C.A.S.E. AERONAUTICAL REPAIR STATION SECTION

Transcription

1 C.A.S.E. AERONAUTICAL REPAIR STATION SECTION POLICY AND PROCEDURE MANUAL Section 1.0 Page 1 02/15/02

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3 LIST OF EFFECTIVE PAGE Page Date Page Date SECTION 1 SECTION /15/ /15/ /15/ /17/ /15/ /17/ /15/ /17/ /15/ /17/ /15/ /17/ /17/ /17/ /17/ /17/ /17/00 SECTION /15/02 SECTION /15/ /17/ /15/ /15/ /17/ /15/ /17/ /15/ /17/ /15/ /17/ /17/00 SECTION /17/ /15/ /17/ /15/ /17/ /17/ /17/ /15/ /17/ /15/ /17/ /15/ /17/ /15/ /15/ /15/ /15/ /15/ /15/ /15/ /15/02 Section 1.0 Page 3 2/15/02

4 LIST OF EFFECTIVE PAGE Page Date Page Date SECTION 6 SECTION /17/ /17/ /17/ /17/ /17/ /17/ /17/ /17/00 FORMS 6 11/17/ /17/00 ARS-3 02/15/ /15/02 ARS-4 03/17/ /15/02 ARS-5 03/17/ /15/02 ARS-6 02/15/ /15/02 ARS-7 03/17/ /15/02 ARS-8 03/17/ /15/02 ARS-9 03/17/ /15/02 ARS-10 03/17/ /15/02 ARS-11 03/17/ /15/02 ARS-12 03/17/ /15/02 ARS-13 03/17/ /17/00 ARS-14 10/07/ /17/00 ARS-14a 10/07/ /15/02 ARS-14b 10/07/ /17/00 ARS-15a 03/17/ /15/02 ARS-16 03/17/ /15/02 ARS-17 03/17/ /15/02 ARS-20 02/15/ /15/02 ARS-30 02/15/ /15/02 ARS-85 03/17/ /15/ /15/ /15/ /15/ /15/ /17/00 Section 1.0 Page 4 2/15/02

5 REVISION RECORD Revised 06/01/96 Revised title on all pages. Revisions to paragraphs 2.2, 3.5, 4.7, & 4.8. Deleted para Revised 01/31/97 Revised paragraphs 3.2, 4.7, 4.8 and added forms and condensed format. Revised 09/09/97 Revised Section 1 page numbering, revised paragraphs 3.3, 4.1, 4.4, added ARS14 and revised forms ARS10, ARS11, and ARS12 Revised 04/21/98 Revised Table of Contents formatting sections 1.0, 6.0 and 7.0. Revised paragraphs in sections; 2.2, 3.1, 3.3, 3.4, 3.5, 3.9, 3.10, 4.1, 4.2, 4.3, 4.4, 4.5, 4.8, 5.1, 5.4, 5.5, 5.6, 6.1, and 6.4. Added Standard 3-A, and Forms ARS13 and ARS30. Revised 10/07/98 Revised to add List of Effective Pages (LEP). Revised paragraphs in sections 2.2, 3.4, 4.1, 4.2, 4.8, 5.5 and 5.6. Revised forms ARS10, ARS11, ARS12, ARS13, and added Forms ARS14a, ARS14b ARS16, and ARS17. Revised 03/17/00 Revised List of Effective Pages (LEP) to reflect new format. Reduced page count by 21 pages in sections 1-6. Updated forms ARS-3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 15a, 16, 17, 20, 30 and 85 to include new logo. Revised Table of Contents to reflect changes. Revised & to match ARS-15a &16, & for clarification of procedures. Revised 11/17/00 Revised List of Effective Pages (LEP) to reflect changes. Clarifications/modifications in sections 2.2.4, 2.2.5, 2.2.7, 3.3, 3.5, 3.6, 3.9, 4.2, 4.4, 4.7, 4.8, 5.1, 5.7, 6.2 (pages 18 & 19), 6.4 (page 22). Added FAA Liaison & Training Committee to section 3 (3.11 & 3.12) Revised 02/15/02 Revised LEP to reflect changes. Revised paragraphs have been identified on the RH margin by a black bar. Section 1.0 Page 5 2/15/02

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7 TABLE OF CONTENTS 1.0 RECORD OF REVISIONS AND TABLE OF CONTENTS INTRODUCTION AND POLICY STATEMENT Introduction Policy Statement PROGRAM DESCRIPTION AND ADMINISTRATION Program Description Definitions Membership Committee Standards and Procedures Committee Audit and Compliance Committee Deviations and Exemptions Audit and Compliance Alert System Newsletter Committee Database Committee Operations Committee Training Committee FAA Liaison Committee MEMBERSHIP REQUIREMENTS AND OBLIGATIONS General Membership Eligibility Sustaining Membership Requirements Associate Membership Company Representative to C.A.S.E Vendor/Supplier Surveillance Program Minimum Requirements Records Auditor Qualification and Certification Auditor Qualification and Certification Procedure PROGRAM OPERATION Membership Committee Procedure: C.A.S.E. Electronic Data Base - Revision and Control Periodic Review and Update of the C.A.S.E. Electronic Data Base Adding Suppliers/Vendors to the Electronic Data Base Deleting Suppliers /Vendors From The Electronic Data Base For Cause Standards and Procedures Committee Audits By One Member for Another C.A.S.E. Vendor Audit Criteria...10 Section 1.0 Page 7 11/17/00

