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

**1.3.6 AD Management (AW)**

# 

# ELEMENT SUMMARY INFORMATION

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

+-----------------------------------------------------------------------+
| -   To ensure compliance with airworthiness directives.               |
+-----------------------------------------------------------------------+

**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 AD         |
|     Management process.                                               |
|                                                                       |
| -   To determine if there were any changes in the personnel           |
|     identified by the certificate holder as having responsibility     |
|     and/or authority for the AD Management process.                   |
+-----------------------------------------------------------------------+

**Specific Instructions**:

+-----------------------------------------------------------------------+
| -   Air carriers are required to make and keep the current status of  |
|     an airworthiness directive . The current status records are       |
|     required to be maintained and transfered with the aircraft when   |
|     it is sold.                                                       |
|                                                                       |
| -   The current status of an airworthiness directive means a record   |
|     that contains, at least, the following information:               |
|                                                                       |
| -   \(1\) Identification of the particular airframe, engine,          |
|     propeller, appliance, or component to which the AD is applicable. |
|                                                                       |
| -   \(2\) The AD number (and/or regulatory amendment number).         |
|                                                                       |
| -   \(3\) The date and the time-in-service expressed in the           |
|     appropriate measuring parameter (hours, cycles, calendar time,    |
|     etc.) when the required action was accomplished.                  |
|                                                                       |
| -   \(4\) If the requirement is recurring, the time-in-service when   |
|     the next action is due expressed in the appropriate measuring     |
|     parameter (hours, cycles, calendar time, etc.).                   |
|                                                                       |
| -   \(5\) The method of compliance means: with regard to an AD, a     |
|     concise description of the action taken to comply with the        |
|     requirements of the AD. If the AD or its referenced manufacturer  |
|     s service bulletin permits the use of more than one method of     |
|     compliance, the record must include a reference to the specific   |
|     method of compliance used. If the operator uses an alternate      |
|     method of compliance (AMOC) to comply with an AD, the method of   |
|     compliance means a description of this AMOC and a copy of the FAA |
|     approval.                                                         |
|                                                                       |
| -   NOTE: The listing of current status of an airworthiness directive |
|     or method of compliance refers to summary current status          |
|     information and must not be confused with an AD record of         |
|     accomplishment, which is a description of the work performed and  |
|     the identification of the person who performed and/or issued the  |
|     approval for return to service.                                   |
+-----------------------------------------------------------------------+

**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)               |
|                                                                       |
| -   1.3.1 Maintenance Program (AW)                                    |
+-----------------------------------------------------------------------+

# 

# SUPPLEMENTAL INFORMATION

**Specific Regulatory Requirements (SRRs)**:

+-----------------------------------------------------------------------+
| -   SRRs:                                                             |
+=======================================================================+
| > 119.43(b)                                                           |
| >                                                                     |
| > 119.43(b)(1)                                                        |
| >                                                                     |
| > 119.43(b)(2)                                                        |
| >                                                                     |
| > 119.43(c)                                                           |
| >                                                                     |
| > 121.135(a)(1)                                                       |
| >                                                                     |
| > 121.135(b)(1)                                                       |
| >                                                                     |
| > 121.135(b)(2)                                                       |
| >                                                                     |
| > 121.135(b)(3)                                                       |
| >                                                                     |
| > 121.369(c)                                                          |
| >                                                                     |
| > 121.380(a)(2)(vi)                                                   |
| >                                                                     |
| > 121.380(c)(3)                                                       |
| >                                                                     |
| > 121.380(d)                                                          |
| >                                                                     |
| > 39.11                                                               |
| >                                                                     |
| > 39.13                                                               |
| >                                                                     |
| > 39.15                                                               |
| >                                                                     |
| > 39.17                                                               |
| >                                                                     |
| > 39.19                                                               |
| >                                                                     |
| > 39.21                                                               |
| >                                                                     |
| > 39.23                                                               |
| >                                                                     |
| > 39.25                                                               |
| >                                                                     |
| > 39.27                                                               |
| >                                                                     |
| > 39.3                                                                |
| >                                                                     |
| > 91.403(a)                                                           |
| >                                                                     |
| > A.447                                                               |
+-----------------------------------------------------------------------+

