Unscoped DCT Report (Standard DCT)


MLF Label: 3.3.1 (OP) Operational Control DCT Type: EP DCT Specialty: Operations Peer Group: E - Part 135 (HAA) DCT Revision: 17.0 on 06/26/19 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To exercise authority and control over initiating, conducting and terminating flights.
Objective (FAA Responsibility): Determine; (1) If the CH followed the accepted or approved process; (2) If the CH exercised authority and control over initiating, conducting and terminating flights.

The (OP) Operational Control Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  3.3.1 (OP) Operational Control
1   
Best describe how the Operator complied with their established emergency operations procedures.


REFERENCES: 8900.1 Vol 3 Ch 18 Sec 9, 135.19, 135.69

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00013580, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Consistently followed the procedures
  Some steps were missed or not followed
  Procedures were not consistently followed or adequate
  Not Observable
  Not Applicable
2   
Best describe how the certificate holder followed the procedures in its accepted manual for each airplane used in SIC PDP.


REFERENCES: 8900.1 Vol 3 Ch 68 Sec 1, AC-135-43, A062

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A062") ,  Rev.  1  2/27/2019 12:08:15 PM, 

QID:
 00054680, 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
3   
Were financial and human resources provided to ensure the safety and quality performance of this element?


REFERENCES: AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3

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

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/15/2019 9:08:44 AM, 

QID:
 00051936, Response Details: Responsibility ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
4   
Were financial and human resources provided to ensure the safety and quality performance of this element?


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

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND NOT (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/15/2019 9:08:43 AM, 

QID:
 00051950, Response Details: Responsibility ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
5   
Did the person with authority over the certificate holder's process effectively plan, direct and control resources, or change procedures and make key determinations including safety risk acceptance decisions for this element?


REFERENCES: AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3

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

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/15/2019 9:08:43 AM, 

QID:
 00051937, Response Details: Authority ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
6   
Did the person with authority over the certificate holder's process effectively plan, direct and control resources, or change procedures and make key determinations including safety risk acceptance decisions for this element?


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

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND NOT (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/15/2019 9:08:44 AM, 

QID:
 00051951, Response Details: Authority ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
7   
Were the certificate holder's process measurement(s) used to evaluate the performance of this element and if necessary, implement corrective action?


REFERENCES: AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3

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

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/15/2019 9:08:44 AM, 

QID:
 00051938, Response Details: Process Measurement ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
8   
Were the certificate holder's process measurement(s) used to evaluate the performance of this element and if necessary, implement corrective action?


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

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND NOT (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/15/2019 9:08:44 AM, 

QID:
 00051952, Response Details: Process Measurement ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
9   
Was the name and title of each person authorized to exercise operational control listed in the manual?


REFERENCES: 8900.1 Vol 3 Ch 32 Sec 1, 8900.1 Vol 3 Ch 32 Sec 4, 135.23(a), 135.77

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  3  9/20/2017 10:42:05 AM, 

QID:
 00011569, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
10   
Did the certificate holder designate a:

      #1 PIC for each flight; and
      #2 SIC for each flight requiring two pilots?

REFERENCES: 135.109(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  3  9/28/2018 1:24:52 PM, 

QID:
 00012567, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
11   
Did the PIC, as designated by the certificate holder, remain the PIC at all times during that flight?


REFERENCES: 135.109(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  9/28/2018 1:24:52 PM, 

QID:
 00012570, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
12   
When an FAA flight plan was not filed, did the flight following and locating:

      #1 Provide at least the information required in a VFR flight plan;
      #2 When operations were conducted in an area in which radio contact was not maintained with ATC, did the PIC re-establish radio or telephone communications at the location, date, and estimated time;
      #3 Information was retained at the principal base of operations, or at other places designated by the Operator, until the completion of the flight; and
      #4 When an aircraft was overdue or missing, timely notification was provided to a FAA or a search-and-rescue facility?

REFERENCES: 8900.1 Vol 3 Ch 25 Sec 5, 135.79, 135.79(a), 135.79(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  3  9/20/2017 10:42:05 AM, 

QID:
 00012990, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
13   
Did the certificate holder exercise operational control per their procedures and OpSpecs requirements?


