Unscoped DCT Report (Standard DCT)

MLF Label: 1.3.3 (AW) Coordinating Agencies for Suppliers Evaluation (CASE) (Released)
DCT Type: ED DCT
Specialty: Airworthiness
Peer Group: B - Part 135 (10 or More Seats)
DCT Revision: 6.0 on 07/13/2016 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To meet all requirements as a member of C.A.S.E.

Objective (FAA Responsibility): Determine if the CH will be able to; (1) Comply with regulations; (2) Meet all requirements as a member of C.A.S.E.


Questions Answers References
1.3.3 (AW) Coordinating Agencies for Suppliers Evaluation (CASE)
1. Is the individual with responsibility clearly identifiable and required to have the knowledge and qualifications necessary to plan, organize, direct and control activities for this element?



NOTE: 


Safety Attribute: Management Responsibility, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121") OR (FAR PART = "135") OR (FAR PART = "145") , Rev.  5.0  07/12/2016, QID: 00010624, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
2. Is the individual with authority clearly identifiable, and required to have the knowledge and qualifications necessary to direct, control, or change procedures, and make key decisions, such as safety risk acceptance, associated with this element?



NOTE: 


Safety Attribute: Management Authority, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121") OR (FAR PART = "135") OR (FAR PART = "145") , Rev.  5.0  07/12/2016, QID: 00010630, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
3. Are there process measurements that provide for the continuous monitoring and measuring of safety performance related to this element, to identify deficiencies or hazards?



NOTE: 


Safety Attribute: Process Measurement, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121") OR (FAR PART = "135") OR (FAR PART = "145") , Rev.  5.0  07/12/2016, QID: 00010622, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
4. Do the procedures specify for the use of C.A.S.E. as a means of qualifying vendors for services, parts, and materials?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (OPSPEC = "D090" ) , Rev.  1.0  09/20/2012, QID: 00001139, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
D090
5. Do the procedures specify that C.A.S.E. activities will be conducted following:
      #1 The most current revision of the C.A.S.E. Policy and Procedures Manual, Air Carrier Section; and
      #2 The Operator's manual?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (OPSPEC = "D090" ) , Rev.  2.0  06/23/2014, QID: 00001140, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
D090
6. Do the procedures include requirements for:
      #1 Validating that the C.A.S.E. audit, performed to the 1-A standard, accounts for all aspects of the Operator's inspection, maintenance, and alterations programs, including future revisions to those programs;
      #2 Ensuring the manual contains the C.A.S.E. minimum requirements, contained in Chapter 2 of the C.A.S.E. Policy and Procedures Manual, and the requirements are not contrary to the Operator's manual;
      #3 Justifying a request for a C.A.S.E. deviation or exemption and informing the Principal Inspector of any deviations or exemptions issued by C.A.S.E. to the Operator; and
      #4 Immediately notifying the Principal Inspector should the Operator cease to maintain a sustaining membership to C.A.S.E. or lose the required auditor and evaluator?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (OPSPEC = "D090" ) , Rev.  2.0  06/23/2014, QID: 00001143, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 3 Ch 49 Sec 1
7. Do the procedures include requirements for:
      #1 Tracking and completing C.A.S.E. allocated audits within the established time limits;
      #2 Ensuring that the Operator's C.A.S.E. representative performs periodic self-audits using the CACS-6 Form;
      #3 Ensuring the use of the C.A.S.E. 1-A standard and checklist when performing C.A.S.E. audits; and
      #4 Notifying the FAA of any safety of flight finding during an audit?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (OPSPEC = "D090" ) , Rev.  1.0  09/20/2012, QID: 00001148, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 3 Ch 49 Sec 1
8. Do the procedures include requirements for:
      #1 Maintaining records of C.A.S.E. required audits;
      #2 Ensuring the C.A.S.E. manual is kept current and that C.A.S.E. representatives, auditors, and evaluators are made aware of manual revisions;
      #3 Providing C.A.S.E. manual revisions to the Principal Inspector;
      #4 Maintaining connectivity with the C.A.S.E. computer system utilizing the appropriate hardware and software; and
      #5 Ensuring that the C.A.S.E. representative attends C.A.S.E. semi-annual conferences?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (OPSPEC = "D090" ) , Rev.  2.0  06/23/2014, QID: 00001153, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 3 Ch 49 Sec 1
9. Do the procedures ensure the Operator retains primary responsibility for the airworthiness of parts and materials processed through any vendor or contractor and all services rendered to its operation?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (OPSPEC = "D090" ) , Rev.  1.0  09/20/2012, QID: 00001159, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
D090; 135.413
10. Do procedures assure C.A.S.E. auditors meet the requirement for C.A.S.E certification?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (OPSPEC = "D090" ) , Rev.  2.0  03/05/2014, QID: 00001160, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 3 Ch 49 Sec 1
11. Does the training program include requirements to ensure that each C.A.S.E. auditor used is:
      #1 Fully informed about procedures and techniques and new equipment in use; and
      #2 Competent, qualified, and certified to perform his or her duties?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (OPSPEC = "D090" ) , Rev.  2.0  06/23/2014, QID: 00001161, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 3 Ch 49 Sec 1
12. Do the procedures require cancellation of the OpSpecs authorization to use C.A.S.E. if:
      #1 The Air Carrier Section of C.A.S.E. should cease to exist or function; or
      #2 The Operator ceases to maintain an active sustaining membership?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (OPSPEC = "D090" ) , Rev.  2.0  06/23/2014, QID: 00001164, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 3 Ch 49 Sec 1; D090
13. Do procedures exist in enough detail to meet the regulatory and guidance requirements for this element to produce the intended results?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121") OR (FAR PART = "135") OR (FAR PART = "145") , Rev.  5.0  07/12/2016, QID: 00010595, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
14. Do controls exist to ensure processes associated with this element achieve 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 = "145") OR (FAR PART = "121") OR (FAR PART = "135") , Rev.  4.0  07/12/2016, QID: 00010681, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
15. Does the certificate holder have a method to evaluate the impact of changes on related processes (interfaces) for this element?



NOTE: 


Safety Attribute: Interfaces, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121") OR (FAR PART = "135") OR (FAR PART = "145") , Rev.  5.0  07/12/2016, QID: 00010623, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   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/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