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S4C2 - RECORDING AND CERTIFICATION OF AIRCRAFT AND AERONAUTICAL PRODUCT MAINTENANCE

Table of Contents

INTRODUCTION

RECORDING OF MAINTENANCE

Purpose of Recording Maintenance

CERTIFICATION OF MAINTENANCE

Purpose of Certification

Certification Methods

Specimen Signatures

ENTRIES IN THE RECORDING AND CERTIFICATION SYSTEM

Recording

Certification

Recording an Unserviceability

Recording the Corrective Action

Certification of the Corrective Action

ERRORS IN THE RECORDING AND CERTIFICATION SYSTEM

Paper-Based System

Electronic system

AIRCRAFT SUPPLEMENTARY INFORMATION

Aircraft Leading Particulars

Deferment of Required Maintenance

Special Maintenance Requirements

Changes of Configuration

AERONAUTICAL PRODUCT CHANGE

REPLENISHMENT OF CONSUMABLES AND EXPENDABLES

OPERATIONAL SERVICINGS

MAINTENANCE RELEASE OF AIRCRAFT

Maintenance Following Maintenance Release and Before Captains Acceptance

CAPTAINS ACCEPTANCE

Captains Acceptance

Maintenance Following Maintenance Release and Captains Acceptance

CAPTAINS RELEASE

ADF APPROVED PAPER-BASED RECORDING AND CERTIFICATION SYSTEM

ELECTRONIC RECORDING AND CERTIFICATION SYSTEM

AUTHORITATIVE DATA SOURCE

AIRCRAFT LOG PACK

QUARANTINE OF MAINTENANCE RECORDS FOLLOWING AIRCRAFT ACCIDENT OR INCIDENT

RETENTION AND ARCHIVING OF MAINTENANCE RECORDS

Annexes

A. Continuous Charge

B. Aircraft Log Pack

C. Retention and Archiving of Aircraft and Aeronautical Product Maintenance Records

INTRODUCTION

1. An integral part of operational airworthiness, technical airworthiness and safety is the maintenance recording and certification system, which ensures traceability and accountability for all maintenance carried out. The recording and certification system may be paper-based, electronic or a combination of both.

2. The functions of the recording and certification system used in aircraft and aeronautical product maintenance must provide:

  1. a method of identifying the current serviceability state of the aircraft or aeronautical product
  2. a means of recording and certifying maintenance that has been carried out
  3. the technical history of the aircraft or aeronautical product
  4. forecasting of when maintenance becomes due
  5. part of the record of aircraft and aeronautical product configuration.

3. This chapter details the requirements of Approved Maintenance Organisations (AMO) for the recording and the certification of maintenance carried out on aircraft and aeronautical product, whether paper-based or electronic.

RECORDING OF MAINTENANCE

4. Personnel must record all maintenance required and performed on aircraft and aeronautical product by making an entry in the recording and certification system.

Purpose of Recording Maintenance

5. Maintenance required and performed on aircraft and aeronautical product is recorded to readily identify current configuration and serviceability state.

CERTIFICATION OF MAINTENANCE

6. All maintenance carried out on aircraft and aeronautical product must be recorded and certified. Only authorised personnel may certify in the recording and certification system. When certifying, personnel are stating that they performed, supervised or inspected the maintenance in accordance with relevant authorised maintenance data. Personnel performing maintenance must accurately describe the rectification action taken, and must make reference to the authorised maintenance data used to carry out the maintenance.

Purpose of Certification

7. Certification of aircraft and aeronautical product maintenance is required to provide a record of maintenance carried out and identifies the person responsible for carrying out the maintenance. The person’s certification signifies:

  1. they are authorised to perform the maintenance
  2. acceptance of responsibility for the maintenance in the capacity they performed
  3. the date and time that the maintenance was carried out
  4. the requirements of Section 3 Chapter 1—Performance, Supervision, Inspection and Management of Maintenance within an AMO have been met.

