Unscoped DCT Report (Standard DCT)


MLF Label: 4.5.2 (AW) Maintenance Providers DCT Type: EP DCT Specialty: Airworthiness Peer Group: A - Part 121 Air Operators DCT Revision: 13.0 on 06/27/19 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To contract with maintenance organizations that provide competent personnel, adequate facilities, and equipment for the maintenance, and service of aircraft and appliances.
Objective (FAA Responsibility): Determine; (1) If the CH followed the accepted or approved process; (2) If the CH contracted with maintenance organizations that provided competent personnel, adequate facilities, and equipment. (3) If CH's contract maintenance organizations properly performed servicing, maintenance, preventive maintenance, and alterations.

The (AW) Maintenance Providers Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  4.5.2 (AW) Maintenance Providers
1   
Best describe how the certificate holder administered, controlled, directed, and ensured the proper performance of the work accomplished by maintenance providers per their policies and procedures.


REFERENCES: 121.368, 8900.1 Vol 6 Ch 2 Sec 42

NOTE: MPs can be a certificated repair station (CRS), a noncertificated organization or company, or a certificated mechanic at an airport. MPs can perform maintenance in locations, such as in a hangar, on the line, or in a shop.

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/27/2018 1:02:26 PM, 

QID:
 00016548, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Consistently followed the procedures
  Some steps were missed or not followed
  The procedures were not consistently followed or adequate
  Not Observable
  Not Applicable
2   
Best describe how the procedures were followed to control the maintenance of a leased or exchanged part or component while it was in a maintenance status.


REFERENCES: 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Controls,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) AND ( OPSPEC = "D081" OR "D083" ) ,  Rev.  2  6/27/2018 1:02:26 PM, 

QID:
 00016569, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Consistently followed the procedures
  Some steps were missed or not followed
  The 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: 5.23(a), 5.25(a), 5.25(b), 5.25(c), 5.21

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

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/15/2019 9:08:42 AM, 

QID:
 00051922, Response Details: Responsibility ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
4   
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: 5.23(a), 5.23(b), 5.25(c)

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

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/15/2019 9:08:43 AM, 

QID:
 00051923, Response Details: Authority ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
5   
Were the certificate holder's process measurement(s) used to evaluate the performance of this element and if necessary, implement corrective action?


REFERENCES: 5.75, 5.71, 5.73

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

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/15/2019 9:08:43 AM, 

QID:
 00051924, Response Details: Process Measurement ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
6   
Did the arrangements with contract maintenance providers meet the conditions identified in OpSpec D091?


REFERENCES: D091

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00016495, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
7   
Did the certificate holder have a listing of maintenance providers?


REFERENCES: D091, 121.368

NOTE: Mechanics hired by the certificate holder as a company employee do not qualify as an MP and should not be listed on the MPL.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/27/2018 1:02:42 PM, 

QID:
 00016496, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
8   
Verify that the listing of maintenance providers:

      #1 Was classified by the certificate holder into one of the five categories;
      #2 Included the name and physical address, or addresses, where the work is carried out for each maintenance provider;
      #3 Identified the maintenance providers who were authorized to accomplish essential maintenance; and

REFERENCES: D091, 121.368

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/27/2018 1:02:43 PM, 

QID:
 00016497, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The listing included the required information
  The listing did not include all or some of the required information
  Not Observable
  Not Applicable
9   
Verify that the listing of maintenance providers included a general description of work classified by the certificate holder using the following five categories:

      #1 Aircraft maintenance (heavy and/or line);
      #2 Aircraft engines;
      #3 Propeller work;
      #4 Components; and
      #5 Specialized services.

REFERENCES: D091, 121.368

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/27/2018 1:02:44 PM, 

QID:
 00016502, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies or were missing
  Not Observable
  Not Applicable
10   
Verify that the records show only authorized Essential Maintenance Providers were used to perform essential maintenance.


REFERENCES: 8900.1 Vol 6 Ch 2 Sec 40, 8900.1 Vol 6 Ch 2 Sec 41, D091, 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) AND ( CONTRACT SERVICES OUTSOURCED = "AIR CARRIER ESSENTIAL MAINTENANCE" ) ,  Rev.  3  6/27/2018 1:02:44 PM, 

QID:
 00016508, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies or were missing
  Not Observable
  Not Applicable
11   
Did the certificate holder accomplish an onsite audit before identifying any Essential Maintenance Provider on the listing?


