Legal Interpretations
Filler-Aeronautical Repair Station Association 2017
Summary
The Question
Are employees who receive articles for stock performing maintenance or preventive maintenance, making them safety-sensitive employees subject to drug and alcohol testing under 14 CFR part 120?
Background
The Aeronautical Repair Station Association and other industry groups reported that FAA Drug Abatement Division auditors had informally opined that personnel receiving items for stock perform maintenance and are therefore safety-sensitive.
The FAA’s Interpretation
No. Receiving tasks, such as checking packaging and items for visible damage, confirming an approved or acceptable source, and matching part numbers, serial numbers, and quantities to the purchase order, are not maintenance or preventive maintenance as defined in 14 CFR 1.1, and 14 CFR 43.9 and 14 CFR 43.11 recordkeeping has never applied to them. These employees should not be in the testing pool under 14 CFR part 120.
- Requester
- Filler
- Organization
- Aeronautical Repair Station Association
- Issued
- May 30, 2017
- Subjects
- Maintenance & Repair Stations · Drug & Alcohol Testing · Definitions · Aircraft & Parts Certification
Regulations Cited
- 14 CFR 1.1
- 14 CFR 21.137
- 14 CFR 43.5
- 14 CFR 43.9
- 14 CFR 43.11
- 14 CFR 43.13
- 14 CFR 120.105
- 14 CFR 120.215
- 14 CFR 145.21
- 14 CFR 145.45
- 14 CFR 145.211
- 14 CFR Part 1201
Unreadable text from the scan (such as a barcode or stamp) is left out of the text below; the original letter shows it exactly.
Page 1
U.S. Department
of Transportation
Federal Aviation
Administration
HAY 3 0 2017
Marshall Filler
Office of the Chief Counsel
Aeronautical Repair Station Association
121 North Henry Street
Alexandria, VA 22314
RE: 14 CFR part 120 safety-sensitive employees
Dear Mr. Filler:
800 Independence Ave., S.W.
Washington, D.C. 20591
This is in response to your letter of February 15, 2017 requesting a legal interpretation of Title 14 Code of Federal Regulations part 120 rules for drug and alcohol testing to individuals performing tasks associated with receiving articles for stock. The question arises from differing interpretations of whether accepting articles for stock constitutes maintenance or preventative maintenance under§§ 120.105(e) and 120.215(a)(5). Sections 120.105 and 120.215 list the employees who must be tested. Among those listed are employees who perform "[a]ircraft maintenance and preventative maintenance duties." To better understand which employees are performing maintenance and preventative maintenance duties requires reading the definition of both of these terms under 14 CFR § 1.1. Section 1.1 defines maintenance as "inspection, overhaul, repair, preservation, and the replacement of parts, but excludes preventative maintenance." Preventative maintenance is defined as "simple or minor preservation operations and the replacement of small standard parts not involving complex assembly operations."
Also, 14 CFR part 43 applies to the performance of maintenance and preventative maintenance. Sections 43.9 and 43.11 establish recordkeeping requirements for tasks associated with maintenance and preventative maintenance. These recordkeeping requirements have never been applied to tasks associated with receiving articles for stock. Individuals who perform receiving tasks ensure that there is no visible damage to the packaging or the enclosed items, and that the articles were obtained from an approved or acceptable source. Persons performing these tasks compare part numbers, serial munbers, quantity, etc. with the purchase order and confirm that the items match the purchase order and that they are not damaged. These tasks are not maintenance or preventative maintenance activities. Therefore, employees receiving items for stock are not safety-sensitive employees under part 120 and should not be included in the pool of employees subject to drug and alcohol testing.
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We hope this response has been helpful to you. If you have additional questions or need further assistance, please contact my staff at (202) 267-3073. This response was prepared by Neal O'Hara, an attorney in the Office of the Chief Counsel, Regulations Division and was coordinated with the Flight Standards Service, Aircraft Maintenance Division.
Sincerely,
d~~~Lorelei Peter
Assistant Chief Counsel, Regulations Division
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---·----~- - .....
February 15, 2017
Delivered by email; read receipt requested: lorelei.peter@faa.gov
Original Delivered by Certified Mail
Return Receipt Number: 70141200000028716782 <[_
Lorelei A. Peter, Esq.
Assistant Chief Counsel.
Regulations Division
Office of the Chief Counsel
800 Independence Avenue SW
Washington, DC 20591
RE: Receiving Functions under Drug and Alcohol Testing Regulations, part 1201
Dear Ms. Peter:
The undersigned companies and organizations request a legal interpretation regarding the applicability of the drug and alcohol testing rules 2 to individuals performing tasks associated with receiving·articles for stock.. For. the r~asons . described .b~low , we submit that receiving tasks are not safety-sensitive functions because they are not, nor have they ever been considered, maintenance functions.