Certification Methods

8. The method of certifying in the paper-based recording and certification system is a signature and date time group (DTG) however; initials, in place of a signature, are permitted under certain circumstances. When electronic certification is used, the certification of maintenance is legally equivalent to certification in the paper-based recording and certification system.

Specimen Signatures

9. AMOs must maintain a system to identify and record specimen signatures for all personnel authorised to certify within the AMOs recording and certification system. The recording system must include the following information, as applicable:

  1. rank/title
  2. surname and first name
  3. PMKeys No/service No/employee No
  4. electronic user ID
  5. signature, initials and stamp
  6. date of registration.

10. The Maintenance Control Office (MCO) or equivalent must be able to readily access the records containing specimen signatures. These records must be reviewed in accordance with Section 4 Chapter 1—Authorised Maintenance Data. However, the records must be updated on the following occasions:

  1. inward postings
  2. promotions
  3. name changes
  4. when a persons signature changes significantly.

ENTRIES IN THE RECORDING AND CERTIFICATION SYSTEM

11. Entries in a recording and certification system constitute a legal certificate. To make entries in the recording and certification system incorrectly, negligently and/or in the knowledge that it is false, is an offence under both military and civil law.

Recording

12. Paper-Based System. Entries in paper-based recording and certification systems must be in accordance with the systems approved instruction, printed, legible and made using a blue/black ballpoint pen, unless otherwise specified.

13. Where an instruction calls for highlighting or shading of completed entries, the highlighting or shading is to be in a contrasting colour.

14. All unused and not required certification and information fields must be ruled through.

15. Electronic System. Entries in an electronic recording and certification system must be in accordance with the relevant systems approved instruction.

Certification

16. Certification is indicated by either entering a signature and DTG in a paper-based recording and certification system, unless otherwise specified or electronically in accordance with the electronic recording and certification system instruction.

17. Certification Time Limits. To ensure integrity, authorised maintenance personnel must certify for maintenance performed in the recording and certification system as soon as reasonably practicable after its completion. Best practice is for certification to be within 30 minutes of completion of the maintenance.

18. Where an SMM or delegate believes best practice is impractical, then the time period for certification must be determined by the AMO. However, all maintenance performed must have their certifications completed prior to the end of the working day or shift.

19. Personnel Being Coached. Personnel being coached who are not authorised cannot fulfil any certification requirements for the coached maintenance. Personnel who are being coached are required to enter their details in the corrective action or unserviceability and transfer details of the recording and certification system. The surname and/or User ID of the coached person must be entered directly after the corrective action or unserviceability and transfer details statement.

20. Self Certifying Tradesperson. When certifying for maintenance as a Self Certifying Tradesperson (SCT), only one certification is required. The person performing the maintenance must indicate that it is an SCT and certify in accordance with the recording and certification system. The SCT certification is the Maintenance Certifier in accordance with Section 3 Chapter 1.

21. Supervised Maintenance. When certifying for maintenance that involves a Tradesperson and Trade Supervisor, both the Tradesperson and Trade Supervisor certify in accordance with the recording and certification system. The Trade Supervisor certification is the Maintenance Certifier in accordance with Section 3 Chapter 1.

22. Maintenance Manager. Maintenance Managers (MM) perform certification of MM tasks in accordance with the recording and certification system and local instructions.

23. Independent Maintenance Inspections. Independent Maintenance Inspections (IMI) must be performed on safety critical items and systems, as prescribed by the System Program Office (SPO) in accordance with Section 3 Chapter 1. IMIs must be recorded in the recording and certification system as follows:

  1. SPO Prescribed Independent Maintenance Inspections; must be recorded in the recording and certification system by either annotating the letters ‘REF’ where the inspection is detailed in the authorised maintenance data, or by annotating the Independent Maintenance Inspection Card (IMIC) number

24. Maintenance Assurance Inspection. A Maintenance Assurance Inspection (MAI) must be recorded as a discrete unserviceability entry, eg Maintenance Assurance Inspection required on....(enter system/item)....for....(reason)...

