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MANUAL OF

MAINTENANCE ORGANIZATION
APPROVALS

Civil Aviation Authority


of Viet Nam

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VIETNAM
CIVIL AVIATION AUTHORITY

AMO ADMINISTRATION AND


CERTIFICATION MANUAL

Approval

31 May 2010

This AMO Administration and Certification Manual is one in a set of manuals


forming the technical guidance provided for the conduct of aviation safety
oversight by the Civil Aviation Authority of Vietnam (CAAV). These manuals
are produced to provide the information, policy and procedures necessary to
perform tasks in support of the Vietnam Aviation Regulations (VARs).
All personnel assigned by the CAAV to perform tasks that are addressed in
this manual shall comply with these policies and procedures in the
performance of their duties. All other relevant working documents relating
to these specific tasks and responsibilities will also be considered. If there is
any conflicting guidance, the employee should advise management in
writing. It is a goal of the CAAV to provide guidance that empowers
personnel to conduct their tasks in a standardized manner.
This manual is subject to regular review and improvement as approved by
the Director. The CAAV has authority to amend the manual, as necessary, to
conform to the Vietnam Safety Oversight Program.
This manual will be treated as a dynamic document. As a result of
amendments to the Vietnam Civil Aviation legislation and the progress of
aviation safety practices, there will be the need for amendments.
Contribution of meaningful ideas for the improvement of the content of this
manual is therefore encouraged and requested from all users.
Approved by:

name
Director, CAAV

Copyright 2001-2009 AVSOG Inc.

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AMO ADMINISTRATION AND


CERTIFICATION MANUAL

CIVIL AVIATION AUTHORITY

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Record of Revisions
Insert and remove pages as indicated on the revision cover letter.
For missing pages, contact the FSSD Directors Secretary.

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Comment Report
Please complete this form to transmit your comments, questions, or suggestions concerning this
Manual (See Header) to the address on the back. Attach any reference pages, marking area where
changes or questions apply.

Name: ________________________________________ Position: __________________


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Manager
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email
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Record of Bulletins
Insert Bulletins in chronological order as directed by the Bulletin.
For missing Bulletins, contact the FSSD Directors Secretary.
Bulletin

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AMO Work Away From Base

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Chapter 19 AMO Quality Assurance


System

Chapter 15 AMO Records & Records


System
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Chapter 20 AMO Safety Management


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Chapter 22 AMO Foreign Maintenance


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Table of Contents
Approval ....................................................................................................................................... APR-1
Record of Revisions ....................................................................................................................... REV-1
Comment Report ........................................................................................................................... CMT-1
Record of Bulletins ......................................................................................................................... BUL-1
List of Effective Pages ..................................................................................................................... LEP-1
Table of Contents .......................................................................................................................... TOC-1
Index ............................................................................................................................................ INX-1

Chapter 1

Manual Administration

1.1 Primary User Manual for AMO Administration & Certification ............................................
1.2 Availability of this Manual .............................................................................................
1.3 Compliance with this Manual .........................................................................................
1.4 Maintenance and Ownership of Manual ..........................................................................
1.5 Inserting Revisions to This Manual ................................................................................
1.6 Proposing Revisions to this Manual ................................................................................
1.7 Editing Conventions ......................................................................................................
1.8 Use of Notes, Cautions and Warnings ............................................................................
1.9 Intentionally Blank .......................................................................................................
Appendix 1-A Definitions & Acronyms for this Manual .........................................................

Chapter 2
2.1
2.2

AMO Inspection & Resolution

Inspection Policy ..........................................................................................................


Summary of CAAV AMO Inspections ..............................................................................
Inspection Preparation .................................................................................................
Conduct of the Inspection .............................................................................................
Minimum Required Annual Inspections ..........................................................................
Unplanned, No Notice Inspections .................................................................................

Chapter 4
4.1
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4.5
4.6
4.7
4.8
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4.10
4.11
4.12

Policy Overview & Technical Administration

General Policies ............................................................................................................ 2-1


New Casort AMO Organization Entry .............................................................................. 2-2

Chapter 3
3.1
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3.6

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AMO Certification Process

Certification Process ..................................................................................................... 4-1


Before Certification ....................................................................................................... 4-1
Phase One: Pre-Application ........................................................................................... 4-2
Phase Two: Initial Application Review ............................................................................ 4-4
Critical Concept: Deal Quickly with Unacceptable Documents ......................................... 4-6
Initial Application Review Meeting ................................................................................. 4-7
Review Procedure ........................................................................................................ 4-8
Critical Initial Application Review Phase Evaluations ........................................................ 4-8
Manuals .................................................................................................................... 4-10
Other Supporting Materials ......................................................................................... 4-11
Formal Application Meetings ....................................................................................... 4-12
Process of Conformance Evaluation ............................................................................. 4-14

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4.13
4.14
4.15
4.16
4.17
4.18
4.19
4.20
4.21
4.22
4.23

CIVIL AVIATION AUTHORITY

Requests for Document Correction ...............................................................................


Submitted Document Status Under Continuous Revision ...............................................
On-Going Acceptance or Approval of Documents ...........................................................
Conformance Checklists ...............................................................................................
Exemption & Deviation Requests ..................................................................................
Required AMO Management Resumes ..........................................................................
AMO Manuals .............................................................................................................
Evaluation of AMO Procedures .....................................................................................
Completion of Document Conformance Phase ...............................................................
Inspection Phase ........................................................................................................
Phase Five: Final Certification Actions ...........................................................................

Chapter 5

AMO Manual System

5.1 General: AMO Procedures Manual .................................................................................


5.2 Single Manual or Several Volumes? ...............................................................................
5.3 AMO Procedure Manual Elements .................................................................................
5.8 Inspection Procedures for AMO Manuals ........................................................................
5.9 National Language other than English ...........................................................................
Appendix 5-A Job Aid MO-002: AMO Manual System ..........................................................

Chapter 6

4-17
4-17
4-18
4-18
4-19
4-22
4-22
4-23
4-25
4-26
4-26

5-1
5-1
5-2
5-5
5-5
5-8

AMO Personnel

6.1 General Considerations ................................................................................................. 6-1


6.2 Personnel Requirements ............................................................................................... 6-2
6.3 Personnel Roster Evaluation .......................................................................................... 6-3
6.4 Certifying Staff Evaluation ........................................................................................... 6-4
6.5 CAAV Inspection Considerations .................................................................................... 6-5
Appendix 6-A Job Aid MO-003: AMO Management & Certifying Staff .................................... 6-8
Appendix 6-B Job Aid MO-004: AMO Personnel Records ..................................................... 6-10

Chapter 7

AMO Training Programs

7.1 General Policy .............................................................................................................. 7-1


7.2 Training Related Definitions .......................................................................................... 7-1
7.3 Basic Training Program Format Requirements ................................................................ 7-3
7.4 Preparation ................................................................................................................. 7-4
7.5 Primary Types of Training ............................................................................................. 7-5
7.6 Training Records .......................................................................................................... 7-8
7.7 Measurement of Competency ........................................................................................ 7-9
7.8 Issues Affecting Program Requirements ........................................................................ 7-10
7.9 Electronic Media ......................................................................................................... 7-10
7.10 Evaluation & Approval of a Training Program & Revisions .............................................. 7-10
7.11 CAAV Approval Considerations ..................................................................................... 7-12
7.12 Training Program Revision ........................................................................................... 7-13
7.13 Training Programs ...................................................................................................... 7-14
Appendix 7-A Job Aid MO-005: AMO Training .................................................................... 7-16
Appendix 7-B Job Aid MO-006: AMO Training in Progress Inspection .................................. 7-18
Appendix 7-C Acceptable Methods of Training ................................................................... 7-21
Appendix 7-D Acceptable Sources of Training .................................................................... 7-23
Appendix 7-E Guidance for Conducting Needs Assessment ................................................. 7-25

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Chapter 8

AMO ADMINISTRATION AND


CERTIFICATION MANUAL

AMO Facilities & Housing

8.1 Evaluation Considerations .............................................................................................


8.2 Inspection Considerations .............................................................................................
Appendix 8-A Job Aid MO-007: AMO Housing & Facilities ....................................................
Appendix 8-B Job Aid MO-008: AMO Support & Overhaul Shops ..........................................

Chapter 9

8-1
8-2
8-4
8-6

AMO Work Away From Base

9.1 Policy ..........................................................................................................................


9.2 Evaluation Considerations .............................................................................................
9.3 Inspection Work Away From The Fixed Location On A Recurring Basis .............................
Appendix 9-A Job Aid MO-009: AMO Work Away From Base ................................................

9-1
9-2
9-4
9-5

Chapter 10 AMO Technical Data


10.1 Evaluation of Technical Data ......................................................................................
10.2 Inspection of Technical Data .......................................................................................
10.3 Confirmation that Data Available & Appropriate ............................................................
10.4 Language ..................................................................................................................
Appendix 10-A Job Aid MO-010: AMO Technical Data ........................................................
Appendix 10-B Job Aid MO-011: AMO Technical Publication Control ....................................

10-1
10-3
10-5
10-6
10-7
10-8

Chapter 11 AMO Parts & Materials


11.1 Policy ........................................................................................................................
11.2 Evaluation of Procedures for Parts & Materials ..............................................................
11.3 CAAV Parts & Materials Inspection Considerations ........................................................
Appendix 11-A Job Aid MO-012: AMO Parts Receiving ........................................................
Appendix 11-B Job Aid MO-013: AMO Control of Parts & Materials ......................................

11-1
11-1
11-3
11-5
11-6

Chapter 12 AMO Quality Control


12.1 Evaluation of Quality Control Procedures ...................................................................... 12-1
12.2 Inspect Quality Control ............................................................................................... 12-5
Appendix 12-A Job Aid MO-014: AMO Quality Control ........................................................ 12-8

Chapter 13 AMO Tools & Equipment


13.1 Technical Data vs Equipment, Tools, Material Requirements ..........................................
13.2 Calibration Of Measuring & Test Equipment ................................................................
13.3 Calibration Records ...................................................................................................
13.4 Inspection Considerations ...........................................................................................
13.5 Use of Manufacturers Requirements & Equivalency .......................................................
Appendix 13-A Job Aid MO-015: AMO Tools & Equipment ..................................................

13-1
13-2
13-3
13-5
13-6
13-8

Chapter 14 AMO Maintenance Release


14.1 Maintenance Release ..................................................................................................
14.2 Deferred Maintenance ................................................................................................
14.3 Qualification of Persons Signing a Maintenance Release ................................................
Appendix 14-A Job Aid MO-016: AMO Maintenance Releases ..............................................

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14-2
14-2
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Chapter 15 AMO Records & Records System


15.1 Evaluation of Aircraft Records & Recordkeeping ........................................................... 15-1
15.2 Electronic Recordkeeping Systems ............................................................................... 15-3
15.3 MOPM Content: Aircraft Records .................................................................................. 15-4
15.4 Inspection of Aircraft Records & Recordkeeping ............................................................ 15-4
Appendix 15-A Job Aid MO-017: AMO Maintenance Records ................................................ 15-8
Appendix 15-B Job Aid MO-018: Maintenance Reporting Requirements .............................. 15-10

Chapter 16 AMO Process Evaluation


16.1
16.2
16.3
16.4

Evaluation Procedures .................................................................................................


Inspection Procedures .................................................................................................
Conduct the Process Review ........................................................................................
Additional Considerations ............................................................................................

16-1
16-1
16-2
16-3

Chapter 17 AMO Work Performed for AOC Holders


17.1 AMO-AOC Policy-Procedures ........................................................................................
17.2 Required Inspection Items ...........................................................................................
17.3 AOC Requirments must be Incorporated .......................................................................
17.4 Line Maintenance ........................................................................................................
17.5 AOC-AMO Contractual Agreements ...............................................................................
17.6 Review AOC Holder Requirements ................................................................................
Appendix 17-A Job Aid MO-20: AMO-AOC Considerations ....................................................

17-1
17-2
17-2
17-2
17-3
17-4
17-6

Chapter 18 AMO Maintenance Providers


18.1 Contract & Subcontracting Policy .................................................................................. 18-1
18.2 General Contract Maintenance Information .................................................................. 18-1
18.3 Contracting: Certificated vs Non-Certificated AMO ........................................................ 18-3
18.4 Component & Material Supplier & Subcontractor Control Procedure ............................... 18-4
18.5 Outside Contractors: Inspection & Acceptance Requirements ......................................... 18-5
18.6 Inspections of Maintenance Sub-Contracting ................................................................. 18-5
18.7 Emphasis on Parts ...................................................................................................... 18-6
18.8 AMO Service Providers Documentation ......................................................................... 18-7
18.9 AMO Service Providerss Facilities ................................................................................. 18-7
18.10 Non-Approved Maintenance Organization Inspection ..................................................... 18-9
Appendix 18-A Job Aid MO-021: AMO Maintenance Provider Arrangements ........................ 18-11

Chapter 19 AMO Quality Assurance System


19.1 Quality System ...........................................................................................................
19.2 Evaluation of Quality Assurance System ........................................................................
19.3 Inspection of a Quality Assurance System .....................................................................
Appendix 19-A Job Aid MO-022: AMO Quality Assurance .....................................................

19-1
19-2
19-4
19-9

Chapter 20 AMO Safety Management Systems


Appendix 20-A Job Aid SP-003: SMS Transition .................................................................. 20-2

Chapter 21 AMO Approvals & Capability


21.1 Capability List ............................................................................................................ 21-1

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21.2 Inspection of Approvals & Capability ............................................................................ 21-3


Appendix 21-A Job Aid MO-001: AMO Approvals & Capability ............................................. 21-5

Chapter 22 AMO Foreign Maintenance Organizations


22.1 Approval of Foreign Maintenance Organization ............................................................. 22-1

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Index
A
acceptable
definition of . . . . . . . . . . . . . . . . . . . . . . . 1-6
accountable manager
definition of . . . . . . . . . . . . . . . . . . . . . . . 1-6
advisory circular
AOC certification . . . . . . . . . . . . . . . . . . . . 4-7
airline managers
resumes . . . . . . . . . . . . . . . . . . . . . . . . . 4-9
AMO procedures manual . . . . . . . . . . . . . . . . . 5-1
AOC application
chain of custody . . . . . . . . . . . . . . . . . . . . 4-5
unacceptable . . . . . . . . . . . . . . . . . . . . . . 4-7
AOC Protocol file . . . . . . . . . . . . . . . . . . . . . 4-19
applicant
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-6
definition of . . . . . . . . . . . . . . . . . . . . . . . 1-6
Application Submission Date . . . . . . . . . . . . . . 4-4
approved
definition of . . . . . . . . . . . . . . . . . . . . . . . 1-6

C
cautions
use of . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-5
certification
advisory circular . . . . . . . . . . . . . . . . . . . . 4-7
clock starts . . . . . . . . . . . . . . . . . . . . . . . 4-5
Completed Certification Report . . . . . . . . . . . . 4-5
see CCRB . . . . . . . . . . . . . . . . . . . . . . . . . 4-5
component testing
computer software . . . . . . . . . . . . . . . . . 10-3
conformance checklist . . . . . . . . . . . . . . . . . . . 4-9
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-8
definition of . . . . . . . . . . . . . . . . . . . . . . . 1-6
incomplete references . . . . . . . . . . . . . . . . 4-8
update the . . . . . . . . . . . . . . . . . . . . . . . 4-16
CPC
closeout . . . . . . . . . . . . . . . . . . . . . . . . . 4-16

D
designated engineering representative
definition of . . . . . . . . . . . . . . . . . . . . . . . 1-6
directly in charge
definition of . . . . . . . . . . . . . . . . . . . . . . . 1-6
document correction

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no partial requests . . . . . . . . . . . . . . . . . . 4-17


request for . . . . . . . . . . . . . . . . . . . . . . . 4-17

E
electronic manual . . . . . . . .
eval
technical data procedures
evaluate
maintenance process . . .
evaluation
of manuals . . . . . . . . . .

. . . . . . . . . . . . . .5-6
. . . . . . . . . . . . . 10-1
. . . . . . . . . . . . . 16-1
. . . . . . . . . . . . . 4-14

F
final approval . . . . . . . . . . . . . . . . . . . . . . . . 4-18

I
imperative emphasis note
use of . . . . . . . . . . . . . . . . . . . . . . . . . . . .1-5
initial approvals . . . . . . . . . . . . . . . . . . . . . . . 4-18
inspect
maintenance procedures manual . . . . . . . . .5-5
maintenance process . . . . . . . . . . . . . . . . 16-1
technical data . . . . . . . . . . . . . . . . . . . . . 10-3
inspection instructions . . . . . . . . . . . . . . . . . . 16-2

J
job aid
initial manual review . . . . . . . . . . . . . . . . .4-7
use for evaluation . . . . . . . . . . . . . . . . . . 4-15

L
language
English . . . . . . . . . . . . . . .
national . . . . . . . . . . . . . .
technical data . . . . . . . . . .
limited rating
definition of . . . . . . . . . . .
limited specialized service rating
definition of . . . . . . . . . . .
line maintenance
definition of . . . . . . . . . . .

INX-1

. . . . . . . . . . . .5-5
. . . . . . . . . . . .5-5
. . . . . . 10-3, 10-6
. . . . . . . . . . . .1-7
. . . . . . . . . . . .1-7
. . . . . . . . . . . .1-7

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M
maintenance
definition of . . . . . . . . . . . . . . . . . . . . . . . 1-7
major modification
definition of . . . . . . . . . . . . . . . . . . . . . . . 1-7
major repair
definition of . . . . . . . . . . . . . . . . . . . . . . . 1-7
manual
conformity with
conformance checklists . . . . . . . . . . . 4-14
evaluation of . . . . . . . . . . . . . . . . . . . . . 4-14
insert revision . . . . . . . . . . . . . . . . . . . . 4-16
rules of construction . . . . . . . . . . . . . . . . . 1-4
manuals
no drafts . . . . . . . . . . . . . . . . . . . . . . . . 4-10
meeting
formal application acceptance . . . . . . . . . 4-13
initial application review . . . . . . . . . . . . . . 4-7
MOPM
Maintenance Organization Procedures Manual 17

N
national language . . . . . . . . . . . . . . . . . . . . . 5-5
notes
use of . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-4

P
parts
disposition of scrap . . . . . . . . . . . . . . . . 11-4
handling . . . . . . . . . . . . . . . . . . . . . . . . 11-2
inspection . . . . . . . . . . . . . . . 12-2, 12-3, 12-4
life-limited . . . . . . . . . . . . . . . . . . . . . . . 11-4
receiving . . . . . . . . . . . . . . . . . . . . . . . . 11-1
storage & protection . . . . . . . . . . . . . . . . 11-3
suspected unapproved . . . . . . . . . . 11-4, 12-2
tagging & identification . . . . . . . . . . . . . . 11-2
traceability . . . . . . . . . . . . . . . . . . 11-4, 12-2
preventive action
definition of . . . . . . . . . . . . . . . . . . . . . . . 1-7
preventive maintenance

definition of . . . . . . . . . . . . . . . . . . . . . . . 1-8
process evaluation . . . . . . . . . . . . . . . . . . . . 16-1

Q
quality
definition of . . . . . .
quality assurance
definition of . . . . . .
quality assurance manual
quality control . . . . . . .
definition of . . . . . .

. . . . . . . . . . . . . . . . . 1-8
..
.
..
..

.
.
.
.

..
..
..
..

..
..
..
..

.
.
.
.

..
..
..
..

..
..
..
..

.
.
.
.

..
..
..
..

. . 1-8
. . 5-5
. 12-1
. . 1-8

R
rating
definition of . . . . . . . . . . . . . . . . . . . . . . . 1-8
reference
technical source
consider the . . . . . . . . . . . . . . . . . . . 4-15
required inspection item
definition of . . . . . . . . . . . . . . . . . . . . . . . 1-8

S
shift turnover . . . . . . . . . . . . . . . . . . . . . . . . 16-3
SOE
under continuous revision . . . . . . . . . . . . 4-17
supervisor
definition of . . . . . . . . . . . . . . . . . . . . . . . 1-8

T
technical data . . . . . . . . . . . . . . . . . . . . 10-1, 16-3
training program . . . . . . . . . . . . . . . . . . . . . . . 5-6

W
warnings
use of . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-5
work instructions . . . . . . . . . . . . . . . . . . . . . 16-2

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Chapter 1
Manual Administration
The purpose of this Chapter is to provide guidance for the
Availability of this manual.
Compliance with this manual.
Revision of this manual.
Understanding of the manual formatting.
Application of standard symbols or methods.

1.1

PRIMARY USER MANUAL FOR AMO ADMINISTRATION & CERTIFICATION


A. This manual is the primary user manual for all
Flight Safety inspector personnel involved in
AMO Administration and Certification.

A primary user manual is defined as a manual


that contains the compiled general policies and
procedures for the conduct of a users assigned
duties for a specific task or job category.

B. The guidance in this manual has precedence


over any other AMO guidance issued by the
CAAV. These policies shall be followed by the Flight Safety personnel in the conduct of AMO
Administration and Certification.

1.2

AVAILABILITY OF THIS MANUAL


A. The latest version of this AMO Administration and Certification Manual will be available to
technical inspectors in hard copy and Intranet links.
B. A printed copy will also be maintained in the Technical Library.

1.3

COMPLIANCE WITH THIS MANUAL


A. Each assigned user must comply with policies
and procedures provided in this manual.

Following the policies and procedures of this


manual will ensure compliance with the Flight
Safety requirements.

B. Should the user identify any policy or procedure


that might not be consistent with CAAV
requirements, that information should immediately be communicated to their assigned
supervisor.

1.4

MAINTENANCE AND OWNERSHIP OF MANUAL


A. The AMO Administration and Certification Manual must be maintained in current status by the
assigned user in accordance with the policies and procedures specified in this Chapter.
B. This manual is considered the property of CAAV and must be relinquished to the Flight Safety
Director in the event of the users retirement, termination, transfer or contract termination.

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C. The content of this manual is managed and updated by the Flight Safety Standards Director and
is the express property the government.

1.5
1.5.1

INSERTING REVISIONS TO THIS MANUAL


TYPES OF REVISION
The method of inserting the revision will be dependent on the type of revision. There are three
primary methods of revising the text of this manual

1.5.1.1

Time-Critical
Time-critical information will be issued as Bulletins and will be placed in the front of the manuals
under a tab labeled Bulletins.
These Bulletins will not effect the manual page numbering and will not be included in the LEP.
These bulletins will be canceled when the information has been incorporated into a formal revision to
the manual or is no longer pertinent.

1.5.1.2

Formal Manual Revision


A page and text revision package (formal revision) will be issued with a revision number, highlights of
the revision and include page insertion and replacement information.
These Revision packages will include the appropriate revisions to the LEP and the insertion of the
revision will be recorded by the user in the Record of Revisions.
The issue page with the highlights of the revision and page insertion and replacement will be discarded
after insertion of the revisions.

1.5.1.3

Green-Sheet Revision
Green Sheet revisions may be issued by management as necessary to make simple changes to
policy and procedure pending the development of a formal revision to the manual.
These revisions will be issued on green paper as an extension of the last manual revision (e.g. 9) and
be identified by an alphabetical tag (e.g. 9A)
The insertion of the green-sheet revision will be recorded on the Record of Revision and the
accompanying green-sheet LEP will be inserted immediately after the normal LEP.
A green-sheet revision will be inserted
All green-sheet revisions will be incorporated
immediately following or prior to the page that
into the next formal revision of the manual.
contains the text that is changed.
The user may be required to make pen-and-ink
changes or cross-outs to the text of the manual that is being revised.

1.5.2

DISTRIBUTION & INSERTION OF REVISIONS


A. Revisions will be forwarded to all persons and organizations on the distribution list maintained by
the FSSD Directors secretary for this manual.
B. Regardless of personal schedules, the user of
this manual is required to confirm receipt and
update to the FSSD Directors secretary.

A revision may be inserted and recorded as soon


as it is received even if it is issued more than
two weeks prior to the effective date.

C. This confirmation will indicate that the user has


reviewed and inserted of those materials in his manual on or before the revisions effective date.

1.5.3

INSERTION OF LIST OF EFFECTIVE PAGES [LEP]


A. An LEP will be issued for the original and all revisions to this manual.
B. The LEP is the controlling reference for the page currency of the manual.
C. Use the LEP to verify that all pages of the manual are current.

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D. Only the most current LEP should be retained in the manual.

1.5.4

IDENTIFYING REVISIONS

1.5.4.1

Summary Page
A. Each revision contains a summary page that reflects important information concerning the
revision.
B. An action page number and summary column contain pertinent information to follow when
inserting revision pages.

1.5.4.2

Change Bars
A. Black vertical change bars in the outside margin are used to highlight the location of new or
revised text on a newly published page. Deletion of text will be noted in the revision summary.
B. Change bars are used to highlight a change in the revision information at the bottom of the page.
Change bars will also be used to highlight the revision information when a change elsewhere in the
chapter has shifted the page text, but no text revision was made on the page.

C. Change bars will not be used on the LEP, index or table of contents pages normally generated
automatically by the publishing software.
D. With the next revision of a page, previous change bars are deleted.

1.5.5

RECORDING REVISION INSERTION


To indicate review and insertion of a revision, the user must record the revisions effective date and
their initials after the appropriate revision number on the Record of Revisions page located in the
front of the manual.

1.5.6

DISPOSAL OF PAGES
A. The manual holder must destroy and discard out-of-date pages and the new revision summary
pages/revisions checklist.
B. Verify that all out-of-date pages are irretrievably
destroyed by shredding, cutting, tearing or
some other form of destruction, such that the
information cannot be successfully pieced
together.

1.6
1.6.1

The manual holder must not discard pages in


hotel, airport or other public area trash receptacles.

PROPOSING REVISIONS TO THIS MANUAL


SUGGESTIONS FOR REVISION ARE WELCOME
The success of the Flight Safety Standards policy and procedure implementation depends on
employees and other users bringing professional insights. The FSSD welcomes and encourages
such communication to ensure that the company operates at peak performance.

1.6.2

SUGGESTING REVISION CONTENT


A. Any user of this manual may propose changes to the manual text. These proposals should be
addressed to the FSSD Director by
1) Completing the Comment Report form that is included in the front of this manual
immediately following the Record of Revision and submitting it to the FSSD Directors
Secretary; or

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2) Sending an email outlining the suggested


revision.

1.6.3

Consult the Comment Report form to standardize the email text of the submitted revision.

REVISION RESPONSIBILITIES
A. The FSSD employee accomplishing any duties
that are covered by the policy and procedure
of this manual must accomplish them in
accordance these policies and procedures/

Any employee that finds it necessary to


depart from with the policies/procedures of this manual in order to properly
accomplish the task must report this
occurrence to the FSSD Director in writing.

B. The FSSD Director is responsible for the


content of the text of this manual and has the
authority to revise the content as necessary to ensure proper guidance to the Inspectorate for
their duties.
C. The FSSD Director may delegate the authority to develop the content of a revision to another
FSSD employee, but does not delegate the approval authority.

1.7

EDITING CONVENTIONS
The following editing conventions will apply to the use of certain specific terminology within the text
of all CAAV manuals
1) Gender In this manual, the male or female gender may be used in a generic sense to
designate both sexes.
2) Will, Shall and Must The words will, shall, and must are used in an imperative sense
to state the requirement to accomplish the act prescribed. Compliance is mandatory.
3) May The word may is used in a permissive sense to state authority or permission to do
an act. Compliance is not mandatory.
4) Includes The word includes means includes, but is not limited to...
5) Refer to Where further discussion or reference is suggested, the notation Refer to....
directs the reader to material located in another paragraph, chapter or manual. In these
cases, the referenced location should be specific as to manual, chapter and paragraph.
6) VAR or VARs Where used in this manual, this acronym will be an abbreviation for the
Vietnam Aviation Regulation(s).
7) Part or Parts Where used in this manual in association with the acronym VAR or
followed by a number or series of numbers, will be a reference to one or more of the Parts of
the Vietnam Aviation Regulations which contain specific regulatory requirements.

1.8

USE OF NOTES, CAUTIONS AND WARNINGS


These additions to the text are used to highlight or emphasize important points when necessary.
They call attention of the user about safety and precautionary or additional information to make the
job safe, easier and efficient.

1.8.1

NOTES
A. Notes provide amplified information,
instruction, or emphasis (see example).

A NOTE is identified and displayed in this type


of box.

B. Notes call attention to methods that enable a


user to perform a job easier or wiser.

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C. If a Note applies to consecutive procedural steps, it is placed under the topic heading for those
steps.

1.8.2

IMPERATIVE EMPHASIS NOTE


A. Imperative Emphasis Notes are used to
emphasize the necessity to comply with the
text provided (see example).

An IMPERATIVE NOTE is identified


and displayed in this type of box.

B. This display is used when the text is important,


but does not meet the criteria for a caution or warning.

1.8.3

CAUTIONS
A. Cautions are instructions about hazards that, if
ignored, could result in damage to an aircraft
component or system (see example).

A CAUTION is identified and displayed in this type of box.

B. Cautions specify methods and procedures that


must be followed to avoid damage to
equipment.
C. If the caution applies to consecutive subtasks/steps, it is placed before the first subtask/step.
D. If the caution applies to several, non-consecutive subtasks/steps, it is placed before the
applicable subtask/step.

1.8.4

WARNINGS
Warnings are instructions about hazards that, if ignored, could result in injury, loss of aircraft control
or loss of life (see example).
A WARNING is identified and displayed in this type of box.

1.9

INTENTIONALLY BLANK
A.

This page intentionally left blank will be printed on any page that contains no text or graphics.
This will usually be the even page at the end of a chapter.

B. The remainder of the page intentionally left blank will be printed on any page that has more
than 15 lines of blank space at the bottom of the page.
C. The only exception to paragraph B is when End of Chapter or End of Section is printed
immediately following the text.
End of Chapter - Appendix Follows

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APPENDIX 1-A
Definitions & Acronyms for this Manual
1.

Definitions
The following definitions are used in this manual
1) Acceptable. Data is acceptable when it meets the requirements of the applicable
regulations.
2) Accountable manager. The person designated by the certificated AMO who is responsible
for and has the authority over all AMO operations that are conducted under Part 5. This
persons duties include ensuring that AMO personnel follow the regulations and serving as
the primary contact with CAAV.
3) AMO certificate. This certificate is the approval granted by the CAAV-FSSD for an
maintenance organization to perform maintenance on Vietnam-registered aircraft.
4) Applicant. The person or entity making application for AMO certification.
5) Approved. Approved by the Director General unless used with reference to another person.
Approval is granted to an AMO when the information, such as a process specification or
rating, is listed on the operations specifications (OpSpecs).
6) Article. An aircraft, airframe, aircraft engine, propeller, appliance, or component part.
7) Certification Plan. A plan for accomplishing the required technical evaluations and
inspections to ensure that the applicant has met all applicable requirements for the issuance
of the AMO certificate.
8) Conformance checklist. A document that is used by an operator to demonstrate
conformance to a Part of the VARs.
9) Contracting. Entering into an agreement between two or more persons for the performance
of maintenance functions on an article.
10) Correction. An action taken to eliminate a detected nonconformity. For AMOs electing to
use an International Organization for Standardization (ISO 9000) quality system, a
correction may involve repair or rework and may be made in conjunction with a corrective
action.
11) Corrective Action. An action taken to eliminate the cause of a detected non-conformity or
other undesirable condition to prevent its re-occurrence. For AMOs electing to use an ISO
9000 or similar system, the undesirable condition may include potential regulatory violations,
which differs from a nonconformity requiring correction.
12) Designated engineering representative (DER). A private person designated by Director
General to act as its representative for examining, inspecting, and testing aircraft and related
data. A DER may recommend approval or approve data within the limitations of his or her
certificate of authority.
13) Directly in charge. Responsible for the work of a certificated AMO facility that performs
maintenance, preventive maintenance, modifications, or other functions affecting aircraft
airworthiness. A person directly in charge doesnt need to physically observe and direct
each worker constantly, but must be available for consultation on matters requiring
instruction or decision from higher authority.

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14) Domestic AMO. A maintenance organization, located in Vietnam, thatis approved to


perform maintenance and/or modification on airframes, powerplants, propellers, and/or
appliances for Vietnam-registered aircraft.
15) Foreign AMO. An approved maintenance organization, located outside of Vietnam that
performs maintenance and/or modifications on airframes, powerplants, propellers, and/or
appliances for Vietnam-registered aircraft.
16) Limited rating. An approval issued to a maintenance organization for the performance of
maintenance on a particular make and model of airframe, powerplant, propeller, radio,
instrument, accessory, /or part.
17) Limited specialized service ratings: An approval issued to a maintenance organization for
a special maintenance function when the function is performed in accordance with a
specification or data acceptable to the CAAV-FSSD.
18) Line maintenance
(a) Any unscheduled maintenance resulting from unforeseen events; or
(b) Scheduled checks that contain servicing and/or inspections that do not require
specialized training, equipment, or facilities.
19) Maintenance. Inspection, overhaul, repair, preservation, and the replacement of parts,
excluding preventive maintenance.
20) Maintenance Function. A step or series of steps in the process of performing maintenance,
preventative maintenance, or modifications, which result in approving an article for return to
service.
21) Maintenance Organization Procedures Manual. The manual that describes the
procedures and policies of an AMOs operations (commonly called the AMO Procedures
manual.)
22) Major modification. A modification not listed in the aircraft, aircraft engine, or propeller
specifications that
(a) Might appreciably affect weight, balance, structural strength, performance, power plant
operation, flight characteristics, or other qualities affecting airworthiness; or
(b) Is not done according to accepted practices or cannot be done by elementary
operations.
23) Major repair. A repair that
(a) If improperly done, might appreciably affect weight, balance, structural strength,
performance, power plant operation, flight characteristics, or other qualities affecting
airworthiness; or
(b) Is not done according to accepted practices or cannot be done by elementary
operations.
24) Operations specifications A supplementary approval document to the AMO certificate
which specifies in the details of the approvals issued by the CAAV-FSSD
It is an official document that describes the authorizations, ratings, and limitations of the AMO.

25) Preventive action. An action taken to eliminate the cause of a potential nonconformity or
other potentially undesirable situation.
For AMOs electing to use an ISO 9000 system, preventative action is taken to prevent an
occurrence, whereas corrective action is taken to prevent a reoccurrence.

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For an AMO using a system, preventative action is taken to remove or improve a process to
prevent potential future occurrences of a nonconformance.

26) Preventive maintenance. Simple or minor preservation operations and the replacement of
small standard parts not involving complex assembly operations.
27) Procedure. A series of steps that must be performed in a specific order to ensure proper
completion..
28) Quality. The degree to which a product or service meets the requirements of the customer,
including the relevant airworthiness requirements;
29) Quality assurance. The overall supervision and management of quality standards to
(a) Verify that the standards are appropriately complied with; and
(b) If necessary, initiate corrective and preventive actions for improvement of the system
functioning.
30) Quality Assurance Manual (QAM). A manual that describes the inspection and quality
control procedures used by the AMO.
31) Quality control. A management system for programming and coordinating the ongoing
quality and improvement efforts of the various groups in an organization to permit the
completion of aircraft maintenance in accordance with
(a) The requirements of the VARs; and
(b) Any specific requirements of the organization or customer.
32) Rating. A statement that, as a part of the AMOs certificate, describes the special
conditions, privileges, or limitations issued under Part 5.
33) Required inspection item (RII). An item of maintenance that, if not performed properly or if
improper parts or materials utilized, it could result in a failure, malfunction, or defect,
endangering the safe operation of the aircraft.
An RII must be inspected by a trained, qualified, and authorized inspector.
The inspector must be listed on the AMOs roster but cant be the same individual who performed
the work.

34) Supervisor. A person who directs the work performed under the AMOs certificate and
Operation Specifications.

2.

Acronyms
The following acronyms are used in this manual
35) AC Advisory Circular
36) AD Airworthiness Directives
37) AMO Approved Maintenance Organization
38) AOC Air Operator Certificate
39) ATO Approved Training Organization
40) CAAV Civil Aviation Authority of Vietnam
41) DER Designated Engineering Representative
42) CASORT Civil Aviations Safety Oversight Reporting and Tracking
43) CCR Completed Certification Report

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44) CPC Certification Project Coordinator


45) ICAO International Civil Aviation Organization
46) MCE Minimum Certification Events (associated with certification plans)
47) MOPM Maintenance Organization Procedures Manual
48) OpSpecs Operations Specifications
49) PASI Pre-Application Statement of Intent
50) QAM Quality Assurance Manual
51) SOE Schedule of Events
52) SB Service Bulletin
53) RII Required Inspection Item
54) VAR or VARs Vietnam Aviation Regulation(s);

End of Appendix 1-A

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Chapter 2
Policy Overview & Technical Administration
This chapter provides an overview of the implementation and functioning of the CAAV program to
ensure comprehensive administration of approved maintenance organizations

2.1
2.1.1

GENERAL POLICIES
CAAV APPROVAL REQUIRED
VAR Part 5 prohibits a person to operate as an approved maintenance organisation (AMO) without
or in violation of a maintenance organization approval issued by the CAAV.

2.1.2

SPECIFIC APPROVALS REQUIRED


A. The maintenance organizations seeking approval for the following must submitted the following
to the CAAV
1) Approval of the organization;
2) Maintenance organizations procedures manual;
3) Maintenance procedures and quality assurance system;
4) Facilities;
5) Personnel;
6) Records; and
7) Maintenance release.

2.1.3

COMPLETE ORGANIZATION REQUIRED


A. The CAAV will only grant approval to a whole organization headed by an accountable manager
who has the necessary executive authority (including financial) to take corrective actions.
B. This manager is responsible to the CAAV for ensuring
1) Compliance with the terms and conditions of the approval; and
2) Correction of any deficiencies identified by the quality assurance system (or the CAAV).

2.1.4

APPLICATION FOR ADDITIONAL RATING TO THE EXISTING AMO APPROVAL


A. An approved maintenance organisation may apply for
1) Extension of the AMO ratings;
2) Inclusion of additional capability; or
3) Major change to the facility.
B. The AMO must submit to the CAAV an application for AMO rating up grade or variation together
with the proposed amendment / variation.

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C. Depending on the rating or up-grade applied for, the CAAV shall evaluate the application and
advise whether there is need to carry out a pre-approval inspection and payment inspection
facilitation and approval fee.

2.1.5

OTHER CHANGES TO THE AMO


A. When the AMO wishes to make changes like the name, address and location it is necessary to
inform the CAAV of such changes in writing and to submit the amendments to the Maintenance
Organization Procedures Manual (MOPM) including the Accountable Managers revised
commitment statement for approval.
B. Amendments to the Approval Certificates will not change the expiry date of the current certificate
except in the case where the changes notification is concurrent with the renewal application.

2.1.6

SUB-CONTRACTING MAINTENANCE WORK


A. An AMO, according to Part 5 of the VARs may sub-contract its maintenance functions to another
Approved Maintenance Organisation.
B. If however the sub-contracted AMO is not approved by the CAAV ,the following practices must
be applied
1) The contracted AMO must hold a approval from the appropriate CAA for the work which is
being sub-contracted;
2) The contracting AMO must retain
responsibility for quality control of the subcontracted activities, including the
appropriate airworthiness regulatory
requirements; and

The sub-contracting AMO remains


responsible for the quality and
safety of maintenance released to
service by the sub-contracted AMO.

3) Have necessary procedures (i.e. maintenance agreement) for the control of the subcontracted activities.

2.2

NEW CASORT AMO ORGANIZATION ENTRY


Before the maintenance organization is issued an AMO certificate, it will be necessary to enter it into
the CASORT-ORGanization database.

2.2.1

ORG PRIMARY RECORD


The new AMO will be entered from the Home Page
1) Select Enter New Organization;
2) That action will bring up a blank ORG Primary Record Entry
Form
Only the default field is defaulted.

3) Enter the Organization Number;


The number must follow the current CAAV
protocol.

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This is the most critical step of all of


the ORG entries.
Once this number is saved, it cannot
be changed. It must be correct..

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4) Enter the full Organization Name in the field provided.

5) Commit this record; and


6) If the user intends to continue to build the record, when the Record Saved menu appears
choose Edit Saved Record.

2.2.2

ENTER AMO CERTIFICATE INFORMATION


To enter the basic AMO certificate infomation for this new record
1) From the ORG Primary Record, move to the label Org Certificates and select Add;

2) That action will display the Org certificates form with default entries for Org Number, Name
and Date Issued (todays date),
3) Use the drop-down menu Organization Identifer and select the correct identifier for this
organization
4) Use the drop-down menu Organization Identifer and select AMO - Approved Maintenance
Organization;
5) If necessary, revise the Date Issued field to the date the approval was issued.
6) Insert the Control Number for the CAA Action that resulted in the approval of this certificate;
7) Select the Expiration Date into the future 12 calendar months;
8) Check the entry form for completeness, select Save and Return;
9) Which displays the Primary Record, then Commit the record (good practice);
10) If intending to continue with all of the necessary entries for this AMO, when the Record
Saved menu appears select Edit the Record Just Entered.

2.2.3

ENTER AMO APPROVALS


To enter the basic AMO certificate infomation for this new record
1) From the ORG Primary Record, move to the label AMO Approvals and select Add
2) That action will display the AMO Approvals form with default entries for Org Number, Org
Name and Effective Date (todays date),

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3) Use the drop-down menu Organization Identifer and select the correct identifier for this
organization;

4) Use the drop-down menu for Category Rating and select the specific rating issued;
5) Use the drop-down menu of Class Rating and select the specific rating issued;
6) In the field Rating Description, enter the description of the rating;
7) Enter the Control Number of the Action Record that resulted in this approval;
8) Enter the current Revision Number in the field: Use a minimum of 3 characters beginning
with the number 000=Original;
9) If applicable, enter the Specific Equipment for which this approval applies;
10) Check the entry form for completeness, select Save and Return;
11) Which displays the Primary Record, then Commit the record (good practice);
12) If intending to continue with all of the necessary entries for this AMO, when the Record
Saved menu appears select Edit the Record Just Entered.

2.2.4

ENTER THE ORGANIZATION MANAGEMENT CONTACTS


To enter the basic AMO Management Contact infomation for this new record
1) From the ORG Primary Record, move to the label Management Contacts and select Add

2) That action will display the Management Contacts entry form with default entries for Org
Number, Org Name and Effective Date (todays date),

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3) The remainder of the information on the form is self-explantory, when these entries are
made;
4) Check the entry form for completeness, select Save and Return;
5) Which displays the Primary Record, then Commit the record (good practice);
6) If intending to continue with all of the necessary entries for this AMO, when the Record
Saved menu appears select Edit the Record Just Entered.

2.2.5

ENTER ORGANIZATION COMPLEXITY REVIEW


To enter the Org Complexity Review for this new AMO record
1) From the ORG Primary Record, move to the label Org Complexity Review and select Add

2) That action will display the Complexity Review entry form with default entries for Org
Number, Org Name and Date of Review (todays date),
3) Select the drop-down menu for Organization Identifier and select the AMOs Identifier;
4) Use the drop-down menu for Purpose of Review to make the proper selection;
5) Enter the number of Total Employees (Required Field);
6) Enter the number of Flight Operations Employees (probably zero, but a required field);
7) Enter the Total Maintenance Employees (Required field);
8) Enter the Total Maintenance Engineers;
9) Enter the Total AMO Repair Specialists;
10) Check the entry form for completeness, select Save and Return;
11) Which displays the Primary Record, then Commit the record (good practice);
12) If intending to continue with all of the necessary entries for this AMO, when the Record
Saved menu appears select Edit the Record Just Entered.

2.2.6

ENTER ORGANIZATION BASE LOCATIONS


To enter the Org Base Locations for this new AMO record

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1) From the ORG Primary Record, move to the label Org Base Locations and select Add

2) That action will display the Base Locations entry form with default entries for Org Number,
Org Name and Effective Date (todays date),
3) Select the drop-down menu for Organization Identifier and select the AMOs Identifier;
4) Select the drop-down manu for Location Type and select correct base;
5) Use the drop-down menu for Location to select the nearest airport to the base;
6) The remainder of the entry form is self-explanatory, complete the appropriate fields;
7) Check the entry form for completeness, select Save and Return;
8) Which displays the Primary Record, then Commit the record (good practice);
9) If intending to continue with all of the necessary entries for this AMO, when the Record
Saved menu appears select Edit the Record Just Entered.

2.2.7

ENTER ORGANIZATION CAA CONTACTS


To enter the Org CAA Contacts for this new AMO record
1) From the ORG Primary Record, move to the label Org CAA Contacts and select Add

2) That action will display the ORG CAA Contacts entry form with default entries for Org
Number, Org Name and Effective Date (defaulted to todays date),
3) Select the drop-down menu for Organization Identifier and select the AMOs Identifier;
4) Select the Inspector Position from the drop-down menu;
5) The remainder of the entry form is self-explanatory, complete the appropriate fields;

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6) Check the entry form for completeness, select Save and Return;
7) Which displays the Primary Record, then Commit the record (good practice);
8) If intending to continue with all of the necessary entries for this AMO, when the Record
Saved menu appears select Edit the Record Just Entered.

2.2.8

ENTER ORGANIZATION POLICY MANUALS APPROVALS


To enter the Org Policy Manual Approvals for this new AMO record
1) From the ORG Primary Record, move to the label Org Policy Manual Approvals and select
Add

2) That action will display the ORG Policy Manuals entry form with default entries for Org
Number, Org Name and Effective Date (defaulted to todays date),
3) Select the drop-down menu for Organization Identifier and select the AMOs Identifier;
4) From the drop-down menu for Type of Approval, select the appropriate manual;
5) Enter the Control Number for the Action Record which resulted in this approval;
6) Enter the Revision Number (use 3 number
format: 000=Original; 001=Revision 1);
7) Check the entry form for completeness,
select Save and Return;

The field Date Terminated is provided for the


purpose of recording when this record is to be
inactivated by a new revision.

8) Which displays the Primary Record, then Commit the record (good practice);
9) If intending to continue with all of the necessary entries for this AMO, when the Record
Saved menu appears select Edit the Record Just Entered.

2.2.9

ENTER ORGANIZATION TRAINING ORGANIZATION APPROVALS


To enter the Org ATO Approvals for this new AMO record
1) From the ORG Primary Record, move to the label Org ATO Approvals and select Add

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2) That action will display the ORG ATO Approvals entry form with default entries for Org
Number, Org Name and Effective Date (defaulted to todays date),
3) Select the drop-down menu for Organization Identifier and select the AMOs Identifier;
4) Select the ATO Category from the drop-down menu;
5) Enter the specific ATO curricul for approval
6) Enter the Control Number of the Action Record which resulted in this appproval
7) Enter the Revision Number for this specific curriculum;
8) Enter the Approved Training Equipment (if appropirate)
9) Check the entry form for completeness, select Save and Return;
10) Which displays the Primary Record, then Commit the record (good practice);
11) If intending to continue with all of the necessary entries for this AMO, when the Record
Saved menu appears select View the Record Just Entered
12) Select the link at the bottom of the View Page labeled View Organization Comprehensive
Report and print a hard copy of the Report.
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Chapter 3
AMO Inspection & Resolution
This chapter provides guidance for the planning and execution of the primary inspections associated
with approved maintenance organizations, including specific guidance outlining the
CAAV inspection policy
Summary of the inspections and their Action numbers
Preparation for an inspection
Conduct of an inspection
Completion of an inspection
Closeout of the inspection
Resolution of findings
Planning of minimum annual inspections

3.1

INSPECTION POLICY

3.1.1

PLANNED MINIMUM ANNUAL INSPECTINS


The CAAV will program a minimum number of inspections annually to ensure that all processes of
the maintenance organization and the key participants are subject to on-going validation through
surveillance.

3.1.2

UNPROGRAMMED INSPECTIONS ARE EXPECTED


The CAAV will also conduct unprogrammed inspections on an ad-hoc basis to ensure that the
presence of their inspectors may be expected at any place and any time that the maintenance
organization is providing maintenance.

3.1.3

ALL AWS INSPECTORS MUST BE AMO QUALIFIED


A. The CAAV will train all airworthiness inspectors to conduct inspections of maintenance
organizations, their processes and participants.
B. These inspectors are charged with the responsibility to conduct inspection tasks related to
maintenance organizations as they conduct their day-to-day safety oversight activities around
the aircraft, ramp, aerodrome or certificated aviation organizations.