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

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

+-----------------------------------------------------------------------+
| -   FAA Policy/Guidance:                                              |
+=======================================================================+
| > FAA Order 8900.1, Volume 3, Chapter 31, Section 5                   |
| >                                                                     |
| > Advisory Circular 120-16D                                           |
| >                                                                     |
| > Advisory Circular 39-7C                                             |
+-----------------------------------------------------------------------+

+---+-------------------------------------------------------------------+
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+---+-------------------------------------------------------------------+
| # |                                                                   |
| # |                                                                   |
|   |                                                                   |
| T |                                                                   |
| a |                                                                   |
| s |                                                                   |
| k |                                                                   |
| s |                                                                   |
+---+-------------------------------------------------------------------+
|   | To meet this objective, the inspector must accomplish the         |
|   | following tasks:                                                  |
+---+-------------------------------------------------------------------+
| 1 | Review 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 AD Management process.      |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 3 | Review the last accomplished associated safety attribute          |
| \ | inspection (SAI) for this element with emphasis on the controls,  |
| . | process measurements, and interface attribute section responses.  |
+---+-------------------------------------------------------------------+
| 4 | Observe the certificate holder\'s AD Management process to gain   |
| \ | an understanding of the procedures, instructions, and             |
| . | information.                                                      |
+---+-------------------------------------------------------------------+
| 5 | Discuss the AD Management process with the personnel (other than  |
| \ | management) that perform the duties and responsibilities required |
| . | by the process.                                                   |
+---+-------------------------------------------------------------------+

