##### Element Performance Inspection (EPI) Data Collection Tool

**1.3.4 Required Inspection Items (RII) (AW)**

# 

# ELEMENT SUMMARY INFORMATION

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

+-----------------------------------------------------------------------+
| -   To ensure all items of maintenance that must be inspected (RII),  |
|     are inspected, by an authorized person who determined that the    |
|     work was satisfactorily completed.                                |
+-----------------------------------------------------------------------+

**Objective** (FAA oversight):

+-----------------------------------------------------------------------+
| -   To determine the effectiveness of the certificate holder s        |
|     procedures in meeting the desired output of the process.          |
|                                                                       |
| -   To determine if the certificate holder follows its procedures,    |
|     controls, process measurements, and interfaces for the Required   |
|     Inspection Items (RII) process.                                   |
|                                                                       |
| -   To determine if there were any changes in the personnel           |
|     identified by the certificate holder as having responsibility     |
|     and/or authority for the Required Inspections Items process.      |
+-----------------------------------------------------------------------+

**Specific Instructions**:

+-----------------------------------------------------------------------+
| -   To accomplish this EPI, the inspector will review aircraft        |
|     maintenance records to discern if the completed maintenance       |
|     performed was required to have an RII Inspection as identified by |
|     the certificate holder s manual. An individual that is properly   |
|     certificated, trained, and qualified at the time of the           |
|     inspection should accomplish the RII Inspection. Ensure the       |
|     individual performing the RII Inspection did not participate in   |
|     the actual work being performed. Ensure designated RII Inspectors |
|     are under the control of the inspection department. Review the    |
|     certificate holder s list of identified RII items for             |
|     completeness.                                                     |
+-----------------------------------------------------------------------+

**Related EPIs**:

+-----------------------------------------------------------------------+
| -   1.1.1 Aircraft Airworthiness (AW)                                 |
|                                                                       |
| -   1.1.2 Appropriate Operational Equipment (AW)                      |
|                                                                       |
| -   1.2.1 Airworthiness Release / Logbook Entry (AW)                  |
|                                                                       |
| -   1.2.2 Major Repairs and Alterations Records (AW)                  |
|                                                                       |
| -   1.2.3 Maintenance Log / Recording Requirements (AW)               |
|                                                                       |
| -   1.3.3 Maintenance Facility / Main Maintenance Base (AW)           |
|                                                                       |
| -   4.1.1 RII Personnel (AW)                                          |
|                                                                       |
| -   4.1.2 Maintenance Certificate Requirements (AW)                   |
+-----------------------------------------------------------------------+

# 

# SUPPLEMENTAL INFORMATION

**Specific Regulatory Requirements (SRRs)**:

+-----------------------------------------------------------------------+
| -   SRRs:                                                             |
+=======================================================================+
| > 121.135(a)(1)                                                       |
| >                                                                     |
| > 121.135(b)(1)                                                       |
| >                                                                     |
| > 121.135(b)(2)                                                       |
| >                                                                     |
| > 121.135(b)(3)                                                       |
| >                                                                     |
| > 121.365(a)                                                          |
| >                                                                     |
| > 121.365(b)                                                          |
| >                                                                     |
| > 121.365(c)                                                          |
| >                                                                     |
| > 121.367                                                             |
| >                                                                     |
| > 121.369(a)                                                          |
| >                                                                     |
| > 121.369(b)                                                          |
| >                                                                     |
| > 121.369(b)(2)                                                       |
| >                                                                     |
| > 121.369(b)(3)                                                       |
| >                                                                     |
| > 121.369(b)(4)                                                       |
| >                                                                     |
| > 121.369(b)(5)                                                       |
| >                                                                     |
| > 121.369(b)(6)                                                       |
| >                                                                     |
| > 121.369(b)(7)                                                       |
| >                                                                     |
| > 121.369(b)(8)                                                       |
| >                                                                     |
| > 121.369(b)(9)                                                       |
| >                                                                     |
| > D.084(e)                                                            |
+-----------------------------------------------------------------------+

