Unscoped DCT Report (Standard DCT)

MLF Label: 1.4.1 Personnel Records (Released)
DCT Type: ED DCT
Specialty: Airworthiness
Peer Group: H - Part 145 Outside US with a MIP
DCT Revision: 7.0 on 10/19/2016 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To have personnel records of the accountable persons available and maintained on a roster.

Objective (FAA Responsibility): Determine if the CH will be able to; (1) Comply with regulations; (2) Have personnel records of the accountable persons available and maintained on a roster


Questions Answers References
1.4.1 Personnel Records
1. Is the individual with responsibility clearly identifiable and required to have the knowledge and qualifications necessary to plan, organize, direct and control activities for this element?



NOTE: 


Safety Attribute: Management Responsibility, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121") OR (FAR PART = "135") OR (FAR PART = "145") , Rev.  5.0  07/12/2016, QID: 00010624, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
2. Is the individual with authority clearly identifiable, and required to have the knowledge and qualifications necessary to direct, control, or change procedures, and make key decisions, such as safety risk acceptance, associated with this element?



NOTE: 


Safety Attribute: Management Authority, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121") OR (FAR PART = "135") OR (FAR PART = "145") , Rev.  5.0  07/12/2016, QID: 00010630, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
3. Are there process measurements that provide for the continuous monitoring and measuring of safety performance related to this element, to identify deficiencies or hazards?



NOTE: 


Safety Attribute: Process Measurement, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121") OR (FAR PART = "135") OR (FAR PART = "145") , Rev.  5.0  07/12/2016, QID: 00010622, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
4. Do the procedures describe each management position, including the duties and responsibilities and the area of assigned responsibility?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "145" ) , Rev.  2.0  03/16/2015, QID: 00001167, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 6 Ch 9 Sec 13; AC-145-9; 145.209(a)
5. Do the procedures require that management duties and responsibilities of each management position be performed in the manager's absence?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "145" ) , Rev.  1.0  09/20/2012, QID: 00001168, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
AC-145-9
6. Do the procedures require the Repair Station to:
      #1 Designate an employee as the accountable manager;
      #2 Provide qualified personnel to plan, supervise, perform, and approve for return to service articles receiving maintenance, preventive maintenance, or alterations performed;
      #3 Ensure it has a sufficient number of employees with the training or knowledge and experience in the performance of maintenance, preventive maintenance, or alterations to ensure all work is performed per 14 CFR Part 43; and
      #4 Determine the abilities of noncertificated employees performing maintenance functions based on training, knowledge, experience, or practical tests?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "145" ) , Rev.  3.0  03/16/2015, QID: 00001169, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 6 Ch 9 Sec 13; AC-145-9; 145.151
7. Do the procedures require that inspection personnel be evaluated to ensure they are:
      #1 Thoroughly familiar with applicable regulations;
      #2 Thoroughly familiar with inspection methods, techniques, practices, aids, equipment, and tools used to determine the airworthiness of the article on which maintenance, preventive maintenance, or alterations are being performed;
      #3 Proficient with inspection equipment and visual inspection aids appropriate for the article being inspected; and
      #4 Able to understand, read, and write English?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "145" ) , Rev.  3.0  03/16/2015, QID: 00001175, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 6 Ch 9 Sec 13; AC-145-10; AC-145-9; 145.155
8. Do the procedures require the Repair Station to maintain and make available in a format acceptable to the FAA a roster with the names of:
      #1 Management and supervisory personnel;
      #2 Inspection personnel; and
      #3 Personnel authorized to sign a maintenance release to approve for return to service?



NOTE: This includes names of the repair station officials responsible for its management and the names of its supervisors who oversee maintenance functions.


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "145" ) , Rev.  3.0  03/16/2015, QID: 00001180, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 6 Ch 9 Sec 13; AC-145-9; 145.161(a)
9. Do the procedures require a summary of the employment of each individual on the personnel rosters that contains enough information to show compliance with the experience requirements of 14 CFR Part 145, including:
      #1 Present title;
      #2 Total years of experience and the type of maintenance work performed;
      #3 Past relevant employment with names of employers and periods of employment;
      #4 Scope of present employment; and
      #5 The type of mechanic or repairman certificate held and the ratings on that certificate, if applicable?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "145" ) , Rev.  3.0  03/16/2015, QID: 00001184, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 6 Ch 9 Sec 13; AC-145-9; 145.161(a)
10. Do the procedures require the roster to be updated within 5 business days to show changes caused by:
      #1 Terminations;
      #2 Reassignments;
      #3 Changes in duties or scope of assignments; or
      #4 Additions of personnel?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "145" ) , Rev.  3.0  03/16/2015, QID: 00001190, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 6 Ch 9 Sec 13; AC-145-9; 145.161(b)
11. Do the procedures require supervisors employed by Repair Stations outside the United States to:
      #1 Have a minimum of 18 months of practical experience in the work being performed; or
      #2 Be trained in or be thoroughly familiar with the methods, techniques, practices, aids, equipment, and tools used to perform the maintenance, preventive maintenance, or alterations?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "145" ) , Rev.  2.0  02/13/2014, QID: 00001199, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
145.153(b)
12. Do procedures exist in enough detail to meet the regulatory and guidance requirements for this element to produce the intended results?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121") OR (FAR PART = "135") OR (FAR PART = "145") , Rev.  5.0  07/12/2016, QID: 00010595, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
13. Do the procedures require each person authorized to approve an article for return to service employed by Repair Stations outside the United States to:
      #1 Be trained in or have 18 months practical experience with the methods, techniques, practices, aids, equipment, and tools used to perform the maintenance, preventive maintenance, or alterations; and
      #2 Be thoroughly familiar with the applicable regulations in this chapter and proficient in the use of the various inspection methods, techniques, practices, aids, equipment, and tools appropriate for the work being performed and approved for return to service.



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "145") , Rev.  1.0  10/19/2016, QID: 00050642, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 6 Ch 9 Sec 13; 145.157(b)
14. Do controls exist to ensure processes associated with this element achieve the intended results?



NOTE: Controls associated with this element may include, but are not limited to, hardware, software, special procedures or procedural steps, checklists, or supervisory practices.


Safety Attribute: Controls, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "145") OR (FAR PART = "121") OR (FAR PART = "135") , Rev.  4.0  07/12/2016, QID: 00010681, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
15. Does the certificate holder have a method to evaluate the impact of changes on related processes (interfaces) for this element?



NOTE: 


Safety Attribute: Interfaces, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121") OR (FAR PART = "135") OR (FAR PART = "145") , Rev.  5.0  07/12/2016, QID: 00010623, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable


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/A Response Detail (Released , 1.0)
1 Operator not authorized by OpSpecs
2 Equipment not equipped/authorized
3 Not applicable due to exemption, deviation, or exception
4 Not authorized by regulation
5 Not authorized by Order
6 Not authorized by Notice
7 Not authorized/recommended by Advisory Circular
8 Not authorized by Policy Letter, Legal Interpretation, or other guidance
9 Other