3.1.4

WORK AWAY FROM A FIXED LOCATION


To ensure valid findings, the ASI conducting inspections where the work is being performed away from the
AMO fixed location should maintain good communications with the ASI assigned to the primary
organization regarding procedures, manuals, equipment, personnel, that may be required.

3.1.5

INSPECTOR CONDUCT
A.

Each aviation safety inspector (ASI) assigned to an FSSD must be conscious of the sensitive issues
associated with working in the international environment and must conduct himself or herself with
the highest degree of professionalism while assigned outside the Vietnam.

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B. An ASI must be courteous and respectful when dealing with foreign nationals and the various
officials of the foreign National Aviation Authorities (NAA).
C. Each ASI should understand that, while working for the CAAV, his or her every action is
representative of the Vietnam Government.
The CAAV expects ASIs to be fully aware that they are guests in a foreign country and to recognize national
culture within their working environment.

3.2
3.2.1

SUMMARY OF CAAV AMO INSPECTIONS


GENERAL
A. The following maintenance organization inspections are considered necessary to determine the
conformance of the participants and organizations.
B. These listed inspections will have some overlap of functions and tasks.
C. Selection of the proper Action number for the
inspection depends on the specific intent of the
inspection.
Generally the specific selection of the type of

inspection and CASORT Action Number is left to


the discretion of the inspector.

The root Action numbers also may overlap relating


to function and tasks.
Drill-down capability is provided in the Action
numbers to select the specific participant, document
or organization that is inspected.

But, where the specific Action Number of the inspection has been assigned by management, the

inspector must accomplish the appropriate inspection.

3.2.2

AMO COMPREHENSIVE INSPECTIONS


A. A comprehensive inspection of a maintenance
organization indicates that a thorough
inspection of all elements of the organization
has been conducted.
The comprehensive inspection indicates that the
designated series of specialized AMO inspections
detailed later in this chapter, have been completed.

Using a CASORT-Action comprehensive number indicates the completion of the series of


specialized inspections and the net compliance
status of the maintenance organization has
been determined.

The completion of all of these inspections could have occurred during one on-site visit to the
maintenance organization, or over a planned period of time.

B. There three comprehensive action numbers


1) AMO = The primary base of the CAAVapproved maintenance organization has
been thoroughly inspected by the date
recorded.
2) AMO Satellite = A fully functional CAAVapproved satellite base of the maintenance
organization has been thoroughly inspected
by the date recorded.
3) Foreign AMO = A fully functional CAAVapproved foreign maintenance organization
has been thoroughly inspected by the date
recorded.

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3650 Inspect AMO [Comprehensive]


4650 Inspect AMO [Comprehensive]

3651 Inspect AMO Satellite [Comprehensive]


4651 Inspect AMO Satellite [Comprehensive]

3652 Inspect Foreign AMO [Comprehensive]


4652 Inspect Foreign AMO [Comprehensive]

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AMO SPECIALIZED INSPECTIONS


A. The comprehensive inspections (sometimes called main base inspections have been
separated into a series of specialized inspections in support of the CAAVs policy of being able
to
1) Focus ASIs to record completion of a particular aspect of an AMO; and
2) Determine the AMOs compliance status in that aspect.
B. This concept provides the CAAV manager with the capability to
Ensure that all critical aspects of a particular AMO have been evaluated; and
Better identify specific areas within maintenance organizations (as a group) that may be experiencing
higher compliance issues with higher levels of risk.

C. The criteria for these specialized inspections are further expanded in related chapters in this
manual.
3.2.3.1

Inspect AMO Maint Procedures Manual


The guidance for conduct of the inspection is
provided in Chapter 5 of this manual.

3.2.3.2

Inspect AMO Facility & Housing


The guidance for conduct of this inspection is
provided in Chapter 8 of this manual.

3.2.3.3

3650E Inspect AMO Records System


4650E Inspect AMO Records System

Inspect AMO Parts & Materials


The guidance for conduct of this inspection is
provided in Chapter 11 of this manual.

3.2.3.7

3650D Inspect AMO Technical Data


4650D Inspect AMO Technical Data

Inspect AMO Records System


The guidance for conduct of this inspection is
provided in Chapter 15 of this manual.

3.2.3.6

3650C Inspect AMO Tools & Equipment


4650C Inspect AMO Tools & Equipment

Inspect AMO Technical Data


The guidance for conduct of this inspection is
provided in Chapter 10 of this manual.

3.2.3.5

3650B Inspect AMO Facility & Housing


4650B Inspect AMO Facility & Housing

Inspect AMO Tools & Equipment


The guidance for conduct of this inspection is
provided in Chapter 13 of this manual.

3.2.3.4

3650A Inspect AMO Maint Procedures Manual


4650A Inspect AMO Maint Procedures Manual

3650F Inspect AMO Parts & Materials


4650F Inspect AMO Parts & Materials

Inspect AMO Precision Tools & Test Equipment


The guidance for conduct of this inspection is
provided in Chapter 13 of this manual.

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3650G Inspect AMO Precision Tools & Test Equip


4650G Inspect AMO Precision Tools & Test Equip

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Inspect AMO Maintenance Process


The guidance for conduct of this inspection is
provided in Chapter 16 of this manual.

3.2.3.9

Inspect AMO Quality Control


The guidance for conduct of this inspection is
provided in Chapter 12 of this manual.

3.2.3.10

3650O Inspect AMO Maint Provider (=not AMO)


4650O Inspect AMO Maint Provider (=not AMO)

Inspect AMO Procedures for AOC Holder


The guidance for conduct of this inspection is
provided in Chapter 17 of this manual.

3.2.3.17

3650N Inspect AMO Maintenance Provider=AMO


4650N Inspect AMO Maintenance Provider=AMO

Inspect AMO Maintenance Provider (=Not AMO)


The guidance for conduct of this inspection is
provided in Chapter 18 of this manual.

3.2.3.16

3650M Inspect AMO Work Away From Base


4650M Inspect AMO Work Away From Base

Inspect AMO Maintenance Provider=AMO


The guidance for conduct of this inspection is
provided in Chapter 18 of this manual.

3.2.3.15

3650L Inspect AMO Training


4650L Inspect AMO Training

Inspect AMO Work Away From Base


The guidance for conduct of this inspection is
provided in Chapter 9 of this manual.

3.2.3.14

3650K Inspect AMO Personnel Qualification


4650K Inspect AMO Personnel Qualification

Inspect AMO Training


The guidance for conduct of this inspection is
provided in Chapter 7 of this manual.

3.2.3.13

3650J Inspect AMO Certifying Staff Records


4650J Inspect AMO Certifying Staff Records

Inspect AMO Personnel Qualification Records


The guidance for conduct of this inspection is
provided in Chapter 6 and 7 of this manual.

3.2.3.12

3650I Inspect AMO Quality Control


4650I Inspect AMO Quality Control

Inspect AMO Certifying Staff Records


The guidance for conduct of this inspection is
provided in Chapter 6 of this manual.

3.2.3.11

3650H Inspect AMO Maintenance Process


4650H Inspect AMO Maintenance Process

3650Q Inspect AMO Procedures for AOC Holder


4650Q Inspect AMO Procedures for AOC Holder

Inspect AMO Quality Assurance System


The guidance for conduct of this inspection is
provided in Chapter 19 of this manual.

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3650R Inspect AMO Quality Assurance System


4650R Inspect AMO Quality Assurance System

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3.2.3.18

AMO ADMINISTRATION AND


CERTIFICATION MANUAL

Inspect AMO Safety Management System


The guidance for conduct of this inspection is
provided in Chapter 20 of this manual.

3.2.3.19

Inspect AMO Approvals & Capability


The guidance for conduct of this inspection is
provided in Chapter 21 of this manual.

3.3
3.3.1

3650S Inspect AMO Safety Management System


4650S Inspect AMO Safety Management System

3650T Inspect AMO Approvals & Capability


4650T Inspect AMO Approvals & Capability

INSPECTION PREPARATION
GENERAL
A. The purpose of an inspection is to verify continued compliance with the regulatory requirements
of the VARs.
B. If, during an inspection, an Inspector identifies a
safety issue (or violation of regulatory
requirements), his response will be determined
by various factors, which will warrant different
courses of action.

3.3.2

The specific method used to resolve the issue


must correspond to the Resolution and Enforcement Manual policies and procedures.

RECORD REVIEW
A. It is a good practice to review the CAAV files regarding concerning the company that is to be
inspected so that the inspector is familiar with the current status of the company and CAAV
interaction.
1) Review the CASORT ORG record to determine
Accountable Manager
Other Managers
AMO Approvals that have been granted

2) Run an Action Search Report for any recent CAAV actions involving the company, with
emphasis on any
Identified safety issues
Occurrence investigations.

3.3.3

ADDITIONAL CONSIDERATIONS
A. Contact the Principal Inspector to discuss the company conformance status and check for
emphasis areas.
B. Determine the possible precautions that may be necessary depending on the location and
classes of materials being shipped.
C. Unless the inspection is to be conducted on a no-notification basis, the accountable manager
should be advised of the time and place of the inspection.

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CONDUCT OF THE INSPECTION


Initial Contact
On arrival at the inspection location, the inspector should
1) Make introductions with the available company representative,
Provide a business card
Present inspector credential

2) State purpose of inspection


3) Request name of appropriate person to contact
4) Explain to appropriate person in charge
Reason for inspection
General inspection process
Notes will be taken and a full debriefing will be conducted.

5) Ensure safety equipment meets requirements applicable to the organization


6) Arrange for accompaniment of person in charge

3.4.1

INSPECTION
The inspection should be conducted in a
professional, un-hurried manner.
1) Proceed through the primary steps for the
particular inspection.
Use of a job aid is not required.

2) Take notes. Use a note-taking aid, such as


a small pad or steno notebook.

Do not
Make small talk, tell jokes, laugh or make dry
humor.
Use implied threats or engage in similar bombastic
behavior.
These are counterproductive to the desired perception of quiet, professional authority.

3) Ask clarifying questions


4) If there is a possibility that follow-up action will be required, request copied documents or
take pictures were necessary.
5) If there appears to be non-conformance to a regulatory requirement, discuss with
appropriate person to ensure inspector understanding of company policies and procedures.
6) Make a summary of any details that will require follow-up as a result of the inspection.
Take time to ensure that you have collected adequate items of proof if the situation warrants more
detailed close-out

3.4.2

DEBRIEFING
A. This debriefing should consist of a review of the
Focus of the inspection
Areas inspected
Possible findings
Review any items of possible non-conformance

with the person in charge.

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By way of close-out, advise that any specific


findings that will need further action will be provided by formal letter.

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B. It is not necessary to elaborate the findings in great detail, just provide the general information
and the basis for your finding.
If a possible safety of flight issue was identified, invite the management to voluntarily cease exercising
the related approval until further advised by the CAAV.

3.4.3

COMPLETE THE CAAV RECORDS


A. On return to CAAV, complete the CASORT-Action Record for the inspection, but do not open a
safety issue until a debriefing with the Principal Inspector to ensure that the finding(s) is valid.
1) Discuss any potential findings with the DGC
to ensure that the findings are considered
valid;
2) After the research and supervisory
debriefing, enter the valid findings as safety
issues

All resolution of safety issues and management


of apparent risk will be accomplished in accordance with the Resolution & Enforcement Manual.

3) Print each safety issue separately.


B. If necessary the formal letter should stipulate that the AMO is not to exercise an approval where
there is a serious deficiency
Provide the appropriate regulatory information to the person in charge to assist in achieving
compliance.

3.5
3.5.1

MINIMUM REQUIRED ANNUAL INSPECTIONS


PLANNING THE MRAI INSPECTIONS
A. Each year, at the beginning of December, the CAAV will plan the minimum annual maintenance
organization inspections for the coming year.
B. The total number of inspections will be planned based on the numbers of approved maintenance
organizations that hold these approvals

3.5.2

MINIMUM INSPECTIONS
A. The appropriate series of specialized
inspections will be interspersed in the the 4
quarters of the year according to the identified
emphasis needs of each organization.

The actual minimum number of inspections will


conform to the guidance of Bulletin B001-[year]
MRAI Plannning that is provided in the Inspector
Toolkit> C=CAAV Technical Guidance.

B. Each AMO must complete a comprehensive


inspection at least once during each calendar year

3.5.3

UPLOADING THE PLAN TO CASORT


A. The MRAI inspections will be planned in Excel tables and uploaded to the CASORT database.
B. The MRAI plan specifically for dangerous goods will be printed in
1) Hard copy; and
2) Acrobat file copy (for digital filling)

3.5.4

ACCOMPLISHING THE PLANNED INSPECTION


The assigned ASI will monitor the MRAI inspections to ensure that all planned inspections are
accomplished within the quarter of the year that it was planned.

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SUCCESSFUL COMPLETION OF THE PLAN


At the end of the year, a print-out showing the successful completion of the MRAI plan will be made
and filed to show that the annual plan.

3.6

UNPLANNED, NO NOTICE INSPECTIONS


A. The assigned ASI will also conduct and assist other ASIs in the accomplishment of unplanned,
no notice inspections.
B. All qualified inspectors will be expected to accomplish specialized no-notice inspections during
the conduct of other inspector tasks associated with the approved organizations.
C. The assigned ASI will ensure that such inspections are being conducted on a reasonable and
practical basis.
End of Chapter

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Chapter 4
AMO Certification Process
This chapter provides guidance for the planning and execution of the evaluations and inspections
associated with approvals and ratings of maintenance organizations, including specific guidance
outlining the
CAAV certification process
Interaction with the maintenance organization peronnel prior to application
Acceptance (or rejection) of the application
Planning the minimum events that must be successful for approval
Evaluation of the documents provided wth the application
Inspection of the applicants capability
Resolution of outstanding issues
Administration actions by CAAV for issuance of approvals
Retention of certifications documents.

4.1

CERTIFICATION PROCESS
A. The CAAV process provides for interaction between the applicant and the FSSD from initial
inquiry to certificate issuance or denial. It ensures that programmes, systems, and intended
methods of compliance are thoroughly reviewed, evaluated, and tested.
B. The certification process consists of five
phases
1) Pre-Application Phase

This generic certification process is discussed in


greater detail in Chapter 2 of the airworthiness
inspector manual.

2) Initial Application Review Phase


3) Document Conformance Phase
4) Inspection and Demonstration Phase
5) Final CAAV Certification Actions Phase

4.2

BEFORE CERTIFICATION
A. Public requests for explanatory information
1003A: Public Assistance regarding certification issues are routinely
answered by CAAV inspectors. These requests
will be treated as public assistance not associated with a certification project.
B. Routine questions should be answered by inspectors that are qualified to participate on
evaluations and inspections of maintenance organizations.
C. Any person or organization that appears to be serious to apply for a CAAV approval of a
maintenance organization should be directed to the FSSD Director for further discussion.

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INITIAL INQUIRY
A. The applicant will usually make contact regarding the requirements for an approved
maintenance organization before submitting an application.
B. Outline the necessary technical expertise required by the applicant's proposed organization, to
include the following
Aviation-related experience
Proposed organizational structure
Knowledge of the specific maintenance functions to be performed

C. The rating required for the type of work to be accomplished.


The requirements for sufficient personnel to meet the demands of the proposed AMO.
This includes at least one certificated person with appropriate ratings that coincide with the ratings
sought.

D. Facility requirements for the ratings sought, to include


The need for climate-controlled conditions
The size of the facility
Appropriate test equipment
Special tools, etc.

E. The necessity of having current technical data


available prior to certification. Technical data will
include the following
1) VAR Parts

Appliance manufacturer's maintenance manuals or instructions, though not specifically


approved by the CAAV-FSSD, are considered to
be in compliance with VAR Parts 3, 4, and 5.

2) Airworthiness Directives, (AD)


3) Type certificate data sheets (TCDS), if applicable
4) AC's, as required
5) Processes, e.g., maintenance processes
6) Manufacturer's service manuals, instructions, and Service Bulletins (SB)

4.3
4.3.1

PHASE ONE: PRE-APPLICATION


DECLARATION OF INTENT
A. When an maintenance organization formally
advises the CAAV that they intend to apply for
approval for a maintenance organization, they
should be asked to submit a Pre-Application
Statement of Intent

Submittal of the PASI by the applicant shows


intent to initiate the certification process.

B. The PASI will be used by the Director to evaluate the complexity of the proposed operation. This
allows the establishment of the certification team to be based on the complexity of the
certification. A Certification Project Coordinator (CPC) will be designated as the principal
spokesperson for the CAAV-FSSD during certification.
C. The certification project coordinator, will make
an In-Work CASORT-Action entry initiating
that certification.
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1150D: Certification: AMO

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The control number of that record will be entered as the project number for this certification.

4.3.2

USE OF PROJECT NUMBER


A. After the new project number is available in CASORT, this number will be provided to the
certification team..
B. From this point all actions and decisions taken by the certification team members will be
recorded in CASORT using that project number
C. From that point, inspectors not assigned to that team should refrain from providing assistance to
that maintenance organization regarding this application

4.3.3

PRE-APPLICATION MEETING
A. The applicant is entitled to a pre-application meeting to provide more specific guidance
regarding the submission of a complete formal application.
B. The Certification Project Coordinator (CPC) will contact the applicant to arrange a preapplication meeting
C. The applicant may, however, choose to submit their application without attending the meeting.
D. The CPC should prepare for the meeting as
necessary to ensure

4.3.4

1001B: Certification Project Coordinator Duties

PRE-APPLICATION MEETING CONTENTS


A. The pre-application meeting should outline the steps and actions that will occur during the
certification process, to include
1) Initial application review
2) Document conformance evaluations
3) Inspections and demonstrations; and
4) Final certification actions by CAAV
B. Each guidance document and forms that will be required should be explained, including the
following actions.
1) Discuss the regulations applicable to the proposed maintenance operation
2) Provide the applicant with the following information/material
(a) Application form for AMO approval;
(b) Advisory circular outlining the gudiance for obtain approval as a maintenance
organization;
(c) Advisory circular for developing a MOPM;
(d) Advisory circular for completion of a conformance checklists;
(e) Word template for the Part 5 conformance checklist;.
C. Inform the applicant, that a formal application package for an AMO certificate must contain the
following material
1) Provision of the application in paper copies and digital files.
2) A completed application form.
3) Two copies of the MOPM.

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4) A letter requesting the application be processed and indicating when facilities and
equipment will be ready for formal inspection
5) A Part 5 conformance Checklist
6) When a Limited Rating is requested, the make and model of the particular item(s) to be
maintained and the nature of the work to be performed
(a) When approval of a Class 2 Propeller Rating is being sought, a list, by make, of the
propeller; and
(b) When a Specialized Service Rating is requested, a copy of the approved specification
for the work to be performed

4.3.5

RECORDING PRE-APPLICATION PHASE ACTIONS


A. The Pre-Application Meeting will be chaired by
the CPC. Other certification team members will
provide internal support during that meeting.
B. The team members may continue to provide
technical assistance to the applicant pending
the submission of the formal application. The
CPC will log these contacts as the CPC duties

4.4
4.4.1

1154A: Conduct Pre-Application Meeting


1004A: Internal Support-Certification

1001B: Certification Project Coordinator Duties


1003A: Public Assistance-Certification

PHASE TWO: INITIAL APPLICATION REVIEW


GENERAL
This phase should not be longer than 15 working days, in which the following critical events occur
The applicant submits an application for an AMO, accompanied by various documents intended to
prove or describe the manner in which he or she plans to operate
FSSD certification team makes an assessment of the degree of completeness of the applicants
proposal in the initial application review meeting, and
If the application is acceptable for processing, the formal application acceptance meeting takes place.

4.4.2

APPLICATION SUBMISSION DATE


A. The application for an AMO must be submitted to the FSSD in sufficient time to allow for
processing the application and completion of the certification activities.
B. The applicant should have been advised at the
pre-application meeting that a 30-day lead time
for maintenance organization approvals should
be regarded as the minimum time required..

4.4.3

The FSSD recommends that the AMO applicants


be realistic in their scheduling.

PROJECT ENTERED IN ACTION DATABASE


A. When the application package is submitted to
the FSSD, the arrival of this project should be
logged into the CASORT>CAA Action
database.

1095B: Submission of AMO Application

1) The person accepting the document delivery will advise the FSSD.
2) The Director will advise this person of the type of project, assigned CPC and applicable
control number.
3) This information should be entered in the database.

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B. This application package should not be given to any inspector or filed until the project has been
entered in the CAA Action> Project Number tables.

4.4.4

THE AMO APPLICATION


A. The AMO application must be provided to the FSSD in a return-mailing box containing the
application documents and manuals.
B. The AMO application form provided during the pre-application meeting will be included at the
front of the documentation. It will function as a checklist to ensure that the applicant has included
the necessary application documentation.
1) Resumes of accountable manager and required postholders;
2) Schedule of Events;
3) Conformance Checklists;
4) All AMO manuals requested;
5) A copy of all forms, records and other materials used in support of the AMO manual
processes; and
6) All ontracts directly associated with the maintenance arrangements.

4.4.5

INITIAL APPLICATION REVIEW PHASE CLOCK STARTS


A. The submission of the AMO application to the FSSD starts the counting down of days in which
the FSSD must act to determine whether the application is complete and the proposed schedule
of events is mutually acceptable.
B. The FSSD has a goal of 15 working days to make this decision and act to
1) Accept the package for certification processing; or
2) Return the AMO application package to the applicant.

4.4.6

CHAIN OF CUSTODY
A. The CPC must arrange for and retain custody of the application, documents and manuals
throughout the certification process.
This responsibility is relinquished only after the maintenance approval is signed or the certification
project is terminated.

B. Team members must obtain these documents from the CPC when it is necessary in the
document conformance phase. No team member will retain these documents for more than the
short period necessary to conduct their evaluations.
C. No team members will return to or accept
portions of the application, manuals or
documents from the applicant.

4.4.7

All documents and correspondence or approvals


between the FSSD and the applicant must be
processed through the CPC.

COMPLETED CERTIFICATION REPORT BINDER (CCRB)


To ensure the proper collection and retention of the associated correspondence, the CPC should
prepare the CCR binder, complete with tabs, prior to the Initial Application Review meeting.

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CRITICAL CONCEPT: DEAL QUICKLY WITH UNACCEPTABLE DOCUMENTS


A. It is imperative that a firm policy regarding
acceptance and/or retention of any manuals or
other certification documents be rigidly
enforced.

It can be a major political error to


allow the applicants documents to
be retained by the FSSD pending
submission of complete documentation.

B. The following are examples of situations


regarding allowing unacceptable documents or
combinations of documents retention
The applicant provides some documents for review, promising to provide others later, then complains to
the Ministers that the FSSD has had his package for a long time without processing it.
The applicant provides a proposed example of a manual for review on an unofficial basis, then later
complains to the Minister that no action has been taken.
The applicant provides some manuals to the FSSD for holding, while saying later submission of other
manuals. This is a ploy that will be used to complain about FSSD inaction.

4.5.1

PRIOR TO SUBMISSION OF FORMAL APPLICATION


A. No FSSD employee may accept any manuals or other certification documents unless it is a part
of the complete certification package.
B. If any FSSD employee becomes aware that a manual or other certification document (not a part
of a complete certification package) has been allowed to be left at the FSSD headquarters, that
document will be immediately returned to the applicant with a cover letter explaining the basis.

4.5.2

AFTER SUBMISSION OF FORMAL APPLICATION


It is critical that the formal application package be processed through the Initial Application Review
Phase within the 15 working day period and
1) If any portion is unacceptable, the complete package will be returned during a Formal
Application Rejection Meeting.
2) If the package is acceptable, the Formal
Application Acceptance Meeting will be held
to clarify any differences regarding the
Schedule of Events and the need for the
applicant to provide for inspector training.

4.5.3

Refer to Paragraph 2.10 in the OPS and AWS


Inspector manuals.

NO EXCEPTIONS TO THIS POLICY


A. All inspectors eventually succumb to the temptation to be conciliatory and meet the applicant
halfway on this issue. Invariably, this will prove to be an embarrassment.
B. Applicants generally do have good intentions when they first ask for the inspector to make an
exception on their behalf. Unfortunately, when they later fail to meet those intentions, they prefer
to divert the blame to the FSSD.
C. In order to prevent embarrassing situations, it is critical to rigidly enforce the requirement that
1) No manuals or other certification documents may be accepted outside the certification
process, and
2) Once accepted for processing, the manuals and other certification documents must be
evaluated on a priority basis and
(a) Returned to the applicant for correction, or
(b) Accepted or approved in a timely manner.

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INITIAL APPLICATION REVIEW MEETING


A. The FSSD certification team needs to meet as a
group (all assigned team members) to review
the documents and manuals for acceptable
format and overall content.

No representatives of the company should be


present for the Initial Application Review Meeting.

A time period of at least 2 hours should be set and scheduled.


This meeting should take place in a room with a large table to spread out the documents.

B. The CPC will chair this meeting and will be present for all decisions made during this review.
C. The CPC will then consolidate the decisions and findings of the group as outlined in their activity
and evaluations reports.

4.6.1

USE THE AMO CERTIFICATION ADVISORY CIRCULAR


The team should first review the required documents as outlined in the AMO Certification Advisory
Circular.
The CPC should list any required documents that are not contained in the applicants submitted
package.

4.6.2

USE THE MANUAL INITIAL REVIEW JOB AID


A. All manuals should be reviewed using the
airworthiness initial application review
evaluations.

AWS Inspector Manual, Appendix 5-A

B. This review should consider the integrated flight safety documents concept where consistent
with the complexity of the applicants intended operations.
C. Depending on the capability of the applicants organisation, they may elect to request an
exemption from some of the applicable requirements.

4.6.3

DECISION REQUIRED ON ALL DOCUMENTS


A. The goal is that, at the end of the meeting, there should be a consensus among the certification
team that the application package is complete and all manuals are at least acceptable for the
document conformance process.
B. The CPC will indicate the completeness and acceptability of the certification package by
entering an Action record for each initial evaluation category.
C. All inspectors supporting the CPC in the initial application review meeting will complete an
Action entry to document their presence.

4.6.4

INCOMPLETE OR UNACCEPTABLE APPLICATION


A. If it is the determination of the team, that the application is not complete enough to ensure that a
complete certification can be completed
1) The entire application package documents (both acceptable and unacceptable) must be
returned to the applicant.
2) A letter from the FSSD will detail the primary reasons for return of the application, manuals
and documents.
3) This letter and the full package will be returned to the applicant in a formal meeting.
B. The full team should be available for that meeting to discuss any clarifying questions the
applicant might have.

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RECORDS OF THE APPLICATION REVIEW MEETING


A. Every member of the certification team that
attends the meeting will complete an Action
record.

1154B Conduct Initial Application Review Meeting


1004A Internal Support: Certification

B. The CPC should complete the Action records for the Initial Evaluation of the documents
Refer to specific evaluation discussions in this chapter for the applicable Action numbers.

C. The following hard-copy documents should be filed following the meeting


1) A listing of any discrepancies identified;
2) Explanations of any discrepancies that will require rejection of the application

4.7

REVIEW PROCEDURE
A. The first step is to check all required manuals and documents for suitability and completeness.
B. The team should review each manual for accuracy and content.
If the manuals are submitted in sections, the sections are reviewed as they are submitted, ensuring that
interdependent sections are correctly related and do not provide conflicting information.
The manuals must be in a form which is easy to amend
The manuals must be presented in clear and unambiguous aviation English.
All manuals must be issued as controlled publications complete with copy numbers, and provided with a
full amendment service. Procedures should be in place to ensure information common to several
publications is amended concurrently.
Due consideration should be given to manufacturers recommendations, and these should not normally
be changed without appropriate justification.

4.8
4.8.1

CRITICAL INITIAL APPLICATION REVIEW PHASE EVALUATIONS


PROPOSED CONFORMANCE CHECKLIST
A. Proper processing of the conformance checklist
1155B Eval Conformance: AMO Certification
is the most effective tool in the FSSD
certification process. It is imperative that the
certification team determine it to be complete with proper references in the initial application
acceptance phase.
B. In this phase, the individual references will not be technically evaluated in detail. They will only
be evaluated to determine if the correct location of required information is properly referenced.

4.8.1.1

Full Certification
The applicable conformance checklists will be submitted with the AMO application. This will be the
historical record that applicable regulatory requirements have been met during the certification
process.

4.8.1.2

Incomplete References
A. If the method of conformance has not been fully developed, the applicant should provide a brief
statement indicating his or her intent.
B. It is expected that an adequately prepared applicant will have considered in detail how he or she
proposes to comply with all regulatory requirements, and consequently there should be few, if
any, areas in which the applicant is unable to put forward precise information.

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Exemptions
A. If the applicant intends to seek an exemption(s), this should be stated in the conformance
checklist in the comments column on the appropriate regulatory reference row(s).
B. If the applicant has not already submitted separate exemption requests for each regulation
section, this may be a basis for rejection of the application.
C. The submitted exemption requests must be filed in accordance with the procedures outlined in
VAR Part 1. The time lines required for the processing of the exemption may adversely affect
the certification processing.

4.8.1.4

FSSD Review
A. During this stage of the process, the inspectors review the Conformance Checklist to see that
there are no glaring problems, such as unanswered requirements, few references to manuals,
forms or contracts, and other examples of failure to complete the report in good faith.
B. In the Document Conformance Phase this will be a very important evaluation tool. It will be the
method by which the FSSD confirms that the applicant has a clear understanding of the
legislative requirements applicable to the proposed operation.
1) The manner in which the applicant describes conformance with the specific legislation
should be reviewed for adequacy, and any deficiencies discussed with the applicant.
2) Where it is possible and reasonable to specify a particular means of complying with
legislation, the applicant is expected to do so by including this in the Operations Manual, or
other document, and provide a reference in the Conformance Checklist.

4.8.2

MANAGEMENT STRUCTURE & QUALIFICATIONS


A. This attachment to the AMO application shall
1155A Initial Eval: Management Qualifications
contain a description of the proposed
management structure and the associated duty
statements. It must also contain adequate information on the qualifications and experience of
the following key post holders

4.8.3

SUBSTANTIATING DOCUMENTATION
A. The FSSD is empowered to seek information or documents from the applicant concerning any
aspect of the proposed operation, including, where deemed necessary, details of the companys
financial position. FSSD requires evidence of the applicant companys legal entity/trading name
and that the applicant will have the facilities, tools, equipment, technical staff, finances and
services necessary to conduct the proposed operation.
B. This evidence should be an attachment to the AMOapplication. It may be in the form of proof of
purchase, formal contracts, or lease agreements. If formal purchase, lease, or contract
agreements have not been completed, letters showing agreement between the contracting
parties will suffice until formal contracts or agreements are available. Documents showing details
of the insurance of the facilities may be required. If these appear unsatisfactory, the CPC should
seek legal advice.
C. The above documents should be reviewed and discussed with the applicant. It should be evident
from these documents and/or letters that the applicant is committed to making arrangements for
facilities, tools, equipment and personnel necessary for the proposed organization.
1) If, after a review of this information, it is apparent that the applicants plan is unlikely to be
satisfactory (for example, facilities are not available in the foreseeable future), a request
must be made for additional information.

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2) The CPC shall advise the applicant that FSSD will cease to further consider the application
should such information not be forthcoming in a timely manner.
D. Where the furnished evidence is considered by FSSD to be incomplete, FSSD may, by written
notice to the applicant, require further information or documents that are necessary to properly
consider the application.

4.9

MANUALS
A. The Airworthiness Manual Review Job Aid details the general requirements applicable to the
manuals that must be provided to the FSSD by the applicant.
B. While the applicant may combine the manuals in various ways and under various titles, as long
as all required policy, procedures and curriculums are addressed.

4.9.1

SUBMIT MANUAL SYSTEMS IN DIGITAL FOLDERS


A. As authorised by the FSSD, the applicant may submit all or a portion of the manual system in
digital form.
B. It is very important that the applicant understand that the digital manuals must be in, all ways, in
printable, final form and format as they are to be used by the AMO holder and its personnel.
It is also important that these digital files be in PDF and enabled for FSSD commenting.

4.9.2

SUBMIT MANUAL SYSTEMS IN PROPER BINDERS [HARD-COPY]


A. As authorised by the FSSD, the applicant may submit all or a portion of their manual system in
hard copy.
B. It is very important that the applicant understand that the FSSD is to receive the manuals in the
exact binder, tabs and format as they will be used by the AMO personnel.
C. One of the primary evaluations will be that the manual is easy to use under the circumstances in
which it may be consulted.
For example, will it be easy to find the proper policy, procedures and forms when the work is being
performed? Will it be easy to read the print with the available lighting? Incomplete or illegible manuals
will be returned without technical evaluation.

4.9.3

SUBMITTING REVISIONS TO MANUALS


A. After the FSSD has a manual on file (whether digital or hard-copy), the applicant may submit
revisions to provide corrections or additional policy/procedure information to the manual.
B. These revisions must
1) Have revised text identified by change bars;
2) Have revised pages identified by a new
revision number and date;

Revisions that are not in accordance


with the manual revision procedures
will be returned without technical
evaluation.

3) Be accompanied by a revised list of


effective pages and, if necessary, a new table of contents and additional tabs; and
4) Have a cover sheet describing the revisions and pages to be extracted and inserted.

4.9.4

DRAFTS ARE NOT ACCEPTABLE


A. The manuals and revisions are to be submitted in final. That is, they must be submitted as if
the information will be used on the day following FSSD approval or acceptance.

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B. They are not to be submitted as drafts or with


hand-written corrections or in any other
incomplete form.

4.9.5

These types of submissions will be returned


without technical evaluation.

AMO PROCEDURES MANUAL (MOPM)


A. The applicant must provide

1155F Initial Eval: Maintenance Manuals

Maintenance Organization Procedures Manual

B. The applicant may elect to have the MOPM in more than one volume, that might include

4.9.6

Maintenance Training Program Manual


Quality Control Manual
Quality Assurance Manual
Safety Management System Manual

SCHEDULE FOR SUBMISSION OF MANUALS


A. All manuals must be included in the applicants intended final form. Failure to submit all require
documents is basis for returning the entire submitted package to the applicant.
B. Prior to the formal application acceptance
meeting, any manuals submitted with the AMO
application should be reviewed briefly to
determine if the applicant is likely to have major
problems with documentation.

4.10
4.10.1

The applicant should be advised that receipt of


manuals at the formal application acceptance
meeting does not imply acceptance or agreement with the details of the content.

OTHER SUPPORTING MATERIALS


FORMS, RECORDS & CHECKLISTS
A. The applicant should have submitted actual
examples of all supporting materials that will be
used by its personnel to accomplish the critical
procedures outlined in the manuals.

1155H Initial Eval: Forms/Cards/Checklists

B. These materials will include the necessary


Forms
Records

C. The team will want to ensure that all of the critical supporting materials have been provided in
the AMO application.

4.10.2

CONTRACTS & LEASES


A. The applicant must submit actual and proposed
1155G Initial Eval: Leases & Contracts
contracts and leases necessary to accomplish
work at their maintenance facilitiy prior to the
date planned for the beginning of the inspection and demonstration phase.
B. These contracts and leases shall include
Facility leases
Outsourced training contracts
Outsourced maintenance arrangements

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4.10.3

COMPLEXITY FORMS

4.10.3.1

Organisation Forms

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1155D Initial Eval: Organization Complexity Info

A. The applicant should submit the completed


organisation complexity forms with the formal application, but no later than the projected date for
the start of the operations support inspections.
The operation support inspections will not be conducted until this information is provided formally to the
FSSD.

B. The submission of these forms will ensure timely processing during the Document Conformance
Phase.
Late submission will have a direct effect of extending the planned dates for the beginning of the
inspection phase.

4.11

FORMAL APPLICATION MEETINGS


A. The CPC will schedule the formal application acceptance meeting to occur on or before the
15th working day after the submission of the AMO application.
B. Depending upon the quality of the submission, that meeting will be a Formal Application
1) Rejection Meeting, or
2) Acceptance Meeting.

4.11.1

FORMAL APPLICATION REJECTION MEETING


If the contents of the application are not acceptable and/or not complete enough for document
conformance processing, the scheduled meeting will be a rejection meeting.

4.11.1.1

Preparation for the Rejection Meeting


A. The applicants management should be advised in advance that the agenda for this meeting
1) Will be returning all contents of the formal
application; and
2) Discussing why this application was not
acceptable for processing into the
Document Conformance Phase.

The applicant will be advised that a detailed


explanation of basis for the rejection of the
application will be provided at the meeting.

B. The CPC should request that the applicant identify all personnel necessary to properly complete
the certification application package. These personnel should be required to attend the rejection
meeting.
C. The CPC should ensure that the meeting will be attended by all members of the certification
team necessary to provide detailed explanations to the applicants team.
D. In preparation for the meeting, the CPC should ensure that the contents of applicants
application are packaged in their original boxes in a manner that will allow easy access during
the meeting.
4.11.1.2

Conduct of the Rejection Meeting


The Formal Application Rejection Meeting should include
1) Introductions;
2) Obtaining the list of attendees;
3) Provision of a discrepancy listing to the applicant management;

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4) Discussion of the discrepancies that must be corrected before re-submission of the


application;
5) Using the submitted documents to provide examples of discrepancies;
6) Closing up and returning all submitted documents to the applicant in the original packaging.
4.11.1.3

Records of the Rejection Meeting


A. Every member of the certification team that
attends the meeting will complete an Action
record.

1154C Conduct Application Rejection Meeting


1004A Internal Support: Certification

B. The following documents should be filed following the meeting


1) Minutes of the meeting;
2) List of attendees;
3) Published agenda
4) Written document(s) provided to the applicant to explain reasons for rejection.

4.11.2

FORMAL APPLICATION ACCEPTANCE MEETING


A. If the contents of the application are acceptable
and complete enough for document
conformance processing, the scheduled
meeting will be an acceptance meeting.

This meeting should not be held until FSSD has


had time to review the AMO application.

B. For a successful outcome, the meeting should be attended by key personnel from both the
applicants organisation and FSSDs certification team. The date of the meeting is determined by
agreement between the applicant and the CPC. The formal application acceptance meeting
provides the project team with an opportunity to discuss the AMO application in detail with the
applicants key personnel.
4.11.2.1

Attendance at the Acceptance Meeting


A. The FSSD should be represented by the
Certification Project Coordinator; and
Team members.

B. The applicant should be represented by the

4.11.2.2

General Director/Chief Executive;


Nominated Accountable Director
Nominated Director of Operations;
Nominated Chief Pilot;
Nominated Director of Maintenance;
Nominated Director of Quality Control; and
Other officers as desired;

Discussion Points
During the formal application acceptance meeting, the following areas must be discussed

The Schedule of Events


The suitability of the manuals
The Conformance Checklist
The qualifications of personnel
The contract and lease documents demonstrating evidence of aircraft facilities and services
The acceptability of the supporting materials.

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Records of the Acceptance Meeting


A. Every member of the certification team that
attends the meeting will complete an Action
record.

1154D Conduct Application Acceptance Meeting


1004A Internal Support: Certification

B. The following documents should be filed following the meeting


1) Minutes of the meeting;
2) List of attendees;
3) Published agenda

4.12

PROCESS OF CONFORMANCE EVALUATION


The process of evaluation of manuals and
documents normally occurs in the following steps

4.12.1

The steps in this process should be applied for


each manual and document.

GETTING STARTED
A. Open the digital copy of the document or manual in Acrobat Reader and ensure that it has been
enabled for commenting.
B. Ensure access to all source or reference documents necessary to the specific evaluations.
C. Ensure access to all applicable submitted Regulatory Conformance Checklist(s).
D. As the process unfolds, make Adobe comments
in the digital file of the manual or document.

4.12.2

Be sure to SAVE all work regularly..

COMPLETENESS
A. The suggested structure of the MOPM in VAR Part 5 may be used as a guide in assessing
whether the applicants manuals contain the required general subject areas.
B. It is very important that it adequately describes all of the procedures and practices necessary to
control the operation and to ensure that operations can be conducted safely.

4.12.3

CONFORMITY WITH THE REGULATIONS CONFORMANCE CHECKLISTS


A. Compare the applicants Conformance
Checklists for each applicable regulatory Part
with the all manuals and documents provided by
the applicant.

Properly completed conformance


checklists are the most critical documents of the certification.

Refer to AC 00-004 for more specific guidance on


completion of the conformance checklists.

B. Determine whether all of the references given in the Conformance Checklists have been
adequately addressed.
C. Information in the manuals and document should adequately describe the means of
conformance with the particular legal requirement specified in the applicable Conformance
Checklist.
D. If any references are incorrect or inadequate,
the applicant must provide a revised page(s) for
the applicable Conformance Checklist with the
correct and adequate ones.

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E. If the applicant has not adequately addressed the legal requirement, the necessary revision to
the manual or document must be accomplished.

4.12.4

EVALUATING SPECIFIC MATERIAL REQUIRED BY LEGISLATION TO BE INCLUDED


A. There are specific documents and other information that is required to be included in the
manuals. This includes all subjects required by ICAO Standards and the VAR Parts.
B. Certification cannot proceed until the assigned inspectors are satisfied that all relevant material
necessary to satisfy the FSSD certification requirements are included in these manuals.

4.12.5

AGREEMENT WITH TECHNICAL STANDARDS MATERIAL


A. The applicants manuals and documents must meet the published technical standards
necessary to a particular evaluation.

4.12.6

USE AN EVALUATION JOB AID


A. The FSSD has published job aids for some evaluation job tasks. If there is a published
evaluation job aid, it will be used as the primary reference for the evaluation.
B. After completion of the evaluation, the assigned inspector shall accomplish a CASORT Action
entry for the completion of the task.

4.12.7

CONSIDER THE TECHNICAL SOURCE MANUALS & ADVISORY CIRCULARS


The compliance with FSSD technical source documents including the inspector manuals and
advisory circulars should be considered.

4.12.8

LETTER TO THE APPLICANT


If the inspector evaluation finds issues or errors that need to be corrected, draft a formal letter for the
CPC signature to the applicant conveying the digital file containing all inspectors comments and
requesting the necessary revisions.

4.12.9

EVALUATION OF THE REVISION


A. Unless the FSSD authorises the applicant to turn in the manuals in hard copy, the revised
manual will be provided as a PDF digital file.
B. This file must contain the entire manual prepared for issuance, if subsequently accepted or
approved by the FSSD
1) This revised manual must have the correctly revised and numbered pages and a current list
of effective pages and table of contents;
2) It must be accompanied by a revision control page which details the pages that have been
revised or deleted and a summary of the revisions.
3) This revision will be accompanied by the company.
C. After the revised manual file is determined to be ready for the document conformance
evaluation.
D. The file will then be provided to the inspector
that originally conducted the evaluation that
lead to the revision.who will compare the
manual revision to the digital comment file to
determine if the proper corrections have been
made.

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If the revision is satisfactory, the inspector will


ensure that the applicable Conformance Checklist has also been corrected to reflect any reference changes.

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UPDATE CONFORMANCE CHECKLIST


A. If the document revision resulted in a reference change in the Conformance Checklist, the
applicant must have provided revised Conformance Checklist page(s).
The revision is not considered complete unless the proper references are listed in the Conformance
Checklist.

B. The evaluating inspector will now review the report to ensure that the proper reference is
provided.

4.12.11

INSERT THE DOCUMENT REVISION [IF HARD-COPY]


A. Assuming satisfactory revision of the document
and applicable conformance checklists, the
evaluating inspector will insert the revision in
the FSSDs hard copy of the manual and
annotate the revision control page.

This step will only be required if the applicant is


authorised to provide the Revision 01s a hard
copy manual.

B. Draw a diagonal line from the lower left corner to upper right corner. Write the word superseded
on that line and enter the date.
C. Provide the CPC a copy of the completed evaluation forms and superseded revisions.

4.12.12

COMPLETE THE CONFORMANCE CHECKLIST LINE(S)


Now annotate the applicable conformance checklist line(s) requirement as acceptable, if
applicable.

4.12.13

COMPLETION OF THE MCE TASK


A. The evaluating inspector will advise the CPC when the corrected document is ready for
acceptance/approval by the FSSD.
B. The CPC will ensure that the assigned inspector completes the MCE Action record assigned to
the specific tasks
1) The planned MCE file for this task must be revised to show the task has been accomplished
by an A=Approved/Accepted
2) The MCE file for that task should no longer be found in the Planned Certification Summary.
That file will now appear on the Completed Certification Summary.

4.12.14

EXECUTE THE ASSOCIATED INSTRUMENT OF APPROVAL/ACCEPTANCE


A. After confirming that an MCE record has been
properly entered by the assigned certification
team member, the CPC will

Refer to Appendix 6-D for the applicable Instrument of Approval/Acceptance.

1) Complete the appropriate CASORT-ORG subtable; and


2) Execute the applicable instrument of approval or acceptance.
B. The Instrument may be in the form of
1) A letter;
2) Operations, training or maintenance
specifications; or
3) An initialed stamp for the List of Effective
Pages for the most revision of a document.

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The letter will be issued to the applicant as each


approval/acceptance evaluation is completed
satisfactorily
The operations, training or maintenance
specifications will be updated as the certification
process continues and provided to the applicant in a
copy stamped prominently as draft.

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REQUESTS FOR DOCUMENT CORRECTION


It is very important that the requests for document
correction to the applicant be issued in a formal
letter, accompanied by the digital comment
document.

If there is more than one evaluator, all evaluators will draft their proposed requests and have
a meeting to draft one consolidated letter.

If there is only one assigned evaluator, that inspector will draft the letter for the CPCs signature and
provide it to the CPC for processing.

4.13.1

NORMALLY TWO EVALUATIONS


A. There will normally be two conformance evaluations, the
1) Regulatory conformance; and
2) Technical conformance.
B. Normally, the regulatory conformance should be completed in its entirety before devoting
significant time to the technical conformance.
As a result, there may be two separate correction requests issued to the applicant.

4.13.2

PARTIAL CORRECTION REQUESTS


If possible, these requests should not be a partial request, pending further evaluation. It should
reflect a complete review of the manual(s).
1) The entire document should be evaluated by all assigned evaluators before the letter is
written.
2) The request should list all inadequate, incorrect, and missing items, citing each item
separately.
3) It is a goal of the FSSD that, if the applicants proposed revision completely conforms to the
written request, no additional revisions will be required during the certification process.

4.13.3

APPLICANTS REVISION
A. The applicant must submit a revision that addresses all FSSD concerns as outlined in the formal
request.
B. For a manual, that revision must be a formal revision to their proposed manual in accordance
with the revision procedure, including any necessary changes to the list of effective pages.
C. If it is a change to a document such as a lease, checklist, or work card, the new revision number
and date will be indicated on the document.

4.14
4.14.1

SUBMITTED DOCUMENT STATUS UNDER CONTINUOUS REVISION


STATUS OF SUBMITTED DOCUMENTS
A. It is most likely that the applicant will have to amend the AMO manual(s) as originally submitted
at least once, in order to satisfy FSSD requirements.
B. If it becomes apparent that the amendment of the manuals is likely to delay commencement of
the inspection phase as indicated in the Schedule of Events, then the applicant must be advised
immediately.

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4.15.1

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ON-GOING ACCEPTANCE OR APPROVAL OF DOCUMENTS


THE GOAL OF THIS PHASE
A. The goal of the Document Conformance Phase is to reach the point where the applicants
submitted documents are acceptable to the FSSD because they conform to the standards and
requirements applicable to such documents.
B. The CPC will ensure that the certification team generates a clear indication that each document
is either acceptable to, or approved by, the FSSD by the designated method for indicating that
status.
C. As the point of acceptability is reached, the CPC will ensure the following
1) A letter and/or stamp method is used to indicate the acceptability of the document; and
2) The planned MCE record for that evaluation is retrieved and completed showing the
evaluation as A=Approved or Accepted.

4.15.2

INTERIM VS. FINAL APPROVALS


A. There are some interim approvals that must be
made early in the certification process, in the
interest of allowing the applicant to prepare its
personnel and facilities for the inspection and
demonstration phase.
B. The interim approval also gives the FSSD an
opportunity to evaluate actual training or
preparation situations before issuing a final
approval.

