Unscoped DCT Report (Standard DCT)


MLF Label: 1.1.3 (AW) Continuous Analysis and Surveillance System (CASS)
DCT Type: ED DCT
Specialty: Airworthiness
Peer Group: E - Part 135 (HAA)
DCT Revision: 8.0 on 09/19/17 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To develop an effective CASS that provides continuous analysis, surveillance, identifies deficiencies and implements corrective actions.
Objective (FAA Responsibility): Determine if the CH will be able to; (1) Comply with regulations; (2) Develop an effective CASS that provides continuous analysis, surveillance, identifies deficiencies and implements corrective actions.




Questions Answers References
  1.1.3 (AW) Continuous Analysis and Surveillance System (CASS)
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 "135" OR "145") ,  Rev.  5  6/22/2017 11:00:49 AM, 

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 "135" OR "145") ,  Rev.  5  6/22/2017 11:00:49 AM, 

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 "135" OR "145") ,  Rev.  5  6/22/2017 11:00:49 AM, 

QID:
 00010622, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
4   
Do the procedures specify how the CASS will establish and maintain the ability to perform the following functions for the CAMP, regardless of whether those programs are carried out by the Operator or by another person:

      # Surveillance;
      # Analysis;
      # Corrective action; and
      # Follow-up?



NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  3  7/4/2014 10:18:57 PM, 

QID:
 00000350, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-16, AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1, 135.431(a)
5   
Does the CASS specify policies and procedures to conduct:

      # Audits to verify performance; and
      # Analysis to verify effectiveness?



NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  4  9/19/2017 10:49:32 AM, 

QID:
 00000355, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-16, AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1
6   
Do the procedures include corrective action when CASS identifies deficiencies through analysis of the audit and/or operational data?




NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  3  7/7/2014 1:05:30 PM, 

QID:
 00000358, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-16, AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1
7   
Do the procedures identify:

      # Who will be responsible to perform hazard identification;
      # What prerequisite training or qualifications are required for personnel to participate in hazard identification;
      # When to perform hazard identification;
      # How to accomplish the determination of a hazard; and
      # How to document the hazard?



NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  3  7/7/2014 1:05:29 PM, 

QID:
 00000359, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-16, AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1
8   
Do the CASS procedures specify to make changes to the CAMP whenever the Administrator finds it does not contain adequate procedures or standards to meet the requirements of 14 CFR Part 135?




NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  2  3/29/2014 7:22:53 AM, 

QID:
 00000365, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8900.1 Vol 3 Ch 44 Sec 1, 135.431(b)
9   
Do the procedures specify the four types of audits;

      # Internal audits;
      # External audits;
      # "In-house" audits; and
      # Third party audits?



NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  3  7/7/2014 1:05:30 PM, 

QID:
 00000367, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1
10   
Do the procedures specify three methods of audit performance including:

      # Work-in-progress method;
      # Transaction method; and
      # Systems method?



NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  3  7/7/2014 1:05:30 PM, 

QID:
 00000372, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1
11   
Do the procedures specify a risk-based methodology for determining priorities and for establishing and adjusting audit cycles?




NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  2  3/29/2014 7:28:47 AM, 

QID:
 00000376, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-16, AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1
12   
Do the procedures specify instructions to ensure auditors are provided with checklists that:

      # Ensure consistency and completeness of audits;
      # Are updated and current; and
      # Are written in a manner which evaluates compliance with the 10 elements of the maintenance program?



NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  2  3/29/2014 7:28:50 AM, 

QID:
 00000377, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1
13   
Does the CASS include procedures indicating it monitors all 10 elements of an effective CAMP including:

      # Airworthiness responsibility;
      # Air carrier maintenance manual;
      # Air carrier maintenance organization;
      # Accomplishment and approval of maintenance and alterations;
      # Maintenance schedule;
      # RII;
      # Maintenance recordkeeping system;
      # Contract maintenance;
      # Personnel training; and
      # CASS?



NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  2  7/4/2014 5:58:29 PM, 

QID:
 00000381, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-16, AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1
14   
Does the CASS include responsibilities and guidelines for:

      # Tracking the implementation of corrective actions according to the timeline;
      # Identifying the role of auditors, managers, management committees, and senior management;
      # Using automation or computerized systems;
      # Using risk assessment and/or systems analysis to guard against unintended consequences;
      # Using measures to evaluate the effect of the corrective action; and
      # Identifying the affected technical area to communicate the status of the corrective action to the person responsible for monitoring implementation?



NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  2  3/29/2014 7:29:00 AM, 

QID:
 00000392, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1
15   
Do the procedures addressing the CASS provide for the development of a corrective action plan that addresses:

      # When a corrective action plan is developed based on risk assessment;
      # Development of a corrective action proposal focused on the root cause;
      # Documentation for the accomplishment of tasks within the corrective action plan;
      # Corrective action plan approval;
      # Corrective action plan records and documentation retention;
      # Risk assessment and/or systems analysis controls that guard against unintended consequences; and
      # A determination the corrective action plan was effective during the follow-up process?



NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  2  3/29/2014 7:29:00 AM, 

QID:
 00000399, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1
16   
Do the CASS procedures address:

      # Risk analysis; and
      # Preliminary Root Cause Analysis?



NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  2  3/29/2014 7:22:53 AM, 

QID:
 00000407, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-16, AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1
17   
Do the CASS procedures for Analysis of Operational Data:

      # Provide analysts with a method to process the data and an understanding of the potential significance of each data set;
      # Emphasize that analysis of operational data should consider root causes of negative trends or anomalies; and
      # Delineate the roles of CASS analysts as well as other departments or personnel in the analysis of operational data?



NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  3  7/6/2017 2:02:14 PM, 

QID:
 00000410, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1
18   
Do the CASS procedures require a follow-up that includes:

      # What measures will be used to evaluate the effectiveness of the corrective action;
      # When and/or how often the follow-up will occur;
      # How to use the automation or computerized systems to document the follow-up process; and
      # How to determine changes to surveillance planning and/or data collection?



NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  2  7/4/2014 6:33:51 PM, 

QID:
 00000414, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8900.1 Vol 3 Ch 44 Sec 1
19   
Do the CASS procedures include requirements to ensure CASS auditors and analysts:

      # Are qualified (through training or experience) in systems analysis; and
      # Can contribute to the evaluation of a proposed corrective action?



NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  2  7/7/2014 1:05:30 PM, 

QID:
 00000419, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-79
20   
Do the CASS procedures specify:

      # Who is responsible for keeping the standard communication processes up-to-date and available;
      # Who is responsible for completing the standard communication processes;
      # Where communications are sent, who must respond, and how responses are tracked; and
      # How, where, and for how long to retain completed records?



NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  2  7/7/2014 1:05:30 PM, 

QID:
 00000422, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-79
21   
Does the CASS include procedures that determine the level of CASS follow-up audits for verifying corrective action implementation?




NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  2  3/29/2014 7:26:05 AM, 

QID:
 00000427, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8900.1 Vol 3 Ch 44 Sec 1, 135.411(b)
22   
Does the CASS include requirements to ensure CASS personnel are independent of the areas they audit?




NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  2  7/7/2014 1:05:30 PM, 

QID:
 00000428, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1
23   
Does the CASS take into account the following four sources of hazards:

      # Personnel;
      # Equipment;
      # Workplace; and
      # Organization?



NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  2  3/29/2014 7:26:05 AM, 

QID:
 00000429, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1
24   
Does the CASS have policies and procedures for the following:

      # Scheduling and conducting internal and external audits;
      # Identifying and updating the list of operational data sets to be collected and for collecting data;
      # Analyzing audit results;
      # Analyzing operational data;
      # Developing proposed corrective actions and analyzing them;
      # Approving and implementing corrective actions, including changes to the maintenance program, and
      # Monitoring and follow-up of corrective actions?



NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  2  3/29/2014 7:26:08 AM, 

QID:
 00000434, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1
25   
Do the procedures which address critical CASS interfaces and relationships to other programs include:

      # Policies and procedures for communications within the CASS and between the CASS and other areas of the operation;
      # Interface documents; and
      # Policies and procedures to integrate or relateother Operator programs to the CASS?



NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  2  7/7/2014 1:05:30 PM, 

QID:
 00000442, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-79
26   
Does the CASS document identify the experience and training requirements for CASS personnel?




NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00000446, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-79
27   
Do the CASS procedures require FAA acceptance if an alternate CASS method to AC 120-79 is chosen?




NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00000447, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-79
28   
Do the CASS procedures require audits of all required CAMP programs to verify they are being performed according to the manual?




NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (OPSPEC = "D072" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00000448, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-79
29   
Does the CASS program include requirements for competency improvement training identified through the CASS?




NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "D072" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00000449, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-16, 135.431, 135.433
30   
Does the CASS program ensure that IEP personnel receive training including:

      # Basic auditing skills through a course given by an accredited organization;
      # Operational auditing skills through a course given by an accredited organization;
      # Root cause analysis;
      # Database training;
      # Dangerous Goods Acceptance;
      # On-the-job performance of audits, evaluations, and interviews;
      # Ground security coordinator; and
      # Complaint resolution official?



NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "D072" ) ,  Rev.  4  9/19/2017 10:49:33 AM, 

QID:
 00000450, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-59, AC-120-79
31   
Does the CASS program include initial and recurrent training for CASS personnel that includes:

      # 14 CFR Part 135;
      # OpSpecs training;
      # Systems analysis training;
      # Audit training;
      # Risk assessment training; and
      # Root cause analysis training, including human factors?



NOTE: CASS personnel include auditors, audit analysts, and operational data analysts.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "D072" ) ,  Rev.  3  9/19/2017 10:49:33 AM, 

QID:
 00000459, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-120-79
32   
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 "135" OR "145") ,  Rev.  5  6/22/2017 11:00:49 AM, 

QID:
 00010595, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
33   
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 = "121" OR "135" OR "145") ,  Rev.  4  6/22/2017 11:00:49 AM, 

QID:
 00010681, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
34   
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 "135" OR "145") ,  Rev.  5  6/22/2017 11:00:49 AM, 

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