Hochberg 2016

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U.S. Department of Transportation Federal Aviation Administration HAY - ~ 2016 Nelson Hochberg Office of the Chief Counsel 800 Independence Ave., S.W.

Washington, D.C. 20591

Re: What Tasks Must be Recorded in an Aircraft's Maintenance Record, and Whose Names Must Appear in those Maintenance Records Under 14 C.F.R. § 43.9(a)

Dear Mr. Hochberg:

This responds to your July 18, 2015 request for an interpretation of 14 C.F.R. § 43.9(a), to clarify the circumstances under which a person must make an entry in the maintenance record of an aircraft, and under what circumstances must a person's name be included in the record when the task he or she performed is minor or in the nature of assisting the person who approves the aircraft for return to service. You asked three related questions, and the general answer to each is that if the task performed is one of the activities addressed in the regulation (maintenance, preventive maintenance, rebuilding, or alterati.on), the record entry must be made, and the name of the person who performed the task must be included in the maintenance record. Your questions involve only maintenance or preventive maintenance tasks, not rebuilding or alteration. Preventive maintenance tasks are listed in 14 C.F.R. part 43, appendix A, paragraph (c). The general definition of maintenance is found at 14 C.F.R. § 1.1-it means, "inspection, overhaul, repair, preservation, and the replacement of parts, but excludes preventive maintenance." Our answers below are in the context of general aviation, and do not necessarily apply to aircraft operated by air carriers under 14 C.F.R. parts 121or135, the maintenance of which are governed by those parts in addition to part 43.

Your first question, triggered by advice you and another received from FAA A vi~tion Safety Inspectors (ASI), is at what point does preventive maintenance rise to the level that a§ 43.9(a) record entry must be made? First, you state that an ASI advised you that if a pilot asks you to look at an aircraft tire on the ramp and you find it to be OK, you must make a logbook entry recording your inspection as maintenance. Second, an experienced pilot told you that an ASI told him he needs to make a maintenance record each time he cleans a windshield or adds a quart of oil to the engine.

First, all preventive maintenance must be recorded under§ 43.9(a). The issue is whether a task is preventive maintenance. None of the tasks you referenced would be required by§ 43.9(a) to be entered in the maintenance records of the aircraft because, under the circumstances you described, they are neither maintenance nor preventive maintenance. In the case of cleaning a windshield or getting an opinion on the condition of a tire, the FAA considers these to be

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covered in the normal course of flight preparation and pre-flight inspection-tasks not normally considered to fall under the definitions of maintenance or preventive maintenance. One exception to that would be if the pilot had written up a discrepancy in the aircraft records. In that case the inspection of the item would result in making an airworthiness determination that would need to be documented in the logbook. The subject of adding oil is often debated; however, we note that it is not an item included in pa1t 43, appendix A, paragraph (c), which lists items the FAA considers to be preventive maintenance. Accordingly, while it may be prudent to include in the maintenance log the adding of oil, including the quantity added, doing so is not required by a regulation. In determining whether the performance of a given task must be entered in the maintenance record of the aircraft, you should determine if it falls within the regulatory definition of either maintenance or preventive maintenance. If it does, the regulations require that the entry be made.

Your second question asks at what level of work do additional persons performing work need to be listed in the logbook entry? Section 43.9(a) states that "Except as provided in paragraphs (b) and (c) of this section, each person who maintains, performs preventative maintenance, rebuilds, or alters an aircraft, airframe, aircraft engine, propeller, appliance, or component part shall make an entry in the maintenance record of that equipment containing the following information ... (3) The name of the person performing the work if other than the person specified in paragraph (a)(4) of this section" (emphasis added). Therefore, if a person assists you in performing some task (trading airplane washing for flight time, in your example), you would make the assessment on a case-by-case basis to determine if the task rose to the level that§ 43.9(a) would require it to be recorded. If it did, you must provide the name of the person performing the work. Your third question asks whether, during owner-assisted annual inspections, it is acceptable under§ 43.9 for the person who holds the Inspection Authorization (IA) to list all work done and sign the entry with only his name, with no reference to any person who assisted him. First, note that the maintenance record entry for annual inspections is governed by§ 43.11, not§ 43.9. 1 And yes, so long as the level of assistance provided does not independently tise to the level of maintenance or preventive maintenance, a separate entry listing the person's name would not be required under§ 43.9. 2 Therefore, the answer to your question is that only the holder of the IA is required to make the inspection maintenance entry under§ 43.11. Section 43. l l(a) does not require the names of the persons who assist in the inspection to be listed. Note, however, that if, in the course of providing this assistance, the assister performed a task that would independently 1 Note that § 43 .9(c), in pertinent pa1t, specifically excludes inspections performed in accordance with pa1t 91 (in this case, annual inspections) from the requirements of§ 43 .9. It is § 43 .11 that provides the maintenance record entry requirements for inspections conducted in accordance with Patt 91, including annual inspections.

