Unscoped DCT Report (Standard DCT)


MLF Label: 1.1.2 (OP) Safety Program (Ground and Flight)
DCT Type: EP DCT
Specialty: Operations
Peer Group: D - Part 135 (9 or Less Seats/Single Pilot)
DCT Revision: 9.0 on 07/07/17 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To develop an effective safety program that identifies safety concerns and implements corrective actions.
Objective (FAA Responsibility): Determine; (1) If the CH followed the accepted or approved process; (2) If the CH developed an effective safety program that identifies safety concerns and implements corrective actions.




Questions Answers References
  1.1.2 (OP) Safety Program (Ground and Flight)
1   
Best describe how the Operators safety structure identified hazards and controlled risk in flight, maintenance, and ground operations.




NOTE: 

Safety Attribute: Process Measurement,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( SAFETY PROGRAMS = "IEP" ) ,  Rev.  2  7/17/2014 4:35:52 PM, 

QID:
 00011000, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The safety structure effectively identified hazards and mitigated risk
  The safety structure identified some hazards and mitigated some risk
  The safety structure did not identify hazards and did not mitigate risk
  Not Observable
  Not Applicable
AC-120-59, 8900.1 Vol 3 Ch 28 Sec 1
2   
Best describe how the Operator processed voluntary safety reports within the ASAP.




NOTE: 

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( SAFETY PROGRAMS = "ASAP" ) ,  Rev.  2  7/17/2014 4:35:55 PM, 

QID:
 00011012, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Consistently followed procedures
  Some steps were missed or not followed
  Procedures were not consistently followed or adequate
  Not Observable
  Not Applicable
AC-120-66, 8900.1 Vol 11 Ch 2 Sec 1
3   
Best describe how the Operator used the following four basic elements of the FOQA program to identify and correct deficiencies in all areas of flight operations:

      # Airborne Data Recording Systems;
      # Data Transmittal Systems;
      # Data Analysis Systems; and
      # FOQA Organizational Structure.



NOTE: 

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( SAFETY PROGRAMS = "FOQA" ) ,  Rev.  2  7/17/2014 4:35:56 PM, 

QID:
 00011013, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Consistently followed procedures
  Some steps were missed or not followed
  Procedures were not consistently followed or adequate
  Not Observable
  Not Applicable
AC-120-82, 8900.1 Vol 11 Ch 2 Sec 2
4   
Was the individual with responsibility qualified, knowledgeable and accountable, and did they effectively manage the planning, organizing, directing, and control of this element?




NOTE: 

Safety Attribute: Management Responsibility,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135" OR "145") ,  Rev.  6  6/22/2017 11:00:49 AM, 

QID:
 00010687, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes, as documented to the FAA
  No
  Not Observable
  Not Applicable
5   
Was the individual with authority qualified and knowledgeable and effectively directing, controlling, or changing procedures, and making key determinations including safety risk acceptance decisions?




NOTE: 

Safety Attribute: Management Authority,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135" OR "145") ,  Rev.  6  6/22/2017 11:00:49 AM, 

QID:
 00010688, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
6   
Did the certificate holder continuously monitor and measure the safety performance of this element to identify deficiencies and implement necessary action(s)?




NOTE: 

Safety Attribute: Process Measurement,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135" OR "145") ,  Rev.  6  6/22/2017 11:00:49 AM, 

QID:
 00010685, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
7   
Does the Operator conduct safety audits and inspections?




NOTE: 

Safety Attribute: Process Measurement,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( SAFETY PROGRAMS = "IEP" ) ,  Rev.  3  7/17/2014 4:35:53 PM, 

QID:
 00011001, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
AC-120-59, 8900.1 Vol 3 Ch 28 Sec 1
8   
Were the operations monitoring and trend analysis programs used?




NOTE: 

Safety Attribute: Process Measurement,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( SAFETY PROGRAMS = "IEP" ) ,  Rev.  3  7/17/2014 4:35:53 PM, 

QID:
 00011002, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
AC-120-59, 8900.1 Vol 3 Ch 28 Sec 1
9   
Were identified safety concerns communicated to the appropriate parties?




NOTE: 

Safety Attribute: Process Measurement,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( SAFETY PROGRAMS = "IEP" ) ,  Rev.  3  7/17/2014 4:35:54 PM, 

QID:
 00011003, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
AC-120-59, 8900.1 Vol 3 Ch 28 Sec 1
10   
Were employees and contractors provided with safety awareness information and safety awareness education?