25. Date Time Group. The Date Time Group (DTG) is used to identify a defined point in time, and is mandatory for all levels of certification.

26. The DTG takes the form of six digits, one letter, followed by the abbreviated month and year, eg 050900ZFEB13. This example indicates the day of the month (05), the hour of the day using the 24 hour system (0900), the time zone (Z), the month (FEB) and the year (13). Time zones would normally be expressed in Co-ordinated Universal Time (UTC), ie ZULU (Z) time.

27. Manhours. With the exception of flight servicing, manhours expended on maintenance may need to be recorded.

Recording an Unserviceability

28. An unserviceability is a fault, suspect fault or servicing which must be rectified or carried out before the aircraft can be released for flight. All unserviceabilities must be recorded in the allocated field and must clearly describe the unserviceable condition. The unserviceability must be worded so that the required corrective action does not leave the aircraft in an unserviceable state, eg ‘RH Aileron to be removed’ is not an acceptable unserviceability entry as the corrective action ‘RH Aileron removed’ will leave the aircraft in an unserviceable state.

29. The recording of an unserviceability places the aircraft unserviceable. Personnel recording the unserviceability must include, as applicable:

  1. name and DTG
  2. how found
  3. a complete description of the unserviceability
  4. the trade responsible for the corrective action.

30. Where an abnormal condition occurs during normal operation, the unserviceability must only state the condition or abnormality that occurred, eg ‘Loud thump heard and felt through the airframe during undercarriage retraction'.

31. Where the removal of aeronautical product is required during the course of a rectification, the entry must detail the aeronautical product, and the reason for removal, eg ‘No 1 hydraulic pump cover removed for access’.

32. Where a maintenance inspection is required during the removal operation, the MM must enter an additional unserviceability to cover the inspection requirement, eg ‘Winch CAD independent inspection to be carried out post-removal, IAW AAP..., Ref nnnnn–*’.

33. Aircraft changes of configuration, such as Alternate Mission Equipment (AME) removal and installation must be recorded by entering an unserviceability in the recording and certification system. This allows for clear traceability and a means to record the removal or installation of aeronautical product that affect aircraft configuration.

34. Tool Control. All tools and support equipment must be controlled in accordance with Section 3 Chapter 7—Control of Tools and Support Equipment. Where tools and support equipment are to be used, maintenance personnel must ‘Open’ and ‘Close’ tool control in accordance with Section 3 Chapter 7 and the recording and certification systems instructions.

Recording the Corrective Action

35. The corrective action must accurately describe the rectification action taken, and must make reference to the authorised maintenance data used to carry out the maintenance The corrective action must place the aircraft in a serviceable or known condition for that unserviceability.

Certification of the Corrective Action

36. All maintenance carried out on aircraft and aeronautical product must be certified. When certifying for the corrective action, personnel are stating they performed, supervised or inspected the maintenance task in accordance with authorised maintenance data. Certification is carried out in accordance with the recording and certification system instructions.

ERRORS IN THE RECORDING AND CERTIFICATION SYSTEM

Paper-Based System

37. Where a general clerical error, or an incorrect entry is made in a paper-based system, the error is to be corrected as follows:

  1. For a general clerical error, the person correcting the entry must:
    1. Circle the error and annotate ‘Entered in error’ or ‘EIE’.
    2. Enter the correction as closely and clearly as possible to the error, without obscuring the original entry.
    3. Initial the correction.
  2. For an incorrect entry, the person making the entry must:
    1. Annotate the words ‘Entered in Error’ in the ‘Corrective Action’ field.
    2. Ensure the corrective action is certified by the MM.
    3. If applicable, re-enter the entry correctly.
  3. For a not applicable or not required entry, the person identifying the error must:
    1. Annotate ‘N/A’ in an appropriate field against the entry.
    2. Ensure the corrective action is certified by the MM.

