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: 20.0 on 05/18/18 (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
     3.3.5 (OP) Extended Operations (ETOPS)
     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


Questions Answers References
  3.3.1 (OP) Operational Control
1   
Did your observations of Operational Control procedures indicate the certificate holder met regulatory and guidance requirements?




NOTE: 

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  9  3/27/2018 4:34:54 PM, 

QID:
 00013828, 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
AC-120-101, 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, A001, A008, A028, A029, A056, 8900.1 Vol 4 Ch 4 Sec 1, 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, 8900.1 Vol 6 Ch 2 Sec 22, 65.51
2   
Did the certificate holder effectively mitigate unacceptable levels of risk(s) for the Operational Control process?




NOTE: 

Safety Attribute: Controls,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  3/27/2018 4:34:26 PM, 

QID:
 00013829, 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 Operational Control 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 4:34:26 PM, 

QID:
 00013830, 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 Operational Control 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 4:34:26 PM, 

QID:
 00013831, 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 Operational Control 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 4:34:26 PM, 

QID:
 00013832, 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 Operational Control 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 10:21:49 AM, 

QID:
 00013833, 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 Use of Operational Control process?




NOTE: 

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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  3/27/2018 4:34:26 PM, 

QID:
 00013834, 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
  3.3.2 (OP) Dispatch / Flight Release
8   
Did your observations of Dispatch / Flight Release procedures indicate the certificate holder met regulatory and guidance requirements?




NOTE: 

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  9  5/18/2018 10:04:11 AM, 

QID:
 00013835, 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 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, 117.5(d), 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, A319, 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), 91.153(a)
9   
Did the certificate holder effectively mitigate unacceptable levels of risk(s) for the Dispatch / Flight Release process?




NOTE: 

Safety Attribute: Controls,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  3/27/2018 4:34:26 PM, 

QID:
 00013836, 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 Dispatch / Flight Release 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 4:34:26 PM, 

QID:
 00013837, 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 Dispatch / Flight Release 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 4:34:26 PM, 

QID:
 00013838, 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 Dispatch / Flight Release 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 4:34:28 PM, 

QID:
 00013839, 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 Dispatch / Flight Release 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 10:21:49 AM, 

QID:
 00013840, 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 Dispatch / Flight Release process?




NOTE: 

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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/30/2018 10:21:49 AM, 

QID:
 00013841, 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
  3.3.3 (OP) Flight / Load Manifest / Weight and Balance Procedures
15   
Did your observations of Flight / Load Manifest / Weight and Balance Control 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  3/27/2018 4:34:52 PM, 

QID:
 00013842, 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
AC-120-27, 8900.1 Vol 3 Ch 48 Sec 1, 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 effectively mitigate unacceptable levels of risk(s) for the Flight / Load Manifest / Weight and Balance Control process?




NOTE: 

Safety Attribute: Controls,  Question Type: Process Observation,  

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

QID:
 00013843, 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 Flight / Load Manifest / Weight and Balance Control 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 4:34:27 PM, 

QID:
 00013844, 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 Flight / Load Manifest / Weight and Balance Control 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 4:34:27 PM, 

QID:
 00013845, 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 Flight / Load Manifest / Weight and Balance Control 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 4:34:27 PM, 

QID:
 00013846, 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 Flight / Load Manifest / Weight and Balance Control 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 10:21:49 AM, 

QID:
 00013847, 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 Flight / Load Manifest / Weight and Balance Control process?




NOTE: 

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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  3/30/2018 10:21:49 AM, 

QID:
 00013848, 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
  3.3.4 (OP) MEL / CDL / NEF Procedures
22   
Did your observations of the MEL / CDL / NEF procedures indicate the certificate holder met regulatory and guidance requirements?




NOTE: 

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  5  3/27/2018 4:34:50 PM, 

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




NOTE: 

Safety Attribute: Controls,  Question Type: Process Observation,  

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

QID:
 00013850, 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
24   
Did the certificate holder's MEL / CDL / NEF Procedures 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 4:34:27 PM, 

QID:
 00013851, 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
25   
Did the responsible person for MEL / CDL / NEF 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 4:34:27 PM, 

QID:
 00013852, 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)
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?




NOTE: 

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

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

QID:
 00013853, 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)
27   
Did the certificate holder monitor and measure the safety performance of the MEL / CDL / NEF 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 10:21:49 AM, 

QID:
 00013854, 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
28   
Were individuals knowledgeable on how their safety-related duties contributed to the safety performance of the Use of MEL / CDL / NEF process?




NOTE: 

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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  3/27/2018 4:34:28 PM, 

QID:
 00013855, 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
  3.3.5 (OP) Extended Operations (ETOPS)
29   
Did your observations of Extended Operations (ETOPS) 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 = "B342") OR (OPSPEC = "B344") OR (OPSPEC = "D086")) ,  Rev.  5  3/27/2018 4:34:36 PM, 

QID:
 00013856, 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
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 effectively mitigate unacceptable levels of risk(s) for the Extended Operations (ETOPS) process?




NOTE: 

Safety Attribute: Controls,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "B342") OR (OPSPEC = "B344") OR (OPSPEC = "D086")) ,  Rev.  4  3/27/2018 4:34:36 PM, 

QID:
 00013857, 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
31   
Did the certificate holder's Extended Operations (ETOPS) 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 = "B342") OR (OPSPEC = "B344") OR (OPSPEC = "D086")) ,  Rev.  4  3/27/2018 4:34:36 PM, 

QID:
 00013858, 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
32   
Did the responsible person for Extended Operations (ETOPS) 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 = "B342") OR (OPSPEC = "B344") OR (OPSPEC = "D086")) ,  Rev.  4  3/27/2018 4:34:36 PM, 

QID:
 00013859, 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)
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?




NOTE: 

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

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "B342") OR (OPSPEC = "B344") OR (OPSPEC = "D086")) ,  Rev.  4  3/27/2018 4:34:36 PM, 

QID:
 00013860, 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)
34   
Did the certificate holder monitor and measure the safety performance of the Extended Operations (ETOPS) 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 = "B342") OR (OPSPEC = "B344") OR (OPSPEC = "D086")) ,  Rev.  5  3/30/2018 10:21:50 AM, 

QID:
 00013861, 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
35   
Were individuals knowledgeable on how their safety-related duties contributed to the safety performance of the Extended Operations (ETOPS) process?




NOTE: 

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

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "B342") OR (OPSPEC = "B344") OR (OPSPEC = "D086")) ,  Rev.  3  3/27/2018 4:34:28 PM, 

QID:
 00013862, 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