REFERENCES: D091, 121.373(a), 8900.1 Vol 6 Ch 2 Sec 42

NOTE: Certificate holders authorized by OpSpecs to utilize C.A.S.E. may not substitute a current C.A.S.E. audit report for the required onsite audit.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) AND ( CONTRACT SERVICES OUTSOURCED = "AIR CARRIER ESSENTIAL MAINTENANCE" ) ,  Rev.  3  6/27/2018 1:02:47 PM, 

QID:
 00016509, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
12   
Verify that the audit records show the Essential Maintenance Provider had:

      #1 An adequate organization;
      #2 Provided competent personnel;
      #3 Adequate facilities;
      #4 Adequate equipment; and
      #5 Performed essential maintenance per the manual requirements identified in 121.369(b).

REFERENCES: 8900.1 Vol 6 Ch 2 Sec 40, 8900.1 Vol 6 Ch 2 Sec 41, D091, 121.367(a), 121.367(b), 121.369(b), 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) AND ( CONTRACT SERVICES OUTSOURCED = "AIR CARRIER ESSENTIAL MAINTENANCE" ) ,  Rev.  4  6/27/2018 1:02:42 PM, 

QID:
 00016510, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies or were missing
  Not Observable
  Not Applicable
13   
Verify that the records show the certificate holder performed an additional onsite audit for essential maintenance work description category changes.


REFERENCES: D091, 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) AND ( CONTRACT SERVICES OUTSOURCED = "AIR CARRIER ESSENTIAL MAINTENANCE" ) ,  Rev.  3  6/27/2018 1:02:27 PM, 

QID:
 00016516, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies or were missing
  Not Observable
  Not Applicable
14   
Was the maintenance performed for the certificate holder accomplished only by maintenance providers on the list of authorized providers?


REFERENCES: D091, 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/27/2018 1:02:27 PM, 

QID:
 00016517, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
15   
Verify that the records show the certificate holder ensured, through onsite audits or some other means, that the Nonessential Maintenance Provider had:

      #1 An adequate organization;
      #2 Competent personnel;
      #3 Adequate facilities; and
      #4 Adequate equipment.

REFERENCES: 8900.1 Vol 6 Ch 2 Sec 40, 8900.1 Vol 6 Ch 2 Sec 41, D091, 121.367(a), 121.367(b), 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/27/2018 1:02:44 PM, 

QID:
 00016518, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies or were missing
  Not Observable
  Not Applicable
16   
Verify that the records show the certificate holder performed a risk assessment to determine whether or not an onsite audit of the maintenance provider should be accomplished.


REFERENCES: D091, 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/27/2018 1:02:40 PM, 

QID:
 00016523, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies or were missing
  Not Observable
  Not Applicable
17   
Did the risk assessment take into account the aircraft part failure or system loss of function and the consequence of the loss of function related to the work that was accomplished by the maintenance provider?


REFERENCES: D091, 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  6/27/2018 1:02:40 PM, 

QID:
 00016524, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
18   
Verify the records show the unscheduled maintenance that occurred away from regular maintenance facilities had the following available at necessary points along the route

      #1 Competent personnel;
      #2 Adequate facilities; and
      #3 Adequate equipment (including spare parts, supplies, and materials).

REFERENCES: D091, 121.105, 121.123, 8900.1 Vol 6 Ch 2 Sec 42

NOTE: A diversion airport, or airports, is required to be identified in each certificate holder’s flight plan. Each diversion airport identified is considered to be along the certificate holder’s approved route.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/27/2018 1:02:28 PM, 

QID:
 00016525, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies or were missing
  Not Observable
  Not Applicable
19   
Verify that the CASS audits show maintenance, preventive maintenance, and alterations performed by other people:

      #1 Were performed per the manual;
      #2 Were performed with competent personnel, adequate facilities, and adequate equipment; and
      #3 Ensured that each aircraft released to service was airworthy and was properly maintained.

REFERENCES: D091, 121.367(a), 121.367(b), 121.367(c), 121.373, 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/27/2018 1:02:28 PM, 

QID:
 00016529, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies or were missing
  Not Observable
  Not Applicable
20   
Were the corrective actions and follow-up accomplished in a timely manner when the program performance standards were not met?


REFERENCES: D091, 121.373

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/27/2018 1:02:45 PM, 

QID:
 00016533, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
21   
Did the certificate holder provide the responsible Flight Standards office with an updated list of maintenance providers by the last day of each calendar month?


REFERENCES: D091, 121.368, 8900.1 Vol 6 Ch 2 Sec 42

NOTE: The CHDO is responsible for importing the maintenance provider list into SAS.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/27/2019 8:39:04 AM, 

QID:
 00016534, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
22   
Did the certificate holder provide the:

      #1 Location of the listing of maintenance providers, including volume and section, if the listing was incorporated within a larger manual or series of manuals; and
      #2 Names and locations of the individuals responsible for the listing including phone numbers, e-mail addresses, and physical mailing addresses?

REFERENCES: D091

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/27/2018 1:02:45 PM, 

QID:
 00016535, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
23   
Did the certificate holder maintain the responsibility and the authority to decide what maintenance to perform, when to accomplish it, and how to accomplish it?