+---+------------------------------------------------------+-----------+
| # |                                                      |           |
| # |                                                      |           |
|   |                                                      |           |
| Q |                                                      |           |
| u |                                                      |           |
| e |                                                      |           |
| s |                                                      |           |
| t |                                                      |           |
| i |                                                      |           |
| o |                                                      |           |
| n |                                                      |           |
| s |                                                      |           |
+---+------------------------------------------------------+-----------+
|   | To meet this objective, the inspector must answer    |           |
|   | the following questions:                             |           |
+---+------------------------------------------------------+-----------+
| 1 | Determine whether the following performance measures |           |
| \ | were met:                                            |           |
| . |                                                      |           |
+---+------------------------------------------------------+-----------+
| 1 | Did the certificate holder\'s records indicate that  | Yes       |
| . | the aircraft, aircraft engines, propeller, and/or    |           |
| 1 | appliances were in compliance with applicable        | No,       |
| . | Airworthiness Directives (AD)? **     **             | Explain   |
|   |                                                      |           |
|   | *Related Performance JTIs:*                          |           |
|   |                                                      |           |
|   | 1\. Check at the records repository for products     |           |
|   | (aircraft, aircraft engine, propeller, or appliance) |           |
|   | operated by the certificate holder; verify the       |           |
|   | Airworthiness Directives \"current status\" (as      |           |
|   | described in the specific instructions of this       |           |
|   | element), are maintained in accordance with the      |           |
|   | certificate holders design.                          |           |
|   |                                                      |           |
|   | *Sources:* 121.380(a)(2)(vi); 121.380(c)(3); FAA     |           |
|   | Order 8900.1, Volume 3, Chapter 31, Section 5,       |           |
|   | Paragraph 3-3079, B5a                                |           |
|   |                                                      |           |
|   | 2\. Check at the records repository; that            |           |
|   | inspections that must be carried out, conditions and |           |
|   | limitations that must be complied with, and all      |           |
|   | required actions to resolve the unsafe condition     |           |
|   | specified in an Airworthiness Directive were         |           |
|   | accomplished and recorded in accordance with the     |           |
|   | certificate holder\'s design.                        |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.369(c); 121.709(b)(2); |           |
|   | 39.11; 43.9(a); AC 39-7C; 8900.1, Volume 3, Chapter  |           |
|   | 31, Section 5, Paragraph 3-3079 (B)(5); AC 120-16D   |           |
|   | Paragraph 605 (1)(e);                                |           |
+---+------------------------------------------------------+-----------+
| 1 | Did a visual inspection verify the observed          | Yes       |
| . | aircraft, aircraft engines, propeller, and/or        |           |
| 2 | appliances were in compliance with applicable        | No,       |
| . | Airworthiness Directives (AD)? **     **             | Explain   |
|   |                                                      |           |
|   | *Related Performance JTIs:*                          |           |
|   |                                                      |           |
|   | 1\. Check at the Aircraft; that inspections that     |           |
|   | must be carried out, conditions and limitations that |           |
|   | must be complied with, and all required actions to   |           |
|   | resolve the unsafe condition specified in an         |           |
|   | Airworthiness Directive was accomplished in          |           |
|   | accordance with the certificate holder\'s design.    |           |
|   |                                                      |           |
|   | *Sources:* 121.125(a)(1); 39.11; 39.7; AC 39-7C;     |           |
|   | 8900.1, Volume 3, Chapter 31, Section 5, Paragraph   |           |
|   | 3-3079 (B)(5); AC 120-16D Paragraph 605 (1)(e);      |           |
+---+------------------------------------------------------+-----------+
| 1 | Were the observed actions performed as specified in  | Yes       |
| . | the Airworthiness Directive? **     **               |           |
| 3 |                                                      | No,       |
| . | *Related Performance JTIs:*                          | Explain   |
|   |                                                      |           |
|   | 1\. Check, at the records repository, that, if an    |           |
|   | Airworthiness Directive incorporates by reference a  |           |
|   | manufacturer\'s service document, that the           |           |
|   | requirements of the Airworthiness Directive were     |           |
|   | followed, even if there is a conflict between the    |           |
|   | service document and the Airworthiness Directive     |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 39.27                      |           |
|   |                                                      |           |
|   | 2\. Check at the Aircraft; that inspections that     |           |
|   | must be carried out, conditions and limitations that |           |
|   | must be complied with, and all required actions to   |           |
|   | resolve the unsafe condition specified in an         |           |
|   | Airworthiness Directive was accomplished in          |           |
|   | accordance with the certificate holder\'s design.    |           |
|   |                                                      |           |
|   | *Sources:* 121.125(a)(1); 39.11; 39.7; AC 39-7C;     |           |
|   | 8900.1, Volume 3, Chapter 31, Section 5, Paragraph   |           |
|   | 3-3079 (B)(5); AC 120-16D Paragraph 605 (1)(e);      |           |
|   |                                                      |           |
|   | 3\. Check at the Air Carrier Maintenance Facility;   |           |
|   | that inspections that must be carried out,           |           |
|   | conditions and limitations that must be complied     |           |
|   | with, and all required actions to resolve the unsafe |           |
|   | condition specified in an Airworthiness Directive    |           |
