Unscoped DCT Report (Standard DCT)


MLF Label: 4.0 Technical Operations DCT Type: SP DCT Specialty: Airworthiness Peer Group: D - Part 135 (9 or Less Seats/Single Pilot) DCT Revision: 37.0 on 06/30/19 (Released)
Summary Information

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

The Technical Operations System includes the following Subsystem(s) and Element(s)
  4.1 Training & Qualification
     4.1.2 (AW) Maintenance Certificate Requirements
  4.2 Maintenance Planning and Monitoring
     4.2.1 (AW) Maintenance/Inspection Requirements
     4.2.2 (AW) Maintenance/Inspection Schedule
     4.2.3 (AW) AD Management
     4.2.4 (AW) Recordkeeping
     4.2.5 (AW) Maintenance Control Functions
  4.3 Maintenance Operations
     4.3.1 (AW) Airworthiness Release/Maintenance Log Requirements
     4.3.3 (AW) MEL/CDL/NEF and Other Deferred Maintenance
     4.3.4 (AW) Major Repairs & Alterations
  4.4 Technical Administration
     4.4.1 (AW) Special Flight Permits
     4.4.2 (AW) Mechanical Interruption Summary (MIS) / Service Difficulty Reports (SDR)
     4.4.4 (AW) Aircraft Acceptance Process
     4.4.5 (AW) Weight and Balance
  4.5 Maintenance Facilities/Providers
     4.5.1 (AW) Maintenance Facility / Maintenance Base
     4.5.2 (AW) Maintenance Providers
     4.5.3 (AW) Line Stations
  4.6 Maintenance Special Requirements
     4.6.1 (AW) Avionics Special Emphasis Programs
  4.7 Maintenance Tools & Parts Control
     4.7.1 (AW) Control of Calibrated Tools & Test Equipment
     4.7.2 (AW) Aircraft Parts/Material Control

Questions Answers Comments
  4.1 Training & Qualification
1   
Did the certificate holder meet its regulatory and guidance requirements for Maintenance Certificate Requirements?


REFERENCES: 8900.1 Vol 6 Ch 11 Sec 15, 43.17(c), 43.17(d), 43.17(e), 43.7(b), 65.81(a), 65.81(b), 65.83(b)

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135") ,  Rev.  7  3/29/2019 8:10:22 AM, 

QID:
 00013961, Response Details: Procedures SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable
  4.2 Maintenance Planning and Monitoring
2   
Did the certificate holder meet its regulatory and guidance requirements for Maintenance / Inspection Requirements?


REFERENCES: 8900.1 Vol 6 Ch 11 Sec 14, 8900.1 Vol 6 Ch 2 Sec 4, 8900.1 Vol 6 Ch 2 Sec 5, AC-120-84, AC-120-85, 135.422, 43 Appendix B, 43.11(a), 43.11(b), 43.13(a), 43.13(b), 43.15(a), 43.15(b), 43.15(c), 43.16, 43.17, 43.2(a), 43.2(b), 43.3(d), 43.3(h), 43.3(i), 43.5(a), 43.5(b), 43.5(c), 43.7, 43.9(a), 43.9(d)

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135") ,  Rev.  6  3/29/2019 8:10:29 AM, 

QID:
 00050730, Response Details: Procedures SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable
3   
Did the certificate holder meet its regulatory and guidance requirements for Maintenance / Inspection Schedule?


REFERENCES: 8900.1 Vol 2 Ch 4 Sec 8, 8900.1 Vol 3 Ch 18 Sec 3, 8900.1 Vol 3 Ch 38 Sec 1, 8900.1 Vol 3 Ch 57 Sec 1, 8900.1 Vol 4 Ch 7 Sec 4, 8900.1 Vol 6 Ch 11 Sec 14, 8900.1 Vol 6 Ch 11 Sec 22, 8900.1 Vol 6 Ch 2 Sec 35, AC-120-84, A050, D073, D093, D101, D104, A449, D103, 119.49(c), 120.35, 135.23(o), 135.419, 135.421, 135.421(c), 135.422, 43.13(a), 43.15, 43.16, 91.205(h), 91.207(d), 91.409, 91.409(d), 91.409(f), 91.411, 91.413, TSO-C164, 120.39, 135.411(c), 91.1109, 8900.1 Vol 3 Ch 18 Sec 6, A051, D094

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135") ,  Rev.  16  3/29/2019 8:10:37 AM, 

QID:
 00013969, Response Details: Procedures SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable
4   
Did the certificate holder meet its regulatory and guidance requirements for AD Management?


