Appendix 3
j. Surveillance and Analysis of Effectiveness of Maintenance Program.
Operational Data Collection Responsibility DOM.
Prioritization DOM.
Scope Basic. Includes pilot reports, Engine Condition Monitoring (ECM), mechanical delays, cancellations, teardown reports, and other data.
Process Data collection oriented toward detecting trends, positive or negative, before occurrence of events. The CASS committee formally reviews the list of operational data sets collected every 2 years to determine if it needs to be adjusted. The initial list is based on CASS committee experience at other operations and with this fleet.
Flow Flight operations and DOM transmit reports to CASS committee.
Analysis of Operational Data Responsibility DOM.
Prioritization CASS committee.
Process Analysis performed by DOM or chief inspector. Preliminary determination of possible root causes or possible procedural changes.
Flow Report results to the CASS committee.
Corrective Action Responsibility DOM.
Procedures Designates technical personnel to perform final Root Cause Analysis (RCA) and identify corrective action options. DOM oversees the process and ensures the RCA process, including human factors and systems analysis, is followed.
Use of specific analytical systems Based on DOM’s training and internally developed procedures.
Flow DOM presents corrective action options to CASS committee.
Selection of Corrective Action and Corrective Action Plan Responsibility CASS committee.
Procedures Decision based on a priority for safety and regulatory compliance. Risk assessment is the basic tool to support the decision. CASS committee verifies systems considerations and relevance to RCA.
Flow CASS committee makes selection.
Appendix 3 Followup Responsibility CASS committee.
Procedures Affected technical personnel report to CASS committee on implementation of corrective action. DOM may independently verify.
Followup audit planned for following year cycle of audits.
Flow Technical area reports to DOM, who informs CASS committee.
NOTE: The above tables provide many examples of the system safety attributes: controls and procedures.
k. Communications Between CASS and Other Personnel (A System Safety Attribute:
Interfaces).
Communication Specific CASS Results and Actions Responsibility CASS committee.
Procedures Audits based on updated checklists. The CASS committee collects operational data and stores it in files. Audit and analysis results communicated through electronic mail.
Flow Electronic mail communications to all company management.
Communications with Maintenance Personnel Responsibility CASS committee.
Procedures DOM conducts initial briefing for all personnel to orient them on CASS.
Flow DOM to all affected personnel.
Interfaces (A System Safety Attribute — Interfaces) Responsibility CASS committee.
Procedures DOM provides regular reports on analysis results, trends, and concerns regarding operational data.
To CASS Committee Chief inspector reviews reports at least annually and reviews maintenance-related Aviation Safety Reporting Program reports for consideration in setting audit and operational data collection priorities.
Feedback to technical areas regarding findings, trends, concerns, and followup results.
From CASS Committee CASS committee meeting minutes.
Flow Communications channeled through DOM.
l. Personnel Who Perform CASS Functions. Auditors and analysts are only part-time in these functions. They receive some specific CASS training, including on-the-job and formal training.
Appendix 3 Page 5 (and 6) How the Certificate Holder Evaluates its CASS (A System Safety Attribute: Process Measurement) Responsibility CEO.
Procedures CEO reviews indicators of a properly designed and functioning CASS, including quality of analysis, independence of the audits, and sufficiency of third-party audit procedures.
Flow The CEO documents his or her review and shares it with CASS committee members and the FAA principal inspector (PI).
Appendix 4 APPENDIX 4. CASS MANUAL/DOCUMENT SAMPLE CONTENTS
a. General Information.
(1) Definition of terms.
(2) Purpose of the Continuing Analysis and Surveillance System (CASS).
b. System Organization and Personnel.
(1) CASS organizational chart.
(2) Person/position with authority, including how to determine whether a CASS is functioning properly and policies/procedures for modifying the CASS.
(3) Person/position with responsibility.
(4) Duties and responsibilities of CASS personnel (supervisors, auditors, analysts).
c. Elements Basic to a CASS.
(1) Policies/procedures for scheduling and conducting internal/external audits.
(2) Policies/procedures for identifying and updating the list of operational data sets to be collected, and for collecting data.
(3) Policies/procedures for analyzing audit results.
(4) Policies/procedures for analyzing operational data.
(5) Policies/procedures for developing proposed corrective actions, and analyzing them.
(6) Policies/procedures for approving and implementing corrective actions, including changes to the maintenance program.
(7) Policies/procedures for monitoring and followup of corrective actions.
d. Critical CASS Interfaces.
(1) Policies/procedures for communications within the CASS and between the CASS and other areas of the operation.
(2) Interface documents (audit forms and checklists, corrective action notices, statistical and periodic reports, etc.; including, as applicable, control, storage, retrieval of CASS records and communications).
e. Relationship of the CASS to Other Programs. Policies/procedures to integrate or relate other certificate holder programs to the CASS.
Appendix 4
f. Personnel Qualifications.
(1) Policies/procedures regarding qualifications and training of CASS personnel.
(2) Training records.
Appendix 5 APPENDIX 5. PUBLICATIONS USED TO DEVELOP THIS AC
a. Related Documents (current editions). See http://www.airweb.faa.gov.
• Advisory Circular (AC) 00–46, Aviation Safety Reporting Program.
• AC 00–58, Voluntary Disclosure Reporting Program.
• AC 120–16, Air Carrier Maintenance Programs.
• AC 120–59, Air Carrier Internal Evaluation Programs.
• AC 120–66, Aviation Safety Action Programs (ASAP).
• AC 120–72, Maintenance Resource Management Training.
• AC 120–92, Introduction to Safety Management Systems for Air Operators.
• AC 129–4, Maintenance Programs for U.S.-Registered Aircraft Under 14 CFR Part 129.
• Federal Aviation Administration (FAA) Order 8040.4, Safety Risk Management.
• FAA Order 8900.1, Flight Standards Information System (FSIMS).
b. Other Documents and Information Used to Prepare This AC. In addition to the references cited above, this AC was prepared using the following documents and information:
• Beyond Aviation Human Factors (1995). Daniel E. Maurino, James Reason, Neil Johnson, and Rob B. Lee. Hants, England: Ashgate Publishing Limited.
• Handbook of Airline Operations (2000). Gail F. Butler and Martin R. Keller, editors.
New York: The McGraw-Hill Companies, Inc.
• Handbook of Aviation Human Factors (1999). Daniel J. Garland, John A. Wise, and V.
David Hopkin, editors. Mahwah, NJ: Lawrence Erlbaum Associates, Inc.
• Human Factors and Maintenance Resource Management (March 7, 2002). Presented by Yosef Morgan, Applications Manager, Maricopa County Community College. Phoenix, Arizona.
• Human Factors in Aviation (1998). Edited by Earl L. Wiener and David C. Nagel. San Diego: Academic Press.
• Managing the Risks of Organizational Accidents (1997). James T. Reason. Hants, England: Ashgate Publishing Limited.
Appendix 5
• Risk Management in Aviation (March 7, 2002). Presented by Jim Hein, Federal Aviation Administration Safety Inspector, Honolulu Flight Standards District Office. Phoenix, Arizona.
• The Limits of Safety: Organizations, Accidents, and Nuclear Weapons (1993). Scott Douglas Sagan. Princeton, NJ: Princeton University Press.