8 6. 0 C.A.S.E. AUDIT / INSPECTION STANDARDS Case Standards Description Case Standard 1A Repair/Overhaul Vendor (ROV) Capability Codes Suppliers of New and Surplus Parts Standard 3-A Rosters - Aeronautical Repair Station Section FORMS Transmittal of Supplier Evaluation Results... ARS - 3 CASE Auditor Qualification Record... ARS - 4 Auditor Evaluation... ARS - 5 Repair Station Evaluation Report... ARS - 6 Supplier Expectations and Limitations... ARS - 7 Audit and Compliance Alert... ARS - 8 Auditor Training Record... ARS - 9 Application for Membership and Eligibility Checklist... ARS - 10 C.A.S.E. Inquiry Acknowledgment Cover Letter... ARS - 11 Introduction to C.A.S.E... ARS - 12 Sustaining Member Eligibility Checklist... ARS - 13 Membership Acceptance Letter... ARS - 14 Associate Membership Acceptance... ARS-14a Sustaining Membership Acceptance... ARS-14b Non-Attendance Notification... ARS-15a Membership Status Change Sustaining to Associate... ARS - 16 Application for Membership Status Change... ARS - 17 Component Repair/Overhaul Vendor Audit Checklist... ARS - 20 Supplier of New and Surplus Parts Audit Checklist... ARS - 30 C.A.S.E. Policies and Procedures Revision Proposal... ARS - 85 Section 1.0 Page 8 11/17/00

9 C.A.S.E. AERONAUTICAL REPAIR STATION SECTION SECTION 2 INTRODUCTION AND POLICY STATEMENT Section 2.0 Page 1 2/15/02

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11 2.0 INTRODUCTION AND POLICY STATEMENT 2.1 INTRODUCTION The Aeronautical Repair Station Section of C.A.S.E. is a non-profit group established by certificated Repair Stations for the benefit of Repair Stations. Its purpose is to share nonprejudicial vendor surveillance information and tasks required by FAR 145.2, or the recognized equivalent of the applicable airworthiness Authority of the country where the Repair Station exists. This is done through association with the Coordinating Agency for Supplier Evaluation, or C.A.S.E., a non-profit corporation established for and dedicated to supplier/vendor surveillance. Data is supplied by the Repair Station members to other Repair Station members through the C.A.S.E. Data Center. The Data Center collects, collates, and distributes this information to Repair Station members as the C.A.S.E. Electronic Data Base. The policies and procedures described in this manual do not conflict with anti-trust laws or Federal Aviation Regulations. This is a supplement to the by-laws and articles of incorporation. This Policy and Procedures section was developed by the Repair Station members and is maintained by them. Its purpose is to provide guidance to the membership so that business may be conducted in an orderly manner. The terms used herein are intended to be generic in nature and provide guidance to the function of a group or department rather than to the title. 2.2 POLICY STATEMENT PURPOSE OF THE ORGANIZATION The Aeronautical Repair Station Section of C.A.S.E. was organized as a means of sharing non-prejudicial vendor and supplier quality approval data among the membership. This increases surveillance coverage of vendors and suppliers and thereby upgrades vendors/suppliers quality programs. It also has an economic impact on each C.A.S.E. member by decreasing the cost of vendor/supplier surveillance and by making their surveillance programs more effective MANUAL REQUIREMENTS The Aeronautical Repair Station Section shall have a written manual, which details policies and procedures appropriate for conducting its business. This manual shall include, but is not limited to:! Membership requirements and obligations.! Selection of a Chairperson.! Selection of a Vice-Chairperson.! Selection of Subcommittee Chairpersons. The content of this manual is binding on all members of the C.A.S.E. Aeronautical Repair Station Section. Section 2.0 Page 5 11/17/00

12 2.2.3 COMMITTEES Establishment of committees, which may include, but is not limited to:! Standards and Procedures! Audit and Compliance! Training! Membership! Newsletter! Database! FAA Liaison DUTIES AND RESPONSIBILITIES OF COMMITTEES! Selection of Committee Chairperson and Vice Chairperson.! Selection of representatives to the Operating Committee.! Operating procedures.! Standards against which vendors are audited.! Minimum requirements for audit personnel.! An auditor authorization program.! Rosters of members, committees, and authorized auditors.! Auditor pool membership selection SECTION OPERATIONS The Section shall be headed by a Chairperson and Vice Chairperson selected from the section sustaining membership. Similarly, each committee shall be headed by a Chairperson and Vice Chairperson selected from the committee sustaining membership. The selection of the Section and Committee Chairperson and Vice Chairperson shall be conducted as follows: Elections will be conducted every two years Nominations shall be submitted during the conference prior to the election conference and should be received no later than 30 days prior to the election conference by the Audit and Compliance Committee A resume and a letter of support should be submitted by the member company of those who are running for Section Chairperson and Vice Chairperson Each nominee will submit a brief summary to the Audit and Compliance Committee explaining why he/she is best suited for the position. Only this summary will be posted on the website for all accepting nominees until the positions have been filled. Section 2.0 Page 4 2/15/02

