##### Safety Attribute Inspection (SAI) Data Collection Tool

###### 1.3.24 Coordinating Agencies for Suppliers Evaluation (CASE) (AW)

# 

# ELEMENT SUMMARY INFORMATION

**Purpose of this Element** (certificate holder's responsibility):

+-----------------------------------------------------------------------+
| -   To participate in the Coordinating Agencies for Suppliers         |
|     Evaluation (CASE) process in such a manner that will ensure full  |
|     compliance with the certificate holder\'s maintenance program,    |
|     operations specifications paragraph D090, and the requirements    |
|     outlined in the CASE Air Carrier Section Policies and Procedures  |
|     Manual.                                                           |
+-----------------------------------------------------------------------+

**Objective** (FAA oversight):

+-----------------------------------------------------------------------+
| -   To determine if the certificate holder\'s CASE process meets all  |
|     applicable requirements of Title 14 of the Code of Federal        |
|     Regulations (14 CFR) and FAA policies.                            |
|                                                                       |
| -   To determine if the certificate holder\'s CASE process            |
|     incorporates the safety attributes.                               |
|                                                                       |
| -   To identify any shortfalls in the certificate holder\'s CASE      |
|     process.                                                          |
+-----------------------------------------------------------------------+

**Specific Instructions**:

+-----------------------------------------------------------------------+
| -   Intentionally left blank                                          |
+-----------------------------------------------------------------------+

# 

# SUPPLEMENTAL INFORMATION

**Specific Regulatory Requirements (SRRs)**:

+-----------------------------------------------------------------------+
| -   SRRs:                                                             |
+=======================================================================+
| > 119.43(b)                                                           |
| >                                                                     |
| > 119.43(b)(1)                                                        |
| >                                                                     |
| > 119.43(b)(2)                                                        |
| >                                                                     |
| > 119.43(c)                                                           |
| >                                                                     |
| > 119.5(f)(2)                                                         |
| >                                                                     |
| > 121.135(a)(1)                                                       |
| >                                                                     |
| > 121.135(b)(1)                                                       |
| >                                                                     |
| > 121.135(b)(2)                                                       |
| >                                                                     |
| > 121.135(b)(3)                                                       |
| >                                                                     |
| > 121.363(a)                                                          |
| >                                                                     |
| > 121.363(b)                                                          |
| >                                                                     |
| > 121.373(a)                                                          |
| >                                                                     |
| > D.090                                                               |
| >                                                                     |
| > D.090(a)                                                            |
| >                                                                     |
| > D.090(b)                                                            |
| >                                                                     |
| > D.090(c)                                                            |
+-----------------------------------------------------------------------+

**Related CFRs & FAA Policy/Guidance**:

+-----------------------------------------------------------------------+
| -   Related CFRs:                                                     |
+=======================================================================+
| > Intentionally left blank                                            |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| -   FAA Policy/Guidance:                                              |
+=======================================================================+
| > FAA Order 8900.1, Volume 3, Chapter 49, Section 1                   |
| >                                                                     |
| > C.A.S.E. Air Carrier Section Policies and Procedures Manual         |
+-----------------------------------------------------------------------+

+---+-------------------------------------------------------------------+
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| . |                                                                   |
| ) |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| # |                                                                   |
| # |                                                                   |
|   |                                                                   |
| T |                                                                   |
| a |                                                                   |
| s |                                                                   |
| k |                                                                   |
| s |                                                                   |
+---+-------------------------------------------------------------------+
|   | To meet this objective, the inspector must accomplish the         |
|   | following tasks:                                                  |
+---+-------------------------------------------------------------------+
| 1 | Review the information listed in the Supplemental Information     |
| \ | section of this DCT.                                              |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 2 | Review the duties and responsibilities for management and other   |
| \ | personnel identified by the certificate holder who accomplish the |
| . | CASE process.                                                     |
+---+-------------------------------------------------------------------+
| 3 | Review the certificate holder's CASE process to ensure it         |
| \ | contains the policies, procedures, instructions and information   |
| . | necessary for personnel to perform their duties and               |
|   | responsibilities with a high degree of safety.                    |
+---+-------------------------------------------------------------------+