|   | was accomplished in accordance with the certificate  |           |
|   | holder\'s design.                                    |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 39.11; AC 39-7C; 8900.1,   |           |
|   | Volume 3, Chapter 31, Section 5, Paragraph 3-3079    |           |
|   | (B)(5); AC 120-16D Paragraph 605 (1)(e);             |           |
+---+------------------------------------------------------+-----------+
| 1 | Were AD requirements, performed by a contractor,     | Yes       |
| . | properly accomplished? **     **                     |           |
| 4 |                                                      | No,       |
| . | *Related Performance JTIs:*                          | Explain   |
|   |                                                      |           |
|   | 1\. Check at the outsource provider; that            | Not       |
|   | inspections that must be carried out, conditions and | A         |
|   | limitations that must be complied with, and all      | pplicable |
|   | required actions to resolve the unsafe condition     |           |
|   | specified in an Airworthiness Directive was          |           |
|   | accomplished in accordance with the certificate      |           |
|   | holder\'s design.                                    |           |
|   |                                                      |           |
|   | *Sources:* 121.125(a)(1); 39.11; 39.7; AC 39-7C;     |           |
|   | 8900.1, Volume 3, Chapter 31, Section 5, Paragraph   |           |
|   | 3-3079 (B)(5); AC 120-16D Paragraph 605 (1)(e);      |           |
|   |                                                      |           |
|   | 2\. Check at the records repository, that the        |           |
|   | contractor met the recording requirements of the     |           |
|   | Airworthiness Directive, in accordance with the      |           |
|   | certificate holder\'s design and the contractual     |           |
|   | agreement                                            |           |
|   |                                                      |           |
|   | *Sources:* 121.125(a)(1); 39.11; 39.7; AC 39-7C;     |           |
|   | 8900.1, Volume 3, Chapter 31, Section 5, Paragraph   |           |
|   | 3-3079 (B)(5); AC 120-16D Paragraph 605 (1)(e);      |           |
+---+------------------------------------------------------+-----------+
| 1 | If an aircraft, aircraft engine, propeller, and/or   | Yes       |
| . | appliance was changed, in a way that affected the    |           |
| 5 | ability to accomplish the actions required by an AD, | No,       |
| . | did the certificate holder obtain an approved        | Explain   |
|   | alternate method of compliance? **     **            |           |
|   |                                                      | Not       |
|   | *Related Performance JTIs:*                          | A         |
|   |                                                      | pplicable |
|   | 1\. Check at the records repository, that a request  |           |
|   | for approval from the FAA for an alternate method of |           |
|   | compliance (AMOC) to an Airworthiness Directive was  |           |
|   | submitted to the assigned Principal Inspector for    |           |
|   | concurrence and the manager of the office identified |           |
|   | in the airworthiness directive for approval, in      |           |
|   | accordance with the certificate holder\'s design.    |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 39.19                      |           |
+---+------------------------------------------------------+-----------+
| 1 | If an alternate method of compliance was granted,    | Yes       |
| . | was it done with the Principal Inspector\'s full     |           |
| 6 | knowledge? **     **                                 | No,       |
| . |                                                      | Explain   |
|   | *Related Performance JTIs:*                          |           |
|   |                                                      | Not       |
|   | 1\. Check at the records repository, that a request  | A         |
|   | for approval from the FAA for an alternate method of | pplicable |
|   | compliance (AMOC) to an Airworthiness Directive was  |           |
|   | submitted to the assigned Principal Inspector for    |           |
|   | concurrence and the manager of the office identified |           |
|   | in the airworthiness directive for approval, in      |           |
|   | accordance with the certificate holder\'s design.    |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 39.19                      |           |
+---+------------------------------------------------------+-----------+
| 1 | Did the certificate holder obtain ACO approval for   | Yes       |
| . | change in compliance time, if the aircraft is        |           |
| 7 | operated differently than AD limitation              | No,       |
| . | requirements? **     **                              | Explain   |
|   |                                                      |           |
|   | *Related Performance JTIs:*                          | Not       |
|   |                                                      | A         |
|   | 1\. Check at the records repository, that a request  | pplicable |
|   | for approval from the FAA for a change of compliance |           |
|   | time to an Airworthiness Directive provided a level  |           |
|   | of safety and was approved by the manager of the     |           |
|   | office identified in the airworthiness directive,    |           |
|   | and the approval was obtained in accordance with the |           |
|   | certificate holder\'s design.                        |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 39.19                      |           |
+---+------------------------------------------------------+-----------+
| 1 | Were the certificate holder\'s AD accomplishment     | Yes       |
| . | records accurate? **     **                          |           |
| 8 |                                                      | No,       |
| . | *Related Performance JTIs:*                          | Explain   |
|   |                                                      |           |
|   | 1\. Check at the records repository, that the        |           |
|   | recording requirements for checks performed by       |           |
|   | pilots as permitted by Airworthiness Directives were |           |
|   | accomplished in accordance with the certificate      |           |
|   | holder\'s design.                                    |           |
|   |                                                      |           |
|   | *Sources:* AC 39-7C paragraph 13f                    |           |
|   |                                                      |           |
|   | 2\. Check at the maintenance planning center, that   |           |
|   | Airworthiness Directives were accomplished as        |           |
|   | scheduled in accordance with the certificate         |           |
|   | holder\'s design.                                    |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.380(a)(2)(vi)          |           |