13 Mail ballots or electronic mail (fax/ ) may be used if possible and practical The Chairperson and Vice Chairperson of the Section and the Audit and Compliance Committee shall not be from the same company. In addition, the members of Operations Committee cannot be made up of more than 50% from one company Administrative activities shall be conducted by appropriate committees selected from the membership. Duties and responsibilities of each committee shall be described in another section of this manual The Aeronautical Repair Station Section of C.A.S.E. shall be represented on the Board of Directors of the C.A.S.E. Corporation as required The Aeronautical Repair Station Section of C.A.S.E. shall meet as a section at least twice per year and more often if needs dictate Each authorized auditor is responsible for providing evaluation data to the C.A.S.E. Data Center to maintain an up-to-date list of acceptable vendors and suppliers. An acceptable vendor/supplier is one who meets the standards set forth in the standards chapter of this manual and one in whom the auditor has a high degree of confidence that the vendor will continue to meet the C.A.S.E. standards Audits may be accomplished in the domestic United States as well as internationally and in every event, to the appropriate standard AUDIT STANDARDS C.A.S.E. audit standards are either developed by the membership or are adopted by the membership from some industry or government standard. These standards shall reflect all of the requirements of applicable Federal Regulations. They may include requirements not specified in regulations, but which experience dictates as a need. However, nothing in the standards shall be contrary to applicable Federal regulations. There will be efforts to coordinate with international standards, which will promote efficiency and compliance C.A.S.E. audit standards shall be revised as required to stay abreast of industry changes and needs. These standards will comply with changes in the regulations and keep the organization abreast of international change requirements MEMBERSHIP The Aeronautical Repair Station Section recognizes two classes of membership; Sustaining and Associate Sustaining members are voting members and control the operation of the Section. Each member firm is entitled to one vote on each matter submitted to the membership for vote Associate members are non-voting members. Associate members have the right to attend the Section meetings. They are encouraged to participate in the Section 2.0 Page 7 2/15/02

14 discussions to provide the membership with the benefit of their valuable experience and expertise. However, they have no vote in the decisions made by the membership Membership in the Aeronautical Repair Station Section of C.A.S.E. shall be limited to certificated Repair Stations operating in accordance with the aviation regulations of the certificating government Applications for membership shall be submitted to the Membership Chairperson. The Chairperson and committee members shall evaluate the application and supporting data for compliance with the applicant's compatibility and compliance with C.A.S.E. requirements Member firms are expected to continue to maintain their vendor/supplier surveillance program, related manual coverage, and related documentation in a manner compatible with FAR and C.A.S.E. requirements Members are expected to attend meetings regularly and to actively participate in the work of the organization AERONAUTICAL REPAIR STATION SECTION C.A.S.E. ELECTRONIC DATA BASE The purpose of the electronic database is to provide a list of vendors/suppliers that have been evaluated and accepted by a C.A.S.E. authorized auditor The Electronic database shall be maintained by a data center and made available to all members Content of this list or electronic database shall be updated continuously by the membership as a result of surveillance activities Only auditors authorized through the C.A.S.E. Auditor Repair Station Authorization Program shall be allowed to submit change information to the database No audit is allowed which inhibits competition, or which may divulge proprietary information. Two repair stations may not audit each other for the purpose of CASE listing. If the vendor being audited believes a conflict of interest exists, a change of auditors may be requested The vendor to be audited may appeal the choice of the Auditor/auditing Company in order to prevent a conflict of interest situation. The Audit and Compliance Committee will address the appeal AUDIT PERSONNEL Auditors that provide input to the accepted vendor/supplier data base must be authorized to do so through the C.A.S.E. Auditor Authorization Program. Authorization is accomplished through evaluation of the auditors' experience, by written, oral, and practical tests and a review of test results by the Audit and Compliance Committee. Section 2.0 Page 6 2/15/02

15 The program is controlled by the membership and administered by the Audit and Compliance Committee Requirements for authorization shall be stringent enough to provide members with a high degree of confidence that the auditor is capable of performing an adequate evaluation of a vendor/supplier in accordance with C.A.S.E. standards Operation of the auditor authorization program and auditor personnel requirements is described in other sections of this manual. Section 2.0 Page 7 2/15/02

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17 C.A.S.E. AERONAUTICAL REPAIR STATION SECTION SECTION 3 PROGRAM DESCRIPTION AND ADMINISTRATION Section 3.0 Page 1 2/15/02