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

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

+-----------------------------------------------------------------------+
| -   FAA Policy/Guidance:                                              |
+=======================================================================+
| > FAA Order 8900.1, Vol 3 Ch 43                                       |
| >                                                                     |
| > AC 120-16D                                                          |
+-----------------------------------------------------------------------+

+---+-------------------------------------------------------------------+
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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 data collection tool.                             |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 2 | Review the certificate holder\'s policies, procedures,            |
| \ | instructions, and information for the Required Inspection Items   |
| . | (RII) process.                                                    |
+---+-------------------------------------------------------------------+
| 3 | Review the associated SAI for this element with emphasis on the   |
| \ | controls, process measurements and interface attribute sections.  |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 4 | Observe the certificate holder\'s Required Inspection Items (RII) |
| \ | process to gain an understanding of the procedures, instructions, |
| . | and information.                                                  |
+---+-------------------------------------------------------------------+
| 5 | Discuss the Required Inspection Items (RII) process with the      |
| \ | personnel (other than management) who perform the duties and      |
| . | responsibilities required by the Required Inspection Item (RII)   |
|   | process.                                                          |
+---+-------------------------------------------------------------------+

+---+------------------------------------------------------+-----------+
| # |                                                      |           |
| # |                                                      |           |
|   |                                                      |           |
| Q |                                                      |           |
| u |                                                      |           |
| e |                                                      |           |
| s |                                                      |           |
| t |                                                      |           |
| i |                                                      |           |
| o |                                                      |           |
| n |                                                      |           |
| s |                                                      |           |
+---+------------------------------------------------------+-----------+
|   | To meet this objective, the inspector must answer    |           |
|   | the following questions:                             |           |
+---+------------------------------------------------------+-----------+
| 1 | Were the following Performance Measures met:         |           |
| \ |                                                      |           |
| . |                                                      |           |
+---+------------------------------------------------------+-----------+
| 1 | Did the certificate holder prepare a current         | Yes       |
| . | designation of the items of maintenance and          |           |
| 1 | alterations that must be inspected(RII)? **     **   | No,       |
| . |                                                      | Explain   |
|   | *Related Performance JTIs:*                          |           |
|   |                                                      |           |
|   | 1\. Check, at the Technical Publications library,    |           |
|   | that specific required inspections were developed,   |           |
|   | controlled and reviewed in accordance with the air   |           |
|   | carriers design.                                     |           |
|   |                                                      |           |
|   | *Sources:* FAA Order 8900.1, Vol. 3, Ch 43, Para     |           |
|   | 3-3870.                                              |           |
|   |                                                      |           |
|   | 2\. Check, at the technical publications library,    |           |
|   | that a current designation of items of maintenance   |           |
|   | and alteration that must be inspected was prepared   |           |
|   | in accordance with the certificate holders design.   |           |
|   |                                                      |           |
|   | *Sources:* 121.367; 121.369(b); 121.369(b)(2)        |           |
+---+------------------------------------------------------+-----------+
| 1 | Were RII functions performed by appropriately        | Yes       |
| . | certificated, properly trained, qualified, and       |           |
| 2 | authorized individuals? **     **                    | No,       |
| . |                                                      | Explain   |
|   | *Related Performance JTIs:*                          |           |
|   |                                                      |           |
|   | 1\. Check, at the air carrier maintenance facility,  |           |
|   | that the certificate holder prepared and kept a      |           |
|   | current chart or description of its organization     |           |
|   | that performs any required inspections in accordance |           |
|   | with its design                                      |           |
|   |                                                      |           |
|   | *Sources:* 121.133(a); 121.135(a)(1); 121.369(a)     |           |
|   |                                                      |           |
|   | 2\. Check, at the air carrier maintenance facility,  |           |
|   | that the certificate holder prepared and kept a      |           |
|   | current list of persons with whom it has arranged    |           |
|   | for the performance of any of it\'s required         |           |
|   | inspections in accordance with its design            |           |
|   |                                                      |           |
|   | *Sources:* 121.133(a); 121.135(a)(1); 121.369(a)     |           |
|   |                                                      |           |
|   | 3\. Check, at the technical publications library,    |           |
|   | that a designation, by occupational title, of        |           |
|   | personnel authorized to perform each required        |           |
|   | inspection is in the manual in accordance with the   |           |
|   | certificate holders design                           |           |
|   |                                                      |           |
|   | *Sources:* 121.367; 121.369(b); 121.369(b)(3)        |           |
|   |                                                      |           |
|   | 4\. Check, at the aircraft records repository, that  |           |
|   | only persons that were appropriately certificated,   |           |
|   | properly trained, qualified, and authorized          |           |
|   | performed required inspections in accordance with    |           |
|   | the certificate holders design.                      |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.371(a)                 |           |
|   |                                                      |           |
|   | 5\. Check, at the maintenance facility, that persons |           |
|   | performing required inspections are appropriately    |           |
|   | certificated in accordance with the certificate      |           |
|   | holders design                                       |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.371(a)                 |           |
|   |                                                      |           |
|   | 6\. Check, at the maintenance facility, that persons |           |
|   | performing required inspections hold the appropriate |           |
|   | certificate in accordance with the certificate       |           |
|   | holders design                                       |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.378(a)                 |           |
|   |                                                      |           |
|   | 7\. Check, at the maintenance facility, that persons |           |
|   | performing required inspections are authorized in    |           |
|   | accordance with the certificate holders design       |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.371(a)                 |           |
+---+------------------------------------------------------+-----------+
| 1 | Were the persons who performed required inspections, | Yes       |
| . | on the current list of persons who have been         |           |
| 3 | trained, qualified and authorized to conduct         | No,       |
| . | required inspections? **     **                      | Explain   |
|   |                                                      |           |
|   | *Related Performance JTIs:*                          |           |
|   |                                                      |           |
|   | 1\. Check, at the technical publications library,    |           |
|   | that a designation, by occupational title, of        |           |
|   | personnel authorized to perform each required        |           |
|   | inspection is in the manual in accordance with the   |           |
|   | certificate holders design                           |           |
|   |                                                      |           |
|   | *Sources:* 121.367; 121.369(b); 121.369(b)(3)        |           |
|   |                                                      |           |
|   | 2\. Check, at the records repository, that required  |           |
|   | inspections were accomplished by personnel           |           |
|   | designated by occupational title in accordance with  |           |
|   | the certificate holders design.                      |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.367; 121.369(b);       |           |
|   | 121.369(b)(3)                                        |           |
|   |                                                      |           |
|   | 3\. Check, at the maintenance facility, that a list  |           |
|   | of persons, identified by name, occupational title,  |           |
|   | and the inspections that they are authorized to      |           |
|   | perform, who have been trained, qualified, and       |           |
|   | authorized to conduct required inspections is        |           |
|   | maintained in accordance with the certificate        |           |
|   | holders design.                                      |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.371(d)                 |           |
|   |                                                      |           |
|   | 4\. Check, at the records repository, that it        |           |
|   | verified, in accordance with its design, that        |           |
|   | persons with whom it arranged to perform required    |           |
|   | inspections (RII) maintained a list of persons,      |           |
|   | identified by name, occupational title, and the      |           |
|   | inspections that they are authorized to perform, who |           |
|   | have been trained, qualified, and authorized to      |           |