+---+------------------------------------------------------+-----------+
| # |                                                      |           |
| # |                                                      |           |
|   |                                                      |           |
| Q |                                                      |           |
| u |                                                      |           |
| e |                                                      |           |
| s |                                                      |           |
| t |                                                      |           |
| i |                                                      |           |
| o |                                                      |           |
| n |                                                      |           |
| s |                                                      |           |
|   |                                                      |           |
+---+------------------------------------------------------+-----------+
|   | To meet this objective, the inspector must answer    |           |
|   | the following questions:                             |           |
+---+------------------------------------------------------+-----------+
| 1 | Does the certificate holder\'s Coordinating Agencies |           |
| \ | for Suppliers Evaluation (CASE) process meet the     |           |
| . | specific regulatory and FAA policy requirements:     |           |
+---+------------------------------------------------------+-----------+
| 1 | Does the certificate holder\'s CASE process include  |           |
| . | that it will conduct CASE activities in accordance   |           |
| 1 | with:                                                |           |
| . |                                                      |           |
+---+------------------------------------------------------+-----------+
| 1 | The most current revision of the CASE Air Carrier    | Yes       |
| . | Section Policies and Procedures Manual? **     **    |           |
| 1 |                                                      | No,       |
| . | SRRs: D.090(a)                                       | Explain   |
| 1 |                                                      |           |
|   | *Related Design JTIs:*                               |           |
|   |                                                      |           |
|   | 1\. Check that the certificate holder\'s manual      |           |
|   | includes instructions and information necessary to   |           |
|   | allow personnel concerned to perform the duty and    |           |
|   | responsibility to conduct C.A.S.E. activities in     |           |
|   | accordance with the most current revision of the     |           |
|   | C.A.S.E. Air Carrier Section Policy and the          |           |
|   | certificate holder\'s manual system.                 |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); D.090(a)                   |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
+---+------------------------------------------------------+-----------+
| 1 | Its manual system? **     **                         | Yes       |
| . |                                                      |           |
| 1 | SRRs: D.090(a)                                       | No,       |
| . |                                                      | Explain   |
| 2 | *Related Design JTIs:*                               |           |
|   |                                                      |           |
|   | 1\. Check that the certificate holder\'s manual      |           |
|   | includes instructions and information necessary to   |           |
|   | allow personnel concerned to perform the duty and    |           |
|   | responsibility to conduct C.A.S.E. activities in     |           |
|   | accordance with the most current revision of the     |           |
|   | C.A.S.E. Air Carrier Section Policy and the          |           |
|   | certificate holder\'s manual system.                 |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); D.090(a)                   |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
+---+------------------------------------------------------+-----------+
| 1 | Does the certificate holder\'s CASE process include  |           |
| . | instructions and information necessary for personnel |           |
| 2 | to use CASE as a means of qualifying a vendor for:   |           |
| . |                                                      |           |
|   | SRRs: 121.135(a)(1); D.090                           |           |
+---+------------------------------------------------------+-----------+
| 1 | Services to satisfy the requirements of 14 CFR part  | Yes       |
| . | 121, section 121.373? **     **                      |           |
| 2 |                                                      | No,       |
| . | SRRs: D.090                                          | Explain   |
| 1 |                                                      |           |
|   | *Related Design JTIs:*                               |           |
|   |                                                      |           |
|   | 1\. Check that the certificate holder\'s manual      |           |
|   | includes instructions and information necessary to   |           |
|   | allow personnel concerned to perform the duty and    |           |
|   | responsibility to utilize C.A.S.E. as a means of     |           |
|   | qualifying a vendor for service, parts, and          |           |
|   | materials to satisfy the requirements of 14 CFR      |           |
|   | Section 121.373.                                     |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); D.090(b)                   |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
+---+------------------------------------------------------+-----------+
| 1 | Parts to satisfy the requirements of 14 CFR part     | Yes       |
| . | 121, section 121.373? **     **                      |           |
| 2 |                                                      | No,       |
| . | SRRs: D.090                                          | Explain   |
| 2 |                                                      |           |
|   | *Related Design JTIs:*                               |           |
|   |                                                      |           |
|   | 1\. Check that the certificate holder\'s manual      |           |
|   | includes instructions and information necessary to   |           |
|   | allow personnel concerned to perform the duty and    |           |
|   | responsibility to utilize C.A.S.E. as a means of     |           |
|   | qualifying a vendor for service, parts, and          |           |
|   | materials to satisfy the requirements of 14 CFR      |           |
|   | Section 121.373.                                     |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); D.090(b)                   |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
+---+------------------------------------------------------+-----------+
| 1 | Materials to satisfy the requirements of 14 CFR part | Yes       |
| . | 121, section 121.373? **     **                      |           |
| 2 |                                                      | No,       |
| . | SRRs: D.090                                          | Explain   |
| 3 |                                                      |           |
|   | *Related Design JTIs:*                               |           |
|   |                                                      |           |
|   | 1\. Check that the certificate holder\'s manual      |           |
|   | includes instructions and information necessary to   |           |
|   | allow personnel concerned to perform the duty and    |           |
|   | responsibility to utilize C.A.S.E. as a means of     |           |
|   | qualifying a vendor for service, parts, and          |           |
|   | materials to satisfy the requirements of 14 CFR      |           |
|   | Section 121.373.                                     |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); D.090(b)                   |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
+---+------------------------------------------------------+-----------+
| 1 | Does the certificate holder\'s CASE process include  | Yes       |
| . | that the certificate holder has primary              |           |
| 3 | responsibility for the airworthiness of parts and    | No,       |
| . | materials processed through any vendor or contractor | Explain   |
|   | approved for use by the certificate holder and for   |           |
|   | services rendered to the certificate holder?         |           |
|   | **     **                                            |           |
|   |                                                      |           |
|   | SRRs: D.090(b)                                       |           |
+---+------------------------------------------------------+-----------+
| 1 | Does the certificate holder\'s CASE process ensure   |           |
| . | that:                                                |           |
| 4 |                                                      |           |
| . |                                                      |           |
+---+------------------------------------------------------+-----------+
| 1 | The contents of the CASE manual do not conflict with | Yes       |
| . | the CFRs or the certificate holder\'s manual system? |           |
| 4 | **     **                                            | No,       |
| . |                                                      | Explain   |
| 1 | SRRs: D.090(a)                                       |           |
+---+------------------------------------------------------+-----------+
| 1 | Should the Air Carrier section of CASE cease to      | Yes       |
| . | exist, this authorization is canceled? **     **     |           |
| 4 |                                                      | No,       |
| . | SRRs: D.090(c)                                       | Explain   |
| 2 |                                                      |           |
|   | *Related Design JTIs:*                               |           |
|   |                                                      |           |
|   | 1\. Check that the certificate holder\'s manual      |           |
|   | contains instructions that should the air carrier    |           |
|   | section of C.A.S.E. cease to exist or function, this |           |
|   | authorization is canceled.                           |           |
|   |                                                      |           |
|   | *Sources:* 121.135(b)(26); D.090(c)                  |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
+---+------------------------------------------------------+-----------+
| 1 | Should the Air Carrier section of CASE cease to      | Yes       |
| . | function, this authorization is canceled? **     **  |           |
| 4 |                                                      | No,       |
| . | SRRs: D.090(c)                                       | Explain   |
| 3 |                                                      |           |
|   | *Related Design JTIs:*                               |           |
|   |                                                      |           |
|   | 1\. Check that the certificate holder\'s manual      |           |
|   | contains instructions that should the air carrier    |           |
|   | section of C.A.S.E. cease to exist or function, this |           |
|   | authorization is canceled.                           |           |
|   |                                                      |           |
|   | *Sources:* 121.135(b)(26); D.090(c)                  |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
+---+------------------------------------------------------+-----------+
| 1 | Should the certificate holder cease to maintain an   | Yes       |
| . | active sustaining membership, this authorization is  |           |
| 4 | canceled? **     **                                  | No,       |
| . |                                                      | Explain   |
| 4 | SRRs: D.090(c)                                       |           |
|   |                                                      |           |
|   | *Related Design JTIs:*                               |           |
|   |                                                      |           |
|   | 1\. Check that the certificate holder\'s manual      |           |
|   | contains instructions that should the certificate    |           |
|   | holder cease to maintain an active sustaining        |           |
|   | membership, this authorization is canceled.          |           |
|   |                                                      |           |
|   | *Sources:* 121.135(b)(26); D.090(c)                  |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
+---+------------------------------------------------------+-----------+
| 1 | Does the certificate holder\'s CASE process comply   | Yes       |
| . | with the guidance contained in FAA Order 8900.1?     |           |
| 5 | **     **                                            | No,       |
| . |                                                      | Explain   |
|   | *Related Design JTIs:*                               |           |
|   |                                                      |           |
|   | 1\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the purpose   |           |
|   | of C.A.S.E. is to conduct audits of various          |           |
|   | suppliers/vendors through a cooperative effort.      |           |
|   |                                                      |           |
|   | *Sources:* FAA Order 8900.1, Vol 3, Ch 49, Sec 1,    |           |
|   | Para 3-4035                                          |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 2\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding C.A.S.E.      |           |
|   | audits are a method for the analysis, control, and   |           |
|   | acceptability of those vendors supplying parts and   |           |
|   | maintenance services.                                |           |
|   |                                                      |           |
|   | *Sources:* FAA Order 8900.1, Vol 3, Ch 49, Sec 1,    |           |
|   | Para 3-4035                                          |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 3\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding C.A.S.E.\'s   |           |
|   | strict training and certification program\'s         |           |
|   | specific minimum requirements in terms of the        |           |
|   | auditor background and experience are required.      |           |
|   |                                                      |           |
|   | *Sources:* FAA Order 8900.1, Vol 3, Ch 49, Sec 1,    |           |
|   | Para 3-4035 K                                        |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 4\. Check that the Certificate Holder\'s             |           |
|   | instructions and information includes the            |           |
|   | stipulation that only auditors authorized through    |           |
|   | the C.A.S.E. Certificate holder Auditor              |           |
|   | Authorization Program are allowed to submit          |           |
|   | supplier/vendor change information to the data base. |           |
|   |                                                      |           |
|   | *Sources:* FAA Order 8900.1, Vol 3, Ch 49, Sec 1,    |           |
|   | Para 3-4035 D                                        |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 5\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the use of    |           |
|   | the C.A.S.E published policy and procedures manual   |           |
|   | which outlines the program in its entirety.          |           |
|   |                                                      |           |
|   | *Sources:* FAA Order 8900.1, Vol 3, Ch 49, Sec 1,    |           |
|   | Para 3-4038 B                                        |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 6\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the C.A.S.E.  |           |
|   | published policy and procedures manual that outlines |           |
|   | the methods for selecting auditors.                  |           |
|   |                                                      |           |
|   | *Sources:* FAA Order 8900.1, Vol 3, Ch 49, Sec 1,    |           |
|   | Para 3-4035 F                                        |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 7\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the C.A.S.E.  |           |
|   | published policy and procedures manual that outlines |           |
|   | the methods for training auditors.                   |           |
|   |                                                      |           |
|   | *Sources:* FAA Order 8900.1, Vol 3, Ch 49, Sec 1,    |           |
|   | Para 3-4038 B                                        |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 8\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the C.A.S.E.  |           |
|   | published policy and procedures manual that outlines |           |
|   | the methods for evaluation standards for evaluating  |           |
|   | the vendor/supplier.                                 |           |
|   |                                                      |           |
|   | *Sources:* FAA Order 8900.1, Vol 3, Ch 49, Sec 1,    |           |
|   | Para 3-4035 F                                        |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
+---+------------------------------------------------------+-----------+
| 1 | Does the certificate holder\'s CASE process comply   | Yes       |
| . | with the guidance contained in the CASE Air Carrier  |           |
| 6 | Section Policies and Procedures Manual, chapter 1,   | No,       |
| . | section 1-9-3? **     **                             | Explain   |
|   |                                                      |           |
|   | *Related Design JTIs:*                               |           |
|   |                                                      |           |
|   | 1\. Check that the Certificate Holder\'s             |           |
|   | instructions and information includes the            |           |
|   | specification that should the Certificate Holder     |           |
|   | cease to maintain an active sustaining membership in |           |
|   | C.A.S.E. their authorization is cancelled.           |           |
|   |                                                      |           |
|   | *Sources:* FAA Order 8900.1, Vol 3, Ch 49, Sec 1,    |           |
|   | Para 3-4034 E                                        |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 2\. Check that the Certificate Holder\'s             |           |
|   | instructions and information includes their action   |           |
|   | to be taken, if they are notified by the Membership, |           |
|   | Audeit & Compliance committee of a downgrade to      |           |
|   | their membership, is to notify their FAA Principal   |           |
|   | Maintenance Inspector in witting within ten (10)     |           |
|   | working days.                                        |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual(REV 39) Section 1-9-3   |           |
|   | Page 1 Paragraph A                                   |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
+---+------------------------------------------------------+-----------+
| 1 | Does the certificate holder\'s CASE process comply   | Yes       |
| . | with the guidance contained in the CASE Air Carrier  |           |
| 7 | Section Policies and Procedures Manual, chapter 2,   | No,       |
| . | section 2-2-0? **     **                             | Explain   |
|   |                                                      |           |
|   | *Related Design JTIs:*                               |           |
|   |                                                      |           |
|   | 1\. Check that the Certificate Holder\'s             |           |
|   | instructions and information are structured to have  |           |
|   | an internal program of vendor surveillance that is   |           |
|   | either FAA accepted or in accordance with the        |           |
|   | regulations of the certificating government.         |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual(REV 39) Section 2-2-0,  |           |
|   | Page 1 Paragraph B1(a)(b)                            |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 2\. Check that the Certificate Holder\'s             |           |
|   | instructions and information are structured to have  |           |
|   | an internal program of vendor surveillance that is   |           |
|   | described in detail in their manual system, the      |           |
|   | published procedures that are defined to the extent  |           |
|   | of the surveillance program and lists the details of |           |
|   | the type of audits to be conducted for a initial     |           |
|   | approval audit.                                      |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0, |           |
|   | Page 1 Paragraph B1(a)(b)                            |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 3\. Check that the Certificate Holder\'s             |           |
|   | instructions and information are structured to have  |           |
|   | an internal program of vendor surveillance that      |           |
|   | described in detail in their manual system the       |           |
|   | published procedures that are defined to the extent  |           |
|   | of their surveillance program and lists the details  |           |
|   | the type of audits to be conducted for a follow-up   |           |
|   | audits.                                              |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual(REV 39) Section 2-2-0,  |           |
|   | Page 1 Paragraph B1(a)(b)                            |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 4\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details the minimum requirements for audit           |           |
|   | personnel.                                           |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual(REV 39) Section 2-2-0   |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 5\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details the extent of audit records as required in   |           |
|   | C.A.S.E. Certificate Holder Section, Policies &      |           |
|   | Procedures Manual Section 2-2-0 paragraph \"C\".     |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual(REV 39) Section 2-2-0   |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 6\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program to the        |           |
|   | minimum audit formats described in chapter four of   |           |
|   | the C.A.S.E. Certificate Holder Section, Policies &  |           |
|   | Procedures Manual.                                   |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual(REV 39) Section 2-2-0   |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 7\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that lists    |           |
|   | the details for the use of audit forms.              |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual(REV 39) Section 2-2-0   |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 8\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with procurement,         |           |
|   | including such areas as notification.                |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual(REV 39) Section 2-2-0   |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 9\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with procurement,         |           |
|   | including such areas as scheduling.                  |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual(REV 39) Section 2-2-0   |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 10\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with procurement,         |           |
|   | including such areas as audit requests.              |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual(REV 39) Section 2-2-0   |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 11\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with procurement,         |           |
|   | including such areas as handling of unapproved       |           |
|   | vendors/suppliers.                                   |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual(REV 39) Section 2-2-0   |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 12\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with procurement,         |           |
|   | including such areas as parts distributors.          |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 13\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with vendor audit,        |           |
|   | including such areas as notification.                |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 14\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with vendor audit,        |           |
|   | including such areas as scheduling.                  |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 15\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with vendor audit,        |           |
|   | including such areas as audit requests.              |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual(REV 39) Section 2-2-0   |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 16\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with vendor audit,        |           |
|   | including such areas as handling of unapproved       |           |
|   | vendors/suppliers.                                   |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual(REV 39) Section 2-2-0   |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 17\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with vendor audit,        |           |
|   | including such areas as parts distributors.          |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual(REV 39) Section 2-2-0   |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 18\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with material review,     |           |
|   | including such areas as notification.                |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual(REV 39) Section 2-2-0   |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 19\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with material review,     |           |
|   | including such areas as scheduling.                  |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual(REV 39) Section 2-2-0   |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 20\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with material review,     |           |
|   | including such areas as audit requests.              |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 21\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with material review,     |           |
|   | including such areas as handling of unapproved       |           |
|   | vendors/suppliers.                                   |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual(REV 39) Section 2-2-0   |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 22\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with material review,     |           |
|   | including such areas as parts distributors.          |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 23\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with receiving            |           |
|   | inspection, including such areas as notification.    |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 24\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with receiving            |           |
|   | inspection, including such areas as scheduling.      |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 25\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with receiving            |           |
|   | inspection, including such areas as audit requests.  |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 26\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with receiving            |           |
|   | inspection, including such areas as handling of      |           |
|   | unapproved vendors/suppliers.                        |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 27\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with receiving            |           |
|   | inspection, including such areas as parts            |           |
|   | distributors.                                        |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 28\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with engineering,         |           |
|   | including such areas as notification.                |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 29\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with engineering,         |           |
|   | including such areas as scheduling.                  |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 30\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with engineering,         |           |
|   | including such areas as audit requests.              |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 31\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with engineering,         |           |
|   | including such areas as handling of unapproved       |           |
|   | vendors/suppliers.                                   |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 32\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system the published procedures that define   |           |
|   | the extent of the surveillance program and lists the |           |
|   | details of the interaction with engineering,         |           |
|   | including such areas as parts distributors.          |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1, Paragraph 1B(2)(3)(4)(5)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 33\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system that records must provide adequate     |           |
|   | documentation of vendor surveillance activities by   |           |
|   | maintaining the records listing audit activity from  |           |
|   | the audit request through the final notification of  |           |
|   | status.                                              |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1, Paragraph 1C(1)(2)(3)(4)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 34\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system that records must provide adequate     |           |
|   | objective evidence of vendor surveillance activities |           |
|   | by maintaining the records listing audit activity    |           |
|   | from the audit request through the final             |           |
|   | notification of status.                              |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1 Paragraph 1C(1)(2)(3)(4)                      |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 35\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system that records must provide adequate     |           |
|   | documentation of vendor surveillance activities by   |           |
|   | maintaining a listing of approved vendors/suppliers  |           |
|   | that is updated periodically.                        |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1 Paragraph 1C(1)(2)(3)(4)                      |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 36\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system that records must provide adequate     |           |
|   | documentation of vendor surveillance activities by   |           |
|   | maintaining a listing of approved parts distributors |           |
|   | that is updated periodically.                        |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1 Paragraph 1C(1)(2)(3)(4)                      |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 37\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system that records must provide adequate     |           |
|   | documentation of vendor surveillance activities by   |           |
|   | maintaining a listing of approved vendors/suppliers  |           |
|   | that is transmitted to all using departments.        |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1 Paragraph 1C(1)(2)(3)(4)                      |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 38\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system that records must provide adequate     |           |
|   | documentation of vendor surveillance activities by   |           |
|   | maintaining a listing of approved parts distributors |           |
|   | that is transmitted to all using departments.        |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1 Paragraph 1C(1)(2)(3)(4)                      |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 39\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system that records must provide adequate     |           |
|   | documentation of vendor surveillance activities by   |           |
|   | maintaining Individual vendor/supplier files         |           |
|   | containing audit requests, completed audit forms,    |           |
|   | and related documentation, such as inter-department  |           |
|   | correspondence and vendor/distributor                |           |
|   | correspondence.                                      |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1 Paragraph 1C(1)(2)(3)(4)                      |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 40\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system that records must provide adequate     |           |
|   | documentation of vendor surveillance activities by   |           |
|   | maintaining Individual parts distributor files       |           |
|   | containing audit requests, completed audit forms,    |           |
|   | and related documentation, such as inter-department  |           |
|   | correspondence and vendor/distributor                |           |
|   | correspondence.                                      |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1 Paragraph 1C(1)(2)(3)(4)                      |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 41\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s internal program of vendor     |           |
|   | surveillance describes in detail in the member\'s    |           |
|   | manual system that records must provide adequate     |           |
|   | documentation of vendor surveillance activities by   |           |
|   | maintaining The material and data necessary to       |           |
|   | update the C.A.S.E. Register as described in         |           |
|   | C.A.S.E. Certificate Holder Section, Policies &      |           |
|   | Procedure\'s Manual section 3-2-0.                   |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-2-0  |           |
|   | Page 1 Paragraph 1C(1)(2)(3)(4)                      |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
+---+------------------------------------------------------+-----------+
| 1 | Does the certificate holder\'s CASE process comply   | Yes       |
| . | with the guidance contained in the CASE Air Carrier  |           |
| 8 | Section Policies and Procedures Manual, chapter 2,   | No,       |
| . | section 2-3-0? **     **                             | Explain   |
|   |                                                      |           |
|   | *Related Design JTIs:*                               |           |
|   |                                                      |           |
|   | 1\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates to be authorized for    |           |
|   | standards other than the fuel standard must have: a  |           |
|   | minimum of three years experience in aircraft        |           |
|   | maintenance/quality control/quality assurance        |           |
|   | experience with a comprehensive knowledge of quality |           |
|   | systems.                                             |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 1C(1)(2)(3)                                |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 2\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates to be authorized for    |           |
|   | standards other than the fuel standard must have at  |           |
|   | least one year as a full time Certificate Holder     |           |
|   | technical auditor of maintenance or modification     |           |
|   | activities.                                          |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 1C(1)(2)(3)                                |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 3\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates to be authorized for    |           |
|   | standards other than the fuel standard must have a   |           |
|   | portion of there duties devoted to conducting audits |           |
|   | of maintenance or modification activities, if audit  |           |
|   | duties are collateral with other duties, and         |           |
|   | candidates are members of the Certificate Holder\'s  |           |
|   | Quality Assurance staff, for the last two years.     |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 1C(1)(2)(3)                                |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 4\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates to be authorized for    |           |
|   | fuel standards must have three years experience as a |           |
|   | fuel farm operator, aircraft fueler, oil company     |           |
|   | technical/Q.A./Q.C. representative, or similar       |           |
|   | related occupation.                                  |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 1D(1)(2)(3)                                |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 5\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates to be authorized for    |           |
|   | fuel standards must have at least six months as a    |           |
|   | full time auditor of fuel farms and/or fueling       |           |
|   | facilities, equipment, and activities.               |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 1D(1)(2)(3)                                |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 6\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates to be authorized for    |           |
|   | fuel standards must have a portion of the duties     |           |
|   | devoted to conducting audits of fuel farms and/or    |           |
|   | fueling facilities, equipment, and activities, if    |           |
|   | audit duties are collateral with other duties and    |           |
|   | candidates are members of the Quality Assurance      |           |
|   | staff, for the last two years.                       |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 1D(1)(2)(3)                                |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 7\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E.            |           |
|   | authorization must have conducted twelve-vendor      |           |
|   | facility audits to the C.A.S.E. standard             |           |
|   | (appropriate for the authorization sought) within    |           |
|   | the twelve-month period preceding the application.   |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 1E                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 8\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E.            |           |
|   | authorization must have conducted Six of the         |           |
|   | required twelve audits must have been accomplished   |           |
|   | within the six-month period preceding the            |           |
|   | application.                                         |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 1E                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 9\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E.            |           |
|   | authorization must have conducted Three of the       |           |
|   | twelve audits specified in C.A.S.E. Certificate      |           |
|   | Holder Section, Policies & Procedure\'s Manual       |           |
|   | Section 2-3-0 Paragraph 1E must have been conducted  |           |
|   | as a precheck-ride evaluation with any Level III     |           |
|   | Auditor or Level IV Evaluator.                       |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 1F                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 10\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E.            |           |
|   | authorization must have each precheck-ride           |           |
|   | evaluation conducted by a different Level III        |           |
|   | Auditor, or Level IV Evaluator.                      |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 1F                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 11\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E.            |           |
|   | authorization must have Each Level III Audit or      |           |
|   | Level IV Evaluator conducting a pre-check-ride       |           |
|   | evaluation must provide the candidate with           |           |
|   | constructive written comments using C.A.S.E. form    |           |
|   | CACS-5 identifying a candidate\'s strengths and      |           |
|   | weaknesses.                                          |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 1F                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 12\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E.            |           |
|   | authorization must have received C.A.S.E. form       |           |
|   | CACS-5 from each Level III Audit or Level IV         |           |
|   | Evaluator conducting the pre-check-rides, failure to |           |
|   | provide such comments ( C.A.S.E. form CACS-5 ) may   |           |
|   | nullify the precheck-ride evaluation.                |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 1F                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 13\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E.            |           |
|   | authorization to conduct fuel vendor audits must     |           |
|   | complete the required number of audits on fuel       |           |
|   | vendors only.                                        |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 1G(1)(2)(3)(4)                             |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 14\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E.            |           |
|   | authorization to conduct audits to standards other   |           |
|   | than fuel may combine audits of various standards,   |           |
|   | not including fuel. At least 50% of the required     |           |
|   | audits must be to the C.A.S.E. 1-A standard.         |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 1G(1)(2)(3)(4)                             |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 15\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E.            |           |
|   | authorization for both fuel auditor and maintenance  |           |
|   | auditor must comply with the requirements of both    |           |
|   | authorizations in their entirety.                    |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 1G(1)(2)(3)(4)                             |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 16\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E.            |           |
|   | authorization may only be evaluated by Level IV      |           |
|   | Evaluators against the standards for which the Level |           |
|   | IV Evaluators themselves are authorized to audit.    |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 1G(1)(2)(3)(4)                             |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 17\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E.            |           |
|   | authorization for fuel auditors must be              |           |
|   | knowledgeable of fuel tests required by the C.A.S.E. |           |
|   | 2-A Standard, i.e. Millipore, free water, ASI.       |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 1H                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 18\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E.            |           |
|   | authorization for fuel auditors must understand why  |           |
|   | and when these tests are to be performed.            |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 1H                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 19\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E.            |           |
|   | authorization for fuel auditors must be able to      |           |
|   | interpret the test results and understand the        |           |
|   | meaning of these results.                            |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 1H                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 20\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E.            |           |
|   | authorization for fuel auditors must also be able to |           |
|   | perform each test required by the C.A.S.E. 2-A       |           |
|   | Standard, i.e. Millipore, free water, ASI.           |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 1H                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 21\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E.            |           |
|   | authorization that before a member\'s auditor is     |           |
|   | authorized to perform an audit on behalf of the      |           |
|   | Certificate Holder membership the individual must be |           |
|   | a qualified Level III or Level IV auditor authorized |           |
|   | through the Audit and Compliance Committee of the    |           |
|   | Certificate Holder Section. Refer to C.A.S.E.        |           |
|   | Certificate Holder Section, Policies & Procedures    |           |
|   | Manual Section 2-3-1.                                |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 2A                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 22\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E.            |           |
|   | authorization that before a member\'s auditor is     |           |
|   | authorized to submit information to the C.A.S.E.     |           |
|   | Data Center, the individual must be a qualified      |           |
|   | Level III or Level IV auditor authorized through the |           |
|   | Audit and Compliance Committee of the Certificate    |           |
|   | Holder Section. Refer to C.A.S.E. Certificate Holder |           |
|   | Section, Policies & Procedures Manual Section 2-3-1. |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 2A                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 23\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding that for a    |           |
|   | Certificate Holder\'s C.A.S.E. Level III or Level IV |           |
|   | auditors to retain their Level III or Level IV       |           |
|   | authorization, that the member\'s representative     |           |
|   | must file an annual activities report (for the       |           |
|   | previous January-December calendar year) with the    |           |
|   | Audit & Compliance Committee Chair. The report must  |           |
|   | be submitted not later than January 31st. Refer to   |           |
|   | C.A.S.E. Certificate Holder Section, Policies &      |           |
|   | Procedures Manual Section 2-3-1, Maintaining         |           |
|   | Authorization.                                       |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-0  |           |
|   | Paragraph 2B                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
+---+------------------------------------------------------+-----------+
| 1 | Does the certificate holder\'s CASE process comply   | Yes       |
| . | with the guidance contained in the CASE Air Carrier  |           |
| 9 | Section Policies and Procedures Manual, chapter 2,   | No,       |
| . | section 2-3-1? **     **                             | Explain   |
|   |                                                      |           |
|   | *Related Design JTIs:*                               |           |
|   |                                                      |           |
|   | 1\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s training program consists of   |           |
|   | four phases Auditor qualification levels are:        |           |
|   | (reference C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual section 2-3-1, part     |           |
|   | six) Level I - Company Auditor Trainee Level II -    |           |
|   | Qualified Company Auditor Level III - C.A.S.E.       |           |
|   | Authorized Auditor Level IV - C.A.S.E. Authorized    |           |
|   | Evaluator                                            |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 1D(1)(2)                                   |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 2\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s auditor candidates, that upon  |           |
|   | successful completion of each phase of training, the |           |
|   | trainee is qualified for the respective \"Level\"    |           |
|   | authorization.                                       |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 1D(1)(2)                                   |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 3\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s auditor candidates, for Levels |           |
|   | I and II cover the training activities that qualify  |           |
|   | an individual as an auditor for his or her employer. |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 1D(1)(2)                                   |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 4\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s auditor candidates, that Level |           |
|   | III training is designed to acquaint an experienced  |           |
|   | auditor with specific requirements of the C.A.S.E.   |           |
|   | audit program.                                       |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 1D(1)(2)                                   |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 5\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the C.A.S.E.  |           |
|   | Audit and Compliance Committee must evaluate and     |           |
|   | accept the Certificate Holder\'s auditor             |           |
|   | candidate\'s training, experience, and capabilities  |           |
|   | before issuing the candidate a Level III C.A.S.E.    |           |
|   | authorization.                                       |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 1D(1)(2)                                   |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 6\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E. Level III  |           |
|   | auditor authorization can be recommended to the      |           |
|   | Audit and Compliance Committee for consideration,    |           |
|   | the candidate must successfully pass a written       |           |
|   | examination of C.A.S.E. policy and procedures. This  |           |
|   | is a closed book test with a passing grade of 70%.   |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 1E(1)(2)(3)                                |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 7\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E. Level III  |           |
|   | auditor authorization can be recommended to the      |           |
|   | Audit and Compliance Committee for consideration,    |           |
|   | the candidate must successfully pass a written       |           |
|   | examination of C.A.S.E. policy and procedures, test  |           |
|   | results are valid for twelve months from the date    |           |
|   | the test was taken.                                  |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 1E(1)(2)(3)                                |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 8\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E. Level III  |           |
|   | auditor authorization that has not completed all     |           |
|   | requirements and been accepted as a level III        |           |
|   | auditor prior to the expiration dates, of the        |           |
|   | written examination, that individual must repeat the |           |
|   | classes and the written test successfully to         |           |
|   | re-qualify for a check-ride.                         |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 1E(1)(2)(3)                                |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 9\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E. Level III  |           |
|   | auditor authorization can be recommended to the      |           |
|   | Audit and Compliance Committee for consideration,    |           |
|   | the candidate must successfully pass an oral         |           |
|   | examination by a Level IV Evaluator on C.A.S.E.      |           |
|   | policy and procedures, and general auditing          |           |
|   | procedures, techniques, and skills.                  |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 1E(1)(2)(3)                                |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 10\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E. Level III  |           |
|   | auditor authorization can be recommended to the      |           |
