Unscoped DCT Report (Standard DCT)


MLF Label: 2.1.5 (OP) Appropriate Airmen / Crewmembers Checks and Qualifications DCT Type: ED DCT Specialty: Operations Peer Group: D - Part 135 (9 or Less Seats/Single Pilot) DCT Revision: 20.0 on 12/29/20 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To use qualified and competent airmen and crewmembers for the operations.
Objective (FAA Responsibility): Determine if the CH will be able to; (1) Comply with regulations; (2) Use qualified and competent airmen and crewmembers for the operations.

The (OP) Appropriate Airmen / Crewmembers Checks and Qualifications Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  2.1.5 (OP) Appropriate Airmen / Crewmembers Checks and Qualifications
1   
Does the process design ensure the individual with responsibility provides both financial and human resources for the safety and quality performance of this element?


REFERENCES: AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3

Safety Attribute: Management Responsibility,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/8/2019 12:47:46 PM, 

QID:
 00051929, Response Details: Responsibility ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
2   
Does the process design ensure the individual with responsibility provides both financial and human resources for the safety and quality performance of this element?


Safety Attribute: Management Responsibility,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND NOT (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/8/2019 12:47:48 PM, 

QID:
 00051943, Response Details: Responsibility ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
3   
Is the person with authority clearly identifiable, qualified and knowledgeable to effectively plan, direct and control resources, change procedures and make key determinations including safety risk acceptance decisions for this element?


REFERENCES: AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3

Safety Attribute: Management Authority,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/8/2019 12:47:48 PM, 

QID:
 00051930, Response Details: Authority ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
4   
Is the person with authority clearly identifiable, qualified and knowledgeable to effectively plan, direct and control resources, change procedures and make key determinations including safety risk acceptance decisions for this element?


Safety Attribute: Management Authority,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND NOT (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/8/2019 12:47:48 PM, 

QID:
 00051944, Response Details: Authority ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
5   
Do process measurement(s) exist to evaluate the performance of this element and implement corrective action if necessary?


REFERENCES: AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3

Safety Attribute: Process Measurement,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/8/2019 12:47:48 PM, 

QID:
 00051931, Response Details: Process Measurement ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
6   
Do process measurement(s) exist to evaluate the performance of this element and implement corrective action if necessary?


Safety Attribute: Process Measurement,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND NOT (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/8/2019 12:47:48 PM, 

QID:
 00051945, Response Details: Process Measurement ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
7   
Do the procedures require the certificate holder to maintain PRIA records for flight crewmembers for a period of 5 years according to the PRIA, 49 USC 44703(h) through (j)?


REFERENCES: AC-120-68, 44703, 8000.88

NOTE: 135 Single pilot operators are also subject to the provisions of PRIA (Ref. AC-120-68).

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") ,  Rev.  3  12/16/2019 3:16:56 PM, 

QID:
 00000935, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8   
Do the procedures specify that only United States certificated airmen employed by the certificate holder may operate its aircraft?


REFERENCES: 135.25(d)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  4  6/24/2019 11:30:32 AM, 

QID:
 00001989, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
9   
Do the procedures specify the requirements for serving as PIC under VFR?


REFERENCES: 8900.1 Vol 3 Ch 19 Sec 7, 135.243(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "135" ,  Rev.  3  6/24/2019 11:30:31 AM, 

QID:
 00001992, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
10   
Do the procedures specify the requirements for serving as PIC under IFR?


REFERENCES: 8900.1 Vol 3 Ch 19 Sec 7, 135.243(c)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "B032") ,  Rev.  3  6/24/2019 11:30:31 AM, 

QID:
 00001993, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
11   
Do the procedures include the following crewmember testing requirements:

      #1 Initial and recurrent pilot testing requirements for crewmembers; and
      #2 Line check requirements for PIC?

REFERENCES: 8900.1 Vol 3 Ch 19 Sec 7, 135.293, 135.299

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND ( NOT (TRAINING PROGRAMS = "PILOT TRAINING UNDER 121 N&O ONLY")) ,  Rev.  4  9/19/2019 10:27:30 AM, 

QID:
 00001998, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
12   
Do the procedures include pilot in command instrument proficiency check requirements?


REFERENCES: 8900.1 Vol 3 Ch 19 Sec 7, 135.293(b), 135.297

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "B032") AND NOT (TRAINING PROGRAMS = "PILOT TRAINING UNDER 121 N&O ONLY") ,  Rev.  5  9/19/2019 10:27:30 AM, 

QID:
 00002001, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
13   
Do the procedures specify the minimum qualifications for a person to serve as a check airman (aircraft)?


