Readiness Certification Assurance Process Tracking System

Readiness Certification Assurance Process Tracking System

RCAPTS is the tool that makes the RCA process work. It is a highly tailorable, role-based, multi-user system designed to manage the RCA process. The RCA process flows from setup and selection of applicable Performance Criteria (requirements) in the Planning Phase through the generation of evidence and verification of the adequacy of the evidence in the Execution Phase, to the optional validation that expectations are met in the Validation Phase. RCAPTS and the RCA process relies upon the services of a Project Readiness Leader to manage the process and support the Project manager. The Project Readiness Leader is a member of the Project Core Team.

Planning Phase

RCAPTS manages the flow in the Planning Phase by capturing the selection of applicable Performance Criteria that are tailored to the specific project scope. The applicable Performance Criteria are assigned to a Responsible Manager (aka Certifier) who will be responsible for ensuring the defined documentation is developed in accordance with applicable command media and certifying that it meets the defined quality and content expectations. The elements of each Performance Criteria are tailorable, within the confines of the command media, to allow a close match to the project scope. The Responsible Manager or “Certifier” must signify acceptance of this responsibility along with the expectations defined in RCAPTS.
RCAPTS also captures the assignment of a “Verifier” who will also signify their agreement with the expected documentation and quality and content expectations. Thus, at the end of the planning phase RCAPTS has captured the set of requirements to be met, the quality and content expectations for the documentation, the individuals responsible for certifying that the criterion is met and for verifying that the requirements are met in accordance with expectations, as well as the mutual agreement with the expectations. Once a Performance Criterion is selected and assigned to a Responsible Manager, it becomes an “Affirmation” for that project. This name change is intended to reflect the affirming actions to be taken by the Certifier and the Verifier along with the recognition that the Performance Criteria has been uniquely tailored to the scope of a particular project.

Execution Phase

The Execution Phase of the RCA process aligns with project execution where the bulk of the project work is accomplished. As key project deliverables are produced, they are captured in RCAPTS by linking the documentation to the applicable Affirmation. To show that a given Affirmation is met, the Certifier, or designee, will produce supporting evidence required to demonstrate that the criteria has indeed been met. 

That evidence is then reviewed by the Verifier and if they also determine that the evidence supports certification and that the performance criterion has been met, then they sign the affirmation signifying that the performance criterion is complete. Documentation supporting completion typically resides in a document management system (e.g., SAP, InfoWorks, etc.) and can be linked to RCAPTS or loaded directly into the RCAPTS database. If the Verifier finds problems with the documentation, then they have the ability to create an Issue within the RCAPTS system. The issue is sent to the Certifier, or their designee, for resolution. Once resolved and the resolution agreed to by the Verifier, then the Affirmation can be completed.

Validation Phase (Optional)

The majority of projects will not need to have a Validation phase. Validations are typically done only for large or complex projects with a high level of external scrutiny. When used, the RCA Board and Chairperson are typically selected from senior management that do not have a direct stake in the project (i.e., not direct line management responsible for project deliverables). The Board is chartered and authorized by the corporate (Owner) manager with authority to authorize operations.

The Board Chairperson runs the validation review of the project prior to the declaration of operational readiness. The Board Chairperson has the final say on acceptance of the evidence.

The role of the RCA Board is to validate that the evidence documentation produced by the Certifier and verified by the Verifier meets the defined expectations for the content and quality of the documentation. If the Validation Phase is used, then when the Verifier is satisfied that a given Affirmation is complete, RCAPTS will inform the RCA Board that the Affirmation is available for Validation. When the Board Chairperson receives the RCAPTS notification that the verification is signed, then a Board meeting is scheduled to discuss the Affirmation. Prior to the meeting the Board Members will review the documentation associated with the Affirmation, enter any comments or questions pertaining to the documentation or their review into RCAPTS. The meeting can be in person, on-line, or done totally within RCAPTS by having the Board Members enter Approval or Comments/Questions Pending for the particular Affirmation (no formal meeting).

The Board also adjudicates unresolved issues between the Certifier and Verifier in accordance with their Charter. The Board Chairperson summarizes the Board’s conversations in RCAPTS and if the Affirmation is acceptable, then signs the Validation statement.

The RCA Board will also:

  • Concur with each functional organization’s certification of readiness;
  • Concur with the proposed closure path for open issues; and
  • Inform the corporate manager with authority to authorize operations (or designee) of the project’s readiness to operate.

Benefits of RCAPTS

  • Provides improved performance with proven efficiencies in costs per startup and issues needing resolution
  • Creates a structured approach for demonstrating compliance
  • Records responsibilities and expectations for developing evidence of compliance
  • Encourages early concurrence between the certifier (develops evidence) and the verifier (reviews evidence) on expectations for evidence
  • Stores and organizes evidence files electronically to promote efficient review
  • Establishes a plan for internal certification
  • Provides documentation to confirm requirements are met
  • Documents communication and captures issues requiring resolution to foster ownership
  • Integrates with Primavera P6 software

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