38. Correction fluids and tapes must not to be used to amend errors in the paper-based system.

Electronic system

39. The correction of erroneous entries in an electronic system must be approved by an MM and corrected in accordance with the systems instructions.

AIRCRAFT SUPPLEMENTARY INFORMATION

40. The Aircraft Supplementary Information (ASI) is a collective term which identifies:

  1. aircraft leading particulars
  2. deferment of required maintenance, (Carried Forward Unserviceabilities (CFU))
  3. Special Maintenance Requirements (SMR)
  4. changes of configuration affecting flying characteristics and operating role.

41. All ASI details must be readily available and accessible to personnel to ascertain current aircraft operational status and overall serviceability state.

Aircraft Leading Particulars

42. The Aircraft Leading Particulars lists the aircraft type, aircraft designated prefix and tail number and may include details of:

  1. specifications, alternatives and codes for oils, lubricants and fuel used on the aircraft
  2. information associated with the starting systems and landing gear of the aircraft.

Deferment of Required Maintenance

43. Deferment of required maintenance allows an AMO to make an aircraft available to meet operational requirements without being fully serviceable.

44. Where the rectification of an unserviceability is to be deferred, the assessment and authorisation to defer must be conducted in accordance with Section 3 Chapter 11—Deferment of Required Maintenance and local instructions.

45. The CFU section provides for a consolidated list of deferred maintenance and is used as reference for:

  1. maintenance planning by forecasting expiration of deferred maintenance
  2. providing visibility to the aircrew with the current state of the aircraft and any operational limitation.

46. The CFU section records:

  1. the CFU serial number reference for the deferred maintenance entered
  2. the unserviceability reference of the original unserviceability, eg Serial Number of Work (SNOW)
  3. a transcription of the original unserviceability
  4. the period of deferment
  5. a means of indicating if the deferment carries an operational limitation or restriction
  6. on rectification, the unserviceability reference the deferred maintenance was transferred to, and a certification of the person transferring the deferment.

47. Recording the Deferment of Required Maintenance. The unserviceability must be recorded in the recording and certification system prior to being transferred to the CFU section. Further unserviceabilities must be raised where further monitoring, inspections and servicing are required in support of the deferred maintenance, eg Special Maintenance Requirements (SMR). The recording and transfer of the deferred maintenance must be in accordance with the recording and certification system instructions.

48. Following the transfer of the unserviceability, the CFU authority must certify the corrective action field in accordance with the recording and certification system instructions. This certification indicates:

  1. the aircraft is safe for flight without prejudice to operational airworthiness, technical airworthiness, or the safety of personnel
  2. the deferred maintenance has been transferred verbatim into the CFU section
  3. the serial number is linked to corrective action field
  4. the period of deferment has been recorded into the CFU section
  5. associated maintenance has been linked and forecast in the SMR section and referenced in the CFU section and corrective action field
  6. operational limitations and restrictions have been highlighted.

49. Under some circumstances aircraft captains may need to defer maintenance. The aircraft captain must assess the unserviceability as suitable for safe flight and must certify such assessment. On release to maintenance, deferred maintenance entered by the aircraft captain must be brought to the attention of the SMM or delegate for review and assessment.

50. When deferred maintenance is to be rectified or the period of deferment expires, an unserviceability must be recorded in accordance with the recording and certification system instructions.

Special Maintenance Requirements

51. Special Maintenance Requirements (SMR) are used to control supplementary maintenance resulting from the assessment and justification of deferred maintenance or other maintenance. The SMR is typically restricted to maintenance:

  1. of a short-term sequential nature arising from prior maintenance or events, eg re-torques, oil sampling or crack propagation monitoring, or
  2. as a consequence of operating in a particular environment or role, eg compressor washes after operation in salt/smoke laden atmosphere.