REFERENCES: 8900.1 Vol 3 Ch 59 Sec 1, 8900.1 Vol 3 Ch 59 Sec 3, AC-39-9, 39.11, 39.17, 39.19, 39.21, 39.23, 39.27, 39.7

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135") ,  Rev.  12  6/30/2019 8:52:23 PM, 

QID:
 00013970, Response Details: Procedures SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable
5   
Did the certificate holder meet its regulatory and guidance requirements for Recordkeeping?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 2, 8900.1 Vol 3 Ch 31 Sec 6, AC-120-78, A025, 91.417(a), 91.417(b), 91.417(c)

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  7  3/29/2019 8:10:40 AM, 

QID:
 00013971, Response Details: Procedures SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable
6   
Did the certificate holder meet its regulatory and guidance requirements for Maintenance Control Functions?


REFERENCES: 8900.1 Vol 3 Ch 25 Sec 5, A008, 135.23(e), 135.23(h), 135.23(i), 135.425, 135.437, 135.443(a), 135.443(b)

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135") ,  Rev.  10  3/29/2019 8:10:35 AM, 

QID:
 00013972, Response Details: Procedures SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable
  4.3 Maintenance Operations
7   
Did the certificate holder meet its regulatory and guidance requirements for Airworthiness Release / Maintenance Log Requirements?


REFERENCES: 8900.1 Vol 2 Ch 4 Sec 6, 8900.1 Vol 3 Ch 31 Sec 6, 8900.1 Vol 3 Ch 32 Sec 10, 8900.1 Vol 3 Ch 32 Sec 11, 8900.1 Vol 3 Ch 32 Sec 4, 8900.1 Vol 4 Ch 4 Sec 1, 8900.1 Vol 4 Ch 4 Sec 3, 8900.1 Vol 6 Ch 2 Sec 35, AC-43-9, D095, 135.179(a), 135.23(f), 135.23(g), 135.411(a), 135.413, 135.65(a), 135.65(b), 135.65(c), 135.65(d), 43.9(a), 8900.1 Vol 3 Ch 32 Sec 10

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135") ,  Rev.  12  6/30/2019 8:52:22 PM, 

QID:
 00013975, Response Details: Procedures SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable
8   
Did the certificate holder meet its regulatory and guidance requirements for MEL/CDL/NEF and Other Deferred Maintenance?


REFERENCES: 8900.1 Vol 4 Ch 4 Sec 1, 8900.1 Vol 4 Ch 4 Sec 3, 8900.1 Vol 6 Ch 2 Sec 4, AC-120-77, D095, 135.179(a), 135.179(b), 135.65(c), 43.13(a), 43.13(c), 43.16, 8900.1 Vol 4 Ch 4 Sec 4

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135") AND ((OPSPEC = "D095") OR (OTHER CERTIFICATES OR APPROVALS = "CDL" OR "NEF")) ,  Rev.  10  6/30/2019 8:52:19 PM, 

QID:
 00013976, Response Details: Procedures SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable
9   
Did the certificate holder meet its regulatory and guidance requirements for Major Repairs & Alterations?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 6, 8900.1 Vol 3 Ch 43 Sec 1, 8900.1 Vol 6 Ch 11 Sec 14, 8900.1 Vol 6 Ch 11 Sec 19, AC-120-77, AC-43.13-2, AC-43.9-1, 135.411(a), 135.419, 135.421, 135.73, 43 Appendix A, 43 Appendix B, 43.11, 43.13(a), 43.16, 43.17(e), 43.3, 43.5, 43.7, 43.9, 43.9(d), 91.417(c), 91.419, 91.403(b), 8300.16

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135") ,  Rev.  10  3/29/2019 8:10:25 AM, 

QID:
 00013977, Response Details: Procedures SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable
10   
Did the certificate holder's controls effectively mitigate unacceptable levels of risk(s) for the Technical Operations processes?


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

NOTE: This question applies to all Elements within this System.