|   | conduct required inspections.                        |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.371(d)                 |           |
+---+------------------------------------------------------+-----------+
| 1 | Were the required inspections performed by persons   | Yes       |
| . | other than those who performed the items of work     |           |
| 4 | required to be inspected? **     **                  | No,       |
| . |                                                      | Explain   |
|   | *Related Performance JTIs:*                          |           |
|   |                                                      |           |
|   | 1\. Check, at the aircraft records repository, that  |           |
|   | no required inspections were performed by the        |           |
|   | person, who performed the item of work               |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.367; 121.369(b);       |           |
|   | 121.369(b)(7)                                        |           |
+---+------------------------------------------------------+-----------+
| 1 | Did the person who prepared the airworthiness        | Yes       |
| . | release or log book entry ensure all items that were |           |
| 5 | required to be inspected were inspected by an        | No,       |
| . | authorized person who determined that the work was   | Explain   |
|   | satisfactorly completed? **     **                   |           |
|   |                                                      |           |
|   | *Related Performance JTIs:*                          |           |
|   |                                                      |           |
|   | 1\. Check, at the records repository, that items of  |           |
|   | maintenance and alteration listed on the current     |           |
|   | designation of items that must be inspected          |           |
|   | (required inspections), were inspected in accordance |           |
|   | with the certificate holders design.                 |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.367; 121.369(b)(2)     |           |
|   |                                                      |           |
|   | 2\. Check, at the maintenance facility, that the     |           |
|   | methods for performing required inspections are      |           |
|   | being accomplished in accordance with the            |           |
|   | certificate holders design.                          |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.367; 121.369(b);       |           |
|   | 121.369(b)(3)                                        |           |
|   |                                                      |           |
|   | 3\. Check, at the aircraft records repository, that  |           |
|   | all items that required inspection (RII), were       |           |
|   | inspected.                                           |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.367; 121.369(b);       |           |
|   | 121.369(b)(6)                                        |           |
+---+------------------------------------------------------+-----------+
| 1 | Were the required inspection functions separate from | Yes       |
| . | other maintenance actions? **     **                 |           |
| 6 |                                                      | No,       |
| . | *Related Performance JTIs:*                          | Explain   |
|   |                                                      |           |
|   | 1\. Check, at the air carrier maintenance facility,  |           |
|   | that the performance of RII functions were organized |           |
|   | to ensure separation from other maintenance actions  |           |
|   | in accordance with the certificate holders design.   |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.365(c)                 |           |
|   |                                                      |           |
|   | 2\. Check, at the records repository, that the       |           |
|   | certificate holder verified, in accordance with its  |           |
|   | design, that outsource maintenance providers,        |           |
|   | conducting RII functions for it, maintain separation |           |
|   | between inspection and other maintenance functions   |           |
|   | within its organization.                             |           |
|   |                                                      |           |
|   | *Sources:* AC 120-16D                                |           |
|   |                                                      |           |
|   | 3\. Check, at the records repository, that no        |           |
|   | decision of an inspector regarding any required      |           |
|   | inspection was countermanded by any person other     |           |
|   | than supervisory personnel of the inspection unit in |           |
|   | accordance with the certificate holders design.      |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.367; 121.369(b);       |           |
|   | 121.369(b)(8)                                        |           |
|   |                                                      |           |
|   | 4\. Check, at the records repository, that no        |           |
|   | decision of an inspector regarding any required      |           |
|   | inspection was countermanded by any person other     |           |
|   | than a person at that level of administrative        |           |
|   | control that has overall responsibility for the      |           |
|   | management of both the required inspection functions |           |
|   | and the other maintenance, preventive maintenance,   |           |
|   | and alterations functions in accordance with the     |           |
|   | certificate holders design.                          |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.367; 121.369(b);       |           |
|   | 121.369(b)(8)                                        |           |
|   |                                                      |           |
|   | 5\. Check, at the maintenance facility, through      |           |
|   | interviews with inspection personnel, that they      |           |
|   | understand that any decision of an inspector,        |           |
|   | regarding any required inspection may not be         |           |
|   | countermanded by persons other than supervisory      |           |
|   | personnel of the inspection unit or a person at that |           |
|   | level of administrative control that has overall     |           |
|   | responsibility for the management of both the        |           |
|   | required inspection functions and the other          |           |
|   | maintenance, preventive maintenance, and alterations |           |
|   | functions                                            |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.367; 121.369(b);       |           |
|   | 121.369(b)(8)                                        |           |
+---+------------------------------------------------------+-----------+
| 1 | Were Required Inspection Items identified on work    | Yes       |
| . | documents in accordance with the certificate         |           |
| 7 | holder\'s policies and procedures? **     **         | No,       |
| . |                                                      | Explain   |
+---+------------------------------------------------------+-----------+
| 2 | Were the certificate holder\'s policies, procedures, | Yes       |
| \ | instructions, and information for the Required       |           |
| . | Inspection Items (RII) process followed? **     **   | No,       |
|   |                                                      | Explain   |
|   | *Related Performance JTIs:*                          |           |
|   |                                                      |           |
|   | 1\. Check, at the aircraft, that the procedures,     |           |
|   | standards, and limits necessary for required         |           |
|   | inspections are used in accordance with the          |           |
|   | certificate holders design.                          |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.367; 121.369(b);       |           |
|   | 121.369(b)(5)                                        |           |
+---+------------------------------------------------------+-----------+
| 3 | Were the Required Inspection Items (RII) process     | Yes       |
| \ | controls followed? **     **                         |           |
| . |                                                      | No,       |
|   |                                                      | Explain   |
+---+------------------------------------------------------+-----------+
| 4 | Did the records for the Required Inspection Items    | Yes       |
| \ | (RII) process comply with the instructions provided  |           |
| . | by the certificate holder? **     **                 | No,       |
|   |                                                      | Explain   |
|   | *Related Performance JTIs:*                          |           |
|   |                                                      |           |
|   | 1\. Check, at the aircraft records repository, that  |           |
|   | instructions for re-inspection (buy back procedures) |           |
|   | were followed in accordance with the certificate     |           |
|   | holders design                                       |           |
|   |                                                      |           |
|   | *Sources:* 121.367; 121.369(b); 121.369(b)(4)        |           |
|   |                                                      |           |
|   | 2\. Check, at the aircraft records repository, that  |           |
|   | required inspection items that had been rejected     |           |
|   | were re-inspected in accordance with the certificate |           |
|   | holders design (buy back procedures).                |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.367; 121.369(b);       |           |
|   | 121.369(b)(4)                                        |           |
|   |                                                      |           |
|   | 3\. Check, at the aircraft records repository, that  |           |
|   | accepted required inspection items were accepted in  |           |
|   | accordance with the certificate holders design.      |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.367; 121.369(b);       |           |
|   | 121.369(b)(5)                                        |           |
|   |                                                      |           |
|   | 4\. Check, at the aircraft records repository, that  |           |
|   | rejected required inspection items were rejected in  |           |
|   | accordance with the certificate holders design.      |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.367; 121.369(b);       |           |
|   | 121.369(b)(5)                                        |           |
+---+------------------------------------------------------+-----------+
| 5 | Were the process measurements for the Required       | Yes       |
| \ | Inspection Items (RII) process effective in          |           |
| . | identifying problems or potential problems and       | No,       |
|   | providing corrective action for them? **     **      | Explain   |
+---+------------------------------------------------------+-----------+
| 6 | Did personnel properly handle the associated         | Yes       |
| \ | interfaces by complying with other written policies, |           |
| . | procedures, instructions and information that are    | No,       |
|   | related to this element? **     **                   | Explain   |
+---+------------------------------------------------------+-----------+