52. Recording Special Maintenance Requirements. When it is determined that an SMR is required, an unserviceability must be recorded in accordance with the recording and certification system instructions. Each SMR entry must record, as a minimum:

  1. details of the maintenance to be carried out
  2. the unserviceability that raised the SMR
  3. the deferral periodicity (for ‘Recurrent SMRs’) and/or the period of currency
  4. an SMR authorised certification.

53. When a ‘Recurrent SMR’ becomes due or the ‘Period of SMR Currency’ expires, an unserviceability must be recorded and completed in accordance with the recording and certification system instructions.

Changes of Configuration

54. Changes of aircraft configuration affecting aircraft flying characteristics and operating role must be recorded in accordance with the applicable recording and certification system instructions. All removal and installation details must be recorded in the unserviceability field of the recording and certification system.

55. Each change of configuration entry must record the following information:

  1. reference to the related unserviceability, eg SNOW, and DTG when the aeronautical product was installed/removed
  2. a brief description of the aeronautical product effecting the changes to configuration
  3. for closure, reference to the related unserviceability, when the aeronautical product was removed/installed, and DTG.

56. Recording Changes of Configuration. When a change of configuration requires the aircraft to be ‘changed from or returned to standard configuration’, the MM must ensure:

  1. the change from or returned to standard configuration is recorded in the unserviceability field of the recording and certification system
  2. the details of the unserviceability is transferred to the Changes of Configuration Section (CCS) in accordance with the recording and certification system instructions.

AERONAUTICAL PRODUCT CHANGE

57. All removal and installation of aeronautical product in aircraft must be recorded in the recording and certification system. A maintenance control label must be raised in accordance with Section 5 Chapter 1—Aeronautical Product and attached to removed aeronautical product.

58. Where the removal involves the rectification of a Maintenance Managed Item (MMI), a job number will be allotted to the control label which must be recorded in the field allocated in the recording and certification system.

59. During the removal and installation process of an MMI, the following information must be recorded in the recording and certification system:

  1. an unserviceability stating the reason for the removal
  2. item name
  3. Logistics Support Analysis Control Number (LCN)/Alternate LCN (ALC)
  4. Work Area Code/Zone
  5. serial number OFF
  6. serial number ON.

REPLENISHMENT OF CONSUMABLES AND EXPENDABLES

60. All replenishments of consumables, eg petroleum, oil and lubricants, water methanol and oxygen system, as applicable and expendables, eg armament/stores, sonobuoys and life rafts, as applicable must be recorded and certified in accordance with recording and certification system instructions.

61. All replenishments must be carried out in accordance with authorised maintenance data. Replenishments must be in the same units as indicated on the aircraft gauges, or as per the container units used to replenish the system, if there are no aircraft gauges.

62. All expendables loaded and unloaded should be identified by: type, position and quantity loaded and unloaded in accordance with authorised maintenance data.

OPERATIONAL SERVICINGS

63. All operational servicing and other servicing must be conducted, recorded and certified, as applicable and recorded in accordance with the recording and certification system instructions. All operational servicing must be carried out in accordance with authorised maintenance data.

MAINTENANCE RELEASE OF AIRCRAFT

64. Prior to an aircraft being accepted for flight by the aircraft captain, the aircraft must be released from maintenance by an MM. The maintenance release indicates that the aircraft has had all required maintenance and preparatory activities carried out and is in a fit state for flight. MM Maintenance Release of aircraft must be carried out in accordance with Section 3 Chapter 1 Annex A.

Maintenance Following Maintenance Release and Before Captains Acceptance

65. Maintenance following ‘MAINTENANCE RELEASE’ and before ‘CAPTAINS ACCEPTANCE’ maintenance may be conducted as follows:

  1. the ‘MAINTENANCE RELEASE’ certification is negated in accordance with the recording and certification system instructions
  2. normal maintenance procedures are adhered to
  3. on completion, a Partial Before Flight (PBF) servicing (zonal) is performed on the area affected
  4. the ‘MAINTENANCE RELEASE’ is then certified in accordance with the recording and certification system instructions.