REFERENCES: 121.363, 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/27/2018 1:02:29 PM, 

QID:
 00016538, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
24   
Did the maintenance provider perform maintenance per the certificate holders manual?


REFERENCES: 121.367(a), 121.368, 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/27/2018 1:02:29 PM, 

QID:
 00016539, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
25   
Did the maintenance provider comply with the certificate holders requirements for:

      #1 Maintenance personnel training;
      #2 Instructions for accomplishing maintenance and inspections;
      #3 Duty time limitations;
      #4 Maintenance documentation and associated controls;
      #5 Maintenance records;
      #6 Parts handling, storage, and identification; and
      #7 Calibrated tools and test equipment?

REFERENCES: 121.377, 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  5  6/27/2018 1:02:42 PM, 

QID:
 00016540, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
26   
Did the contract providers:

      #1 Comply with the appropriate instructions for the accomplishment of maintenance; and
      #2 Identify and disseminate the parts of the manual that must be followed?

REFERENCES: 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/27/2018 1:02:30 PM, 

QID:
 00016549, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
27   
Did the certificate holder have a list of people with whom it had arranged for the performance of any of its required inspections, preventive maintenance, other maintenance, or alterations, as well as a general description of that work?


REFERENCES: 121.369(a), 121.371(d), 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/27/2018 1:02:31 PM, 

QID:
 00016552, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
28   
Were the contracted personnel listed when:

      #1 They were only hired for labor and were trained, qualified, and authorized per the certificate holders procedures;
      #2 The airline provided the facilities, parts, tools, equipment, manuals, and other necessary elements, as required by the certificate holders manual;
      #3 They were audited per the certificate holders CASS; and
      #4 An individual provided his or her services as an on-call mechanic or was hired as a contract flight mechanic?

REFERENCES: 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/27/2018 1:02:32 PM, 

QID:
 00016553, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
29   
Did the organization or person used as a contract provider have:

      #1 The capability to do the work;
      #2 An organization structured to do the work;
      #3 Competent trained personnel to do the work;
      #4 Relevant and current technical and administrative material from the manual for the work;
      #5 Adequate facilities and equipment to do the work;
      #6 The ability to transfer and receive data and information necessary to support the CASS; and
      #7 A current listing of individuals trained, qualified, and authorized by the certificate holder to conduct required inspections?

REFERENCES: 8900.1 Vol 6 Ch 2 Sec 40, 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/27/2018 1:02:46 PM, 

QID:
 00016558, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
30   
Did the certificate holder maintain responsibility when maintenance was subcontracted to one Repair Station and was then subcontracted out to other Repair Stations and noncertificated entities?


REFERENCES: 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/27/2018 1:02:33 PM, 

QID:
 00016566, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
31   
Did the certificate holder have oversight of subcontracted work?


REFERENCES: 121.363, 121.373, 121.368, 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/27/2018 1:02:40 PM, 

QID:
 00016567, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
32   
Verify that the records show the procedures were followed to evaluate, accept, and authorize the contract provider's procedures used for the performance of maintenance.


REFERENCES: 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  6/27/2018 1:02:34 PM, 

QID:
 00016568, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies or were missing
  Not Observable
  Not Applicable
33   
Verify that the records show the C.A.S.E. audits used for follow up on Essential Maintenance Providers were:

      #1 Accomplished within the previous 6 months; and
      #2 Have certificate holder specific requirements included in the C.A.S.E. 1A audit checklist.

REFERENCES: D090, 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND (OPSPEC = "D090") ,  Rev.  5  6/27/2018 1:02:35 PM, 

QID:
 00016570, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies or were missing
  Not Observable
  Not Applicable
34   
Was the data collected by C.A.S.E. audits analyzed to determine that the certificate holders programs were working effectively and that any deficiencies were corrected?


REFERENCES: D090, 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND (OPSPEC = "D090") ,  Rev.  4  6/27/2018 1:02:35 PM, 

QID:
 00016573, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
35   
Verify that the records show airworthiness releases or entries that were prepared by the Repair Station in the aircraft log were prepared per the certificate holders procedures.


REFERENCES: 8900.1 Vol 6 Ch 2 Sec 40, 121.369(a), 121.709(b), 121.368, 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/27/2018 1:02:47 PM, 

QID:
 00016574, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies or were missing
  Not Observable
  Not Applicable
36   
Was the Repair Station airworthiness release or aircraft log entry limited to the work that the Repair Station was rated to perform and actually performed on the aircraft?


REFERENCES: 8900.1 Vol 6 Ch 2 Sec 40, 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  6/27/2018 1:02:47 PM, 

QID:
 00016575, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
37   
Was the RII Essential Maintenance Provider one-time only authorization authorized with exactly the same process as a continuous use authorization?