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19 3.0 PROGRAM DESCRIPTION AND ADMINISTRATION 3.1 PROGRAM DESCRIPTION C.A.S.E. is an acronym for Coordinating Agency for Supplier Evaluation. The C.A.S.E. Corporation is a non-profit organization operated exclusively for the benefit of the Corporation's members. C.A.S.E. provides a system for distributing non-prejudicial vendor and supplier surveillance information to members. This information is provided to the C.A.S.E. Data Center by the members themselves The purpose of the Aeronautical Repair Station Section of C.A.S.E. is to provide Repair Stations with a vehicle to exchange non-prejudicial audit and quality control information and to share vendor and supplier technical audit workload Membership and participation in C.A.S.E. is a way of maintaining continuing analysis and surveillance over vendors and suppliers at reduced manpower and cost. This is accomplished by sharing information and the burden of on-site visits with other Repair Stations who have acceptable vendor surveillance programs Vendor/supplier surveillance and analysis information is shared through the C.A.S.E. Electronic database, a database listing vendors/suppliers and their capabilities. Vendors/Suppliers listed in the electronic database, have received an on-site audit by a C.A.S.E. authorized auditor and found to be in compliance with applicable standards. The Electronic database is revised periodically by the C.A.S.E. Data Center. Vendors/suppliers and their capabilities are added to and deleted from the Electronic database as a result of evaluations of those vendors/suppliers conducted by Repair Station members The procedures and standards established in this manual are for the purpose of guiding and directing the functions of the C.A.S.E. Corporation's Aeronautical Repair Station Section in accordance with the Statement of Principles and By-Laws of the Corporation Contents of this manual shall not conflict with the aviation regulations, which govern sustaining members Certificated Repair Stations may join C.A.S.E. as members of the Aeronautical Repair Station Section. By joining, they agree to abide by the policies of the Corporation and the procedures and specifications of the Aeronautical Repair Station Section as contained in this manual In order to be effective, the Aeronautical Repair Station Section must have a Policies and Procedures Manual to provide a framework within which members conduct business. However, because of the diversity of the membership and the broad range of their internal policies and procedures, compliance with the "letter of the law" may be burdensome or impossible. The membership, therefore, recognizes the need to permit deviations to or exceptions from certain provisions as provided in paragraph The Aeronautical Repair Station Section is lead by a Chairperson and Vice-Chairperson selected from the Section by a simple majority of Repair Station members present. Various committees direct and conduct the operations of the section. Section 3.0 Page 3 11/17/00

20 Each Committee is lead by a Chairperson and Vice Chairperson selected as described in Paragraph The general duties and responsibilities of the Committee Chairperson shall be: Maintain a roster of committee members, by company name and company representative name, and provide that information to the Audit and Compliance Committee Chairperson. For elected positions, include date elected to position Call and conduct committee meetings Prepare an agenda for each committee meeting, listing each item submitted for review. The Chairperson shall provide committee members with a copy of the agenda at least a week before the meeting, whenever possible Make a report of committee activities at the A.R.S.S. membership meeting Prepare and distribute minutes of the committee meetings within fifteen (15) working days of the meeting or as soon thereafter as possible. He/she shall provide copies to all committee members, others who attended the committee meeting and the Section Chairperson Assure that the responsibilities of the committee are carried out Maintain all masters and records of the committee. At the end of the term, all such files shall be turned over to the new chairperson Assure that each proposed item receives the consideration of the committee and is either accepted (revised, if required), rejected or held for further consideration. NOTE: NOTE: The Chairperson may delegate individual duties to any committee member. However, such delegation does not relieve the Chairperson of overall responsibilities. Additional duties and responsibilities are listed in Paragraphs 3.3 and subsequent In the unforeseen absence of the Section or Committee Chairperson, the Vice Chairperson will assume the duties of the Chairperson for the period of his/her absence. In the event the Chairperson is unable to complete his/her term, the Vice Chairperson will assume the duties of the Chairperson for the remainder of that term The Aeronautical Repair Station Section is represented on the C.A.S.E. Board of Directors by the Section Chairperson and Vice-Chairperson. 3.2 DEFINITIONS The terms defined herein are terms as used frequently in oral and written communications concerning C.A.S.E C.A.S.E. DATA CENTER Section 3.0 Page 4 2/15/02

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22 By direction of the C.A.S.E. Corporation, a C.A.S.E. Data Center will maintain and publish the C.A.S.E. Electronic Database C.A.S.E. ELECTRONIC DATA BASE A list of vendors and suppliers who have been audited by a C.A.S.E. authorized auditor and found in compliance with applicable C.A.S.E. standards. The C.A.S.E. Electronic Database is published and distributed by the C.A.S.E. Data Center C.A.S.E. STANDARD 1-A Provides minimum requirements to be met by a repair/overhaul vendor's (ROV) quality program C.A.S.E. STANDARD 3-A OEM ROV Provides minimum requirements for a quality program for a distributor of aircraft parts. An acronym for Original Equipment Manufacturer. An acronym for Repair/Overhaul Vendor SPECIAL PROCESS CERTIFICATION / QUALIFICATION SUPPLIER A determination, resulting from an evaluation, that a supplier/vendor has the capability to perform a given special process. An organization that provides parts, materials, supplies, or service SUPPLIER EVALUATION / VENDOR AUDIT VENDOR An on-site evaluation and assessment of a vendor's or supplier's quality systems to verify compliance with applicable C.A.S.E. standards. An organization that provides overhaul/repair/maintenance/servicing of aircraft, components, or appliances AUDIT An on-site evaluation and assessment of a vendor/supplier quality system to verify compliance with applicable C.A.S.E. standards AUDITOR An individual who performs any portion of an audit, including technical specialists and other such as management representatives and auditors-in-training CERTIFIED AUDITOR Section 3.0 Page 5 2/15/02

