Unscoped DCT Report (Standard DCT)


MLF Label: 3.3 Flight Planning and Monitoring
DCT Type: SP DCT
Specialty: Operations
Peer Group: A - Part 121 Air Operators
DCT Revision: 25.0 on 03/29/19 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): The CH is responsible to manage the safety of the Flight Planning and Monitoring 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 Flight Planning and Monitoring processes, and; (2) Managed safety of the Flight Planning and Monitoring processes by incorporating system safety principles which include safety attributes.


The Flight Planning and Monitoring Subsystem includes the following Element(s)
  3.3 Flight Planning and Monitoring
     3.3.1 (OP) Operational Control
     3.3.2 (OP) Dispatch / Flight Release
     3.3.3 (OP) Flight / Load Manifest / Weight and Balance Procedures
     3.3.4 (OP) MEL / CDL / NEF Procedures
     3.3.5 (OP) Extended Operations (ETOPS)


Questions Answers References
  3.3.5 (OP) Extended Operations (ETOPS)
29   
Did the certificate holder meet its regulatory and guidance requirements for Extended Operations (ETOPS)?




Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "B342") OR (OPSPEC = "B344") OR (OPSPEC = "D086")) ,  Rev.  7  3/29/2019 8:10:40 AM, 

QID:
 00013856, 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
B342, B344, B055, D086, 121.106(a), 121.106(b), 121.117(b), 121.122(b), 121.122(c), 121.415(a), 121.624, 121.624(a), 121.624(b), 121.624(c), 121.624(d), 121.631(c), 121.631(d), 121.631(e), 121.633, 121.646(b), 121.687(a), 121.689(a), 121.97(b), 121.99
30   
Did the certificate holder's controls effectively mitigate unacceptable levels of risk(s) for the Extended Operations (ETOPS) process?




Safety Attribute: Controls,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "B342") OR (OPSPEC = "B344") OR (OPSPEC = "D086")) ,  Rev.  5  3/29/2019 8:09:57 AM, 

QID:
 00013857, 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, significant issues, or regulatory non-compliance
  Not Observable
5.51, 5.53, 5.55
31   
Did the certificate holder's Extended Operations (ETOPS) process ensure consistency of related processes between departments and employees (interfaces)?




Safety Attribute: Interfaces,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "B342") OR (OPSPEC = "B344") OR (OPSPEC = "D086")) ,  Rev.  5  3/29/2019 8:09:58 AM, 

QID:
 00013858, 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
32   
Were financial and human resources provided to ensure the safety and quality performance for the Extended Operations (ETOPS) process?




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

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "B342") OR (OPSPEC = "B344") OR (OPSPEC = "D086")) ,  Rev.  5  3/29/2019 8:09:58 AM, 

QID:
 00013859, 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, significant issues, or regulatory non-compliance
  Not Observable
5.23(a), 5.25(a), 5.25(b), 5.25(c), 5.21
33   
Did the person with authority over the certificate holder's Extended Operations (ETOPS) process effectively plan, direct, control, or change procedures, and make key determinations, including safety risk acceptance decisions?




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

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "B342") OR (OPSPEC = "B344") OR (OPSPEC = "D086")) ,  Rev.  5  3/29/2019 8:09:58 AM, 

QID:
 00013860, 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, significant issues, or regulatory non-compliance
  Not Observable
5.23(a), 5.23(b), 5.25(c)
34   
Were the certificate holder's process measurement(s) used to evaluate the performance of the Extended Operations (ETOPS) process and if necessary, implement corrective action?




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

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "B342") OR (OPSPEC = "B344") OR (OPSPEC = "D086")) ,  Rev.  6  3/29/2019 8:10:15 AM, 

QID:
 00013861, 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, significant issues, or regulatory non-compliance
  Not Observable
5.75, 5.71, 5.73
35   
Did the certificate holder's personnel understand their role and contribute to the safety performance of the Extended Operations (ETOPS) process?