Safety Attribute: Controls,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  6  3/29/2019 8:10:22 AM, 

QID:
 00013978, Response Details: Controls ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Controls were effective
  Isolated instance(s) when controls were not effective
  Several instances when controls were not effective
  Systemic or significant issues
  Not Observable
11   
Did the certificate holder's Technical Operations processes ensure consistency of related processes between departments and employees (interfaces)?


NOTE: This question applies to all Elements within this System.

Safety Attribute: Interfaces,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  6  3/29/2019 8:10:22 AM, 

QID:
 00013979, Response Details: Interfaces ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Interfaces were effective
  Isolated instance(s) when interfaces were ineffective
  Several instances when interfaces were ineffective
  Systemic or significant issues
  Not Observable
12   
Were financial and human resources provided to ensure the safety and quality performance for the Technical Operations processes?


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

NOTE: This question applies to all Elements within this System.

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

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  6  3/29/2019 8:10:22 AM, 

QID:
 00013980, Response Details: Responsibility ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Management of the process was effective
  Isolated instance(s) where management of the process was ineffective
  Several instances where management of the process was ineffective
  Systemic or significant issues
  Not Observable
13   
Did the person with authority over the certificate holder's Technical Operations processes effectively plan, direct, control, or change procedures, and make key determinations, including safety risk acceptance decisions?


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

NOTE: This question applies to all Elements within this System.

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

Scoping Attribute:
  (FAR PART = "135") ,  Rev.  6  3/29/2019 8:10:23 AM, 

QID:
 00013981, Response Details: Authority ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Management of the process was effective
  Isolated instance(s) where management of the process was ineffective
  Several instances where management of the process was ineffective
  Systemic or significant issues
  Not Observable
14   
Were the certificate holder's process measurement(s) used to evaluate the performance of the Technical Operations processes and if necessary, implement corrective action?


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

NOTE: This question applies to all Elements within this System.

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

Scoping Attribute:
  (FAR PART = "135") ,  Rev.  4  3/29/2019 8:10:23 AM, 

QID:
 00047644, Response Details: Process Measurement ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Process measurements were effective
  Isolated instance(s) when process measurements were not used or ineffective
  Several instances when process measurements were not used or ineffective
  Systemic or significant issues
  Not Observable
15   
Did the certificate holder's personnel understand their role and contribute to the safety performance of the Technical Operations processes?


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

NOTE: This question applies to all Elements within this System.

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

Scoping Attribute:
  (FAR PART = "135") ,  Rev.  5  3/29/2019 8:10:24 AM, 

QID:
 00013974, Response Details: Safety Ownership ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Individuals were knowledgeable
  Isolated instances where knowledge was lacking
  Several instances where knowledge was lacking
  Systemic or significant issues
  Not Observable
  4.4 Technical Administration
16   
Did the certificate holder meet its regulatory and guidance requirements for Special Flight Permits?


REFERENCES: 8900.1 Vol 4 Ch 13 Sec 1, D084, 21.197, 21.199, 39.23, 8130.2 Ch 4 Sec 13, 91.203(a), 8130.2

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D084") ,  Rev.  7  3/29/2019 8:10:33 AM, 

QID:
 00013982, Response Details: Procedures SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable
17   
Did the certificate holder meet its regulatory and guidance requirements for MIS / SDR?


REFERENCES: 135.415(a), 135.415(c), 135.415(d), 135.415(e), 135.415(g), 135.415(h), 135.417(a), 135.417(b)

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  6  3/29/2019 8:10:26 AM, 

QID:
 00013983, Response Details: Procedures SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable
18   
Did the certificate holder meet its regulatory and guidance requirements for Aircraft Acceptance Process?


REFERENCES: AC-120-27, E096, D085, 135.185, 135.25(a), 135.25(d), 3.5(a), 91.403(c), 91.411, 91.413, 91.417(a), 21.41, 8900.1 Vol 10 Ch 9 Sec 1, 8900.1 Vol 3 Ch 18 Sec 13

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  12  3/29/2019 8:10:28 AM, 

QID:
 00013984, Response Details: Procedures SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable
19   
Did the certificate holder meet its regulatory and guidance requirements for Weight & Balance Program?


REFERENCES: 8900.1 Vol 3 Ch 48 Sec 1, AC-120-27, E096, 135.185

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  7  3/29/2019 8:10:27 AM, 

QID:
 00013985, Response Details: Procedures SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable
  4.5 Maintenance Facilities/Providers
20   
Did the certificate holder meet its regulatory and guidance requirements for Maintenance Facility/Main Maintenance Base?