|   | Audit and Compliance Committee for consideration,    |           |
|   | the candidate must successfully pass a practical     |           |
|   | demonstration of auditing knowledge and skill to the |           |
|   | satisfaction of a Level IV Evaluator.                |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 1E(1)(2)(3)                                |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 11\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s C.A.S.E. authorized auditor that changes   |           |
|   | employment from one member carrier to another member |           |
|   | carrier, the individual\'s authorization shall       |           |
|   | remain valid provided the auditor complies with the  |           |
|   | requirements to retain certification.                |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 1G(1)(2)                                   |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 12\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s C.A.S.E. authorized auditor that changes   |           |
|   | employment from one member carrier to another member |           |
|   | carrier, the individual\'s authorization shall       |           |
|   | remain valid provided the auditor notifies, in       |           |
|   | writing within thirty (30) days, the C.A.S.E. DATA   |           |
|   | Center and the C.A.S.E. Audit and Compliance         |           |
|   | Committee Chair of the change of employer. The       |           |
|   | notification must include: the name and mailing      |           |
|   | address of the employer, a telephone number where    |           |
|   | the auditor can be reached a FAX number, if          |           |
|   | available                                            |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 1G(1)(2)                                   |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 13\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s C.A.S.E. Level III Auditor and Level IV    |           |
|   | Evaluator may not act as a paid consultant to assist |           |
|   | a vendor in qualifying for a C.A.S.E. audit.         |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 1H                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 14\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E. Level III  |           |
|   | authorization submitting their C.A.S.E. Level III    |           |
|   | application to the C.A.S.E. Audit and Compliance     |           |
|   | committee chair, shall provide the following: 1. All |           |
|   | observation and evaluations (CACS-5s). The last      |           |
|   | evaluation must recommend the candidate for a        |           |
|   | check-ride. 2. A copy of their completed CACS-4.     |           |
|   | (The original must be retained and signed by the     |           |
|   | Level IV Evaluator after the candidate has           |           |
|   | successfully completed the check-ride.) 3. A copy of |           |
|   | their airframe and/or Powerplant license (if         |           |
|   | applicable) 4. Copies of diploma(s), if applicable   |           |
|   | 5. Proof of experience (training records, Level 1    |           |
|   | and Level II completion records). It is imperative   |           |
|   | that candidates provide documented evidence of their |           |
|   | experience. Candidates must also submit documented   |           |
|   | evidence of their Level I & Level II qualifications  |           |
|   | for their Certificate Holder (reference 2-3-1, part  |           |
|   | six). 6. A copy of their CACS-9 written test score.  |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 2B(1)(2)(3)(4)(5) & (6)                    |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 15\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E.            |           |
|   | authorization that the C.A.S.E. Audit and Compliance |           |
|   | committee chair shall inform the member in writing.  |           |
|   | If the candidate does not meet minimum requirements, |           |
|   | the C.A.S.E. Audit and Compliance committee chair    |           |
|   | identifies the reasons for rejection.                |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 2D                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 16\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E.            |           |
|   | authorization, that the C.A.S.E. Audit and           |           |
|   | Compliance committee chair, shall inform the member  |           |
|   | in writing if the candidate meets minimum            |           |
|   | requirements.                                        |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 2D                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 17\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E.            |           |
|   | authorization, is to make arrangements with a Level  |           |
|   | IV Evaluator acceptable to the C.A.S.E. Audit and    |           |
|   | Compliance committee chair, for a check-ride.        |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 2D                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 18\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates shall arrange with a    |           |
|   | C.A.S.E. Level IV Evaluator from another C.A.S.E.    |           |
|   | member to observe the candidate\'s performance on an |           |
|   | actual audit; a check-ride.                          |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 2D                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 19\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s Level IV Evaluator that has participated   |           |
|   | in the C.A.S.E. auditor candidate\'s pre-check ride  |           |
|   | evaluation process, may not conduct the check-ride.  |           |
|   | Level IV Evaluators are listed in the C.A.S.E.       |           |
|   | computer system.                                     |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 2D                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 20\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s Level IV Evaluator that has participated   |           |
|   | in the C.A.S.E. auditor candidate\'s pre-check ride  |           |
|   | evaluation process, may not conduct the check-ride.  |           |
|   | Level IV Evaluators are listed in the C.A.S.E.       |           |
|   | computer system.                                     |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 2D                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 21\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s Level IV Evaluator that conducts the       |           |
|   | check-ride and files a written report (CACS-5) with  |           |
|   | the C.A.S.E. Audit and Compliance Committee Chair.   |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 2F                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 22\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s Level IV Evaluator that conducts the       |           |
|   | check-ride reports shall contain The name of the     |           |
|   | agency audited, An evaluation of the candidate       |           |
|   | auditor\'s capabilities, The candidate\'s signature  |           |
|   | in the ethic\'s statement block (for both initial    |           |
|   | and recurrent check-rides), A recommendation to      |           |
|   | accept or reject the candidate auditor.              |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 2F                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 23\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s Level IV Evaluator that conducts the       |           |
|   | check-ride that reports recommendation to reject,    |           |
|   | the report must give supporting reasons.             |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 2F                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 24\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s Level IV Evaluator that conducts the       |           |
|   | check-ride also records the Level III candidate\'s   |           |
|   | satisfactory communication skills on the             |           |
|   | candidate\'s qualification record, (form CACS-4).    |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 2F                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 25\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates for C.A.S.E. Level III  |           |
|   | authorization if accepted, the candidate\'s name is  |           |
|   | added to the list of C.A.S.E. authorized auditors. A |           |
|   | Level III Certification of Designation and a wallet  |           |
|   | size identification card are sent to the member.     |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 2G(1)(2)                                   |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 26\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s auditor candidates if rejected, the member |           |
|   | is given the reasons why, by the C.A.S.E. Audit and  |           |
|   | Compliance Committee Chair.                          |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 2G(1)(2)                                   |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 27\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s C.A.S.E. representative must submit a      |           |
|   | written request to the Audit and Compliance          |           |
|   | Committee Chair for each Level IV candidate. The     |           |
|   | request must be submitted sufficiently in advance    |           |
|   | (approximately 30 days or more) of a semi-annual     |           |
|   | C.A.S.E. meeting for the Chair to review the         |           |
|   | applicant\'s qualifications.                         |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 4A                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 28\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s C.A.S.E. representative must submit a      |           |
|   | written request to the C.A.S.E. Audit and Compliance |           |
|   | Committee Chair for each Level IV candidate, The     |           |
|   | request shall: 1) Verify that the applicant meets    |           |
|   | the requirements of the training & qualification     |           |
|   | requirements section of this publication. 2)         |           |
|   | Describe how the requirements are met. 3) Include    |           |
|   | supporting data requested. 4) List the six vendor    |           |
|   | audits conducted within the last six months. Submit  |           |
|   | written analysis of check-ride conducted with the    |           |
|   | level IV Evaluator. (Ref. C.A.S.E. Certificate       |           |
|   | Holder Section, Policies & Procedures Manual Section |           |
|   | 2-3-1, item 6.D.5)                                   |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 4B(1)(2)(3)(4)(5)                          |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 29\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s Level IV Evaluators candidate, have to be  |           |
|   | authorized to evaluate against only the standards    |           |
|   | for which they themselves are authorized to audit.   |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 4C                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 30\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s Level IV Evaluators candidate does not     |           |
|   | meet the requirements, the C.A.S.E. Audit and        |           |
|   | Compliance Committee Chair shall send a letter of    |           |
|   | rejection and explanation to the candidate\'s        |           |
|   | C.A.S.E. representative.                             |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 4E                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 31\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s Level IV Evaluators candidate meets the    |           |
|   | requirements, the C.A.S.E. Audit and Compliance      |           |
|   | Committee Chair shall send a letter to the           |           |
|   | candidate\'s C.A.S.E. representative accepting the   |           |
|   | application and inviting the candidate to a panel    |           |
|   | interview at the next C.A.S.E. semi-annual meeting.  |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 4F                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 32\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s Level IV Evaluators candidate shall be     |           |
|   | notified immediately of the membership\'s decision   |           |
|   | to accept or reject the applicant as a C.A.S.E.      |           |
|   | Level IV Evaluator.                                  |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 4K                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 33\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s Level IV Evaluators candidate shall issue  |           |
|   | a Certificate of Designation to each successful      |           |
|   | candidate as soon as practical by C.A.S.E. The Audit |           |
|   | and Compliance Committee chair.                      |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 4L                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 34\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s. C.A.S.E. authorized auditors and          |           |
|   | evaluators must continue to function as active       |           |
|   | C.A.S.E. auditors to retain C.A.S.E. authorization.  |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 5A                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 35\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s C.A.S.E. representative for each company   |           |
|   | shall annually provide the Audit & Compliance        |           |
|   | Committee chair with a written statement certifying  |           |
|   | that each of its auditors has complied with the      |           |
|   | minimum requirements for retaining their C.A.S.E.    |           |
|   | Level III or Level IV authorization.                 |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 5A                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 36\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s statement for retaining their C.A.S.E.     |           |
|   | Level III or Level IV authorization not provided or  |           |
|   | the auditor/evaluator fails to meet the minimum      |           |
|   | requirements, the auditor/evaluator is deleted from  |           |
|   | the C.A.S.E. authorized auditor roster.              |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 5A                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 37\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s level III Auditors and Level IV Evaluators |           |
|   | qualified to the 1-A Standard must attend the 1-A    |           |
|   | Standard training class every two years, not to      |           |
|   | exceed the next training class following their       |           |
|   | check-ride.                                          |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 5B                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 38\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s level III Auditors and Level IV Evaluators |           |
|   | must attend the 1-A Standard training class every    |           |
|   | two years, Non-compliance will result in suspension  |           |
|   | of an auditor\'s certificate.                        |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 5B                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 39\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s level III Auditors and Level IV Evaluators |           |
|   | is expected to provide issues arising from their     |           |
|   | audit experiences to the Training committee for      |           |
|   | trend analysis and curriculum consideration.         |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 5B                                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 40\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s level III Auditors to retain Level III     |           |
|   | authorization an auditor must conduct six audits to  |           |
|   | the applicable C.A.S.E. standard within the past 12  |           |
|   | months.                                              |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 5C (1)(2) Note (1)&(2)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 41\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s level III Auditors to retain Level III     |           |
|   | authorization an auditor must successfully pass a    |           |
|   | check-ride with any appropriate Level IV Evaluator   |           |
|   | every two years.                                     |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 5C (1)(2) Note (1)&(2)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 42\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s level III Auditors required audits must    |           |
|   | cover all parts of the C.A.S.E. audit specification  |           |
|   | but need not result in adding or updating a vendor   |           |
|   | in the C.A.S.E. Register. If the vendor fails the    |           |
|   | audit, it can still be counted as one of the         |           |
|   | required audits.                                     |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39)Section 2-3-1   |           |
|   | Paragraph 5C (1)(2) Note (1)&(2)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 43\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s level III Auditors required audits,        |           |
|   | conducted to the C.A.S.E. standard, whether assigned |           |
|   | by the C.A.S.E. audit allocation program or not,     |           |
|   | should be considered for addition to or update of    |           |
|   | the Register.                                        |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 5C (1)(2) Note (1)&(2)                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 44\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s level IV Auditors to retain Level IV       |           |
|   | authorization an auditor must conduct six audits to  |           |
|   | the appropriate C.A.S.E. standard within the past 12 |           |
|   | months.                                              |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 5D(1)(2) & Note                            |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 45\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s level IV Auditors to retain Level IV       |           |
|   | authorization an auditor must successfully pass a    |           |
|   | check-ride for the appropriate C.A.S.E. standard     |           |
|   | with a Level IV Evaluator from another member every  |           |
|   | two years.                                           |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 5D(1)(2) & Note                            |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 46\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s level IV Auditors check-ride, the two year |           |
|   | period is measured from the date of the last         |           |
|   | check-ride, not from the date accepted as a Level IV |           |
|   | Evaluator.                                           |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 5D(1)(2) & Note                            |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 47\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding that to       |           |
|   | regain C.A.S.E. authorization that was lost because  |           |
|   | the Certificate Holder\'s C.A.S.E. representative    |           |
|   | failed to file the annual certification statement    |           |
|   | certifying that each of its auditors has complied    |           |
|   | with the minimum requirements.                       |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 5E(1)(2)                                   |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 48\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding that to       |           |
|   | regain C.A.S.E. authorization that was lost because  |           |
|   | the Certificate Holder\'s auditor/evaluator did not  |           |
|   | complete the required number of audits in the        |           |
|   | specified time limit.                                |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 5E(1)(2)                                   |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 49\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding a Certificate |           |
|   | Holder\'s C.A.S.E. representative must re-submit the |           |
|   | auditor\'s name, requesting that authorization be    |           |
|   | restored.                                            |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 5E(1)(2)                                   |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 50\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding that the      |           |
|   | Certificate Holder\'s level III Auditors and Level   |           |
|   | IV Evaluators must be re-authorized per the standard |           |
|   | authorization procedure.                             |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 5E(1)(2)                                   |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 51\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding that the      |           |
|   | C.A.S.E. Audit & Compliance Chair may waive the      |           |
|   | documentation review and/or check-ride if the        |           |
|   | Certificate Holder\'s level III Auditors and Level   |           |
|   | IV Evaluators applicant\'s skill level is still      |           |
|   | adequate to accomplish an acceptable C.A.S.E. audit. |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 5E(1)(2)                                   |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 52\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s auditor training qualification |           |
|   | program is used to provide goals for tentative Level |           |
|   | III applicants program.                              |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6                                          |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 53\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s auditor training timeline to   |           |
|   | obtain a Level I or II status rests with each        |           |
|   | carrier\'s internal program.                         |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6                                          |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 54\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level I auditor training       |           |
|   | program shall provide auditing techniques and        |           |
|   | professional behavior.                               |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6A(1)(2)(3)(4) (5)(6)(7)                   |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 55\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level I auditor training       |           |
|   | program shall provide basic people and interviewing  |           |
|   | skills.                                              |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6A(1)(2)(3)(4)(5)(6)(7)                    |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 56\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level I auditor training       |           |
|   | program shall provide technical writing skill.       |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6A(1)(2)(3)(4)(5)(6)(7)                    |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 57\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level I auditor training       |           |
|   | program shall provide introduction to the CFRs       |           |
|   | relative to vendor surveillance.                     |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6A(1)(2)(3)(4)(5)(6)(7)                    |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 58\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level I auditor training       |           |
|   | program shall provide CAS/Surveillance program       |           |
|   | orientation.                                         |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6A(1)(2)(3)(4)(5)(6)(7)                    |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 59\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level I auditor training       |           |
|   | program shall provide introduction to its company\'s |           |
|   | maintenance procedures manual.                       |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6A(1)(2)(3)(4)(5)(6)(7)                    |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 60\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level I auditor training       |           |
|   | program shall provide On-site audit on-the-job       |           |
|   | training.                                            |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6A(1)(2)(3)(4)(5)(6)(7)                    |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 61\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level I auditor training       |           |
|   | program for fuel auditors shall also receive         |           |
|   | training in ATA 103 & IATA fuel quality control &    |           |
|   | fueling service.                                     |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6A Fuel #1-2-3-4-5-6-7                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 62\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level I auditor training       |           |
|   | program for fuel auditors shall also receive         |           |
|   | training in API 1581 & 1542.                         |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6A Fuel #1-2-3-4-5-6-7                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 63\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level I auditor training       |           |
|   | program for fuel auditors shall also receive         |           |
|   | training in Applicable sections of NFPA 77, 407, and |           |
|   | 10.                                                  |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6A Fuel #1-2-3-4-5-6-7                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 64\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level I auditor training       |           |
|   | program for fuel auditors shall also receive         |           |
|   | training in 14 CFR part 139.321.                     |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6A Fuel #1-2-3-4-5-6-7                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 65\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level I auditor training       |           |
|   | program for fuel auditors shall also receive         |           |
|   | training in FAA AC 150/230-4.                        |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6A Fuel #1-2-3-4-5-6-7                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 66\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level I auditor training       |           |
|   | program for fuel auditors shall also receive         |           |
|   | training in the Certificate Holder\'s fuel handling  |           |
|   | quality manual.                                      |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6A Fuel #1-2-3-4-5-6-7                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 67\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level I auditor training       |           |
|   | program for fuel auditors shall also receive         |           |
|   | training in the Certificate Holder\'s aircraft       |           |
|   | specific fueling manual.                             |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6A Fuel #1-2-3-4-5-6-7                     |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 68\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s C.A.S.E. Level II auditor      |           |
|   | training program as an end result, the Level II      |           |
|   | auditor trainee has the skills to handle the entire  |           |
|   | audit process in a professional and positive manner. |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6B (1)(2)(3)(4)(5)                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 69\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s C.A.S.E. Level II auditor      |           |
|   | training program as an end result, the Level II      |           |
|   | auditor trainee has the skills to evaluate a vendor  |           |
|   | against his or her company\'s program and the        |           |
|   | appropriate sections of the CFRs.                    |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6B (1)(2)(3)(4)(5)                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 70\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s C.A.S.E. Level II auditor      |           |
|   | training program as an end result, the Level II      |           |
|   | auditor trainee has the skills to know where and     |           |
|   | when applicable, cite the vendor for non-compliance. |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6B (1)(2)(3)(4)(5)                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 71\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s C.A.S.E. Level II auditor      |           |
|   | training program as an end result, the Level II      |           |
|   | auditor trainee has the skills to explain in detail  |           |
|   | the rationalization for any finding.                 |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6B (1)(2)(3)(4)(5)                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 72\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s C.A.S.E. Level II auditor      |           |
|   | training program as an end result, the Level II      |           |
|   | auditor trainee has the skills to evaluate the       |           |
|   | vendor\'s corrective action.                         |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6B (1)(2)(3)(4)(5)                         |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 73\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level III auditor-training     |           |
|   | program for fuel auditors shall include C.A.S.E.     |           |
|   | policies and procedures.                             |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6C(1)(2{a}{b})(3)(4)(5)(6)(7)              |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 74\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level III auditor training     |           |
|   | program for fuel auditors shall include for          |           |
|   | maintenance auditor 14 CFR Parts 43, 65, 121 or 135  |           |
|   | as appropriate, and 145.                             |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph (1)(2{a}{b})(3)(4)(5)(6)(7)                |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 75\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level III auditor training     |           |
|   | program for fuel auditors shall include for fuel     |           |
|   | auditor ATA-103.                                     |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6C(1)(2{a}{b})(3)(4)(5)(6)(7)              |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 76\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level III auditor training     |           |
|   | program for fuel auditors shall include for fuel     |           |
|   | auditor API 1581.                                    |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6C(1)(2{a}{b})(3)(4)(5)(6)(7)              |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 77\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level III auditor training     |           |
|   | program for fuel auditors shall include for fuel     |           |
|   | auditor appropriate portion of NFPA 77 & 407.        |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6C(1)(2{a}{b})(3)(4)(5)(6)(7)              |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 78\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level III auditor training     |           |
|   | program for fuel auditors shall include for fuel     |           |
|   | auditor filter element cross reference and           |           |
|   | specification manuals.                               |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6C(1)(2{a}{b})(3)(4)(5)(6)(7)              |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 79\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level III auditor training     |           |
|   | program shall include Federal Aviation Act of 1958.  |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6C(1)(2{a}{b})(3)(4)(5)(6)(7)              |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 80\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level I auditor training       |           |
|   | program shall include Anti-Trust and Corporate Law.  |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6C(1)(2{a}{b})(3)(4)(5)(6)(7)              |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 81\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level III auditor training     |           |
|   | program shall include written examinations.          |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6C(1)(2{a}{b})(3)(4)(5)(6)(7)              |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 82\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level III auditor training     |           |
|   | program shall include twelve vendor facility audits  |           |
|   | conducted to the C.A.S.E. standard appropriate for   |           |
|   | the authorization sought. Six of these audits must   |           |
|   | have been completed within the past six months.      |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6C(1)(2{a}{b})(3)(4)(5)(6)(7)              |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 83\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level III auditor training     |           |
|   | program shall include evaluation check-ride          |           |
|   | conducted by Level IV Evaluator from another         |           |
|   | C.A.S.E. Certificate Holder member.                  |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6C(1)(2{a}{b})(3)(4)(5)(6)(7)              |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 84\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level IV auditor training and  |           |
|   | Qualification requirements, for Level IV the         |           |
|   | candidate must: be an authorized Level III C.A.S.E.  |           |
|   | auditor.                                             |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6D(1)(2)(3)(4)(5)(6)(7)                    |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 85\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level IV auditor training and  |           |
|   | Qualification requirements, for Level IV the         |           |
|   | candidate must: have conducted six vendor facility   |           |
|   | audits within last six months to the C.A.S.E.        |           |
|   | standard appropriate for the authorization sought.   |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6D(1)(2)(3)(4)(5)(6)(7)                    |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 86\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level IV auditor training and  |           |
|   | Qualification requirements, for Level IV the         |           |
|   | candidate must: Submit FAA violation record/history  |           |
|   | and application with training/teaching experience to |           |
|   | Audit and Compliance Committee.                      |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6D(1)(2)(3)(4)(5)(6)(7)                    |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 87\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level IV auditor training and  |           |
|   | Qualification requirements, for Level IV the         |           |
|   | candidate must: have been an active committee        |           |
|   | participant (either as a full committee member or as |           |
|   | an attendee) for at least two years. Also,           |           |
|   | participated as a C.A.S.E. trainer, either as a      |           |
|   | classroom instructor, or on-the-job trainer.         |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6D(1)(2)(3)(4)(5)(6)(7)                    |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 88\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level IV auditor training and  |           |
|   | Qualification requirements, for Level IV the         |           |
|   | candidate must: have witnessed two level III         |           |
|   | check-rides with a Level IV Evaluator. The candidate |           |
|   | will submit in writing an analysis of the check-ride |           |
|   | to the Level IV.                                     |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6D(1)(2)(3)(4)(5)(6)(7)                    |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 89\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level IV auditor training and  |           |
|   | Qualification requirements, for Level IV the         |           |
|   | candidate must: demonstrate active participation as  |           |
|   | a Level III Auditor for at least three years, or a   |           |
|   | minimum of twenty-five audits.                       |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6D(1)(2)(3)(4)(5)(6)(7)                    |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 90\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s Level IV auditor training and  |           |
|   | Qualification requirements, for Level IV the         |           |
|   | candidate must: submit to an evaluation interview by |           |
|   | sustaining members present at a C.A.S.E. semi-annual |           |
|   | meeting.                                             |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 2-3-1  |           |
|   | Paragraph 6D(1)(2)(3)(4)(5)(6)(7)                    |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
+---+------------------------------------------------------+-----------+
| 1 | Does the certificate holder\'s CASE process comply   | Yes       |
| . | with the guidance contained in the CASE Air Carrier  |           |
| 1 | Section Policies and Procedures Manual, chapter 3,   | No,       |
| 0 | section 3-1-0? **     **                             | Explain   |
| . |                                                      |           |
|   | *Related Design JTIs:*                               |           |
|   |                                                      |           |
|   | 1\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s C.A.S.E. Data Center shall     |           |
|   | keep on file all vendor/supplier information         |           |
|   | transmitted by C.A.S.E. sustaining members.          |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39), Section 3-1-0 |           |
|   | Page 1 Paragraph 1B                                  |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 2\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s C.A.S.E. Data Center shall     |           |
|   | keep on file all parts distributor information       |           |
|   | transmitted by C.A.S.E. sustaining members.          |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39), Section 3-1-0 |           |
|   | Page 1 Paragraph 1B                                  |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 3\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s C.A.S.E. Data Center shall be  |           |
|   | responsible for maintaining a Register containing    |           |
|   | names of evaluated vendors/suppliers as transmitted  |           |
|   | by C.A.S.E. sustaining members.                      |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 3-1-0  |           |
|   | Page 1 Paragraph 1C                                  |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 4\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s C.A.S.E. Data Center shall be  |           |
|   | responsible for maintaining a Register containing    |           |
|   | names of parts distributors as transmitted by        |           |
|   | C.A.S.E. sustaining members.                         |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 3-1-0  |           |
|   | Page 1 Paragraph 1C                                  |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 5\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s C.A.S.E. member who believes a |           |
|   | \"safety of flight\" issue exists must immediately   |           |
|   | involve both the vendor\'s and the member\'s FAA     |           |
|   | representative.                                      |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39), Section 3-2-0 |           |
|   | Paragraph 4A(1) Notice                               |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 6\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s C.A.S.E. member who believes a |           |
|   | \"safety of flight\" issue exists must verify that   |           |
|   | the FAA will take formal action to advise the        |           |
|   | public.                                              |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39), Section 3-2-0 |           |
|   | Paragraph 4A(1) Notice                               |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 7\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s C.A.S.E. member who believes a |           |
|   | \"safety of flight\" issue exists, with appropriate  |           |
|   | actions in place, deleting that vendor from the      |           |
|   | C.A.S.E. Register is appropriate.                    |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39), Section 3-2-0 |           |
|   | Paragraph 4A(1) Notice                               |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 8\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s C.A.S.E. member who believes a |           |
|   | \"safety of flight\" issue exists must advise the    |           |
|   | membership in the transmittal \"comments\" section   |           |
|   | that specifics may be sought through their own       |           |
|   | Principle Maintenance Inspector.                     |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39), Section 3-2-0 |           |
|   | Paragraph 4A(1) Notice                               |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 9\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder\'s are responsible for keeping    |           |
|   | their own C.A.S.E. Certificate Holder Section,       |           |
|   | Policies & Procedures Manual current.                |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 3-3-0  |           |
|   | Page 2, Paragraph 4A                                 |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 10\. Check that the Certificate Holder\'s            |           |
|   | instructions and information regarding the           |           |
|   | certificate holder must retain at least one current  |           |
|   | copy of the C.A.S.E. Certificate Holder Section,     |           |
|   | Policies & Procedures Manual for as long as they     |           |
|   | remain a member is good standing.                    |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 3-3-0  |           |
|   | Page 2, Paragraph 4B                                 |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
+---+------------------------------------------------------+-----------+
| 1 | Does the certificate holder\'s CASE process comply   | Yes       |
| . | with the guidance contained in the CASE Air Carrier  |           |
| 1 | Section Policies and Procedures Manual, chapter 4,   | No,       |
| 1 | section 4-1-0? **     **                             | Explain   |
| . |                                                      |           |
|   | *Related Design JTIs:*                               |           |
|   |                                                      |           |
|   | 1\. Check that the Certificate Holder\'s             |           |
|   | instructions and information regarding the           |           |
|   | Certificate Holder shall retain the audit report in  |           |
|   | their files until it is superseded by another        |           |
|   | C.A.S.E. audit.                                      |           |
|   |                                                      |           |
|   | *Sources:* C.A.S.E. Certificate Holder Section,      |           |
|   | Policies & Procedures Manual (REV 39) Section 4-1-0  |           |
|   | Page 1 Paragraph 4B                                  |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
+---+------------------------------------------------------+-----------+
| 1 | Does the certificate holder s manual contain the     | Yes       |
| . | required references to, or excerpts from, the        |           |
| 1 | operations specifications listed in the Supplemental | No,       |
| 2 | Information section of this safety attribute         | Explain   |
| . | inspection (SAI)? **     **                          |           |
|   |                                                      |           |
|   | SRRs: 119.43(b); D.090                               |           |
+---+------------------------------------------------------+-----------+
| 1 | If the certificate holder s manual includes excerpts | Yes       |
| . | from its operations specifications, are the excerpts |           |
| 1 | clearly identified as part of the operations         | No,       |
| 3 | specifications? **     **                            | Explain   |
| . |                                                      |           |
|   | SRRs: 119.43(b)(1)                                   | Not       |
|   |                                                      | A         |
|   |                                                      | pplicable |
+---+------------------------------------------------------+-----------+
| 1 | Does the certificate holder s manual require         | Yes       |
| . | compliance with operations specifications listed in  |           |
| 1 | the Supplemental Information section of this safety  | No,       |
| 4 | attribute inspection (SAI)? **     **                | Explain   |
| . |                                                      |           |
|   | SRRs: 119.43(b)(2); D.090                            |           |
+---+------------------------------------------------------+-----------+
| 1 | Does the certificate holder s manual contain a       | Yes       |
| . | method for keeping all persons engaged in its        |           |
| 1 | operations informed of the provisions of the         | No,       |
| 5 | operations specifications listed in the Supplemental | Explain   |
| . | Information section of this safety attribute         |           |
|   | inspection (SAI)? **     **                          |           |
|   |                                                      |           |
|   | SRRs: 119.43(c); D.090                               |           |
+---+------------------------------------------------------+-----------+
| 2 | Does the certificate holder\'s manual contain        | Yes       |
| \ | general policies for the CASE process that comply    |           |
| . | with the SRRs? **     **                             | No,       |
|   |                                                      | Explain   |
|   | SRRs: 119.5(f)(2); 121.135(b)(1); 121.363(b);        |           |
|   | 121.373(a); 121.363(a); D.090; D.090(b)              |           |
|   |                                                      |           |
|   | *Related Design JTIs:*                               |           |
|   |                                                      |           |
|   | 1\. Check that the certificate holder\'s manual      |           |
|   | contain a general policy that Operations             |           |
|   | Specifications Paragraph D090 authorizes the air     |           |
|   | carrier to utilize Coordinating Agencies for         |           |
|   | Suppliers Evaluation (C.A.S.E.) as a means of        |           |
|   | qualifying a vendor for service, parts, and          |           |
|   | materials to satisfy the requirements of 14 CFR      |           |
|   | Section 121.373.                                     |           |
|   |                                                      |           |
|   | *Sources:* 121.135(b)(1); D.090                      |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 2\. Check that the Certificate Holder\'s manual      |           |
|   | contains a general policy that their operations will |           |
|   | comply with the appropriate authorizations,          |           |
|   | limitations, and procedures specified in the         |           |
|   | operations specifications for each kind of           |           |
|   | operation.                                           |           |
|   |                                                      |           |
|   | *Sources:* 119.5(f)(2); 121.135(b)(1)                |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 3\. Check that the Certificate Holder\'s manual      |           |
|   | contains a general policy to make arrangements with  |           |
|   | another person for the performance of any            |           |
|   | maintenance, preventive maintenance, or alterations. |           |
|   | However, this does not relieve the Certificate       |           |
|   | Holder of the responsibility specified in of 14 CFR  |           |
|   | part 121 subpart L, 121.363 (a).                     |           |
|   |                                                      |           |
|   | *Sources:* 121.135(b)(1); 121.363(b)                 |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 4\. Check that the Certificate Holder\'s manual      |           |
|   | contains a general policy that the C.A.S.E. program  |           |
|   | includes continuing analysis and surveillance of the |           |
|   | performance and effectiveness of its inspection      |           |
|   | program and the program covering other maintenance,  |           |
|   | preventive maintenance, and alterations.             |           |
|   |                                                      |           |
|   | *Sources:* 121.135(b)(1); 121.373(a)                 |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
|   |                                                      |           |
|   | 5\. Check that the Certificate Holder\'s manual      |           |
|   | contains a general policy the C.A.S.E. program       |           |
|   | includes the correction of any deficiency in the     |           |
|   | inspection program and the program covering other    |           |
|   | maintenance, preventive maintenance, and             |           |
|   | alterations, regardless of whether those programs    |           |
|   | are carried out by the Certificate Holder or by      |           |
|   | another person.                                      |           |
|   |                                                      |           |
|   | *Sources:* 121.135(b)(1); 121.373(a)                 |           |
|   |                                                      |           |
|   | *Interfaces:* 1.3.1(AW); 1.3.2(AW); 1.3.11(AW);      |           |
|   | 1.3.15(AW)                                           |           |
+---+------------------------------------------------------+-----------+
| 3 | Does the certificate holder\'s manual reference the  | Yes       |
| \ | appropriate Federal Aviation Regulations listed in   |           |
| . | the Supplemental Information section of this safety  | No,       |
|   | attribute inspection (SAI)? **     **                | Explain   |
|   |                                                      |           |
|   | SRRs: 121.135(b)(3)                                  |           |
+---+------------------------------------------------------+-----------+
| 4 | Does the certificate holder\'s manual contain the    | Yes       |
| \ | duties and responsibilities for personnel who will   |           |
| . | accomplish the CASE process? **     **               | No,       |
|   |                                                      | Explain   |
|   | SRRs: 121.135(b)(2)                                  |           |
+---+------------------------------------------------------+-----------+
| 5 | Does the certificate holder\'s manual include        | Yes       |
| \ | instructions and information for personnel to meet   |           |
| . | the requirements of the CASE process? **     **      | No,       |
|   |                                                      | Explain   |
|   | SRRs: 121.135(a)(1)                                  |           |
+---+------------------------------------------------------+-----------+