The interim approval will never be issued unless a


a satisfactory document conformance has been
made by the assigned inspector and the document
is ready for approval.
It is not intended to circumvent the necessary FSSD
evaluations inherent in the certification process, but
to provide an avenue for additional confirmation by
evaluation of actual processes.

C. The final approval should be issued with the AMO or AMO amendment unless the FSSD would
like to reserve a final evaluation after the AMO holder gains actual experience.
It is FSSD policy that all final approvals must be completed during the 90 day period which follows the
AMO issuance, amendment or issuance of interim approval, whichever comes first.

4.16

CONFORMANCE CHECKLISTS
Conformance checklists ensure that the applicants are in conformance with applicable regulatory
and technical standards.

4.16.1

REGULATORY CONFORMANCE CHECKLISTS


A. Throughout the certification process, with
Applicable Action Numbers:
emphasis on the document conformance
1156B: Eval Conformance: AMO Certification
phase, these checklists will ensure that, when
the certification process is completed, the
applicant and its manual system are in confrmance with the applicable VAR Parts.
B. These documents should remain I=In-Work throughout the document conformance phase, but
If, at any point in the evaluation of a specific document, it is determined that the conformance checklist
references are not correct for this document, the evaluator must use the Action Taken: D=Disapproved/
Returned, regarding that particular evaluation of the conformance checklist.
This action does not preclude the certification team from continuing the evaluation of that version of the
specific conformance checklist to check references for other documents before returning it to the
applicant for correction.

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In these subsequent evaluations, the team members will use I=In Work if the references were correct
for the document being evaluated or D=Disapproved/Returned, if one or more of the references were
incorrect.

C. But, assuming the applicant submitted a completed conformance checklist and documents, the
certification team should use the following methodology
1) As early as possible in the document conformance phase, all of the regulatory conformance
checklists should be evaluated in detail to ensure that the applicants manual references and
comments are correct.
2) If not, these documents will be rejected and returned to the applicant. At this point the
document conformance phase (and entire certification process) must be suspended.
3) The remainder of the document
conformance phase cannot be
accomplished in a timely manner until the
manual system is determined to be in
conformance with the applicable
regulations.

Do not continue the document conformance phase if the regulatory


conformance checklist is not correct!

4) After the Regulatory Conformance Checklist references and comments are found to be
acceptable, the CPC should continue to be alert for potential changes to the references as
addition revisions to the affected manuals are necessary.
D. The Regulatory Conformance Checklistsshould only be considered to be acceptable as in-final
for inclusion in the AMO Working Binder file after all manual revisions required in the document
conformance phase have been finalized as acceptable.

4.16.2

SPECIALISED CONFORMANCE CHECKLISTS


The FSSD has developed conformance checklists to ensure that the applicant must show that its
application and manual system are in conformance with key relevant safety requirements for
specialised functions, such as arc welding, at the submission of the formal application.

4.16.3

TECHNICAL JOB AIDS


A. Technical job aids that are included with some inspector guidance for evaluations and
inspections should be considered during the initial certification process.
B. These job aids can be considered to be technical conformance checklists for the individual
evaluations and inspections. But they do overlap in certain areas and contain relevant safety
practices and requirements that are not supported by regulations.
C. The overlapping and additional requirements should be considered by the CPC when meeting
with the applicants personnel regarding revisions suggested by the certification team.
While these job aids are intended primarily for the training and qualification of inspectors, they do focus
the user on a wider spectrum of requirements and have some value during the certification process.

4.17

EXEMPTION & DEVIATION REQUESTS


A. One of the first determinations that must be made by the certification team is whether the
applicant has requested exemption, deviation or waiver to any regulatory requirements.
B. If the applicant has requested deviations, exemptions or waivers with the formal application (and
annotated that request in the applicable Regulatory Conformance Checklist, the FSSD will
conduct the appropriate review on a priority basis.

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4.17.1

CIVIL AVIATION AUTHORITY

NEED FOR EXEMPTION OR DEVIATION


A. Full conformance with the VAR Parts is a goal of the certification process. But, it is a very
idealistic goal where maintenance organizations are confronting certification to a body of
regulations.
B. Until the maintenance organization determines their actual level of conformance during the
completion of the regulatory conformance checklist, there are unidentified and unintended
restrictions. During that process, the maintenance organization will inevitability determine that
there are some requirements that cannot be met in the short term or by a specific grouping of
organisations.
C. The CPC should underline the importance of the applicant to develop their initial regulatory
conformance checklist as soon their manual system is assumed to be ready for submission.
D. This effort should identify those requirements that the applicant
1) Believes should not apply to his grouping of maintenance organizations (request deviation);
2) Will not be able to conform with in the short term (request exemption);
3) Has a possible alternative that will achieve an equivalent level of safety (request exemption);

4.17.2

DEVIATIONS

Applicable Action Numbers:

A. Deviations to regulations are intended to allow


1166A: Eval Deviation Request
1166B: Coordinate Deviation Review
the FSSD to provide regulatory relief to
1166C: Publish Deviation
applicants if it can be established that a
regulatory requirement was not intended for the
a specific grouping of organisations, aircraft and/or aviation personnel.
B. It is the responsibility of the applicant to make application for a deviation in accordance with the
provisions of VAR Part 1. The applicable Regulatory Conformance Checklist should annotated
to show that a request for deviation to the specific regulatory Section has been made as a
submission included with the formal application for certification.
C. The applicant must make application for each regulatory Section for which a deviation is
requested.
D. The FSSD will review the deviation requests and determine whether a deviation is justified. If
this request meets the criteria for issuance of a deviation, that deviation will be granted. All
organisations that are included in the grouping will be provided written notification of the
contents of the deviation and may apply to be a party to this deviation.
E. This evaluation is normally assigned to a specific member of the certification team. The
technical specialty of the assigned inspector will depend on the VAR section for which a
deviation is sought.
F.

When this deviation is granted, the following actions will occur


1) A Formal Grant of Deviation will be issued to the organisation;
2) A CASORT>CAA Action entry will be made reflecting this decision;
3) A CASORT>ORG>Exemptions (Deviations) entry will be made for this organisation to
include the issuance of a deviation to this organisation;
4) The applicable Section of the Regulatory Conformance Checklist will be annotated
satisfactory; and
5) An official notification of the grant of deviation will be sent to all organisations that should be
a party to that deviation.

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4.17.3

AMO ADMINISTRATION AND


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EXEMPTIONS
A. Exemptions to regulations are intended to allow
the FSSD to provide regulatory relief to an
applicant, if it can be established that it is in the
public interest to grant an exemption to the
regulation.

Applicable Action Numbers:


1165A: Eval Exemption Request
1165B: Coordinate Exemption Review
1165C: Publish Exemption

B. It is the responsibility of the applicant to make application for an exemption in accordance with
the provisions of VAR Part 1. The applicable Regulatory Conformance Checklist submitted with
the formal application should be annotated to show that a request for exemption to the specific
regulatory Section has been included with the formal application for certification.
C. The applicant must make application for each regulatory Section for which an exemption is
requested.
D. The FSSD will review the exemption requests and determine whether an exemption is justified.
If this request meets the criteria for issuance of a exemption, the prior notification and comment
period specified by VAR Part 1 will be completed.
E. This evaluation is normally assigned to a specific member of the certification team. The
technical specialty of the assigned inspector will depend on the VAR Section for which an
exemption is sought.
F.

When this exemption is granted, the following actions will occur


1) A Formal Grant of Exemption will be issued to the organisation;
2) A CASORT>CAA Action entry will be made reflecting this decision;
3) A CASORT>ORG>Exemptions entry will be made for this organisation to include the
issuance of this exemption; and
4) The applicable Section of the Regulatory Conformance Checklist will be annotated
satisfactory.

4.17.4

WAIVERS
A. If a provision for a waiver is included in the
applicable regulations, the applicant may be
granted that waiver if they meet the criteria for
that waiver.

Applicable Action Numbers:


1167A: Eval Waiver Request
1167B: Coordinate Waiver Review
1167C: Publish Waiver

B. This evaluation is normally assigned to a specific member of the certification team. The
technical specialty of the assigned inspector will depend on the VAR Section for which a waiver
is sought.
C. The applicable Regulatory Conformance Checklist submitted with the formal application should
be annotated to show that a request for a waiver to the specific regulatory Section has been
included with the formal application for certification.
D. If this waiver is granted, the following actions will occur
1) A Formal Grant of Waiver will be issued to the organisation;
2) A CASORT>CAA Action entry will be made reflecting this decision;
3) A CASORT>ORG>Exemptions (Waiver) entry will be made for this organisation to include
the issuance of this waiver; and
4) The applicable Section of the Regulatory Conformance Checklist will be annotated
satisfactory.

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4.18

CIVIL AVIATION AUTHORITY

REQUIRED AMO MANAGEMENT RESUMES


The applicant must submit resumes for the following management positions.

4.18.1

EVALUATE ACCOUNTABLE MANAGER


A. The resume of the named accountable manager
will reviewed for acceptability by the FSSD.

Applicable Action Number:


3231A1 Eval AMO Accountable Manager
4231A1 Eval AMO Mangers

B. This evaluation is assigned to the entire


certification team.
C. This person must not have been a manager involved in a previous revocation or emergency
suspension action resulting from an organisations failure to conform to applicable regulations.
D. If this manager is found to be acceptable, the following actions will occur
1) A formal letter stating that acceptance will be issued;
2) A CASORT> Action entry will be made reflecting this decision;
3) A CASORT> ORG> Mangement Contacts entry will be made to include this persons contact
information;
4) The applicable Section of the Regulatory Conformance Checklist will be annotated as
satisfactory.

4.18.2

EVALUATE MANGEMENT RESUMES


A. The resume of each management person will be reviewed for acceptability to the FSSD.
B. The nominated manager must have the
experience required by VAR Part 5 or qualify for
a waiver.

Applicable Action Number:


3231A Eval AMO Management Qualifications
4231A Eval AMO Management Qualifications

C. This person must not have been a manager


involved in a previous revocation or emergency suspension action resulting from an
organisations failure to conform to applicable regulations.
D. If this manager is found to be acceptable, the following actions will occur
1) A formal letter stating that acceptance will be issued;
2) A CASORT> Action entry will be made reflecting this decision;
3) A CASORT> ORG> Mangement Contacts entry will be made to include this persons contact
information;
4) The applicable Section of the Regulatory Conformance Checklist will be annotated as
satisfactory.

4.19
4.19.1

AMO MANUALS
MAINTENANCE ORGANIZATION PROCEDURES MANUAL
A. The Maintenance Organization Procedures
manuall is the primary policy/procedure AMO
reference document. It contains the
procedures that span the spectrum of the
maintenance organization.

Applicable Action Numbers:


3230A: Eval AMO Maintenance Procedures Manual
4230A: Eval AMO Maintenance Procedures Manual

Chapter 5 of this manual provides general evaluation guidance regarding MOPM manual acceptanceil
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B. The standards by which this manual will be evaluated include


1) Applicable regulatory conformance
checklists;

See chapter 5 of this manual for specific evaluation instructions.

2) FSSD technical guidance; and


3) Relevant international aviation safety practices.
C. This evaluation is normally assigned to a specific airworthiness member of the certification team.
But the extent of this manual usually will require the involvement of other specialized inspectors
for certain procedures and forms.
D. If this manual is found to be acceptable, the following actions will occur
1) A formal letter stating that the manual has been accepted will be issued;
2) A CASORT> Action entry will be made reflecting this decision (using the assigned MCE
record, if applicable);
3) A CASORT>ORG>Policy Manual Approval >Maintenance Organization Procedures Manual
entry will be made to include the approval (or acceptance) of this manual;
4) The applicable Section of the Regulatory Conformance Checklist will be annotated as
satisfactory.

4.19.2

ADDITIONAL MOPM VOLUMES


If the applicant elects, or if the CAAV determines the complexity warrants, the MOPM will be
separated into volumes to focus the guidance to a particular group or to decrease the total
magnitude of the manual.

4.20

EVALUATION OF AMO PROCEDURES


The guidance in this section is provided for the planning of minimum certificate events.
Each of these evaluations are described in the remaining chapters of this manual as indicated.
All possible Action numbers and their Action
Description are presented here alpabetically for
ease of uploading the MCE records..

The certification team will upload only those


Action number files that are relative to the specific certification approvals.

The actual chronological order each evaluation is


approached is left to the certification team..

4.20.1

EVALUATE AMO FACILITY & HOUSING


This is primarily an evaluation of the description of
the facilitiy and housing found in the MOPM.
Chapter 5 of this manual addresses this evaluation.

4.20.2

EVALUATE AMO TOOLS & EQUIPMENT PROCEDURES


Policy and procedures regarding the evaluation of
the Tools & Equipment Procedures of the MOPM
are included in Chapter 13 of this manual.

4.20.3

3230B Eval AMO Facility & Housing


4230B Eval AMO Facility & Housing

3230C Eval AMO Tools & Equipment Procedures


4230C Eval AMO Tools & Equipment Procedures

EVALUATE AMO TECHNICAL DATA PROCEDURES


Policy and procedures regarding the evaluation of
the Technical Data Procedures of the MOPM are
included in Chapter 10 of this manual.

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4230D Eval AMO Technical Data Procedures

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4.20.4

CIVIL AVIATION AUTHORITY

EVALUATE AMO SUB-CONTRACTING PROCEDURES


Policy and procedures regarding the evaluation of
the Sub-Contracting Procedures of the MOPM are
included in Chapter 18 of this manual.

4.20.5

EVALUATE AMO PARTS & MATERIALS PROCEDURES


Policy and procedures regarding the evaluation of
the Parts and Materials Procedures of the MOPM
are included in Chapter 11 of this manual.

4.20.6

3230L Eval AMO Approvals & Capability


4230L Eval AMO Approvals & Capability

EVALUATE AMO WORK AWAY FROM BASE PROCEDURES


Policy and procedures regarding the evaluation of
the AMOs work away from base procedures in the
MOPM are included in Chapter 9 of this manual.

4.20.13

3230K Eval AMO Training Program


4230K Eval AMO Training Program

EVALUATE AMO APPROVALS & CAPABILITY


Policy and procedures regarding the evaluation of
the AMOs capability list are included in Chapter 21
of this manual.

4.20.12

3230J Eval AMO Procedures for AOC Holder


4230J Eval AMO Procedures for AOC Holder

EVALUATE AMO TRAINING PROGRAM


Policy and procedures regarding the evaluation of
the AMO training program are included in Chapter 7
of this manual.

4.20.11

3230I Eval AMO Quality Control Procedures


4230I Eval AMO Quality Control Procedures

EVALUATE AMO PROCEDURES FOR AOC HOLDER


Policy and procedures regarding the evaluation of
the AMO procedures for AOC holders are included
in Chapter 17 of this manual.

4.20.10

3230H Eval AMO Records System


4230H Eval AMO Records System

EVALUATE AMO QUALITY CONTROL PROCEDURES


Policy and procedures regarding the evaluation of
the quality control procedures of the MOPM are
included in Chapter 12 of this manual.

4.20.9

3230G Eval AMO Maintenance Process


4230G Eval AMO Maintenance Process

EVALUATE AMO RECORDS SYSTEM PROCEDURES


Policy and procedures regarding the evaluation of
the Inspection Procedures of the MOPM are
included in Chapter 15 of this manual.

4.20.8

3230F Eval AMO Parts & Materials Procedures


4230F Eval AMO Parts & Materials Procedures

EVALUATE AMO MAINTENANCE PROCESS PROCEDURES


Policy and procedures regarding the evaluation of
the Maintenance Process Procedures of the MOPM
are included in Chapter 16 of this manual.

4.20.7

3230E Eval AMO Sub-Contracting Procedures


4230E Eval AMO Sub-Contracting Procedures

3230M Eval AMO Work Away from Base


4230M Eval AMO Work Away from Base

EVALUATE AMO QUALITY ASSURANCE SYSTEM


Policy and procedures regarding the evaluation of
the AMOs Quality Assurance System in the MOPM
are included in Chapter 19 of this manual.

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4230N Eval AMO Quality Assurance Systemj

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4.20.14

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EVALUATE AMO SAFETY MANAGEMENT SYSTEM


Policy and procedures regarding the evaluation of
the AMOs Safety Management System in the
MOPM are included in Chapter 20 of this manual.

4.20.15

EVALUATE AMO PERSONNEL QUALIFICATIONS


Policy and procedures regarding the general
evaluation of the qualifications of the AMOs
personnel in the MOPM are included in Chapter 6 of
this manual.

4.20.16

3234D Eval AMO Proposed Tool Calibration List


4234D Eval AMO Proposed Tool Calibration List

EVALUATE AMO PROPOSED WORK PACKAGE


Policy and procedures regarding the specific
evaluation of AMOs proposed Work Package are
included in Chapter 15 of this manual.

4.21

3234C Eval AMO Proposed Training Records


4234C Eval AMO Proposed Training Records

EVALUATE AMO PROPOSED TOOL CALIBRATION LIST


Policy and procedures regarding the specific
evaluation of AMOs proposed tool calibration list
are included in Chapter 13 of this manual.

4.20.21

3234B Eval AMO Proposed Training Records


4234B Eval AMO Proposed Training Records

EVALUATE AMO PROPOSED TRAINING RECORDS


Policy and procedures regarding the specific
evaluation of AMOs proposed maintenance release
are included in Chapter 7 of this manual.

4.20.20

3234A Eval AMO Proposed Maintenance Release


4234A Eval AMO Proposed Maintenance Release

EVALUATE AMO PROPOSED TRAINING RECORDS


Policy and procedures regarding the specific
evaluation of AMOs proposed training records are
included in Chapter 14 of this manual.

4.20.19

3231B Eval AMO Certifying Staff Qualifications


4231B Eval AMO Certifying Staff Qualifications

EVALUATE AMO PROPOSED MAINTENANCE RELEASE


Policy and procedures regarding the specific
evaluation of AMOs proposed maintenance release
are included in Chapter 14 of this manual.

4.20.18

3231 Eval AMO Personnel Qualifications


4231 Eval AMO Personnel Qualifications

EVALUATE AMO CERTIFYING STAFF QUALIFICATIONS


Policy and procedures regarding the specific
evaluation of the qualifications of the AMOs
certifying staff in the MOPM are included in Chapter
6 of this manual.

4.20.17

3230O Eval AMO Safety Management System


4230O Eval AMO Safety Management Systemj

3234E Eval AMO Proposed Work Package


4234E Eval AMO Proposed Work Package

COMPLETION OF DOCUMENT CONFORMANCE PHASE


A. The Document Conformance phase is considered to have been completed when
1) All of the evaluations of sections 4.16 through 4.20 of this chapter have been determined to
be acceptable; and
2) The associated MCE planned Action records have been completed with an A=Approved/
Accepted; and

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3) The MOPM manual (and related supporting manuals) have their List of Acceptable Pages
accepted; and
4) The related formal letters of approval or acceptance has been issued.
B. The CPC will notify the appropriate supervisor of the phase completed.

4.22

INSPECTION PHASE
A. The Inspection Phase should begin with the review of all inspections listed in Chapter 3,
paragraph 3.2.3, to determine their applicablity to the certification of this particular maintenance
organization.
B. Add the applicable Action Numbers to the MCE plan for this organization and upload the
planned records into the CASORT-Action database.
C. The certification team should now begin conducting these inspections.
All issues raised during the inspections must be cleared prior to the followup inspections.
It is imperative that the maintenance organization not be allowed to complete the process until all
necessary followup inspections are completely satisfactory to the certification team.

D. The Inspection phase of this certification is considered to have been completed when
1) All of the inspections of Chapter 3, paragraph 3.2.3 applicable to this certification have been
determined to be satisfactory.; and
2) The associated MCE planned Action records have been completed with an S=Sactisfacory;
and
3) There are no outstanding issues..
E. The CPC will notify the appropriate supervisor of the completion of the Inspection phase.

4.23
4.23.1

PHASE FIVE: FINAL CERTIFICATION ACTIONS


CERTIFICATION TEAM MEETING
A. The CPC will conduct a meeting with the
certification team to ensure that this
certification project has been completed
properly.

The CPC shall ensure that there are no


remaining records on the Planned Certification Summary for this project number.

B. This meeting will include a review, for this project number, of the
1) Planned Certification Summary Report (which should have no records); and
2) Completed Certification Summary Report.
C. The team will ensure that each inspectors participation in the project has been properly
recorded, including correct dates.

4.23.2

UPDATE CASORT ORGANIZATION INFORMATION & APPROVALS


A. The team will ensure that the CASORT-ORG
database files relative to the maintenance
organizations organization approvals are
updated to reflect the approvals to be given.

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B. A new copy of the ORG (Comprehensive) Report will be printed to replace the previous report
located in the AMO holders Working Binder.

4.23.3

COMPLETE THE AMO CERTIFICATE


The CPC should ensure the printing of the AMO
certificate and signature by the Director-General.

4.23.4

3235 Issue AMO Certificate


4235 Issue AMO Certificate

PUBLISH MASTER OPERATIONS SPECIFICATIONS


A. The master operations specifications will be
published to show the approvals granted to the
maintenance organization.

3236 Issue AMO Operations Specifications


4236 Issue AMO Operations Specifications

B. A print-out of that proposed operations specifications shall be circulated for CAAV and
maintenance organization signatures.
C. The CAAV copy of the new signed print-out of the master operations specification page shall be
inserted in the
1) CAAV working binder for the applicant; and
2) Completed Certification Report binder for this project.

4.23.5

PRESENT THE AOC CERTIFICATE


A. Where possible, the Director-General will present the AMO certificate to the organizations
accountable manager in a brief ceremony.
B. The CPC will arrange for the the presentation meeting and ensure that the documents suitable
for signature are available for presentation.

4.23.6

RECORD THE COMPLETION OF AMO CERTIFICATION


A. When all previously discussed tasks have been
completed, the CPC will enter the final
CASORT Action record showing this project as
completed.

1150D: Certification: AMO

B. The CPC will advise the Data Quality Coordinator to move the project number from the active
to the inactive project number list.

4.23.7

FINISH THE COMPLETED CERTIFICATION REPORT


A. Print out the CASORT Completed Certification Report Summary in MS Excel.
B. Take the time to move rows so that events that happened on the same day (such as the last day)
are presented in the sequence that they actually occur. This will make it easier to auditors to
understand the report.
This action is required because CASORT reports may provide the records of a single day in an illogical

sequence.

C. The binder should arranged in the following manner


1) Cover Page including
(a) Organization name;
(b) Organization number; and
(c) Type of certification conducted.
2) Tab A: Copy of the original AMO certificate
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3) Tab B: Copy of the original opertions specifications


4) Tab C: Final copy of Completed Certification Report
5) Tab D: Final copy of the VAR Part 5 Conformance Checklist
6) Tab E: Copy of the revised CASORT-ORGanization (Comprehensive) Report at the
completion of certification.

4.23.8

MANAGERIAL REVIEW
A. The binder containing the Completed Certification Report for this project will be circulated
among the appropriate mangers and supervisors.
B. The final review will be made at the Director-General level.

4.23.9

FINAL FILE LOCATION


The binder containing the Completed Certification Report for this project will be placed in a secure
file area maintained by the CAAV Director-Generals secretary.
End of Chapter

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Chapter 5
AMO Manual System
This chapter provides guidance for the determination of an acceptable AMO manual system by
evaluation or inspection.

5.1

GENERAL: AMO PROCEDURES MANUAL


A. VAR Part 5 places an obligation on the
approved maintenance organization to provide
a maintenance organizations procedures
manual.
B. The purpose of the procedures manual is to
1) Provide to the personnel the necessary
information to enable them to fulfil their
various roles in complying with the terms
and conditions of the approval and the
relevant airworthiness requirements;

APPLICABLE ACTION NUMBERS


3230A Eval AMO Procedures Manual
3230A1 Eval AMO Procedures Manual Revision
3230A2 Eval AMO Manual Revision Procedures
4230A Eval AMO Procedures Manual
4230A1 Eval AMO Procedures Manual Revision
4230A2 Eval AMO Manual Revisions Procedures
3650A Inspect AMO Maint Procedures Manual
4650A Inspect AMO Maint Procedures Manual

2) Provide airworthiness management for the maintenance activities undertaken by the


organization; and
3) Substantiate to the CAAV how the activities included in the approval and the relevant
airworthiness requirements will be satisfied.
C. The provision of the MOPM as an integral part
of the approval of the organization.

The manual and the subsequent


amendments to the manual must be
acceptable to the CAAV before use
by the maintenance organization..

D. In the case of large organizations, the manual


may be divided into two or more volumes.

The first volume may contain the essential requirements for management of the approval and
compliance with the appropriate airworthiness requirements, including the control of the contents of the
other volumes.

5.2

SINGLE MANUAL OR SEVERAL VOLUMES?


A. The AMO may have several manuals or
documents that are part of its quality control,
AMO, and training manual system. The AMO
holder may combine portions required by VAR
Part 5 into just the MOPM..

Refer to Appendix A to this chapter with additional guidance applicable to the evaluation and
inspection of MOPM.

B. A large AOM may choose to have multiple manuals including a

Maintenance Organization Procedures Manual (MOPM)


Quality Control Manual (QCM)
Quality Assurnace Manual (QAM)
Maintenance Training Manual (MTM)

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C. The maintenance organization may have


several manuals or documents that are part of
its quality control, MOPM, and training manual
system.

The basic regulatory requirements for manual


content are listed in Part 5.
The additional methodology and elements of each
requirement are discussed in detail in AC 05-002

The applicant/certificate holder may combine


portions into one section or chapter of the manual system.

D. The AMOs manual(s) must remain current and


be accessible for use by AMO personnel, as
required by Part 5.
E. Procedures described in the manual(s) should
ensure that the AMO could satisfactorily
perform maintenance in accordance with its
rating(s).

The manual(s) may contain more procedures


than required by the regulations for the certificate holder to describe the AMOs overall functions, responsibilities, and quality control
procedures.

In that regard, AMO with a Limited Specialized Service Rating would have different procedures in its
manual system criteria than an AMO with a Class 3 Airframe Rating.
Each manual system should be developed based upon the ratings authorized and the size and
complexity of the AMO.

F.

The applicant/certificate holder may submit the manual(s) to CAAV on paper or by an electronic
medium.
The MOPM may be submitted together with
related documents, such as the application forms
and repairmen applications, to CAAV.
If the AMO submits the manual electronically, the
AMO should discuss the format, software, and
revision procedures with CAAV before submittal.

All submissions will require a cover


letter.

G. The AMO should follow the procedures described in its manual when submitting revisions to an
existing manual (Refer to Manual Revision and Control).

5.3

AMO PROCEDURE MANUAL ELEMENTS


The following are considered MOPM elements
1) Manual Revision and Notifying CAAV.
2) Identification and Control of Sections of the
Manual.
3) Organization Chart

APPLICABLE ACTION NUMBERS


3230A Eval AMO Procedures Manual
4230A Eval AMO Procedures Manual
3230A1 Eval AMO Procedures Manual Revision
4230A1 Eval AMO Procedures Manual Revision

Identify each management position


The area of responsibility assigned to each management position
Duties and responsibilities

4) Rosters (procedures for maintaining and revising).


5) Description of Operations (including the housing, facilities, equipment, and materials).
6) Capabilities List (Procedures for [if applicable])
(a) Revision
(b) CAAV Notification
(c) Self-Evaluation Before Revision

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(d) Methods
(e) Frequency
(f) Reporting Results
7) Training Program
8) Revision
9) Submitting to CAAV
10) Procedures Governing Work Performed at Another Location.
11) Procedures for Maintenance, Preventive Maintenance, and/or modifications for AOCs.
12) Contracting (procedures for)
Maintaining and revising the list of approved maintenance functions, including submitting revisions
to CAAV
Maintaining and revising the list of contract maintenance providers, including submitting revisions
to CAAV
Required Records and Recordkeeping System.

5.4

QCM ELEMENTS
The following are considered QCM elements.
1) Revision procedures and notifying CAAV.
2) Qualifying and surveillance of non-certificated persons performing maintenance,
3) Preventative maintenance, or modification for the AMO.
4) Establishing and maintaining proficiency of inspection personnel.
5) Establishing and maintaining current technical data.
6) Inspection System

Incoming raw material inspection


Preliminary inspection
Hidden damage inspection
Final inspection and return to service

7) Calibration of measuring and test equipment, including intervals of calibration.


8) Corrective action.
9) Samples of inspection forms and instructions for completion (may be a separate manual).

5.5

PORTIONS RECOMMENDED FOR MOST MANUALS


The following elements are required for most manuals
1) Table of Contents.

3230A2 Eval AMO Manual Revision Prcoedures


4230A2 Eval AMO Manual Revision Prcoedures

2) List of Effective Pages.


3) Record of Revisions.

5.6

COMBINING PORTIONS OF MOPM & QAM


A. The following chart illustrates one of several possible combinations that applicants/certificate
holders could use to structure a single manual system.

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It includes the procedures required in both the


MOPM and the QAM.
Other combinations may be possible depending
upon the ratings, size, and complexity of the
AMO.
The manuals content must include the applicable
procedures required by the regulations, but may
be formatted in any manner easily understood by
employees of the AMO.

A Part 5 AMO that also holds an AOC certificate


may refer to sections of its AOC approved
maintenance program in its Part 5 manuals.
If the manuals are structured in this manner, those
sections must adhere to Part 5 regulatory
requirements.
The affected sections would apply to aircraft listed
on the AOC Ops Specs or to other third party AOCs
or aircraft owners that are serviced by the certificate
holder.

B. The AMO should include a table to show that its


manual system meets the requirements of VAR
Part 5.

5.7

IDENTIFICATION & CONTROL OF SECTIONS


A. Sequential numbering of the manual(s) from
front to rear may cause difficulty for the revision
process.

Most AMOs are divided into sections of similar


subject matter.
For instance, one section of the manual may contain
all of the procedures related to the inspection
system.

A minor revision to one of the first pages may


cause a change in the content of each successive
page.
CAAV advises the AMO to divide the manual into several sections, so that a revision to one page of a
section does not affect the entire manual.

B. The AMO may establish these sections or the sections may be contained within an established
industry format (such as ISO).
C. The sample formats included in this chapter contain a few examples of the many possible
methods used for identification.
The sections may consist of several similar individual procedures grouped together through a common
numbering system, or several similar procedures described in narrative format within a section.
Regardless of the method used, each section must be identified and controlled.

D. Many MOPM sections are controlled using a table of contents.


The table of contents lists each section of the manual and the location in the manual.
Some AMOs have elected to reissue a complete section of the manual if any page within that section is
revised.
The table of contents for those facilities may indicate revision status for each section, rather than each
page.

E. Some AMOs are controlled using a master document control list.


This document lists each procedure and the revision status of that procedure.
A unique number and revision status should identify each procedure within the manual system.
If a page within a procedure is revised, the entire procedure is reissued. In this system, each procedure
is identified and controlled, rather than each section.

F.

The procedures to control sections of the manual should address (as applicable)
1) Identification.
2) Revision status.
3) Page numbering.
4) Issue date.
5) Approvals of internal personnel responsible for the manual and revisions.

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INSPECTION PROCEDURES FOR AMO MANUALS

5.8.1

REVIEW APPLICABLE INFORMATION


A. Before the inspection, the principal inspector
(PI) or an aviation safety inspector (ASI) should
carefully review

3650A Inspect AMO Maint Procedures Manual


4650A Inspect AMO Maint Procedures Manual

1) AMO Manual/qUality Assurance Manual (MOPM/QAM). The PI or ASI should be familiar with the
policies and procedures contained therein.
2) The AMO training program and manual.
3) Previous CASORT Safety Issues.

5.8.2

INSPECT MAINTENANCE ORGANIZATION MOPM


A. The inspector must confirm if
1) Revisions to the MOPM are being made in accordance with the AMOs revision system.
2) The MOPM identifies who is authorized to make and approve changes to the MOPM.
3) Revisions are properly distributed and incorporated by sampling MOPMs throughout the facility.
4) All copies of the MOPM are at the same
revision level as the CAAV copy.
5) The MOPM is accessible for use by all AMO
personnel, on all work shifts.
6) If the manual system is maintained
electronically, sufficient viewing terminals
must be available and each copy on
individual computers must be current.

5.9

The CAAV may authorized th AMO to publish revisions


prior to review, provided the AMO follows the revision
procedures in its manual.
However, the AMO must have a procedure in
its manual to recall revisions if the CAAV finds a
revision unacceptable.

NATIONAL LANGUAGE OTHER THAN ENGLISH


A. When the MOPM is located in the work area and it is in a language other than English, the CAAV
inspectors must be provided with a supervisor or other person who can read the national language
version to the inspector so he can confirm that this version has the same information as the English
language version.
B. This same process would apply when the CAAV requests review of maintenance records, technical
documents, and other material that is part of the certification.
C. The use of the national language is an option
provided to AMOs located outside the Vietnam.
D.

5.9.1

If a AMO elects to use the national language, it


must provide a method for the CAAV to confirm
that the material is accurate.

The inspector must confirm the foreign AMO has


provided the CAAV with an English language version of its MOPM.

REVIEW THE QUALITY ASSURANCE SYSTEM MANUAL


The inspector must confirm if
1) The QAM is available to all AMO personnel.
2) All technical data referenced in the manual is current.

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3) All forms listed in the manual are still current and the AMO is not using any forms in the quality
system not listed in the manual.
4) All copies of the QAM are at the same revision level as the CAAV copy.

5.9.2

REVIEW THE TRAINING MANUAL


A. AMOs vary drastically in size; therefore an inspector can expect differences in AMO training
programs. The training program must be appropriate to its organization and the work it performs.
B. The training program itself may be documented in the MOPM or it may be a separate document. An
advantage to having the training program in a separate document is that it provides separation for
the training program approval requirement from the nonapproved MOPM/QAM.
1) If the training program is a separate
document, the inspector must confirm it is
approved and current.

While the CAAV does not approve the instructor


guides and lesson plans, these will be assessed
during on-site inspections.

2) If the training program is incorporated in the


MOPM, the inspector must confirm that the
section of the manual is an approved document and that it is current.

5.9.3

CHECK THE AOC HOLDER/OPERATORS MANUALS


A. Some AMOs perform maintenance, preventive maintenance, or modifications for AOC holders. When
this is the case, maintenance must be performed in accordance with the AOC holders Continuous
Airworthiness Maintenance Program (CAMP) and/or the maintenance control manual.
B. Inspectors should confirm that the AMO has been provided with the information necessary to ensure
compliance with this requirement.
This information must be defined on contractual documents from the AOC holder by clearly stating the
source of the data (manufacturers or AOC holders) used to perform the requested maintenance along with
any other requirements of its program or maintenance manual.
If the AMO has applicable sections of AOC holders maintenance program(s) or manual(s), the inspector
must confirm that they are controlled and current copies.

C. If the AMO performs an inspection for a operator conducting operations under VAR Part 20, the
inspections must be performed in accordance with the operators approved inspection program.
The operator must define the requirements on the contractual documents and provide the AMO with the
applicable sections of its inspection program.
If the AMO has applicable sections of the AMO holders approved inspection program, that it is a
controlled and current copy.

5.9.4

REVIEW ELECTRONIC MANUAL(S)


For electronic manual(s), the following concerns should be reviewed during the inspection

5.9.4.1

Security & Access


The inspector must confirm that
1) Only authorized personnel may make changes to the manual,
2) Access is protected by passwords,
3) Employees have been trained to access the manual on the network, and
4) All of the supervisors and inspectors have access to the manual.

5.9.4.2

Revisions
The inspector must confirm that

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1) The user knows that the manual has been revised and what content was changed, and
2) Personnel verifies the currency of
individual disks before use.

Transmittal documents include cover letters,


memos, e-mails, faxes, and any other media
acceptable to the CAAV.

End of Chapter - Appendix Follows

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APPENDIX 5-A
Job Aid MO-002: AMO Manual System
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PEL#

Mgmt Rep

PEL#

For completion instructions, refer to Chapter 2 of the Airworthiness Inspector manual


YES

NO

NS

NA

MANUALS & PROCEDURES

2.1

Does the approved maintenance organization have a maintenance


organization manual and Quality control manual that has been
accepted and is current with the CAAV?

2.2

Does the maintenance organization have a quality assurance system?

2.3

Does the maintenance organization personnel follow the quality assurance system?

2.4

Is a current copy of the maintenance organization manual and quality assurance manual accessible for use by maintenance organization personnel?

2.5

Does the approved maintenance organization manual have all of the


required elements?

2.6

Does the quality assurance manual have all the required elements?

2.7

Does the maintenance organization manual and quality assurance


manual contain examples or a reference of a separate forms manual of
all the forms used, and instructions for the completion of those forms?

2.8

Does the maintenance organization manual and quality control manual


explain the internal inspection system and procedures in an easy to
understand manner?

2.9

Does the maintenance organization have a procedure for revising the


manuals?

INSPECTOR
SIGNATURE

ORG REP
SIGNATURE

End of Appendix 5-A

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Chapter 6
AMO Personnel
This chapter provides guidance for evaluation and
inspection of the qualifications of a maintenance
organizations personnel, including
Management
Certifying staff
Maintenance personnel.

6.1

GENERAL CONSIDERATIONS

6.1.1

APPLICABLE ACTION NUMBERS:


3231A Eval AMO Management Qualifications
4231A Eval AMO Management Qualifications
3231B Eval AMO Certifying Staff Qualification
4231B Eval AMO Certifying Staff Qualification
3650K Inspect AMO Personnel Qual Records
4650K Inspect AMO Personnel Qual Records
3650J Inspect AMO Certifying Staff Records
4650J Inspect AMO Certifying Staff Records

SUFFICIENT PERSONNEL
A. The organization must employ sufficient personnel to plan, perform, supervise and inspect the
activities included in the approval. The AMO must submit the resumes of the managment for
CAAV acceptance prior to their use in management.
B. Because organizations engaged in aircraft maintenance for commercial reasons are under
constant pressure to achieve maximum work throughput, the AMO must have the necessary
personnel to match the anticipated workload without any reduction in the standards accepted by
the CAAV.

6.1.2

COMPETENCE & QUALIFIED


A. The AMO is required to establish the
competence of maintenance personnel in
accordance with a procedure and to a level
acceptable to the CAAV

Refer to Appendix A and B to this chapter for


additional guidance applicable to the evaluation
and inspection of AMO personnel.

B. The person signing a maintenance release


shall be qualified in accordance with VAR Parts 4 and 7.
C.

It is important to realize that aircraft maintenance is an integrated activity, involving technical


records, planning, supervision, quality control or quality assurance personnel, mechanics and
specialist technicians such as non-destructive test personnel.
The AMO procedures should be sufficient ensure that these persons are assessed for competence in
relation to their particular role within the organization.

6.1.3

QUALIFICATION OF PERSONS SIGNING A MAINTENANCE RELEASE


A. The requirements for licensing of a person signing the maintenance release are provided in VAR
Parts 4 and 7.
The qualification of AMO certifying personnel employed by the organization shall be equivalent to the
qualification required in VAR 4 and 7 for licensed individuals.

B. All certifying personnel signing a maintenance


release should be familiar with the relevant

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3231B Eval AMO Certifying Staff Qualification


4231B Eval AMO Certifying Staff Qualification

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company systems and procedures, and have appropriate knowledge of the aircraft or
component being maintained.
The AMO must ensure compliance with this requirement is determined before a certifying authorization
is granted.

6.1.4

ADEQUATE MANAGEMENT & INSPECTING STAFF


A. Each AMO must have the management personnel necessary for the scope and complexity of its
organization.
B. The management personnel experience,
qualifications and history of interaction with the
authorities must be acceptable to the CAAV.

3231A Eval AMO Management Qualifications


4231A Eval AMO Management Qualifications

C. VAR Part 5 requires an accountable manager, supervisory personnel, inspection personnel, and
certificated personnel to approve the articles it maintains/alters for return to service.
D. It may be necessary for the AMO management structure to warrant additional supervisory
personnel that are not required by regulation.

6.1.5

FOREIGN AMO PERSONNEL CONSIDERATIONS


A. An AMO located outside Vietnam is not required to employ personnel that hold an license issued
under VAR Part 7.
B. But for CAAV approval, the AMO personnel must have a minimum of 18 months of practical
experience in the work performed.
C. The personnel must be trained in or thoroughly familiar with the methods, techniques, practices,
aids, equipment, and tools used to perform the maintenance, preventive maintenance, or
alterations.
D. All supervisory personnel must understand, read, and write English.

6.2
6.2.1

PERSONNEL REQUIREMENTS
CERTIFICATION
A. The inspector must confirm whether each person authorized to approve an article for return to
service under the AMO certificate and OpSpecs is licensed under VAR Part 7 and understands, reads,
and writes English.
B. AMO personnel employed as repair specialists with job functions including return to service, final
inspection, or maintenance release of an aviation article, must have the appropriate rating on their
license.
For example, the license might show: Privileges of VAR Part 4 valid for interior insulation repair specialist
while employed by [AMO name, city, state, and certificate number].

C. The repairman would not be authorized to exercise the privileges of his or her certificate for a
hydraulic shop. The repairman can only exercise the privileges of the repairman certificate for the
rating(s) listed on his or her certificate.
D. All managers, certifying staff, and supervisors must be authorized, qualified, and listed on the AMOs
required roster(s).

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6.3
6.3.1

AMO ADMINISTRATION AND


CERTIFICATION MANUAL

PERSONNEL ROSTER EVALUATION


GENERAL POLICIES
A. Personnel rosters are lists of individuals within
the maintenance organization

These lists can be maintained in paper or electronic format, but must be accessible for review
and inspection by CAAV.

Who are authorized to perform certain functions,


such as approval for return to service or signing
off required inspection items, or
That hold certain management and supervisory positions.

B. The AMO must maintain a personnel roster or rosters that list managers, supervisors, certifying
staff, including RII inspectors, and those individuals authorized to approve an article for return to
service.
The format of the rosters is not specified by regulation.
Each AMO may develop its own roster format, as long as it contains all of the appropriate names.

C. The rosters do not need to be included in the


manual, but the procedures for maintaining and
revising the rosters must be in the manual.

If the rosters are not included in the manual,


the procedure should describe where the rosters
would be located.

The procedure must describe how the roster will


be changed within 5 business days of the termination, reassignment, change in duties or scope of
assignment, or addition of any personnel.

D. It may be appropriate for the AMO to develop a combination roster. Such a roster would include

1) Initials,

This information is used to designate the


authority of inspection or supervisory personnel
who can sign/stamp off work documents or
approve articles for return to service.

2) Signatures,
3) Stamp numbers,
4) License numbers, or

5) Any other information specified by the company or CAAV.

6.3.2

EMPLOYMENT SUMMARIES
The AMO must also maintain employment summaries for each person whose name appears on the
rosters.
Employment summaries of supervisors, certifying staff, and persons responsible for return to service
may be in the national language.

6.3.3

CONTENT OF ROSTER PROCEDURES


The following roster questions should be answered
by the procedures manual

3234C Eval AMO Proposed Personnel Roster


4234C Eval AMO Proposed Personnel Roster

1) Who is responsible (by title) for maintaining


the rosters in current condition?
2) Has an alternate been designated?
3) Where will the rosters be located?
4) How will the rosters be revised within 5 business days?
5) Is authority to approve an article for return to service shown on the rosters?

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6) Who is responsible for designating those individuals, and how are those individuals
designated?
7) Are the managers, supervisors, certifying staff, and persons authorized to approve articles
for return to service all listed on the rosters?
8) Are the supervisors certificated, and with what type of certificate if located outside of
Vietnam?
9) Are the persons authorized to approve articles for return to service certificated?
10) Are there employment summaries for each person on the roster?

6.4

CERTIFYING STAFF EVALUATION


A. This section of the manual must include
3231B Eval AMO Certifying Staff Qualification
procedures for establishing and maintaining
4231B Eval AMO Certifying Staff Qualification
proficiency of inspection personnel. Part 5
requires the AMO to ensure that inspection
personnel are thoroughly familiar with the following
Applicable regulations.
Inspection methods, techniques, practices, aids, equipment, and tools used to determine the
airworthiness of the article.

B. Inspection personnel must also be proficient in using the various types of inspection equipment
and visual inspection aids appropriate for the article being inspected. Certifying staff must be
listed on a roster.
C. Procedures in this section of the manual should
address how the AMO will establish the
qualifications of the inspection personnel.

The AMO should coordinate closely with its principal inspector and its local CAAV regarding
these emergency procedures.

D. This initial qualification may be based on testing


or previous experience or training.
E. If the inspector has previous experience, the employment records should describe the type of
inspections and maintenance work performed, methods and techniques used, and total years of
experience as an inspector, as required by Part 5.
The procedure should establish the minimum amount of experience required before an inspector can
be listed on the roster, and who by job title will make that determination.

F.

The procedures should also describe how certifying staff become qualified through on-the-job
training (OJT) and/or formal classroom training.
This training may be described in this section of the manual or in the section describing the training
program for all AMO personnel.
Training should include initial qualification as well as recurrent training or testing to maintain proficiency.
Inspection personnel may also require additional special training in new techniques.
This may be necessary after additional components are added to the ratings or capabilities of the AMO
or when new inspection aids or techniques are applied.
Certifying staff performing Nondestructive Testing (NDT) may need to meet the qualification
requirements of other industry standards, such as eye exams.

G. Inspection personnel need current technical data to properly perform their tasks. They need to
understand current specifications involving inspection tolerances, limitations, procedures
established by the manufacturer, SBs, and ADs.

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Inspection personnel also need to be familiar with the MOPM and QAM for the AMO, as well as the
applicable federal aviation regulations.
Procedures in the manual should address where the technical data is located, who is responsible for
maintaining the current data, and how the certifying staff will be made aware of changes.

H. If the person performing the final inspection is also authorized to approve an article for return to
service, that person must be certificated under Part 7 for AMOs located within Vietnam.
If the AMO is located outside Vietnam, the person authorized to perform a final inspection and approve
an article for return to service must meet the requirements of Part 5.
If final inspection personnel are authorized to approve an article for return to service, procedures in the
manual will need to address how they are authorized and qualified.

I.

The following questions or concerns are offered as a guide and are intended to help initiate the
procedures in the QAM
How does the AMO establish minimum qualifications for inspection personnel? What is the title of the
person making this determination?
How will the inspector maintain proficiency? What methods are used?
Do the records of training indicate the method, length, instructor, and dates? Are they current?
Do the employment records of the certifying staff describe any previous experience?
Is the necessary current technical data available and accessible for the certifying staff?
What is the title of the person responsible for ensuring that certifying staff maintain proficiency?
Are the certifying staff listed on the roster?
Do the certifying staff read, write, and understand English and/or Vietnamese, depending on the
location?
Are the persons performing RII inspections and approvals for return to service certificated under Part 5
(if in Vietnam)?
Will the certifying staff require any special training, such as NDT?
Who will be responsible for the training? How will the AMO ensure that NDT personnel continue to meet
any required industry standards?

6.5
6.5.1

CAAV INSPECTION CONSIDERATIONS


QUALIFICATION GOVERNED BY INDUSTRY STANDARDS
A. The inspector must confirm that the AMO personnel performing functions governed by existing
industry standards are trained and qualified to that standard (for welding, nondestructive testing, heat
treatment, etc.).
In some cases these industry standards may be identified on the opspecs of the AMO.

6.5.2

BEGIN WITH THE AMOS ROSTER


A. The inspector must confirm that certifying staff identified on the AMOs roster
1) Maintain proficiency in using the various types
of inspection equipment
and visual inspection aids appropriate for the
article being inspected.

3650J Inspect AMO Certifying Staff Records


4650J Inspect AMO Certifying Staff Records

2) Are thoroughly familiar with the regulations and with the inspection methods, techniques, practices,
aids, equipment, and tools used to determine the airworthiness of the article on which
maintenance, preventive maintenance, or alterations is being performed.
3) Understand, read, and write English.

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B. AMO certifying staff with return to service authority or final inspection, maintenance release, must be
able to read, write, understand, and speak the English language, unless employed outside the
Vietnam.

6.5.3

ALL SUPERVISORS ARE ON THE ROSTER?


A. The inspector must confirm that all supervisors:
1) Are on the roster;
2) Are properly certificated for the supervisor
position held.

