Unscoped DCT Report (Standard DCT)


MLF Label: 1.1 Safety Programs
DCT Type: SP DCT
Specialty: Airworthiness
Peer Group: A - Part 121 Air Operators
DCT Revision: 18.0 on 12/19/18 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): The CH is responsible to manage the safety of the Safety Management processes within its operation.
Objective (FAA Responsibility): The FAA objective is to determine if the CH; (1) Met regulatory requirements, guidance, and safety performance objectives of its Safety Management processes, and; (2) Managed safety of the Safety Management processes by incorporating system safety principles which include safety attributes.


The Safety Programs
  1.1 Safety Programs
     1.1.3 (AW) Continuous Analysis and Surveillance System (CASS)
     1.1.4 (AW) Reliability Program
     1.1.6 (AW) Safety Program


Questions Answers References
  1.1.4 (AW) Reliability Program
8   
Did your observations of Reliability Program procedures indicate the certificate holder met regulatory and guidance requirements?




Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "D074") OR (OPSPEC = "D075") OR (OPSPEC = "D079")) ,  Rev.  8  6/28/2018 9:00:38 AM, 

QID:
 00011422, Response Details: SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable
8900.1 Vol 3 Ch 40 Sec 1, 8900.1 Vol 3 Ch 41 Sec 1, 8900.1 Vol 6 Ch 2 Sec 31, 8900.1 Vol 6 Ch 2 Sec 33, AC-120-17, AC-25-19, D074, D075, D077, D079, D088, 119.65(d), 8900.1 Vol 3 Ch 64 Sec 1
9   
Did the certificate holder effectively mitigate unacceptable levels of risk(s) for the Reliability Program process?




Safety Attribute: Controls,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "D074") OR (OPSPEC = "D075") OR (OPSPEC = "D079")) ,  Rev.  5  3/23/2018 3:55:45 PM, 

QID:
 00011423, Response Details: SP DCTs (Both OP and AW),  Status: Released

  Controls were effective
  Isolated instance(s) when controls were not effective
  Several instances when controls were not effective
  Systemic, significant issues, or regulatory non-compliance
  Not Observable
5.51, 5.53, 5.55
10   
Did the certificate holder's Reliability Program process ensure consistency of related processes between departments and employees (interfaces)?




Safety Attribute: Interfaces,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "D074") OR (OPSPEC = "D075") OR (OPSPEC = "D079")) ,  Rev.  4  3/23/2018 3:55:45 PM, 

QID:
 00011424, Response Details: SP DCTs (Both OP and AW),  Status: Released

  Interfaces were effective
  Isolated instance(s) when controls were not effective
  Several instances when controls were not effective
  Systemic or significant issues
  Not Observable
11   
Did the responsible person for Reliability Program process provide adequate resources (financial and human) to ensure the safety and performance in support of all process objectives?




Safety Attribute: Management Responsibility,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "D074") OR (OPSPEC = "D075") OR (OPSPEC = "D079")) ,  Rev.  4  3/23/2018 3:55:45 PM, 

QID:
 00011425, Response Details: SP DCTs (Both OP and AW),  Status: Released

  Management of the process was effective
  Isolated instance(s) where management of the process was ineffective
  Several instances where management of the process was ineffective
  Systemic, significant issues, or regulatory non-compliance
  Not Observable
5.23(a), 5.25(a), 5.25(b), 5.25(c), 5.21
12   
Did the person with authority over the certificate holder's Reliability Program process effectively plan, direct, control, or change procedures, and make key determinations, including safety risk acceptance decisions?




Safety Attribute: Management Authority,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "D074") OR (OPSPEC = "D075") OR (OPSPEC = "D079")) ,  Rev.  4  3/23/2018 3:55:45 PM, 

QID:
 00011426, Response Details: SP DCTs (Both OP and AW),  Status: Released

  Management of the process was effective
  Isolated instance(s) where management of the process was ineffective
  Several instances where management of the process was ineffective
  Systemic, significant issues, or regulatory non-compliance
  Not Observable
5.23(b)
13   
Did the certificate holder monitor and measure the safety performance of the Reliability Program process to identify process deficiencies and take action to correct identified deficiencies?




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

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "D074") OR (OPSPEC = "D075") OR (OPSPEC = "D079")) ,  Rev.  6  3/30/2018 9:46:45 AM, 

QID:
 00011427, Response Details: SP DCTs (Both OP and AW),  Status: Released

  Process measurements were effective
  Isolated instance(s) when process measurements were not used or ineffective
  Several instances when process measurements were not used or ineffective
  Systemic, significant issues, or regulatory non-compliance
  Not Observable
5.75, 5.71, 5.73
14   
Were individuals knowledgeable on how their safety-related duties contributed to the safety performance of the Reliability Program process?