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

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "B342") OR (OPSPEC = "B344") OR (OPSPEC = "D086")) ,  Rev.  4  3/29/2019 8:09:49 AM, 

QID:
 00013862, 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, significant issues, or regulatory non-compliance
  Not Observable
5.23(a), 5.91, 5.93
  3.3.1 (OP) Operational Control
1   
Did the certificate holder meet its regulatory and guidance requirements for Operational Control?




Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  10  3/29/2019 8:10:08 AM, 

QID:
 00013828, 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
8900.1 Vol 3 Ch 13 Sec 4, 8900.1 Vol 3 Ch 13 Sec 5, 8900.1 Vol 3 Ch 25 Sec 2, 8900.1 Vol 3 Ch 25 Sec 3, 8900.1 Vol 4 Ch 4 Sec 1, 8900.1 Vol 6 Ch 2 Sec 22, AC-120-101, A001, A008, A028, A029, A056, 119.53, 119.53(e), 119.65, 119.65(d), 121.103, 121.107, 121.121, 121.122, 121.125(a), 121.127(a), 121.127(b), 121.303, 121.395, 121.404, 121.415, 121.418, 121.422, 121.427, 121.463, 121.533, 121.533(d), 121.535, 121.535(d), 121.537, 121.537(a), 121.537(d), 121.539, 121.541, 121.551, 121.553, 121.557, 121.559, 121.569, 121.593, 121.595(a), 121.597, 121.599(a), 121.599(b), 121.601, 121.603(a), 121.603(b), 121.605, 121.607, 121.609, 121.627, 121.711, 121.99, 65.51
2   
Did the certificate holder's controls effectively mitigate unacceptable levels of risk(s) for the Operational Control process?




Safety Attribute: Controls,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/29/2019 8:09:46 AM, 

QID:
 00013829, 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, significant issues, or regulatory non-compliance
  Not Observable
5.51, 5.53, 5.55
3   
Did the certificate holder's Operational Control process ensure consistency of related processes between departments and employees (interfaces)?




Safety Attribute: Interfaces,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/29/2019 8:09:47 AM, 

QID:
 00013830, 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
4   
Were financial and human resources provided to ensure the safety and quality performance for the Operational Control process?




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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/29/2019 8:09:47 AM, 

QID:
 00013831, 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, significant issues, or regulatory non-compliance
  Not Observable
5.23(a), 5.25(a), 5.25(b), 5.25(c), 5.21
5   
Did the person with authority over the certificate holder's Operational Control process effectively plan, direct, control, or change procedures, and make key determinations, including safety risk acceptance decisions?




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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/29/2019 8:09:47 AM, 

QID:
 00013832, 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, significant issues, or regulatory non-compliance
  Not Observable
5.23(a), 5.23(b), 5.25(c)
6   
Were the certificate holder's process measurement(s) used to evaluate the performance of the Operational Control process and if necessary, implement corrective action?




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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  5  3/29/2019 8:10:14 AM, 

QID:
 00013833, 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, significant issues, or regulatory non-compliance
  Not Observable
5.75, 5.71, 5.73
7   
Did the certificate holder's personnel understand their role and contribute to the safety performance of the Operational Control process?




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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/29/2019 8:09:47 AM, 

QID:
 00013834, 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, significant issues, or regulatory non-compliance
  Not Observable
5.23(a), 5.91, 5.93
  3.3.2 (OP) Dispatch / Flight Release
8   
Did the certificate holder meet its regulatory and guidance requirements for Dispatch / Flight Release?




Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  13  3/29/2019 8:10:40 AM, 

QID:
 00013835, 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
8900.1 Vol 3 Ch 18 Sec 5, 8900.1 Vol 3 Ch 25 Sec 1, 8900.1 Vol 3 Ch 25 Sec 2, 8900.1 Vol 3 Ch 26 Sec 3, A025, A005, A008, A009, A010, A012, B034, B043, B044, B051, B055, B343, C055, C067, C070, A023, 121.101(a), 121.101(b), 121.101(d), 121.106, 121.117, 121.117(a), 121.117(b), 121.119(a), 121.119(b), 121.161(a), 121.161(d), 121.333, 121.533(a), 121.535(a), 121.537(a), 121.557, 121.559, 121.590, 121.597(b), 121.611, 121.613, 121.615, 121.617(a), 121.619, 121.621, 121.623, 121.624, 121.625, 121.629, 121.631, 121.631(a), 121.631(f), 121.631(g), 121.635, 121.637, 121.639, 121.641, 121.641(a), 121.641(b), 121.643, 121.643(a), 121.645(b), 121.645(c), 121.646(a), 121.647, 121.647(a), 121.647(b), 121.647(c), 121.647(d), 121.649, 121.651, 121.652, 121.653, 121.655, 121.663, 121.687, 121.687(a), 121.689(a), 121.689(b), 121.689(c), 121.695(a), 121.697(a), 121.97, 121.97(a), 121.97(b), 117.5(d), A319
9   
Did the certificate holder's controls effectively mitigate unacceptable levels of risk(s) for the Dispatch / Flight Release process?




Safety Attribute: Controls,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/29/2019 8:09:47 AM, 

QID:
 00013836, 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, significant issues, or regulatory non-compliance
  Not Observable
5.51, 5.53, 5.55
10   
Did the certificate holder's Dispatch / Flight Release process ensure consistency of related processes between departments and employees (interfaces)?




Safety Attribute: Interfaces,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/29/2019 8:09:47 AM, 

QID:
 00013837, 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
11   
Were financial and human resources provided to ensure the safety and quality performance for the Dispatch / Flight Release process?




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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/29/2019 8:09:48 AM, 

QID:
 00013838, 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, significant issues, or regulatory non-compliance
  Not Observable
5.23(a), 5.25(a), 5.25(b), 5.25(c), 5.21
12   
Did the person with authority over the certificate holder's Dispatch / Flight Release process effectively plan, direct, control, or change procedures, and make key determinations, including safety risk acceptance decisions?




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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/29/2019 8:09:50 AM, 

QID:
 00013839, 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, significant issues, or regulatory non-compliance
  Not Observable
5.23(a), 5.23(b), 5.25(c)
13   
Were the certificate holder's process measurement(s) used to evaluate the performance of the Dispatch / Flight Release process and if necessary, implement corrective action?




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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  5  3/29/2019 8:10:14 AM, 

QID:
 00013840, 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, significant issues, or regulatory non-compliance
  Not Observable
5.75, 5.71, 5.73
14   
Did the certificate holder's personnel understand their role and contribute to the safety performance of the Dispatch / Flight Release process?




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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  5  3/29/2019 8:10:14 AM, 

QID:
 00013841, 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, significant issues, or regulatory non-compliance
  Not Observable
5.23(a), 5.91, 5.93
  3.3.3 (OP) Flight / Load Manifest / Weight and Balance Procedures
15   
Did the certificate holder meet its regulatory and guidance requirements for Flight / Load Manifest / Weight and Balance Control?




Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  8  3/29/2019 8:10:07 AM, 

QID:
 00013842, 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
8900.1 Vol 3 Ch 48 Sec 1, AC-120-27, A096, A097, A098, A099, 121.198(a), 121.198(c), 121.665, 121.693, 121.693(a), 121.693(b), 121.693(c), 121.693(d), 121.693(e), 121.695(a), 121.695(b), 121.697(a), 121.697(c), 121.697(e), 91.9(a)
16   
Did the certificate holder's controls effectively mitigate unacceptable levels of risk(s) for the Flight / Load Manifest / Weight and Balance Control process?




Safety Attribute: Controls,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/29/2019 8:09:48 AM, 

QID:
 00013843, 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, significant issues, or regulatory non-compliance
  Not Observable
5.51, 5.53, 5.55
17   
Did the certificate holder's Flight / Load Manifest / Weight and Balance Control process ensure consistency of related processes between departments and employees (interfaces)?