2 Only the holder of an IA may perform an annual inspection, but ce1tain people may assist the IA holder. See Legal Interpretation to Mr. Tim Amalong, 2015 WL 2170369 (D.O.T.). "Under 14 C.F.R. § 43.3(b) the holder of a mechanic ce1tificate may perfo1m maintenance as provided in part 65, and under § 43.3(d) a person working under the supervision of the certificate holder may also perform maintenance, as circumscribed by that paragraph. Except for the actual annual inspection of the items listed in patt 43, appendix D, the listed items are maintenance items that may be performed by persons authorized in § 43.3." Legal Interpretation to Mr. Tim Amalong, 2015 WL 2170369 (D.O.T.).

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rise to the level of maintenance or preventive maintenance, that work must be recorded pursuant to§ 43.9.

You expressed the view that only the cetiificate holder who approves work for return to service would be responsible for the work. This view is not correct. While the cetiificate holder may also be held responsible for the improper repairs/ any person who improperly performs work subject to the recordkeeping requirements of§ 43.9 may be subject to FAA enforcement action. 4 In a March 20, 2014 legal interpretation to Mr. Randy Romigh, the Assistant Chief Counsel for International Law, Legislation and Regulations explained:

Any mechanic who improperly performs work subject to the recordkeeping requirements of§ 43. 9 may be subject to FAA enforcement action- including mechanics who contribute to the work but are not responsible for approval. This is because, under§ 43.13(a), "each person" performing maintenance, preventive maintenance, or alterations on an aircraft "shall use the methods, techniques, and practices prescribed in the current manufacturer's maintenance manual or Instructions for Continued Airworthiness ... or other methods, techniques, and practices acceptable to the Administrator .... " Furthermore, under§ 43.13(b» "[e]ach person" maintaining or altering an aircraft "shall do that work in such a manner ... that the condition of the aircraft... will be at least equal to its original or properly altered condition." Therefore, by their express terms,§§ 43.13 (a) and 43 .13 (b) make clear that each person (not only those who approve the work) is responsible for the proper performance of maintenance. 5 I hope this information has been helpful. This response was prepared by Edmund Averman and Sarah Sorg, attorneys in the Airw01ihiness Law Branch of the Office of the Chief Counsel and coordinated with the Aircraft Maintenance Division (AFS-300) in the FAA's Flight Standards Service. If you have futiher questions concerning this response, please contact us on 202-267- 3073.

Sincerely,

Lorelei Peter Assistant Chief Counsel for Regulations, AGC-200 3 See e.g. In the Matter ofSanford Air, Inc., FAA Order No. 97-31, 1997 WL 685988, *3 (F.A.A.) (finding by a preponderance of the evidence that Sanford Air approved the aircraft for return to service (though it did so improperly), and that Sanford Air is responsible for the improper repairs where the company billed and received payment for work done by one of its employees). 4 See Legal Interpretation to Mr. Randy Romigh, 2014 WL 1394469 (D.O.T). s Id.

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To: FAA Fax: +1 \202! 267-7971

NE LSO N HOC H BERG Attn: LoL'l!lei Peter Deputy Assis tant Chief Cow1sel for Regulations Office of tbe C bief Counsel 800 independence A1re0ue SW Washington, DC 20591 VIA FACSIMILE (202) 267 7971 R e(1uest for interpretation of 14 C.F.R. § 43.9(a) I have three questions telated to 14 C.F.R. § 43.9(a).