+---+-------------------------------------------------------------------+
| # |                                                                   |
| # |                                                                   |
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|   |                                                                   |
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| t |                                                                   |
| i |                                                                   |
| o |                                                                   |
| n |                                                                   |
|   |                                                                   |
| 1 |                                                                   |
|   |                                                                   |
| - |                                                                   |
|   |                                                                   |
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| e |                                                                   |
| r |                                                                   |
| f |                                                                   |
| o |                                                                   |
| r |                                                                   |
| m |                                                                   |
| a |                                                                   |
| n |                                                                   |
| c |                                                                   |
| e |                                                                   |
|   |                                                                   |
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| b |                                                                   |
| s |                                                                   |
| e |                                                                   |
| r |                                                                   |
| v |                                                                   |
| a |                                                                   |
| b |                                                                   |
| l |                                                                   |
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| s |                                                                   |
|   |                                                                   |
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| * |                                                                   |
| D |                                                                   |
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| * |                                                                   |
| * |                                                                   |
+---+-------------------------------------------------------------------+
| 1 | Personnel.                                                        |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 2 | Tools and Equipment.                                              |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 3 | Technical Data.                                                   |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 4 | Procedures, policies or instructions or information.              |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 5 | Materials.                                                        |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 6 | Facilities.                                                       |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 7 | Controls.                                                         |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 8 | Process Measures.                                                 |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 9 | Interfaces.                                                       |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 1 | Desired Outcome.                                                  |
| 0 |                                                                   |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 1 | Other.                                                            |
| 1 |                                                                   |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+

