Unscoped DCT Report (Standard DCT)


MLF Label: 4.2.4 (AW) Recordkeeping DCT Type: ED DCT Specialty: Airworthiness Peer Group: B - Part 135 (10 or More Seats) DCT Revision: 15.0 on 12/29/20 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To be able to retrieve all records with required information.
Objective (FAA Responsibility): Determine if the CH will be able to; (1) Comply with regulations; (2) Retrieve records with required information.

The (AW) Recordkeeping Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  4.2.4 (AW) Recordkeeping
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 specify that the Operator must keep records that include:

      #1 The total time in service for airframes, engines, propellers, and rotors;
      #2 The current status of the LLPs of each airframe, engine, appliance, propellers and rotors;
      #3 The time since the last overhaul of all items installed on the aircraft which have a specified overhaul interval;
      #4 The current inspection status of the aircraft, including the times since the last inspections required by the inspection program under which the aircraft and its appliances are maintained;
      #5 The current status of the applicable ADs, including the date and methods of compliance and, if the AD involves recurring action, the time and date when the next action is required; and
      #6 A listing of current major alterations and major repairs to each airframe, engine, propeller, and appliance?

REFERENCES: 8900.1 Vol 3 Ch 31 Sec 5, 135.439(a)

NOTE: The regulations require the air carrier to make and preserve records of the current status and accomplishment of AD as a separate and distinct record.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "D072" ) ,  Rev.  2  7/17/2014 4:32:27 PM, 

QID:
 00004993, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8   
Do the procedures require that records of the last complete overhaul of each airframe, engine, appliance, and if applicable, propeller be retained until the work is superseded by work of equivalent scope and detail?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 5, 135.439(b)

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:
 00005000, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
9   
Do the procedures specify that records show that all requirements for the issuance of an airworthiness release under 135.443 have been met?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 5, 135.439(a), 135.443

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "D072" ) ,  Rev.  2  9/28/2020 3:04:26 PM, 

QID:
 00005001, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
10   
Do the procedures specify that records showing all requirements for the issuance of an airworthiness release must be retained until the work is superseded or must be retained for one year after the work is performed?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 5, 135.439(b)

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:
 00005002, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
11   
Do the procedures specify that all maintenance records required by 135.439 must be made available for inspection by the Administrator or an authorized representative of the NTSB?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 5, 135.439(c)

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:
 00005003, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
12   
Do the procedures specify that records for the total time in service of time controlled components must include the time in service accrued since new or since rebuilt expressed in hours or landing cycles?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 5, 135.439(a)

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:
 00005004, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
13   
Do the procedures specify that each LLP's current status record must include:

      #1 The time in service since new, expressed in the appropriate parameter;
      #2 The time remaining in service until the end of the specified life limit expressed in the appropriate parameter;
      #3 The specified life limit expressed in the appropriate parameter; and
      #4 A record of any action that alters the life limit or changes the parameter of the life limit?

REFERENCES: 8900.1 Vol 3 Ch 31 Sec 5, 135.439(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "D072" ) ,  Rev.  3  4/14/2016 12:42:37 PM, 

QID:
 00005005, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
14   
Do the procedures specify that the records for the time since the last overhaul include:

      #1 The items requiring overhaul and the associated, scheduled interval for the overhaul;
      #2 The time in service since the last overhaul;
      #3 The time in service remaining until the next scheduled overhaul; and
      #4 The time in service until the next scheduled overhaul is due?

REFERENCES: 8900.1 Vol 3 Ch 31 Sec 5, 135.439(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "D072" ) ,  Rev.  2  7/17/2014 4:32:29 PM, 

QID:
 00005010, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
15   
Do the procedures specify that the current listing of major alterations and major repairs must include:

      #1 A listing identifying each major alteration and/or major repair including the item associated with the major alteration and/or major repair; and
      #2 A description of or reference to the FAA-approved technical data used to make the major alteration or major repair?

REFERENCES: 8900.1 Vol 3 Ch 31 Sec 5, 135.439(a)

NOTE: The listing of all of the current major alterations refers to current summary status information and must not be confused with a major alteration record.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "D072" ) ,  Rev.  2  7/17/2014 4:32:30 PM, 

QID:
 00005020, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
16   
Does the CAMP include the following essential information in its recordkeeping system:

      #1 The documentation and source information required for air carriers to retain to support the CASS as necessary;
      #2 The documentation that may be necessary to integrate parts into the air carrier's CAMP; and
      #3 The documentation required to support future maintenance on the affected parts such as detailed shop records or FAA-approved technical data?

REFERENCES: 8900.1 Vol 3 Ch 31 Sec 5

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "D072" ) ,  Rev.  2  7/17/2014 4:32:30 PM, 

QID:
 00005023, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
17   
Do the procedures specify that the certificate holder must keep records that include:

      #1 The total time in service for airframes, engines, propellers, and rotors;
      #2 The current status of the LLPs of each airframe, engine, appliance, propellers and rotors;
      #3 The time since the last overhaul of all items installed on the aircraft which have a specified overhaul interval;
      #4 The current inspection status of the aircraft, including the times since the last inspections required by the inspection program under which the aircraft and its appliances are maintained;
      #5 The current status of the applicable ADs, including the date and methods of compliance and, if the AD involves recurring action, the time and date when the next action is required; and
      #6 Current major alterations and major repairs to each airframe, engine, propeller, and appliance?