The CAAV reserves the right to interview the AMOs


supervisors, certifying staff, and/or personnel
responsible for final approval for return to service.

3) Understand, read, and write English.

6.5.4

SUFFICIENT NUMBER OF EMPLOYEES


A. When considering the size and scope of the AMO,
3650K Inspect AMO Personnel Qual Records
the inspector must confirm that it has a sufficient
4650K Inspect AMO Personnel Qual Records
number of employees with the training or
knowledge and experience in the performance of
maintenance, preventive maintenance, or alterations authorized by the AMOs ratings.

6.5.4.1

Sufficient Number of Supervisors


A. The inspector must confirm if the AMO has a sufficient number of supervisors, who are certificated
under VAR Part 7 and are able to understand, read, and write English, to direct the work performed.
The supervisors must also provide oversight to those individuals who are unfamiliar with the methods,
techniques, practices, aids, equipment, and tools employed.

6.5.5

QUALIFICATION OF NON-LICENSED EMPLOYEES


A. The inspector must confirm whether the AMO determines the abilities of its non-licensed employees who
perform maintenance functions based on training, knowledge, experience, or practical tests.

6.5.6

ROSTER/SUMMARY
A. The inspector must confirm that the AMO has the following:
1) A current roster of management and supervisory personnel.
2) A current roster of all inspection personnel.
3) A current roster of personnel authorized to sign a maintenance release for approving a maintained
or altered article for return to service.
4) A current summary of the employment of each individual whose name is on the personnel rosters
required by VAR Part 5. That summary must include:
(a) Present title.
(b) Total years of experience and the type
of maintenance work performed.
(c) Past relevant employment with names of
employers and periods of employment.

As a general acceptable practice, the required


rosters must, within 5 working days, reflect
changes caused by termination, reassignment,
change in duties or scope of assignment, or addition of personnel.

(d) Scope of present employment.


(e) The type of mechanic or repairman certificate held and the ratings on that certificate, if
applicable.
B. It is acceptable for a AMO to develop a combination roster. The roster could include initials,
signatures, stamp numbers, certificate numbers, or any other information used to designate the

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authority of inspection or supervisory personnel. It could also list persons who can sign/stamp off
work documents or approve articles for return to service.

6.5.7

TRAINING
A. The inspector must review the training records of certifying staff and supervisors to confirm they have
the required training for their job function. The records should also show how the AMO qualified
these individuals.
End of Chapter - Appendices Follow

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APPENDIX 6-A
Job Aid MO-003: AMO Management & Certifying Staff
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PEL#

Mgmt Rep

PEL#

For completion instructions, refer to Chapter 2 of the Airworthiness Inspector manual

YES

NO

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NS

NA

MANAGEMENT & ADMINISTRATION

3.1

Does the maintenance organization have an accountable manager?

3.2

Does the named accountable manager have the authority as required by


the regulation?

3.3

Does the maintenance organization have adequate personnel who


supervise, inspect, and perform the work?

3.4

Does the maintenance organization have sufficient number of employees to perform the work under the ratings held?

3.5

Does the maintenance organization have sufficient number of supervisors to direct the work performed under the maintenance organization
certificate and operations specifications?

3.6

If the maintenance organization is located outside Vietnam does the


supervisors meet the VAR Part 5 requirements (or equivalent) for managers?

3.7

Do all supervisors, certifying staff, and those with return to service


authority, read, write, and understand English?

3.8

Does the maintenance organization assure that all inspection personnel


meet the requirements of VAR Part 5 (or equivalent)?

3.9

Does the maintenance organization have personnel authorized to


approve and article for return to service?

3.10

Does that person meet the license requirements of VAR Part 7?

3.11

If the maintenance organization is located outside the United States,


does the maintenance organization assure that person meets the
license requirements of VAR Part 7 (or equivalent)?

3.12

Does each maintenance function within the approved maintenance


organization have an appropriately licensed person that meets the
requirements of VAR Part 7, directly in charge of those functions?

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3.13

Does the supervisor for propeller and instrument functions hold an


aviation repair specialist license (or equivalent) with appropriate
ratings?

3.14

Does all personnel issued an aviation repair specialist license (or equivalent) meet the requirements of VAR Part 7?

3.15

Does the maintenance organization have a current roster of its management and supervisory personnel, including the names of the
officials who are responsible for its management and the names of all
supervisors who oversee maintenance functions?

3.16

Does the maintenance organization have a roster of inspection personnel?

3.17

Does the maintenance organization have a roster of personnel authorized to sign a maintenance release approving an article for return to
service?

3.18

Does the maintenance organization have a summary of the employment of each individual whose name is on the personnel roster?

3.19

Does the maintenance organization make the changes to the roster with
in the required 5 business days?

3.20

Does each approved person who is directly in charge of a maintenance


function have the required experience or formal training acceptable
to the CAAV?

INSPECTOR
SIGNATURE

ORG REP
SIGNATURE

End of Appendix 6-A

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APPENDIX 6-B
Job Aid MO-004: AMO Personnel Records
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PEL#

Mgmt Rep

PEL#

For completion instructions, refer to Chapter 2 of the Airworthiness Inspector manual


YES

NO

NS

NA

PERSONNEL RECORDS

4.1

Is there sufficient number of personnel to conduct all of the required


maintenance, scheduling, elementary work, servicing?

4.2

Are personnel records, kept as described in the manual, maintained?

4.3

Are are records in use described in the organizations manual?

4.4

Does the certificate holder keep records of training provided for two
years since the last entry?

4.5

Are there examples of training records or certificates provided to the


individual that has undergone training?

4.6

Is a record provided to the person who has received the authorization?

4.7

Is there a list of personnel indicating their qualifications and authorizations?

4.8

Does the manual specify other documents separate from it, for
which the recording of authorizations are to be kept?

4.9

Do the personnel records contain qualifications for management


assigned personnel?

4.10

Is any management functions sub delegated?

4.11

If so, is there a record of the individuals qualifications available?

4.12

Do the records contain the minimum contents prescribed by the


CAAV and the MOPM?

INSPECTOR
SIGNATURE

ORG REP
SIGNATURE

End of Appendix 6-B

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Chapter 7
AMO Training Programs
This chapter provides guidance for the evaluation
and inspection of the maintenance organizations
training arrangments, including
Training program evaluation and approval
process
Contents of the employee training record

APPLICABLE ACTION NUMBERS


3230K Evaluate AMO Training Program
4230K Evaluate AMO Training Program
3650L Inspect AMO Training
4650L Inspect AMO Training
3606A Inspect Maintenance Training-in-Progress
4606A Inspect Avionics Training-in-Progress

Training-in-progress inspections

7.1

GENERAL POLICY
A. The maintenance organization should ensure that all maintenance personnel receive initial and
continuation training appropriate to their assigned tasks and responsibilities.
Air transport is an industry which, more than most, has to adapt to technology in a constant state of
evolution.
Training provided to personnel engaged in aircraft maintenance needs to mirror this state of change.

B. The AMO must include provisions for initial, continuation and refresher training of its personnel
during assessment for approval by the CAAV.
The training needs of mechanics, quality control and quality assurance personnel, supervisors,
planners and technical records personnel as well as of those persons signing a maintenance release
must be addressed..

C. This training should not be limited to providing knowledge of the products which are maintained
by the organization.
There is a need to ensure that all personnel are given training on the company procedures associated
with the approval.
Where the organization utilizes specialized techniques such as non-destructive inspection or novel
methods of repair, appropriate training should be provided.

D. The training program should also include


training in knowledge and skills related to
human performance, including coordination
with other maintenance personnel and flight
crew.

7.2

Human Factors aspects are recognized to be an


essential element in any aviation activity.

TRAINING RELATED DEFINITIONS


The following definitions are used exclusively in this chapter
1) Course. A course is a set number of lectures, materials, or number of hours of study in a
particular subject.
For example, a course under the initial course of study for managers and supervisors may be AMO
Manual (MOPM), Policies, and Procedures.

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2) Course of Study. A course of study, or curriculum, is a series of related separate courses in a


subject area, such as the initial course of study for managers and supervisors.
3) Course Outline. A course outline, or syllabus, outlines the entire subject presented in an
individual course.
The course outline for the AMO Manual, Policies, and Procedures course may include the
modules devoted to (1) The AMO Manual; (2) AMO Policies; and (3) AMO Procedures, with each
module further broken down into subjects.
For example, the Procedure module could include Recordkeeping Procedures, Timekeeping
Procedures, and Facility Security Procedures.

4) Course Module. A course module is a set, logical, self-contained unit of a course.


A course module may be given in one training session or lecture or spread over more sessions.
Modules of the AMO Manual, Policies, and Procedures course may be (1) The AMO Manual; (2) AMO
Policies; and (3) AMO Procedures.

5) Courseware. Instructional material developed


for each curriculum: Lesson plans, instructor
guides, computer software programs,
audiovisual programs, workbooks, aircraft or
article technical manuals, and handouts.

Courseware must accurately reflect curriculum


requirements, be effectively organized, and properly integrated with instructional delivery methods.

6) Employee Training Record. The training record is the employee file in which all training is
documented and retained for CAAV review for a minimum of 2 years.
7) Indoctrination. Part of the initial training for all incoming personnel on general procedures that
are unique to the AMOs operation, maintenance and inspection systems, and regulatory
compliance requirements. Indoctrination or orientation establishes a common core of knowledge
among employees.
8) Initial Training. Establishes new employee technical skill level and is adjustable based on an
assessment of their training, experience, and relevant certificates held.
When changes to AMO ratings; new tools and equipment; materials; and new methods, techniques,
and practices are introduced to current employees as continuation training, the initial training
requirements for new employees should be updated.
Existing employees should be provided abbreviated initial training on the new information.

9) Instructor. An individual competent in the training methods, techniques, and practices; and familiar
with the subject being taught.
10) Continuation Training. Repetitive training at specific intervals to refresh employee knowledge of
AMO policies, programs, and regulatory requirements.
Changes to AMO ratings; new tools and equipment; materials; and new methods, techniques, and
practices may be imparted to existing employees through continuation training.

11) Task. A piece of work to be done; an individual task that is Part of the maintenance, preventive
maintenance, and modifications required to return an article to service under the privileges of
the AMO certificate and rating as assigned by appropriate management or supervisory personnel.
12) Task Levels. The areas defined in an articles technical data that comprise the division between
maintenance, preventive maintenance, modifications, inspections, overhauls and other
definitions, provide a clear indication of when a set of tasks is different from another set of tasks.
13) Testing and Checking. Methods for evaluating employees as they demonstrate a required level
of knowledge in a subject, and when appropriate, apply the knowledge and skills learned in
instructional situations to practical situations.

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14) Training Categories. Training categories identify a distinct course of study such as indoctrination,
initial, continuation, remedial, and specialization training.
15) Training Hours. The total amount of time necessary to complete the training required by a
curriculum segment. This must provide an opportunity for instruction, demonstration, practice,
and testing, as appropriate.
16) Training Methods. Training methods identify how the training will be conducted and include
formal classroom, computer-based, on-the-job, distance learning, and embedded training.
17) Training Program Characteristics. The training program characteristics are features of an
overall good training program or good training program element, such as a needs assessment and
program review.
18) Training Program Elements. An entire training program is made up of a number of different
elements, such as the recordkeeping system, the initial course of study for mangers and
supervisors, or the continuation course of study for inspectors.
19) Training Sources. Training sources identify who conducts the training.
Possible training sources are original equipment manufactures, Aircraft Maintenance Engineer schools,
operators and other AMOs, government agencies, and trade associations.

7.3

BASIC TRAINING PROGRAM FORMAT REQUIREMENTS


A. The purpose of the training program is for the
AMO
1) To comply with the regulatory requirements
of VAR Part 5.

APPLICABLE ACTION NUMBERS


3230K Evaluate AMO Training Program
4230K Evaluate AMO Training Program

2) To provide the training necessary for employees to perform their job functions efficiently, safely, and
correctly; and
3) To familiarize employees with the AMOs manual, quality systems, and procedures.

7.3.1

MAINTENANCE TRAINING PROGRAM MANUAL


A. The MOPM (or Maintenance Training Manual) must include procedures required by the regulations for
revising the training program.
B. It must also include procedures for submitting those revisions to the CAAV (CAAV) for approval.

7.3.2

LOCATIONS OUTSIDE THE VIETNAM


A. AMOs located outside the Vietnam should submit the AMO training program in English.

7.3.3

PROCEDURES
A. The procedures should address how often the program will be reviewed to determine if it is current
and adequate for the type of maintenance being performed at the facility.
B. Because advancements in technology can cause aviation maintenance to change rapidly, a
periodic review of training needs is appropriate.
C. The procedures should include who will be responsible for planning continuation training, and any
new training that may be necessary.
D. AMOs that have established a management review program should include the training program for
review during that meeting.

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7.3.4

CIVIL AVIATION AUTHORITY

TRAINING PROGRAM REVIEW


A. The ASI must review the initial or revised procedures in the certificate holder or applicants program
submission.
Each facility is unique and may require additional procedures to confirm regulatory requirements and the
needs of the AMO.

B. Procedures may address the following


1) Who in the AMO is responsible for submitting the initial training program and subsequent revisions
to the CAAV?
2) When will the revisions be submitted?
3) How will the revision be approved (include the company approval as well as CAAV)?
4) How often will the AMO review training program currency and completeness?
5) Who in the AMO will perform this review?
6) How will the AMO record and implement revisions?
7) How will the revised text be identified and program materials updated?

7.4
7.4.1

PREPARATION
INSPECTOR RESPONSIBILITIES
A. Each ASI will need to become familiar with the operation of the AMO prior to reviewing and approving
a AMOs training program submission.
B. This is primarily due to the diversity in the certificate holders size (physical and numbers of
employees), ratings, capabilities, contract activities, and personnel experience and skill levels.
C. The ASI should consider all of these to determine if the certificate holders training program meets
the regulatory requirements in this chapter.

7.4.2

AMO HOLDER RESPONSIBILITIES


A. The certificate holder is responsible to ensure that the training program continuously reflects the
AMOs capabilities and work its employees perform. Changes to any of the AMOs capabilities may
constitute the need to revise the training program. Some of these capabilities include
1) Certificate ratings, privileges, and limitations;
2) Maintenance functions performed;
3) Personnel, position, ability, experience, and skill level;
4) Tools, equipment, and materials;
5) Procedures, methods, techniques, and practices;
6) Contractual arrangements with an airline or operator;
7) Contracting maintenance services;
8) Regulatory requirements; and
9) Certificate holders MOPM and quality system requirements.

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7.5
7.5.1

AMO ADMINISTRATION AND


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PRIMARY TYPES OF TRAINING


MINIMUM TRAINING CURRICULUMS
All approved maintenance organizations training program manual will have, for the type and specific
complexity of maintenance performed, at least one each of the following curriculum
1) New-hire orientation;
2) Company procedures indoctrination
training;

The training elements in each of these curriculums will be specific to the maintenance, components, tools and equipments used by the
particular AMO.

3) Initial training;
4) Continuation training;
5) Specialized training; and
6) Remedial training.

7.5.2

INDOCTRINATION
A. Indoctrination training should consist of the AMOs specific operations and procedures.
B. The AMO should determine the level of indoctrination training required for each job assignment,
through its training needs assessment process.
C. The following subjects should be addressed in the training program, regardless of the AMOs size or
ratings
1) VAR requirements, particularly those associated
with the AMO maintenance functions and
authority as reflected on the certificate and
operations specifications.

This is core training for all AMO personnel.


The scope and depth of indoctrination training may vary
based on the individuals assigned position.
Indoctrination training should be similar for all
employees to establish a standard core of knowledge.

2) Company manuals, policies, procedures, and


practices, including quality control processes,
particularly those associated with ensuring compliance with maintenance (including inspection),
preventive maintenance, and modification procedures established to show compliance with VAR
VAR Part 5.
3) Training in maintenance human factors is an essential part of an CAAV-approved training
program. The AMOs submitted training program and any revision thereto must include human
factors elements. The CAAV will not prescribe what human factors elements to include, but
those elements should focus on aviation maintenance, and safety related issues.
4) Computer systems and software, as applicable to the AMOs maintenance (including inspection),
preventive maintenance, and modification systems and procedures.
5) Facility security.
D. The AMO should schedule this phase of training within a reasonable time after hire to ensure the
employee understands the AMOs operations.

7.5.3

INITIAL TRAINING
A. This training should consist of all the technical subject areas and be consistent with the specific
employees position and assigned job activities.
1) The AMOs technical training areas of study may be separate and distinct from indoctrination
training and may apply to different categories of employees within a given job position.

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2) Technical training requirements should focus on providing employees with the appropriate skill
or task training required to properly perform job position assignments.
3) The AMO should have procedures to determine the applicable scope and depth of initial and/or
continuation training based on each job assignment and each employees experience and
competency established by the needs assessment.
4) The needs assessment is the basis for determining an individuals initial and continuation
training requirements.
B. When developing the initial or continuation training courses, the AMO may want to take into account
that individuals will not have the same training, experience, and skill level. For example, when
developing its initial course of study for technicians, a AMO may want to have separate programs
for
1) Individuals that hold an A&P certificate;
2) Individuals with experience performing similar tasks at another AMO;
3) Individuals with applicable military aviation maintenance experience; and
4) Individuals with no skills, experience, or knowledge.

7.5.4

SEPARATE INITIAL TRAINING


A. An AMO may have more than one training course for its employees. For example, initial training for
new AMO technicians with limited AMO experience may include the following in-depth courses
1) Maintenance Human Factors
2) Tools
3) Test equipment, including ground support equipment
4) Materials and parts
5) Records and recordkeeping
6) Specific Hazardous Material, OSHA and EPA requirements
7) Shop safety
8) Specific job or task training
B. In contrast, initial training for new technicians with prior AMO experience may include a general
review of the same subjects as necessary and detailed technical training only for specific job or task
assignments.
In all events, an individuals specific training requirements should be established based on a needs
assessment.
Additionally, whenever new information is introduced on the topics, the initial training requirements for new
employees should be updated and existing employees should be provided abbreviated initial training on the
new information.
Alternatively, the additional information may be imparted to existing employees through the continuation
training requirements.

C. The time devoted to initial or continuation training can vary depending on the level of experience of
the individual and skills and knowledge associated with the assigned job or tasks.
However, the AMO should establish a basic minimum standard for all employees in a specific job
position, whether through training given by the AMO or knowledge acquired through other sources.

For example, the AMO could establish minimum time requirements for training or alternatively could assess
the need for training based upon skills and knowledge testing.

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In either event, the AMO training program must ensure that the employee is capable of properly performing
assigned tasks.
Some of the subjects listed above do not fall under the direct purview of the CAAV.

7.5.5

CONTINUATION TRAINING
A. This training program element should provide procedures for continuation training of subject areas
relevant to a AMO employees job function in order for them to remain current within their assigned
job activities.
Continuation maintenance training commonly includes training known as refresher training, to ensure
that a AMO employee remains capable of properly performing the assigned job.
The AMOs program should define the terms initial and continuation and identify the areas of study and/or
courses/lessons that will be provided under the two definitions.
The definitions should be associated with either the person receiving the training or the training course or
information being offered.
The AMO should have procedures to determine the continuation training requirements for each job
assignment or employee.
Not all job assignments will have the same continuation training requirements.
The AMO may also wish to provide a procedure for determining when training is not required to ensure an
employee is capable of performing assigned tasks.

B. The AMO should have procedures to determine the type and frequency of continuation training for
each of its employees through the needs assessment. T
C. The AMO may also need procedures to develop one-time continuation training courses when there
are changes to the subjects of initial training.
D. Alternatively, or in addition, the AMO may define standard continuation training that will be
provided on a regular basis to address any subject provided in initial training.
E.

If the AMO provides new information on initial training requirements to existing employees under the
continuation training system, its program procedures should set forth two different types of
continuation training
1) That which updates the initial training requirements on a one-time basis, and
2) That conducted on a regular basis (refresher training).

7.5.6

SPECIALIZED TRAINING
A. The AMO should have procedures to identify job assignments that will require special skills or have
complexity that would require the development of specialized training to ensure capabilities.
B. Some areas that may require specialized training
include
Flame and/or plasma spray operations,

The AMOs training program should address the


initial and continuation training requirements for
any task or assignment that it determines
requires specialized training.

Special inspection or test techniques,


Special machining operations,
Complex welding operations,
Aircraft inspection techniques, or
Complex assembly operations.

C. Individuals who attend specialized training and develop competency in a particular job assignment
or task should be able to convey the information to other employees.
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REMEDIAL TRAINING
A. An AMO should have procedures to determine an
individuals training requirements, including when
an employee will be provided remedial training.
B.

Remedial training may be included in the AMOs


definitions of initial or continuation training
requirements.

The AMO should use remedial training


procedures to rectify an employees demonstrated lack of knowledge or skill by providing
information as soon as possible. I

C. n some instances, remedial training may consist of an appropriately knowledgeable person reviewing
procedures with an employee through on-the-job training (OJT).
D. Remedial training should be designed to fix an immediate knowledge or skill deficiency and may
focus on one individual.
E. Successful remedial training should show an individual what happened, why it happened, and how to
prevent it from happening again in a positive manner.

7.6

TRAINING RECORDS
A. Training program documentation should be
tailored to the AMOs size and job assignments,
complexity of capabilities and maintenance
functions.

APPLICABLE ACTION NUMBERS


3234B Eval AMO Proposed Training Records
4234B Eval AMO Proposed Training Records

B. The AMO must document, in a format acceptable to the CAAV, the individual employee training
records set forth in the manual approved by the CAAV .

7.6.1

TRAINING RECORD FORMAT


A. The AMO may retain its training records
electronically or in hard copy. In either case, the
AMO should standardize the format and content for
the training records based on individual job
assignments.

The AMO is encouraged to have procedures to


regularly review all training records to ensure they
comply with the requirements set forth in the
training program manual.

B. The minimum contents of an employees qualification records should contain at least


1) The employees name and job position;
2) Training requirements as determined by the needs assessment, including requirements for
indoctrination, initial, and other training required by areas and course titles;
3) CAAV certificates applicable to the qualifications.
For example, supervisors, RII personnel and persons approving articles for return to service must
be licensed under VAR Part 7 (excluding those AMO personnel located outside the Vietnam);

4) Other certifications, diplomas, and degrees;


5) Authorizations and qualifications (if not covered by VAR Part 7 licenses);
6) Proof of training course completion, if determined applicable to capabilities; and
7) List of accomplished training, to include enough information to determine whether it is applicable to
the employees competency to perform assigned tasks
(a) Course title or description,
(b) Course objective,
(c) Date completed,
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(d) Test results,


(e) Total hours of training,
(f) Location of training,
(g) Name of instructor and/or instructor qualifications, and
(h) Signature of employee.
8) Other documentation relevant to determining competency to perform tasks associated with
assigned duties, such as past employment, knowledge, oral, and practical tests results, etc.
C. These records should be detailed in the training program and retained for a minimum of 2 years.

7.7

MEASUREMENT OF COMPETENCY
A. The training program should have methods to identify current levels of competency and methods for
monitoring and managing competency.
B. Organizations should have a mechanism for determining competency of employees for all areas
(both technical and non-technical) in which an employee is required to be competent.
C. Assessing competency in the practical application of tasks and maintenance functions is difficult;
therefore, it may be appropriate for the AMO to apply a selection of the following mechanisms.
1) Examination. A good mechanism for assessing knowledge, but not necessarily competency of
applying knowledge in a work context.
2) Interview.
3) Qualifications. A good source of evidence, if the training course or other method used to gain the
qualification are directly relevant and practical for application in the workplace.
4) Completion of Training Courses. A good way of providing information, but not sufficient to prove
individual competency in applying the knowledge gained from the course.
5) On-the-Job Assessment. A good way of determining competency, however its effectiveness relies
heavily on the competence of the supervisor or manager conducting the assessment as it relies on
their subjective judgment.
6) Human Factors Assessments. Employees are asked what they would take into account when
doing particular tasks.
D. It is important, therefore, that employees are trained in how to assess competency, and that
independent checks are carried out of the competency assessment process. Documentation of
the assessment process should include
1) Establish objective levels of competency (apprentice, journeymen, inspector, RII inspector,
instructor, supervisor, etc.).
2) Establish levels of competency based on the specific job function of the employee and identify the
task level to which that employee is able to perform.
3) Monitor and manage competency through documentation of the performance level of the
employee
(a) Ensuring that the employee understands the application of maintenance, preventive
maintenance, or modifications and the AMOs performance issues appropriate to that
persons function in the organization
(b) Recording of the competency of the employee to consistently repeat the performance of a task
at an acceptable level

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(c) Audit of tasks performed


(d) Method for identifying and correcting deficiencies

7.8

ISSUES AFFECTING PROGRAM REQUIREMENTS


A. The following issues vary by AMO and may affect the construction of its training content.

7.8.1

ADDED REQUIREMENTS
A.

Maintenance performed for AOC holders or foreign persons operating a Vietnam-registered aircraft
adds requirements to the AMO training program, which must be documented.

B. AMO procedures should describe a plan for ensuring that training is conducted on the airlines
program for the maintenance functions to be contracted prior to the facility performing maintenance,
preventive maintenance, or modifications for the specific AOC holder.
C. Documentation and recording of the specific training is the responsibility of both the airline and the
AMO.
D. Documented training should show specifically that the maintenance organizations personnel were
trained in accordance with the airlines program and applicable section of its maintenance control
manual.

7.8.2

FOREIGN MAINTENANCE ORGANIZATIONS


A. The significant difference between domestic and foreign maintenance organization personnel is that
foreign AMO personnel are not issued a license under VAR Part 7.
B. Equivalent personnel positions must have the same level of training as specified for their domestic
counterparts. This training would include those subject areas as discussed in this chapter.

7.9

ELECTRONIC MEDIA
A. Maintenance organizations that elect to use electronic media (CD-ROM, Local Area Network (LAN)based, or Internet-based systems) must be allowed to use those systems without interference or
extra procedures.
B.

It is incumbent upon the maintenance organization to ensure it is equipped for the media it selects to
ensure delays or other hindrances do not occur.

C. To ensure a consistent approach to document and


manual submissions and revisions, the
requirement for signing the title page or revision
page will be replaced by transmittal documents.

Electronic signatures must be addressed in the


AMOs procedures and be found acceptable to the
CAAV.

Use of electronic transmissions, e.g., e-mail or fax responses, are an acceptable alternative to the cover
letter if the AMO is equipped to transmit and receive any necessary attachments.

7.10
7.10.1

EVALUATION & APPROVAL OF A TRAINING PROGRAM & REVISIONS


OVERVIEW OF THE PROCESS
A. Training program approval is predicated upon the AMOs ability to conform to the requirements
of VAR Part 5, which is based on a AMOs specific capabilities.

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B. Depending on the complexity of the AMOs request


and the availability of CAAV resources, the
approval process may be accomplished in only a
few days, or the process may last a few months.

Once the CAAV approves the AMO training program the AMO will begin to follow their approved
procedure.

The approval process applies to each AMO requesting approval of a new program or a revision to a
currently approved program.

C. Training programs submitted to the CAAV for approval and found to be in conflict with regulatory
requirements or inadequate, must be appropriately modified by the AMO in accordance with
established procedures of the AMO manual.

7.10.2

PROCEDURES FOR OBTAINING TRAINING PROGRAM APPROVAL


A. The procedures for obtaining the training program approval normally begin with a meeting between the
responsible training personnel of the AMO and the ASI to discuss the scope of the training, the
timing of the program document submittal, and other plans.
B. This meeting will be an opportunity for the AMO to ask questions about the CAAV process. Although
this meeting is not required, it will provide an opportunity for both sides to understand the
expectations of the other on a subject that is new to both.
C. For a new AMO, this initial meeting is also an opportunity for the CAAV to confirm the intent of a
new AMO with respect to
1) Ratings and other authorizations that will be sought;
2) Maintenance function that will be contracted;
3) Customers that include AOC holders;
4) Personnel current and required capabilities;
5) Tools, equipment, and facilities;
6) Overview of procedures and paperwork; and
7) Proposed training and training sources.

7.10.3

SUBMITTAL OF TRAINING PROGRAM


A. The formal submittal of the training program should be made on or before the 30 days prior to the
planned start of training
B. The maintenance organization may submit its program document as electronic media; however, it
is the AMOs responsibility to ensure the CAAV is equipped to review and store the submitted
material in the media the maintenance organization selects.
Material submitted electronically must be accompanied by a transmittal document. The CAAV approval
will be similarly indicated by a transmittal document.
These transmittal documents may be in the form of an e-mail, fax, or letter and may include the use of
electronic signatures.

C. The maintenance organizations manual must contain a description of the procedure it will use to
submit changes to the training program.
Similar procedures should be used to submit the program for initial approval.

D. The AMOs accountable manager or someone acting on his or her behalf must sign the submittal.

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7.11

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CAAV APPROVAL CONSIDERATIONS

7.11.1

GENERAL
A. The content of the initial training program submittal may be reviewed using the criteria and standards of
the published training program guidance .
B. The CAAV will review the proposed training program or revision and either approve it or prepare an
explanation of why the program or revision cannot be approved as submitted.
C. A letter or electronic transmittal of the CAAV approval or rejection will be sent to the individual who has
signed the submittal for the AMO.
D. If the CAAV is not able to approve a submittal, the AMO should propose revisions that address CAAVs
concerns. When the AMO has adequately addressed all the concerns expressed in the CAAV
rejection, the program will be approved.
E. A change to the approved training program can be initiated by the AMO or by input from the ASI.
Any revision to the program document should be provided to the inspector for approval.
F.

The training program will be changing constantly, as it should, to accommodate changes to the
AMOs work and/or customers, and in response to the ongoing assessment processes of the AMO and
of the CAAV.

G. Correction of typographical errors and changes to phone numbers, would be examples of changes
not needing CAAV approval. However, the AMO should send a corrected copy to the CAAV.

7.11.2

QUALITY OF TRAINING
A. he CAAV does not determine instructor qualifications. However, if the CAAV through its
surveillance process?finds that the qualifications or skills of an instructor are deficient, the AMO
must correct any deficiency associated with that instructor and with its instructor selection and
quality monitoring process.
B. The training program must have a process measurement element that verifies the effectiveness
of the training.
C. This provides a continuous improvement characteristic to the training program. Therefore, one of
the key areas the CAAV will monitor is the feedback process that takes evaluation results and
adjusts training needs.
D. The CAAV might also independently assess training to evaluate the effectiveness, particularly
where safety risk is relatively high.

7.11.3

CORRECTION OF TRAINING PROGRAM DEFICIENCIES


A. Training standards are not set by the CAAV but the ASI should confirm that the AMO has an adequate
training program to meet regulatory requirements.
B. If, in the course of normal surveillance or in the investigation of an unplanned and undesirable event,
an CAAV inspector discovers inadequate training, he or she will notify the AMO that a training
deficiency has been identified and that a change must be made.
C. The CAAV will give the AMO a reasonable time to make the change as long as steps are taken by
the AMO to ensure no unairworthy product results from the training deficiency.
D. When the AMO develops a modification to the training program to correct the deficiency, the CAAV
will review it and either approve the revised program or indicate that additional changes are still
required.

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E. 11) If the program or program revision is submitted in an electronic format, the CAAV inspector will
indicate approval or denial with an e-mail message or letter. If approval of the submittal is denied, the
CAAV e-mail message or letter will include an explanation of the denial.

7.12

TRAINING PROGRAM REVISION


The training program revision process may be initiated by either the AMO or the CAAV.

7.12.1

AMO INITIATED
The operator informs the CAAV that it is planning to establish a new training program element/component
or to change an existing program.

7.12.2

CAAV INITIATED
The CAAV informs an operator that revisions to its training program are required based on recently acquired
information relative to training techniques, aviation technology, aircraft maintenance history, or regulatory
changes.

7.12.3

APPROVAL OR REJECTION
A. The training program approval/rejection process may be initiated by the CAAV
B. When review of the training program or revision has shown compliance with the regulation and
the form and manner prescribed in this chapter, the ASI may issue a Letter of Approval.
C. The ASI only determines that the elements of a AMO training program are met, which ensure the
AMO trains to meet its capabilities and customer specific requirements.
D. The AMO has the continuing responsibility to ensure that hat its training program sources, methods,
curriculum, and courses meet the requirements of the rule and its customers.

7.12.4

EVALUATING TRAINING PROGRAM


A. An inspector tool in determining that a AMOs training program contains the elements necessary
to sustain the AMO capabilities.
B. At a AMO to which more than one discipline of inspector is assigned, inspectors should work
together during the review and approval of the training program.
C. Even a AMO assigned only one ASI may benefit from a peer review using their expertise to ensure
that programs are in accordance with the regulations.
D. The evaluation begins when the AMO starts training under the approved training program.
E. The ASI should monitor training conducted under program approval. Whenever possible, the first
session of training conducted should be monitored by the ASI or a qualified inspector.
F.

An CAAV inspector does not need to observe every training session.

G. A sufficient sampling of the training sessions, however, should be observed as a basis for a
realistic evaluation.
H. During the evaluation, the AMO must demonstrate the ability to effectively train their personnel.
I.

Any deficiency identified during the evaluation of the training program must be discussed with the
AMO.

J.

The AMO will make the necessary changes to correct the deficiency to its training program.

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7.12.5

CIVIL AVIATION AUTHORITY

ELEMENTS AVAILABLE FOR EVALUATING TRAINING


A. The ASI must develop a plan for systematically evaluating training given under the approved training
program.
B. There are five elements, which can be evaluated
when assessing the overall effectiveness of
training programs. These five elements are

These elements are interrelated; however, each


can be separately evaluated.

1) Course outlines,
2) Courseware,
3) Training methods and training environment,
4) Testing and checking, and
5) Surveillance and investigation of AMO activities.
C. Before evaluating a training program, an inspector must become familiar with the contents of the training
courses to be evaluated.
D. Direct examination of courseware includes reviewing materials such as
Lesson plans, workbooks, etc.
Courseware is usually the training program
element which is most adaptable to revision or
refinement.

Inspectors must review at least a sampling of the


courseware.

E. Direct observation of instructional delivery includes surveillance of training methods, such as


iinstructor lectures;
CBT presentations; and
OJT instruction.

F.

Effective learning can only occur when an instructor is organized, prepared, and properly uses the
courseware and various training aids.
The inspector must determine if the instructional delivery is consistent with the courseware.
For example, the inspector should note if the instructor teaches the topics specified in the lesson plan.

G. Training aids and devices should function as intended during the instructional delivery.

In addition, during training, the inspector should be sensitive to the type of questions being asked by
employees and should identify the reasons for any excessive repetition.

These conditions may indicate ineffective training method or courseware.

H. The inspector must also determine if the instructional environment is conducive to learning.
Distractions which adversely affect delivery, such as

7.13

excessive temperatures, extraneous noises, poor lighting, and cramped classrooms or workspaces, are
deficiencies because they interfere with learning.

TRAINING PROGRAMS
A. The aviation safety inspector (ASI) should keep in mind that a AMO located outside the Vietnam is not
required to have any personnel who hold a license issued under VAR Part 7.
However, the standards of competency for individuals approving an article for return to service are otherwise
the same.

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Also, the technical knowledge, skills, and abilities of those performing maintenance should be no different
for mechanics, inspectors, supervisors, or managers, regardless of where the AMO is located.

Consequently, the CAAV expects these AMOs to have training programs that include the same basic
elements as for AMOs located within the Vietnam, including a comprehensive needs assessment.

B. When conducting the training needs assessment, the AMO should place special emphasis on an
individuals ability to read, write, and understand the English language.

All documents and records related to employee training must be in English.

C. AMOs located outside Vietnam that hold an approval under the European Aviation Safety Agency or
other form of approval or certificate from a civil aviation authority, may already have a formal training
program that satisfies the requirements of VAR Part 5.
D. In some cases, these programs might exceed Vietnam requirements.

7.13.1

REVIEW APPROVED TRAINING PROGRAM


The inspector should confirm that
1) The AMO is operating in accordance with a current training program approved by the CAAV.
2) Both initial and continuation training is conducted in accordance with the approved training program.
3) Each employee assigned to perform maintenance, preventive maintenance, alternations, and
inspections has received training, which is documented in the AMOs training records,
commensurate to the employees job description.
4) The training is recorded and those records are maintained in accordance with the MOPM (or
separate TPM) procedures. These training records must be retained for a minimum of 2 years.
5) Any revisions to the AMOs approved training program are submitted in accordance with MOPM
procedures.
NOTE: The training program itself may be documented in the MOPM or it may be a separate document. An
advantage to having the training program in a separate document is that it provides separation for the
training program approval requirement from the nonapproved MOPM/QCMs.
6) The AMO has procedures to provide and thoroughly document on-the-job training.
7) The AMO has not revised its training program without sending the revision to the CAAV and ASI for
approval.
Who is responsible, by title, for the training program and the retention of the records.

7.13.2

DETERMINE WHETHER THE TRAINING CURRICULUM IS APPROPRIATE


A. The ASI does not approve the curriculum for the AMO. However the ASI should confirm the curriculum
is appropriate for the employee job and work assignment.
B. If the ASI discovers problems with personnel qualification in any shop area, then that ASI should
evaluate the curriculum for that shop area.

7.13.3

CHECK INSTRUCTOR QUALIFICATIONS


A. The ASI should confirm if the AMO has a procedure for evaluating and qualifying instructors.
B. The instructors qualifications should conform to the following guidelines
1) Appropriate background for subject area (such as formal training and/or experience)
2) Teaching abilitythe ability to impart information on the particular subject matter
End of Chapter - Appendices Follow

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APPENDIX 7-A
Job Aid MO-005: AMO Training
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PEL#

Mgmt Rep

PEL#

For completion instructions, refer to Chapter 2 of the Airworthiness Inspector manual

YES

NO

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NA

QUALIFICATION & TRAINING

5.1

Does the organization follow the training policy described in their


MOPM?

5.2

Is the person responsible for the training program knowledgeable


about his or her duties and responsibilities?

5.3

Does the training program cover initial, continuing, special or addotional training?

5.4

Does the initial training program cover training in regulations, standards and the approved manual?

5.5

Have all employees with technical responsibilities received the


required initial training, as specified in MOPM?

5.6

Is continuing (update) training conducted on an initial 3 year cycle,


unless modified by the results of a quality assurance program?

5.7

Are employees completing continuing training on their required


cycles?

5.8

Does the organization have a process to determine or identify what


additional or special training is and when it is required?

5.9

Are there examples of additional or special training being carried


out?

5.10

Is there an accurate and current record-keeping system tracking all


training as described in the manual?

5.11

Does the personnel record contain training documentation necessary


to support the individuals' present duties and responsibilities?

5.12

Are non-CAAV approved aircraft training courses controlled to


ensure the quality?

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5.13

Is there a training program for specialists (for example: shop personnel, (NDT personnel, supervisors) and is it followed as described
in the manual?

5.14

Does the training provided assure that all staff with technical
responsibilities are competent in the areas for which they are
responsible?

5.15

If the organization holds an approval to conduct aircraft type


courses, were they complying with CAAV-approvals?

5.16

Do the qualification and training records contain the minimum contents prescribed by the MOPM?

5.17

Does the maintenance organization have a CAAV-approved employee


training program?

5.18

Does the maintenance organization have a procedure to revise the training program?

5.19

Does the approved maintenance organization maintain records of


the training?

5.20

Do those records reflect proficiency of all employees with regards to


personnel assigned to perform maintenance, preventive maintenance,
or modifications, and inspection functions?

5.21

Are the records maintained for two years after employee is discharged?

5.22

Does the approved maintenance organization have records that support


the experience or training requirements of non-licensed persons?

5.23

Does the training assure all supervisory and inspection personnel


thoroughly understand the limitations of the certificate and operations specifications?

5.24

Does the training assure the inspection personnel are thoroughly


familiar with the applicable regulations in VAR Part 5 and the inspection methods, techniques, practices, aid, and equipment and tools
used to determine the airworthiness of the article on which maintenance was performed?

5.25

If the maintenance organization is performing maintenance for AOC


holders, does the training program address all of the requirements of
each air operator?

End of Appendix 7-A

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APPENDIX 7-B
Job Aid MO-006: AMO Training in Progress Inspection
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PIC #

Mgmt Rep

Other PEL#

For completion instructions, refer to Chapter 2 of this manual.


YES

YES

YES

YES

NO

NO

NO

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NS

NS

NS

NA

NA

NA

NA

ADMINISTRATION

6.1

Adequate accommodation and facilities?

6.2

Adequate supervisory support staff available?

6.3

Adequate administrative support staff available?

6.4

Training schedules coordinated with operational needs?

PRODUCTION FACILITIES

7.1

Printing capability?

7.2

Presentation development capability?

7.3

Video editing capability?

7.4

Electronic versions of training documents and handouts?

7.5

Computers available to training and checking personnel?

TRAINING PROGRAM & CURRICULUMS

8.1

Current revision (compare to CAA approved copy)?

8.2

Current list of effective pages (compare to CAA approved copy)?

8.3

Manual properly updated?

8.4

Pertinent portions of manual provided to instructor, checking and


administration staff?

8.5

Tracking of amendments provided to personnel?

CURRICULUM & LESSON PLANS

9.1

Curriculum(s) in use available?

9.2

Instreuctor Guides & Lesson plan(s) in use available?

9.3

Curriculum(s) and lesson plan(s) current to relevant regulation and


industry practices?

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YES

YES

YES

YES

YES

YES

NO

NO

NO

NO

NO

NO

NS

NS

NS

NS

NS

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NA

NA

NA

NA

NA

NA

10

INSTRUCTOR(S)

10.1

Adequate staffing/availability for range of training?

10.2

Knowledge of subjects and procedures?

10.3

Instruction techniques and delivery?

10.4

Adherence to lesson plan outline, content and timing?

10.5

Instructor(s) have proper qualifications?

10.6

Instructor(s) records up-to-date?

11

TESTING PEATOONNEL

11.1

Was adequate staffing/availability for range of testing?

11.2

Were testing personnel records are available?

11.3

Were testing, personnel records up-to-date?

12

TESTING, EVALUATION & DEBRIEFINGS

12.1

Were the acceptable completion standards available?

12.2

Did the student receive a written examination for each knowledge


objective?

12.2

Did the student receive written document detailing performance in


each element?

13

COMPLETION OF RECORDS

13.1

Instructor or checking person made completion entries in students


record(s)

13.2

Entries were accurate with respect to the testing and debriefing of


the students performance?

13.3

Each student issued a graduation certificate for the specific curriculum completed?

13.4

Each student issued a training objectives form to accompany the


graduation certificate for the specific curriculum completed?

14

CLASSROOMS & TRAINING AREAS

14.1

Number and size adequate for the purpose used?

14.2

Student seating and writing accommodation?

14.3

Student visibility accommodation?

14.4

Student hearing accommodation?

14.5

Minimal visual and aural distractions?

14.6

Reasonable heating/cooling/ventilation/lighting?

15

DOCUMENTS & HANDOUTS


[as specified in training program, curriculum or lesson
plan evaluated]

15.1

Adequate copies of maintenance manusl for class size?

15.2

Adequate copies of appropriate technical data for class size?

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NO

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15.3

Training source materials and examples adequate and appropriate


for the training objectives?

15.4

Training exercises and example realistic?

15.5

Tests and other evaluation tools realistic and appropriate for the curriculum segments and training objectives?

15.6

Completion tests administered for each curriculum segment?

16

EQUIPMENT
[as specified in T&C manual, curriculum or lesson
plan evaluated]

16.1

White boards, markers and erasers?

16.2

Flight deck pictorial layout available?

16.3

Overhead projector?

16.4

Computer projector?

16.5

Video player?

16.6

Computers?

16.7

Special Equipment Mock-ups acceptable?

INSPECTOR
SIGNATURE

ORG REP
SIGNATURE

End of Appendix 7-B

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APPENDIX 7-C
Acceptable Methods of Training
7.13.4

GENERAL
A. There are many methods available to formulate a good training programs as well as actually
delivering training.
B. Certain training methods are more appropriate than others are for teaching specific types of skill and
knowledge. Training methods can be classified into several categories.

7.13.5

CLASSROOM TRAINING
A. A training course is normally defined as one that is usually taught by a manufacturer or other
aviation agency/operator, or the maintenance organization if instructor-training personnel are
trained and subject matter experienced.
A valuable asset of this type of training is the interaction between course instructors and attendees, where
views and experiences are compared.
The importance of a skilled and knowledgeable trainer cannot be overestimated.

B. Much of the emphasis of training should be upon reinforcing or changing attitudes and imparting
knowledge; and a good trainer/facilitator is the key.
C. This is normally considered in classroom/formal training where the quality of the training relies heavily
on the instructors ability and the adequacy of the classroom environment.

7.13.6

ON-THE-JOB TRAINING (OJT)


A. OJT encompasses the basic principle of learning while accomplishing a task or work. Normally this
consists of demonstrations and supervised practice with equipment and procedures in the actual work
environment.
B. OJT can be an effective method of imparting skills to employees, and may be most effective when
1) Employees already have prerequisite knowledge and skills and do not need long explanation and
discussions;
2) The target skills can only be taught, or are best learned, in an actual work environment;
3) The work environment cannot be reasonably simulated or replicated in the classroom or with
computer-based training (CBT);
4) The training task closely matches tasks found in the AMO, such as accomplishing steps in a
procedure;
5) Training program documents appropriate curriculum and syllabuses; and
6) Training program documents a method to ensure that OJT instruction personnel are qualified and
experienced in giving training.

7.13.7

COMPUTER-BASED TRAINING
A. CBT, or Internet-based training, is a generic term
that refers to any electronically-based technology
that is used to create and deliver training.

Use of CBT prior to attending a course/class can


help ensure that an employee masters the basic
prerequisite knowledge needed for the class.

Most products include built-in testing, participant


management, administration, and recordkeeping functions.

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There are wide varieties of hardware and software applications that can be used or tailored to a particular
AMOs needs.

B. The primary advantages are an interactive method of training, intelligent tutoring systems, and the
capacity of material to be adapted to individual employee needs with testing that conforms to a level
of knowledge, skill, and pace.
It permits the material presentation and testing to be standardized.
It is also good for enhancing skills that require practice, such as troubleshooting and computational skills, or
memorization of facts such as specifications.

C. AMOs should assess whether or not the particular category of a training program can be completed by
use of CBT alone or by adding practical skill level training and testing to ensure the appropriate
competency level of the employee.

7.13.8

DISTANCE LEARNING
A. This refers to any training in which the instructor
and the employees are not in the same
geographical location.
B. There are many different forms of distance
learning, such as

The advantage to this type of training is that material,


employee testing, and assessment are more likely to be
standardized .
It can also be tailored to a AMOs needs and provide
information for required records.

Mail-based correspondence courses using written, videotaped, or even CBT materials;


Satellite and video conferencing or virtual classroom;
CBT one-way video or one-way video with two-way teleconferencing; and
Internet/Intranet can provide both live instruction and interactive courseware similar in manner to CBT.

C. Normally the employee watches a video, completes the corresponding work assignment, and the
materials are mailed back to the granting institution.

7.13.9

JUST-IN-TIME/EMBEDDED TRAINING
A. This permits users to learn specific job tasks just
before they need to accomplish it, or during the
accomplishment of the task itself.

This type of training may encompass


Interactive instruction or application and
Require observation by an instructor or supervisor..

This method of training is also called embedded


training because it can be incorporated into the equipment or software that is used to perform the job in
question.
Embedded training can also appear in software applications and operating systems as sophisticated
contextual help programs or tutorials.
The application itself becomes the instructor.

B. There is not usually a method to ensure that the


employee can perform the specified task to an
appropriate level.
C. Embedded training is most appropriate under the
following conditions

When using embedded training, the training program must also contain a method to ensure the
designated knowledge and skill level is obtained
by the employee.

Employees cannot be novices, and must have some knowledge of the topic or task;
The task to be learned is clearly identified in scope and conceptually simple;
The media and method in which training is embedded are part of the task or equipment to be learned; and
A clear record of the employee testing and assessment must be contained in the maintenance
organizations program.
End of Appendix 7-C
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APPENDIX 7-D
Acceptable Sources of Training

A maintenance organization may adopt several training sources in the development of its training program.
A combination of sources, methods, and the training needs assessment may be used by the maintenance
organization.
Each source also has advantages and disadvantages depending on the maintenance organizations
training needs and size.