REFERENCES: 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  6/27/2018 1:02:36 PM, 

QID:
 00016576, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
38   
Did the certificate holder identify any repetitive usage for the same person due to unscheduled RII requirements?


REFERENCES: 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/27/2018 1:02:37 PM, 

QID:
 00016577, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
39   
Verify the records show the following for a one-time RII authorization:

      #1 The RII candidate was competent to perform the RII duties and was covered by a training program that ensured the RII candidate was fully informed about the RII procedures, techniques, and new equipment used;
      #2 The RII inspector was under the supervision and control of the inspection unit at all times the RII duties were performed;
      #3 The RII authorized inspector (individual) had certificate holder provided written information describing the extent of his or her RII responsibilities, authorities, and limitations;
      #4 The one-time RII authorization was accomplished under exactly the same process used to qualify the certificate holders own employees.

REFERENCES: D091, 121.371(a), 121.371(b), 121.371(d), 121.375, 8900.1 Vol 6 Ch 2 Sec 42

NOTE: The certificate holders process for a “one time” authorization may not require an onsite audit to be accomplished before using the RII EMP.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/27/2018 1:02:38 PM, 

QID:
 00016578, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies or were missing
  Not Observable
  Not Applicable
40   
Verify that the records show the process to determine that the subcontracted maintenance provider had the following to perform the intended functions:

      #1 Organizational structure;
      #2 Competent and trained personnel; and
      #3 Adequate facilities and equipment.

REFERENCES: 121.368, 8900.1 Vol 6 Ch 2 Sec 42

NOTE: The certificate holders manuals should address contracted maintenance that is subcontracted to one repair station and then subcontracted out again to other repair stations and noncertificated entities.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/27/2018 1:02:39 PM, 

QID:
 00016586, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies or were missing
  Not Observable
  Not Applicable
41   
Verify that the records show the third party contract maintenance provider:

      #1 Had individuals who determined the adequacy of work who were fully informed about the procedures, techniques, and new equipment in use and were competent to perform their duties;
      #2 Followed the duty time requirements;
      #3 Used persons who were directly in charge or performed required inspections and were appropriately certificated, unless the certificated Repair Station was located outside the United States; and
      #4 Completed and maintained records per the certificate holders procedures.

REFERENCES: 8900.1 Vol 6 Ch 2 Sec 42

NOTE: The certificate holders manuals should address contracted maintenance that is subcontracted to one repair station and then subcontracted out again to other repair stations and noncertificated entities.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/27/2018 1:02:39 PM, 

QID:
 00016590, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies or were missing
  Not Observable
  Not Applicable
42   
Did the certificate holder establish and maintain maintenance provider compliance with the certificate holders procedures through:

      #1 Direct supervision;
      #2 Surveillance;
      #3 Auditing; or
      #4 Appropriate controls such as contractual relationships?

REFERENCES: 121.368, 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/27/2018 1:02:21 PM, 

QID:
 00016595, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
43   
Did the audits show:

      #1 The source of major repair and major alteration data developed by or for the certificate holder was accomplished per the CAMP; and
      #2 The submission of SDR reporting was accomplished in accordance with 14CFR Part 121.703 and/or Part 145.221(d)(e)?

REFERENCES: 121.703, 145.221(d), 145.221(e), 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  5  6/27/2018 1:02:40 PM, 

QID:
 00016600, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
44   
Verify that the records indicate initial and recurrent HAZMAT training of maintenance provider personnel who performed or directly supervised the job functions involving any item for transport on board an aircraft was received.


REFERENCES: 121.1005, 121.1007, 121.135(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00016603, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies or were missing
  Not Observable
  Not Applicable
45   
Were RII inspection functions within the contracting organization separate from the other maintenance, preventive maintenance, and alteration functions?


REFERENCES: 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  6/27/2018 1:02:40 PM, 

QID:
 00049413, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
46   
Did the certificate holder follow policies, procedures, instructions and information for this element?


Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/15/2019 9:08:42 AM, 

QID:
 00051919, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
47   
Did the controls effectively mitigate unacceptable risk(s) for this element?


REFERENCES: 5.51, 5.53, 5.55

Safety Attribute: Controls,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/15/2019 9:08:42 AM, 

QID:
 00051920, Response Details: Controls ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
48   
Were the certificate holder's interfaces effective for this element?


Safety Attribute: Interfaces,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/15/2019 9:08:42 AM, 

QID:
 00051921, Response Details: Interfaces ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
49   
Did individuals understand their role and contribute to the safety performance of this element?


REFERENCES: 5.23(a), 5.91, 5.93

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

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/15/2019 9:08:43 AM, 

QID:
 00051925, 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