+---+-------------------------------------------------------------------+
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| - |                                                                   |
| D |                                                                   |
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| * |                                                                   |
+---+-------------------------------------------------------------------+
| 1 | No procedures, policy, instructions or information specified.     |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 2 | Procedures or instructions and information do not identify (who,  |
| \ | what, when, where, how).                                          |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 3 | Procedures, policy or instructions and information do not comply  |
| \ | with CFR.                                                         |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 4 | Procedures, policy or instructions and information do not comply  |
| \ | with FAA policy and guidance.                                     |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 5 | Procedures, policy or instructions and information do not comply  |
| \ | with other documentation (e.g., manufacturer\'s data, Jeppesen\'s |
| . | Charts, etc.).                                                    |
+---+-------------------------------------------------------------------+
| 6 | Procedures, policy or instructions and information unclear or     |
| \ | incomplete.                                                       |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 7 | Documentation quality (e.g., unreadable or illegible).            |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 8 | Procedures, policy or instructions and information inconsistent   |
| \ | across Certificate Holder manuals (FOM - Flight Operations Manual |
| . | to GMM - General Maintenance Manual, etc.).                       |
+---+-------------------------------------------------------------------+
| 9 | Procedures, policy or instructions and information inconsistent   |
| \ | across media (e.g., paper, microfiche, electronic).               |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 1 | Resource requirements incomplete (personnel, facilities,          |
| 0 | equipment, technical data).                                       |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 1 | Other.                                                            |
| 1 |                                                                   |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+