REFERENCES: A008, 135.77

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  3  12/14/2018 11:52:21 AM, 

QID:
 00013576, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
14   
Did the Operator use qualified direct employees to exercise its authorized operational control duties?


REFERENCES: A008

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "A008" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00013577, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
15   
Did the flight crews obtain all appropriate weather reports and forecasts when required?


REFERENCES: A010, 135.213

NOTE: For operations under VFR, the pilot in command may, if such a report is not available, use weather information based on that pilot's own observations or on those of other persons competent to supply appropriate observations.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  1/12/2016 3:31:41 PM, 

QID:
 00013579, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
16   
Did the Operator conduct operations only under the names authorized per OpSpecs?


REFERENCES: A001, A008

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00013581, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
17   
For air ambulance operations, did the certificate holder conduct flight locating according to its process or procedures to include:

      #1 That actual departure times were transmitted and received;
      #2 That position reports were made at specified intervals and were received; and
      #3 If applicable, adequate training was accomplished on the operator's flight-locating procedures.

REFERENCES: 8900.1 Vol 4 Ch 5 Sec 3, AC-135-15

NOTE: FAA Order 8900.1 Vol 4 Ch 5 Sec 3 and AC 135-15 provide policy and guidance for a certificate holder's air ambulance manual procedures that may be found acceptable by the Administrator.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A024") ,  Rev.  2  6/26/2019 12:56:57 PM, 

QID:
 00048879, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
18   
Did the pilot in command, prior to conducting helicopter air ambulance operations:

      #1 Determine the minimum safe cruise altitude by evaluating the terrain and obstacles along the planned route of flight; and
      #2 Identify and document the highest obstacle along the planned route of flight; and
      #3 Using the minimum safe cruise altitudes in bullets 1 and 2 above, determine the minimum required ceiling and visibility to conduct the planned flight by applying the weather minimums appropriate to the class of airspace for the planned flight; and
      #4 While conducting VFR operations, ensure that all terrain and obstacles along the route of flight were cleared vertically by no less than 300 feet for day operations and 500 feet for night operations; and
      #5 If a rerouting, change in destination, or other change to the planned flight that occurred while the helicopter was on the ground at an intermediate stop, evaluate the new route per the requirements of 135.615(a).

REFERENCES: 135.615(d), 135.615(b), 135.615(a), 135.615

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A021") ,  Rev.  1  10/20/2015 3:49:29 PM, 

QID:
 00049228, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
19   
Verify that the certificate holder's FAA-approved preflight risk analysis included the documented approval of the certificate holders’ management personnel to release a flight when risk exceeded a predetermined level?


REFERENCES: 135.617(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A021") ,  Rev.  1  10/20/2015 3:49:30 PM, 

QID:
 00049234, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
20   
Did the certificate holder comply with the certificate holder's FAA-approved preflight risk analysis procedures?


REFERENCES: 135.617(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A021") ,  Rev.  1  10/20/2015 3:49:30 PM, 

QID:
 00049235, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
21   
Verify that prior to the first leg of each helicopter air ambulance operation, the pilot in command completed the pre-flight risk analysis worksheet according to the certificate holder's FAA-approved pre-flight risk analysis procedures which included:

      #1 At a minimum the items in 135.617(a);
      #2 That the pilot in command signed the preflight risk analysis worksheet specifying the date and time it was completed; and
      #3 That the certificate holder retained the original or a copy of each completed preflight risk analysis worksheet at a location specified in its operations manual for at least 90 days from the date of the operation.

REFERENCES: 135.617(c), 135.617(b), 135.617(d)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A021") ,  Rev.  1  10/20/2015 3:49:30 PM, 

QID:
 00049236, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
22   
Did certificate holders authorized to conduct helicopter air ambulance operations with 10 or more helicopter air ambulances assigned to the operations specifications, have an operations control center?