23 An individual certified by the Section to organize and conduct an audit and report the findings and evaluate corrective action LEAD AUDITOR An individual certified to organize and conduct an audit team, report the findings, and evaluate the corrective action CERTIFICATION The action of evaluating, verifying, and attesting to the qualifications of personnel QUALIFICATION (Personnel) The characteristics or abilities gained through training and/or experience that enable an individual to perform a required function SUPPLIER An organization that provides parts, materials, supplies, or service AUDITOR LEVEL III An auditor authorized to conduct C.A.S.E. audits of vendors and suppliers AUDITOR LEVEL IV An experienced Level III Auditor who has been selected by the Section to fulfill the duties of a Level IV Auditor. 3.3 MEMBERSHIP COMMITTEE GENERAL: All applicant companies for membership shall be processed as Associate. Upon successfully completing a review of eligibility requirements for Sustaining membership as described in Chapter 4 of this manual, an Associate member may apply for Sustaining membership to the Section. This process will provide: Standard evaluation of applicants. Verification of applicant's eligibility for membership. Prompt membership data flow to the C.A.S.E. Data Center DUTIES AND RESPONSIBILITIES Chairperson: a. Maintain records of membership status b. Advise the Operations Committee of accepted applicants c. Reports membership status of the association at the semi-annual meetings d. Maintain and publish the membership roster e. Maintain and publish the roster of certified auditors from information provided by the Audit and Compliance Committee Section 3.0 Page 6 02/15/02

24 Committee Members: a. Maintain correspondence and membership b. Assist the chairperson in performing any committee duties as required PROCEDURES Specific application procedures and the associated forms are located in Chapters 5 and 6 of this manual. 3.4 STANDARDS AND PROCEDURES COMMITTEE GENERAL This policy defines the duties and responsibilities of the Standards and Procedures Committee. It also describes the process to cause revision to the Aeronautical Repair Station Section Policies and Procedures manual The committee consists of a chairperson and an adequate number of members to accomplish its assignment in an efficient manner Any sustaining member may request changes, deletions, or additions to the manual through their company representative. The committee welcomes comments and suggestions on manual content from Associate members. Requests shall be in writing Whenever a vote is required for either membership or committee acceptance a simple majority of voting members shall rule DUTIES AND RESPONSIBILITIES The Standards and Procedures Committee is responsible for maintaining the Aeronautical Repair Station Section Policies and Procedures manual up to date. They shall review the manual periodically to verify that the content does not conflict within itself or with the FAR s that the writing style and format are consistent and easy to read and understand, and that there are no typographical errors The committee is responsible for all aspects of manual preparation from inception to the finished product and for its distribution. This includes but is not limited to: Authorship of the publications, editing, format, content arrangement, numbering system, printing, and distribution. The format and writing style shall be consistent throughout the manual as much as possible and patterned after the intent of ATA The committee is responsible for evaluating any drafts or suggestions regarding changes, deletions, or additions to the manual. Changes to this manual must be approved by the Standards and Procedures Committee The committee is empowered to make unilateral revisions to the manual that do not change the technical requirements of the document Changes, additions, or deletions that affect policy, specifications, or requirements that are either imposed upon or removed from the membership must be accepted by the membership. Section 3.0 Page 7 02/15/02

25 Operating and standing committees are empowered to make unilateral changes to their operating procedures in Section 5 of this manual. All changes will be forwarded to the Standards and Procedures Committee for review MAIL BALLOTS Mail ballots or electronic mail (Fax/ ) shall be used if possible and practical: A. To expedite non-controversial revisions to the manual that require membership and/or committee approval. B. To approve final drafts of documents or manual changes already discussed and accepted in principle by the membership Replies to all ballots shall be returned as soon as possible, but no later than fifteen working days from the date distributed COMMITTEE MEETINGS ( Reserved ) Committee members shall attend and participate in committee meetings Committee meetings should be held as part of the semi-annual membership meetings whenever possible. Committee business may be conducted by mail unless face-to-face discussion is deemed necessary ( Reserved ) The committee shall review each proposed item and either accept it (with revisions, if appropriate), reject it, or hold for further consideration or action ( Reserved ) ( Reserved ) 3.5 AUDIT AND COMPLIANCE COMMITTEE GENERAL This procedure describes the responsibilities of the Audit and Compliance Committee and the processes by which it shall audit and report on the functions and activities of the Aeronautical Repair Station Section to verify that the provisions of the Policies and Procedures Manual and the Statement of Principles and Bylaws are upheld ( Reserved ) The Committee members shall assist the Chairperson in accomplishing the responsibilities of the committee as directed by the Chairperson COMMITTEE RESPONSIBILITIES Section 3.0 Page 8 2/15/ GENERAL Maintain the C.A.S.E. Corporation organization chart for the Aeronautical Repair Station Section including the following: Officers and Assistants.

26 Standing Committees. Committee Members. Update organization chart as required. Assure efficient Committeemen (Standing Committees). Verify that members are appointed to fill required vacant positions. Note: The Repair Station Section Organization chart will be maintained and made available to the membership Provide representation at each business or special meeting to verify that: A quorum is present. Proxies are in order. Sustaining member votes and/or abstentions are accounted for Audit sustaining members to verify compliance with current standards and procedures. The audit may be by on-site visit or by requesting pertinent information from the member s C.A.S.E. Representative. Audit visits will be recorded using the C.A.S.E. Audit & Compliance Evaluation Report (form ARS- 6). Auditors shall be assigned by the Committee Chairperson Report all non-compliances to the Aeronautical Repair Station Section Operations Committee for resolution and appropriate action Manage the Aeronautical Repair Station Section auditor authorization program. Verify annually that each sustaining member's list of C.A.S.E. authorized auditors is current and accurate. Maintain a current list of C.A.S.E. Aeronautical Repair Station Section authorized auditors, and provide to the membership committee for publishing in the combined roster. Arrange for C.A.S.E. Aeronautical Repair Station Section authorization of new auditors. Maintain files of auditor qualifications and approval Report Audit and Compliance activities at each business meeting The Chairperson issues the Audit & Compliance Alert (ARS - 8) when the Audit & Compliance Committee deems it appropriate to rapidly communicate or otherwise highlight information. The Chairperson maintains a master list of alerts ( Reserved ) 3.6 DEVIATIONS AND EXEMPTIONS GENERAL The Audit and Compliance Committee is empowered to grant deviation to or exemption from any situation contained herein provided that: Section 3.0 Page 9 02/15/02