REFERENCES: 8900.1 Vol 3 Ch 31 Sec 6, 91.417(a)

NOTE: The regulations require the certificate holder to make and preserve records of the current status and accomplishment of AD as a separate and distinct record.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND ((OPSPEC = "D101") OR (OPSPEC = "D102") OR (OPSPEC = "D104")) ,  Rev.  3  1/5/2018 7:30:29 AM, 

QID:
 00005027, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
18   
Do the procedures require that records of the last complete overhaul of each airframe, engine, appliance, and if applicable, propeller be retained until the work is superseded by work of equivalent scope and detail?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 6, 91.417(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND ((OPSPEC = "D101") OR (OPSPEC = "D102") OR (OPSPEC = "D104")) ,  Rev.  2  1/5/2018 7:30:29 AM, 

QID:
 00005034, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
19   
Do the procedures specify that all maintenance records required by 91.417 must be made available for inspection by the Administrator or an authorized representative of the NTSB?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 6, 91.417(c)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND ((OPSPEC = "D101") OR (OPSPEC = "D102") OR (OPSPEC = "D104")) ,  Rev.  2  1/5/2018 7:30:29 AM, 

QID:
 00005035, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
20   
Do the procedures specify that records for the total time in service of time controlled components must include the time in service accrued since new or since rebuilt expressed in hours or landing cycles?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 6, 91.417(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND ((OPSPEC = "D101") OR (OPSPEC = "D102") OR (OPSPEC = "D104")) ,  Rev.  2  1/5/2018 7:30:29 AM, 

QID:
 00005036, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
21   
Do the procedures specify that each LLP's current status record must include:

      #1 The time in service since new, expressed in the appropriate parameter;
      #2 The time remaining in service until the end of the specified life limit expressed in the appropriate parameter;
      #3 The specified life limit expressed in the appropriate parameter; and
      #4 A record of any action that alters the life limit or changes the parameter of the life limit?

REFERENCES: 8900.1 Vol 3 Ch 31 Sec 6, 91.417(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND ((OPSPEC = "D101") OR (OPSPEC = "D102") OR (OPSPEC = "D104")) ,  Rev.  3  1/5/2018 7:30:29 AM, 

QID:
 00005037, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
22   
Do the procedures specify that the records for the time since the last overhaul include:

      #1 The items requiring overhaul and the associated, scheduled interval for the overhaul;
      #2 The time in service since the last overhaul;
      #3 The time in service remaining until the next scheduled overhaul; and
      #4 The time in service until the next scheduled overhaul is due?

REFERENCES: 8900.1 Vol 3 Ch 31 Sec 6, 91.417(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND ((OPSPEC = "D101") OR (OPSPEC = "D102") OR (OPSPEC = "D104")) ,  Rev.  3  1/5/2018 7:30:29 AM, 

QID:
 00005042, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
23   
Do the procedures specify that the current inspection status records for the aircraft must include:

      #1 A listing identifying each of the scheduled inspection packages, groups, or individual tasks and their associated intervals;
      #2 The time in service since the last inspections;
      #3 The time in service remaining until the next completion of scheduled inspection packages or individual tasks groups; and
      #4 The time in service when scheduled inspection packages, groups, or individual tasks are due?

REFERENCES: 8900.1 Vol 3 Ch 31 Sec 6, 91.417(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND ((OPSPEC = "D101") OR (OPSPEC = "D102") OR (OPSPEC = "D104")) ,  Rev.  3  1/5/2018 7:30:30 AM, 

QID:
 00005047, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
24   
Do the procedures specify that the current copies of major alterations and major repairs must include:

      #1 A record identifying each major alteration and/or major repair including the item associated with the major alteration and/or major repair; and
      #2 A description of or reference to the FAA-approved technical data used to make the major alteration or major repair?

REFERENCES: 8900.1 Vol 3 Ch 31 Sec 6, 91.417(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND ((OPSPEC = "D101") OR (OPSPEC = "D102") OR (OPSPEC = "D104")) ,  Rev.  3  1/5/2018 7:30:30 AM, 

QID:
 00005052, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
25   
Do the procedures specify that records show that all requirements for the issuance of an approval for return to service have been met?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 6, 91.417(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND ((OPSPEC = "D101") OR (OPSPEC = "D102") OR (OPSPEC = "D104")) ,  Rev.  2  1/5/2018 7:30:30 AM, 

QID:
 00005055, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
26   
Do the procedures specify that records showing all requirements for the issuance of an approval for return to service must be retained until the work is superseded or must be retained for 1 year after the work is performed?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 6, 91.417(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND ((OPSPEC = "D101") OR (OPSPEC = "D102") OR (OPSPEC = "D104")) ,  Rev.  2  1/5/2018 7:30:30 AM, 

QID:
 00005056, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
27   
Do the procedures specify the certificate holder follows the approved or accepted electronic recordkeeping system that is authorized, described, and/or referenced in OpSpec A025?


REFERENCES: AC-120-78, 8900.1 Vol 3 Ch 31 Sec 2, A025

NOTE: Approval is required if the system is used to maintain crewmember and dispatcher records required by 14 CFR part 121. Approval is not required for 14 CFR Part 135 certificate holders, only acceptance.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") AND (OPSPEC = "A025") ,  Rev.  2  6/25/2018 1:06:58 PM, 

QID:
 00049433, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
28   
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
29   
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
30   
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
31   
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
32   
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
33   
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
34   
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
35   
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