7.13.10

ORIGINAL EQUIPMENT MANUFACTURER (OEM)


An OEM usually provides both formal and informal
types of courses depending on complexity of subject
matter.

Most OEM training is either a specific system, or


article or product of a system, and may not
cover the interactivity of system or article to a
product.

There are usually prerequisites that the employee


must meet prior to attending OEM courses, such as
previous mechanical/electronic background and experience.

OEMs that have training departments normally also have the records showing the qualifications of their
instructors. Instructor qualifications must be made available to the AMO prior to using the OEM services for
training.

7.13.11

APPROVED (AVIATION) TRAINING ORGANIZATIONS


A. Approved training organizations with maintenance-related curriculums can be a great source of
training for maintenance organizations.
These organizations have certified and qualified
instructors, approved curriculum, syllabus, and
course material, and necessary equipment to
provide hands-on skills training.

While this is an excellent source of training, AMOs


may need to supplement this training with their
own indoctrination, initial, and continuation
training along with article and/or product training to a specific level.

The AMOs training program should describe the


use of this type of source and have a method
(assessment) to determine what is most suitable for it and its personnel, when it plans to use an AMTS.

B. AMOs may choose to use ATOs, other AMOs, AOC holders, or other entities that already have
approved currriculums to provide all or some of their training under contract.
If this is the case, the AMO is still responsible for the administrative requirements, such as administration
and currency of the training program, qualifications of instructors, ensuring the competency of personnel,
maintaining training records, and coordinating approval and changes to its program with the CAAV, etc.

7.13.12

OTHER AMOS
A.

Large AMOs, especially those that are EASA-accepted or who perform work for an airline or
operator, may be an excellent source to provide training to smaller AMOs.
Smaller AMOs may contract with these facilities for technical training as it pertains to its ratings and
operations specifications or maintenance human factors training.
The utilization of this type of training may provide a cost savings to a smaller entity.

7.13.13

GOVERNMENTS
A. In many cases, government entities provide training courses on aviation industry and related industry
requirements: regulations, shop safety, maintenance human factors, etc.
When AMOs make this type of training a part of their program, they should ensure that the training meets the
needs and requirements of the AMOs capabilities.

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7.13.14

CIVIL AVIATION AUTHORITY

TRADE ASSOCIATIONS
Many trade associations provide a variety of training sources including seminars, product
demonstrations, videos, computer-based instructions, and equipment manufacturers, etc.

7.13.15

OTHER SOURCES
A. There are a variety of other training sources, which include, but are not limited to
Independent seminars,
Product demonstrations,
Computer-based instructions,
Videos, and
Equipment manufacturers.

B. All sources of information should be viewed as potential training sources.


C. The AMOs training program should have a method of incorporating training opportunities to ensure
each employee is capable of performing assigned tasks.
A combination or all of these methods and sources may be appropriate to any given AMO.
End of Appendix 7-D

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APPENDIX 7-E
Guidance for Conducting Needs Assessment
7.13.15.1

AMO Needs Assessment

A. The AMOs needs assessment procedures enable the AMO to identify its training requirements
based on job positions, duties, and tasks.
B. It also establishes an objective method for determining training standards, assessing the
competency of its employees, and establishing training programs for its employees to fill the gap
between position/skill/task requirements and employee capabilities.
C. Procedures associated with the AMOs needs assessment will be based on its

Size
Employee hiring
Aassignment and training practices
Customer bases, and
Complexity of its ratings and scope of operations.

D. The AMO should establish the basic standard that identifies the individual employees training needs
by assessing the job functions and duties against the employees specific skills and knowledge.
E. Training areas, programs, and lessons can then be assigned to fill any gaps between the skills and
knowledge needed for the job tasks and the employees capabilities.
F.

The program description should include the processes the AMO will use to identify its training
requirements for ensuring each individual assigned to perform maintenance (including inspection),
preventive maintenance, and modifications tasks is capable of performing the job properly.

G. The training needs assessment is a method of analyzing the job tasks associated with AMOs
maintenance and modification positions.
H. This entails identifying the knowledge and skills required to successfully fill positions that perform
maintenance and modification tasks. In addition, when determining its training requirements, a
AMO should analyze the nature of its business structure and its customers.
I.

When identifying overall training needs, the AMO will consider


1) The tasks associated with each position responsible for performing maintenance, preventive
maintenance, or modification;
2) The skills, experience, and training of new and current employees;
3) How assessments will be made of employees being assigned new tasks;
4) The return of an employee to tasks after an extended period;
5) The introduction of new regulations, procedures, equipment, or recordkeeping requirements; and
6) Change in the nature of basic AMO capability.

J.

The needs assessment reviews the AMOs training requirements in the context of its existing staffs
competency and tasks associated with specific work assignments.

K.

Based on the outcome of its training needs assessment, the AMO can develop and revise its areas
of study and/or courses.

L. The training needs assessment should identify the requirements for initial and continuation training.
M. Based on its needs assessment, the AMO will determine the type and extent of training needs for
the company and for individual employees.
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EMPLOYEE NEEDS ASSESSMENT


A. When technical employees capabilities have been assessed, employee specific training needs will be
identified.
B. When carrying out any assessment of an individuals capabilities, the AMOs process should be as
objective as possible and structured to produce consistent results.
C. The AMO should establish the standard skill level and qualifications for assigned tasks under the job
function or position, then establish objective methods for comparing an individuals competency to
those standards.
D.

It may be necessary for the AMO to use more than one method to adequately assess an individuals
competency. The AMO should also have procedures to accept prior experience, training, or
education to establish an individuals competency.

E. For example, a AMO may accept graduation certificates from a VAR Part 9 school and/or an
Airframe & Powerplant (A&P) certification as acceptable evidence of a basic knowledge and skill level in
a particular area.
F.

7.13.17

A AMO could also have procedures for accepting certificates from previous training by manufacturers,
associations, or military records.

NEEDS ASSESSMENT
A. The AMO should have procedures to ensure the following
1) The assessment is objective based and consistent;
2) The assessment is documented in the individuals training records;
3) The individual conducting the assessment is qualified to evaluate the results of the assessment;
and
4) The individual is capable of performing the tasks consistently at an acceptable level and assigning
necessary initial, continuation, or remedial training.
End of Appendix 7-E

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Chapter 8
AMO Facilities & Housing
This chapter provides guidance for the evaluations
and inspections of maintenance organizations
housing and facilities, including the
Overall facilities
Specialized workshops

APPLICABLE ACTION NUMBERS:


3230B Eval AMO Facility & Housing
4230B Eval AMO Facility & Housing
3650B Inspect AMO Facility & Housing
4650B Inspect AMO Facility & Housing

Storage facilities

8.1
8.1.1

EVALUATION CONSIDERATIONS
GENERAL
A. Facilities appropriate to the planned work should be available. These include access equipment
and, in particular, protection from adverse weather conditions.
B. Specialized workshops should be segregated to ensure that environmental or work area
contamination is unlikely to occur.
C. Because aircraft maintenance is document-intensive, adequate office facilities should be
available for personnel engaged in the management of quality, planning and technical records.
D. Storage facilities should be provided for parts, equipment, tools and material.
Storage conditions should be such that unauthorized access to serviceable parts is prevented and that
there is complete segregation of serviceable and unserviceable parts.
The facilities should provide security and prevent deterioration and damage to stored items.

8.1.2

HOUSING & FACILITIES


A. This evaluation is primarily a review of the AMO procedures manual chapter that includes a
1) Description of the housing and facilities,
and

3230B Eval AMO Facility & Housing


4230B Eval AMO Facility & Housing

2) Drawing showing the floor plan of the


facility.
B. The drawing and description should include the
1) Entrance(s), parking areas, and street locations,
2) Type of heating and lighting;
3) Equipment location
4) Shop areas; and
5) Electrical and compressed air outlets.
C. The description should include any facilities where any work that would have special
requirements such as
Spray painting
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Avionics
Instruments
Engine or airframe repair

8.2
8.2.1

INSPECTION CONSIDERATIONS
GENERAL
A. The approved maintenance organization must
provide the facilities to accommodate the
equipment, materials, and personnel necessary
to properly perform the maintenance, preventive
maintenance, modifications of articles or the
specialized services for which it is rated.
B. When inspecting the AMO, determine which items
apply based on the complexity of the facility and the
level of ratings.

If the AMO has an assigned principal maintenance


inspector (PMI) and a principal avionics inspector
(PAI), this inspection should be coordinated
between both inspectors.

3650B Inspect AMO Facility & Housing


4650B Inspect AMO Facility & Housing

C. The CAAV expectation is that


All areas, especially the shops, will be maintained in a clean and orderly manner.
The general housekeeping is adequate to ensure that there will be no contamination of the component parts and
subassemblies undergoing maintenance,

8.2.2

ADEQUACY OF ENVIRONMENTAL CONDITIONS


A. Ventilation, lighting, and control of temperature, humidity, and other climatic conditions must be
sufficient to ensure that personnel perform maintenance, preventive maintenance, or modifications to
the required standards.
B. In addition to reasonable heating, air conditioning and lighting requirements, the ASI should place
emphasis to determine that the
1) Instrument shop environmental conditions are in accordance with the manufacturers standards.
2) Composite lay-up and clean rooms are environmentally and operationally controlled in
accordance with the Original Equipment Manufacturer (OEM) or other approved repair process.
3) Storage areas include proper storage conditions (flammables, sealants, chemicals, tires, tooling,
etc).
4) Lighting is adequate for the type of process being performed in each area.
C. While physically inspecting the AMO, the ASI
should confirm that the facility diagram(s) and
description in the AMO manual are accurate.

This confirmation should include any facilities


used for spray painting, avionics, engine or airframe repair, or any other work that would have
special requirements.

D. Pay close attention to specific information detailed


in the manual, such as the type of heating,
lighting, equipment location, electrical, and compressed air outlets.

8.2.3

SEGREGATION & PROTECTION

OF

PARTS

A. The ASI should confirm that each workspace has areas for the proper segregation and protection of
parts and subassemblies during all phases of maintenance, preventive maintenance, or
modifications.
B. The following elements of parts segregation must be apparent throughout the facility
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1) The differences between serviceable and unserviceable components, parts, and materials must be
clearly distinguishable throughout each process.
This may be accomplished with suitable racks, hoists, trays, stands, and/or other means of segregation for
the storage and protection of all articles.

2) Environmentally hazardous or sensitive operations, such as avionics work, battery maintenance,


painting, cleaning, welding, and machining, should be situated in such a manner that they do
not adversely affect other maintenance or modification of articles or activities.
3) If the facility deals in non-aircraft parts, materials, or maintenance activities outside the realm of the
AMO, it should segregate the aircraft function from other functions to preclude unapproved parts
or materials from being used on an aircraft.
4) Articles and materials stocked for installation must be segregated from those undergoing
maintenance, preventive maintenance, or modification.

8.2.4

SAFETY & HUMAN FACTORS


A. AMOs are responsible for creating a safe working
environment that will prevent personnel injury and
damage to customers property.
B. The housing and facilities should provide for
adequate security and fire protection.

The ASI should keep in mind that poor housekeeping or improper maintenance of safety
devices are good indicators of the AMOs corporate culture.

C. Safety devices, such eye wash facilities, will be kept in good condition.
D. The PI should review the AMOs safety procedures keeping in mind that poor housekeeping or
improper maintenance of safety devices, such as eye wash stations and fire extinguishers, are
good indicators of the AMOs corporate culture.
This inspection focuses on the AMO following its MOPM safety policies and procedures.
Safety and health rules, codes, and regulations, which vary from one state or county to another, are outside
the CAAVs jurisdiction.

End of Chapter - Appendices Follow

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APPENDIX 8-A
Job Aid MO-007: AMO Housing & Facilities
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PEL#

Mgmt Rep

PEL#

For completion instructions, refer to Chapter 2 of the Airworthiness Inspector manual.


YES

NO

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NA

17

FACILITIES

17.1

Does the organization have suitable heated and lighted hangars,


docks, workshops, clean rooms and other housing facilities to enable
maintenance to be performed in clean conditions and protected from
the elements?

17.2

Are these facilities capable of accommodating the largest aircraft


listed in the scope of approval?

17.3

Is maintenance, other than unforeseen or routine line maintenance


as defined in the MOPM, performed in the specified facilities?

17.4

In the case of conducting maintenance outside of the specified facilities in support of a maintenance arrangement, is the maintenance
controlled in accordance with the MOPM?

17.5

Are the maintenance facilities, equipment and level of work performed at each base as described in the MOPM?

17.6

Does the certified maintenance organization have suitable facilities for


properly storing, segregating, and protecting materials, parts, and supplies?

17.7

Does the approved maintenance organization have suitable facilities for


properly protecting parts and subassemblies during disassembly, cleaning, inspection, repair, modification, and assembly?

17.8

Does the organization have suitable tools, jigs, fixtures, inspection


aids, measuring devices and other equipment for the type of work
undertaken?

17.9

Does the approved maintenance organization have special tools and


equipment to ensure all required items are within calibration criteria
(to include traceability to standards acceptable to the CAAV)?

17.10

Do the special tools and equipment include those recommended by the


manufacturer of the product or an CAAV acceptable equivalent?

17.11

Does the approved maintenance organization utilize an engine test


cell, which has been correlated to the manufacturers specifications?

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17.12

Does the maintenance organization have proper segregation of work


areas for environmentally hazardous or sensitive operations?

17.13

Did the maintenance organization provide proper human factor consideration in the facility?

INSPECTOR
SIGNATURE

ORG REP
SIGNATURE

End of Appendix 8-A

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APPENDIX 8-B
Job Aid MO-008: AMO Support & Overhaul Shops
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PEL#

Mgmt Rep

PEL#

For completion instructions, refer to Chapter 2 of the Airworthiness Inspector manual

YES

NO

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NA

18

SUPPORT & OVERHAUL SHOPS

18.1

Do the organizations personnel follow the policies and procedures


for shops as described in the MOPM?

18.2

Is the individual responsible for the shop knowledgeable about the


procedures described in the MOPM?

18.3

Does the organization ensure the competence of shop personnel


through training as described in the MOPM

18.4

is the shop supervisor aware of the technicians training and qualifications for the work under process?

18.5

Do shops have the up-to-date manuals and technical data required


to accomplish the task as described in the MOPM?

18.6

Do shop personnel have access to the MOPM?

18.7

Do shops follow control and traceability procedures for all incoming


and outgoing parts, materials and components as described in the
MOPM?

18.8

Does the organizations personnel ensure that work orders and


inspection sheets are completed in accordance with the MOPM?

18.9

Are inspection sheets as described in the MOPM utilized and kept up


to date?

18.10

Does the technician record additional defects discovered during the


inspection process in accordance with guidelines prescribed in the
MOPM (or AOC holders system)?

18.11

Are the individual maintenance personnel restricted from changing


the work scope?

18.12

For work that is temporarily suspended or delayed, is there an adequate technical pass over system for the work when restarted?

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18.13

Does the organization utilize computer software for the control of


work processes?

18.14

Is the computer record the sole historical record?

18.15

If so, is there an approved back up data process or method?

18.16

Are all unique work processes developed by the individual shops


included in the MOPM or a procedures manual acceptable to the
CAAV?

18.17

Do the shops contain adequate tooling, fixtures, jigs and specialty


tools for the intended work?

18.18

Do shops have special tools and equipment properly calibrated to


accomplish the tasks required as described in the MOPM

INSPECTOR
SIGNATURE

ORG REP
SIGNATURE

End of Appendix 8-B

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Chapter 9
AMO Work Away From Base
This chapter provides guidance for authorization and
surveillance of a maintenance organization that
performs aircraft maintenance away from its fixed
location.

9.1

APPLICABLE ACTION NUMBERS:


3230M Eval AMO ProceduresAway From Base
4230M Eval AMO Procedures Away from Base
3650M Inspect AMO Work Away from Base
4650M Inspect AMO Work Away from Base

POLICY

9.1.1

MAINTAIN A FIXED BASE LOCATION


A. The maintenance organization is maintain to
have a permanent fixed location where it
meets all elements of the requirements to hold
an AMO approval.

AMOs must still maintain a permanent fixed


location even if the majority of their work is
done at another facility.

B. Continuous, uninterrupted operations at another location without applying for an AMO or satellite
certificate at that location are not allowed..
C. A combination of storing equipment, tools, parts, etc., and having AMO personnel permanently
positioned at a site and performing maintenance on a daily basis away from its permanent fixed
base indicates a continuous, uninterrupted operation.
D.

AMOs operating in this fashion no longer meets the intent of VAR Part 5.

E. If the AMO is to continue its operations in this manner, then it must apply for certification as a
satellite or stand-alone AMO.

9.1.2

BASIS

FOR

TEMPORARY WORK AWAY FROM BASE

A. With proper procedures, an AMO may be authorized to perform work away from its fixed location
on a temporary basis under two circumstances
1) When a special circumstance arises, or
2) When it is necessary to perform such work on a recurring basis.
B. VAR Part 5 permits temporarily working away from the AMOs fixed location due to a special
circumstance, as determined by CAAV.
An example would be an aircraft on the
Work that is to be performed at another location
ground or in preparation for a ferry flight.
should not be confusted with other authoriza Work performed at another location normally
tions, such as having a line maintenance authodoes not include working outside the domicile
rization to perform work for an AOC.
country where the AMO is located.
Work performed outside the domicile country as a special circumstance may be authorized.
If it is necessary to perform work outside its domicile country, the AMO should obtain any required
approvals from the country where the work is to be performed.
The MOPM will need to include a procedure on notifying the local CAAV when these special
circumstances arise in order to obtain CAAVs approval in each instance.
A manual procedure for the work performed will not be necessary.

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PROCEDURES FOR WORK AWAY FROM HOME


A. A manual procedure for work performed is required if the AMO performs work at another location
on a recurring basis.
B. The MOPM must include procedures for accomplishing maintenance, preventive maintenance,
modifications, or specialized services at a place other than the AMOs fixed location.
C. The MOPM procedures for work away from home should provide
1) The method used for identifying the customer and the
(a) Description of the work requested or anticipated,
(b) Location at which the work will be performed,
(c) Type of material, equipment, and personnel that will be required to perform the
anticipated work,
(d) Way the material, equipment, and personnel will be transported, and
(e) Precautions that will be taken to ensure that the material and equipment are adequate
for the work that actually needs to be performed.
2) The title of the person who will notify CAAV.
3) How the notification will be made.
4) How the approval/denial will be recorded and stored.
D. Acceptable manual procedures will answer the following questions
1) Describe the preparations and conditions to be met before performing any work away from
the AMO.
2) Who is responsible for supervising the maintenance performed at another location?
3) Are the appropriate sections of the MOPM available at the remote site?
4) How does the facility ensure that adequate housing, facilities, tools, equipment, personnel,
and current technical data are available at the site? If materials, tools, and equipment must
be transported, how will their calibration be ensured?
5) If persons unfamiliar with the work to be performed are used, does an individual licensed
under Part 7 supervise the work?
6) When and how is the article inspected? Is the inspector qualified and authorized (on the
roster)?
7) How is the work recorded? Do the records meet the requirements of Part 4 and 5?
8) Are the forms at the AMO the same as those used at the other location?
9) Who is responsible for transporting and storing the records? Where will they be stored?
10) How does the facility ensure that each location stays in compliance with its manual and
VAR Part 5?

9.2
9.2.1

EVALUATION CONSIDERATIONS
REVIEW APPLICABLE INFORMATION
A. Before the evaluation, the assigned ASI should carefully review the

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1) Regulatory requirements of VAR Part 5 for


work away from base;

3230M Eval AMO ProceduresAway From Base


4230M Eval AMO Procedures Away from Base

2) The proposed MOPM procedures on work


away from the base:
3) Maintenance organizations current operations specifications; and
4) Current CASORT-Org Comprehensive Report for this maintenance organization.
B. CAAV approval for the performance of work away from base will only be issued for those maintenance
organizations that perform repairs or modifications on a recurring basis.
Examples include such work as engine on wing repair, nondestructive testing, tank, and fuel cell repair.

9.2.2

CIRCUMSTANCE: TEMPORARY BASIS SHORT TERM


A. Before approval, the assigned ASI will review
the maintenance organization procedures to
confirm that procedures are in place to

It may not be necessary for the CAAV to approve


each short term temporary situation; however, all
situations will require the PI to be notified.

1) Control equipment, tools, required forms,


etc.
2) Ensure qualified personnel for the required work.
3) Conduct emergency work away from the base.
The procedure should contain an explanation of emergency work away from base as it relates to the
maintenance organization ratings.
The procedures should detail how the CAAV is notified; if approval is required, prior to dispatching the
work crew.

B. To ensure that all maintenance is performed in accordance with the AOC holders CAMP, the
maintenance organization must be able to provide written documentation that reflects the
1) AOC holders method for the acceptance of all maintenance organization programs; and
2) Maintenance organizations standard operating procedures (SOP).
C. The AOC holder must be informed of all sub-contracted work, allowing the AOC holders CASS
auditors to inspect the maintenance provider and have all findings corrected before work is
performed.

9.2.3

CIRCUMSTANCE: TEMPORARY BASIS EXTENDED


A. While the contracted line maintenance that is authorized by the CAAV may require several months
to complete; this type of operation does not constitute the establishment of
1) Another maintenance organization; or
2) A satellite maintenance organization because
it is temporary in nature.

The CAAV must approve extended temporary projects


before the crews are sent and must have a start date
and an estimated completion date.
The CAAV will only approve this request after ensuring
the maintenance organization will be able to control
the project as if it were being completed at the primary
base.

B. The maintenance organization requesting to


perform maintenance away from its fixed location
for extended periods of time must evaluate the
housing and facilities where the maintenance is to
be performed to ensure the location meets the intent of VAR Part 5.

C. If additional time is needed, the maintenance organization must submit another request updating
the original information and providing any new details on the contracted maintenance.

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D. The assigned ASI will review the maintenance organization procedures and documentation to
confirm that the procedures will
1) Control equipment, tools, required forms, etc.
2) Ensure qualified personnel for the required project.
3) Provide the CAAV with a plan on how and where the project will be performed, to include
Controlling of parts;
Tools;
Personnel;
Required inspectors;
Length of time the project will take; and
Title of the person in charge of the project.

9.3

INSPECTION WORK AWAY FROM THE FIXED LOCATION ON A RECURRING BASIS


A. An assigned ASI conducting an inspection of the
maintenance organizations activities that involved
work away from its base should confirm that

3650M Inspect AMO Work Away from Base


4650M Inspect AMO Work Away from Base

1) The CAAV has issued an approval for this working arrangment;


2) The procedure for performing work away from the base on a continuing basis is clearly defined in
the MOPM.
3) All work packages completed away from base
demonstrate that the work was completed per
the MOPM procedures;
4) The maintenance organization furnished its
own tools and equipment.

VAR Part 5 does not allow continuous, uninterrupted


maintenance or modification operations to be performed at another location.
The maintenance organization can have a lease
agreement for tools and equipment if the procedures are contained in the ATOM.

5) The maintenance organization transported its


tools, equipment, and personnel back to its
base after the contracted maintenance is completed,

6) Even when the majority of the work was done at another facility, the maintenance organization actions
maintained the capabilities of its base..
B. The AMO personnel must have exercised their MOPM procedures for
1) Transporting tools and equipment to and from the work site without damage;
2) Ensuring that only qualified personnel are assigned to perform, supervise, and inspect the work
completed; and
3) Ensuring that all AOC holder maintenance programs are followed.
C. The AMO must have exercised its the quality control system to ensure that
1) All forms are properly completed per the quality control system;
2) The maintenance organization follows their calibration system for calibrated tools; and
3) All parts are stored and protected as required in the quality control system.
D. The maintenance organization management must have ensured that only approved technical
data was used for this work away from base.
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APPENDIX 9-A
Job Aid MO-009: AMO Work Away From Base
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PEL#

Mgmt Rep

PEL#

For completion instructions, refer to Chapter 2 of the Airworthiness Inspector manual.


YES

NO

NS

NA

19

CONTRACTUAL ARRANGEMENTS
AND WORK AWAY FROM base

19.1

Did the maintenance organization provide the CAAV with a list of outside
maintenance functions for approval?

19.2

Did the maintenance organization provide a list of the names of the


outside facilities with whom the maintenance organization contracts
maintenance functions and the type of certificate and ratings, if any,
held by each facility?

19.3

Does the maintenance organization have a procedure for maintaining


and revising the contract maintenance information required under VAR
Part 5 and notifying the CAAV?

19.4

If the maintenance organization contracts with a non-approved facility,


did the maintenance organization assure the non-approved facility
has a quality assurance system equivalent to the system followed by
the maintenance organization?

19.5

Does the maintenance organization have a procedure to govern work


performed at other locations?

19.6

Is the maintenance organization providing return to service only?

19.7

Does the non-approved facility allow the CAAV to make inspection of its
facility?

INSPECTOR
SIGNATURE

ORG REP
SIGNATURE

End of Chapter

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Chapter 10
AMO Technical Data
This chapter provides guidance for the evaluation
and inspection of a maintenance organizations
technical data, including
Acceptable types of technical data
Maintaining current technical data

APPLICABLE ACTION NUMBERS


3230D Eval AMO Technical Data Procedures
4230D Eval AMO Technical Data Procedures
3650D Inspect AMO Technical Data
4650D Inspect AMO Technical Data

Controlling availability and access to the data


Updating of electronically available technical data
Language considerations

10.1
10.1.1

EVALUATION OF TECHNICAL DATA


CAA APPROVAL REQUIRED
A. The AMO Procedures manual must contain the procedures for ensuring that current technical
data is available for the scope of work the AMO is performing.
B. The CAAV will evaluate those procedures
during the initial certification process.

3230D Eval AMO Technical Data Procedures


4230D Eval AMO Technical Data Procedures

C. VAR Part 5 requires each person performing


maintenance, modification, or preventive maintenance to use the methods, techniques, and
practices prescribed in the current manufacturers maintenance manual, Instructions for
Continued Airworthiness (ICA), or other methods, techniques, or practices acceptable to CAAV.
D. VAR Part 5 further states that a certificated AMO may not approve for return to service any
article unless the maintenance, preventive maintenance, or modification was performed in
accordance with the applicable approved technical data or data acceptable to CAAV.

10.1.2

TYPES OF TECHNICAL DATA


Technical data will include the following
1) Applicable Vietnam aviation regulations
2) Airworthiness Directives, (AD)
3) Type certificate data sheets (TCDS), if
applicable

Appliance manufacturer's maintenance manuals or instructions, though not specifically


approved by the CAAV-FSSD, are considered to
be in compliance with Parts 3, 4, and 5.

4) AC's, as required
5) Processes, e.g., maintenance processes
6) Manufacturer's service manuals, instructions, and Service Bulletins (SB)
7) Engineering data (such as DER-approved data or data developed by the AMO and approved by
CAAV).

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10.1.3

CIVIL AVIATION AUTHORITY

CURRENT & AVAILABLE


The data used by the AMO to perform a specific maintenance function must be current and available
to maintenance and inspection personnel when the maintenance is being performed.
The procedures should ensure that someone in the facility is responsible for maintaining the technical
data in a current condition.
Status of the manuals may be confirmed by making periodic phone calls to the manufacturer, etc.
The procedures should ensure that any subscriptions to required technical data are renewed as
necessary.
The procedure should describe how the revised technical data will be inserted into existing documents
and how the appropriate individuals in the AMO will be notified about revisions.

10.1.4

TECHNICAL DATA DOCUMENT CONTROL


A. In some AMOs, the technical data is issued in the form of controlled documents. Procedures for
these facilities will need a complete description of the document control system, including
distribution, accountability, and availability.
B. Document control procedures may include

Approval of the documents before distribution.


Identification of changes.
Provisions to ensure that relevant versions of applicable documents are available at points of use.
Provisions to ensure that documents of external origin are identified and controlled.
Procedures to prevent the use of obsolete documents.

C. Larger AMOs may include provisions for


distributing data from a master library to
individuals or shop libraries throughout the
facility.

10.1.5

The procedure must ensure accurate and timely


distribution of the material.

REVISION & DISTRIBUTION


Additional procedures will need to address
1) Who revises the shop library documents,
2) How the documents are revised, and
3) How the information is distributed.

10.1.6

PRODUCTION APPROVAL CONSIDERATIONS


A. Maintenance organizations that are associated with or part of a production approval holder
facility often use the manufacturers drawings and data to perform maintenance.
This data may not meet the requirements of VAR Part 4.

B. Maintenance organizations should demonstrate awareness that parts manufactured by the


production side of the facility must be CAAV-approved through a Parts Manufacturer Approval
(PMA), Technical Standard Order (TSO), TC, or other means.
C. Maintenance organizations should also be cautioned that the parts manufactured by the
production side of the facility cannot be used by the AMO unless the parts are CAAV-approved
through a

Parts Manufacturer Authorization (PMA),


Technical Standard Order (TSO),
Type Certification (TC), or
Other means.

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10.1.7

AMO ADMINISTRATION AND


CERTIFICATION MANUAL

LANGUAGE CONSIDERATIONS
Technical data used by AMOs located outside Vietnam may be translated into the national language.
If the data requires translation before distribution, the procedures must ensure an accurate, timely,
and complete translation.
1) Provisions should be made for quality control personnel to review and approve the
translated material before distribution.
2) The technical data that needs to be translated may include graphs, diagrams, or other visual
aids.
3) The AMO must retain in English any data that demonstrates compliance with the
requirements of Part 5.

10.1.8

UPDATED COMPUTER SOFTWARE


A. Those facilities that use computer software for
component testing (of airborne systems or
equipment, avionics systems, engines, etc.) will
need to include procedures describing how

Distribution and revision of software is often


handled by a group other than those responsible
for revision and distribution of paper documents.

Revisions/updates are made; and


Current software is distributed.

B. The procedures will need to address system security to prevent inadvertent changes to the
software and methods to ensure that only the current revision/version of the software is used.

10.1.9

CRITICAL POLICY & PROCEDURE REGARDING TECHNICAL DATA


The assigned ASI should ensure that the following key considerations are addressed during an
evaluation of the maintenance organizations policy and procedures regarding technical data and
technical library.
1) What is the title of the person responsible for revising and maintaining the technical data?
2) How does the AMO ensure that the data is current?
3) How is the technical data distributed throughout the company?
4) How does the AMO ensure that current technical data is available to the staff?
5) What is the title of the person responsible for control and distribution of the documents from
a master library to the shop/office libraries located in the facility?
6) If the technical data requires translation, who is responsible for performing the translation
and quality checks? How will the data be revised and distributed?
7) If the AMO uses computer software for component testing, who is responsible for
maintaining the software, and how are revisions made and distributed?

10.2
10.2.1

INSPECTION OF TECHNICAL DATA


GENERAL
A. This section provides guidance for evaluating and
inspecting the technical data that the AMO uses.
The review will confirm its

3650D iNspect AMO Technical Data


4650D Inspect AMO Technical Data

1) Availability,

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2) Currency, and
3) Appropriateness for the work performed.
B.

10.2.2

The MOPM must contain the procedures for ensuring that current technical data is available for the
scope of maintenance the AMO is performing.

The PI should review a representative sample of


maintenance records or work orders by the AMO in order to confirm the correct technical data was
applied.

PROGRAM DEVIATION
A.

When the AMO is providing maintenance under the provisions of VAR Part 5, the AMO must follow
the operators program and applicable sections of its maintenance manual.

B.

Any deviation from that program must be authorized by the AOC holder.

C. This includes technical data used for repairs or modifications.


D. The AMO should have documentation of how and when the AMO will notify the operator if it needs to
deviate from the AOC holders approved program.

10.2.3

MANUFACTURERS MANUALS & DATA


A.

Manufacturers manuals/data may be approved or may be acceptable data.

B. If the repair or modification is not covered in


the manufacturers manuals, then a
determination must be made if the repair or
modification is major.

If the AMO is providing maintenance


for an AOC holder, then the AOC
holder must make that determination.

C. The AMO may have other data that has been


approved, but the AOC holder must authorize the AMO to use that data if the AMO is providing
maintenance for the AOC holder.

10.2.4

INSPECTION PROGRAMS
A. VAR Part 4 requires owners and operators of certain large aircraft to select an inspection program. This
requirement the owner/operator to use the program which it selected and identified in the
maintenance records of the aircraft.
B. The AMO should use either the
1) Inspection program that has been selected and identified by the owner/operator in the aircraft
maintenance records; or
2) Most recent manufacturers inspection program.

10.2.5

PROGRAM AVAILABILITY
A. VAR Part 4 also requires each operator to include in its identification of the selected program the name
and address of the person responsible for scheduling the inspections required by the program.
B. The operator must also make a copy of that program available to the person performing inspections
on the aircraft and to the CAAV.
To comply with a regulatory requirement to incorporate the current manufacturers recommended
inspection program, an operator need only properly adopt a manufacturers program that is current as of
the time the operator selects and identifies it in the aircraft maintenance records.
The program remains current unless the CAAV mandates revisions to it in the form of an Airworthiness
Directive (AD) or an amendment to the operating rules. is available at

10.2.6

AIRWORTHINESS DIRECTIVES
A. When the AMO is providing maintenance based on an AD, the AD is approved data.

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B. However, if the AMO is providing maintenance using an AD with an alternative method of compliance
(AMOC) within the AD, then the AMO should have something that documents that the AMOC has
been approved.

10.2.7

DESIGNEE APPROVED DATA


This is Designated Engineering Representative (DER)-approved data or data developed by the AMO and
approved by the CAAV.

10.2.8

AOC HOLDERS APPROVED/ACCEPTED DATA


A.

Each AOC holder will have a process to approve data for major repairs or modifications.

B. The AOC holder has the responsibility to determine if the repair or modification is major.
C. Once the maintenance is determined to be major,
the AOC holder should provide the AMO with
documentation that the repair or modification
has approved data.

10.2.9

The AMO may have other data that has been


approved, but the AOC holder must authorize the
AMO to use that data if the AMO is providing
maintenance for the AOC holder.

PROCESS SPECIFICATIONS
A. The AMOs may have a rating for specialized service.
B. The AOC holder should provide documentation authorizing the AMO to use its approved process
specification on the AOC holder product.

10.3
10.3.1

CONFIRMATION THAT DATA AVAILABLE & APPROPRIATE


GENERAL
A. The inspector must confirm that the technical
data is
1) Appropriate for the maintenance or
modifications to be performed; and

The AMO procedure should describe how the


Revised technical data will be inserted into existing
documents;and
Appropriate individuals in the AMO will be notified about
revisions.

2) Current, accurate, and complete.


B. If the AMO uses computer software for component testing, confirm whether the revisions/updates are
made and the current software is distributed.
C. The inspector must confirm that the data is in the possession of the AMO and easily accessible to all
personnel.
To be acceptable the technical data must distributed throughout the company in accordance with the AMO
procedures manual.

10.3.2

ELECTRONIC DATA
A. For electronic technical data/manual(s), there are special concerns that should be addressed
during the inspection.
B. The inspector shall determine whether the security and access
1) Only authorized personnel are making changes to the data/manual,
2) Unauthorized personnel are capable of making changes to the data/manual,
3) Access to the manuals is protected by passwords,
4) The employees have been trained to access the manual on the network,
5) Unauthorized access is possible on the network or internet; and

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6) All of the supervisors and inspectors have access to the manual.


C. The method of revisions to the electronic data/manual is critical to the credibility of the data. The
inspector should determine
1) How the manuals are revised with their system (CD-ROM or Internet),
2) How the revisions are distributed,
3) If the user knows that the manual has been revised and what content was changed; and
4) If personnel confirm the currency of individual disks before use.
D. The ASI should confirm that the controlled documents are distributed in accordance with the MOPM to
include distribution, accountability, and availability.

10.4

LANGUAGE
A. The inspector should confirm that all technical data (such as., operators instructions for continued
airworthiness (ICA), manufacturers maintenance manuals, or type certificate (TC) holders continuous
airworthiness data) the AMO uses is retained in original language of issuance.
B. This includes all modification records, logbook entries, return to service records, or any other
maintenance or inspection record entries that demonstrate compliance with the requirements of VAR
Part 4.
C. The CAAV may recognize the national language of the country where the AMO is located.
The AMO may convert technical data (such as
operators ICA, manufacturers maintenance
manuals, or TC holders continuous airworthiness
data) into the national language.

All technical data translated into the


national language and used to meet the
requirements of VAR Part 4 should be
current and accurate in translation.

Internal documents (such as work cards, worksheets,


and shop travelers) may be produced and
maintained in the national language.
Dual language (English/national language) internal documents are acceptable.
Contractual agreements between the AMO and their customers should address the language copies of any
internal documents, such as those listed above.

D. The maintenance organization must establish procedures in its AMO Procedures Manual that ensure
that its English-language copy of technical data and any internal documents developed from this
technical data are current and complete. The
E. English-language copy of the technical data should be retained at the main base of the maintenance
organization and must be made available to the CAAV upon request.
End of Chapter - Appendices Follow

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APPENDIX 10-A
Job Aid MO-010: AMO Technical Data
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PEL#

Mgmt Rep

PEL#

For completion instructions, refer to Chapter 2 of the Airworthiness Inspector manual.


YES

YES

NO

NO

NS

NS

NA

NA

20

TECHNICAL DATA

20.1

Does the maintenance organization have technical data for its current
ratings that is utilized during the performance of maintenance and modifications?

20.2

Is the technical data current?

20.3

Does the maintenance organization have a system to revise technical


data?

20.4

Does the maintenance organization utilize technical data from air carriers and is that data current and approved?

20.5

Is the technical data available to all personnel?

20.6

Does the maintenance organization have a procedure for electronic


retrieval of and usage of data?

21

AIRWORTHINESS DIRECTIVE COMPLIANCE

21.1

Does the approved maintenance organization maintain current revisions of ADs applicable to the ratings held?

21.2

Is the approved maintenance organization keeping accurate AD


records, to include AD number, revision date, method of compliance,
and if recurring action is required, the next date and/ or time such
action is due?

INSPECTOR
SIGNATURE

ORG REP
SIGNATURE

End of Appendix 10-A

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APPENDIX 10-B
Job Aid MO-011: AMO Technical Publication Control
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PEL#

Mgmt Rep

PEL#

For completion instructions, refer to Chapter 2 of the Airworthiness Inspector manual;


YES

NO

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NS

NA

22
22.1

Was the person responsible for keeping publications current aware of


his/her responsibilities?

22.2

Does the organization have technical and regulatory publications


according to scope of work performed or listed in their approved
manual?

22.3

Are adequate copies of the MOPM available?

22.4

Is a copy of the current Civil Aviation Act available?

22.5

Are copies of the VARs appropriate to the AMO available?

22.6

Are Type Certificates available for all aircraft worked?

22.7

Are Supplemental Type Certificates available for all aircraft worked?

22.8

Are airworthiness directives applicable to the aircraft/component


worked available

22.9

Are manufacturers maintenance, illustrated parts, overhaul manuals, and service bulletin and service letters applicable to the aircraft/
component worked available?

22.10

If applicable, are the operators approved maintenance programs for


the aircraft/components worked available?

22.11

If applicable, are the operators procedures manual and forms available for the work performed.

22.12

Are publications / manuals current, i.e. amendments up-to-date?

22.13

Is the system for monitoring the currency of publications effective?

22.14

Does this system include publications received from and provided to


outside sources?

22.15

Is there a list, which identifies each publications status and location?

22.16

Does this status list cover publications at satellite bases?

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22.18

Are all publications which the organization should have available to


meet their maintenance approvals available?

22.19

Are appropriate portions of publications made available, as appropriate to work performed, to the organizations personnel and contractors?

22.20

Are appropriate portions of publications made available, as appropriate to work performed, to all shops, including those at satellites?

22.21

Are appropriate portions of publications made available, as appropriate to work performed, at locations away from the AMO facilities?

22.22

Where technical information is available in different mediums, does


the organization have equipment, such as. computers, fiche readerprinters., necessary for reading and reproducing this information?

22.23

If applicable, does the organization demonstrate their ability to


access and download Internet publications?

22.24

If applicable, do the maintenance personnel demonstrate their ability to access Intranet and Internet publications?

22.25

Are all training materials and manuals clearly marked "for training
purposes only?"

22.26

Does the maintenance organization have a procedure for electronic


retrieval of and usage of data?

INSPECTOR
SIGNATURE

ORG REP
SIGNATURE

End of Appendix 10-B

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This Page Intentionally Left Blank

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Chapter 11
AMO Parts & Materials
This chapter provides guidance for the evaluation
and inspections associated with the implementation
and functioning of the CAAV program to ensure that
parts and materials used by the maintenance
organization are

APPLICABLE ACTION NUMBERS


3230F Eval AMO Parts & Materials Procedures
4230F Eval AMO Parts & Materials Procedures
3650F Inspect AMO Parts & Materials
4650F Inspect AMO Parts & Materials

Received and identified


Inspected
Stored and segregated
Tracked throughout the maintenance process
Quarantined when necessary
Disposed of by acceptable means

Refer to Appendices A and B to this chapter for


specific checklist guidance applicable to the
evaluation and inspection of a maintenance
organization parts and materials procedures.

Reported when their origin is suspect.

11.1

POLICY
A. Maintenance organizations must have procedures in their MOPM describing the receipt and
documentation of all articles, standard parts, and raw materials.
B. In addition, the maintenance organization is required to inspect raw materials and standard parts
for
Proper documentation, identification and
traceability

3230F Eval AMO Parts & Materials Procedures


4230F Eval AMO Parts & Materials Procedures

Conformity to a specification and acceptable


quality
Shelf life
Contamination
Shipping damage
State of preservation

11.2
11.2.1

EVALUATION OF PROCEDURES FOR PARTS & MATERIALS


RECEIVING POLICY
A. The MOPM must address the overall process
and supporting procedures used for accepting
consumable materials and customer parts.

Procedures actually implemented will depend on


the size, complexity, and ratings of the facility.

The manual should describe generally how material is ordered, stocked, and requisitioned for
maintenance or modification purposes.
A general description of how the stock room operates with respect to handling and storage should be
included in this procedure.
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Additionally, this process may include the method for handling, storing, and using shelf life items and
materials.

B. Procedures should include visual inspection of the container and contents for shipping damage,
packing, and proper paperwork.
The process should include procedures to assist receiving personnel in performing their tasks, whether
the article was satisfactory or damaged when it was received.
The procedures would normally include how receiving personnel document or record damage due to
improper handling and the title of the person notified of the damage.
The description of the procedure may include the routing of materials and parts.

C. Receiving personnel may need to review paperwork received with articles maintained by other
facilities contracted by the AMO or parts received from foreign manufacturers (refer to AC 04004, Aeronautical Replacement Parts).
The procedures should address the required contents of the documentation (forms, travelers,
certifications, etc.) received from the contracted facility.

D. The process should include controls for receiving from sub-contracted maintenance functions.
E. The procedure should also cover how parts are stored and requisitioned for particular work.

11.2.2

HANDLING OF PARTS
The maintenance organization is required to provide
sufficient space to segregate articles and materials
stocked for installation from those articles
undergoing maintenance, preventive maintenance,
or modifications.

Throughout the maintenance cycle,


care will be necessary when handling parts and components undergoing maintenance.

1) The procedures in the manual should emphasize that personnel will always need to exercise
caution when handling aviation articles.
2) These procedures may be contained in one section of the manual or may be spread out
through several sections of the manual.
3) The procedures may discuss segregation and protection of parts, avoiding metal-to-metal
contact, contamination, and preservation.
4) Moving articles from one area of the AMO
to another requires procedures to ensure
that articles are not damaged in transit.

11.2.3

Facilities that maintain sensitive electronic


equipment will need to describe the necessary
precautions to be taken for static discharge.

TAGGING & IDENTIFICATION


A. All articles undergoing maintenance within the facility should be identified in some manner
depending on the size, complexity, and ratings of the AMO.

Many facilities attach colored tags or work orders to the part.


The objective of identification is to ensure that the status of any article can be easily determined.
Articles awaiting repairs may be identified differently than those that are repaired.
Articles that are deemed non-repairable should be clearly identified, and may need to be stored in a
segregated area within the facility.
Parts in the store room(s) will need to be identified to ensure traceability to an approved source.

11.2.4

QUALITY CONTROL INSPECTIONS


A. A critical part of the parts and materials
credibility are the quality control inspections that

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Refer to the Quality Control chapter of this manual for the specific guidance regarding these
critical inspections.

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are carried out as the parts and materials are received and moved through the maintenance
process.
B. The minimum inspections related to parts & materials that should be a part of the quality control
process include

11.3
11.3.1

Inspecting incoming raw materials for acceptable quality,


Performing preliminary inspections of all articles that are maintained,
Hidden damage inspection of articles that have been involved in an accident,
Performing final inspection and return to service of maintained articles,

CAAV PARTS & MATERIALS INSPECTION CONSIDERATIONS


REVIEW APPLICABLE INFORMATION
A. Before inspecting, the assigned ASI should review
the

3650F Inspect AMO Parts & Materials


4650F Inspect AMO Parts & Materials

1) Applicable regulations of Part 5;


2) Maintenance organizations MOPM;
3) The CAAV opspecs for this maintenance organization;
B. The intent of this inspection is to confirm that all parts and materials have
1) Processed in accordance with the MOPM procedures;
2) Tracked and tagged correctly;
3) Stored and segregated throughout the process;
4) Inspected at the key intervals in the process by qualified personnel.

11.3.2

STORAGE & PROTECTION


A. The ASI should confirm if environmental requirements established by the original equipment
manufacturer for the storage of parts and materials are being complied with (temperature, humidity,
static, ultraviolet light exposure, etc.).
Receiving/incoming inspection personnel must be able to demonstrate familiarity with these
requirements.

B. The ASI should visit the parts room to selectively confirm whether parts room articles and those
items in-process are identified to show
1) Basic part information (name/make/model/serial number/batch or lot, etc.);
2) Serviceability status of parts and materials in a manner that readily identifies
(a) Serviceable parts and materials from unserviceable; and.
(b) Rejected parts, including questionable parts, awaiting disposition.
C. The ASI should determine whether parts and
materials are protected in storage and during
transit, until installation, in a manner that will
prevent damage, contamination, loss, or
substitution.

Throughout the inspection, the ASI should be


confirming that all parts are appropriately identified and segregated.

D. Particular attention should given to


Sensitive parts and equipment (e.g., oxygen parts, O-rings, or electrostatic sensitive devices) that must be
properly stored, packaged, identified, and protected from contamination and damage
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Hazardous, flammable, or volatile materials and aircraft parts (e.g., fire extinguisher squibs) that must be
stored in flameproof cabinets or facilities.

11.3.3

LIFE-LIMITED PARTS
A. The ASI will confirm that all life-limited parts have up-to-date component times listed on the historical
records or appropriate tags, as required.
B. The ASI will confirm that all items received with shelf-life limits and/or specific storage requirements
are clearly marked, monitored, and disposed of in accordance with MOPM procedures.

11.3.4

DOCUMENTATION &TRACEABILITY
A. The ASI will confirm that the parts and materials
receiving procedures provide for traceability to an
approved source by selectively tracing parts
through the process.
B. The ASI should review the receiving procedures
for lots of raw materials/standard parts, which must
be broken down into smaller quantities (hardware,
sheet stock, welding rod, coating powders, etc.).
C. The ASI should review the maintenance
organizations record of inspections and tests used to
confirm the airworthiness of received components.

11.3.5

The maintenance organization should retain


traceability records for all incoming articles.

In these cases, traceability back to the original lots must


be maintained.
The maintenance organization must have systems in
place to ensure that only approved and traceable
parts and materials are issued for maintenance
performed.

ACCEPTABLE QUALITY
A. The ASI should confirm that receiving personnel comply with MOPM procedures to determine that
incoming raw materials are of an acceptable quality.
B. The maintenance organization should conduct and document the training of receiving personnel in
parts receiving and shipping, parts control and detecting and reporting suspected unapproved parts
(SUP).
C. The ASI should be alert to the activities of
The acceptable disposition of scrap parts and
maintenance organizations that dispose of scrap
materials is addressed in greater detail in AC 04parts and materials and should review the MOPM 003,
procedures to confirm that scrap parts and
materials are disposed of in a manner that does not allow their approval for return to service.

