8900.1 CHG 504


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Section 4  Safety Assurance System: Phase 4—Performance Assessment (SAS Business Process Modules 2, 3, and 4)

2-1230    GENERAL. In the Performance Assessment (PA) phase, the certification team determines the applicant’s proposed procedures and programs for training and directing personnel in the performance of their duties are effective. In this phase, the emphasis is on compliance with regulations and safe performance practices.

2-1231    PLAN FOR REVIEW (Module 2). The plan for review should ensure that each of the required events listed below, to be performed by the applicant, will be evaluated utilizing Element Performance Data Collection Tools (EP DCT) or Custom Data Collection Tools (C DCT). Ensure that the Comprehensive Assessment Plan (CAP) has been developed to complete all elements. Principal inspector (PI) instructions for each PA will include in the “National/Local/Regional Field” block, “Initial Cert.”

2-1232    OBSERVATIONS AND MONITORING OF EVENTS. Throughout the PA phase, members of the certificating team observe and monitor many types of applicant activities. The manner in which the applicant is to be evaluated while conducting different segments of this phase is outlined in various sections of this order. The following list of activities or events is representative of events that occur in the PA phase. This list is not all‑inclusive, and certain items may not be applicable to a particular type of operation:

    Repair station facilities (housing, equipment, tooling, and materials);

    Recordkeeping procedures (documentation of training and duty times);

    Maintenance functions;

    Maintenance activities (facilities, personnel, technical information, and spare parts); and

    Personnel records.

2-1233    RESOURCE MANAGEMENT (Module 3). The certification project manager (CPM) will provide input to the Front Line Managers (FLM) to help them identify team resources to complete each Element Performance Data Collection Tool (EP DCT) or Custom Data Collection Tool (C DCT) if applicable. The FLMs will determine resource availability and assign team members to support the plan. The FLM will concur with the CAP plan.

2-1234    DATA COLLECTION (Module 4A). The Certification Project Team (CPT) will verify the performance of the events using the applicable EP DCTs and C DCTs. The CPT will collect and analyze the data by conducting a meeting analyzing the data.

2-1235    DATA REPORTING (Module 4B). Each team member will then enter their responses into the Safety Assurance System (SAS). Enter “Initial Cert.” in the “Local/Regional/National” field on the “Common Data” screen. Save data by clicking “Submit.”

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NOTE:  If an inspector observes any finding(s) not related to their assigned element or he or she cannot capture it in their assigned element, document the finding(s) in a Dynamic Observation Report (DOR) and notify the inspector(s) working that element. If the inspector’s review reveals deficiencies in the applicant’s submissions, the CPM should negotiate resolution of the deficiencies. The certification team should remember that it is the applicant’s responsibility to develop manuals and procedures that ensure safe operating practices and compliance with the rules.

2-1236    DATA REVIEW (Module 4C). The data reviewer will ensure that data meets the data quality guidelines (DQG) and submits to SAS.

2-1237    ANALYSIS AND ASSESSMENT (Module 5A). Along with the identified members of the CPT, the CPM conducts an Element Design Assessment (EDA) meeting to analyze the data collected while completing the Element Design Data Collection Tool (ED DCT). The CPM will make a bottom-line assessment and document it in the Analysis, Assessment, and Action (AAA).

2-1238    ACTION (Module 5B). Follow the Module 5 business process to determine the appropriate course of action for each element.

NOTE:  The applicant must maintain an active project. The certificate-holding district office (CHDO) must evaluate an inactive period that exceeds 90 days. Inactivity of greater than 90 days may be cause to terminate the certification process, or you may terminate the process when it is clear that continuing the process will not result in approval or acceptance (i.e., multiple failures of the applicant’s submissions).

RESERVED. Paragraphs 2-1239 through 2-1243.