It has come to our attention that auditors from the Federal Aviation Administration ' ~ (FAA) Drug Abatement · Division ha:Ve informaUy "«:»pined." that personnel conducting tasks associated solely with receiving items for stock ~Ire pefforining ·maintenance· and are therefore engaged in safety-sensitive functions. 3 This expansive interpretation would result in the misclassification of employees, thereby diluting random testing pools with non-safety-sensitive personnel. For that reason , clarification is needed.
Pertinent Regulations
Part 1 defines maintenance as inspection, overhaul, repair, preservation, and the replacement of parts, but excludes preventive maintenance.4 Preventive maintenance includes simple or minor preservation operations and the replacement of small standard parts not involving complex assembly operations.- 5 Part 43 applies to the performance of maintenance and prevent!ve · mainte~ance , ·Le., · safetY-sensiti\le ,functions; · acco'rding· to § 43.5/ . maintenance and . p'rev:entlve , maintenance "tasks ·must be , appropr~ately .... . '
1 All citations are to Title 14 CFR unless othel'Wise noted.
3 §§, 1zo.7, 120.105, 120.215 (defining safety-s~ ~ si t ive functions to. include mai nte~ance and. P.~event ive maintenance duties). · · · · · · · · . . . · · · ·
4§ 1.J.. .
5§ 1.J...
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Ms. Lorelei Peter
February 15, 2017
Page 2
RE: Receiving Functions under Drug and Alcohol Testing Regulations, part 120 documented under§§ 43.9 or 43.11. These recordkeeping regulations have never been applied to tasks associated with receiving items for stock and later use or sale. Except for§ 145.211(c)(1)(i), which is limited to raw materials, there is no explicit 14 CFR requirement to perform a review of new and maintained articles before they are placed in stock for later use by a repair station, air carrier or mechanic, or offered for sale under part ~- However, the enforced standard requires a receiving process that enables certificated persons to meet their obligation to install items that will comply with § 43.13(b).6
Indeed, before the current part 145 became effective,§ 145.45 provided more clarity than current § 145.211 in distinguishing between receiving processes used before placing items into stock and preliminary inspections on used items which are about to undergo maintenance or preventive maintenance by the repair station:
* * * (c) The applicant must provide a satisfactory method of inspecting incoming material to insure that, before it is placed in stock for use in an aircraft or part thereof, it is in a good state of preservation and is free from apparent defects or malfunctions.
(d) The applicant must provide a system of preliminary inspection of all articles he maintains to determine the state of preservation or defects. He shall enter the results of each inspection on an appropriate form supplied by it and keep the form with the article until it is released to service. (emphasis added) * * * The old rule (which is the basis for the current standard) recognized that maintenance and preventive maintenance under part 43 begins with a preliminary inspection and ends with an approval for return to service. It draws a distinction between reviewing an article to determine its suitability to be placed in inventory (i.e., a receiving function) vs. its suitability for installation during maintenance (a maintenance and therefore safety-sensitive function).
s See AC 20-154, Guide for Developing a Receiving Inspection System for Aircraft Parts and Material.
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Ms. Lorelei Peter
February 15, 2017
Page 3
RE: Receiving Functions under Drug and Alcohol Testing Regulations, part 120 Guidance Material and Treatment of Other Entities Performing Receiving Functions AC 20-154, Guide for Developing a Receiving Inspection System for Aircraft Parts and Material, paragraph 1 provides:
This advisory circular (AC) provides guidance and information for incorporation into operators' existing receiving/inspection systems to help prevent the introduction of unairworthy parts into inventories. The aim is to establish sufficient traceability to establish that the part(s) were manufactured under Title 14 of the Code of Federal Regulations (14 CFR) part 21 , were previously determined to be airworthy under 14 CFR part 43, produced to established industry or U.S. Government standards or accepted foreign standards. (emphasis added.)
Receiving tasks are those that ensure there is no visible damage to the packaging and/or the enclosed items and that the articles were obtained from an approved or acceptable source. Persons performing these tasks compare the part number, serial number (if applicable), quantity, and specifications referenced in the purchase order with the information reflected on the supplier's documents, such as a certificate of conformance, packing list and/or invoice. If discrepancies are noted during the receiving process, the article will be quarantined pending further evaluation, including whether the item should be returned to the vendor.or if maintenance is needed before the item may be placed into stock. These tasks are not maintenance or preventive maintenance activities. Additionally, other entities not covered by part 120 (including but not limited to production approval holders7 and accredited distributors8) routinely perform the same receiving functions as certificated operators and repair stations. The FAA has previously stated that distributing an aircraft part is not a safety-sensitive function 9 ; thereby clarifying that receiving for the purpose of inducting a part into inventory is not maintenance or preventive maintenance. The same is true for receiving functions conducted under part 21.
Conclusion
A receiving process simply verifies that incoming parts or materials are what they purport to be and that there are no obvious reasons to question a previous determination of airworthiness. If no discrepancies are found, the articles are placed into stock for use in 7 See§ 21.137(c)(1) and (g) .
