Unscoped DCT Report (Standard DCT)


MLF Label: 1.3 Airworthiness Management
DCT Type: SP DCT
Specialty: Airworthiness
Peer Group: A - Part 121 Air Operators
DCT Revision: 10.0 on 05/18/18 (Released)
Summary Information

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


The Airworthiness Management Subsystem includes the following Element(s)
  1.3 Airworthiness Management
     1.3.1 (AW) Part 119 Required Personnel
     1.3.2 (AW) Manual Management
     1.3.3 (AW) Coordinating Agencies for Suppliers Evaluation (CASE)


Questions Answers References
  1.3.1 (AW) Part 119 Required Personnel
1   
Did your observations of Part 119 Required Personnel procedures indicate the certificate holder met regulatory and guidance requirements?




NOTE: 

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/27/2018 4:34:31 PM, 

QID:
 00011804, Response Details: 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 32 Sec 11, 8900.1 Vol 3 Ch 32 Sec 8, A006, 119.65(a), 119.65(d), 119.65(e), 119.67(c), 119.67(d), 119.67(e), 121.375, 121.378
2   
Did the certificate holder effectively mitigate unacceptable levels of risk(s) for the Part 119 Required Personnel process?




NOTE: 

Safety Attribute: Controls,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  3/27/2018 4:34:07 PM, 

QID:
 00011805, Response Details: 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
5.53, 5.55, 5.51
3   
Did the certificate holder's Part 119 Required Personnel process ensure consistency of related processes between departments and employees (interfaces)?




NOTE: 

Safety Attribute: Interfaces,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  3/27/2018 4:34:07 PM, 

QID:
 00011806, Response Details: 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   
Did the responsible person for Part 119 Required Personnel process provide adequate resources (financial and human) to ensure the safety and performance in support of all process objectives?




NOTE: 

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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  3/27/2018 4:34:08 PM, 

QID:
 00011807, Response Details: 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
5.21, 5.23(a), 5.25(a), 5.25(b), 5.25(c)
5   
Did the person with authority over the certificate holder's Part 119 Required Personnel process effectively plan, direct, control, or change procedures, and make key determinations, including safety risk acceptance decisions?




NOTE: 

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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  3/27/2018 4:34:08 PM, 

QID:
 00011808, Response Details: 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(b)
6   
Did the certificate holder monitor and measure the safety performance of the Part 119 Required Personnel process to identify process deficiencies and take action to correct identified deficiencies?




NOTE: 

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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/30/2018 10:21:47 AM, 

QID:
 00011809, Response Details: 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
5.71, 5.73, 5.75
7   
Were individuals knowledgeable on how their safety-related duties contributed to the safety performance of the Part 119 Required Personnel process?




NOTE: 

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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  3/27/2018 4:34:08 PM, 

QID:
 00011810, Response Details: 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
  1.3.2 (AW) Manual Management
8   
Did your observations of Manual Management procedures indicate the certificate holder met regulatory and guidance requirements?




NOTE: 

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  7  5/18/2018 9:57:27 AM, 

QID:
 00011811, Response Details: 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 32 Sec 8, 121.133, 121.133(a), 121.135(c), 121.137(a), 121.137(b), 121.137(c), 121.139(a)
9   
Did the certificate holder effectively mitigate unacceptable levels of risk(s) for the Manual Management process?




NOTE: 

Safety Attribute: Controls,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  3/27/2018 4:34:09 PM, 

QID:
 00011812, Response Details: 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
5.53, 5.55, 5.51
10   
Did the certificate holder's Manual Management process ensure consistency of related processes between departments and employees (interfaces)?




NOTE: 

Safety Attribute: Interfaces,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  3/27/2018 4:34:09 PM, 

QID:
 00011813, Response Details: 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   
Did the responsible person for Manual Management process provide adequate resources (financial and human) to ensure the safety and performance in support of all process objectives?




NOTE: 

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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  3/27/2018 4:34:09 PM, 

QID:
 00011814, Response Details: 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
5.21, 5.23(a), 5.25(a), 5.25(b), 5.25(c)
12   
Did the person with authority over the certificate holder's Manual Management process effectively plan, direct, control, or change procedures, and make key determinations, including safety risk acceptance decisions?