REFERENCES: 8900.1 Vol 3 Ch 20 Sec 1, 8900.1 Vol 3 Ch 20 Sec 2, 135.337(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (TRAINING PERSONNEL = "CHECK AIRMEN AIRCRAFT") AND ( NOT (TRAINING PROGRAMS = "PILOT TRAINING UNDER 121 N&O ONLY")) ,  Rev.  3  2/27/2018 1:10:05 PM, 

QID:
 00002002, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
14   
Do the procedures specify the minimum qualifications for a person to serve as flight instructor (aircraft)?


REFERENCES: 8900.1 Vol 3 Ch 20 Sec 1, 8900.1 Vol 3 Ch 20 Sec 2, 135.338(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (TRAINING PERSONNEL = "FLIGHT INSTRUCTOR AIRCRAFT") AND ( NOT (TRAINING PROGRAMS = "PILOT TRAINING UNDER 121 N&O ONLY")) ,  Rev.  3  2/27/2018 1:10:05 PM, 

QID:
 00002003, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
15   
Do the procedures specify the minimum qualifications for a person to serve as a check airman (simulator)?


REFERENCES: 8900.1 Vol 3 Ch 20 Sec 1, 8900.1 Vol 3 Ch 20 Sec 2, 135.337(c)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (TRAINING PERSONNEL = "CHECK AIRMEN SIMULATOR") AND ( NOT (TRAINING PROGRAMS = "PILOT TRAINING UNDER 121 N&O ONLY")) ,  Rev.  3  2/27/2018 1:10:06 PM, 

QID:
 00002004, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
16   
Do the procedures specify the minimum qualifications for a person to serve as flight instructor (simulator)?


REFERENCES: 8900.1 Vol 3 Ch 20 Sec 1, 8900.1 Vol 3 Ch 20 Sec 2, 135.338(c)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (TRAINING PERSONNEL = "FLIGHT INSTRUCTOR SIMULATOR") AND ( NOT (TRAINING PROGRAMS = "PILOT TRAINING UNDER 121 N&O ONLY")) ,  Rev.  3  2/27/2018 1:10:06 PM, 

QID:
 00002005, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
17   
Do the procedures specify that the Operator will record each action taken to release any flight crewmember from employment due to physical or professional disqualification?


REFERENCES: AC-120-68, 135.63(a), 135.63(b), 8000.88

NOTE: The Operator must maintain these records for at least 12 months. PRIA requires retention of these records for at least 5 years.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  3/28/2014 11:49:12 PM, 

QID:
 00002006, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
18   
Do the procedures specify that an Operator will maintain the records specified by 135.63(a)(4) at its principal base of operations or at another location used by the Operator and approved by the Administrator?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 1, 8900.1 Vol 3 Ch 31 Sec 3, 135.63(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  3/28/2014 11:52:55 PM, 

QID:
 00002007, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
19   
When conducting helicopter air ambulance operations in Class G airspace, does the certificate holder require pilots to demonstrate a level of familiarity with the local flying area by passing an examination given by the certificate holder within the 12 calendar months prior to using the local flying area?


REFERENCES: 8900.1 Vol 3 Ch 18 Sec 3, A021, 135.609(c), AC-135-14

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A021") ,  Rev.  1  9/28/2015 2:05:22 PM, 

QID:
 00048815, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
20   
Do the procedures specify the requirements for serving as PIC for helicopter air ambulance operations?


REFERENCES: 135.603

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A021") ,  Rev.  1  1/13/2016 3:13:16 PM, 

QID:
 00049316, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
21   
Do the certificate holder's developed processes, procedures, and recordkeeping ensure that all training, checking, and recency requirements are satisfied prior to crewmembers engaging in ANVGO?


REFERENCES: A051

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A051") ,  Rev.  1  9/19/2017 1:38:08 PM, 

QID:
 00051768, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
22   
Do procedures exist in enough detail to meet the regulatory and guidance requirements for this element to produce the intended results?


Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/8/2019 12:47:46 PM, 

QID:
 00051926, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
23   
Do procedures exist in enough detail to meet the regulatory and guidance requirements for this element to produce the intended results?


Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND NOT (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/8/2019 12:47:47 PM, 

QID:
 00051940, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
24   
Do the procedures specify the qualifications for a person to serve as pilot in command for the flight operations conducted?


REFERENCES: 135.243

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") ,  Rev.  1  6/25/2018 8:51:41 AM, 

QID:
 00052218, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
25   
Do the procedures include the PRIA records request process, so that, unless under an exception, no pilot may be released to pilot an aircraft unless a PRIA request for records has been made and those records are received and reviewed?


