Unscoped DCT Report (Standard DCT)


MLF Label: 3.3.4 (OP) MEL / CDL / NEF Procedures DCT Type: ED DCT Specialty: Operations Peer Group: B - Part 135 (10 or More Seats) DCT Revision: 15.0 on 07/09/19 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To operate aircraft within the limitations of inoperable instruments, equipment and/or missing MEL/CDL/NEF items.
Objective (FAA Responsibility): Determine if the CH will be able to; (1) Comply with regulations; (2) Operate aircraft within the limitations of inoperable instruments, equipment and/or missing MEL/CDL/NEF items.

The (OP) MEL / CDL / NEF Procedures Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  3.3.4 (OP) MEL / CDL / NEF Procedures
1   
Does the process design ensure the individual with responsibility provides both financial and human resources for 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  3/8/2019 12:47:46 PM, 

QID:
 00051929, Response Details: Responsibility ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
2   
Does the process design ensure the individual with responsibility provides both financial and human resources for 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  3/8/2019 12:47:48 PM, 

QID:
 00051943, Response Details: Responsibility ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
3   
Is the person with authority clearly identifiable, qualified and knowledgeable to effectively plan, direct and control resources, 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  3/8/2019 12:47:48 PM, 

QID:
 00051930, Response Details: Authority ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
4   
Is the person with authority clearly identifiable, qualified and knowledgeable to effectively plan, direct and control resources, 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  3/8/2019 12:47:48 PM, 

QID:
 00051944, Response Details: Authority ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
5   
Do process measurement(s) exist to evaluate the performance of this element and implement corrective action if necessary?


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  3/8/2019 12:47:48 PM, 

QID:
 00051931, Response Details: Process Measurement ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
6   
Do process measurement(s) exist to evaluate the performance of this element and implement corrective action if necessary?


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  3/8/2019 12:47:48 PM, 

QID:
 00051945, Response Details: Process Measurement ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
7   
Do the procedures require:

      #1 The certificate holder to maintain a MEL for the specific aircraft type flown approved in OpSpec D095; and
      #2 The flight crew to have direct access to the approved MEL at all times prior to flight?

REFERENCES: 8900.1 Vol 4 Ch 4 Sec 3, D095, 135.179(a)

NOTE: The approved MEL may be accessible to the flight crew in printed form or other means approved by the Administrator.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "D095" ) ,  Rev.  4  3/14/2017 3:14:46 PM, 

QID:
 00003874, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8   
Do the procedures require that records:

      #1 Identify inoperable instruments and equipment; and
      #2 Be available to the pilot?

REFERENCES: D095, 135.179(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "D095" ) ,  Rev.  2  7/17/2014 4:31:46 PM, 

QID:
 00003877, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
9   
Do the procedures specify that the Operator's MEL may provide procedures to operate with certain instruments and equipment in an inoperable condition, unless required by:

      #1 The type certificate for safe operations under all operating conditions;
      #2 An airworthiness directive to be in operable condition unless the airworthiness directive provides otherwise; or
      #3 Specific operations under 14 CFR Part 135?

REFERENCES: D095, 135.179(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "D095" ) ,  Rev.  2  7/17/2014 4:31:46 PM, 

QID:
 00003880, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
10   
Do the procedures require that all aircraft be operated under the applicable conditions and limitations of the approved MEL?


REFERENCES: 8900.1 Vol 4 Ch 4 Sec 3, D095, 135.179(a)

NOTE: An operator’s MEL “Remarks or Exceptions” must contain specific procedures in enough detail to adequately and safely address operations with an item inoperative.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "D095" ) ,  Rev.  3  9/19/2017 2:40:44 PM, 

QID:
 00003884, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
11   
Do the procedures provide information from the MEL and/or CDL to identify required equipment and special procedures that cannot be deferred when operating in areas of magnetic unreliability by the flight crew?


REFERENCES: B040, D095, 135.179

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND ((OPSPEC = "D095") OR (OTHER CERTIFICATES OR APPROVALS = "CDL")) AND (OPSPEC = "B040") ,  Rev.  2  6/24/2019 3:57:02 PM, 

QID:
 00003885, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
12   
Do the MEL and/or CDL procedures require that the Single Long-Range Communication System for Extended Overwater Operations be fully functional or operating when being used for any communication per the limitations of OpSpec B045 and in areas authorized by OpSpec B050?


REFERENCES: B045, B050, 135.179

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND ((OPSPEC = "D095") OR (OTHER CERTIFICATES OR APPROVALS = "CDL")) AND (OPSPEC = "B045") ,  Rev.  2  6/24/2019 3:57:03 PM, 

QID:
 00003886, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
13   
Do the procedures require the use of the MEL and/or CDL and provisions of the flight manual to address inoperative instruments and equipment before takeoff?