11.3.6

CHECK PROCEDURES

FOR

SUP

A. The ASI should determine how the maintenance


organization personnel are identifying,
quarantining and reporting suspected
unapproved parts.

The acceptable procedures and reporting of


suspected unapproved parts is addressed in
greater detail in AC 04-005,

The MOPM procedures should the procedures used to detect and report SUPs.

B.

These procedures should


1) Identify those persons responsible for the administration of the SUP program;
2) Provide complete instructions on the completion and submission of CAAV Form 532, Suspected
Unapproved Parts Notification;
3) Describe the control of articles pending SUP determination; and
4) Outline training requirements of receiving personnel.
End of Chapter - Appendices Follow

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APPENDIX 11-A
Job Aid MO-012: AMO Parts Receiving
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PEL#

Mgmt Rep

PEL#

For completion instructions, refer to Chapter 2 of the Airworthiness Inspector manual


YES

NO

NS

NA

23

CONTROL OF PARTS - RECEIVING INSPECTIONS

23.1

Is the individual responsible for receiving inspections knowledgeable


with the procedures described in the MOPM?

23.2

Does the receiving inspector ensure that parts, material and components are properly identified with traceability back to the originator?

23.3

Does the receiving inspection process identify unapproved parts and


ensure that they are quarantined for further action?

23.4

Does the receiving inspector ensure that compliance with airworthiness directives regarding parts, materials and components upon
receipt?

23.5

Does the organizations personnel follow the policies and procedures


for receiving inspections as described in the MOPM?

INSPECTOR
SIGNATURE

ORG REP
SIGNATURE

End of Appendix 11-A

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APPENDIX 11-B
Job Aid MO-013: AMO Control of Parts & Materials
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PEL#

Mgmt Rep

PEL#

For completion instructions, refer to Chapter 2 of the Airworthiness Inspector manual


YES

NO

Revision 01: 31MAY2010

NS

NA

24

CONTROL OF PARTS & MATERIALS

24.1

Is the individual responsible for the control of parts & material


knowledgeable about the procedures described in the MOPM?

24.2

Is access to bonded stores restricted and controlled as described in


the MOPM?

24.3

Does the system provide traceability back to the original certification?

24.4

Are aeronautical products properly certified or re-certified as


described in the MOPM?

24.5

Is material batch coding utilized and are batches numbered as


described in the MOPM?

24.6

Are aeronautical products stored in an organized manner?

24.7

Are aeronautical products isolated from non- aeronautical products

24.8

Is raw material stock (e.g. sheet, bars, extrusions) identified and


stored as described in the MOPM?

24.9

Does the organization's system ensure that there are no unserviceable or unidentified or untagged parts located in the bonded stores?

24.10

Does the organization follow the procedures in the MOPM for the
control of shelf-life items?

24.11

Are all items located in the stores area within their expiration date?

24.12

Is there a system of quarantine?

24.13

Is the quarantine area segregated and lockable?

24.14

Does the quarantine area contain only unserviceable parts, components, material and equipment which have been stored for an reasonable amount of time?

24.15

Are quarantine items properly identified including those held in temporary transit status?

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24.16

Are customer-returned or unserviceable parts held in quarantine?

24.17

Does the maintenance organization redistribute parts?

24.18

If so, is this specified in its CAAV approvals?

24.19

If not approved to do so, does the maintenance organization provide


the original certification when distributing the part?

24.20

Are airworthiness certifications attached to products and verified


prior to packaging and shipping?

24.21

Are scrap items mutilated as described in the MOPM?

24.22

Are flammable fluids / materials stored in a fireproof cabinet, located


in a separate area?

24.23

Does the organization follow the policies and procedures for control
of parts/material as described in the MOPM?

INSPECTOR
SIGNATURE

ORG REP
SIGNATURE

End of Appendix 11-B

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Chapter 12
AMO Quality Control

12.1
12.1.1

A. This chapter provides guidance for inspecting the


quality control system of a maintenance
organization to ensure compliance with the
procedures in the maintenance organization
manual (and where included, a Quality Control
Manual).

APPLICABLE ACTION NUMBERS:


3230I Eval AMO Quality Control Procedures
3230I Eval AMO Quality Control Procedures
3650I Inspect AMO Quality Control
4650I Inspect AMO Quality Control

B. The quality control procedures are a critical part


of the overall Quality Assurance System of the
maintenance organization.

Refer to the Quality Assurance chapter of this


manual for more guidance on the quality systems of maintenance organizations.

EVALUATION OF QUALITY CONTROL PROCEDURES


GENERAL
A. The quality control procedures must be acceptable
to the CAAV in that it ensures the airworthiness of
the articles on which the maintenance organization
(or any of its contractors) performs maintenance,
preventive maintenance, or modifications.

3230I Eval AMO Quality Control Procedures


3230I Eval AMO Quality Control Procedures

B. The maintenance organization must maintain an inspection system and describe the procedures in
detail in its manual system. Items to be described include
1) Establishing the purchase of aviation
articles,
2) How that material is inspected upon
receipt,

Refer to Appendix A to this chapter for specific


checklist guidance applicable to the evaluation
and inspection of a maintenance organization
quality control procedures.

3) Receiving customers articles,


4) Progressing through each inspection step, and
5) Ending in final inspection and approval for return to service.
C. This system should include the controlling and documenting of the maintenance from the incoming
inspection to final inspection (work order system).

12.1.2

OVERALL CONTENTS OF QUALITY CONTROL SECTION (OR MANUAL)


The quality control section of the MOPM (or separate QCM manual) should contain, but is not limited to, the
following elements
1) Inspecting incoming raw materials for acceptable quality,
2) Performing preliminary inspections of all articles that are maintained,
3) Hidden damage inspection of articles that have been involved in an accident,

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4) Proficiency of inspection personnel;


5) Current technical data for maintaining
articles;
6) Qualifying and surveilling unlicensed persons
who perform maintenance or modifications for
the maintenance organization,
7) Performing final inspection and return to
service of maintained articles,

Refer to the Personnel Qualification chapter of this


manual for specifics re personnel requirements.
Refer to the Technical Data chapter of this manual for
specific guidance for technical data requirements.
The phrase unlicensed person means a person or
facility outside the maintenance organization.
It does not include a unlicensed individual working for
the maintenance organization.

8) Calibrating measuring and test equipment, and


9) Taking corrective action on deficiencies.

12.1.3

INCOMING INSPECTION
A. The quality control section of the MOPM must
include procedures that describe the incoming
inspection of raw materials used by the AMO for
maintenance, preventive maintenance, or
modification.

These materials could include articles, such as


hardware, sheet metal, welding rods, as well as
component parts.

The procedures should define what is considered raw material and describe how the material will be
inspected.
Procedures should describe the disposition/action taken when an item passes or fails inspection.

B. The manual should also include procedures for handling suspected unapproved parts.
Some raw materials may require specific documentation or certifications that must be kept on file by the
AMO.

C. Procedures should address how this documentation is reviewed and filed.


Sometimes, raw materials are received in lots that are released from stock in smaller units, such as
weld wire, NDT fluids and films, and coating powders.

D. For such situations, the MOPM will need to include procedures that insure traceability of the
material back to the original lot. The procedures should address the following, as applicable
What is the title of the person(s) performing these inspections?
How will the inspection be performed? Does the inspection include visual, NDT, or dimensional
tolerances (if applicable)?
What technical data will be necessary to perform this inspection?
Is the material checked for damage, identification, and preservation?
Does the material have any shelf life limitations? If so, the procedures need to address how the material
will be identified and controlled.
Describe the action taken if the material meets specification, as well as what action is
taken if the material does not meet specification.
Does the facility have an area for proper storage of raw materials? Will the material require a secure
area until released for use? Will the material require any special environmental considerations during
storage?
How is the material identified if acceptable or not acceptable?
Do the materials require any special testing requirements? If so, what procedures are followed to
perform those tests? How is the testing performed?
What is the disposition of incoming inspection records?
How does the AMO ensure traceability of materials received in lots, such as weld wire, coating
powders, and so forth?
What are the procedures for detecting and reporting suspected unapproved parts?

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12.1.4

AMO ADMINISTRATION AND


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PRELIMINARY INSPECTION
A. The quality control procedures must address what
1) Constitutes a preliminary inspection,
2) How that inspection will be performed, and
3) How the article will be identified throughout the repair cycle.
B. The preliminary inspection is usually an evaluation of an article to determine the customer
requested work scope and the required maintenance or modification actions. Compliance with
SBs and ADs should also be determined.
This inspection may involve a tear-down or disassembly if the article is an engine, module, propeller,
accessory, or subassembly of a larger component.
The results of this inspection should be documented and may need to be communicated to the
customer.

12.1.4.1

Inspection Forms & Records


A. The forms used to record the inspections in this
process should identify the article until the
maintenance/repair cycle is completed.

For some AMOs this may include attaching the


form to the article while it is still in the repair
cycle.

B. For other AMOs that use more electronic


means, such as bar codes, may not need to physically attach the form but another type of
identification so that the status of the article can be determined as needed.
12.1.4.2

Handling of Defects Noted


A. Any defects or discrepancies noted during these inspections will need to be connected with
corrective actions taken during the maintenance, using a discrepancy numbering system or
similar arrangement.
The AMO should notify the customer of any
defects that are outside the scope of the
customers authorized repair.

12.1.4.3

Maintenance providers are responsible only for


the work they are contracted to perform, not for
all the work that needs to be performed.

Preliminary Inspection Procedures


The procedures should address the following

Who (by title) will perform this inspection?


How will the inspection be performed?
When is this inspection performed?
Is the AMO properly rated to perform this maintenance?
Does the inspection include a functional test before disassembly?
How will the inspection be recorded?
If the inspection reveals discrepancies, how are they recorded?
How does the AMO record corrective actions taken to correct any discrepancies?
Do the records show the relationship between the discrepancies found and the corrective action taken?
How is the customer notified of discrepancies found that are outside of the contracted work scope? How
are those discrepancies resolved?
Is the record of this inspection made part of the work order file (work package)?
How is traceability of life limits and/or time since overhaul documented?
How are the parts identified if acceptable and if not acceptable?
What are the procedures to ensure the records (work package) are kept with the parts?
Is there a procedure to ensure that current technical data is available before inspection?
What are the procedures for detecting and reporting unapproved parts?
Is there a procedure for reporting failures, malfunctions, or defects of an article?

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HIDDEN DAMAGE INSPECTION


A. This inspection is required on parts that have been involved in an aircraft accident.
The inspection includes a search for any secondary damage that could result from an accident, such as
fire or heat damage.
This inspection is often recorded on the same form used for the preliminary inspection.
Sometimes the AMO is not notified that an article has been involved in an aircraft accident. Inspection
personnel should be experienced enough with the article to recognize damage that is suspicious.

B. The AMO could then initiate communications with the customer regarding damage history of the
article. The hidden damage inspection should address the following

12.1.6

Who (by title) will perform the inspection?


How will the inspection be recorded?
If defects are noted, where will they be recorded?
Does the inspection include areas adjacent to obvious damage?
Who will communicate with the customer?
Is the record of this inspection made part of the work order file?

IN-PROCESS INSPECTION
A. These inspections may take place during various stages of disassembly, repair, and reassembly
of an article.
B. These inspections are usually described in the maintenance manuals or other ICA used to
perform the maintenance or modification and called out on the work order, traveler, or router.
Usually, they require the services of a qualified inspector to perform a visual, dimensional, or nondestructive test.
The inspection may require functional tests and/or precision test equipment. Persons performing these
inspections should be qualified and listed on the roster.

C. If the article has been shipped to another facility


for contracted maintenance, the inspection
process must include an inspection of the
contracted maintenance function performed.

If a non-certificated person performed the maintenance, an inspection and/or test is required to


determine whether the maintenance
was performed satisfactorily.

D. The inspector may also review the


documentation received from the vendor, such
as certification(s) or other maintenance records required by Part 4.
E. The In-Process inspection procedures should address the following

Who (by title) will perform the inspection?


Are the inspectors listed on the roster?
How will the inspection be recorded?
If defects or discrepancies are noted, where will they be recorded?
Do the procedures allow steps to be performed out of sequence? If so, how is this authorized and
recorded?
If the in-process inspection is not satisfactory, does the manual have procedures governing rework?
Any rework must be performed in accordance with approved or acceptable technical data.
Does the system include provisions for recording the names of the inspector and the person who
performed the work?
Are the records of this inspection made part of the work order (records package)?
Who determines when an in-process inspection is performed, and how is that determined?
Do the procedures describe the inspection of an article and review of documentation for maintenance
performed by a contracted facility?

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12.1.7

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FINAL INSPECTION
A. This inspection is performed on each article before it is approved for return to service.
B. Final inspection should include a review of documents used during the maintenance (travelers,
inspection sheets, discrepancy sheets, etc.) as well as an inspection of the article.
C. The AMO may develop a checklist to ensure that all activities related to final inspection are
performed.
D. The individual performing this inspection must meet the requirements of Part 5, which requires
the person to be thoroughly familiar with the applicable regulations and the inspection methods,
techniques, practices, aids, equipment, and tools used to determine airworthiness of the article.
E. The person must be proficient in using the various types of inspection equipment and visual
inspection aids appropriate for the article being inspected. Only an employee certificated under
Part 7 is authorized to sign off on final inspections and maintenance releases for the AMO.
F.

The Final inspection procedures should address the following


Who (by title) will perform the inspection?
How will the inspection be recorded?
If the final inspection is not satisfactory, does the facility have procedures governing rework? Any
rework must be performed in accordance with approved or acceptable technical data.
Is the inspector qualified and certificated?
Before the final airworthiness determination is made, are all other maintenance, inspection forms,
electronic media, and records checked for completion? How is this indicated?
Is the final inspector authorized on the roster of inspection personnel?
How is the inspection performed?
Once the final inspection is completed, how are the parts identified?
Are the final inspection personnel familiar with the regulations and the inspection techniques?
Do the final inspectors have access to current technical data?
Are procedures included for when the final inspection results in accepting the part and when it results in
rejection of the part?
If the AMO performs 100-hour and/or annual inspections, are procedures included for addressing the
use of inspection cards and/or forms, checklists, etc., to record the inspection and correct any
discrepancies?
Are procedures for deferral of inoperative equipment if the operator has an CAAV-approved minimum
equipment list also included?
If the maintenance performed was a major repair or major modification, are procedures included to
ensure that the inspector who inspects the article and approves it for return to service is trained,
qualified, and authorized?

12.2
12.2.1

INSPECT QUALITY CONTROL


PREPARATION
A. Before conducting this inspection, the assigned ASI
should review the

3650I Inspect AMO Quality Control


4650I Inspect AMO Quality Control

1) Applicable regulations of Part 5;


2) Maintenance organizations MOPM quality control procedures (or separate QCM manual);
3) CASORT Safety Issue database for previous identified issues regarding quality control.
B. The intent of this inspection is to confirm that the AMO are implementing the quality control procedures
in accordance with the MOPM (or separate QCM manual.

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12.2.2

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OBTAIN ACCESS TO DOCUMENTS USED IN PROCESS


The first step of the inspection is to gain access to all, or a representative sample, of the documents
used during maintenance (travelers, work orders, inspection sheets, discrepancy sheets, etc.) as well as
an inspection of the articles maintained.

12.2.3

OVERALL QC INSPECTION POLICES


A. The ASI should determine
1) Whether the article is identified throughout the maintenance cycle, including parts contracted out
to unlicensed persons,
2) When, where, and to what standard the inspection is done,
3) Who can perform the inspection,
4) Where, how, and on what form the results of the inspection are recorded, and
5) Disposition of the article after the inspection depending on each possible result.

12.2.4

INCOMING RAW MATERIALS INSPECTION


The ASI should confirm
1) Whether raw materials are identified in accordance with the definitions in the ATOM/QCM,
2) The traceability of the materials back to the original lot,
3) The handling of suspected unapproved parts, and
4) Whether shelf life and expiration dates are within limits.

12.2.5

PRELIMINARY INSPECTION
The ASI should check for compliance with Airworthiness Directives (AD) and, if required, service bulletins
associated with the AD requirement.

12.2.6

HIDDEN DAMAGE INSPECTION


The ASI should confirm that this inspection includes a search for any secondary damage that could have
resulted from an accident such as fire or heat damage.

12.2.7

IN-PROCESS INSPECTION
The ASI should
1) Determine if any additional maintenance, as described in a manufacturers
maintenance manual, is accomplished in accordance with ATOM/QCM.
2) Check for procedures for changing the steps in a process specification or accomplishing the tasks
out of sequence.

12.2.8

CONTINUITY OF QC INSPECTIONS
The ASI should confirm that
1) If multiple shifts or consecutive inspectors are used, the procedures for continuing responsibility for
maintenance in process are accomplished,
2) The status book, shift change log, or similar means used to track maintenance progress is
used, and
3) Responsibilities are completed even if the QC inspectors are absent.

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12.2.9

AMO ADMINISTRATION AND


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PERFORMING FINAL INSPECTION


The ASI should determine that
1) The inspector who is signing off the final inspection and/or approval for return to service for the
maintenance organization is
(a) Authorized on the roster of certifying staff inspection personnel;
(b) Appropriately licensed under VAR Part 7;
and
(c) Qualified in accordance with the MOPM
training and qualification policy;

When approved maintenance organizations are


outside the Vietnam, it is not a requirement for
the inspection personnel to be licensed in
accordance with VAR Part 7.

2) The maintenance organization inspects then certifies that each article upon which it has
performed maintenance, preventive maintenance, or modifications is airworthy with respect to the
work performed; and
3) When the final inspection is not satisfactory, corrective action is accomplished in accordance with
appropriate data.
End of Chapter - Appendix Follows

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APPENDIX 12-A
Job Aid MO-014: AMO Quality Control
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PEL#

Mgmt Rep

PEL#

For completion instructions, refer to Chapter 2 of the Airworthiness Inspector manual


YES

NO

NS

NA

25

QUALITY CONTROL

25.1

Does the maintenance organization have a quality control system?

25.2

Do maintenance organization personnel follow the quality control system?

25.3

Does the quality control system have procedures for revising the system
and when and how it will notify the CAAV?

25.4

Does the quality system have a procedure for calibrating measuring and
test equipment and taking corrective action on deficiencies?

25.5

Does the quality system reference the manufacturers inspections standard and how that data will be currency will be maintained?

25.6

Does the approved maintenance organization inspection procedures


manual have current procedures and instructions to ensure continuity of
inspection from the incoming to the final inspections, prior to return
to service of any item?

25.7

Does the approved maintenance organization inspection system produce satisfactory quality control and conform to VAR Part 5?

25.8

Does the maintenance organization inspect each article that it maintains with the inspection system contained in the maintenance organizations quality system (or under the provisions of an operators
approved maintenance program?

INSPECTOR
SIGNATURE

ORG REP
SIGNATURE

End of Appendix 12-A

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Chapter 13
AMO Tools & Equipment
A. This chapter provides guidance for the evaluation
and inspection of the tools and equipment that are
required.

B. The maintenance organization is required to


provide, control, and maintain the tools and
equipment necessary to perform the maintenance,
preventive maintenance, or modification under its
certificate and opspecs.

13.1
13.1.1

Precision tools and test equipment used to make


airworthiness determinations are herein referred
to as measuring tools and equipment (MTE).

TECHNICAL DATA VS EQUIPMENT, TOOLS, MATERIAL REQUIREMENTS


MUST BE AVAILABLE
Equipment, tools, material, and airworthiness and
maintenance data must be available for completion
of the scope of activities included in the CAAV
approval.

13.1.2

APPLICABLE ACTION NUMBERS:


3230C Eval AMO Tools & Equipment Procedures
4230C Eval AMO Tools & Equipment Procedures
3650C Inspect AMO Tools & Equipment
4650C Inspect AMO Tools & Equipment

3230C Eval AMO Tools & Equipment Procedures


4230C Eval AMO Tools & Equipment Procedures

AVIALABILITY OF SPECIAL EQUIPMENT


A. Where the manufacturer specifies a particular tool and equipment, then that tool or equipment
should be used, unless otherwise agreed by the CAAV in a particular case via a procedure
specified in the AMO procedures manual.
B. For maintenance organizations that are not also aircraft operators, it is not uncommon to expect
some specialized equipment, tools and data in respect of a particular variant of an aircraft type to
be provided by the operator.
The approved arrangement for the use of these articles must ensure that the activity is controlled by
proper contractual arrangement between the maintenance organization and the operator.
The AMO must be able to show that all tools and equipment as specified in the approved data can be
made available when needed.

13.1.3

CALIBRATION

IS

REQUIRED

A. Much of the tooling and equipment associated with aircraft maintenance is subject to periodic
calibration.
The calibration procedures and the actual standards themselves traceable to international standards
must be acceptable to the CAAV.

B. The control of these tools and equipment requires that the approved maintenance organization
has a procedure to inspect, maintain and, where appropriate, calibrate such items on a regular
basis and indicate to users that the item is within any inspection or service calibration time-limit.

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13.2
13.2.1

CIVIL AVIATION AUTHORITY

CALIBRATION OF MEASURING & TEST EQUIPMENT


GENERAL POLICY
A. The approved maintenance organization must have MOPM procedures used for calibrating and
test equipment, including the intervals at which the equipment will be calibrated.
B. The approved maintenance organization must have MOPM procedures used for calibrating and
test equipment, including the intervals at which the equipment will be calibrated.
C. An approved maintenance organization must ensure that all test and inspection equipment and
tools used to determine airworthiness of articles are calibrated to a standard acceptable to
CAAV.
D. Inspection, maintenance and calibration on a regular basis should be in accordance with the
equipment manufacturers instructions except otherwise as accepted by the CAAV.

13.2.2

AMO PROCEDURES MANUAL


The MOPM should detail the AMO system for controlling and performing calibration of the precision
tools and test equipment used to make airworthiness determinations, sometimes referred to as
Measuring Tools and Equipment (MTE).
The AMO is responsible for the calibration program, whether calibration is performed in-house or
contracted to outside sources.
The calibration must be traceable to a standard acceptable to CAAV, which includes those
recommended by the manufacturer and an acceptable national or international authority .
The measuring equipment must be calibrated at regular intervals, which are established by the
manufacturer or the AMO.
The AMO should maintain records of the calibration for at least 2 years.

13.2.3

LIST OF CALIBRATED EQUIPMENT


A. All tools and equipment that are required to be controlled in terms of servicing or calibration
should be clearly identified and listed in a control register including any personal tools and
equipment that the organization agrees can be used.
The register should be maintained for all precision tools and equipment together with a record of
calibrations and standards used.

B. The AMO should maintain this list of calibrated equipment by name, model or part number, serial
number, date of calibration, and next calibration due date.
If the AMO allows employee-owned measuring and test equipment to be used in the facility, these tools
must be included in the calibration system.
Many facilities choose to maintain the calibration system records and techniques on a computer.
A computerized list enables those facilities to manage a large list of equipment requiring periodic
calibration.
The individual performing the calibration will need to have experience and/or training on the computer
system as well as on calibration techniques.

13.2.4

QUALIFIED & RESPONSIBLE PERSONNEL


A. Personnel calibrating tools and equipment will need to have the knowledge, training, or
experience necessary to ensure proper calibration.
Records of the training or experience will need to be in each employees training file or employment
summary.

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B. Procedures will need to address how and when the equipment is recalled for calibration and the
title of the person responsible for ensuring that the equipment is returned to the calibration
technician.
The procedures should also describe how the facility determines calibration status of a new tool or
piece of equipment before it is put into service.

13.2.5

USE OF ACCEPTABLE CALIBRATION STANDARDS SOURCES


A. The acceptable sources of calibration standards will include the
1) International Organization for Standardization (ISO);
2) International Electrotechnical Commission (IEC), or
3) Standard of the country of manufacture may be used if approved by the CAAV.
B. An exemption authorization is required if a maintenance organization uses equipment of a foreign
manufacturer and the method of calibration it will use is not one of the above sources, or the CAAV
inspector cannot obtain the validity of the calibration laboratory.
Exemption authorizations are granted through the issuance of an exemption guidance in VAR
Part 1.
Currently, exemptions of this type are issued for a 2-year period and can be renewed if requested

by the maintenance organization.

13.3
13.3.1

CALIBRATION RECORDS
CONTENT OF CALIBRATION RECORDS
Calibration records should include the following
1) The name of the person who performed the calibration.
2) Date of calibration.
3) Date next calibration is due.
4) The standard used to perform the calibration.
5) The method used to perform the calibration.
6) The results of the calibration.

13.3.2

CALIBRATION RESULTS = ACTUAL READINGS


The results of the calibration should include the actual readings of the equipment at the test points.
If the station intends to revise calibration intervals, pass or fail notations will not suffice.
The calibration interval cannot be increased without sufficient recorded data points (calibration history)
to justify a change.
The procedures should state the title of the person responsible for maintaining the records and where
the records will be maintained.

13.3.3

IN-ORGANIZATION CALIBRATION
If the AMO calibrates its own equipment, a series of guage calibration techniques should be
developed.
These techniques should describe exactly how the tool or equipment is calibrated, including the
standard used, test points, accuracy required, and records.
The techniques could be those recommended by the manufacturer or an industry standard acceptable
to CAAV.

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The technique may include provisions to safeguard the equipment from adjustments that would
invalidate results (tamper proofing).

13.3.4

IDENTIFICATION OF CALIBRATED EQUIPMENT


A. A clear system of labeling all tooling, equipment and test equipment is necessary giving
information on when the next inspection or service or calibration is due and if the item is
unserviceable for any other reason where it may not be obvious.
B. Calibrated equipment should be identified in some manner to prevent the inadvertent use of
non-calibrated equipment in the maintenance process.
C. The identification usually includes the
1) Serial number or other identification,
2) Date of last calibration,
3) Date calibration is due, and the name or
initials of the person who performed the
calibration.

It is important that the equipments serial number can be identified if the label is removed or
lost.

D. All calibrated tools and equipment should be


protected from damage and deterioration during handling, maintenance, and storage.
E. The facility may use some equipment that does not require calibration if that equipment is not
used to make airworthiness determinations.
F.

The procedures should describe how that equipment is identified and controlled.

G. Other equipment may have limited calibration, and the limitations should be clearly marked on
the equipment or label.

13.3.5

MOPM CALIBRATION PROCEDURE CONTENT


A. The following questions or concerns are offered as a guide and are intended to help initiate the
calibration procedures.

Who (by title) is responsible for the calibration system?


What is the basis for the test intervals (manufacturer, standard industry practice, etc.)?
Is the calibration technique recommended by the manufacturer or standard industry practice?
How is calibrated equipment identified?
Is the calibration technique documented?
What procedure is used to change calibration intervals?
Are actual calibration results recorded to justify changes to calibration intervals?
Is calibration of tools traceable to NIST or manufacturers standards, or an accepted foreign or
international standard?
If foreign equipment is used, is the calibration standard acceptable to CAAV?
Do the procedures ensure that equipment is removed from service and calibrated when due?
Do the procedures include recall of the product inspected if the measuring equipment was out of
tolerance when calibrated?
How is equipment handled if it is not submitted for calibration when it is due (i.e., lost or overdue)
How is calibration recorded? Are actual results recorded at each test point?
If the AMO uses automated test equipment, is it included in the calibration system?
Does the procedure describe the information on the calibration label of the equipment?
How is equipment that must be calibrated before each use identified and recorded?
How is equipment that does not require calibration identified?
What are the procedures for calibration of employee-owned tools?
Do the procedures address the acceptance of new precision test equipment into the inventory?
Do the procedures address calibration performed by an outside contractor?

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Do the procedures address calibration requirements, standards, documentation, and traceability of


tools that the AMO has leased?
Who (by title) is responsible for records of calibration received from outside contractors?
Do the procedures describe the review of the contracted calibration facilitys records for traceability,
accuracy, and acceptability?
.Is the person performing the calibration qualified? Do the training records or employment records
reflect his or her qualifications?
Does the equipment used to perform the calibration have the required accuracy?
If the facility includes an engine or auxiliary power unit test cell, does the manual include procedures for
correlation, calibration, and limitations, if any?
For facilities that perform NDT, does the manual include procedures for certification of companymanufactured NDT standards (if any are used)?

13.4
13.4.1

INSPECTION CONSIDERATIONS
REVIEW APPLICABLE INFORMATION
A. Before inspecting, the assigned ASI should review the
1) Applicable regulations of Part 5;
2) Maintenance organizations MOPM;

3650C Inspect AMO Tools & Equipment


4650C Inspect AMO Tools & Equipment

3) The CAAV opspecs for this maintenance


organization;
B. The intent of this inspection is to confirm that all tools and equipment required for the performance of
maintenance is
1) Avialable for use during the process;
2) Properly identified and tracked;
3) Calibrated in acccordance with MOPM procedures to a standard approved by the CAAV; and
4) Used as directed by the manufacturer of the part or article.

13.4.2

REVIEW CALIBRATION & RECORD


A. The ASI should review the section of the MOPM describing the system, and procedures used for
calibrating MTE.
B. The ASI will conform confirm that
1) he maintenance organization is calibrating MTE, in accordance with the intervals, the system and
procedures described in the MOPM.
2) All MTE are calibrated and traceable to a standard acceptable to the CAAV, to include those
recommended by the manufacturer and the appropriate national or international authority.
International agreements may also be accepted as a means of compliance.
A list of international agreements referred to as Memorandum of Understanding (MOU) or Mutual
Recognition Agreement

C. The ASI should make determination regarding the following


1) Whether the maintenance organization determines calibration status of new MTE before they are
put into service.
2) How and when MTE are recalled for calibration.
3) Does the calibration and tracking system include employee-owned MTE?
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4) How the maintenance organization establishes calibration intervals.


5) Whether the maintenance organization maintains a list of all calibrated equipment by name,
model or part number, serial number, date of calibration, and next calibration due date.
6) If calibration records are maintained for at least 2 years.
7) If MTE are identified to prevent the
inadvertent use of noncalibrated equipment
in the maintenance process.
8) Whether MTE that are not used to make
airworthiness determinations are identified.
9) How the maintenance organization performs inhouse calibration of the maintenance
organizations MTE.

13.5

The identification ncludes the


Sserial number or other identification,
Date of last calibration,
Date calibration is due, and
Name or initials of the person who performed the
calibration.
The tool or test equipment used as a standard
for performing calibrations cannot be used to
perform maintenance after it is calibrated and
before being used as an in-house calibration standard..

USE OF MANUFACTURERS REQUIREMENTS & EQUIVALENCY


A. The ASI should review the section of the MOPM
describing the system and procedures used for
ensuring the equipment and tools used to maintain
articles are those recommended by the articles
manufacturer or the equivalent as accepted by
the CAAV.
B. The ASI should then confirm that the maintenance
organization is using the system and procedures in
the MOPM for ensuring the equipment and tools
used to maintain articles are those recommended
by the articles manufacturer or the equivalent as
accepted by the CAAV.

This section is not intended to discuss industry


standard tools and equipment (wrenches, multimeters, sockets, etc.) that are manufactured to a recognized industry standard.

The basis of equivalency is the requirement that


the article meet the manufacturers standards and
specifications in all respects regarding tolerances,
repeatability, and accuracy.

C. If the maintenance organization manufactures test and measuring equipment to be used as an


equivalent piece of equipment for one recommended by an articles manufacturer, the ASI must
confirm that it meets the calibration standards recommended by the manufacturer of the article being
measured or tested. This type of calibration would be expected to be traceable to a standard
acceptable to the CAAV.
D. The following key points apply to the application of equivalency during this inspection
The burden of demonstrating equivalency is borne by the maintenance organization not the

CAAV.
The CAAV and DERs may only make an acceptance of functional equivalency for special

equipment or test apparatus.


Neither the CAAV nor a DER may approve equipment and/or test apparatus.

13.5.1

INSPECT CONTROL, MAINTENANCE & STORAGE


Before beginning this portion of the inspection, the ASI should review the sections of the MOPM describing
the system and procedures for the control, maintenance, use, and storage of the MTE used to maintain
articles.

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Procedures Being Followed?


A. Then the ASI should confirm whether the
1) Maintenance organization is following its system and procedures in the MOPM for the control,
maintenance, use, and storage of the MTE used to maintain articles.
2) Maintenance organization has the MTE necessary to perform the maintenance, preventive
maintenance, or modifications under its CAAV approval.
3) MTEs are located on the premises and under the maintenance organizations control when the
work is being done.

13.5.1.2

Manufacturers Requirements
The ASI should give particular emphasis to determining
1) Whether the maintenance organization has the maintenance and service manuals for all MTE
used to perform the maintenance, preventive maintenance, or modifications under its maintenance
organization approvals.
2) Whether the maintenance organization fulfills the MTE manufacturers requirements for control,
maintenance, use, and storage.

13.5.1.3

Equipment Not Owned or On-Premises


Where the maintenance organization does not own the equipment and/or it is not kept at the facility, the ASI
must determine the acceptability of their arrangements, including
1) How the equipment is obtained (lease, rental, etc.);
2) How the maintenance organization ensures the equipment is on the premises and under the
maintenance organizations control at the time the work is being performed; and
3) How the maintenance organization ensures that the department responsible for calibrating leased
MTE is identified.

13.5.2

INSPECT TEST CELLS


A. The ASI should begin this portion of the inspection by reviewing the MOPM section describing the
system(s) and procedure(s) necessary for correlation, operation, design, and modification of test cells.
B. The ASI may then make a conformance inspection to confirm that
1) The maintenance organization is following the systems and procedures in the MOPM for the
control, maintenance, use, and storage of the MTE used to maintain articles.
2) The test cell conforms to the description in the MOPM, to include:
An accurate description of the system(s) and procedure(s) to ensure test cell correlation, operation, design,
and modification.
A description of the system(s) design, operation, configuration, and construction of test cell and test
hardware for operation and performance.

3) The correlated test cell provides a means of ensuring that article(s) meet minimum test
requirements.
4) The test cell instrumentation is calibrated to a standard acceptable to the CAAV.
5) When repairs or structural modifications that significantly effect performance have been made
to an existing test cell, that test cell correlation or recorrelation is accomplished.
End of Chapter - Appendix Follows

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APPENDIX 13-A
Job Aid MO-015: AMO Tools & Equipment
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PEL#

Mgmt Rep

PEL#

For completion instructions, refer to Chapter 2 of the Airworthiness Inspector manual

YES

NO

NS

NA

26

TOOLS & TEST EQUIPMENT

26.1

Does the organization follow the policies and procedures for control
and calibration of test and measuring equipment as described in the
MOPM?

26.2

Is the individual responsible for this control knowledgeable about the


procedures detailed in the MOPM?

26.3

Does the system provide traceability for all calibrated equipment?

26.4

Are these tools and equipment properly identified and maintained?

26.5

Does the organization ensure that all test and measuring equipment
is controlled and that calibration is up-to-date?

26.6

Does the organization records clearly track which equipment will


require calibration, such as measuring equipment utilized to confirm
maintenance specifications and parameters?

INSPECTOR
SIGNATURE

ORG REP
SIGNATURE

End of Appendix 13-A

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Chapter 14
AMO Maintenance Release
This chapter provides policy guidance for evaluation
and inspection of the adequacy of a maintenance
organizations maintenance release procedures.

14.1
14.1.1

APPLICABLE ACTION NUMBERS


3234A Eval AMO Proposed Maintenance Release
4234A Eval AMO Proposed Maintenance Release

MAINTENANCE RELEASE
GENERAL
A. A maintenance release shall be completed and signed to certify that the maintenance work
performed has been completed satisfactorily and in accordance with procedures described in
the maintenance organizations procedures manual.
B. A maintenance release shall contain a
certification including
1) The basic details of the maintenance
carried out;

Refer to Appendix A to this chapter for specific


checklist guidance applicable to the evaluation
and inspection of a maintenance organization
maintenance release.

2) The date such maintenance was


completed;
3) When applicable, the identity of the approved maintenance organization; and
4) The identity of the person or persons signing the release.

14.1.2

COMPLETION OF A WORK PACKAGE


A. A maintenance release, which certifies that the maintenance work has been completed in a
satisfactory manner, is necessary before flight at the completion of any package of maintenance
specified by the customer in accordance with such customers responsibility.
B. This package of maintenance may include any
one or a combination of the following
elements
1) A check or inspection from the operators
aircraft maintenance programme;

This maintenance release should not be confused with the action that must be taken by the
operator to give evidence that the aircraft is
airworthy and fit to undertake a specific flight.

2) Implementation of Airworthiness Directives, Components Overhauls, repairs, modifications,


engine changes, aircraft component replacements and defects rectification.

14.1.3

CAVEATS TO THE MAINTENANCE RELEASE


In all the cases, this maintenance release to service (for the aircraft or for the component) means
only that the work ordered by the customer (being most of the time the aircraft operator) has been
completed satisfactory by the approved maintenance organization.
It does not mean that the work ordered by the customer was sufficient to ensure the airworthiness of the
aircraft or the component.
The responsibility to get the aircraft airworthy or to install onboard only airworthy components remains
with the aircraft operator.

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14.2
14.2.1

CIVIL AVIATION AUTHORITY

DEFERRED MAINTENANCE
OPERATOR RESPONSIBILITY
A. As stated previously, the operator is responsible to ensure the airworthiness of the aircraft and
the serviceability of both operational and emergency equipment by the
1) Accomplishment of pre-flight inspections;
2) Rectification to an approved standard of any defects and damage affecting safe operation,
taking into account the approved minimum equipment list and configuration deviation list if
available for the aircraft type;
3) Analysis of the effectiveness of the operators approved aircraft maintenance programme;
4) Accomplishment of any operational directives, Airworthiness Directive and any continued
airworthiness requirement made mandatory by the CAA; and
5) Accomplishment of modifications and repairs in accordance with a standard approved by the
CAAV.

14.2.2

NOTIFICATION TO OPERATOR & DEFERMENT


A. it is vital that the operator be informed when the maintenance organization could not fully comply
with the operators work order.
For example; to the operators time limitations due to (time constraints not acceptable for the
maintenance organization or to a lack of components or tools.

B. Normally, a maintenance release cannot be delivered in the case of non-compliance, therefore


the AMO should follow a procedure which states what actions the mechanic, supervisor and
certifying staff should take to bring the matter to the attention of the relevant person in charge of
the coordination between the operator and the approved maintenance organization.
C. If the operator should agree to the deferment
of full compliance, then the maintenance
release may be issued by the approved
maintenance organization subject to details of
deferment being endorsed on the certificate
including the operators acceptance.

14.3
14.3.1

Whether or not the aircraft operator has the


authority to defer maintenance is an issue
between the aircraft operator and its CAA.

QUALIFICATION OF PERSONS SIGNING A MAINTENANCE RELEASE


AMO QUALIFICATION OF INSPECTING STAFF
A. The requirements for licensing of a person signing the maintenance release are provided in
VAR Parts 4 and 7.
The qualification of AMO certifying personnel employed by the organization shall be equivalent to the
qualification required in VAR 4 and 7 for licensed individuals.

B. All certifying personnel signing a maintenance release should be familiar with the relevant
company systems and procedures, and have appropriate knowledge of the aircraft or
component being maintained.
The AMO must ensure compliance with this requirement is determined before a certifying authorization
is granted.

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14.3.2

AMO ADMINISTRATION AND


CERTIFICATION MANUAL

MANAGEMENT & INSPECTING STAFF


A. Each AMO must have the management personnel necessary for the scope and complexity of its
organization.
B. VAR Part 5 requires an accountable manager, supervisory personnel, inspection personnel, and
certificated personnel to approve the articles it maintains or modifies for return to service.

14.4

MAINTENANCE RELEASE & APPROVAL FOR RETURN TO SERVICE


A. The maintenance release document must meet the requirements of Part 4.
Many AMOs have chosen to use their own designed form incorporating the regulatory requirements for
a maintenance release.
Those facilities that are Joint Aviation Authorities (JAA) certificated must use JAA-required form.

B. Articles returned to JAA member countries must use the JAA form required for maintenance
release.
C.

Regardless of the format, the contents must include


1) A description (or reference to data acceptable to CAAV) of the work performed.
In either case there must be enough information provided so that a person unfamiliar with the work
would be able to determine the extent of the maintenance and/or modification performed.
If the AMO is also JAA-certificated, the maintenance release must include the revision status of the
technical data used to perform the work.
The maintenance release also should include a record of the parts used, particularly if the
maintenance involved the substitution of parts, such as PMA parts.

2) The date the article is approved for return to service.


3) The name of the person who performed the work (in this case the AMO).
4) The name of the individual authorized by the AMO to approve the article for return to
service.
D. As required by Part 5, the personnel authorized to sign maintenance releases for AMOs must be
certificated under Part 7
1) If the maintenance was performed on an article that is life-limited, include the total time and
total cycles.
2) If the article requires periodic overhaul under an air AOC or commercial operators
maintenance program, include the time since overhaul.
E. If the AMO is performing maintenance for an AOC, the AMO should follow the maintenance
release procedures described in the AOCs manual. The forms and procedures may differ from
those the AMO normally uses.
F.

The approval for return to service may be a separate document, included in the work order, or
entered into the aircraft maintenance records.
If the maintenance was a major repair, the AMO may use a work order to record the work and approve
the article for return to service (Refer to AC 04-007 for details).
If the maintenance performed was a major modification, the AMO must use an CAAV-approved form to
record the work and approve the work performed for return to service.
If the AMO chooses to use the sample form and instructions as their own, a copy of the form and
instructions for its completion should be included in the forms section of the manual.

G. Procedures for approval for return to service should include the following (as applicable)
Who (by title) is authorized to complete the form? How is the individual authorized?
Is the person certificated under in accordance with ICAO Annex 1 and/or NTA Part 7?
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Do the procedures ensure that a qualified and authorized person can assume the responsibilities of this
task if the person who normally performs it is not available (e.g., sick, on vacation, etc.)?
Does the maintenance release include or reference a list of approved parts?
How does the AMO ensure that it approves for return to service only those articles for which it is rated?
How does the AMO determine if the repair or modification is major? If the maintenance was a major
repair or major modification, how will it be recorded?
Who (by title) is authorized to complete the Major Repair and Modifications form, and how is that person
authorized?
What records are given to the customer, and what records are maintained on file at the AMO?
Have the people that complete the approval for return to service been trained for this position? Is the
training documented?

End of Chapter - Appendix Follows

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APPENDIX 14-A
Job Aid MO-016: AMO Maintenance Releases
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PEL#

Mgmt Rep

PEL#

For completion instructions, refer to Chapter 2 of the Airworthiness Inspector manual

YES

NO

NS

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NA

27

MANAGEMENT & ADMINISTRATION

27.1

Does the maintenance organization have an accountable manager?

27.2

Does the named accountable manager have the authority as required by


the regulation?

27.3

Does the maintenance organization have adequate personnel who


supervise, inspect, and perform the work?

27.4

Does the maintenance organization have sufficient number of employees to perform the work under the ratings held?

27.5

Does the maintenance organization have sufficient number of supervisors to direct the work performed under the maintenance organization
certificate and operations specifications?

27.6

If the maintenance organization is located outside Vietnam does the


supervisors meet the VAR Part 5 requirements (or equivalent) for managers?

27.7

Do all supervisors, inspectors, and those with return to service authority, read, write, and understand English?

27.8

Does the maintenance organization assure that all inspection personnel


meet the requirements of VAR Part 5 (or equivalent)?

27.9

Does the maintenance organization have personnel authorized to


approve and article for return to service?

27.10

Does that person meet the license requirements of VAR Part 7?

27.11

If the maintenance organization is located outside the United States,


does the maintenance organization assure that person meets the
license requirements of VAR Part 7 (or equivalent)?

27.12

Does each maintenance function within the approved maintenance


organization have an appropriately licensed person that meets the
requirements of VAR Part 7, directly in charge of those functions?

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27.13

Does the supervisor for propeller and instrument functions hold an


aviation repair specialist license (or equivalent) with appropriate
ratings?

27.14

Does all personnel issued an aviation repair specialist license (or equivalent) meet the requirements of VAR Part 7?

27.15

Does the maintenance organization have a current roster of its management and supervisory personnel, including the names of the
officials who are responsible for its management and the names of all
supervisors who oversee maintenance functions?

27.16

Does the maintenance organization have a roster of inspection personnel?

27.17

Does the maintenance organization have a roster of personnel authorized to sign a maintenance release approving an article for return to
service?

27.18

Does the maintenance organization have a summary of the employment of each individual whose name is on the personnel roster?

27.19

Does the maintenance organization make the changes to the roster with
in the required 5 business days?

27.20

Does each approved person who is directly in charge of a maintenance


function have the required experience or formal training acceptable
to the CAAV?

INSPECTOR
SIGNATURE

ORG REP
SIGNATURE

End of Appendix 14-A

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Chapter 15
AMO Records & Records System
This chapter provides guidance for the evaluation and
inspection of the maintenance organizations records
system, including the policy
Contents of records
Types of records

APPLICABLE ACTION NUMBERS:


3230H Eval AMO Records System
4230H Eval AMO Records System
3650E Inspect AMO Records System
4650E Inspect AMO Records System

Emphasis areas for evaluation


Emphasis areas for inspection

15.1
15.1.1

EVALUATION OF AIRCRAFT RECORDS & RECORDKEEPING


AVAILABLE RECORDS
The AMO records system shall include any records that document maintenance and modification performed
on an aircraft or associated part.

15.1.2

DESCRIPTION OF RECORDS & RECORDKEEPING


The MOPM must include a description of the
required records and the recordkeeping system
used to obtain, store, and retrieve those records.

3230H Eval AMO Records System


4230H Eval AMO Records System

The records must be in English and comply with VAR Part 4.

15.1.3

CONTENTS OF THE RECORDS


A. VAR Part 4 describes the content, form, and disposition of maintenance, preventive
maintenance, and modification records. The content must include
1) A description of the work performed,
2) The date the work was completed, and
3) The name of the person performing the
work.

It also must include the signature,


certificate number, and type of certificate of the person approving the
work for return to service.

B. The records must also include, for the person issuing the maintenance release
1) Signature;
2) License number; and
3) Type of license.

15.1.4

MAJOR REPAIRS OR MODIFICATIONS


For major repairs made in accordance with an CAAV-approved manual or other approved data, the
AMO may use the customers work order to record the repair or use the CAAV-approved form.
The AMO must use an CAAV-approved form to record major modifications.
Instructions for completion of the form shall be similar in content as the sample in AC 04-007.

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15.1.5

CIVIL AVIATION AUTHORITY

FORMAT OF THE RECORDS


Records may be in different formats depending on the type of work performed.
Samples of the various forms that are part of the AMOs records must be included in the manual or can
be maintained in a separate forms manual.

15.1.6

RECORDS FOR AOC HOLDERS


A. Maintenance record entries for an AOC should be completed in accordance with the AOCs
procedures.
B. The entries may include the use of forms specifically required by the air AOC.
C. The procedures, forms, and records may differ from those normally used by the AMO personnel.

15.1.7

WORK PACKAGES
A. The procedures should describe the contents of the facilitys work package, if applicable.
B. This work package may include a traveler or router that describes each step of the maintenance
or modification performed.
C. It may contain areas for the signatures or identifiers such as stamps, bar codes, badge numbers,
and electronic signatures of the person performing the work and of the inspector.

15.1.8

AIRCRAFT INSPECTIONS
If the facility performs aircraft inspections, the records should include
1) The checklist used to perform the inspections;
2) Discrepancy lists;
3) Corrective actions needed and/or taken; and
4) Compliance with any ADs and/or SBs.

15.1.9

DER-APPROVED TECHNICAL DATA


A. If the AMO performs repairs in accordance with DER-approved technical data, a copy of the
CAAV-approved form used should be included in the records package.
B. DER-approved technical data will normally require additional CAAV approval when used for
major modifications.

15.1.10

SUPPLEMENTAL WORK PACKAGE FORMS


Supplemental forms in a work package may include, but are not limited to

15.1.11

A list of replacement parts.


Inspection methods sheets.
SB and/or AD compliance sheets.
Copies of manufacturers technical data.
Functional test and/or calibration results.

MAINTENANCE RELEASE
A. The AMO must provide a copy of the maintenance release to the owner/operator.
B. If the AMO chooses to use their own form as a maintenance release, the records must include a
copy of the completed form.
The procedures should describe who would review the records for accuracy and completeness before
approval for return to service, unless that information is included elsewhere in the manual.