+---+-------------------------------------------------------------------+
| * |                                                                   |
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+---+-------------------------------------------------------------------+
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| t |                                                                   |
| b |                                                                   |
| e |                                                                   |
| t |                                                                   |
| h |                                                                   |
| e |                                                                   |
| p |                                                                   |
| e |                                                                   |
| r |                                                                   |
| s |                                                                   |
| o |                                                                   |
| n |                                                                   |
| w |                                                                   |
| i |                                                                   |
| t |                                                                   |
| h |                                                                   |
| t |                                                                   |
| h |                                                                   |
| e |                                                                   |
| r |                                                                   |
| e |                                                                   |
| s |                                                                   |
| p |                                                                   |
| o |                                                                   |
| n |                                                                   |
| s |                                                                   |
| i |                                                                   |
| b |                                                                   |
| i |                                                                   |
| l |                                                                   |
| i |                                                                   |
| t |                                                                   |
| y |                                                                   |
| . |                                                                   |
| ) |                                                                   |
+---+-------------------------------------------------------------------+
| # |                                                                   |
| # |                                                                   |
|   |                                                                   |
| T |                                                                   |
| a |                                                                   |
| s |                                                                   |
| k |                                                                   |
| s |                                                                   |
+---+-------------------------------------------------------------------+
|   | To meet this objective, the inspector must accomplish the         |
|   | following tasks:                                                  |
+---+-------------------------------------------------------------------+
|   | NOTE: If no personnel or major program changes (as defined by the |
|   | principal inspector (PI)) affecting the responsibility or         |
|   | authority attributes for this element have occurred since the     |
|   | last SAI and/or EPI was accomplished, then do not perform tasks   |
|   | 3-6, below. Answer questions 1 and 2 below, and provide the       |
|   | name/title.                                                       |
+---+-------------------------------------------------------------------+
| 1 | Identify the person that has overall responsibility for the       |
| \ | Required Inspection Items (RII) process.                          |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 2 | Identify the person that has overall authority for the Required   |
| \ | Inspection Items (RII) process.                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 3 | Review the duties and responsibilities for those who manage the   |
| \ | Required Inspection Items (RII) process.                          |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 4 | Review the appropriate organizational chart.                      |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 5 | Discuss the Required Inspection Items (RII) process with the      |
| \ | management personnel identified in tasks 1 and 2.                 |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 6 | Evaluate the qualifications and work experience of the management |
| \ | personnel identified in tasks 1 and 2.                            |
| . |                                                                   |
+---+-------------------------------------------------------------------+