27 The deviation or exemptions do not violate the C.A.S.E. statement of Principals and By-Laws, Federal Aviation Regulations or other applicable regulations, with approval of the Operations Committee. 3.7 AUDIT AND COMPLIANCE ALERT SYSTEM GENERAL The Audit and Compliance Alert form (ARS-8) may be used as a method to communicate in writing to other members The Alert may be used to highlight established policy and to alert members of problems, new Federal Aviation Regulations, etc. Contents of an Alert will not supersede current policies and procedures The Alert system is controlled by the Chairperson of the Audit and Compliance Committee. Any comments, suggestions, or questions shall be directed to the Chairperson in writing. 3.8 NEWSLETTER COMMITTEE GENERAL This procedure defines the duties and responsibilities of the Newsletter Committee. The purpose of the Newsletter Committee is to be the focal point for all articles and information to be included in the Aeronautical Repair Station Section Newsletter Member's representatives are expected to participate in the newsletter by submitting articles, topics, questions, or any pertinent information for inclusion into the newsletter. The newsletter is a representation of the section and a method where its knowledge can be shared with the industry The committee shall consist of the chairperson and an adequate number of committee members to publish and distribute the newsletter in a timely manner The chairperson of the section shall serve as Chief Editor and shall review and approve all newsletters prior to publication The newsletter shall be published at least two times a year. Section 3.0 Page 10 02/15/ DUTIES AND RESPONSIBILITIES OF THE CHAIRPERSON The chairperson is responsible for holding committee meetings at the semiannual C.A.S.E. conference and for calling special meetings as required The chairperson acts as the editor of the newsletter and shall forward all copies to the section chairperson for approval prior to publication ( Reserved ) The chairperson shall be responsible for ensuring that no copyrights are infringed upon for any articles that may be reproduced for publication.

28 The chairperson shall be responsible for coordinating the distribution of the newsletter to section membership The chairperson shall establish the deadlines and publication / distribution dates for the newsletter COMMITTEE MEMBERS Committee Members are responsible for researching articles and subject matter to ensure factual and accurate information is provided for publication Committee Members are expected to take on assignments from the chairperson to solicit and or write articles on various subject matters Committee Members are expected to proofread and critique articles and drafts of the newsletter prior to publication Committee Members are expected to submit assignments in a timely fashion to ensure that deadlines are met. 3.9 DATABASE COMMITTEE GENERAL This procedure defines the duties and responsibilities of the Database Committee. It also describes the system or procedure to cause revision to the Aeronautical Repair Station Section Electronic Database The committee consists of a Chairperson and an adequate number of members to accomplish its assignment in an efficient manner. Beginning with the spring C.A.S.E. conference in the year The Committee Chairperson shall be elected by sustaining members for a two-year term. The incumbent Chairperson may run for re-election. In the event the Chairperson is unable to complete the two-year term, the Committee Vice Chairperson shall assume the duties of the Chair for the remainder of that term. The Vice Chair shall be elected by the Committee members Any sustaining member may request changes, deletions, or additions to the database through the committee chairperson. Requests shall be in writing Whenever a vote is required for committee acceptance a simple majority of voting members shall rule DUTIES AND RESPONSIBILITIES The Committee shall promote education regarding the use of the Database, and when possible, provide assistance and technical support to on-line users The Committee shall be organized in such a manner that each user has a designated technical advisor who is a member of the Committee. The advisor shall provide first line technical support to assigned members The Committee shall review all Database technical problems as well as proposed enhancements to the Database and make recommendations to the sustaining membership for a course of action. Section 3.0 Page 11 2/15/02

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30 The Committee shall schedule and monitor the annual audit allocation process The Committee shall develop an initial and recurrent user training program and make said program available to the membership The Committee shall provide assistance to the Audits and Compliance Committee in the performance of internal audits of the Database and shall facilitate the correction of findings resulting from those audits. Section 3.0 Page 12 2/15/ DATABASE REVISION PROCEDURES Request for a change to the database shall be in writing to the Database Committee Copies of drafts will be circulated to all committee members for their critique. An information copy will be sent to the Chairperson of the Aeronautical Repair Station Section ( Reserved ) If required, the chairperson circulates drafts to the membership for their approval. This may be prior to a general membership meeting with the vote taking place during the meeting or by mail ballot The Chairperson prepares and distributes the final revision to the database through interaction with the C.A.S.E. Database Committee Once approved, the committee will notify the general membership that the change has been implemented COMMITTEE MEETINGS The Chairperson of the Database Committee is responsible for calling and conducting committee meetings Committee meetings should be held as part of the semi-annual membership meetings whenever possible. Committee business may be conducted by mail unless face-to-face discussion is deemed necessary The chairperson prepares an agenda for each committee meeting, listing each item submitted for review The committee shall review each proposed item and either accept it (with revisions, if appropriate), reject it, or hold for further consideration or action The chairperson shall make a report of committee activities at the Aeronautical Repair Station Section membership meeting The chairperson shall prepare and distribute minutes of the committee meetings within fifteen (15) working days of the meeting or as soon thereafter as possible. He shall post the minutes on the C.A.S.E. ARSS Website or provide copies to all committee members, others that attended the committee meeting and the section chairperson.

