Unscoped DCT Report (Standard DCT)


MLF Label: 1.2.2 (OP) Manual Management DCT Type: EP DCT Specialty: Operations Peer Group: C - Part 135 (9 or Less Seats) DCT Revision: 13.0 on 03/15/19 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To provide manuals required by operations personnel to perform their duties.
Objective (FAA Responsibility): Determine; (1) If the CH followed the accepted or approved process; (2) If the CH provided manuals required by operations personnel to perform their duties.

The (OP) Manual Management Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  1.2.2 (OP) Manual Management
1   
Best describe how the personnel followed manual management procedures.


REFERENCES: 8900.1 Vol 3 Ch 32 Sec 1, 8900.1 Vol 3 Ch 32 Sec 4, 8900.1 Vol 6 Ch 2 Sec 11, 135.21(a), 135.21(d), 135.21(e)

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  3  12/13/2018 3:52:04 PM, 

QID:
 00011551, 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   
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
3   
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
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: 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
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?


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
6   
Did the certificate holder:

      #1 Maintain a complete and separate set of its OpSpecs at its principal base of operations;
      #2 Insert the pertinent excerpts of its OpSpecs, which are clearly identified or references to them, in its manual;
      #3 State that compliance with each OpSpec requirement is mandatory; and
      #4 Inform employees and other people used in its operations of the provisions of its OpSpecs that apply to that employee's or person's duties and responsibilities?

REFERENCES: 8900.1 Vol 3 Ch 18 Sec 1, 8900.1 Vol 6 Ch 2 Sec 11, 119.43(a), 119.43(b), 119.43(c)

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

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  4  12/13/2018 3:52:02 PM, 

QID:
 00011562, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
7   
Were the manuals in a FAA Form that was easy to revise?


REFERENCES: 8900.1 Vol 3 Ch 32 Sec 1

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

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  2  12/13/2018 3:52:02 PM, 

QID:
 00011568, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
8   
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
9   
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
10   
Were the manuals that were reviewed current to include the latest revision?


REFERENCES: 8900.1 Vol 3 Ch 32 Sec 1, 8900.1 Vol 3 Ch 32 Sec 4, 8900.1 Vol 6 Ch 2 Sec 11, 135.21(a), 135.21(d), 135.21(e)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  3  12/13/2018 3:52:03 PM, 

QID:
 00011552, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
11   
Did the certificate holder provide copies, changes, and additions of its required manuals to:

      #1 Appropriate ground operations personnel;
      #2 Maintenance personnel;
      #3 Crewmembers; and
      #4 The assigned representatives of the Administrator?

REFERENCES: 8900.1 Vol 3 Ch 32 Sec 1, 8900.1 Vol 3 Ch 32 Sec 4, 8900.1 Vol 6 Ch 2 Sec 11, 135.21(a), 135.21(d)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  4  12/13/2018 3:52:03 PM, 

QID:
 00011553, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
12   
Were manual changes or additions furnished or available to all personnel to whom a manual or portions of a manual were furnished or made available?


REFERENCES: 8900.1 Vol 3 Ch 32 Sec 1, 135.21(d)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  3  12/13/2018 3:52:03 PM, 

QID:
 00011558, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
13   
Were the current manuals or parts of the manuals made available and used by flight, ground and maintenance personnel when conducting operations?


REFERENCES: 8900.1 Vol 3 Ch 32 Sec 1, 135.21(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  3  12/13/2018 3:52:03 PM, 

QID:
 00011559, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
14   
Were the appropriate parts of the certificate holder's manual on its aircraft when operating away from the principal base of operations?


REFERENCES: 8900.1 Vol 3 Ch 32 Sec 1, 135.21(f)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  3  12/13/2018 3:52:02 PM, 

QID:
 00011561, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
15   
Was at least one copy of the manual maintained at its principal base of operations?


REFERENCES: 8900.1 Vol 6 Ch 2 Sec 11, 135.21(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  4  12/13/2018 3:52:01 PM, 

QID:
 00011567, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
16   
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
17   
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
18   
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
19   
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
20   
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
21   
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
22   
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
23   
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  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
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