REFERENCES: AC-120-96, 135.619(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A021") AND (TYPE/KIND OF OPERATION = "10 OR MORE HELICOPTER AIR AMBULANCES") ,  Rev.  1  5/2/2016 12:00:07 PM, 

QID:
 00049549, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
23   
Was the operations control center properly staffed with operations control specialists who:

      #1 Provided two-way communications with pilots;
      #2 Provided pilots with weather briefings, to include current and forecasted weather along the planned route of flight;
      #3 Monitored the progress of the flight; and
      #4 Participated in the preflight risk analysis required under §135.617, as applicable?

REFERENCES: AC-120-96, 135.619(a), 135.617

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A021") AND (TYPE/KIND OF OPERATION = "10 OR MORE HELICOPTER AIR AMBULANCES") ,  Rev.  1  5/2/2016 12:00:05 PM, 

QID:
 00049555, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes;
  No
  Not Observable
  Not Applicable
24   
Were enough operations control specialists at each operations control center to ensure the certificate holder maintained operational control of each flight?


REFERENCES: AC-120-96, 135.619(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A021") AND (TYPE/KIND OF OPERATION = "10 OR MORE HELICOPTER AIR AMBULANCES") ,  Rev.  1  5/2/2016 12:00:06 PM, 

QID:
 00049564, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
25   
Did the operations control center specialists participate in the preflight risk analysis required under 14 CFR 135.617 that:

      #1 Ensured the pilot has completed all required items on the preflight risk analysis worksheet;
      #2 Confirmed and verified all entries on the preflight risk analysis worksheet;
      #3 Assisted the pilot in mitigating any identified risk prior to takeoff; and
      #4 Acknowledged in writing, specifying the date and time, that the preflight risk analysis worksheet had been accurately completed and that, according to their professional judgment, the flight could be conducted safely?

REFERENCES: AC-120-96, 135.619(a), 135.617

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (TYPE/KIND OF OPERATION = "10 OR MORE HELICOPTER AIR AMBULANCES") AND (OPSPEC = "A021") ,  Rev.  1  5/2/2016 12:00:06 PM, 

QID:
 00049577, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
26   
Did the certificate holder follow policies, procedures, instructions and information for this element?


Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/15/2019 9:08:43 AM, 

QID:
 00051933, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
27   
Did the certificate holder follow policies, procedures, instructions and information for this element?


Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND NOT (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/15/2019 9:08:43 AM, 

QID:
 00051947, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
28   
For foreign operations, did the certificate holder make available to each pilot in its employ in current form, the International Flight Information Manual or a commercial publication that contains the same information concerning the pertinent operational and entry requirements of the foreign country or countries involved?


REFERENCES: 135.81(d)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (AREA OF OPERATION = "OPERATIONS OUTSIDE THE UNITED STATES") ,  Rev.  1  2/27/2019 12:08:15 PM, 

QID:
 00054647, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
29   
Did the certificate holder inform each person in its employ of the operations specifications that apply to that person's duties and responsibilities and make available to each pilot the following materials in current form:

      #1 Airman's Information Manual (Alaska Supplement in Alaska and Pacific Chart Supplement in Pacific-Asia Regions) or a commercial publication that contains the same information;
      #2 14 CFR Part 135 and 91; and
      #3 Aircraft Equipment Manuals and Aircraft Flight Manual or equivalent?

REFERENCES: 135.81, 135.81(a), 135.81(b), 135.81(c)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  1  2/27/2019 12:08:15 PM, 

QID:
 00054648, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
30   
For SIC PDP flights under part 91, did the certificate holder follow the additional requirements prescribed by OpSpec A062?


REFERENCES: A062

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A062") ,  Rev.  1  2/27/2019 12:08:15 PM, 

QID:
 00054682, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
31   
Verify the certificate holder did not operate an aircraft with less than the minimum flight crew specified in the aircraft operating limitations or the AFM for that aircraft and required by part 135 for the kind of operation being conducted.


REFERENCES: 135.99(a), 135.99(b)

NOTE: A second in command is required for aircraft having a passenger seating configuration, excluding any pilot seat, of ten seats or more.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "135" ,  Rev.  1  6/26/2019 12:56:56 PM, 

QID:
 00055041, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate;
   The records contained discrepancies;
  Not Observable
  Not Applicable
32   
Did the controls effectively mitigate unacceptable risk(s) for this element?