|   |                                                      |           |
|   | 3\. Check at the maintenance planning center, that   |           |
|   | Airworthiness Directives that require recurring      |           |
|   | action, are scheduled in accordance with the         |           |
|   | certificate holder\'s design.                        |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.380(a)(2)(vi)          |           |
|   |                                                      |           |
|   | 4\. Check at the records repository, that            |           |
|   | Airworthiness Directive records containing current   |           |
|   | status of applicable airworthiness directives are    |           |
|   | transferred with the aircraft when sold accordance   |           |
|   | with the certificate holder\'s design.               |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.380(a)(2)(vi);         |           |
|   | 121.380(c)(3)                                        |           |
|   |                                                      |           |
|   | 5\. Check at the records repository that the record  |           |
|   | of accomplishment for products (aircraft, aircraft   |           |
|   | engine, propeller, or appliance) with Airworthiness  |           |
|   | Directive, were made(using the certificate holder s  |           |
|   | design specified in their manual required in FAR     |           |
|   | 121.369) to show; that inspections were carried out, |           |
|   | conditions and limitations were complied with, all   |           |
|   | required actions to resolve the unsafe condition     |           |
|   | specified in an Airworthiness Directive were         |           |
|   | accomplished and recorded and that all requirements  |           |
|   | for the issuance of an airworthiness release under   |           |
|   | Sec 121.709 were met in accordance with the          |           |
|   | certificate holder\'s design.                        |           |
|   |                                                      |           |
|   | *Sources:* 121.135(a)(1); 121.369; 121.380; 121.709; |           |
|   | AC 39-7C; 8900.1, Volume 3, Chapter 31, Section 5,   |           |
|   | Paragraph 3-3079 (B)(5); AC 120-16D Paragraph 605    |           |
|   | (1)(e);                                              |           |
+---+------------------------------------------------------+-----------+
| 1 | Does the certificate holder receive Emergency AD\'s  | Yes       |
| . | that affect an aircraft type in its fleet? **     ** |           |
| 9 |                                                      | No,       |
| . |                                                      | Explain   |
+---+------------------------------------------------------+-----------+
| 2 | Were the certificate holder\'s policies, procedures, | Yes       |
| \ | instructions, and information for the AD Management, |           |
| . | process followed? **     **                          | No,       |
|   |                                                      | Explain   |
+---+------------------------------------------------------+-----------+
| 3 | Were the AD Management process controls followed?    | Yes       |
| \ | **     **                                            |           |
| . |                                                      | No,       |
|   |                                                      | Explain   |
+---+------------------------------------------------------+-----------+
| 4 | Did the records for the AD Management process comply | Yes       |
| \ | with the instructions provided by the certificate    |           |
| . | holder? **     **                                    | No,       |
|   |                                                      | Explain   |
|   | *Related Performance JTIs:*                          |           |
|   |                                                      |           |
|   | 1\. Check at the records repository for products     |           |
|   | (aircraft, aircraft engine, propeller, or appliance) |           |
|   | operated by the certificate holder; verify the       |           |
|   | Airworthiness Directives \"current status\" (as      |           |
|   | described in the specific instructions of this       |           |
|   | element), are maintained in accordance with the      |           |
|   | certificate holders design.                          |           |
|   |                                                      |           |
|   | *Sources:* 121.380(a)(2)(vi); 121.380(c)(3); FAA     |           |
|   | Order 8900.1, Volume 3, Chapter 31, Section 5,       |           |
|   | Paragraph 3-3079, B5a                                |           |
+---+------------------------------------------------------+-----------+
| 5 | Were the process measurements for the AD Management  | Yes       |
| \ | process effective in identifying problems or         |           |
| . | potential problems and providing corrective action   | No,       |
|   | 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 |                                                                   |
|   |                                                                   |
| - |                                                                   |
|   |                                                                   |
| P |                                                                   |
| e |                                                                   |
| r |                                                                   |
| f |                                                                   |
| o |                                                                   |
| r |                                                                   |
| m |                                                                   |
| a |                                                                   |
| n |                                                                   |
| c |                                                                   |
| e |                                                                   |
|   |                                                                   |
| O |                                                                   |
| b |                                                                   |
| s |                                                                   |
| e |                                                                   |
| r |                                                                   |
| v |                                                                   |
| a |                                                                   |
| b |                                                                   |
| l |                                                                   |
| e |                                                                   |
| s |                                                                   |