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32 3.10 OPERATIONS COMMITTEE This procedure defines the duties and responsibilities of the Operations Committee The Operations Committee is made up of the section chairperson and the chairpersons of the various standing section committees The Operations Committee shall not be considered a standing committee with scheduled meetings and a standard scope of activities. It shall function as an advisory board to the section chairperson and assist in planning meetings and other events related to the section The committee shall review all instances of non-compliance received from the Audit and Compliance Committee The committee shall meet at the discretion of the section chairperson as the need arises The committee shall review membership delinquency notices reported by the Data Center and shall take action as appropriate TRAINING COMMITTEE GENERAL This policy defines the duties and responsibilities of the Training Committee The committee consists of a Chairperson and an adequate number of members to accomplish assignments in an efficient manner Committee business may be conducted at any time at the discretion of the Committee Chair Committee members will assist as directed by the Chair DUTIES AND RESPONSIBILITIES The Training Committee is responsible for all aspects of training including scheduling, contents and requirements of training classes The Training Committee is responsible for the procurement of classrooms, equipment and reference material required to conduct comprehensive training courses Upon completion of the training classes the committee will be responsible for grading tests and notifying the Audit and Compliance Committee of the test results. Upon successful completion of a training class, members of the committee will complete an ARS-9 form for the class attendee(s) The committee members will provide input to foster the continuing improvement of the training program. Section 3.0 Page 13 2/15/02

33 Assist any C.A.S.E. member regarding their training needs and requirements FAA LIAISON COMMITTEE GENERAL The FAA Liaison Committee will review information provided by Repair Station Section members to be presented to the Joint FAA Liaison Committee This section describes the duties and responsibilities for the FAA Liaison Committee Chair and Committee Members The Committee Chair shall assure that the responsibilities of the committee are carried out Committee business may be conducted at any time at the discretion of the Committee Chair Committee members will assist as directed by the Chair DUTIES AND RESPONSIBILITIES The Committee Chair shall conduct meetings to ensure that minutes are kept and report the activities of the Committee to the Repair Station Section Membership The Chair shall sit on the Joint Section FAA Liaison Committee Collect issues relevant to the committee from the Repair Station Section and present them to the committee for potential action Present approved issues from the section Committee to the Joint Section FAA Liaison Committee COMMITTEE MEMBERS Responsible for carrying out the tasks assigned by the Committee Chair Provide input at the Committee meeting to foster the continuing improvement of the FAA Liaison Committee. Section 3.0 Page 14 02/15/02

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35 C.A.S.E. AERONAUTICAL REPAIR STATION SECTION SECTION 4 MEMBERSHIP REQUIREMENTS AND OBLIGATIONS Section 4 Page 1 2/15/02

36 THIS PAGE INTENTIONALLY LEFT BLANK Section 4.0 Page 2 11/17/00

37 4.0 MEMBERSHIP REQUIREMENTS AND OBLIGATIONS 4.1 GENERAL MEMBERSHIP ELIGIBILITY GENERAL Membership in the Aeronautical Repair Station Section is divided into two categories; Sustaining Members and Associate Members. Applicants for membership shall file their application with the chairperson of the membership committee on form ARS Sustaining membership is limited to repair stations participating in the audit procedure If a sustaining member loses all qualified auditors, they shall be required to request a waiver from the Audit and Compliance Committee for a period of two consecutive training sessions (not to exceed one year), or revert to an associate membership Member Company Status Change When an event occurs which changes the Air Agency Certificate Number of a members certificate, the member must reapply for membership and pay such fees as may be required When an event occurs which changes a member s Air Agency Certificate if the certificate number remains the same, the membership continues. The member shall complete a Member Company Status Change Form and forward it to the Membership Committee. 4.2 SUSTAINING MEMBERSHIP REQUIREMENTS The applicant must be certificated Repair Station in accordance with the applicable aviation regulations of the certificating government. Domestic Repair Stations are required to be certificated and operating under the applicable parts of Federal Aviation Regulation Part Agree to the statement of Principles and By-Laws of C.A.S.E Agree to comply with all requirements specified in the C.A.S.E Aeronautical Repair Station Section Policy and Procedures manual and to share audit data with C.A.S.E. members of good standing Maintain documented vendor/supplier audit procedures in their manual system. Procedures must meet the minimum applicable standards specified in this section Maintain documented history file of vendor/supplier audits, findings, and corrective action in accordance with the C.A.S.E. Aeronautical Repair Station Section Policy and Procedures manual Maintain a list of approved vendors/suppliers for control and internal dissemination Maintain records of vendor/supplier quality problems Comply with all aviation regulations applicable to that members operating certificate Maintain connection to the computer system. Section 4.0 Page 3 11/17/00