CAPTAINS ACCEPTANCE

Captains Acceptance

66. Captain’s acceptance is the means by which the aircraft captain acknowledges the current state of the aircraft and assumes responsibility for the aircraft until release to maintenance. The captain’s acceptance process is conducted and recorded in accordance with the recording and certification system instructions.

67. Where the recording and certification system permits, multiple aircraft captain acceptances may be conducted. This allows for changes of aircraft captain following the first aircraft captains acceptance, without release to maintenance.

68. When an aircraft captain accepts the aircraft from another aircraft captain or from maintenance the acceptance must be in accordance with the recording and certification system. This certification indicates the aircraft is acceptable for the programmed flight/period. Specifically:

  1. the loading state, configuration and replenishment state of the aircraft
  2. no maintenance, CFUs and SMRs will fall due during the programmed flight/period
  3. all CFUs are acceptable for the programmed flight/period
  4. the applicable flight servicing has been carried out
  5. the releasing base has been recorded
  6. the ‘MAINTENANCE RELEASE’ has been completed, if applicable
  7. applicable pre-launch maintenance have been noted, if applicable.

Maintenance Following Maintenance Release and Captains Acceptance

69. Where an operational requirement exists, maintenance may be performed on the aircraft following acceptance, provided the maintenance:

  1. is authorised by the Aircraft Captain
  2. has been authorised by the SMM or delegate.

70. The AMO must document in local instructions:

  1. a list of pre-authorised maintenance permissible following captains acceptance
  2. the process by which the aircraft captain authorises maintenance to be performed following aircraft acceptance, which may be verbal or written.

71. Where maintenance is to be carried out following acceptance, the maintenance must be recorded in accordance with the recording and certification system instructions. If the required maintenance develops beyond the scope of the pre-authorised maintenance, the requirement may be either referred to the SMM or delegate for authorisation or the aircraft released to maintenance.

CAPTAINS RELEASE

72. The ‘Captains Release’ has provision to record multiple aircraft captain releases. This allows for changes of aircraft captaincy without release to maintenance.

73. When an aircraft captain releases the aircraft to another aircraft captain or to maintenance, their certification indicates as applicable the following has been recorded in the recording and certification system:

  1. all flight and operational details
  2. all unserviceabilities, including deferment of required maintenance
  3. the aircraft armament state
  4. the aircraft has been secured in a safe condition
  5. all replenishments.

ADF APPROVED PAPER-BASED RECORDING AND CERTIFICATION SYSTEM

74. The ADF approved and authorised paper-based recording and certification system is detailed in Section 4 Chapter 3—ADF Approved Paper-Based Recording and Certification System.

ELECTRONIC RECORDING AND CERTIFICATION SYSTEM

75. The ADF approved and authorised electronic recording and certification systems take varying forms which must be operated in accordance with the systems instructions.

AUTHORITATIVE DATA SOURCE

76. If any discrepancy arises between the operational data recorded in the recording and certification system and the data recorded in the Form EE360, Flight Authorisation Book/Aircrew Authorisation Log or other recording document, the recording and certification system shall be the authoritative data source.

AIRCRAFT LOG PACK

77. Before an aircraft is accepted into the ADF, an Aircraft Log Pack must be raised. Instructions on the raising and use of an Aircraft Log Pack are detailed in Annex B.

QUARANTINE OF MAINTENANCE RECORDS FOLLOWING AIRCRAFT ACCIDENT OR INCIDENT

78. When an aircraft accident or incident is reported, the SMM or delegate must ensure that the aircraft’s applicable recording and certification system and any associated record is placed in quarantine.

RETENTION AND ARCHIVING OF MAINTENANCE RECORDS

79. AMOs must retain and dispose of aircraft and aeronautical product maintenance records in accordance with Annex C.

Annexes:

  1. Continuous Charge
  2. Aircraft Log Pack
  3. Retention and Archiving of Aircraft and Aeronautical Product Maintenance Records

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