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

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "D074") OR (OPSPEC = "D075") OR (OPSPEC = "D079")) ,  Rev.  3  3/23/2018 3:55:40 PM, 

QID:
 00011428, Response Details: SP DCTs (Both OP and AW),  Status: Released

  Individuals were knowledgeable
  Isolated instances where knowledge was lacking
  Several instances where knowledge was lacking
  Systemic, significant issues, or regulatory non-compliance
  Not Observable
5.23(a), 5.91, 5.93
  1.1.3 (AW) Continuous Analysis and Surveillance System (CASS)
1   
Did your observations of Continuous Analysis and Surveillance System (CASS) procedures indicate the certificate holder met regulatory and guidance requirements?




Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  11  12/19/2018 1:54:53 PM, 

QID:
 00011415, Response Details: SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable
8900.1 Vol 3 Ch 44 Sec 1, 8900.1 Vol 6 Ch 2 Sec 30, AC-120-16, AC-120-79, 121.373(a), 121.373(b)
2   
Did the certificate holder effectively mitigate unacceptable levels of risk(s) for Continuous Analysis and Surveillance System (CASS) process?




Safety Attribute: Controls,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  3/23/2018 3:55:39 PM, 

QID:
 00011416, Response Details: SP DCTs (Both OP and AW),  Status: Released

  Controls were effective
  Isolated instance(s) when controls were not effective
  Several instances when controls were not effective
  Systemic, significant issues, or regulatory non-compliance
  Not Observable
5.51, 5.53, 5.55
3   
Did the certificate holder's Continuous Analysis and Surveillance System (CASS) process ensure consistency of related processes between departments and employees (interfaces)?




Safety Attribute: Interfaces,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/23/2018 3:55:45 PM, 

QID:
 00011417, Response Details: SP DCTs (Both OP and AW),  Status: Released

  Interfaces were effective
  Isolated instance(s) when interfaces were ineffective
  Several instances when interfaces were ineffective
  Systemic or significant issues
  Not Observable
4   
Did the responsible person for the Continuous Analysis and Surveillance System (CASS) process provide adequate resources (financial and human) to ensure the safety and performance in support of all process objectives?




Safety Attribute: Management Responsibility,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  3/23/2018 3:55:39 PM, 

QID:
 00011418, Response Details: SP DCTs (Both OP and AW),  Status: Released

  Management of the process was effective
  Isolated instance(s) where management of the process was ineffective
  Several instances where management of the process was ineffective
  Systemic, significant issues, or regulatory non-compliance
  Not Observable
5.23(a), 5.25(a), 5.25(b), 5.25(c), 5.21
5   
Did the person with authority over the certificate holder's Continuous Analysis and Surveillance System (CASS) process effectively plan, direct, control, or change procedures, and make key determinations, including safety risk acceptance decisions?




Safety Attribute: Management Authority,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  3/23/2018 3:55:39 PM, 

QID:
 00011419, Response Details: SP DCTs (Both OP and AW),  Status: Released

  Management of the process was effective
  Isolated instance(s) where management of the process was ineffective
  Several instances where management of the process was ineffective
  Systemic, significant issues, or regulatory non-compliance
  Not Observable
5.23(b)
6   
Did the certificate holder monitor and measure the safety performance of the Continuous Analysis and Surveillance System (CASS) process to identify process deficiencies and take action to correct identified deficiencies?




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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/30/2018 9:46:44 AM, 

QID:
 00011420, Response Details: SP DCTs (Both OP and AW),  Status: Released

  Process measurements were effective
  Isolated instance(s) when process measurements were not used or ineffective
  Several instances when process measurements were not used or ineffective
  Systemic, significant issues, or regulatory non-compliance
  Not Observable
5.75, 5.71, 5.73
7   
Were individuals knowledgeable on how their safety-related duties contributed to the safety performance of the Continuous Analysis and Surveillance System (CASS) process?




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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  3/23/2018 3:55:39 PM, 

QID:
 00011421, Response Details: SP DCTs (Both OP and AW),  Status: Released

  Individuals were knowledgeable
  Isolated instances where knowledge was lacking
  Several instances where knowledge was lacking
  Systemic, significant issues, or regulatory non-compliance
  Not Observable
5.23(a), 5.91, 5.93
  1.1.6 (AW) Safety Program
15   
Did your observations of Safety Program procedures indicate the certificate holder met regulatory and guidance requirements?




Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121") AND ((SAFETY PROGRAMS = "ASAP") OR (SAFETY PROGRAMS = "IEP") OR (SAFETY PROGRAMS = "VDRP")) ,  Rev.  4  6/28/2018 9:00:38 AM, 

QID:
 00050259, Response Details: SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable
8900.1 Vol 11 Ch 1 Sec 1, 8900.1 Vol 3 Ch 28 Sec 1, AC-00-58, AC-120-59, AC-120-66, AC-120-82, 119.65, 121.135(b), 8900.1 Vol 10 Ch 3 Sec 1, 8900.1 Vol 3 Ch 18 Sec 2
16   
Did the certificate holder effectively mitigate unacceptable levels of risk(s) for the Safety Program process?




Safety Attribute: Controls,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121") AND ((SAFETY PROGRAMS = "ASAP") OR (SAFETY PROGRAMS = "IEP") OR (SAFETY PROGRAMS = "VDRP")) ,  Rev.  2  3/23/2018 3:55:53 PM, 

QID:
 00050260, Response Details: SP DCTs (Both OP and AW),  Status: Released

  Controls were effective
  Isolated instance(s) when controls were not effective
  Several instances when controls were not effective
  Systemic, significant issues, or regulatory non-compliance
  Not Observable
5.51, 5.53, 5.55
17   
Did the certificate holder's Safety Program process ensure consistency of related processes between departments and employees (interfaces)?




Safety Attribute: Interfaces,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121") AND ((SAFETY PROGRAMS = "ASAP") OR (SAFETY PROGRAMS = "IEP") OR (SAFETY PROGRAMS = "VDRP")) ,  Rev.  2  3/23/2018 3:55:53 PM, 

QID:
 00050261, Response Details: SP DCTs (Both OP and AW),  Status: Released

  Interfaces were effective
  Isolated instance(s) when interfaces were ineffective
  Several instances when interfaces were ineffective
  Systemic or significant issues
  Not Observable
18   
Did the responsible person for the Safety Program process provide adequate resources (financial and human) to ensure the safety and performance in support of all process objectives?




Safety Attribute: Management Responsibility,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121") AND ((SAFETY PROGRAMS = "ASAP") OR (SAFETY PROGRAMS = "IEP") OR (SAFETY PROGRAMS = "VDRP")) ,  Rev.  2  3/23/2018 3:55:53 PM, 

QID:
 00050262, Response Details: SP DCTs (Both OP and AW),  Status: Released

  Management of the process was effective
  Isolated instance(s) where management of the process was ineffective
  Several instances where management of the process was ineffective
  Systemic, significant issues, or regulatory non-compliance
  Not Observable
5.23(a), 5.25(a), 5.25(b), 5.25(c), 5.21
19   
Did the person with authority over the certificate holder's Safety Program process effectively plan, direct, control, or change procedures, and make key determinations, including safety risk acceptance decisions?




Safety Attribute: Management Authority,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121") AND ((SAFETY PROGRAMS = "ASAP") OR (SAFETY PROGRAMS = "IEP") OR (SAFETY PROGRAMS = "VDRP")) ,  Rev.  2  3/23/2018 3:55:53 PM, 

QID:
 00050263, Response Details: SP DCTs (Both OP and AW),  Status: Released

  Management of the process was effective
  Isolated instance(s) where management of the process was ineffective
  Several instances where management of the process was ineffective
  Systemic, significant issues, or regulatory non-compliance
  Not Observable
5.23(b)
20   
Did the certificate holder monitor and measure the safety performance of the Safety Program process to identify process deficiencies and take action to correct identified deficiencies?




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

Scoping Attribute:
  (FAR PART = "121") AND ((SAFETY PROGRAMS = "ASAP") OR (SAFETY PROGRAMS = "IEP") OR (SAFETY PROGRAMS = "VDRP")) ,  Rev.  3  3/30/2018 9:46:47 AM, 

QID:
 00050264, Response Details: SP DCTs (Both OP and AW),  Status: Released

  Process measurements were effective
  Isolated instance(s) when process measurements were not used or ineffective
  Several instances when process measurements were not used or ineffective
  Systemic, significant issues, or regulatory non-compliance
  Not Observable
5.75, 5.71, 5.73
21   
Were individuals knowledgeable on how their safety-related duties contributed to the safety performance of the Safety Program process?




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

Scoping Attribute:
  (FAR PART = "121") AND ((SAFETY PROGRAMS = "ASAP") OR (SAFETY PROGRAMS = "IEP") OR (SAFETY PROGRAMS = "VDRP")) ,  Rev.  1  3/23/2018 3:56:02 PM, 

QID:
 00051976, Response Details: SP DCTs (Both OP and AW),  Status: Released

  Individuals were knowledgeable
  Isolated instances where knowledge was lacking
  Several instances where knowledge was lacking
  Systemic, significant issues, or regulatory non-compliance
  Not Observable
5.23(a), 5.91, 5.93


Response Details List  SP 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