|   |                                                                   |
| * |                                                                   |
| * |                                                                   |
| D |                                                                   |
| r |                                                                   |
| o |                                                                   |
| p |                                                                   |
| - |                                                                   |
| D |                                                                   |
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| w |                                                                   |
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| M |                                                                   |
| e |                                                                   |
| n |                                                                   |
| u |                                                                   |
| * |                                                                   |
| * |                                                                   |
+---+-------------------------------------------------------------------+
| 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 |                                                                   |
| y |                                                                   |
| m |                                                                   |
| a |                                                                   |
| y |                                                                   |
| o |                                                                   |
| r |                                                                   |
| m |                                                                   |
| a |                                                                   |
| y |                                                                   |
| n |                                                                   |
| o |                                                                   |
| 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 AD    |
| \ | Management process.                                               |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 2 | Identify the person that has overall authority for the AD         |
| \ | Management process.                                               |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 3 | Review the duties and responsibilities for those who manage the   |
| \ | AD Management process.                                            |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 4 | Review the appropriate organizational chart.                      |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+
| 5 | Discuss the AD Management process with the management personnel   |
| \ | identified in task 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 AD Management     |           |
| . | 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 AD Management process? **     ** | Explain   |
|   |                                                      |           |
|   |                                                      | Na        |
|   |                                                      | me/Title: |
|   |                                                      |           |
|   |                                                      |           |
+---+------------------------------------------------------+-----------+
| 3 | Does the responsible person know that he/she has     | Yes       |
| \ | responsibility for the AD Management process?        |           |
| . | **     **                                            | No,       |
|   |                                                      | Explain   |
|   |                                                      |           |
|   |                                                      | No Change |
+---+------------------------------------------------------+-----------+
| 4 | Does the person with authority know that he/she has  | Yes       |
| \ | authority for the AD Management process? **     **   |           |
| . |                                                      | No,       |
|   |                                                      | Explain   |
|   |                                                      |           |
|   |                                                      | No Change |
+---+------------------------------------------------------+-----------+
| 5 | Does the person with responsibility for the AD       | Yes       |
| \ | Management process meet the qualification standards? |           |
| . | **     **                                            | No,       |
|   |                                                      | Explain   |
|   |                                                      |           |
|   |                                                      | No Change |
+---+------------------------------------------------------+-----------+
| 6 | Does the person with authority to establish and      | Yes       |
| \ | modify the AD Management 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 AD Management process? **     ** | No,       |
|   |                                                      | Explain   |
|   |                                                      |           |
|   |                                                      | No Change |
+---+------------------------------------------------------+-----------+
| 8 | Does the person with authority understand the        | Yes       |
| \ | controls, process measurements, and interfaces       |           |
| . | associated with the AD Management process? **     ** | No,       |
|   |                                                      | Explain   |
|   |                                                      |           |
|   |                                                      | No Change |
+---+------------------------------------------------------+-----------+
| 9 | Does the responsible person know who has authority   | Yes       |
| \ | to establish and modify the AD Management process?   |           |
| . | **     **                                            | No,       |
|   |                                                      | Explain   |
|   |                                                      |           |
|   |                                                      | No Change |
+---+------------------------------------------------------+-----------+
| 1 | Does the individual with authority know who has the  | Yes       |
| 0 | responsibility for the AD Management 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.                                                            |
| \ |                                                                   |
| . |                                                                   |
+---+-------------------------------------------------------------------+