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15.1.12

AMO ADMINISTRATION AND


CERTIFICATION MANUAL

ORGANIZAED FOR EASY RETRIEVAL


A. Records must be made available to CAAV . Records should be organized for easy retrieval.
Procedures should describe the location of the records and the system used to retrieve those records.
Some AMOs store records in a remote location.
Storage provisions should include environmental
The manual must include procedures describing
protection as well as security.
its retention interval and retrieval process.

B. Records must be made available to CAAV in accordance with VAR Part 1 access provisions..

15.1.13

RECORD RETENTION & RESPONSIBILITY


The procedures should include the title of the person responsible for maintaining the records for the
AMO and where the records will be located.
The records must be maintained for at least 2 years from the date the article was approved for return to
service.
The customer purchase order or contract may require storage for a longer period of time.

15.2

ELECTRONIC RECORDKEEPING SYSTEMS


A.

When constructing an electronic recordkeeping system, several elements must be considered


and addressed in the MOPM or within the directions for use of the electronic system.
1) Those directions must be available to each person using the system.
2) The electronic system must ensure confidentiality of the information and ensure that it is not
alterable in an unauthorized way.

B. Before introducing an electronic system, an Electronic Aircraft Records Instructions Manual


should be published. The manual should include the following
1)

Procedures for making required records available to the CAAV inspectors.


An employee or a representative who is familiar with the computer system may need to assist
CAAV personnel in accessing the computerized information.
The computer system must be capable of producing paper copies of the viewed information at the
Administrators request.

2) A procedure for conducting a review of the computerized personal identification codes


system to prevent password duplication (if applicable).
3) Procedures for periodic audits of the computer system to ensure the integrity of the system
and each workstation.
4) A procedure to ensure that any records for an aeronautical product are transferred to the
owner/operator with the required information in an acceptable format, either electronically or
on paper.
5) A description of the training procedure and requirements needed for access to the
computerized system.
6) Procedures addressing periodic backup of records and files.
C. The AMO must provide a copy of the procedures for implementing an electronic recordkeeping
system to CAAV.

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15.3

CIVIL AVIATION AUTHORITY

MOPM CONTENT: AIRCRAFT RECORDS


The following questions or concerns (as applicable)
regarding AMO maintenance records should be
addressed by the AMO in the MOPM (or supporting
volumes).

The AMO may need to develop additional procedures, depending on the size and complexity of
the facility.

1) Who (by title) is responsible for maintaining the recordkeeping system?


2) What documents are included in a typical records package? What additional forms may be
included?
3) Where are the records stored?
4) What method is used to organize the records?
5) Are the records easily retrieved?
6) Who (by title) reviews records for accuracy and completeness before approval for return to
service? Is the individual trained?
7) If an CAAV-approved form is used, does the AMO include a completed copy in the records
package?
8) If electronic records are used, procedures for security, backup, and retrieval of files must be
established.
9) Are the records in English, and do they meet (at a minimum) the requirements of Part 5.
10) What records will be provided to the owner/operator?
11) How will the AMO process records received from contractors?
12) Are procedures included for distribution and storage of CAAV-approved forms used to
record completion of major repairs and modifications?
13) How does the AMO document any special inspections, such as hydrostatic tests, functional
tests, and so forth?

15.4
15.4.1

INSPECTION OF AIRCRAFT RECORDS & RECORDKEEPING


PREPARATION FOR INSPECTION
Before the inspection, the ASI should review the
1) Applicable portions of VAR Parts 4 and 5.

3650E Inspect AMO Records System


4650E Inspect AMO Records System

2) Maintenance organizations MOPM for the


description of the required records and the recordkeeping system used to obtain, store, and
retrieve those records.
3) CASORT-Org database for the
(a) Person responsibile for the retention of the records for this organization; and
(b) Authorized location of the records;
4) The CASORT-Safety Issue records for previously identified issues with the records and/or
recordkeeping.

15.4.2

PERSONNEL ROSTERS
The ASI should confirm that, with regard to the personnel roster, the

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The roster is current for the persons presently employed


The authorizations for each employee are current;
AMO retains an accurate history of the roster personnel roster to track the addition and removal of authorizations
for each of the employees,

15.4.3

WORK ORDERS
The ASI should confirm that all maintenance records/ work orders retained by the AMO for no less than 2
years.

15.4.4

WORK PACKAGE
The ASI should confirm that, except for records provided to AOC holders, the work packages

15.4.5

Are completed using the forms and methods described in the MOPM;
Are in English
Are retained for a minimum of 2 years;
Include the content requirements of the applicable VARs

RECORD PACKAGE AVAILABILITY


The ASI should confirm that, with regard to the records package
It is organized for easy retrieval;
Employees are complying with the procedures describing the location of the records and the system
used to retrieve those records;
Employees are complying with the procedures governing the storage and retrieval of records from
remote storage sites.
These records are immediately available for the CAAV.

15.4.6

MAINTENANCE RELEASE
The ASI should confirm that the AMO

15.4.7

Provides a copy of the maintenance release to the owner/operator.


Provides list of discrepancies showing the status at the time of issuance of the maintenance release;
Maintains a record of the AOC holders forms that were completed during the maintenance
MOPM procedures were followed regarding the review for accurancy and completness before the
return to service.

DISPOSITION OF LIFE-LIMITED PARTS


The ASI should confirm the adequacy of the MOPM life-limited parts procedures and the
organizations compliance with those procedures, including
Temporary removal of parts from type-certificated products;
Controls for parts permanently removed from type-certificated products; and
Transfer of life-limited parts,

15.4.8

MALFUNCTION & DEFECT REPORTING


A. The ASI shoud review the records and identify those records which would have required the
transmittal of a report regarding the malfunction or defect found.
B. The ASI should confirm tha the AMO has submitted reports of failures, malfunctions, or defects to
the CAAV within 96 hours of discovery and that those reports were submitted in accordance with
MOPM requirements.

15.4.9

COMPLIANCE WITH AOC HOLDER PROCEDURES


If the AMO is performing maintenance for an airline, the ASI should confirm that the
AMO maintenance records reflect the requirements found in the airline or air operators manual.

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Where forms and procedures are different from the AMO, the AOC holders forms and procedures are
followed.

15.4.10

RECORDS OF INSPECTIONS FOR AOC HOLDERS


A. The ASI should confirm that the adequacy of the MOPM procedures regarding the content, form and
disposition of maintenance records for inspections performed for AOC holders.
B. The ASI should confirm that appropriate record entries are entered in the appropriate aircraft
maintenance record reflecting the type inspection performed (100-hour, annual, progressive,
Approved Aircraft Inspection Program (AAIP)) and the similarly worded approval for return to service
statement.

15.4.11

MAJOR REPAIRS/MODIFICATIONS
The ASI should confirm that the AMO is retaining a record of all major repairs and modifications
completed as part of any maintenance record retention system .

15.4.11.1

Major Repairs

The ASI should confirm that the MOPM procedures regarding major repair
Specify the appropriate method for recording the major repair
Are being followed by the AMO personnel

15.4.11.2

Major Modifications

The ASI should confirm that the

15.4.11.3

MOPM procedures for recording major modifications are adequate


Forms for recording the major modifications are being completed and routed to all required recipiants;
Major modifications for AOC holders are completed in accordance with the AOC holders manual;
Those modifications requiring a field approval are prepared and process in accordance with the method
prescribed by the CAAV

Designated Engineering Representative (DER) Approved Data

If the AMO performs maintenance in accordance with DER-approved technical data, the ASI should
confirm that a copy of that data is included in the records package.

15.4.12

TRAINING RECORDS
The ASI should confirm that, with regard to the training records
All training records are retained for a period of 2 years;
The training records must record both initial and recurrent training.
However if the employee has been employed by the AMO for over the 2-year requirement, the record of the
initial training may not be available for review. It is recommended the PI encourage the AMO to retain a
record of the employees initial training.

15.4.13

ELECTRONIC RECORDS
A. If an electronic recordkeeping system has been approved by the CAAV and is being used by the
AMO, the ASI should confirm that
Those records accurately reflect all requirements previously outlined in this section.
Training methodology and requirements necessary to authorize access to the computer

hardware and software system are immediately available to the users.


The 60-day integreity audit records are available and retained on file as part of the operators record
retention requirements
There is a fail-safe systems remote backup for the records;

B. The ASI should also confirm the adequacy of the procedures for
1) Making required records available to both the accident investigators and CAAV personnel.
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If the computer hardware and software system is not compatible with the CAAV system, the organization
must provide an employee or representative to assist.
This individual must be familiar with the computer system and assist in accessing the necessary
computerized information.

2) Producing paper copies of the viewed information at the request of the CAAV;
3) Reviewing the computerized personal identification codes system to ensure that the system will not
permit password duplication.
4) Auditing the computer system every 60 days
to ensure the integrity of the system.
5) Audit procedures to ensure the integrity of
each computerized workstation.

6) Ensuring that the computerized records are


transmitted in accordance with the
appropriate regulatory requirements to
customers or to another operator.

This audit may be a computer program that


automatically audits itself.
If the workstations are server-based and contain
no inherent attributes that enable or disable
access, there is no need for each workstation to
be audited.
The records may be either electronic or paper
copies.

7) Ensuring that records required to be transferred with an aircraft are in a format (either electronic
or on paper) that is acceptable to the new owner/operator.
8) Allowing the authorized representatives of the owner/operator to use electronic signatures and to
have access to the appropriate records.
9) Security, to include the following
(a) The electronic system should protect confidential information.
(b) The system should ensure that the information is not altered in an unauthorized way.
(c) A corresponding policy and management structure should support the computer hardware and
computer software that delivers the information.
End of Chapter - Appendices Follow

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APPENDIX 15-A
Job Aid MO-017: AMO Maintenance Records
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PEL#

Mgmt Rep

PEL#

For completion instructions, refer to Chapter 2 of the Airworthiness Inspector manual.


YES

NO

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NA

28

MAINTENANCE RECORDS SYSTEMS

28.1

Does the organization follow its approved methods, as described in


the MOPM, for recording of work performed and ensuring defects are
recorded in appropriate documents?

28.2

Are the methods effective and appropriate?

28.3

Is the process or procedure used to transmit maintenance information between bases / personnel as described in the MOPM?

28.4

Does the manual identify the standards, if other than those required
by VAR Part 4, utilized for the performance of work?

28.5

Does the MOPM describe the system being used to record the performance of work?

28.6

Are maintenance records complete?

28.7

Does the manual describe the procedures being used to control the
distribution of and completion of assigned tasks?

28.8

Are the work packages used as described in the MOPM?

28.9

Does the manual specify how maintenance tasks are to be recorded?

28.10

Does the approved maintenance organization maintain records of all the


work performed during the preceding 2 years?

28.11

Does the approved maintenance organization complete an CAAVapproved form for each major modification in accordance with VAR
Part 4, or the air operators approved maintenance program?

28.12

Does the approved maintenance organization record major repairs in


accordance with VAR Part 4 (or an air operators approved maintenance
program), and provide a signed copy to the aircraft owner?

28.13

Does the approved maintenance organization approval or disapproval of


inspections performed meet the requirements of VAR Part 4?

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YES

NO

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NA

28.14

Does the approved maintenance organization have a work order system


that is adequate, traceable and in accordance with the quality assurance
manual?

28.15

Does the approved maintenance organization maintain records in accordance with VAR Part 5?

28.16

Does the maintenance organization have a procedure that describes the


required records and recordkeeping system?

29
29.1

MAJOR REPAIR & MODIFICATION CONFORMITY


Does the approved maintenance organization utilize approved data for all
major repairs and major modifications?

INSPECTOR
SIGNATURE

ORG REP
SIGNATURE

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APPENDIX 15-B
Job Aid MO-018: Maintenance Reporting Requirements
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PEL#

Mgmt Rep

PEL#

For completion instructions, refer to Chapter 2 of the Airworthiness Inspector manual.


YES

NO

NS

NA

30
30.1

YES

NO

NS

NA

31

MECHANICAL REPORTING PROCEDURES


Does the approved maintenance organization have procedures to report
defects or unairworthy conditions as required by VAR Part 5?
SERVICE DIFFICULTY REPORTING

31.1

Are the reports forwarded within the time frames established in the
MOPM?

31.2

Are SDR records maintained as described in the MOPM?

31.3

Is the operators responsibility for the SDRs, which are discovered by


the maintenance contractor, covered in the MOPM or specified in the
maintenance contract?

31.4

Can the AMO provide evidence that these requirement are being
met?

31.5

Are all data sources feeding the SDR functioning as described in the
MOPM?

INSPECTOR
SIGNATURE

ORG REP
SIGNATURE

End of Appendix 15-B

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Chapter 16
AMO Process Evaluation
This chapter provides guidance for conducting a detailed process and task inspection by analyzing the
data, materials and parts used by the maintenance organization as used in the process.
A detailed process/task inspection is a
surveillance activity that will examine one or more
specific tasks that are associated with the overhaul,
maintenance/modifications of a part or product.
This inspection will evaluate the data, tooling,
equipment, and processes used to complete one or
more tasks.

16.1

APPLICABLE ACTION NUMBERS


3230G Eval AMO Maintenance Process
4230G Eval AMO Maintenance Process
3650H Inspect AMO Maintenance Process
4650H Inspect AMO Maintenance Process

EVALUATION PROCEDURES
A. During the initial certification of an AMO, the assigned ASI should, just with the documentation
provided, make a basic flow chart of the primary maintennance processes to ensure that they
1) Provide the necessary who, what and when
information; and

3230G Eval AMO Maintenance Process


4230G Eval AMO Maintenance Process

2) Adequate procedural steps demonstrating


the how of each task; and
3) Adequate controls to ensure quality control; and
4) Reference the technical data that should be addressed.
B. The guidance for inspections in this chapter should also be applied, as much as practical when
reviewing the maintenance manual to ensure that adequate guidance for each process and its
procedures to accomplished the desired goals.

16.2
16.2.1

INSPECTION PROCEDURES
IDENTIFY THE PROCESS/TASK TO BE INSPECTED
A. The assigned ASI should identify the process/
3650H Inspect AMO Maintenance Process
task to be inspected, and identify those
4650H Inspect AMO Maintenance Process
documents (travelers, task cards, work orders,
maintenance/component maintenance manuals,
etc.) that will confirm the use of approved or accepted data, materials, tools, etc.
B. The ASI should inform the appropriate
management personnel as to what particular
process/task will be observed during the
inspection.

During this inspection, the ASI should pay particular attention to any deviations from approved data
or procedures.

C. The person in authority of the specific inspection criteria and the areas should be informed of the
process to be observed and the expected result.

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CONDUCT THE PROCESS REVIEW


The following steps serve as a guide to the ASI in performing this inspection.
Certain steps may not be appropriate, depending on the complexity of the maintenance organization.

16.3.1

PREPARE FOR THE INSPECTION


The ASI should complete these tasks in preparation of the inspection
1) Identify the process/task to be inspected.
2) Identify those documents, which will confirm the
use of approved or accepted data, materials,
tools, etc.
3) Inform the appropriate personnel as to what
particular process/task will be observed during
the inspection.

During this inspection, the ASI should pay particular


attention to any deviations from approved data or
procedures.
If a deviation is identified, do not allow these
deviations to continue without bringing it tthe
attention of the maintenance person or his
supervisor.

4) Confirm the inspection criteria to be used.

16.3.2

PERFORM THE INSPECTION


The following steps are to serve as a guide on performing a process/task inspection.
Certain steps may not be appropriate, depending on the complexity of the maintenance organization or
operator. Inspect/review the following, as applicable:

16.3.2.1

Work Instructions
The ASI should confirm that
1) Work instructions have been prepared for all processes.
2) Work instructions reflect the technical data contained in appropriate maintenance manuals or other
approved documents.
3) Work instructions define accept/reject criteria, required tools, test equipment, inspection equipment,
details of method of inspection to be performed, and tolerance limits, as applicable.
4) Work instructions denote and detail the function to be performed, sequence of operations, and
inspection points to confirm proper handling of products from one station to another through all
phases.
5) Revisions to work instructions have been approved, controlled, and documented.
6) Traceability is maintained for the completion of all operations.

16.3.3

INSPECTION INSTRUCTIONS
The ASI should confirm that
1) Inspection records, indicating the number of inspections made, conformance or
nonconformance, and the action when the product is nonconforming, are maintained.
2) When required, reinspections/retests are performed following additional maintenance.
3) Assemblies are inspected for conformity before closure.
4) All required inspections and tests have been satisfactorily accomplished prior to final
acceptance of the completed products/parts.
5) Personnel performing RII inspections for an air carrier are identified and authorized by the carrier.
6) Inspection personnel are not exceeding their area of authority.

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Technical Data
The ASI should confirm that:
1) Personnel are provided with current technical data and changes.
2) Inapplicable, inappropriate, illegible, or obsolete data is removed from areas of potential use.
3) Nondestructive inspection (NDI) processes are reviewed for conformance with CAAV-approved
data.
4) Process specification changes are submitted to the CAAV for evaluation and approval.
5) Tags, forms, and other documents used are controlled.

16.3.3.2

Major Repairs & Modifications


The ASI should confirm that
1) If the task involved a major repair or major modification, that CAAV-approved data was used to
accomplish the task.
2) The technical data used for major repairs has been approved by authorized individuals referenced
in the AOC holders authorization.
3) The scope of the CAAV authorization for the major repair or modification has not been
exceeded.
4) If applicable, the Designated Engineering
Representative (DER)-approved data has been
documented in the form and manner outlined
in the CAAV authorization.

16.3.4

The ASI should also determine that the DER is


authorized by the CAAV to approve the data for
this operator.

MATERIALS & PARTS


The ASI should confirm that
1) The materials, test records, and standards used in NDI are identified and controlled.
2) When required, special identification and controls for materials or parts are identified and are in
place prior to the materials/parts being used.
3) When required, special handling and storage requirements for materials and parts are identified
and being used.
4) There is traceability of material or parts received from distributors and that the records of receiving
inspection data are retained and list the name, part number, quantity, and inspection results.

16.3.5

TOOLS & TEST EQUIPMENT


The ASI should confirm that
1) When required, special tools and test equipment are identified and used for an operation or process.
2) Calibration records are maintained for all tools and test equipment requiring calibration.
3) The facilitys personnel are trained appropriately for their assignments.

16.4

ADDITIONAL CONSIDERATIONS
The ASI should confirm that
1) Shift turnover procedures are in place and are being complied with.

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2) Adequate numbers of personnel trained, qualified, and authorized to perform the specific task are
available throughout the maintenance process.
3) As work is routed through the facility, it flows through the process with no interruptions due to
personnel, facilities, or parts and materials availability that might affect airworthiness.
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Chapter 17
AMO Work Performed for AOC Holders
This chapter consolidatesguidance for the evaluation
and inspection of maintenance organizations that do
work for AOC holders and other operators of large and
turbine-powered aircraft.

17.1

APPLICABLE ACTION NUMBERS:


3230J Eval AMO Procedures for AOC Holder
3230J Eval AMO Procedures for AOC Holder
3650Q Inspect AMO Procedures for AOC Holder
4650Q Inspect AMO Procedures for AOC Holder

AMO-AOC POLICY-PROCEDURES
A. AMOs who perform maintenance for AOC
3230J Eval AMO Procedures for AOC Holder
holder must, in their MOPM. describe the
3230J Eval AMO Procedures for AOC Holder
procedures to ensure that maintenance is
performed in accordance with the AOC holders
maintenance control manual and applicable maintenance program.
B. These AOC holders must provide the AMO with the information necessary to ensure compliance
with this requirement.
The AOC may provide the AMO with the applicable sections of its maintenance program or manuals at
the time the work is performed.
On the other hand, the purchase order or other contractual documents from the AOC could clearly state
the source of the data (manufacturers or AOCs manual) used to perform the requested maintenance
along with any other requirements of its program or maintenance manual.
Again, the operator may provide the AMO with the applicable sections of its inspection program or
clearly outline the requirements on the purchase order.

C. There must be a clear agreement to who is responsible (by title) for keeping all of the operators
data current, and where these manuals/sections will be located if retained at the AMO.
The argreement also must explain what AOC holder guidance must be available to maintenance
personnel when the work is performed.
Additional procedures will be required to ensure that purchase orders are thoroughly reviewed. This
review will be necessary to ensure that the AOC holder has clearly specified what technical data to use
for performing the maintenance.
The AMO employees may need additional training to properly perform this review.
The traveler or work-order system of the AMO may be used to integrate this information into the quality
control system.

D. If the AMO transfers requirements from the AOC operator to its maintenance personnel by
special instructions on the work order or traveler, the quality control system must clearly explain
how this is accomplished.
E. The AMO performing maintenance for an AOC must have an organization adequate to perform
the work.
This includes the ability to distinguish the work performed for different operators.
Additionally, if the AMO is performing RII inspections the organizational structure must provide
separation of maintenance and inspection personnel.

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17.2

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REQUIRED INSPECTION ITEMS


A. The AOC holder, not the AMO, determines the maintenance actions that are RII.
If the AMOs inspectors are authorized to perform RII for the AOC holder, the AOC holder must ensure
that the inspectors are trained on the AOC holders RII procedures, including how the inspection is
performed and recorded.

B. The inspectors performing RII for the operator must be qualified and authorized by the AOC
holder.
1) This authorization is usually in written format, often a card carried by the inspector. The
authorization may need to be renewed, depending on the AOC holders procedures.
2) The procedures in the MOPM should include
(a) Who will maintain a list of current RII inspectors,
(b) How an inspector is added to the list, and
(c) Where the list is located.

17.3

AOC REQUIRMENTS MUST BE INCORPORATED


The AMO should also ensure that it has all necessary manuals and maintenance information from
the AOC holder pertaining to at least the following issues
1) Required inspection items (RII).
2) Training requirements for the work being performed on the operators behalf, including who
will provide the training.
3) Maintenance duty time requirements.
4) Special maintenance or modification instructions per engineering orders, build lists, and
other methods, techniques, and practices in the operators manual per VAR Part 4
5) Recordkeeping requirements, including who is responsible for maintaining the files.

17.4
17.4.1

LINE MAINTENANCE
CAAV APPROVAL REQUIRED
A. CAAV may authorize an AMO to perform line maintenance for an AOC holder conducting
operations under VAR Part 12, provided that
The AMO performs the maintenance in accordance with the operators manual, if applicable, and
approved maintenance program.
The AMO has the necessary equipment, trained personnel, and technical data to perform the line
maintenance.
The AMOs OpSpecs include an authorization to perform line maintenance.

B. If the AMO is going to perform line maintenance, its manual must include procedures to ensure
that the necessary equipment, technical data, and trained personnel are available before the
maintenance can be performed.
C. This should include who, by title, will be responsible for ensuring that the necessary equipment,
technical data, and trained personnel will be available when the work is being performed.

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17.4.2

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TRAINING REQUIREMENTS
A. The AMOs training program can be conducted in coordination with the AOC holder. The specific
training an employee receives should be recorded in the employees training record.
The procedure will need to include who, by title, is responsible to ensure that training is conducted and
recorded.
The AMO should maintain a list of individuals who are trained by the AOC holder to perform line
maintenance.

B. Although AOC holder maintenance


requirements may be incorporated into the
AMOs training program, the AMO must follow
its training program requirements with respect
to

AOC training does not relieve the AMO from the


requirement to ensure its personnel are trained
for the maintenance it is rated to perform.

1) Conducting the training;


2) Recording the training in employee training records; and
3) Qualifying those individuals authorized to perform line maintenance for an AOC holder.

17.4.3

PRIMARY CONCERNS TO BE RESOLVED


The following concerns (if applicable) must be addressed formally before before the AMO can be
approved to perform maintenance for an AOC holder
1) Who is responsible (by title) for keeping a file of the AOC holders procedures, including the
necessary technical data?
2) Who is responsible (by title) for review and amendment of purchase orders for complete and
correct instructions? Is that person trained?
3) Who will maintain the list of current RII inspectors?
4) Does the MOPM include procedures to ensure that the necessary equipment, trained
personnel, and technical data will be available for line maintenance?
5) Who is responsible for coordinating the training program with the AOC holder?
6) Does the AMO roster include authorization for individuals performing line maintenance and
RII?
7) How does the AMO ensure that personnel comply with its manual and appropriate sections
of the AOC holders manual regardless of location?

17.5

AOC-AMO CONTRACTUAL AGREEMENTS


A. The ASI should confirm that the maintenance organization has been provided with the necessary
information to confirm compliance with the AOC holders approved program and maintenance
manual.
This information may be identified on the purchase order or other contractual documents from the AOC
holder.
The documents must clearly state how the maintenance organization will perform the requested
maintenance along with any other requirements of its program or maintenance manual.
If the maintenance organization has applicable sections of an AOC holders maintenance program(s) or
manual(s), confirm that they are controlled and current for maintenance to be performed.

B. The ASI should confirm that the maintenance organization has procedures for

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1) Performing routine and nonroutine


maintenance, preventive maintenance, and
modifications.
2) Meeting the AOC holder requirements for
periodic inspection and calibration of precision
tools, measuring devices, and test equipment.

The AOC holder may have approved special maintenance requirements that the maintenance organization is obligated to follow when performing
maintenance.

3) Preventing an RII inspectors decision regarding any required inspection from being
countermanded.
4) Only supervisory personnel of the inspection
This override can only come from the air operaunit or an administrative person with overall
tor.
responsibility for both the required inspection
and other maintenance and modification
functions can override an RII inspectors decision.
5) Ensuring that required inspections, maintenance, and modifications that are not completed
because of a work interruption are properly completed before the aircraft is returned to
service.
6) Completing the work forms, job cards, and detailed procedures for performing inspections and other
maintenance.
7) Following the AOC holders system for recordkeeping and retention or the maintenance
organization system if so authorized.
8) Meeting the training requirements of the AOC holder.
C. In addition, if Required Inspection Items (RII) are required, the ASI should confirm
1) Whether the maintenance organization has
been provided with a list of designated
inspection items.

The maintenance organization may use all or some


of its own procedures for these items if authorized
by the AOC holder.

2) How the maintenance organization will


perform required inspections.
3) How the AOC holder will designate and authorize the maintenance organization personnel
performing required inspections by name and occupational title.
4) If the maintenance organization has procedures, standards, and limits necessary for
required inspections, including identifying RII within work forms or job cards, if required.

17.6

REVIEW AOC HOLDER REQUIREMENTS


A. The ASI should review a representative sample of maintenance records and or work orders
andpurchase orders by the maintenance organization. confirm if the maintenance organization is
following the AOC holders approved program, which may include, but is not limited to
Requirements for maintenance release

3650Q Inspect AMO Procedures for AOC Holder


4650Q Inspect AMO Procedures for AOC Holder

Continuity of inspection program


Service difficulty reporting requirements
Continuing Analysis and Surveillance Program
RII requirements (i.e., authorizations, training)
Duty time limitations

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Maintenance recording requirements


Any additional personnel training the AOC holder may require
Continuity of inspections
Approved data
Deviations

17.6.1

LINE MAINTENANCE: MAINTENANCE ORGANIZATION WITHIN THE VIETNAM


If the maintenance organization performs line maintenance for AOC holders, confirm that
1) The maintenance organizations OpSpecs includes the types of maintenance authorized; it
should list the types of aircraft by make and model for each AOC holder with which it has a
contract.
2) The maintenance organization has a contract
for each AOC holder listed on the OpSpecs.
The type of line maintenance must also be
listed on the OpSpecs.
3) The maintenance organization is only
providing maintenance at the location on its
OpSpecs.

The authorization to perform line station maintenance


for an AOC holder is not a rating.
A certificated maintenance organization must have
established housing and facilities.
The requirement to provide suitable housing to
enclose the largest type and model aircraft for
airframe-rated maintenance organizations may be
waived by the CAAV

4) The maintenance organization performed the


line maintenance in accordance with the AOC
holders/AOC holders manual and approved program.
5) The maintenance organization has the necessary equipment, trained personnel, and technical
data to perform the line maintenance.

17.6.2

REVIEW GEOGRAPHIC AUTHORIZATION (MAINTENANCE ORGANIZATION OUTSIDE


VIETNAM
A. If the maintenance organization performs maintenance under geographic authorization for AOC
holders, the ASI should confirm that
1) The maintenance organizations OpSpecs includes an authorization to perform maintenance/
modifications and that the maintenance organization is working within the authorization.
2) The maintenance organization exercised the geographic authorization in accordance with the
operators manual and approved program.
B. The maintenance organization has the necessary equipment, trained personnel, and technical data to
support the geographic authorization.
End of Chapter - Appendix Follows

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APPENDIX 17-A
Job Aid MO-20: AMO-AOC Considerations
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PEL#

Mgmt Rep

PEL#

YES

NO

NS

NA

32
32.1

YES

NO

NS

NA

33

WORK PERFORMED FOR AIR OPERATORS


Does the maintenance organization have procedures that meet all the
requirements of the air opertors approved maintenance program(s)?

AGING AIRCRAFT PROGRAM

33.1

Now or within the last two years, has the approved maintenance
organization performed any aging aircraft inspections for any operators?

33.2

If so, does the approved maintenance organization have adequate


facilities and equipment to perform aging aircraft inspections?

33.3

Does the approved maintenance organization have trained, qualified, and


skilled personnel and the necessary technical data to perform such
inspections?

33.4

Is the approved maintenance organization accomplishing the aging aircraft inspection in accordance with the operators manual?

End of Appendix 17-A

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CERTIFICATION MANUAL

Chapter 18
AMO Maintenance Providers
This chapter provides guidance for evaluation and
inspection of
An AMOs sub-contracting procedures with
maintenance service providers;
Approved maintenance organizations performing
as sub-contracted service providers; and

APPLICABLE ACTION NUMBERS:


3230E Eval AMO Sub-Contracting Procedures
3230E Eval AMO Sub-Contracting Procedures
3650N Inspect AMO Maint Provider [=AMO]
4650N Inspect AMO Maint Provider [=AMO]
3650P Inspect AMO Maint Provider [=Not AMO]
4650P Inspect AMO Maint Provider [=Not AMO]

Non-approved maintenance organizations


performing as sub-contracted services providers.

18.1

CONTRACT & SUBCONTRACTING POLICY


A. Operators may be authorized to contract their maintenance requirements to approved
maintenance organizations.
B. Approved maintenance organizations may subcontract work to other approved maintenance
organizations.
C. The following points should be considered for these arrangements
1) The organization has its approval extended to include the subcontracted work; it assesses
the competence of the subcontractor;
2) The approved organization retains responsibility for quality control and release of
subcontracted activities, according to the appropriate airworthiness requirements; and
3) Necessary procedures should be in place for the control of subcontracted activities, together
with terms of reference for the personnel responsible for their management.

18.2
18.2.1

GENERAL CONTRACT MAINTENANCE INFORMATION


AMO PROCEDURES MANUAL CONTENT
A. The MOPM must contain procedures for maintaining and revising the contract maintenance
information required by Part 5.
B. This information is required for contracting to both certificated and non-certificated facilities.
The information required includes the approved maintenance function to be contracted and the name of
each outside facility to which the AMO contracts such maintenance.

C. If the contracted facility is certificated, the information must include the type of certificate and
ratings.
The QAM/section should describe the system and procedures used for qualifying and surveilling noncertificated persons who perform maintenance, preventive maintenance, or modifications for the AMO.
These procedures may be contained in one manual or in separate documents that are part of the
manual system.

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18.2.2

CIVIL AVIATION AUTHORITY

AMO MUST BE APPROVED FOR THE FUNCTION


An AMO must have the material and equipment
necessary to perform the functions appropriate to its
rating.

An AMO may contract maintenance functions to


CAAV-approved facilities and non-approved
sources only if the maintenance functions are
approved by CAAV.

However, it need not have the tools and


equipment for functions it is authorized to contract
out pursuant to its CAAV-approved list of maintenance functions.

18.2.3

AMO MUST BE APPROVED TO CONTRACT THE FUNCTION


A. The AMO must request approval before it can
contract a maintenance function. If CAAV
approves the contracted maintenance function,
the AMO can determine who will perform the
maintenance.

3230E Eval AMO Sub-Contracting Procedures


3230E Eval AMO Sub-Contracting Procedures

1) The types of maintenance functions that the AMO may wish to have approved fall into two
categories
First, the types of maintenance functions that must be contracted because the AMO does not have
the housing, facilities, materials, or equipment available on its premises and under its control.
(These may include plating, heat treatment, special NDT or inspection, or the maintenance or
modification of components or sub-assemblies.)
This list should be categorized broadly, such as specialized services or components of articles for
which the repair station has the overall rating.

2) The AMO may also wish to provide a list of those maintenance functions for which it has the
housing, facilities, equipment, and materials in-house, but may need to contract to another
facility because of workload or emergency situations.
For example, an airframe rated AMO may have the capability to perform maintenance or
modification on landing gear, but if the in-house facility cannot accomplish the work scope within a
specified time, it may want to contract that work to another facility.
It would not be able to contract the work unless the maintenance function of landing gear
maintenance was on its CAAV-approved list.

3) Additionally, the AMO may wish to provide a method for which a maintenance function can
be added to its CAAV-approved list on an emergency basis.
This would be accomplished by explaining
how the maintenance function would be
added and how CAAV approval would be
obtained in a short period of time.

18.2.4

The AMO should coordinate closely with its principal inspector and its local CAAV regarding
these emergency procedures.

DEVELOP SPECIFIC PROCEDURES FOR CONTRACTING FUNCTION


Before contracting out a function, the AMO should establish
1) Procedures to obtain approval for the maintenance function.
2) Procedures to qualify the contractor.
3) Procedures to surveil the contractor if it is not a certificated AMO.
4) A list of contractors and procedures to properly maintain that list.
5) Technical training on contracted functions for receiving inspection personnel.
6) Procedures for receiving inspections that provide enough technical detail to determine
acceptability of an article.

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18.3
18.3.1

AMO ADMINISTRATION AND


CERTIFICATION MANUAL

CONTRACTING: CERTIFICATED VS NON-CERTIFICATED AMO


CONTRACTING TO CAAV-APPROVED FACILITIES
A. If an AMO contracts a maintenance function to another CAAV-approved AMO, the AMO
performing the maintenance function is responsible for approval for return to service of
maintenance performed on each article.
The originating AMO must determine that the contractor AMO is properly rated to perform the
maintenance.
Items received from a certificated facility must be properly processed through the AMOs receiving
inspection procedures, since the AMO is ultimately responsible for all the work performed on parts used
in the maintenance of the articles being approved for return to service.

18.3.2

CONTRACTING TO NON APPROVED FACILITIES


A. If the AMO contracts to non-CAAV-Approved facilities, the AMO must ensure that
1) The non-approved facility follows a quality control program equivalent to CAAV-approved
AMOs system with respect to the work being performed for the certificated AMO;
2) The work is satisfactory by verified testing and/or inspection; and
3) The article is airworthy with respect to the work performed by the non-certificated source.
B. The AMO is responsible for approving for return to service any article on which work has been
performed and for ensuring its airworthiness.
1) Inspection procedures within the manual must enable the AMO to determine the
airworthiness of the work performed on each article received.
2) If the AMO cannot determine the quality of the contracted work by inspection or test, the
work can be contracted only to a CAAV-approved facility that is able to inspect the work
performed for compliance with Part 4.

18.3.3

AMO PROCEDURES MANUAL CONSIDERATIONS


A. Procedures in the MOPM should include the title of the person responsible for the contract
maintenance program. The procedures must also include provisions for maintaining the
contracting information in a format acceptable to CAAV. The information is not required to be in
the manual, but if included, it must identify the
Name of each outside contracted facility.
Maintenance function(s) contracted to each facility.
Type of certificate and ratings, if any, held by that facility.

B. The procedures in the MOPM must describe how the non-approved facility is initially qualified.
It also should describe how the AMO ensures that the non-approved facility continues to follow the
quality control program for the work being performed on the AMOs behalf.

C. Procedures for coordinating communication between the AMO and the contracted source
should be established.
D. If the AMO performs any maintenance for an AOC, the procedures should explain any special
requirements (such as performing the work in accordance with the AOCs program).
E. Procedures should describe how the AMO would address any problems that relate to quality or
delivery.

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18.4

CIVIL AVIATION AUTHORITY

COMPONENT & MATERIAL SUPPLIER & SUBCONTRACTOR CONTROL PROCEDURE


A. The component and material suppliers evaluation must be carried out by the approved
maintenance organization and the control exercised by this approved maintenance organization
on the its approved or non approved contractors.
B. The ultimate goal of the approved maintenance organization is to make sure that the
1) Received component or material from its
supplier is airworthy and/or
2) Contracted maintenance work has been
performed according to its own standards.

18.4.1

This component may come from a supplier


(with out any maintenance work contracted) or
from a contractor (approved or not) in this latter case generally a maintenance task has been
ordered.

ASSESSMENT OF THE SUPPLIERS


A. Where no maintenance services are provided, the approved maintenance organization should
1) Assess its suppliers (questionnaire, audit etc.);
2) Implement procedures in order to retain/withdraw the authorization to use such suppliers;
and
3) Establish special instructions concerning the expected component/part release document
(airworthiness tag, conformity statement).
B. These documents may depend on the supplier origin (manufacturer, retailer, airline, distributors,
maintenance workshop etc.).

18.4.2

ASSESSMENT OF THE APPROVED SUBCONTRACTORS


A. Before using other AMO as service providers, the maintenance organization should describe
how the following items are satisfactorily dealt with (not an exhaustive list of items) the
1) Approved workshops reference list (only those included in this list can be contracted to
work);
2) Control of the scope of activity of the approved workshops towards the maintenance
services sought by the approved maintenance organization; and
3) Means internally implemented so that only those approved workshops could be used as
workshops (checking the list of the approved workshops chosen from lists issued by the
CAAV)

18.4.3

ASSESSMENT OF THE UNAPPROVED SUBCONTRACTORS


A. The quality assurance system of the approved maintenance organization should include all the
subcontracted activities where maintenance services are provided by an unapproved
maintenance organizations.
B.

All human resources, the means and the


procedures used by the subcontractor should
have been treated (and controlled) in the same
way as the ones coming from the approved
maintenance organization.

C. Special attention should be paid to the release


to service procedure. The maintenance
release is finally signed under the approval of
the approved maintenance organization.

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Those human resources, means and procedures must be accepted by the CAAV in the
framework of its approval).

The internal control activity of the subcontracting activities must be audited by the approved
maintenance organization.

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CIVIL AVIATION AUTHORITY
18.5

AMO ADMINISTRATION AND


CERTIFICATION MANUAL

OUTSIDE CONTRACTORS: INSPECTION & ACCEPTANCE REQUIREMENTS


A. The AMO must determine the compliance of materials in general (equipment, components,
standard parts, materials) received from suppliers/subcontractors (external sources). This
section refers to the acceptance of materials stated as compliant ones.
B. The approved maintenance organization may obtain component/material from various sources,
including
1) Suppliers/distributors (purchase/hiring new materials or used /maintained materials);
2) Other approved maintenance organizations (maintained components);
3) Unapproved workshops but under cover of its own quality system (maintained components);
or
4) Maintenance workshops of the approved maintenance organization (internally maintained
components).
C. In all these cases, the approved maintenance organization which receives the product should
define and implement reception procedures for components, standard parts, materials, new
components or used maintained components.
D. The reception procedures should, at a minimum, include the following
1) Authorization procedure for reception control and acceptance;
2) Process of administrative control of the components and materials;
3) Identification of the type of acceptable documents depending on the situation (e.g. new/used
components, materials, ingredients, standard parts, approved subcontracting, non approved
subcontracting under cover of the organization, standard exchange, maintenance by a
workshop of the organization, serviceable removed component);
4) Procedure of physical control;
5) Procedure of acceptance (identification of the material, marking, tagging, register, taking into
account the storage limits, the life limits, the storage specificity, record of the acceptance);
and
6) Procedure for treatment of suspected unapproved parts (bogus parts) (record, notification
to the CAAv).

18.6

INSPECTIONS OF MAINTENANCE SUB-CONTRACTING


A. These inspections will be conducted because of a work program requirement, a previous surveillance
effort, allegations of improper maintenance, or component failure trends. The inspection may be
comprehensive and in depth, or focused and cover a specific area or job function.
B. The principal inspector (PI) or aviation safety inspector (ASI) should carefully review the regulations
and CAAV policy prior to the visit.
The CAAV advises that the inspector place special emphasis on the facility maintenance and inspection
personnels training records.
Verification of training must be accomplished. They must be trained and qualified to perform the job tasks
required by the outsourcing maintenance organization.

C. When providing services to an outsourcing maintenance organization, the service providers must meet all
requirements of VAR Part 5.

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D. All maintenance organizations that outsource maintenance must have procedures in their maintenance
organization manual that explains how this maintenance is to be accomplished.
There should be procedures for both sending the product out to the contractor and receiving the
product back into the maintenance organization.

Each procedure should be detailed in nature, explaining who, what, when, where, and how.

There should be procedures on how to carry out specific repair instructions and the steps that should be
followed to insure the instructions were accomplished.
There should be separate instructions for certificated facilities and noncertificated repair facilities.
If the article is to be sent to a facility, there should be detailed procedures on how the receiving
maintenance organization will inspect the work to assure the work was accomplished in accordance,
with maintenance organization work scope, manufacturers specifications, and if applicable, CAAVapproved data.

E. The inspector will confirm that the maintenance organization has provided the CAAV a copy of all
outside maintenance functions for approval, and a list of the vendors that will provide those services
for the maintenance organization.

18.7
18.7.1

EMPHASIS ON PARTS
RATED FOR THE WORK & PART
A. When reviewing work that was sent to an service providers, the aviation safety inspector should
confirm the procedures in the maintenance organizations manual will ensure the service providers
are rated for the work to be performed and the part is listed on the operations specifications or
capability list of the contracted facility.
B. The work should be spot-checked to ensure the contracted maintenance organization is not providing
the complete repair for the part.
The contracting maintenance organization must complete additional maintenance.

18.7.2

REVIEW PARTS RECORDS & RECEIVING


A. The ASI should confirm that all required documents are returned with the part and are filled with the
complete records retained by the maintenance organization.
1) Confirm that all records of the repair are included in the records sent to the end user of the
article.
2) Review the incoming receiving inspection procedures to ensure each article returning after
maintenance is inspected and has the required documents.
B. After careful inspection of an service providerss product and documentation, the ASI may decide a
followup inspection is required.
1) The ASI may complete this inspection; or
2) Elect to have the PMI of that facility complete
the inspection.

18.7.3

In either case, the ASI must contact the inspector assigned to the service providers and provide them with the details of why the followup
inspection is required.

INSPECTION PROCEDURES FOR PARTS


A. The assigned ASI should determine whether all incoming parts are inspected by the procedures
in the contracting AMOs manual.
B. In addition, the procedures must confirm traceability of foreign and domestic parts.

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18.8

AMO ADMINISTRATION AND


CERTIFICATION MANUAL

AMO SERVICE PROVIDERS DOCUMENTATION


The assigned inspector should inspect the service
providerss documentation, including.

18.8.1

MAINTENANCE ORGANIZATION APPROVALS


The assigned ASI should confirm that
Ratings are appropriate for the work being done.
Contracted articles are on the operation
specifications.

18.8.2

3650N Inspect AMO Maint Provider [=AMO]


4650N Inspect AMO Maint Provider [=AMO]

This is not a full base inspection; this inspection is


to determine the quality of repairs on contracted
articles.

PERSONNEL ROSTER
The assigned ASI should confirm that
Staffing consists of qualified, knowledgeable personnel to perform the work for which the certificate holder was
contracted.
Personnel directly in charge of maintenance functions for the maintenance organization are certificated in
accordance with VAR Part 5.
Certificate holders roster of supervisory and inspection personnel is current and reflects all personnel assigned
these duties.
Certificate holders roster includes all authorized signatures for Return to Service for the article contracted for
repair.

18.8.3

TECHNICAL & REGULATORY DATA USED BY STATION


The assigned ASI should confirm that
Technical data is appropriate for the maintenance or modifications to be performed.
Data is current, accurate, and complete.
All required data was used during the repair.
All data provided from the contractor was followed.

18.8.4

FORMS & RECORDS


The assigned ASI should confirm that
Station records are completed and retained as required.
All required reports are returned to the contractor with the article.

18.9

AMO SERVICE PROVIDERSS FACILITIES


The assigned ASI should evaluate the service
providerss facilities, including.

18.9.1

GENERAL HOUSING & FACILITIES

This is not a full base inspection; this inspection is


to determine the quality of repairs on contracted
articles.

The assigned ASI should confirm that


Housing and facilities are sufficient for the work being contracted.
Work areas are situated to protect parts and subassemblies during the work process.
General housekeeping is satisfactory.

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18.9.2

CIVIL AVIATION AUTHORITY

STOCKROOM
The assigned ASI should confirm that
Parts and materials are protected against damage and deterioration.
The certificate holder has a system for identifying and segregating serviceable, repairable, and rejected parts
and materials.
Life-limited components are controlled.

18.9.3

SPECIAL FACILITIES
The assigned ASI should confirm that
Instrument shop environmental conditions are in accordance with the manufacturers standards.
Segregation of components during assembly and disassembly is accomplished using suitable trays, racks, or
stands.

18.9.4

SPECIAL TOOLS & EQUIPMENT


The assigned ASI should confirm that
1) All required items are within calibration criteria, to include traceability to one of the
following
(a) The CAAV-approved calibration standards.
(b) Standard established by the items manufacturer
(c) If foreign manufactured, the standard of the country where manufactured, if approved by
the CAAV
2) Special tools and equipment include those recommended by the manufacturer of the
product or equivalent acceptable to the CAAV.

18.9.5

INSPECTION PROCEDURES
The assigned ASI should review the inspection procedures in use to confirm whether
The inspection system is in operation as described in the inspection procedures manual.
The manual is available to all maintenance organization personnel.
There are procedures governing any work being accomplished away from the maintenance
organization.
Specialized work is being done in accordance with the CAAV letter of authorization and the inspection
procedures manual.

18.9.6

MAINTENANCE FUNCTIONS
The assigned ASI should observe and inspect service providerss maintenance functions to confirm
that
Work for AOC holders is being performed in accordance with the specific operators manual.
Maintenance being performed is in accordance with approved procedures.
During shift turnover, the individual responsible for briefing the arriving shifts supervisors and personnel
of the exact status of in-progress maintenance accomplishes this per the manual procedures, including
updating work cards.
The maintenance functions being contracted to outside agencies are current with the AMOs listing.

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18.10 NON-APPROVED MAINTENANCE ORGANIZATION INSPECTION


18.10.1

NONCERTIFICATED REPAIR FACILITIES


A. The assigned ASI should review the
maintenance organizations manual procedures
that explain how noncertificated repair facilities will
be used.

3650P Inspect AMO Maint Provider [=Not AMO]


4650P Inspect AMO Maint Provider [=Not AMO]

B. The procedures should address the service providerss quality system, which must be equal to or
better than that of the subcontracting maintenance organization.
C. The assigned ASI should inspect the documents used to confirm the non-AMO service providerss
quality system. The assigned ASI should
1) Confirm that the maintenance organization provides the noncertificated facility with all of the
procedures to properly complete the maintenance requested. This could include plating
procedures, blueprints, and all data necessary to do the work.
2) Confirm with training records that each of the maintenance organizations inspectors who will
inspect the article during receiving process has the training or qualifications required to
(a) Properly inspect the article to assure it meets all airworthiness standards, and
(b) That the work was completed per the instructions and data provided to the noncertificated
facility.
3) Ensure that the maintenance organization has on file a letter authorizing the CAAV to inspect each
noncertificated facility the maintenance organization contracts with.
4) Coordinate with the accountable manager to
arrange an inspection if the assigned ASI
determines the need to inspect the
noncertificated facility.

All findings during this inspection of the service


providershould be addressed to the contracting
maintenance organization for correction.

The onsite inspection of a noncertificated facility is not a complete comprehensive base inspection of
that facility.
This inspection is to determine if that facility has the equipment, personnel, knowledge, and data to
complete the work it was contracted for.

