Unscoped DCT Report (Standard DCT)


MLF Label: 1.1.1 (AXH) HM Voluntary Reporting Programs DCT Type: EP DCT Specialty: Operations Peer Group: E - Part 135 (HAA) DCT Revision: 5.0 on 06/30/21 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): Determine if the OPERATOR has implemented effective voluntary reporting programs that identify safety concerns, implement corrective actions and mitigate risk(s) to the possible lowest level.
Objective (FAA Responsibility): Determine if the OPERATOR; (1) follows their approved/accepted safety performance objectives (2) voluntarily reports safety concerns (3) implements corrective actions, mitigates risk(s) in alignment with approved processes

 (AXH) HM Voluntary Reporting Programs Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  1.1.1 (AXH) HM Voluntary Reporting Programs
1   
Best describe how the certificate holder complied with the following phases of the VDRP:

      #1 Notification to the FAA of an apparent violation;
      #2 Receipt of an FAA response to the certificate holder's notification;
      #3 Submission of a written report of the apparent violation to the FAA;
      #4 FAA review and approval of the written report;
      #5 Implementation of a comprehensive fix to include self audits and FAA surveillance; and
      #6 Receipt of FAA inspector sign off.

REFERENCES: AC-00-58, 8900.1 Vol 11 Ch 1 Sec 1, AC-121-37

NOTE: Record review should cover the previous 12 months

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") ,  Rev.  2  6/25/2017 12:05:11 AM, 

QID:
 00051224, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Consistently followed procedures
  Some steps were missed or not followed
  Multiple steps or procedures were not followed or were missing
  Not Observable
  Not Applicable
2   
Were the responsible individuals qualified, knowledgeable and accountable, and did they effectively manage the planning, organizing, directing, and control of this element?


REFERENCES: 8900.1 Vol 2 Ch 2 Sec 6

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") ,  Rev.  2  6/25/2017 12:05:11 AM, 

QID:
 00051231, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes, as documented to the FAA
  No
  Not Observable
  Not Applicable
3   
Verify that the self / safety audits and inspections regarding hazardous materials were conducted per the certificate holder's procedures.


REFERENCES: AC-120-59, 8900.1 Vol 3 Ch 28 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") ,  Rev.  2  6/25/2017 12:05:11 AM, 

QID:
 00051232, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The audits were conducted
  The audits were not consistently conducted
  Not Observable
  Not Applicable
4   
Did the certificate holder/operator follow policies, procedures, instructions, and information for this element?


NOTE: This question pertains to policies, procedures, instructions, and information, other than those already identified as inadequate in related questions.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135" OR "129") ,  Rev.  3  6/24/2021 10:24:29 AM, 

QID:
 00051589, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
5   
Were the certificate holder's/operator's controls for this element effective in achieving the desired result?


NOTE: This question pertains to controls, other than those already identified as inadequate in related questions.

Safety Attribute: Controls,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135" OR "129") ,  Rev.  4  6/24/2021 10:24:30 AM, 

QID:
 00051233, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
6   
Were the certificate holder's/operator's interfaces effective for this element?


NOTE: This question pertains to interfaces, other than those already identified as inadequate in related questions.

Safety Attribute: Interfaces,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135" OR "129") ,  Rev.  4  6/24/2021 10:24:30 AM, 

QID:
 00051234, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable


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, 2.0)
1 Not applicable or authorized for the certificate holder or applicant
2 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