+---+-------------------------------------------------------------------+
| * |                                                                   |
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+---+-------------------------------------------------------------------+
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+---+-------------------------------------------------------------------+
| # |                                                                   |
| # |                                                                   |
|   |                                                                   |
| T |                                                                   |
| a |                                                                   |
| s |                                                                   |
| k |                                                                   |
| s |                                                                   |
+---+-------------------------------------------------------------------+
|   | To meet this objective, the inspector must accomplish the         |
|   | following tasks:                                                  |
+---+-------------------------------------------------------------------+
| 1 | Review the control questions below.                               |
+---+-------------------------------------------------------------------+
| 2 | Review the certificate holder\'s policies, procedures,            |
|   | instructions, and information to gain an understanding of the     |
|   | controls that it has documented.                                  |
+---+-------------------------------------------------------------------+

+---+------------------------------------------------------+-----------+
| # |                                                      |           |
| # |                                                      |           |
|   |                                                      |           |
| Q |                                                      |           |
| u |                                                      |           |
| e |                                                      |           |
| s |                                                      |           |
| t |                                                      |           |
| i |                                                      |           |
| o |                                                      |           |
| n |                                                      |           |
| s |                                                      |           |
+---+------------------------------------------------------+-----------+
|   | To meet this objective, the inspector must answer    |           |
|   | the following questions:                             |           |
+---+------------------------------------------------------+-----------+
| 1 | Are the following controls built into the            |           |
| \ | Coordinating Agencies for Suppliers Evaluation       |           |
| . | (CASE) process:                                      |           |
+---+------------------------------------------------------+-----------+
| 1 | Is there a control or controls in place to ensure    | Yes       |
| . | that the certificate holder maintains an active      |           |
| 1 | sustaining membership in CASE? **     **             | No,       |
|   |                                                      | Explain   |
+---+------------------------------------------------------+-----------+
| 1 | Is there a control or controls in place to ensure    | Yes       |
| . | that the certificate holder conducts CASE activities |           |
| 2 | in accordance with the most current revision of the  | No,       |
|   | CASE Air Carrier Section Policies and Procedures     | Explain   |
|   | Manual? **     **                                    |           |
+---+------------------------------------------------------+-----------+
| 1 | Is there a control or controls in place to ensure    | Yes       |
| . | that each of the certificate holder\'s CASE auditors |           |
| 3 | meet the background and experience requirements to   | No,       |
|   | be recognized by the CASE membership? **     **      | Explain   |
+---+------------------------------------------------------+-----------+
| 1 | Is there a control or controls in place to ensure    | Yes       |
| . | that the certificate holder\'s methods for selecting |           |
| 4 | and training auditors meet the requirements outlined | No,       |
|   | in the CASE Air Carrier Section Policies and         | Explain   |
|   | Procedures Manual? **     **                         |           |
+---+------------------------------------------------------+-----------+
| 1 | Is there a control or controls in place to ensure    | Yes       |
| . | that the certificate holder\'s participation in CASE |           |
| 5 | complies with its maintenance program? **     **     | No,       |
|   |                                                      | Explain   |
+---+------------------------------------------------------+-----------+
| 1 | Is there a control or controls in place to ensure    | Yes       |
| . | that the certificate holder\'s CASE auditors qualify |           |
| 6 | and meet the requirements to maintain their          | No,       |
|   | authorization as outlined in the CASE Air Carrier    | Explain   |
|   | Section Policies and Procedures Manual? **     **    |           |
+---+------------------------------------------------------+-----------+
| 1 | Is there a control or controls in place to ensure    | Yes       |
| . | that each of the certificate holder\'s CASE auditors |           |
| 7 | pass a written test, an oral examination, and a      | No,       |
|   | practical demonstration of their skills and          | Explain   |
|   | capabilities as an auditor? **     **                |           |
+---+------------------------------------------------------+-----------+
| 1 | Is there a control or controls in place to ensure    | Yes       |
| . | that only auditors authorized through the CASE Air   |           |
| 8 | Carrier Auditor Authorization process are allowed to | No,       |
|   | submit supplier/vendor change information to the     | Explain   |
|   | CASE database? **     **                             |           |
+---+------------------------------------------------------+-----------+
| 1 | Is there a control or controls in place to ensure    | Yes       |
| . | that the certificate holder\'s CASE audits are       |           |
| 9 | properly conducted at the appropriate intervals?     | No,       |
|   | **     **                                            | Explain   |
+---+------------------------------------------------------+-----------+
| 2 | Does the certificate holder have a documented method | Yes       |
| \ | for assessing the impact of any changes made to the  |           |
| . | controls in the CASE process? **     **              | No,       |
|   |                                                      | Explain   |
+---+------------------------------------------------------+-----------+