NOTE: 

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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  3/27/2018 4:34:09 PM, 

QID:
 00011815, Response Details: 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(b)
13   
Did the certificate holder monitor and measure the safety performance of the Manual Management process to identify process deficiencies and take action to correct identified deficiencies?




NOTE: 

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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/30/2018 10:21:47 AM, 

QID:
 00011816, Response Details: 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
5.71, 5.73, 5.75
14   
Were individuals knowledgeable on how their safety-related duties contributed to the safety performance of the Manual Management process?




NOTE: 

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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  3/27/2018 4:34:10 PM, 

QID:
 00011817, Response Details: 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
  1.3.3 (AW) Coordinating Agencies for Suppliers Evaluation (CASE)
15   
Did your observations of Coordinating Agencies for Suppliers Evaluation (CASE) procedures indicate the certificate holder met regulatory and guidance requirements?




NOTE: 

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121") AND (OPSPEC = "D090") ,  Rev.  5  3/27/2018 4:34:33 PM, 

QID:
 00011818, Response Details: 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 49 Sec 1, D090, 121.363
16   
Did the certificate holder effectively mitigate unacceptable levels of risk(s) for the Coordinating Agencies for Suppliers Evaluation (CASE) process?




NOTE: 

Safety Attribute: Controls,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121") AND (OPSPEC = "D090") ,  Rev.  5  3/30/2018 10:21:49 AM, 

QID:
 00011819, Response Details: 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
5.53, 5.55, 5.51
17   
Did the certificate holder's Coordinating Agencies for Suppliers Evaluation (CASE) process ensure consistency of related processes between departments and employees (interfaces)?




NOTE: 

Safety Attribute: Interfaces,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121") AND (OPSPEC = "D090") ,  Rev.  4  3/27/2018 4:34:32 PM, 

QID:
 00011820, Response Details: 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   
Did the responsible person for the Coordinating Agencies for Suppliers Evaluation (CASE) process provide adequate resources (financial and human) to ensure the safety and performance in support of all process objectives?




NOTE: 

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

Scoping Attribute:
  (FAR PART = "121") AND (OPSPEC = "D090") ,  Rev.  4  3/27/2018 4:34:32 PM, 

QID:
 00011821, Response Details: 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
5.21, 5.23(a), 5.25(a), 5.25(b), 5.25(c)
19   
Did the person with authority over the certificate holder's Coordinating Agencies for Suppliers Evaluation (CASE) process effectively plan, direct, control, or change procedures, and make key determinations, including safety risk acceptance decisions?




NOTE: 

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

Scoping Attribute:
  (FAR PART = "121") AND (OPSPEC = "D090") ,  Rev.  4  3/27/2018 4:34:32 PM, 

QID:
 00011822, Response Details: 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(b)
20   
Did the certificate holder monitor and measure the safety performance of the Coordinating Agencies for Suppliers Evaluation (CASE) process to identify process deficiencies and take action to correct identified deficiencies?




NOTE: 

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

Scoping Attribute:
  (FAR PART = "121") AND (OPSPEC = "D090") ,  Rev.  5  3/30/2018 10:21:50 AM, 

QID:
 00011823, Response Details: 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
5.71, 5.73, 5.75
21   
Were individuals knowledgeable on how their safety-related duties contributed to the safety performance of the Coordinating Agencies for Suppliers Evaluation (CASE) process?




NOTE: 

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

Scoping Attribute:
  (FAR PART = "121") AND (OPSPEC = "D090") ,  Rev.  3  3/27/2018 4:34:10 PM, 

QID:
 00011824, Response Details: 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  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  N/O Response Detail (Released, 1.0)
1 Personnel (i.e. key certificate holder personnel not present/available)
2 Equipment (i.e. equipment not present/available/in serviceable condition)
3 Event did not occur (i.e. the drunk passenger did not show up for the flight...)
4 Time Constraints (i.e. resources/workload)
5 Weather (i.e. weather needed for observation not present or weather made observation impossible)
6 Other