D. The inspector should confirm that the facility has a quality system in place and is following the
procedures provided by the maintenance organization.
E. The assigned ASI should evaluate the nonapproved maintenance service providerss
facilities, including.

18.10.2

This inspection is to determine the quality of


repairs on contracted articles to noncertificated
facilities.

TECHNICAL & REGULATORY DATA


The assigned ASI should review the technical and regulatory data used by the service provider to
confirm that
Technical data is appropriate for the maintenance or modifications to be performed.
Data is current, accurate and complete.
All required data was used during the repair.
All data provided from the contractor was followed.

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18.10.3

CIVIL AVIATION AUTHORITY

GENERAL HOUSING & FACILITIES


The assigned ASI should review the technical and regulatory data used by the service provider to
confirm that
Housing and facilities are sufficient for the work being contracted.
Work areas are situated to protect parts and subassemblies during the work process.
General housekeeping is satisfactory.
An area for segregation of components, during assembly and disassembly, using suitable trays, racks or
stands.
Parts and materials are protected against damage and deterioration.

18.10.4

QUALITY SYSTEM
The assigned ASI should confirm that the the
service provider facility has an quality system
equivalent to that of the contracting maintenance
organization.

18.10.5

The contracting maintenance organization must


assure the noncertificated facility has a quality
system equal to that of the maintenance organization.

SPECIAL TOOLS & EQUIPMENT


The assigned ASI should review the special tools and equipment used by the service provider to
confirm that all required items are within calibration criteria, to include traceability to one of the
following
The CAAV-approved calibration standards
Standard established by the items
manufacturer
If foreign manufactured, the standard of the
country where manufactured, if approved by
the CAAV

The noncertificated facility does not by regulation have


to meet the requirements for calibrated tools and
equipment.
But when aviation products are undergoing
maintenance, all tools and equipment used to meet
airworthiness requirements must be calibrated. .

Special tools and equipment include those recommended by the manufacturer of the product or an
equivalent acceptable to the CAAV.

18.10.6

MAINTENANCE FUNCTIONS
The assigned ASI should observe and inspect Maintenance Functions used by the service provider
to confirm that
Work for AOC holders is being performed in accordance with the specific operators manual.
Maintenance being performed is in accordance with approved procedures.

End of Chapter - Appendix Follows

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APPENDIX 18-A
Job Aid MO-021: AMO Maintenance Provider Arrangements
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PEL#

Mgmt Rep

PEL#

For completion instructions, refer to Chapter 2 of the Airworthiness Inspector manual

YES

YES

NO

NO

NS

NS

Copyright 2001-2009 AVSOG Inc.

NA

NA

34

CONTRACTUAL ARRANGEMENTS
AND WORK AWAY FROM STATION

34.1

Did the maintenance organization provide the CAAV with a list of outside
maintenance functions for approval?

34.2

Did the maintenance organization provide a list of the names of the


outside facilities with whom the maintenance organization contracts
maintenance functions and the type of certificate and ratings, if any,
held by each facility?

34.3

Does the maintenance organization have a procedure for maintaining


and revising the contract maintenance information required under VAR
Part 5 and notifying the CAAV?

34.4

If the maintenance organization contracts with a non-approved facility,


did the maintenance organization assure the non-approved facility
has a quality assurance system equivalent to the system followed by
the maintenance organization?

34.5

Does the maintenance organization have a procedure to govern work


performed at other locations?

34.6

Is the maintenance organization providing return to service only?

34.7

Does the non-approved facility allow the CAAV to make inspection of its
facility?

35

MAINTENANCE ARRANGEMENTS

35.1

Has the AMO developed specific and administrative approval procedures governing maintenance arrangements to entered into by the
AMO?

35.2

If not, are contracts submitted individually to the CAAV for approval?

35.3

Does the AMO contracting out the work specify the tasks to be performed?

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35.4

Do they also specify who is responsible for the completion and certification of the work to be performed?

35.5

Where the work is undertaken by a non-approved organization, does


the arrangement state that the contracting AMO is responsible to
certify the work?

35.6

Does the AMO personnel certifying the work have direct supervision" over the person from the organization tasked with completion
of the work?

35.7

Is the AMO quality assurance group involved in assessing the contract before its awarded?

35.8

Does AMO-QA audit the proposed contractor for facilities, work


scope and capabilities prior to the work starting

35.9

Are all parties' responsibilities clearly defined in the manual and the
contract?

35.10

Has the applicability and authority of the contracting AMO publications been delineated in the contract?

35.11

If the AMO has adopted of any contract facility publications, i.e.


repair methods and techniques, was this information provided to the
CAAV?

35.12

Does the contract include capturing information which may effect an


approved reliability program, therefore required to be submitted to
the aircraft or aeronautic products owner

35.13

Is the AMO fully aware of an situation where the sub-contractor in


turn, subcontracts any part of the work?

35.14

Have all phases of the subcontractor's arrangements been investigated using the same procedures as for the main contractor?

35.15

Does the sub-contractior organization follow the policy and procedures specified in the MOPM?

35.16

Where the work is to be performed outside of Vietnam, has the subcontractor perform maintenance under an MOPM approved under the
Foreign States requirements?

INSPECTOR
SIGNATURE

ORG REP
SIGNATURE

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Chapter 19
AMO Quality Assurance System
A. This chapter provides guidance for evaluation and
inspection of the quality assurance system of a
maintenance organization to ensure that the
organization has implemented and continues to
comply with the QA procedures in the MOPM (or,
if applicable, separate QAM manual).

APPLICABLE ACTION NUMBERS:


3230N Eval AMO Quality Assurance System
4230N Eval AMO Quality Assurance System
3650R Inspect AMO Quality Assurance System
4650R Inspect AMO Quality Assurance Systeml

B. The guidance for the evaluation and inspection of quality control procedures which are managed by
the Quality System manager are included in the Quality Control chapter of this manual.
C. The maintenance organization must establish
a safety management system acceptable to
the CAAV that includes a safety (quality)
assurance system.

19.1
19.1.1

Refer to the SMS chapter of this manual for


more specific guidance on the establishment of
a Safety Management System in an AMO.

QUALITY SYSTEM
GENERAL
A. In recognition of the key importance of this activity in continuing airworthiness, it is essential for
the manager of the quality system have direct access to the accountable manager on quality
issues.
B. The maintenance organizations systems for
quality control and assurance should take into
account all of the facilities and procedures
utilized to ensure continuing airworthiness,
where activities take place affecting the
airworthiness of the aircraft and product quality
for subjects not directly related to airworthiness.

Refer to Appendix A to this chapter for specific


checklist guidance applicable to the evaluation
and inspection of a maintenance organization
quality assurance system.

C. Quality control should therefore be effective throughout the maintenance of aircraft and quality
auditing should ensure that control is being properly applied and achieving satisfactory results.
D. The organizations quality control policies and systems should be described in the approved
maintenance organization manual, together with the quality assurance audit programme in
respect of product, facility and procedures.

19.1.2

PROCEDURES & PERSONNEL QUALIFICATIONS


A. Staff assigned to quality control and assurance duties should be
1) Sufficiently experienced in the company systems and procedures and technically
knowledgeable of the aircraft being maintained so as to enable them to perform their duties
satisfactorily;
2) Experienced in the techniques of quality control and assurance or receive suitable training
before taking up their duties; and

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3) Given clearly defined terms of reference


and responsibility within the organization
and having reporting lines to senior
management.

Clear termis reference are particularly important where quality assurance personnel are also
expected to perform other duties in the organization.

B. The department responsible for quality control


and assurance should arrange for independent quality audit checks to be carried out in
accordance with the audit programme.
C. Emphasis should be placed on the company systems employed to achieve and ensure
airworthiness, their suitability and effectiveness.
D. The scope of quality checks within the organization should be based on the guidelines given
below.
E. All quality checks should be recorded and assessed and any criticisms forwarded to the person
responsible for the particular facility or procedure for corrective action.
There should be a feedback system for confirming to the quality assurance staff that corrective and
preventive action has been taken and to ensure that persons concerned with any audit deficiency are
made aware of both the adverse report and the outcome.

19.2
19.2.1

EVALUATION OF QUALITY ASSURANCE SYSTEM


GENERAL
A. The quality control procedures must be acceptable
to the CAAV in that it ensures the airworthiness of
the articles on which the maintenance organization
(or any of its contractors) performs maintenance,
preventive maintenance, or modifications.

3230N Eval AMO Quality Assurance System


4230N Eval AMO Quality Assurance System

B. The maintenance organization must maintain an inspection system and describe the procedures in
detail in its manual system. Items to be described include
1) Establishing the purchase of aviation articles,
2) How that material is inspected upon receipt,
3) Receiving customers articles,
4) Progressing through each inspection step, and
5) Ending in final inspection and approval for return to service.
C. This system should include the controlling and documenting of the maintenance from the incoming
inspection to final inspection (work order system).

19.2.2

OVERALL CONTENTS OF QUALITY CONTROL SECTION (OR MANUAL)


The quality control section of the MOPM (or separate QCM manual) should contain, but is not limited to, the
following elements
1) General contents in accordance with
CAAV recommendations for quality
assurance systems;

Refer to AC 00-002 for more specific guidance


for Quality Assurance Syetems.

2) Specific contents applicable to


maintenance organization quality assurance metholodolgy;
3) Methdology for reporting and tracking resolution of audit findings;

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4) Storage of records of quality assurance activities


5) Performing preliminary inspections of all articles that are maintained,
6) Listing of audits to be routinely performed under the quality assurance system;
7) Development, use and retention of quality assurance checklists.

19.2.3

AIRCRAFT UNDERGOING MAINTENANCE


The audit checklists relative to the QA of checks on aircraft undergoing scheduled maintenance,
should encompass
Compliance with maintenance programme and mandatory continuing airworthiness requirements and
ensuring that only work instructions reflecting the latest amendment standards are used;
Completion of work instructions including the transfer of defects to additional worksheets, their control,
and final collation. Action taken in respect of items carried forward, not completed during the particular
inspection or maintenance task;
Compliance with manufacturers and the organizations standard specifications and procedures;
Ctandards of inspection and workmanship;
Condition of corrosion prevention and control treatments and other protective processes;
Aircraft maintenance which is not limited to the normal working day; procedures adopted during shift
changeover of personnel to ensure continuity of inspection and responses; and
Precautions taken to ensure that, on completion of any work or maintenance, all aircraft are checked for
loose tools and miscellaneous small items such as split pins, wire, rivets, nuts, bolts and other debris,
and for general cleanliness and housekeeping.

19.2.4

AIRWORTHINESS TECHNICAL DATA


The audit checklists relative to the QA of checks on airworthiness technical data, should
encompass
Adequacy of aircraft manuals and other technical information appropriate to each aircraft type, including
engines, propellers and other equipment, and the continuing receipt of revisions and amendments.
Availability of continuing airworthiness data, e.g., Airworthiness Directives, life limits, etc.;
Assessment of manufacturers service information, determining its application to aircraft types
maintained and the recording of compliance or embodiment;
Maintenance of a register of manuals and technical literature held within the organization, their
locations and current amendment status; and
Assurance that all the organizations manuals and documents, both technical and procedural, are kept
up to date.

19.2.5

STORES & STORAGE PROCEDURES


The audit checklists relative to the QA of checks on stores and storage procedures should
encompass
The adequacy of stores and storage conditions for rotatable components, small parts, perishable items,
flammable fluids, engines and bulky assemblies in accordance with the specifications adopted by the
organization;
The procedure for examining incoming components, materials and items for conformity with order,
release documentation and procurement from sources approved by the organization;
The batch recording of goods received and identification of raw materials, the acceptance of part life
items into stores, requisition procedures for issue of items from stores;
Labelling procedures, including the use of serviceable/unserviceable/repairable labels and their
certification and final disposal after installation, and labelling procedures for components which are
serviceable but part life only;
The internal release procedure to be used when components are to be forwarded to other locations
within the organization;
The procedure to be adopted for the release of goods or overhauled items to other organizations (this
procedure should also cover items being sent away for rectification or calibration);

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The procedure for the requisitioning of tools together with the system for ensuring that the location of
tools, and their calibration and maintenance status, is known at all times; and
Control of shelf life and storage conditions in the stores; control of the free-issue dispensing of standard
parts, identification and segregation.

19.2.6

MAINTENANCE FACILITIES
The audit checklists relative to the QA of checks on maintenance facilities should encompass
Cleanliness, state of repair and correct functioning of hangars, hangar facilities and special equipment
and the maintenance of mobile equipment;
Adequacy and functioning of special services and techniques including welding, nondestructive
inspection (NDI), weighing, painting;
Viewer/printer equipment provided for use with microfiche, microfilm and compact disk, ensuring that
regular maintenance takes place and an acceptable standard of screen reproduction and printed copy
is achieved;
The adequacy of special tools and equipment appropriate to each type of aircraft, including engines,
propellers and other equipment;
The calibration and maintenance of tools and measuring equipment; and
Environmental controls.

19.2.7

GENERAL AIRWORTHINESS CONTROL PROCEDURES


The audit checklists relative to the QA of checks on general airworthiness control procedures should
encompass
Monitoring the practices of the organization in respect of scheduling or pre-planning maintenance tasks
to be carried out in the open air and adequacy of the facilities provided;
Operation of the system for service difficulty reporting required by the airworthiness authority;
Authorization of personnel to issue maintenance releases in respect of inspections and maintenance
tasks; the effectiveness and adequacy of training, including continuation training and the recording of
personnel experience, training and qualifications for grant of authorization;
The effectiveness of technical instructions issued to maintenance personnel;
The adequacy of personnel in terms of qualifications, numbers and ability in all areas required to
support the activities included in the approval granted by the airworthiness authority;
The efficacy and completeness of the quality audit programme;
Maintaining logbooks and other required records and ensuring that these documents are assessed in
accordance with the requirements of the State;
Ensuring that repairs are only carried out in accordance with approved repair schemes and practices;
Control of sub-contractors;
Control of activities sub-contracted to it, such as management of the operators maintenance
programme;
Monitoring Exemption process control (p and monitoring Concession control for deviation from
organizations procedures ; and
Follow-up internal reporting/occurrences.

19.3
19.3.1

INSPECTION OF A QUALITY ASSURANCE SYSTEM


PREPARATION
A. Before conducting this inspection, the assigned ASI
should review the

3650R Inspect AMO Quality Assurance System


4650R Inspect AMO Quality Assurance Systeml

1) Applicable regulations of Part 5;


2) Maintenance organizations MOPM quality control procedures (or separate QCM manual)
for specific infomation regarding
(a) Quality assurance system policies and procedures;
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(b) Location of guality assuance office and records;


(c) Extent to which
3) CASORT Safety Issue database for previous identified issues regarding quality control.
B. The intent of this inspection is to confirm that the AMO are implementing the quality assurance
system in accordance with the MOPM (or separate QAM manual).

19.3.2

GENERAL CONDUCT OF THE INSPECTION


A. The ASI should review the prrocedures and records of the quality assurance activities for
1) Annual scheduling of the audits;
2) Adequate detail for the areas audited;
3) Retention;
4) Completeness;
5) Findings;
6) Resolution of findings; and
7) Scheduling of special followup audits to ensure findings are not repeating.
B. The ASI will include any findings in the CASORT Safety Issue database for process of
resolution.

19.3.3

AIRCRAFT UNDERGOING MAINTENANCE


The ASI should review a representative sampling of the completed audit checklists of the quality
assurance personnel of the maintenance organizations activities involving aircraft while undergoing
scheduled maintenance for
1) Compliance with maintenance programme and mandatory continuing airworthiness
requirements and ensuring that only work instructions reflecting the latest amendment
standards are used;
2) Completion of work instructions including the transfer of defects to additional worksheets,
their control, and final collation. Action taken in respect of items carried forward, not
completed during the particular inspection or maintenance task;
3) Compliance with manufacturers and the organizations standard specifications and
procedures;
4) Ctandards of inspection and workmanship;
5) Condition of corrosion prevention and control treatments and other protective processes;
6) Aircraft maintenance which is not limited to the normal working day; procedures adopted
during shift changeover of personnel to ensure continuity of inspection and responses; and
7) Precautions taken to ensure that, on completion of any work or maintenance, all aircraft are
checked for loose tools and miscellaneous small items such as split pins, wire, rivets, nuts,
bolts and other debris, and for general cleanliness and housekeeping.

19.3.4

AIRWORTHINESS TECHNICAL DATA


The ASI should review a representative sampling of the completed audit checklists of the quality
assurance personnel of the maintenance organizations airworthiness data for
1) Adequacy of aircraft manuals and other technical information appropriate to each aircraft
type, including engines, propellers and other equipment, and the continuing receipt of
revisions and amendments.

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2) Availability of continuing airworthiness data, e.g., Airworthiness Directives, life limits, etc.;
3) Assessment of manufacturers service information, determining its application to aircraft
types maintained and the recording of compliance or embodiment;
4) Maintenance of a register of manuals and technical literature held within the organization,
their locations and current amendment status; and
5) Assurance that all the organizations manuals and documents, both technical and
procedural, are kept up to date.

19.3.5

STORES & STORAGE PROCEDURES


The ASI should review a representative sampling of the completed audit checklists of the quality
assurance personnel of the maintenance organizations stores and storage procedures for
1) The adequacy of stores and storage conditions for rotatable components, small parts,
perishable items, flammable fluids, engines and bulky assemblies in accordance with the
specifications adopted by the organization;
2) The procedure for examining incoming components, materials and items for conformity with
order, release documentation and procurement from sources approved by the organization;
3) The batch recording of goods received and identification of raw materials, the acceptance
of part life items into stores, requisition procedures for issue of items from stores;
4) Labelling procedures, including the use of serviceable/unserviceable/repairable labels and
their certification and final disposal after installation, and labelling procedures for
components which are serviceable but part life only;
5) The internal release procedure to be used when components are to be forwarded to other
locations within the organization;
6) The procedure to be adopted for the release of goods or overhauled items to other
organizations (this procedure should also cover items being sent away for rectification or
calibration);
7) The procedure for the requisitioning of tools together with the system for ensuring that the
location of tools, and their calibration and maintenance status, is known at all times; and
8) Control of shelf life and storage conditions in the stores; control of the free-issue dispensing
of standard parts, identification and segregation.

19.3.6

MAINTENANCE FACILITIES
The ASI should review a representative sampling of the completed audit checklists of the quality
assurance personnel of the organizations maintenance facilities for
1) Cleanliness, state of repair and correct functioning of hangars, hangar facilities and special
equipment and the maintenance of mobile equipment;
2) Adequacy and functioning of special services and techniques including welding,
nondestructive inspection (NDI), weighing, painting;
3) Viewer/printer equipment provided for use with microfiche, microfilm and compact disk,
ensuring that regular maintenance takes place and an acceptable standard of screen
reproduction and printed copy is achieved;
4) The adequacy of special tools and equipment appropriate to each type of aircraft, including
engines, propellers and other equipment;
5) The calibration and maintenance of tools and measuring equipment; and

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6) Environmental controls.

19.3.7

GENERAL AIRWORTHINESS CONTROL PROCEDURES


The ASI should review a representative sampling of the completed audit checklists of the quality
assurance personnel of the maintenance organizations general airworthiness control procedures
for
1) Monitoring the practices of the organization in respect of scheduling or pre-planning
maintenance tasks to be carried out in the open air and adequacy of the facilities provided;
2) Operation of the system for service difficulty reporting required by the airworthiness
authority;
3) Authorization of personnel to issue maintenance releases in respect of inspections and
maintenance tasks; the effectiveness and adequacy of training, including continuation
training and the recording of personnel experience, training and qualifications for grant of
authorization;
4) The effectiveness of technical instructions issued to maintenance personnel;
5) The adequacy of personnel in terms of qualifications, numbers and ability in all areas
required to support the activities included in the approval granted by the airworthiness
authority;
6) The efficacy and completeness of the quality audit programme;
7) Maintaining logbooks and other required records and ensuring that these documents are
assessed in accordance with the requirements of the State;
8) Ensuring that repairs are only carried out in accordance with approved repair schemes and
practices;
9) Control of sub-contractors;
10) Control of activities sub-contracted to it, such as management of the operators
maintenance programme;
11) Monitoring Exemption process control (p and monitoring Concession control for deviation
from organizations procedures ; and
12) Follow-up internal reporting/occurrences.

19.3.8

CONTRACT MAINTENANCE PROVIDERS


The ASI should review a representative sampling of the completed audit checklists of the quality
assurance personnel of the organizations maintenance providers and contracts to confirm
whether
1) The unlicensed person has and uses a quality control system equivalent to that of the
maintenance organization for the work performed,
2) The maintenance organization remains directly in charge of the work performed by the unlicensed
person,
3) The contract the maintenance organization has with the unlicensed person includes a requirement
that the unlicensed person will allow the CAAV to inspect and observe the work performed for the
maintenance organization,
4) The maintenance organization periodically performs and records audits of the unlicensed person to
confirm the above-mentioned qualification, and

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5) The maintenance organization tests and/or inspects and records that the unlicensed person
performed the work satisfactorily and that the article was airworthy before approving it for return
to service.
End of Chapter - Appendix Follows

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APPENDIX 19-A
Job Aid MO-022: AMO Quality Assurance
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PEL#

Mgmt Rep

PEL#

For completion instructions, refer to Chapter 2 of the Airworthiness Inspector manual

YES

NO

NS

Copyright 2001-2009 AVSOG Inc.

NA

36

QUALITY ASSURANCE SYSTEM

36.1

Does the MOPM contain a detailed description of the quality assurance system?

36.2

Does the internal audit program include all functions defined in the
MOPM?

36.3

Is the Quality program under the sole control of either the PRM, or a
person assigned this management function?

36.4

Does the quality program include all elements necessary to confirm


that the AMO is in compliance with the applicable regulations and
the manual?

36.5

Does the quality program ensure that all referenced procedures


remain applicable and effective?

36.6

Is the quality program responsive to any changes within the AMO


that could affect the manual and/or the AMO certificate ratings?

36.7

Is, or has, the MOPM been reviewed to ensure it remains compliance


with current regulations?

36.8

Does the quality program address the need for manual amendments
resulting from such changes?

36.9

Does the quality assurance program of surveillance or internal audit


provide a check of the system's own effectiveness?

36.10

Does the quality program employ audit checklists to identify all functions controlled by the MOPM?

36.11

Do these checklists cover satellite facilities and maintenance away


from base?

36.12

Do these checklist cover all service providers and other maintenance


arrangements?

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36.13

Are these checklists sufficiently detailed to ensure that all maintenance functions are addressed?

36.14

Did the audit checklists cover all aspects of the AMOs technical
activities?

36.15

Is the recurring cycle of progressive of segmented internal audits,


conducted at intervals established in the approved manual?

36.16

Is the entire organization system verified through these audits each


12 months?

36.17

Are records of findings of compliance and non-compliance resulting


from these audits available?

36.18

Are there procedures to ensure that the findings of the audits are
communicated to the PRM and AMO Certificate holder?

36.19

Have immediate and long term actions to correct the root cause of
each non-compliance been noted, developed and/or actioned?

36.20

Have follow-up procedures been carried out to ensure that corrective


actions (both immediate and long term) instituted by the AMO are
effective?

36.21

Is there a record detailing audit findings, corrective actions, and follow up inspections?

36.22

Do these records go back two complete audit cycles?

36.23

Individuals that performing quality assurance duties are not to have


been directly involved in specific function or performance or certification of those tasks? Is there any evidence of such?

36.24

Does the organization ensure that quality assurance takes precedence for personnel with responsibilities relating to both the quality
system and other functional areas?

36.25

When performing quality assurance functions, do the individuals


report solely / directly to the quality manager?

36.26

If applicable, are functions related to quality assurance performed by


qualified external agents?

36.27

Where contracted training is utilized, does the organization perform


a quality assurance review of the training?

36.28

Does the quality assurance program influence the need for or when
training is required within the organization?

INSPECTOR
SIGNATURE

ORG REP
SIGNATURE

End of Appendix 19-A

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Chapter 20
AMO Safety Management Systems
A. This chapter is reserved to provide specific
guidance for the evaluation and inspection of an
AMOs Safety Management System.

APPLICABLE ACTION NUMBERS:


3230O Eval AMO Safety Management System
4230O Eval AMO Safety Management System
3650S Inspect AMO Safety Management System
4650S Inspect AMO Safety Management System

B. Pending guidance focused on any unique


guidance for maintenance organization
approvals, the general guidance provided in
AC 01-004, Acceptable SMS Systems, will be applied.

C. The job aid provided in Appendix A in this chapter is the current generic SMS guidance for
implementation.
End of Chapter - Appendix Follows

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APPENDIX 20-A
Job Aid SP-003: SMS Transition
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PEL#

Mgmt Rep

PEL#

For completion instructions, refer to Chapter 2 of the Airworthiness Inspector manual.


STATUS OF SMS IMPLEMENTATION FOR: _________________________________
CHECKLIST DATE:

YES

YES

NO

NO

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DATE

DATE

COMPLETED BY:

Initials

Initials

SAFETY POLICY

Level

1.1

There is a documented Safety Policy statement?

1.2

The Safety Policy is readily visible or


accessible to all personnel?

1.3

There is evidence that the Safety Policy is


communicated to all employees with
intent that they are made aware of their
individual safety obligations?

1.4

The Safety Policy is appropriate to the


size, nature and complexity of the organisation?

1.5

The Safety Policy is endorsed by the


Accountable Manager?

1.6

There is a periodic review of the Safety


Policy by senior management or the
Safety Committee?

1.7

The Safety Policy is relevant to aviation


safety?

1.8

The safety policy do address the provision


of necessary human and financial
resources for its implementation?

20-2

ACCOUNTABLE MANAGER

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NO

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Initials

2.1

There is a documented safety (SMS)


accountability within the organisation that
begins with the Accountable Manager?

2.2

The accountable managers terms of reference indicate his ultimate responsibility for
the implementation and maintenance of
the SMS?

2.3

The accountable managers terms of reference indicated his ultimate responsibility


for all safety issues?

2.4

The accountable manager has full control


over financial and human resources associated with his organization?

2.5

The accountable managers terms of reference indicate his final authority over all
operations conducted under the certificate/approvals granted to his organization by the CAAV?

2.6

The Manager responsible for administering


the SMS does not hold other responsibilities that may conflict or impair his role as
SMS manager?

2.7

The SMS Manager reports directly to the


Accountable Manager, especially concerning SMS performance and improvement?

2.8

The Manager performing the SMS role


have relevant SMS functions included in
his terms of reference?

2.9

The SMS Manager is a senior management


position not lower than or subservient to
other operational or production positions?

SAFETY COMMITTEE

3.1

There is a Safety Committee (or equivalent meeting) for purpose of reviewing


safety performance?

3.2

For a large organisation, there are departmental or section Safety Action Groups
that work inconjunction with the Safety
Committee?

3.3

The Safety Committee is chaired by the


Accountable Manager or (for very large
organisations) by an appropriately
assigned deputy, duly substantiated in the
SMS manual?

3.4

The Safety Committee do include relevant


operational or departmental Heads as
members?

3.5

There is an appointed Safety (SMS) coordinator within the Safety Action Group?

3.6

The Safety Action Groups are chaired by


the divisional or section Head?

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YES

YES

YES

NO

NO

NO

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DATE

DATE

DATE

Initials

Initials

Initials

CIVIL AVIATION AUTHORITY


4

SAFETY OBJECTIVES & GOALS

4.1

The organisation does establish safety


objectives or goals relevant to its aviation
operations or services?

4.2

The safety objectives/ goals are compatible with the organisation's Safety Policy?

4.3

There is a periodic review of the safety


objectives/ goals for continuing validity
where applicable?

4.4

There are safety objectives/ goals which


are measurable?

4.5

The safety objectives/ goals are monitored


for achievement?

4.6

There is evidence that the safety objectives/ goals are communicated to all
employees with intent that they are made
aware of their individual obligations and
contributions?

SAFETY PERFORMANCE & ALS

5.1

There are safety performance indicators


relevant to aviation safety?

5.2

The ALS safety performance indicators are


based on data relating to occurrence of
some safety or quality related events or
reports?

5.3

There is a procedure for corrective or follow up action to be taken when there is


significant abnormal trend or breach of
any Acceptable Level of safety (ALS)?

5.4

There are identified safety performance


indicators for monitoring the organisation's minimum Acceptable Level of Safety
(ALS) in the SMS manual?

5.5

Safety performance indicators are


reviewed by the safety committee for
trend, minimum safety (alert) levels and
targets (desired levels) where applicable?

HAZARD IDENTIFICATION

6.1

There is a procedure to encourage voluntary hazards/ threats reporting by all


employees?

6.2

In the hazard identification system, there


is a clear differentiation between a hazard
and risk?

6.3

There is a procedure to identify hazards/


threats from internal incident/ accident
investigation reports for follow up risk
evaluation where applicable?

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NO

DATE

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Initials

6.4

There is a procedure for incident/ accident


reporting by operational or production
personnel?

6.5

There is a policy that provides immunity


from disciplinary actions (with any exceptions indicated) for all employees that
report safety related deficiencies, threats
or hazards?

6.6

There is a procedure to review hazards/


threats from available industry service or
incident/ accident investigation reports for
follow up risk evaluation where applicable?

6.7

There is a procedure for investigation of


incident/ accidents relating to quality or
safety?

6.8

There is a procedure for personnel to


report hazards/ threats not amounting to
incident/ accidents?

RISK MANAGEMENT

7.1

There is a documented Hazard Identification and Risk Assessment (HIRA) procedure involving the use of objective risk
analysis tools?

7.2

Risk assessment reports are approved by


departmental managers or higher level
where appropriate?

7.3

There is a procedure for periodic review of


existing risk analysis records?

7.4

There is a procedure to account for mitigation actions whenever unaccceptable risks


are identified?

7.5

There is a procedure to define acceptable


and unacceptable risks?

7.6

There is a procedure for special review of


risk analysis records when there are
changes that may affect their associated
hazards or risks?

7.7

There is a procedure for identification of


operations/ processes/ facilities/ equipment which are deemed (by the organisation) as relevant for HIRA peformance?

7.8

There is a procedure to define mitigation


actions which require senior management
approval?

7.9

Recommended mitigation actions which


require senior management decision or
approval are accounted for and documented?

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YES

NO

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7.10

There is a program for progressive HIRA


performance of all aviation safety-related
operations/ processes/ facilities/ equipment as identified by the organisation?

7.11

There is a procedure to prioritise HIRA


performance for operations/ processes/
facilities/ equipment with identified or
known safety-critical hazards/ risks?

7.12

There is evidence of progressive compliance and maintenance of the organisation's HIRA performance program?

MANAGEMENT OF CHANGE

8.1

There is a procedure for review of relevant existing aviation safety related facilities and equipment (including any HIRA
records) whenever there are pertinent
changes to those facilities or equipment?

8.2

There is a procedure for review of new aviation safety related facilities and equipment for hazards/ risks before they are
commissioned?

8.3

There is a procedure for review of relevant


existing facilities, equipment, operations
or processes (including any HIRA records)
whenever there are pertinent changes
external to the organisation such as regulatory/ industry standards, best practices
or technology?

8.4

There is a procedure for review of relevant


existing aviation safety related operations
and processes (including any HIRA
records) whenever there are pertinent
changes to those operations or processes?

8.5

There is a procedure for review of new aviation safety related operations and processes for hazards/ risks before they are
commissioned?

SMS TRAINING
COMMUNICATION & PROMOTION

9.1

There is a documented personnel Safety


(SMS) training procedure/ policy?

9.2

Personnel involved in conducting risk evaluations are provided with appropriate risk
management training or familiarisation?

9.3

There is evidence of organisation-wide


SMS education or awareness efforts?

9.4

The SMS manager has undergone an


appropriate SMS training course or program?

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YES

YES

NO

NO

DATE

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9.5

Personnel directly involved in the SMS


(Safety Committee/ SAG members) have
undergone appropriate SMS training or
familiarisation?

9.6

There is evidence of a Safety (SMS) publication, circular or channel for communicating Safety (SMS) matters to
employees?

9.7

The Accountable Manager has undergone


appropriate SMS familiarisation, briefing
or training?

10

SMS MANUAL

10.1

There is a documented SMS procedure or


manual.which is approved by the Accountable Manager and accepted by CAAV?

10.2

All 12 components of SMS regulatory


requirements (are addressed in the SMS
procedures?

10.3

The SMS procedures do reflect the integration of the various safety related control systems within the organisation such
as Occupational Safety/ Flight Safety/
Quality Control/ Environmental Control as
applicable?

10.4

The SMS procedures are documented in a


systematic and consolidated manner?

10.5

All relevant elements within each component of the SMS regulatory requirements
are addressed in the SMS procedures?

10.6

The SMS procedures do reflect relevant


coordination or integration with substantial external service providers or operators
where applicable?

10.7

The SMS procedures is a stand-alone controlled document or part of an existing


controlled document?

10.8

There is a process to periodically review


the SMS documentation to ensure its continuing suitability, adequacy and effectiveness?

11

SMS RECORDS

11.1

Records pertaining to Safety Committee/


SAG meeting (or equivalent) minutes are
maintained?

11.2

Records pertaining to Safety Committee/


SAG meeting (or equivalent) minutes are
made available to all members and the
Accountable Manager?

11.3

There is a documented policy with respect


to generation, distribution and retention of
SMS records?

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YES

NO

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11.4

Records pertaining to Safety/ Risk Assessments performed are maintained?

11.5

Records pertaining to Safety/ Risk Assessments performed are assessible to all relevant parties?

11.6

Records pertaining to periodic review of


existing Safety/ Risk Assessments or special review in conjunction with relevant
changes are available?

11.7

Records pertaining to identified or


reported hazards/ threats are maintained?

12

AUDIT & CONTINUOUS


IMPROVEMENT

12.1

There is a procedure for periodic internal


audit/ assessment of the SMS?

12.2

There is a follow up procedure to address


audit corrective actions?

12.3

SMS audit/ assessment has been carried


out according to plan?

12.4

There is a current internal SMS audit/


assessment plan?

12.5

The internal SMS audit plan do cover SMS


roles and procedures of all departments as
defined within the scope of the SMS?

12.6

SMS audit/ assessment reports are


reviewed by the Accountable Manager?

12.7

There is a documented internal SMS audit/


assessment checklist?

12.8

The SMS audit plan do include the sampling of completed safety assessments?

12.9

The SMS audit plan do cover the SMS


roles/ inputs of contractors where applicable?

13

EMERGENCY RESPONSE PLAN

13.1

There is a documented Emergency


Response Plan or Procedure?

13.2

The ERP do include procedures for safe


transition from normal to emergency and
back to normal operations?

13.3

The ERP do address relevant integration


with substantial external service providers or operators where applicable?

13.4

The ERP is appropriate to the size, nature


and complexity of the organisation?

13.5

There is a plan for drills or exercises with


respect to the ERP?

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13.6

There is a procedure for periodic review of


the ERP as well as after key ERP personnel
or organisational changes?

13.7

The ERP does include assignment of emergency responsibilities/ authority?

13.8

ERP drills or exercises are carried out


according to plan and result of drills carried out are documented?

13.9

There is provision in ERP to address preservation of safety/ quality/ continuity of its


aviation product/ services during emergency/ crisis/ AOG situations, where applicable?

INSPECTOR
SIGNATURE

ORG REP
SIGNATURE

End of Appendix 20-A

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Chapter 21
AMO Approvals & Capability
A. This chapter is provides evaluation and
inspection guidance regardining the
maintenance organizations general approvals
and capability, including
Initial approval to use a capability list

APPLICABLE ACTION NUMBERS:


3230L Eval AMO Approvals & Capability
4230L Eval AMO Approvals & Capability
3650T Inspect AMO Approvals & Capability
4650T Inspect AMO Approvals & Capability

Revalidation of the authorizations issued to the


organization.

21.1

CAPABILITY LIST
A certificated AMO with a limited rating may perform
maintenance, preventive maintenance, or
modifications on an article if it is listed on a current
capability list acceptable to the CAAV or on the
AMOs OpSpecs.

21.1.1

3230L Eval AMO Approvals & Capability


4230L Eval AMO Approvals & Capability

MANUAL CONTENTS REGARDING CAPABILITY LISTS


A. If the AMO chooses to use a capability list, the MOPM must
1) Contain procedures for revising the list and notifying CAAV;
2) Include how often CAAV will be notified of revisions;
3) Contain the procedures for the self-evaluation required under VAR Part 5 for revising the
capability list;
4) Describe the methods and frequency of such evaluations; and
5) Contain the procedures for reporting the results to the appropriate manager for review and
action.
B. The capability list itself may be included as a part of the MOPM or as a separate document;
however, the procedures for revising the list and for performing the self-evaluation must be in the
manual.

21.1.2

SELF-EVALUATION
A. The individual performing the required self-evaluation should have the following qualifications
1) Experience with performing evaluations (or audits if that is the method selected by the
AMO).
2) An understanding of the requirements of VAR Part 5.
3) Knowledge of the maintenance requirements for the particular make/model of article to be
added to the list.

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B. The individual should follow the procedures in


the MOPM, using the checklists, working
documents, and forms to record the selfevaluation.
C.

The checklists and forms may need to be customized for each self-evaluation.

The self-evaluation should ensure that the AMO has the following
1) The appropriate limited rating.
2) Adequate housing and facilities.
3) Recommended tools, equipment, and materials, or equivalent.
4) Approved and current technical data.
5) Sufficient qualified personnel.

D. The individual conducting the self-evaluation must record the results and report them to the
appropriate manager or management team for review and approval.
The procedures should describe the acceptance process for the company officials and CAAV.
The procedure used to revise the list should describe the method used to indicate any changes made to
the list.
Any deficiencies found during the self-evaluation must be corrected before the article can be added to
the capability list.
When the self-evaluation establishes satisfactory results, the capability list may be revised.
The AMO should keep records of the self-evaluation on file for the period specified in the manual.

E. The procedures for revising the list and notifying CAAV should include the title of the person
responsible for maintaining the list and communicating any revisions to CAAV.
If the self-evaluation was satisfactory, the capability list may be revised. The revised list and any other
necessary technical data can be submitted with a cover letter within 5 business days to the PI at CAAV.
The PI will review the revisions and, if the revisions are satisfactory, signify acceptance by signing and
dating the appropriate document.

21.1.3

UPDATING THE CAPABILITY LISTS


A. Capability list currency can be shown by a list of effective pages or equivalent document, which
is signed by the authorized representative of the AMO and CAAV PI.
B. If the AMO no longer wishes to maintain an article on its capability list, the article should be
deleted.
The AMO must have the necessary tools, equipment, housing, facilities, and trained personnel to
maintain articles on the capability list at the time the work is performed.
The procedures in the manual should describe how to delete articles from the list and how to forward
the revised list to CAAV for acceptance.
The AMO may choose to audit the capability list on a regular basis to ensure that it continues to have
the housing, facilities, equipment, and technical data that meet all necessary requirements to maintain
the articles listed in the document.
Whenever equipment, tooling, personnel, and data must be obtained in order to perform the
maintenance or modification on an article that is going to be added to the capabilities list, the AMO must
explain how it will ensure these items will be available when the work is being performed.

C. If the capability list is maintained on electronic media, the AMO will need to work with CAAV to
ensure compatibility of the media, equipment and software with that of the CAAV.
Revision procedures will need to address documentation of approval by the company as well as
acceptance by CAAV.

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21.1.3.1

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Content Questions regarding Capabilities Lists


The following questions or concerns are offered as a guide and are intended to help initiate the
procedures in the manual
1) What is the title of the person who will maintain the capability list?
2) How will the self-evaluation be performed?
3) Who will perform the self-evaluation?
4) How will the self-evaluation be documented?
5) How will results of the self-evaluation be reported to management and how will management
review the addition of capabilities to the list?
6) How will items be added to and deleted from the list?
7) How are changes clearly indicated on the document?
8) If electronic media is used, is the hardware and software compatible with that of the CAAV?
9) Where and by whom will self-evaluation reports be maintained?
10) How long are self-evaluation reports maintained?

21.2
21.2.1

INSPECTION OF APPROVALS & CAPABILITY


PREPARATION FOR INSPECTION
Before the inspection, the ASI should review the
1) Maintenance organizations MOPM for the
procedures for the development, distribution
and retention of the capability list.

3650T Inspect AMO Approvals & Capability


4650T Inspect AMO Approvals & Capability

2) CASORT-Org database for the


(a) Current approvals;
(b) Current base and management information;
3) The current OpSpecs issued to the organization.

21.2.2

INITIATING THE INSPECTION


A. After arriving on-site, the ASI should first review the company documentation for their approvals,
to confirm that the correspond to the CAAV files,including
1) OpSpecs.
2) Capability list; and
3) Any exemptions.
B. The ASI should then take a tour of the facility to ascertain the types of maintenance performed at
the facility.

21.2.3

LIMITED RATING
A. If the maintenance organization holds a limited rating, the ASI should confirm that
Each article it is authorized to maintain and modify is identified either on a capabilities list or on its
OpSpecs.

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There is documentation to show that, for each item on the capabilities list,t a self-evaluation was done to
determine that the necessary housing, facilities, tools, test equipment, materials, technical data, processes,
and trained personnel were available to accomplish the work.
If the maintenance organization uses a capabilities list, it follows the procedures in its MOPM for
conducting self-evaluations and revising the list.

21.2.4

ORGANIZATIONAL CHART
The ASI should confirm that the maintenance organizations organizational chart
Is current and is the same as the CAAV copy;
Matches the duties listed in the maintenance organization manual; and
Infomration matches the positions and managers as in the CASORT-Org Management Contacts.

21.2.5

LINE MAINTENANCE
The ASI should confirm whether the organization
Is authorized to perform line maintenance for AOC holders in Vietnam;
Has the facilities, equipment, trained personnel and technical data at the authorized location to perform
such line maintenance.

21.2.6

GEOGRAPHIC AUTHORIZATION
The ASI should give emphasis to confirm whether the organization

21.2.7

Is performing maintenance away from the fixed facilityof the AMO;


Is in compliance with CAAV authorization for such work;
Provides the necessary equipment, personnel and data as supported by the work packages
Should contiue to hold this authorization;

EXEMPTIONS
The ASI should give emphasis to confirm whether the organization
Is performing maintenance based on exemptions, deviations or waivers from specific regulation
requirements;
Is in compliance with the conditions and limitations of those documents;
Should continue to hold these grants.

21.2.8

SATELLITE LOCATIONS
The ASI should confirm whether the organization
Is performing maintenance at more than one fixed location (base);
Is in compliance with CAAV authorization for the additional fixed locations;
Should contiued to hold this authorization

End of Chapter - Appendix Follows

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APPENDIX 21-A
Job Aid MO-001: AMO Approvals & Capability
Date

Control #

Action #

Record ID#

Inspector

Org Identifier

Location

Project#

Destination

Aircraft MMS

Action Taken

Aircraft Reg#

Maint Rep

PEL#

Mgmt Rep

PEL#

For completion instructions, refer to Chapter 2 of the Airworthiness Inspector manual,


YES

NO

NS

Copyright 2001-2009 AVSOG Inc.

NA

CERTIFICATE & OPERATIONS SPECIFICATIONS

1.1

Does the approved maintenance organization have its certificate and


operations specifications available on the premises for inspection?

1.2

Are the operation specifications signed by the appropriate maintenance or avionics inspector?

1.3

Are the approved maintenance organization ratings authorized on the


certificate and operations specifications appropriate to the Article being
maintained?

1.4

Does the AMO certificate and operations specifications reflect the current business address?

1.5

Does the maintenance organization use a Capability List?

1.6

Does the maintenance organization have a procedure for revising the


capability list that includes self evaluation required by VAR Part 5 and a
method with the frequency to notify the CAAV?

1.7

Does the approved maintenance organization perform only the specific


services and functions within the ratings and classes stated in its operations specifications and/or Capability List?

1.8

Does the maintenance organization contract out any maintenance functions and has the CAAV approved those functions?

1.9

Did the maintenance organization provide the CAAV with the required
list?

1.10

Does the maintenance organization use non-approved persons for outside maintenance and does the maintenance organization assure that
they have a quality system equivalent to the maintenance organization?

1.11

Does the maintenance organization provide only return to service on the


article?

1.12

Does the maintenance organization perform work at locations other than


its fixed location and is the work authorized on the operations specifications?

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1.13

Does the maintenance organization have or is a line station, and is it


authorized on the operation specifications?

1.14

Has the approved maintenance organization certificate been issued


within 12 months or renewed within past 24 months?

End of Appendix 21-A

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Chapter 22
AMO Foreign Maintenance Organizations
A. This chapter is reserved to provide specific
guidance for the evaluation and inspection of an
foreign AMO to perform maintenance on
Vietnam registered aircraft.

22.1

APPLICABLE ACTION NUMBERS:


3652 Inspect Foreign AMO [Comprehensive]
4652 Inspect Foreign AMO [Comprehensive]

APPROVAL OF FOREIGN MAINTENANCE ORGANIZATION

22.1.1

CAAV POLICY
A. All foreign maintenance organizations that are used to meet the maintenance requirements of
the Vietnam Civil Aviation regulations must have the approval of CAAV in order for the training
received to be considered valid for licensing and operations in Vietnam.
B. All foreign specialized maintenance facilities and equipment that are used for maintenance must
have CAAV approval before their use.
C. All foreign personnel used to provide maintenance required by the VARs must be properly
licensed by the CAAV or employed and qualified by the foreign AMO.
D. All CAAV approved AOC holders and
maintenance organizations must ensure that
such approvals exist before using a foreign
maintenance organization to satisfy VAR
maintenance requirements.

22.1.2

This must be demonstrated by the


AMO before consideration by the
CAAV.

NEED FOR APPROVAL


A. There is often a need for an individual, organization or airline to use AMOs that are located
outside of Vietnam to complete VAR maintenance requirements.
B. This is sometimes driven by cost consideration or simply because the maintenance facilities,
resources, equipment and expertise necessary to support the specialized maintenance required
by the airline are not available in Vietnam.
C. In principle, there is no difference between the
approval of maintenance organizations based
abroad and those based in Vietnam.

The principles and procedures that are


described in VAR Part 5 fully apply to foreign
ATOs.

D. In practice, there are difficulties that are


essentially linked to the fact that the CAAV
may not always have the budget to ensure
proper oversight of AMOs located abroad.

To overcome these difficulties, the CAAV may


consider the approval and oversight system of
the host State to issue the approval using a validation process that is provided in VAR Part 1.

E. This approach is efficient but requires that the


CAAV must review and process the approval given by another State, to fully understand the
conditions and the regulatory basis of the original approval.
F.

Based on this review, the CAAV may require additional conditions, including an on-site
evaluation, before an approval is issued.

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APPROVAL PROCEDURE
A. The individual or organization desiring to use a foreign AMO, its equipment or its personnel must
submit sent a letter of intent to the CAAV-FSSD outlining
1) This intention;
2) The proposed dates; and
3) The justification for using a foreign entity.

The request should also include a copy of the


approval documents that the foreign CAA has
issued to the AMO and/or maintenance personnel to be used.

B. The CAAV will research the request and


contact the civil aviation authorities of the country to validate the approval documents.
In situations where specialized personnel or
equipment are used to meet maintenance
requirements on behalf of a Vietnam
maintenance organization, the CAAV
airworthiness inspector must go on-site to
evaluate quality and performance of the
equipment and personnel.

The maintenance organization will be required


to post the anticipated funds necessary for the
inspector travel and on-site work before such a
trip will be authorized.

C. A formal approval document will be issued when the CAAV is satisfied that the maintenance
organization, its equipment and its personnel
1) Hold valid approvals from their civil aviation authorities for the tasks that are proposed;
2) Have demonstrated their proficiency and competency for such tasks through an
internationally accepted process; and
3) Any necessary on-site evaluations have been conducted.
D. That formal approval document will be
For foreign AMOs, a Vietnam display certificate
and operation specifications to the foreign ATO
management.

A copy of all issued documents will be provided


to the Vietnam organization or individual making the original request for approval.

For maintenance facilities or equipment not a


part of the foreign AMOs approval, an approval
letter to the Vietnam maintenance organization specifically authorizing the functions authorized, with
any necessary restrictions.
Where necessary, a Designated Representative Certificate of Authority from the CAAV to the checking
individual (as provided in VAR Part 1).

End of Chapter

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