NOTE: 

Safety Attribute: Process Measurement,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( SAFETY PROGRAMS = "IEP" ) ,  Rev.  3  7/17/2014 4:35:54 PM, 

QID:
 00011004, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Employees were consistently provided with information and education
  Employees were not consistently provided with information and education
  Not Observable
  Not Applicable
AC-120-59, 8900.1 Vol 3 Ch 28 Sec 1
11   
Does the Operator have a written emergency response plan?




NOTE: 

Safety Attribute: Process Measurement,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( SAFETY PROGRAMS = "IEP" ) ,  Rev.  3  7/17/2014 4:35:57 PM, 

QID:
 00011019, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
AC-120-59, 8900.1 Vol 3 Ch 28 Sec 1
12   
Did the certificate holder follow policies, procedures, instructions, and information for this element?




NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135" OR "145") ,  Rev.  6  6/22/2017 11:00:49 AM, 

QID:
 00010682, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
13   
Does the Operator have a voluntary IEP that actively identifies hazards to control risks associated with flight, maintenance, and ground operations?




NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( SAFETY PROGRAMS = "IEP" ) ,  Rev.  2  7/17/2014 4:35:57 PM, 

QID:
 00011018, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
AC-120-59, 8900.1 Vol 3 Ch 28 Sec 1
14   
Were the operations monitoring and trend analysis programs used in accordance with the FOQA program?




NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (SAFETY PROGRAMS = "FOQA") ,  Rev.  1  3/29/2014 7:22:41 AM, 

QID:
 00025607, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
AC-120-82, 8900.1 Vol 11 Ch 2 Sec 2
15   
Did the certificate holder follow VDRP procedures that met the intent of Advisory Circular 00-58?




NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (SAFETY PROGRAMS = "VDRP") ,  Rev.  1  7/7/2017 4:50:32 PM, 

QID:
 00051211, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
AC-00-58, 8900.1 Vol 11 Ch 1 Sec 1
16   
Were the certificate holder's controls for this element effective in achieving the intended results?




NOTE: Controls associated with this element may include, but are not limited to, hardware, software, special procedures or procedural steps, checklists, or supervisory practices.

Safety Attribute: Controls,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135" OR "145") ,  Rev.  6  6/22/2017 11:00:49 AM, 

QID:
 00010684, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
17   
Were the certificate holder's interfaces effective for this element?




NOTE: 

Safety Attribute: Interfaces,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135" OR "145") ,  Rev.  6  6/22/2017 11:00:49 AM, 

QID:
 00010686, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable


Response Details List  EP & ED DCTs (Both OP and AW) (Released, 1.0)
1 Unclear procedure(s)
2 Conflicting procedure(s)
3 Used workaround(s)
4 Skipped process step(s)
5 Personnel failed to follow process (procedures, guidance, etc)
6 Procedures/guidance not available
7 Procedures/guidance not current
8 Inconsistent procedure(s)
9 Undocumented procedure(s)
10 Minor typographical error(s) (i.e. record entries)
11 Information missing
12 Communication failure(s)
13 Personnel failed to perform task
14 Process failed to meet desired outcome
15 Process oversight failure
16 Equipment/tools not available
17 Equipment/tools not adequate
18 Equipment/tools not calibrated
19 Facilities not adequate
20 Other
Response Details List  N/O Response Detail (Released, 1.0)
1 Personnel (i.e. key certificate holder personnel not present/available)
2 Equipment (i.e. equipment not present/available/in serviceable condition)
3 Event did not occur (i.e. the drunk passenger did not show up for the flight...)
4 Time Constraints (i.e. resources/workload)
5 Weather (i.e. weather needed for observation not present or weather made observation impossible)
6 Other
Response Details List  N/A Response Detail (Released, 1.0)
1 Operator not authorized by OpSpecs
2 Equipment not equipped/authorized
3 Not applicable due to exemption, deviation, or exception
4 Not authorized by regulation
5 Not authorized by Order
6 Not authorized by Notice
7 Not authorized/recommended by Advisory Circular
8 Not authorized by Policy Letter, Legal Interpretation, or other guidance
9 Other