REFERENCES: 8900.1 Vol 6 Ch 2 Sec 26, AC-120-78, 119.47(a), 119.47(b)

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  7  6/30/2019 8:52:19 PM, 

QID:
 00013986, Response Details: Procedures SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable
21   
Did the certificate holder meet its regulatory and guidance requirements for Maintenance Providers?


REFERENCES: 8900.1 Vol 6 Ch 2 Sec 35, 91.417, 91.417(a), 8900.1 Vol 6 Ch 2 Sec 42

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135") AND ( NOT (OPSPEC = "D072")) ,  Rev.  8  3/29/2019 8:10:26 AM, 

QID:
 00013987, Response Details: Procedures SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable
22   
Did the certificate holder meet its regulatory and guidance requirements for Line Stations?


REFERENCES: 8900.1 Vol 3 Ch 32 Sec 8, 43.13

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135") AND (LOCATIONS = "AW LINE STATIONS") ,  Rev.  4  3/29/2019 8:10:22 AM, 

QID:
 00050100, Response Details: Procedures SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable
  4.6 Maintenance Special Requirements
23   
Did the certificate holder meet its regulatory and guidance requirements for Avionics Special Emphasis Programs?


REFERENCES: 8900.1 Vol 3 Ch 61 Sec 1, 8900.1 Vol 4 Ch 10 Sec 1, 8900.1 Vol 4 Ch 14 Sec 2, 8900.1 Vol 4 Ch 14 Sec 8, 8900.1 Vol 4 Ch 14 Sec 9, 8900.1 Vol 4 Ch 15 Sec 1, 8900.1 Vol 6 Ch 11 Sec 17, AC-91-85, AC-20-141, D092, A061, AC-120-76, 135.151, 135.152, 135.152(d), 135.152(e), 135.156, 91 Appendix G, 91.180, 91.411, 91.413

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135") AND ( (OPSPEC = "D072")) ,  Rev.  14  3/29/2019 8:10:33 AM, 

QID:
 00013988, Response Details: Procedures SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable
  4.7 Maintenance Tools & Parts Control
24   
Did the certificate holder meet its regulatory and guidance requirements for Control of Calibrated Tools & Test Equipment?


REFERENCES: 8900.1 Vol 6 Ch 11 Sec 17, 8900.1 Vol 6 Ch 2 Sec 26, 135.411(a), 43.13, 43.13(a)

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  7  3/29/2019 8:10:37 AM, 

QID:
 00013989, Response Details: Procedures SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable
25   
Did the certificate holder meet its regulatory and guidance requirements for Aircraft Parts/Material Control?


REFERENCES: 8900.1 Vol 3 Ch 39 Sec 1, 8900.1 Vol 6 Ch 2 Sec 26, 8900.1 Vol 6 Ch 2 Sec 27, AC-20-154, AC-20-62, AC-21-29, A055, 135.25(a), 135.413(a), 43.10(c), 43.13, 43.13(b), 45.10(a), 45.10(b), 45.15, 45.15(a), 45.15(c), 45.16

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  7  3/29/2019 8:10:30 AM, 

QID:
 00013990, Response Details: Procedures SP DCTs (Both OP and AW),  Status: Released

  Met regulatory and guidance requirements
  Isolated instance(s) when guidance requirements were not met
  Several instances when guidance requirements were not met
  Regulatory noncompliance
  Not Observable


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  Procedures SP DCTs (Both OP and AW) (Released, 1.0)
1 Unclear procedure(s)
2 Conflicting procedure(s)
3 Used workaround(s)
4 Skipped process step(s)
5 Personnel failed to follow process (procedures, guidance, etc)
6 Procedures/guidance not available
7 Procedures/guidance not current
8 Inconsistent procedure(s)
9 Undocumented procedure(s)
10 Minor typographical error(s) (i.e. record entries)
11 Information missing
12 Communication failure(s)
13 Personnel failed to perform task
14 Process failed to meet desired outcome
15 Process oversight failure
16 Equipment/tools not available
17 Equipment/tools not adequate
18 Equipment/tools not calibrated
19 Facilities not adequate
20 Other
Response Details List  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