38 Maintain a current copy of the ARSS Policy and Procedures manual Member must be compliant to the C.A.S.E 1A Standard. 4.3 ASSOCIATE MEMBERSHIP Associate members shall be limited to the repair stations ( as previously defined in 4.2.1) that are interested in membership or in promoting or assisting in promoting the purposes of this corporation. An Associate membership is intended to be a transitional step in becoming a sustaining member. Associate members must maintain compliance with the requirements of 4.2.2, and COMPANY REPRESENTATIVE TO C.A.S.E A sustaining member company's representative to C.A.S.E. is expected to attend semiannual meetings and serve actively on committees. If the representative ( or his/her designee) is absent for two consecutive meetings, the company's membership in C.A.S.E. is subject to review by the Operations committee If the sustaining Members Company s representative to C.A.S.E. (or designee) is absent for three consecutive meetings the Member Company reverts to an associate member status Serve on special assignments as requested by the Operations Committee or the Board of Directors Assure proper inputs to the C.A.S.E. Electronic Database Assure response to queries from the C.A.S.E. Data Center Pass on complete procedures to replacement representative when changes in representation occur Assure that the company's vendor/supplier surveillance program, procedures, and auditors remain in compliance with the requirements of this manual Respond to another member s request for audit Perform physical audits on all vendors/suppliers assigned by the Data Base Committee. 4.5 VENDOR/SUPPLIER SURVEILLANCE PROGRAM MINIMUM REQUIREMENTS Each sustaining member of the Aeronautical Repair Station Section must have an internal program of vendor/supplier surveillance which is either FAA approved or in accordance with the requirements of the certificating government and meets the requirements listed below. The program shall be described in detail in the members manual system The manual must specify the department responsible for vendor/supplier surveillance. Section 4.0 Page 4 11/17/00

39 The manual must specify that the department responsible for performing vendor/supplier surveillance shall conduct an on-site audit for vendor/ suppliers submitted to and maintained in the C.A.S.E. Electronic Database The manual shall specify the requirement to maintain adequate records There must be published procedures, which define the extent of the surveillance program, and lists the details of the following areas listed below. 4.6 RECORDS Initial Approval Audit Follow-up Audits Minimum requirements for audit personnel as described in this document Detailed usage of audit forms incorporated in each members company format as described in this document Interaction with procurement, vendor/supplier audit, material review, receiving inspection, engineering, and any other applicable internal department for the purposes of notification, scheduling, audit requests, and the handling of unapproved vendors/suppliers. The records must provide adequate documentation and objective evidence of vendor surveillance activities by maintaining the following items listed below Records listing audit activity from the audit request through the final notification of status A publication of approved vendors/suppliers updated periodically and transmitted to all using departments Individual vendor/supplier folders containing audit requests, completed audit forms, and related documentation, such as interdepartmental correspondence and vendor/supplier correspondence The material necessary to update the C.A.S.E. Electronic Database as described in this document Record retention period to be a minimum of three (3) years. 4.7 AUDITOR QUALIFICATION AND CERTIFICATION Purpose To establish the requirements for qualifying and certifying C.A.S.E. Aeronautical Repair Station Section auditor personnel who perform vendor/supplier quality systems evaluations for entry into the Electronic Database General Section 4.0 Page 5 11/17/00

40 In accepting evaluations (audits) performed by others, the persons accomplishing the evaluation must have established integrity and credibility through demonstrated proficiency. To support a standard level of performance and to adhere to prescribed procedures, it is fundamental that minimum requirements for aerospace quality system evaluation personnel be defined. A baseline standard, which outlines auditor qualification and certification, is described herein to enable section members and their customers to mutually accept another member s evaluation results. These minimum requirements are not solely directed at various personnel characteristics, but also at the training and records for verification. 4.8 AUDITOR QUALIFICATION AND CERTIFICATION PROCEDURE Aeronautical Repair Station Section sustaining members are responsible to establish and maintain an auditor qualification and certification program within their respective organizations, which comply with the requirements, stated herein. The program shall be reviewed, approved and audited by the Audit and Compliance Committee per established audit schedules AUDITOR CREDIT CRITERIA Qualification and certification combines education, experience, training, demonstrated capability, and management evaluation. Specific numerical values (credits) are assigned to each attribute. To be eligible for qualification and certification, the candidate must, as minimum, accrue 10 of the possible 17 credits and satisfy other requisites such as audit communication skills, written and/or oral examinations, audit participation, auditor training courses, etc. The following prerequisites are listed below EDUCATION (Four Credits Maximum) Associate degree from an accredited institution: score one credit. If the degree is in engineering, physical science, mathematics, or quality: score two credits. Bachelors degree from an accredited institution: score two credits. If the degree is in engineering, physical science, mathematics, or quality: score three credits. Masters degree in engineering, physical science, mathematics, or quality: score additional one credit to bachelors degree score EXPERIENCE (Nine Credits Maximum) Related professional experience; engineering, systems maintenance, operations, procurement, active A and P, military, etc.: Score one credit for each year of experience up to three credits. Quality General experience: Score one credit for each year of experience up to three credits. Quality Auditing Experience: Score one credit for each year of experience up to four credits PROFESSIONAL ACCOMPLISHMENT (Two credits) Section 4.0 Page 6 11/17/00