Question L:

July 18, 2015 Page 1 of 2 0711012015 6:14 PM 43.9(A) states " . .. each pecson who mcintains, pei:fo.nn.s preVBI1tive m~t~nce, 1ebuilds, o! al5ci:s ~n 2,ircraft, a1tfcunc, ai.cc:caft engine, p1opdlc~ 1 app.iance, or component piut shall D1$ke'an entry .iii the'maiiitl:Dance.tecord of that eqwpment...." When does "prev"elltive rn..i.inten.-tr1cc" meet t.1-ie ::.equii:ements of this paragmph? 1 recently was told by a Scottsdale FSDO Maintenance Inspector that i[ a pilot asks me to look :it a tire on an aitcrsft 011 the ramp that I fio.cl to be OK, I need to log lhat in the e.ircmft logbook as maintenance. fa...1:ending this focthet, if this inspector is correct, does the pikit need to log his irupect)on each time he i11spccts the tires during, a p.te.flight inspection (walk aw1md)( Another cx-perienced pilot told me a Scottsdale FSDO Maintenance Inspr,ctor told him thi1t he needs to log as me.intcn:lllct: each time he cleans his windshield or ndds a quru:t of oil to the engine {not ch.wge the oil, just add oil).

Assuming th{iC looking st a tire, cleaning a windshield ot adding oil to an eng1nc ru:e not items thllt need to be logged in the aircraft's logbook. ct what point does preven1ive maintenance rise to that level? Question 2:

§ 43.9(a)(3) stntes: "The name of the person pctfo:rmmg the \VOrk if other than the person specified in paragraph (a)(4) of this section ." Al whAt point does this need to be complied with?

If a line se1vice tech bu cks nvt:ts for me, d o I need to record bis name tll1d work in the log book? If a. high school student tea.ding airplane washing for flight time washes an aiiplane as 1-equii:ed for m anno(J inspection, does !:Us work need to be logged with his ri...ame?

. . • . • • •I t l \ ' I. J' . i .1 'I t ' I So this question is similar to q\1estion 1: at ':vb.at Level of work do additioriaJ pc.rsons petlorming work need to b e listed in rhc logbook entcy?

Question 3:

Owner ns1>i.ste<l 1Umwl inspections have been a very common pntctice in the industry. Legal Ir:terpu~mtion 2015 WL 2170369 by ~ifal:k W Bucy on May 1, 2015 clncifi.es thntundet: 14 C.F.R. § 43.3(d) a person worlo.ng under the supervision of the certificate holder may also pCJfonn maintenance, (IS circurn.scribed by tl1.1Jt pai:agraph except for the actual annual inspection of the items listed in patt 43, appendix D. With owner assisted anr.n.ials, it is common thAT i:he IA lis rs (1.ll the work done and signs 1:be entry \Vi.th his nnme and no refe~e1~~':. l? the pt..0ple who assisted him. In fact, in the deeadi7s) ha~))elinca,ip,qchn:q.ic, I have .s.een only one logbo~~,(:) f\~ty th~t listed othei: people who performed so1ne of the work. rvfy question: is this commoD piactice acceptable with§ 43.9(a)(3)? Th.ere ate situati.ons that demonstrate that this is acceptable. Rep--...ir stations and manufactwe.cs haw technicians who do not have :ill}' certification doing work co\/\:!ed unde.r § 43. 9(a) and yet their 13mne$ never show up in m aii:cm.ft rrulinterumce Jog Granto~ these facilities have other record keeping requiremenis but still, are they no1 compl)·ing urith § 43.9(a)(3)i> %en the work is done under the supervision of the certificate bolder, the certificate holder is ultixnatcly Icsponsible for the wor.k done the surne as if he did the woi'k hunself. The cettificste h older does not sha:x:c this responsibility with the people unde! his supervision so it sccm.s logic.al that only his narne needs to be .recorded. Other industries follow this policy. For example, in medicine, an ass:istmt can do cct'lilio work under a physician's supervision. Medicare and other msumnce allo\v billing the service under the i'' .. .

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To: F/>A Fal<: +1 \202i 267-7971 f>age 2 of 2 0711912015 6:14 PM

-2 - July 19, 2015 physicitln's name. When a bill is intwduced in Congress, it is i!.ltroduced under the electe d represenunive's name even though s/be usually is not lhe pei:son who clYnfted tb.e bill and the drafters of the bill ate not m entioned . If it is acceptable thl.1. persons wc.dcing under the direction o f a ~ertificate h older need aot be mentioned in a log entry then when docs § 43.9(a)(3) apply. If it is not :cccepmblc nnd these petsons do n eed to be listed in the maintenance log, then when multiple persons u.e working under the direction of the ct:rtifiC!lte holder does each person need to be listed with the specific work he p ersonally did or can a blnnket statement such as "John Doe and Dave fanith assisted me with opening and closing acce ~s ports, removing and replacing seats mid deaning the engine and aircraft", Thank you,

Sincerely,

v!A~l~?J elson Hochbetg .1'••"1 : , . . lo Io