+---+------------------------------------------------------+-----------+
| # |                                                      |           |
| # |                                                      |           |
|   |                                                      |           |
| Q |                                                      |           |
| u |                                                      |           |
| e |                                                      |           |
| s |                                                      |           |
| t |                                                      |           |
| i |                                                      |           |
| o |                                                      |           |
| n |                                                      |           |
| s |                                                      |           |
+---+------------------------------------------------------+-----------+
|   | To meet this objective, the inspector must answer    |           |
|   | the following questions:                             |           |
+---+------------------------------------------------------+-----------+
| 1 | Is there a clearly identified person who is          | Yes       |
| \ | responsible for the quality of the Required          |           |
| . | Inspection Items (RII) process? **     **            | No,       |
|   |                                                      | Explain   |
|   |                                                      |           |
|   |                                                      | Na        |
|   |                                                      | me/Title: |
|   |                                                      |           |
|   |                                                      |           |
+---+------------------------------------------------------+-----------+
| 2 | Is there a clearly identified person who has         | Yes       |
| \ | authority to establish and modify the certificate    |           |
| . | holder\'s policies, procedures, instructions, and    | No,       |
|   | information for the Required Inspection Items (RII)  | Explain   |
|   | process? **     **                                   |           |
|   |                                                      | Na        |
|   |                                                      | me/Title: |
|   |                                                      |           |
|   |                                                      |           |
+---+------------------------------------------------------+-----------+
| 3 | Does the responsible person know that he/she has     | Yes       |
| \ | responsibility for the Required Inspection Items     |           |
| . | (RII) process? **     **                             | No,       |
|   |                                                      | Explain   |
|   |                                                      |           |
|   |                                                      | No Change |
+---+------------------------------------------------------+-----------+
| 4 | Does the person with authority know that he/she has  | Yes       |
| \ | authority for the Required Inspection Items (RII)    |           |
| . | process? **     **                                   | No,       |
|   |                                                      | Explain   |
|   |                                                      |           |
|   |                                                      | No Change |
+---+------------------------------------------------------+-----------+
| 5 | Does the person with responsibility for the Required | Yes       |
| \ | Inspection Items (RII) process meet the              |           |
| . | qualification standards? **     **                   | No,       |
|   |                                                      | Explain   |
|   |                                                      |           |
|   |                                                      | No Change |
+---+------------------------------------------------------+-----------+
| 6 | Does the person with authority to establish & modify | Yes       |
| \ | the Required Inspection Items (RII) meet the         |           |
| . | qualification standards? **     **                   | No,       |
|   |                                                      | Explain   |
|   |                                                      |           |
|   |                                                      | No Change |
+---+------------------------------------------------------+-----------+
| 7 | Does the person with responsibility understand the   | Yes       |
| \ | controls, process measurements, and interfaces       |           |
| . | associated with the Required Inspection Items (RII)  | No,       |
|   | process? **     **                                   | Explain   |
|   |                                                      |           |
|   |                                                      | No Change |
+---+------------------------------------------------------+-----------+
| 8 | Does the person with authority understand the        | Yes       |
| \ | controls, process measurements, and interfaces       |           |
| . | associated with the Required Inspection Items (RII)  | No,       |
|   | process? **     **                                   | Explain   |
|   |                                                      |           |
|   |                                                      | No Change |
+---+------------------------------------------------------+-----------+
| 9 | Does the responsible person know who has authority   | Yes       |
| \ | to establish and modify the Required Inspection      |           |
| . | Items (RII) process? **     **                       | No,       |
|   |                                                      | Explain   |
|   |                                                      |           |
|   |                                                      | No Change |
+---+------------------------------------------------------+-----------+
| 1 | Does the individual with authority know who has the  | Yes       |
| 0 | responsibility for the Required Inspection Items     |           |
| \ | (RII) process? **     **                             | No,       |
| . |                                                      | Explain   |
|   |                                                      |           |
|   |                                                      | No Change |
+---+------------------------------------------------------+-----------+