+---+-------------------------------------------------------------------+
| # |                                                                   |
| # |                                                                   |
| # |                                                                   |
| # |                                                                   |
|   |                                                                   |
| S |                                                                   |
| A |                                                                   |
| I |                                                                   |
|   |                                                                   |
| S |                                                                   |
| e |                                                                   |
| c |                                                                   |
| t |                                                                   |
| i |                                                                   |
| o |                                                                   |
| n |                                                                   |
|   |                                                                   |
| 2 |                                                                   |
|   |                                                                   |
| - |                                                                   |
|   |                                                                   |
| C |                                                                   |
| o |                                                                   |
| n |                                                                   |
| t |                                                                   |
| r |                                                                   |
| o |                                                                   |
| l |                                                                   |
| s |                                                                   |
|   |                                                                   |
| A |                                                                   |
| t |                                                                   |
| t |                                                                   |
| r |                                                                   |
| i |                                                                   |
| b |                                                                   |
| u |                                                                   |
| t |                                                                   |
| e |                                                                   |
|   |                                                                   |
| * |                                                                   |
| * |                                                                   |
| D |                                                                   |
| r |                                                                   |
| o |                                                                   |
| p |                                                                   |
| - |                                                                   |
| D |                                                                   |
| o |                                                                   |
| w |                                                                   |
| n |                                                                   |
| M |                                                                   |
| e |                                                                   |
| n |                                                                   |
| u |                                                                   |
| * |                                                                   |
| * |                                                                   |
+---+-------------------------------------------------------------------+
| 1 | No controls specified.                                            |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 2 | Documentation for the controls do not identify (who, what, when,  |
| \ | where, how).                                                      |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 3 | Controls incomplete.                                              |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 4 | Controls could be circumvented.                                   |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 5 | Controls could be unenforceable.                                  |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 6 | Resource requirements incomplete (personnel, facilities,          |
| \ | equipment, technical data).                                       |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 7 | Other.                                                            |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+

+---+-------------------------------------------------------------------+
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+---+-------------------------------------------------------------------+
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| n |                                                                   |
| c |                                                                   |
| l |                                                                   |
| u |                                                                   |
| d |                                                                   |
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| t |                                                                   |
| h |                                                                   |
| e |                                                                   |
| s |                                                                   |
| p |                                                                   |
| e |                                                                   |
| c |                                                                   |
| i |                                                                   |
| f |                                                                   |
| i |                                                                   |
| c |                                                                   |
| p |                                                                   |
| r |                                                                   |
| o |                                                                   |
| c |                                                                   |
| e |                                                                   |
| s |                                                                   |
| s |                                                                   |
| m |                                                                   |
| e |                                                                   |
| a |                                                                   |
| s |                                                                   |
| u |                                                                   |
| r |                                                                   |
| e |                                                                   |
| m |                                                                   |
| e |                                                                   |
| n |                                                                   |
| t |                                                                   |
| s |                                                                   |
| f |                                                                   |
| o |                                                                   |
| r |                                                                   |
| e |                                                                   |
| a |                                                                   |
| c |                                                                   |
| h |                                                                   |
| e |                                                                   |
| l |                                                                   |
| e |                                                                   |
| m |                                                                   |
| e |                                                                   |
| n |                                                                   |
| t |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| # |                                                                   |
| # |                                                                   |
|   |                                                                   |
| T |                                                                   |
| a |                                                                   |
| s |                                                                   |
| k |                                                                   |
| s |                                                                   |
+---+-------------------------------------------------------------------+
|   | To meet this objective, the inspector must accomplish the         |
|   | following tasks:                                                  |
+---+-------------------------------------------------------------------+
| 1 | Review the process measurement questions below.                   |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 2 | Review the certificate holder\'s policies, procedures,            |
| \ | instructions, and information to gain an understanding of the     |
| . | process measurements that it has documented.                      |
+---+-------------------------------------------------------------------+