REFERENCES: 8900.1 Vol 4 Ch 4 Sec 1, 8900.1 Vol 4 Ch 4 Sec 3

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND ((OPSPEC = "D095") OR (OTHER CERTIFICATES OR APPROVALS = "CDL")) ,  Rev.  3  6/24/2019 3:57:02 PM, 

QID:
 00003887, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
14   
Do the procedures require that the PIC ensures appropriate notations are made in the aircraft logbook (or other acceptable means) of any CDL missing parts and, if appropriate, to notify the person with operational control for that flight?


REFERENCES: 8900.1 Vol 4 Ch 4 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND ((OPSPEC = "D095") OR (OTHER CERTIFICATES OR APPROVALS = "CDL")) ,  Rev.  3  6/24/2019 3:57:02 PM, 

QID:
 00003888, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
15   
Do the procedures ensure compliance with flight operations, restrictions, or limitations that are associated with each missing airframe and engine part?


REFERENCES: 8900.1 Vol 4 Ch 4 Sec 3

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "D095" ) ,  Rev.  2  3/14/2017 3:14:48 PM, 

QID:
 00003889, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
16   
Do the procedures ensure that CDL limitations are followed when operating while certain equipment is missing?


REFERENCES: 8900.1 Vol 4 Ch 4 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OTHER CERTIFICATES OR APPROVALS = "CDL") ,  Rev.  3  6/24/2019 3:57:02 PM, 

QID:
 00003890, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
17   
Do the procedures specify that placarding CDL-associated limitations be done in clear view of the PIC and other appropriate crewmembers?


REFERENCES: 8900.1 Vol 4 Ch 4 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OTHER CERTIFICATES OR APPROVALS = "CDL") ,  Rev.  4  6/24/2019 3:57:02 PM, 

QID:
 00003891, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
18   
Does the Operator have procedures for operating an aircraft per the applicable portions of the NEFs list?


REFERENCES: 8900.1 Vol 4 Ch 4 Sec 4

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OTHER CERTIFICATES OR APPROVALS = "NEF") ,  Rev.  4  6/24/2019 3:57:02 PM, 

QID:
 00003892, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
19   
Do the procedures specify how to report NEFs deferrals to the responsible Flight Standards office?


REFERENCES: 8900.1 Vol 4 Ch 4 Sec 4

NOTE: This report must include the Operator's repair and replacement plan for each NEFs deferral.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OTHER CERTIFICATES OR APPROVALS = "NEF") ,  Rev.  3  6/24/2019 3:57:02 PM, 

QID:
 00003893, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
20   
Do the procedures require that the applicable portions of the NEFs list and process be available to the flight crew, maintenance, and flight operations personnel for deferral when aircraft are operated using portions of that list?


REFERENCES: 8900.1 Vol 4 Ch 4 Sec 4

NOTE: The applicable portions of the NEFs list may be in paper or electronic format.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OTHER CERTIFICATES OR APPROVALS = "NEF") ,  Rev.  3  6/24/2019 3:57:03 PM, 

QID:
 00003894, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
21   
Do the procedures specify the evaluation process to defer an item under the approved NEFs program?


REFERENCES: 8900.1 Vol 4 Ch 4 Sec 4

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OTHER CERTIFICATES OR APPROVALS = "NEF") ,  Rev.  3  6/24/2019 3:57:03 PM, 

QID:
 00003895, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
22   
Do procedures exist in enough detail to meet the regulatory and guidance requirements for this element to produce the intended results?


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  3/8/2019 12:47:46 PM, 

QID:
 00051926, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
23   
Do procedures exist in enough detail to meet the regulatory and guidance requirements for this element to produce the intended results?


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  3/8/2019 12:47:47 PM, 

QID:
 00051940, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
24   
Do procedures require that inoperative STC-installed items are included in the MMEL prior to inclusion in the operator's MEL?


REFERENCES: 8900.1 Vol 4 Ch 4 Sec 3, 135.179(a)

NOTE: Relief for inoperative items installed by STC requires coordination and approval by the Flight Operations Evaluation Board.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D095") ,  Rev.  1  6/25/2018 10:46:55 AM, 

QID:
 00052224, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
25   
Do controls exist within this element that ensure risks are reduced to an acceptable level?


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  3/8/2019 12:47:46 PM, 

QID:
 00051927, Response Details: Controls ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
26   
Do controls exist within this element that ensure risks are reduced to an acceptable level?


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  3/8/2019 12:47:47 PM, 

QID:
 00051941, Response Details: Controls ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
27   
Does the certificate holder have a method to evaluate the impact of changes on related processes (interfaces) 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  3/8/2019 12:47:46 PM, 

QID:
 00051928, Response Details: Interfaces ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
28   
Does the certificate holder have a method to evaluate the impact of changes on related processes (interfaces) 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  3/8/2019 12:47:47 PM, 

QID:
 00051942, Response Details: Interfaces ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
29   
Does the process design require that individuals understand their safety role and how it contributes 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  3/8/2019 12:47:46 PM, 

QID:
 00051932, Response Details: Safety Ownership ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
30   
Does the process design require that individuals understand their safety role and how it contributes 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  3/8/2019 12:47:48 PM, 

QID:
 00051946, Response Details: Safety Ownership ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No


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, 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