+---+-------------------------------------------------------------------+
| # |                                                                   |
| # |                                                                   |
| # |                                                                   |
| # |                                                                   |
|   |                                                                   |
| E |                                                                   |
| P |                                                                   |
| I |                                                                   |
|   |                                                                   |
| S |                                                                   |
| e |                                                                   |
| c |                                                                   |
| t |                                                                   |
| i |                                                                   |
| o |                                                                   |
| n |                                                                   |
|   |                                                                   |
| 2 |                                                                   |
|   |                                                                   |
| - |                                                                   |
|   |                                                                   |
| 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 |                                                                   |
|   |                                                                   |
| O |                                                                   |
| b |                                                                   |
| s |                                                                   |
| e |                                                                   |
| r |                                                                   |
| v |                                                                   |
| a |                                                                   |
| b |                                                                   |
| l |                                                                   |
| e |                                                                   |
| s |                                                                   |
|   |                                                                   |
| * |                                                                   |
| * |                                                                   |
| D |                                                                   |
| r |                                                                   |
| o |                                                                   |
| p |                                                                   |
| - |                                                                   |
| D |                                                                   |
| o |                                                                   |
| w |                                                                   |
| n |                                                                   |
| M |                                                                   |
| e |                                                                   |
| n |                                                                   |
| u |                                                                   |
| * |                                                                   |
| * |                                                                   |
+---+-------------------------------------------------------------------+
| 1 | Assignment of responsibility.                                     |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 2 | Assignment of authority.                                          |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 3 | Does not understand procedures, policies or instructions and      |
| \ | information.                                                      |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 4 | Does not understand controls.                                     |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 5 | Does not understand process measurements.                         |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 6 | Does not understand interfaces.                                   |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 7 | Span of control.                                                  |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 8 | Position vacant.                                                  |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 9 | Other.                                                            |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+