+---+------------------------------------------------------+-----------+
| # |                                                      |           |
| # |                                                      |           |
|   |                                                      |           |
| Q |                                                      |           |
| u |                                                      |           |
| e |                                                      |           |
| s |                                                      |           |
| t |                                                      |           |
| i |                                                      |           |
| o |                                                      |           |
| n |                                                      |           |
| s |                                                      |           |
+---+------------------------------------------------------+-----------+
|   | To meet this objective, the inspector must answer    |           |
|   | the following questions:                             |           |
+---+------------------------------------------------------+-----------+
| 1 | Does the certificate holder\'s Coordinating Agencies |           |
| \ | for Suppliers Evaluation (CASE) process include the  |           |
| . | following process measurements:                      |           |
+---+------------------------------------------------------+-----------+
| 1 | Is there a process measurement or process            | Yes       |
| . | measurements that would identify if the certificate  |           |
| 1 | holder failed to maintain an active sustaining       | No,       |
| . | membership in CASE? **     **                        | Explain   |
+---+------------------------------------------------------+-----------+
| 1 | Is there a process measurement or process            | Yes       |
| . | measurements that would identify if the certificate  |           |
| 2 | holder failed to conduct CASE activities in          | No,       |
| . | accordance with the most current revision of the     | Explain   |
|   | CASE Air Carrier Section Policies and Procedures     |           |
|   | Manual? **     **                                    |           |
+---+------------------------------------------------------+-----------+
| 1 | Is there a process measurement or process            | Yes       |
| . | measurements that would identify if a certificate    |           |
| 3 | holder\'s CASE auditor failed to meet the background | No,       |
| . | and experience requirements to be recognized by the  | Explain   |
|   | CASE membership? **     **                           |           |
+---+------------------------------------------------------+-----------+
| 1 | Is there a process measurement or process            | Yes       |
| . | measurements that would identify if the certificate  |           |
| 4 | holder\'s methods for selecting and training         | No,       |
| . | auditors failed to meet the requirements outlined in | Explain   |
|   | the CASE Air Carrier Section Policies and Procedures |           |
|   | Manual? **     **                                    |           |
+---+------------------------------------------------------+-----------+
| 1 | Is there a process measurement or process            | Yes       |
| . | measurements that would identify if the certificate  |           |
| 5 | holder\'s participation in CASE failed to comply     | No,       |
| . | with its maintenance program? **     **              | Explain   |
+---+------------------------------------------------------+-----------+
| 1 | Is there a process measurement or process            | Yes       |
| . | measurements that would identify if the certificate  |           |
| 6 | holder\'s CASE auditors failed to qualify and meet   | No,       |
| . | the requirements to maintain their authorization as  | Explain   |
|   | outlined in the CASE Air Carrier Section Policies    |           |
|   | and Procedures Manual? **     **                     |           |
+---+------------------------------------------------------+-----------+
| 1 | Is there a process measurement or process            | Yes       |
| . | measurements that would identify if a certificate    |           |
| 7 | holder\'s CASE auditor failed to pass a written      | No,       |
| . | test, and/or an oral examination, and/or a practical | Explain   |
|   | demonstration of his/her skills and capabilities as  |           |
|   | an auditor? **     **                                |           |
+---+------------------------------------------------------+-----------+
| 1 | Is there a process measurement or process            | Yes       |
| . | measurements that would identify if personnel other  |           |
| 8 | than auditors authorized through the CASE Air        | No,       |
| . | Carrier Auditor Authorization process submitted      | Explain   |
|   | supplier/vendor change information to the CASE       |           |
|   | database? **     **                                  |           |
+---+------------------------------------------------------+-----------+
| 1 | Is there a process measurement or process            | Yes       |
| . | measurements that would identify if the certificate  |           |
| 9 | holder\'s CASE audits were not properly conducted at | No,       |
| . | the appropriate intervals? **     **                 | Explain   |
+---+------------------------------------------------------+-----------+
| 2 | Is there a process measurement or process            | Yes       |
| \ | measurements that would reveal if the certificate    |           |
| . | holder s policy, procedures, instructions, and       | No,       |
|   | information were not followed? **     **             | Explain   |
+---+------------------------------------------------------+-----------+
| 3 | Does the certificate holder document its process     | Yes       |
| \ | measurement results? **     **                       |           |
| . |                                                      | No,       |
|   |                                                      | Explain   |
+---+------------------------------------------------------+-----------+
| 4 | Does the certificate holder use its process          | Yes       |
| \ | measurement results to improve its programs?         |           |
| . | **     **                                            | No,       |
|   |                                                      | Explain   |
+---+------------------------------------------------------+-----------+
| 5 | Does the organization that conducts the process      | Yes       |
| \ | measurements have direct access to the person with   |           |
| . | responsibility for the CASE process? **     **       | No,       |
|   |                                                      | Explain   |
+---+------------------------------------------------------+-----------+

+---+-------------------------------------------------------------------+
| # |                                                                   |
| # |                                                                   |
| # |                                                                   |
| # |                                                                   |
|   |                                                                   |
| S |                                                                   |
| A |                                                                   |
| I |                                                                   |
|   |                                                                   |
| S |                                                                   |
| e |                                                                   |
| c |                                                                   |
| t |                                                                   |
| i |                                                                   |
| o |                                                                   |
| n |                                                                   |
|   |                                                                   |
| 3 |                                                                   |
|   |                                                                   |
| - |                                                                   |
|   |                                                                   |
| P |                                                                   |
| r |                                                                   |
| o |                                                                   |
| c |                                                                   |
| e |                                                                   |
| s |                                                                   |
| s |                                                                   |
|   |                                                                   |
| M |                                                                   |
| e |                                                                   |
| a |                                                                   |
| s |                                                                   |
| u |                                                                   |
| r |                                                                   |
| e |                                                                   |
| m |                                                                   |
| e |                                                                   |
| n |                                                                   |
| t |                                                                   |
|   |                                                                   |
| A |                                                                   |
| t |                                                                   |
| t |                                                                   |
| r |                                                                   |
| i |                                                                   |
| b |                                                                   |
| u |                                                                   |
| t |                                                                   |
| e |                                                                   |
|   |                                                                   |
| * |                                                                   |
| * |                                                                   |
| D |                                                                   |
| r |                                                                   |
| o |                                                                   |
| p |                                                                   |
| - |                                                                   |
| D |                                                                   |
| o |                                                                   |
| w |                                                                   |
| n |                                                                   |
| M |                                                                   |
| e |                                                                   |
| n |                                                                   |
| u |                                                                   |
| * |                                                                   |
| * |                                                                   |
+---+-------------------------------------------------------------------+
| 1 | No process measurements specified.                                |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 2 | Documentation for the process measurements does not identify      |
| \ | (who, what, when, where, how).                                    |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 3 | Inability to identify negative findings.                          |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 4 | No provisions for implementing corrective actions.                |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 5 | Ineffective follow-up to determine effectiveness of corrective    |
| \ | actions.                                                          |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 6 | Resources requirements (personnel, facilities, equipment,         |
| \ | technical data).                                                  |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 7 | Other.                                                            |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+

+---+-------------------------------------------------------------------+
| * |                                                                   |
| * |                                                                   |
| S |                                                                   |
| A |                                                                   |
| I |                                                                   |
| S |                                                                   |
| e |                                                                   |
| c |                                                                   |
| t |                                                                   |
| i |                                                                   |
| o |                                                                   |
| n |                                                                   |
| 4 |                                                                   |
|   |                                                                   |
| - |                                                                   |
| I |                                                                   |
| n |                                                                   |
| t |                                                                   |
| e |                                                                   |
| r |                                                                   |
| f |                                                                   |
| a |                                                                   |
| c |                                                                   |
| e |                                                                   |
| s |                                                                   |
| A |                                                                   |
| t |                                                                   |
| t |                                                                   |
| r |                                                                   |
| i |                                                                   |
| b |                                                                   |
| u |                                                                   |
| t |                                                                   |
| e |                                                                   |
| * |                                                                   |
| * |                                                                   |
+---+-------------------------------------------------------------------+
| * |                                                                   |
| * |                                                                   |
| O |                                                                   |
| b |                                                                   |
| j |                                                                   |
| e |                                                                   |
| c |                                                                   |
| t |                                                                   |
| i |                                                                   |
| v |                                                                   |
| e |                                                                   |
| : |                                                                   |
| * |                                                                   |
| * |                                                                   |
| I |                                                                   |
| n |                                                                   |
| t |                                                                   |
| e |                                                                   |
| r |                                                                   |
| f |                                                                   |
| a |                                                                   |
| c |                                                                   |
| e |                                                                   |
| s |                                                                   |
| a |                                                                   |
| r |                                                                   |
| e |                                                                   |
| u |                                                                   |
| s |                                                                   |
| e |                                                                   |
| d |                                                                   |
| b |                                                                   |
| y |                                                                   |
| t |                                                                   |
| h |                                                                   |
| e |                                                                   |
| c |                                                                   |
| e |                                                                   |
| r |                                                                   |
| t |                                                                   |
| i |                                                                   |
| f |                                                                   |
| i |                                                                   |
| c |                                                                   |
| a |                                                                   |
| t |                                                                   |
| e |                                                                   |
| h |                                                                   |
| o |                                                                   |
| l |                                                                   |
| d |                                                                   |
| e |                                                                   |
| r |                                                                   |
| t |                                                                   |
| o |                                                                   |
| i |                                                                   |
| d |                                                                   |
| e |                                                                   |
| n |                                                                   |
| t |                                                                   |
| i |                                                                   |
| f |                                                                   |
| y |                                                                   |
| a |                                                                   |
| n |                                                                   |
| d |                                                                   |
| m |                                                                   |
| a |                                                                   |
| n |                                                                   |
| a |                                                                   |
| g |                                                                   |
| e |                                                                   |
| t |                                                                   |
| h |                                                                   |
| e |                                                                   |
| i |                                                                   |
| n |                                                                   |
| t |                                                                   |
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| n |                                                                   |
| t |                                                                   |
| i |                                                                   |
| f |                                                                   |
| y |                                                                   |
| a |                                                                   |
| n |                                                                   |
| d |                                                                   |
| d |                                                                   |
| o |                                                                   |
| c |                                                                   |
| u |                                                                   |
| m |                                                                   |
| e |                                                                   |
| n |                                                                   |
| t |                                                                   |
| t |                                                                   |
| h |                                                                   |
| e |                                                                   |
|   |                                                                   |
| i |                                                                   |
| n |                                                                   |
| t |                                                                   |
| e |                                                                   |
| r |                                                                   |
| f |                                                                   |
| a |                                                                   |
| c |                                                                   |
| e |                                                                   |
| s |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| # |                                                                   |
| # |                                                                   |
|   |                                                                   |
| T |                                                                   |
| a |                                                                   |
| s |                                                                   |
| k |                                                                   |
| s |                                                                   |
+---+-------------------------------------------------------------------+
|   | To meet this objective, the inspector must accomplish the         |
|   | following tasks:                                                  |
+---+-------------------------------------------------------------------+
| 1 | Review the interfaces associated with the Coordinating Agencies   |
| \ | for Suppliers Evaluation (CASE) process that have been identified |
| . | along with the individual questions in section 1, Procedures, of  |
|   | this DCT.                                                         |
+---+-------------------------------------------------------------------+
| 2 | Review the certificate holder\'s policies, procedures,            |
| \ | instructions, and information to gain an understanding of the     |
| . | interfaces that it has documented.                                |
+---+-------------------------------------------------------------------+

+---+------------------------------------------------------+-----------+
| # |                                                      |           |
| # |                                                      |           |
|   |                                                      |           |
| Q |                                                      |           |
| u |                                                      |           |
| e |                                                      |           |
| s |                                                      |           |
| t |                                                      |           |
| i |                                                      |           |
| o |                                                      |           |
| n |                                                      |           |
| s |                                                      |           |
+---+------------------------------------------------------+-----------+
|   | To meet this objective, the inspector must answer    |           |
|   | the following questions:                             |           |
+---+------------------------------------------------------+-----------+
|   | NOTE: The design job task items (JTIs) displayed     |           |
|   | with the questions in section 1, Procedures, of this |           |
|   | DCT identify potential interfaces (by element        |           |
|   | number) for this element.                            |           |
+---+------------------------------------------------------+-----------+
| 1 | Does the certificate holder\'s system properly       | Yes       |
| \ | address the interfaces that are identified along     |           |
| . | with the questions in section 1, Procedures, of this | No,       |
|   | DCT? **     **                                       | Explain   |
+---+------------------------------------------------------+-----------+
| 2 | Does the certificate holder document a method for    | Yes       |
| \ | assessing the impact of any changes to the           |           |
| . | associated interfaces within the CASE process?       | No,       |
|   | **     **                                            | Explain   |
+---+------------------------------------------------------+-----------+