REFERENCES: AC-120-68, 44703(h), 8000.88

NOTE: 

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") ,  Rev.  2  12/29/2020 1:18:34 PM, 

QID:
 00055455, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
26   
Do the procedures provide qualification requirements for each person who serves as a pilot to include passing a written or oral test on the applicable areas listed in 135.293(a)(1) through 135.293(a)(9) within the preceding 12 calendar months?


REFERENCES: 8900.1 Vol 3 Ch 19 Sec 7, 135.293(a), 135.301(a)

NOTE: The grace provisions of 135.301(a) apply.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (TRAINING PROGRAMS = "PILOT TRAINING UNDER 121 N&O ONLY") ,  Rev.  1  12/16/2019 3:16:56 PM, 

QID:
 00055531, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
27   
Do controls exist within this element that ensure risks are reduced to an acceptable level?


REFERENCES: AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3

Safety Attribute: Controls,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/8/2019 12:47:46 PM, 

QID:
 00051927, Response Details: Controls ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
28   
Do controls exist within this element that ensure risks are reduced to an acceptable level?


Safety Attribute: Controls,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND NOT (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/8/2019 12:47:47 PM, 

QID:
 00051941, Response Details: Controls ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
29   
Does the certificate holder have a method to evaluate the impact of changes on related processes (interfaces) for this element?


Safety Attribute: Interfaces,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/8/2019 12:47:46 PM, 

QID:
 00051928, Response Details: Interfaces ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
30   
Does the certificate holder have a method to evaluate the impact of changes on related processes (interfaces) for this element?


Safety Attribute: Interfaces,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND NOT (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/8/2019 12:47:47 PM, 

QID:
 00051942, Response Details: Interfaces ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
31   
Does the process design require that individuals understand their safety role and how it contributes to the safety performance of this element?


REFERENCES: AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3

Safety Attribute: Safety Ownership,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/8/2019 12:47:46 PM, 

QID:
 00051932, Response Details: Safety Ownership ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
32   
Does the process design require that individuals understand their safety role and how it contributes to the safety performance of this element?


Safety Attribute: Safety Ownership,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND NOT (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/8/2019 12:47:48 PM, 

QID:
 00051946, Response Details: Safety Ownership ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No


Response Details List  Authority ED/EP/SP DCTs (Both OP and AW) (Released, 1.0)
1 Process oversight failure
2 Unacceptable safety risk acceptance
3 Ineffective planning of resources
4 Ineffective use of resources
5 Ineffective control of resources
6 Failure to implement safety risk processes
7 Process owner not clearly identified
8 Unqualified
9 Other
Response Details List  Controls ED/EP/SP DCTs (Both OP and AW) (Released, 1.0)
1 Failure to identify hazards or ineffective risk controls
2 Failure to develop and maintain risk controls
3 Failure to effectively mitigate risk before applying risk controls
4 Risk controls ineffective
5 Unclear risk controls
6 Failure to assess risk for a new system
7 Failure to assess risk when revising an existing system
8 Failure to assess risk when developing operational procedures
9 Failure to maintain records of outputs of risk control assessments
10 Other
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  Interfaces ED/EP/SP DCTs (Both OP and AW) (Released, 1.0)
1 Internal communication failure(s)
2 External communication failure(s)
3 Lack of interfaces
4 Inconsistent interfaces
5 Poor coordination between departments and employees
6 Failure of interfaces between processes or procedures
7 Other
Response Details List  Process Measurement ED/EP/SP DCTs (Both OP and AW) (Released, 1.0)
1 Inadequate monitoring of operations processes
2 Ineffective evaluations of processes or systems
3 Undocumented or insufficient investigations
4 Failure to conduct audits
5 Ineffective audits
6 Failure to detect changes in the operational environment
7 Personnel failed to perform/follow process (procedures, guidance, etc.)
8 Process failed to meet desired outcome
9 Process oversight failure
10 Other
Response Details List  Responsibility ED/EP/SP DCTs (Both OP and AW) (Released, 1.0)
1 Failed to provide financial resources
2 Failed to provide sufficient human resources
3 Individual not clearly identified
4 Failure to ensure safety of process
5 Failure to oversee operations conducted under the certificate
6 Failed to ensure quality performance of process
7 Process oversight failure
8 Communication failure(s)
9 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  Safety Ownership ED/EP/SP DCTs (Both OP and AW) (Released, 3.0)
1 Unaware of or ineffective safety policies or processes
2 Unaware of or ineffective safety related reporting tools
3 Unclear safety policy
4 Ineffective safety related training
5 Lack of safety culture
6 Unclear safety objectives
7 Other