8 See AC 00-568, Voluntary Industry Distributor Accreditation Program , para. 6(b)(1) (May 27, 2015). 9 Antidrug and Alcohol Misuse Prevention Programs for Personnel Engaged in Specified Aviation Activities, 71 Fed. Reg. 1666, 1668 (Jan. 10, 2006).
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Ms. Lorelei Peter
February 15, 2017
Page4
RE: Receiving Functions under Drug and Alcohol Testing Regulations, part 120 performing future safety-sensitive functions on an entirely different article. These receiving activities do not require the creation of a maintenance record because no tasks to which part 43 apply are being performed; therefore, they are not safety-sensitive functions under part 120.
For the foregoing reasons, the undersigned request the FAA verify that the performance of tasks associated solely with receiving items for stock are not maintenance and, as such, are not safety-sensitive functions subject to drug and alcohol testing regulations. We recognize that some personnel doing receiving functions also perform maintenance and preventive maintenance tasks and , if so, would have to be in a DOT-FAA Drug & Alcohol Testing Program.
We appreciate your assistance with this issue and look forward to your timely response.
Sincerely,
Marshall S. Filler
Managing Director & General Counsel ·
Aeronautical Repair Station Association
121 North Henry Street
Alexandria, VA 22314-2905
703.739.9543
marshall.filler@arsa.org
Ric Peri
Vice President, Government & Industry
Affairs
Aircraft Electronics Association
601 Pennsylvania Ave, NW
Suite 900, South Building
Washington, DC 20004-3647
202.589.1144 ricp@aea.net
Ali Bahrami
Vice President, Civil Aviation
Aerospace Industries Association
1000 Wilson Boulevard
Suite 1700
Arlington, VA 22209-3928
703.358.1080 ,?li.bahrami@aia-aerospace.org
Robert L. Ireland
Managing Director, Engineering &
Maintenance
Airlines for America
1275 Pennsylvania Avenue, NW
Suite 1300
Washington, D.C. 20004
202.626.4228
rireland@airlines.org
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Ms. Lorelei Peter
February 15, 2017
Page 5
RE: Receiving Functions under Drug and Alcohol Testing Regulations, part 120 Michele Dickstein
President
Aviation Suppliers Association
223_3 Wisconsin Avenue, NW
Suite 503
Washington , DC 20007-4104
202.347.6896 michele@aviationsuppliers.org
Joe Sambiase
Director, Maintenance & Airworthiness
General Aviation Manufacturers
Association
1400 K Street, NW
Suite 801
Washington , DC 20005-2402
202.393.1500 wdesrosier@gama.aero
Jason Dickstein
President
Modification and Replacement Parts
Association
2233 Wisconsin Avenue, NW
Suite 503
Washington, DC 20007-4104
202.628.6777 jason@wash ingtonaviation. com
John McGraw
Director of Regulatory Affairs
National Air Transportation Association
818 Connecticut Avenue, NW
Suite 900
Washington, DC 20006-2733
202.774.1535 jmcgraw@nata.aero
Yvette Rose
Senior Vice President
Cargo Airline Association
1620 L Street, NW
Suite 610
Washington, D.C. 20036-5605
202.293.1030 yrose@cargoair.org
Harold Summers
Director of Flight Operations & Technical
Services
Helicopter Association International
1920 Ballenger Avenue
Alexandria, VA 22314-2898
703.683.4646 harold.summers@rotor.org
George Paul
Director of Technical Services
National Air Carrier Association
1000 Wilson Boulevard
Suite 1700
Arlington, VA 22209-3928
703.358.8060 gpaul@naca.cc
Jennifer Sunderman
Director of Operations, Safety &
Technical Services
Regional Airline Association
2025 M Street, NW
Suite 800
Washington, DC 20036-3309
202.367.1170 sunderman@raa.org
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Ms. Lorelei Peter
February 15, 2017
Page 6
RE: Receiving Functions under Drug and A lcohol Testing Regulations, part 120 Paul D. Wolf
Superintendant
Regulatory & Quality System Oversight
The Boeing Company, Commercial
Airplanes
P.O. Box 3707 MC 67-XC
Seattle, WA 98124-2207
425.237.3812 paul.d.wolf@boeing.com
Steve McGinn
Senior Director, Quality Systems &
Regulatory Compliance
Honeywell Aerospace
1944 East Sky Harbor Circle
MS 2102-319
Phoenix, AZ 85034-3440
602.231 .2230 mcginn.steve@honevwell.com
cc: Kim L. Young
Tim Shaver, AFS-300
Ronald J. Witkowski
Director of Quality, Regulatory
Compliance
Gulfstream Aerospace Corporation
500 Gulfstream Road
Savannah, GA 31408-9643
912.395.0471
ronald.witkowski@gulfstream.com
Paul Hawthorne
Director of Global Support Quality
MOOG Aircraft Group
Seneca & Jamison Roads
East Aurora, NY 14052-0018
716.805.2475 phawthorne@moog .comm kim.l.young@faa.gov tim.shaver@faa.gov
Regulations Referenced
Snapshot retrieved August 6, 2026.