REFERENCES: AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3

Safety Attribute: Controls,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/15/2019 9:08:43 AM, 

QID:
 00051934, Response Details: Controls ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
33   
Did the controls effectively mitigate unacceptable risk(s) for this element?


Safety Attribute: Controls,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND NOT (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/15/2019 9:08:43 AM, 

QID:
 00051948, Response Details: Controls ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
34   
Were the certificate holder's interfaces effective for this element?


Safety Attribute: Interfaces,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/15/2019 9:08:43 AM, 

QID:
 00051935, Response Details: Interfaces ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
35   
Were the certificate holder's interfaces effective for this element?


Safety Attribute: Interfaces,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND NOT (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/15/2019 9:08:43 AM, 

QID:
 00051949, Response Details: Interfaces ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
36   
Did individuals understand their role and contribute to the safety performance of this element?


REFERENCES: AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3

Safety Attribute: Safety Ownership,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/15/2019 9:08:43 AM, 

QID:
 00051939, Response Details: Safety Ownership ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
37   
Did individuals understand their role and contribute to the safety performance of this element?


Safety Attribute: Safety Ownership,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND NOT (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/15/2019 9:08:44 AM, 

QID:
 00051953, Response Details: Safety Ownership ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable


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, 2.0)
1 Personnel (e.g., key certificate holder personnel not present/available)
2 Equipment (e.g., equipment not present/available/in serviceable condition)
3 Event did not occur (e.g., did not observe an intoxicated passenger on the flight)
4 Time Constraints (e.g., resources/workload)
5 Weather (e.g., weather needed for observation not present or weather made observation impossible)
6 Other
Response Details List  N/A Response Detail (Released, 2.0)
1 Not applicable or authorized for the certificate holder or applicant
2 Other
Response Details List  Controls ED/EP/SP DCTs (Both OP and AW) (Released, 1.0)
1 Failure to identify hazards or ineffective risk controls
2 Failure to develop and maintain risk controls
3 Failure to effectively mitigate risk before applying risk controls
4 Risk controls ineffective
5 Unclear risk controls
6 Failure to assess risk for a new system
7 Failure to assess risk when revising an existing system
8 Failure to assess risk when developing operational procedures
9 Failure to maintain records of outputs of risk control assessments
10 Other
Response Details List  Interfaces ED/EP/SP DCTs (Both OP and AW) (Released, 1.0)
1 Internal communication failure(s)
2 External communication failure(s)
3 Lack of interfaces
4 Inconsistent interfaces
5 Poor coordination between departments and employees
6 Failure of interfaces between processes or procedures
7 Other
Response Details List  Responsibility ED/EP/SP DCTs (Both OP and AW) (Released, 1.0)
1 Failed to provide financial resources
2 Failed to provide sufficient human resources
3 Individual not clearly identified
4 Failure to ensure safety of process
5 Failure to oversee operations conducted under the certificate
6 Failed to ensure quality performance of process
7 Process oversight failure
8 Communication failure(s)
9 Other
Response Details List  Authority ED/EP/SP DCTs (Both OP and AW) (Released, 1.0)
1 Process oversight failure
2 Unacceptable safety risk acceptance
3 Ineffective planning of resources
4 Ineffective use of resources
5 Ineffective control of resources
6 Failure to implement safety risk processes
7 Process owner not clearly identified
8 Unqualified
9 Other
Response Details List  Process Measurement ED/EP/SP DCTs (Both OP and AW) (Released, 1.0)
1 Inadequate monitoring of operations processes
2 Ineffective evaluations of processes or systems
3 Undocumented or insufficient investigations
4 Failure to conduct audits
5 Ineffective audits
6 Failure to detect changes in the operational environment
7 Personnel failed to perform/follow process (procedures, guidance, etc.)
8 Process failed to meet desired outcome
9 Process oversight failure
10 Other
Response Details List  Safety Ownership ED/EP/SP DCTs (Both OP and AW) (Released, 3.0)
1 Unaware of or ineffective safety policies or processes
2 Unaware of or ineffective safety related reporting tools
3 Unclear safety policy
4 Ineffective safety related training
5 Lack of safety culture
6 Unclear safety objectives
7 Other