Safety Attribute: Interfaces,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/29/2019 8:09:48 AM, 

QID:
 00013844, 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
18   
Were financial and human resources provided to ensure the safety and quality performance for the Flight / Load Manifest / Weight and Balance Control process?




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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/29/2019 8:09:48 AM, 

QID:
 00013845, 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, significant issues, or regulatory non-compliance
  Not Observable
5.23(a), 5.25(a), 5.25(b), 5.25(c), 5.21
19   
Did the person with authority over the certificate holder's Flight / Load Manifest / Weight and Balance Control process effectively plan, direct, control, or change procedures, and make key determinations, including safety risk acceptance decisions?




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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/29/2019 8:09:48 AM, 

QID:
 00013846, 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, significant issues, or regulatory non-compliance
  Not Observable
5.23(a), 5.23(b), 5.25(c)
20   
Were the certificate holder's process measurement(s) used to evaluate the performance of the Flight / Load Manifest / Weight and Balance Control process and if necessary, implement corrective action?




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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  5  3/29/2019 8:10:14 AM, 

QID:
 00013847, 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, significant issues, or regulatory non-compliance
  Not Observable
5.75, 5.71, 5.73
21   
Did the certificate holder's personnel understand their role and contribute to the safety performance of the Flight / Load Manifest / Weight and Balance Control process?




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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  5  3/29/2019 8:10:14 AM, 

QID:
 00013848, 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, significant issues, or regulatory non-compliance
  Not Observable
5.23(a), 5.91, 5.93
  3.3.4 (OP) MEL / CDL / NEF Procedures
22   
Did the certificate holder meet its regulatory and guidance requirements for MEL / CDL / NEF?




Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  6  3/29/2019 8:10:07 AM, 

QID:
 00013849, 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
8900.1 Vol 4 Ch 4 Sec 1, 8900.1 Vol 4 Ch 4 Sec 3, 121.628(a), 8900.1 Vol 4 Ch 4 Sec 4
23   
Did the certificate holder's controls effectively mitigate unacceptable levels of risk(s) for the MEL / CDL / NEF process?




Safety Attribute: Controls,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/29/2019 8:09:48 AM, 

QID:
 00013850, 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, significant issues, or regulatory non-compliance
  Not Observable
5.51, 5.53, 5.55
24   
Did the certificate holder's MEL / CDL / NEF Procedures process ensure consistency of related processes between departments and employees (interfaces)?




Safety Attribute: Interfaces,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/29/2019 8:09:49 AM, 

QID:
 00013851, 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
25   
Were financial and human resources provided to ensure the safety and quality performance for the MEL / CDL / NEF process?




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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/29/2019 8:09:49 AM, 

QID:
 00013852, 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, significant issues, or regulatory non-compliance
  Not Observable
5.23(a), 5.25(a), 5.25(b), 5.25(c), 5.21
26   
Did the person with authority over the certificate holder's MEL / CDL / NEF process effectively plan, direct, control, or change procedures, and make key determinations, including safety risk acceptance decisions?




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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/29/2019 8:09:49 AM, 

QID:
 00013853, 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, significant issues, or regulatory non-compliance
  Not Observable
5.23(a), 5.23(b), 5.25(c)
27   
Were the certificate holder's process measurement(s) used to evaluate the performance of the MEL / CDL / NEF process and if necessary, implement corrective action?




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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  5  3/29/2019 8:10:14 AM, 

QID:
 00013854, 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, significant issues, or regulatory non-compliance
  Not Observable
5.75, 5.71, 5.73
28   
Did the certificate holder's personnel understand their role and contribute to the safety performance of the MEL / CDL / NEF process?




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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/29/2019 8:09:49 AM, 

QID:
 00013855, 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, significant issues, or regulatory non-compliance
  Not Observable
5.23(a), 5.91, 5.93


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
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