly maintained for operations in air transportation. Performance-based regulation also 

permits the regulation to remain current in the face of advances in technology or methodology. 

e. Acceptable Means of Compliance (AM C). The other half of writing 

performance-based regulation is to explain what constitutes an AMC. We wrote this ACto show 

you what acceptable methods of compliance with the performance-based maintenance program 

regulatory requirements are. In this AC, we have described processes, techniques, and 

procedures that will lead to the defined results in the maintenance regulations. None of the 

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. If you use 

the method of compliance presented in this AC, the term "should" used herein applies only if 

you choose to follow these particular methods. Y au should tailor your maintenance program to 

your particular and specific operation; therefore, we cannot provide 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 of weaknesses in the maintenance programs of some air carriers that we 

found during accident investigations and surveillance of operator maintenance activities. We 

designed the air carrier CAP to strengthen requirements for air carrier safety management 

activities. Each one of the air carrier maintenance program elements that we describe in this AC 

were a part of that 1964 rulemaking. 

Page 2 Par 1-4 
11115/12 AC 120-16F 

1-5. MAINTENANCE PROGRAM AUTHORIZATION. We do not approve your 

maintenance program. There is no regnlation 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 FAA regulations. This method for 

authorizing operations and maintenance in air transportation evolved from the Civil Aeronautics 

Board's (CAB) earlier method of issuing operating certificates and temporary permits 

accompanied by 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 of your air carrier operating 

certificate. We, or you, could amend them as the circumstances dictated. In 1953, we amended 

the Civil Air Regnlations (CAR) to require the issuance of air 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 not part of your air carrier certificate. Tailored to your 

specific operating context and the requirements of your individual operations, we use OpSpecs to 

convey the general terms of regulations into specific terms, conditions, and limitations. As with 

the predecessor competency letters, OpSpecs are amended as circumstances dictate. Issued by us, 

the terms, conditions, and limitations contained in 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. Your maintenance program must ensure that three specific 

program objectives are achieved in order to provide the highest possible level of safety in air 

transportation: 

(1) Each of your aircraft that you release to service must be Airworthy and properly 

maintained for operations in air transportation; 

(2) You, or any other person, perform all of the 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 perform maintenance and alterations on your aircraft. 

b. Continuing Analysis and Surveillance System (CASS). Your maintenance program 

should also have a system of continuing surveillance, investigation, data collection, analysis, 

corrective action, and corrective action followup that ensures all parts of your 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 your program 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 of these elements 

individually. In some cases, there is another AC that provides more detailed information about 

one or more of the 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 of maintenance and alterations, 

• Maintenance schedule, 

• Required Inspection Items (Rll), 

• Maintenance recordkeeping system, 

• Contract maintenance, 

• Personnel training, and 

• CASS. 

Page 4 Par 1-7 
11115/12 AC 120-16F 

CHAPTER 2. AIRWORTHINESS RESPONSIBILITY 

2-1. RESPONSIBILITY FOR AIRCRAFT 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 

of your aircraft, and the performance of all of the maintenance or alterations on your 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 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 of these persons that you use must be under your direction and control and 

must follow your maintenance program. 

b. Maintenance Responsibilities. For any work done on your 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, such as a 

repair station. However, you always retain primary responsibility for the performance and 

approval of the maintenance done by that maintenance provider. 

2-2. DIFFERENCES BETWEEN PROGRAMS. The following table provides a comparison 

of the differences between air carrier maintenance programs and part 91 General Aviation (GA) 

inspection programs. 

TABLE 2-1. MAINTENANCE PROGRAM AND INSPECTION PROGRAM 

DIFFERENCES 

Element Part 121 and 135 Air Carriers Part 91 Owners/Operators 

Use of a 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 of maintenance in accordance in an Airworthy condition 

relevant with its maintenance program and (14 CFR part 91, § 91.403). 

program. manual, as well as the 

airworthiness of its aircraft, 

including airframes, aircraft 

engines, propellers, appliances, 

and parts thereof. 

NOTE: The wording in part 91 is deliberately different from the wording in 

14 CFR parts 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 of an 

and use of the maintenance existing inspection program and the 

Par 2-1 Page 5 
AC l20-l6F llll5/l2 

program and manual, determining scheduling of aircraft for the 

the method of performing 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 been properly 

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 certificated person(s) 

do it, perform that 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 

and manual. The air carrier still 

retains the responsibility for the 

proper completion of maintenance 

(part 121, § 121.363 or 

part 135, § 135.413). 

Along with FAA 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 of maintenance in manual and to approve the aircraft for 

accordance with its maintenance RTS. The owner/operator does not have 

program and manual, as well as this responsibility. However, the 

the airworthiness of its aircraft, owner/operator is responsible for 

including airframes, aircraft ensuring maintenance personnel make 

engines, propellers, appliances, appropriate entries in the aircraft 

and parts thereof. maintenance records indicating the 

aircraft has received approval for R TS. 

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