+---+-------------------------------------------------------------------+
| # |                                                                   |
| # |                                                                   |
| # |                                                                   |
| # |                                                                   |
|   |                                                                   |
| S |                                                                   |
| A |                                                                   |
| I |                                                                   |
|   |                                                                   |
| S |                                                                   |
| e |                                                                   |
| c |                                                                   |
| t |                                                                   |
| i |                                                                   |
| o |                                                                   |
| n |                                                                   |
|   |                                                                   |
| 4 |                                                                   |
|   |                                                                   |
| - |                                                                   |
|   |                                                                   |
| I |                                                                   |
| n |                                                                   |
| t |                                                                   |
| e |                                                                   |
| r |                                                                   |
| f |                                                                   |
| a |                                                                   |
| c |                                                                   |
| e |                                                                   |
| s |                                                                   |
|   |                                                                   |
| A |                                                                   |
| t |                                                                   |
| t |                                                                   |
| r |                                                                   |
| i |                                                                   |
| b |                                                                   |
| u |                                                                   |
| t |                                                                   |
| e |                                                                   |
|   |                                                                   |
| * |                                                                   |
| * |                                                                   |
| D |                                                                   |
| r |                                                                   |
| o |                                                                   |
| p |                                                                   |
| - |                                                                   |
| D |                                                                   |
| o |                                                                   |
| w |                                                                   |
| n |                                                                   |
| M |                                                                   |
| e |                                                                   |
| n |                                                                   |
| u |                                                                   |
| * |                                                                   |
| * |                                                                   |
+---+-------------------------------------------------------------------+
| 1 | No interfaces specified.                                          |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 2 | The following interfaces not identified within the Certificate    |
| \ | Holder\'s manual system:                                          |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 3 | Interfaces listed are inaccurate.                                 |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 4 | Specific location of interfaces not identified within the manual  |
| \ | system.                                                           |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 5 | Other                                                             |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+

+---+-------------------------------------------------------------------+
| * |                                                                   |
| * |                                                                   |
| S |                                                                   |
| A |                                                                   |
| I |                                                                   |
| S |                                                                   |
| e |                                                                   |
| c |                                                                   |
| t |                                                                   |
| i |                                                                   |
| o |                                                                   |
| n |                                                                   |
| 5 |                                                                   |
|   |                                                                   |
| - |                                                                   |
| M |                                                                   |
| a |                                                                   |
| n |                                                                   |
| a |                                                                   |
| g |                                                                   |
| e |                                                                   |
| m |                                                                   |
| e |                                                                   |
| n |                                                                   |
| t |                                                                   |
| R |                                                                   |
| e |                                                                   |
| s |                                                                   |
| p |                                                                   |
| o |                                                                   |
| n |                                                                   |
| s |                                                                   |
| i |                                                                   |
| b |                                                                   |
| i |                                                                   |
| l |                                                                   |
| i |                                                                   |
| t |                                                                   |
| y |                                                                   |
| & |                                                                   |
| A |                                                                   |
| u |                                                                   |
| t |                                                                   |
| h |                                                                   |
| o |                                                                   |
| r |                                                                   |
| i |                                                                   |
| t |                                                                   |
| y |                                                                   |
| A |                                                                   |
| t |                                                                   |
| t |                                                                   |
| r |                                                                   |
| i |                                                                   |
| b |                                                                   |
| u |                                                                   |
| t |                                                                   |
| e |                                                                   |
| s |                                                                   |
| * |                                                                   |
| * |                                                                   |
+---+-------------------------------------------------------------------+
| * |                                                                   |
| * |                                                                   |
| O |                                                                   |
| b |                                                                   |
| j |                                                                   |
| e |                                                                   |
| c |                                                                   |
| t |                                                                   |
| i |                                                                   |
| v |                                                                   |
| e |                                                                   |
| : |                                                                   |
| * |                                                                   |
| * |                                                                   |
| T |                                                                   |
| h |                                                                   |
| e |                                                                   |
| q |                                                                   |
| u |                                                                   |
| e |                                                                   |
| s |                                                                   |
| t |                                                                   |
| i |                                                                   |
| o |                                                                   |
| n |                                                                   |
| s |                                                                   |
| i |                                                                   |
| n |                                                                   |
| t |                                                                   |
| h |                                                                   |
| i |                                                                   |
| s |                                                                   |
| s |                                                                   |
| e |                                                                   |
| c |                                                                   |
| t |                                                                   |
| i |                                                                   |
| o |                                                                   |
| n |                                                                   |
| o |                                                                   |
| f |                                                                   |
| t |                                                                   |
| h |                                                                   |
| e |                                                                   |
| D |                                                                   |
| C |                                                                   |
| T |                                                                   |
| a |                                                                   |
| d |                                                                   |
| d |                                                                   |
| r |                                                                   |
| e |                                                                   |
| s |                                                                   |
| s |                                                                   |
| t |                                                                   |
| h |                                                                   |
| e |                                                                   |
| r |                                                                   |
| e |                                                                   |
| s |                                                                   |
| p |                                                                   |
| o |                                                                   |
| n |                                                                   |
| s |                                                                   |
| i |                                                                   |
| b |                                                                   |
| i |                                                                   |
| l |                                                                   |
| i |                                                                   |
| t |                                                                   |
| y |                                                                   |
| a |                                                                   |
| n |                                                                   |
| d |                                                                   |
| a |                                                                   |
| u |                                                                   |
| t |                                                                   |
| h |                                                                   |
| o |                                                                   |
| r |                                                                   |
| i |                                                                   |
| t |                                                                   |
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| f |                                                                   |
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| h |                                                                   |
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| p |                                                                   |
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| s |                                                                   |
| s |                                                                   |
| . |                                                                   |
| T |                                                                   |
| h |                                                                   |
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| y |                                                                   |
| a |                                                                   |
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| d |                                                                   |
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| s |                                                                   |
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| n |                                                                   |
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| d |                                                                   |
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| s |                                                                   |
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| t |                                                                   |
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+---+-------------------------------------------------------------------+
| # |                                                                   |
| # |                                                                   |
|   |                                                                   |
| T |                                                                   |
| a |                                                                   |
| s |                                                                   |
| k |                                                                   |
| s |                                                                   |
+---+-------------------------------------------------------------------+
|   | To meet this objective, the inspector must accomplish the         |
|   | following tasks:                                                  |
+---+-------------------------------------------------------------------+
| 1 | Identify the person who has overall responsibility for the        |
| \ | Coordinating Agencies for Suppliers Evaluation (CASE) process.    |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 2 | Identify the person who has overall authority for the CASE        |
| \ | process.                                                          |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 3 | Review the duties and responsibilities of the person(s)           |
| \ | documented in the certificate holder\'s manual.                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 4 | Review the appropriate organizational chart.                      |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+

+---+------------------------------------------------------+-----------+
| # |                                                      |           |
| # |                                                      |           |
|   |                                                      |           |
| Q |                                                      |           |
| u |                                                      |           |
| e |                                                      |           |
| s |                                                      |           |
| t |                                                      |           |
| i |                                                      |           |
| o |                                                      |           |
| n |                                                      |           |
| s |                                                      |           |
+---+------------------------------------------------------+-----------+
|   | To meet this objective, the inspector must answer    |           |
|   | the following questions:                             |           |
+---+------------------------------------------------------+-----------+
|   | Are the following aspects of the Management          |           |
|   | Responsibility and Authority Attributes addressed in |           |
|   | the Coordinating Agencies for Suppliers Evaluation   |           |
|   | (CASE) process:                                      |           |
+---+------------------------------------------------------+-----------+
| 1 | Does the certificate holder clearly identify who is  | Yes       |
| \ | responsible for the quality of the CASE process?     |           |
| . | **     **                                            | No,       |
|   |                                                      | Explain   |
|   |                                                      |           |
|   |                                                      | Na        |
|   |                                                      | me/Title: |
|   |                                                      |           |
|   |                                                      |           |
+---+------------------------------------------------------+-----------+
| 2 | Does the certificate holder clearly identify who has | Yes       |
| \ | authority to establish and modify the policies,      |           |
| . | procedures, instructions, and information for the    | No,       |
|   | CASE process? **     **                              | Explain   |
|   |                                                      |           |
|   |                                                      | Na        |
|   |                                                      | me/Title: |
|   |                                                      |           |
|   |                                                      |           |
+---+------------------------------------------------------+-----------+
| 3 | Does the certificate holder s manual include the     | Yes       |
| \ | duties and responsibilities of those who manage the  |           |
| . | work required by the CASE process? **     **         | No,       |
|   |                                                      | Explain   |
|   | SRRs: 121.135(b)(2)                                  |           |
+---+------------------------------------------------------+-----------+
| 4 | Does the certificate holder s manual include         | Yes       |
| \ | instructions and information for those who manage    |           |
| . | the work required by the CASE process? **     **     | No,       |
|   |                                                      | Explain   |
|   | SRRs: 121.135(a)(1)                                  |           |
+---+------------------------------------------------------+-----------+
| 5 | Does the certificate holder clearly and completely   | Yes       |
| \ | document the responsibility for this position?       |           |
| . | **     **                                            | No,       |
|   |                                                      | Explain   |
+---+------------------------------------------------------+-----------+
| 6 | Does the certificate holder clearly and completely   | Yes       |
| \ | document the authority for this position? **     **  |           |
| . |                                                      | No,       |
|   |                                                      | Explain   |
+---+------------------------------------------------------+-----------+
| 7 | Does the certificate holder clearly and completely   | Yes       |
| \ | document its qualification standards for the person  |           |
| . | having responsibility for the CASE process?          | No,       |
|   | **     **                                            | Explain   |
+---+------------------------------------------------------+-----------+
| 8 | Does the certificate holder clearly and completely   | Yes       |
| \ | document its qualification standards for the person  |           |
| . | having authority to establish and modify the         | No,       |
|   | certificate holder\'s policies, procedures,          | Explain   |
|   | instructions, and information for the CASE process?  |           |
|   | **     **                                            |           |
+---+------------------------------------------------------+-----------+
| 9 | Does the certificate holder clearly and completely   | Yes       |
| \ | document the procedures for delegation of authority  |           |
| . | for the CASE process? **     **                      | No,       |
|   |                                                      | Explain   |
+---+------------------------------------------------------+-----------+

+---+-------------------------------------------------------------------+
| # |                                                                   |
| # |                                                                   |
| # |                                                                   |
| # |                                                                   |
|   |                                                                   |
| S |                                                                   |
| A |                                                                   |
| I |                                                                   |
|   |                                                                   |
| S |                                                                   |
| e |                                                                   |
| c |                                                                   |
| t |                                                                   |
| i |                                                                   |
| o |                                                                   |
| n |                                                                   |
|   |                                                                   |
| 5 |                                                                   |
|   |                                                                   |
| - |                                                                   |
|   |                                                                   |
| M |                                                                   |
| a |                                                                   |
| n |                                                                   |
| a |                                                                   |
| g |                                                                   |
| e |                                                                   |
| m |                                                                   |
| e |                                                                   |
| n |                                                                   |
| t |                                                                   |
|   |                                                                   |
| R |                                                                   |
| e |                                                                   |
| s |                                                                   |
| p |                                                                   |
| o |                                                                   |
| n |                                                                   |
| s |                                                                   |
| i |                                                                   |
| b |                                                                   |
| i |                                                                   |
| l |                                                                   |
| i |                                                                   |
| t |                                                                   |
| y |                                                                   |
|   |                                                                   |
| & |                                                                   |
|   |                                                                   |
| A |                                                                   |
| u |                                                                   |
| t |                                                                   |
| h |                                                                   |
| o |                                                                   |
| r |                                                                   |
| i |                                                                   |
| t |                                                                   |
| y |                                                                   |
|   |                                                                   |
| A |                                                                   |
| t |                                                                   |
| t |                                                                   |
| r |                                                                   |
| i |                                                                   |
| b |                                                                   |
| u |                                                                   |
| t |                                                                   |
| e |                                                                   |
| s |                                                                   |
|   |                                                                   |
| * |                                                                   |
| * |                                                                   |
| D |                                                                   |
| r |                                                                   |
| o |                                                                   |
| p |                                                                   |
| - |                                                                   |
| D |                                                                   |
| o |                                                                   |
| w |                                                                   |
| n |                                                                   |
| M |                                                                   |
| e |                                                                   |
| n |                                                                   |
| u |                                                                   |
| * |                                                                   |
| * |                                                                   |
+---+-------------------------------------------------------------------+
| 1 | Not documented.                                                   |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 2 | Documentation unclear.                                            |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 3 | Documentation incomplete.                                         |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 4 | Other.                                                            |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+