Unscoped DCT Report (Standard DCT)


MLF Label: 4.3.3 (AW) MEL/CDL/NEF and Other Deferred Maintenance DCT Type: ED DCT Specialty: Airworthiness Peer Group: I - Part 141 Pilot Schools DCT Revision: 5.0 on 12/29/20 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): Determine if the CH will be able to; (1) Comply with regulations; (2) Operate aircraft per the approved MEL, CDL, NEF or Deferred Maintenance program.
Objective (FAA Responsibility): Determine if the pilot school or provisional pilot school will be able to; (1) Comply with regulations; (2) Operate aircraft per the approved MEL, CDL, NEF or Deferred Maintenance program.

The (AW) MEL/CDL/NEF and Other Deferred Maintenance Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  4.3.3 (AW) MEL/CDL/NEF and Other Deferred Maintenance
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 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
8   
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
9   
Does the Pilot School have a method to ensure that an aircraft may not takeoff with inoperable instruments or equipment installed, unless the requirements of 14 CFR 91.213 are met?


REFERENCES: 91.213(a), 91.213(d), 91.213(e), 91.7, 8900.1 Vol 4 Ch 4 Sec 2

NOTE: If the aircraft operated by the pilot school also operates under 91K, 121, 125, or 135 and is authorized to use a MEL, then that approved MEL must be used.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "141" ) ,  Rev.  2  5/28/2020 10:24:01 AM, 

QID:
 00053372, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
10   
Does the Pilot School have a method to ensure that, when NOT using an approved MEL, aircraft it operates will NOT have the following inoperative instruments and equipment deferred:

      #1 Part of the VFR-day type certification instruments and equipment prescribed in the applicable airworthiness regulations under which the aircraft was type certificated;
      #2 Indicated as required on the aircraft's equipment list, or on the Kinds of Operations Equipment List for the kind of flight operation being conducted;
      #3 Required by Sec. 91.205 or any other rule of this part for the specific kind of flight operation being conducted; or
      #4 Required to be operational by an airworthiness directive?

REFERENCES: 91.213(d), 91.7

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "141" ) ,  Rev.  3  5/28/2020 10:24:01 AM, 

QID:
 00053373, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
11   
Does the Pilot School have a method to ensure that, when NOT using an approved MEL, aircraft it operates will only takeoff with inoperable instruments or equipment when the inoperative instruments and equipment will be:

      #1 Deactivated;
      #2 Placarded "Inoperative";
      #3 If deactivation involves maintenance, accomplish and record in accordance with part 43 of this chapter; and
      #4 A determination is made, by an appropriately certificated and rated pilot or maintenance entity, that the inoperative instrument or equipment does not constitute a hazard to the aircraft?

REFERENCES: 91.213(d), 91.7

NOTE: Deactivation means to make a piece of equipment or an instrument unusable to the pilot/crew by preventing its operation.A placard is a decal or label with letters at least 1/8-inch high. The operator or mechanic must place the placard on or near inoperative equipment or instruments so that it is visible to the pilot or flight crew and alerts them to the inoperative equipment.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "141" ) ,  Rev.  3  5/28/2020 10:24:01 AM, 

QID:
 00053378, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
12   
Does the Pilot School have a method to ensure that when an MEL will be used, the MEL will provide for the operation of the aircraft with the instruments and equipment in an inoperable condition?


REFERENCES: 91.213(a), 91.7

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "141") AND (AUTHORIZATIONS = "USES AN APPROVED MEL") ,  Rev.  2  5/28/2020 10:24:01 AM, 

QID:
 00053383, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
13   
Does the Pilot School have a method to ensure that when an MEL will be used, the MEL will NOT include:

      #1 Instruments and equipment that are either specifically or otherwise required by the airworthiness requirements under which the aircraft is type certificated and which are essential for safe operations under all operating conditions.
      #2 Instruments and equipment required by an airworthiness directive to be in operable condition unless the airworthiness directive provides otherwise; and
      #3 Instruments and equipment required for specific operations by part 91?

REFERENCES: 91.213(b), 91.7

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "141") AND (AUTHORIZATIONS = "USES AN APPROVED MEL") ,  Rev.  3  5/28/2020 10:24:02 AM, 

QID:
 00053384, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
14   
Does the Pilot School have a method to ensure that when conducting operations using an MEL:

      #1 It will be issued an LOA D095 authorizing use of the MMEL as an MEL; or
      #2 It will be issued LOA D195 authorizing use of an FAA-approved MEL?

REFERENCES: 91.213, 91.7, 8900.1 Vol 4 Ch 4 Sec 2

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "141") AND (AUTHORIZATIONS = "USES AN APPROVED MEL") ,  Rev.  3  5/28/2020 10:24:02 AM, 

QID:
 00053388, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
15   
Does the Pilot School have a method to ensure that a Procedures Document will be developed by the school before its aircraft are operated using an MMEL (D095)?


REFERENCES: 91.213, 91.7, 8900.1 Vol 4 Ch 4 Sec 2

NOTE: Procedures Document is a separate document containing the 0 and M procedures developed by the operator and any other operating information applicable to operation with an MEL, such as the "as required by the FAR" items that list the FAR by part and section or stipulate the operating conditions.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "141") AND (AUTHORIZATIONS = "USES AN APPROVED MEL") ,  Rev.  3  5/28/2020 10:24:02 AM, 

QID:
 00053391, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
16   
Does the Pilot School have a method to ensure its NEF program includes the following:

      #1 A method of tracking NEF items ( NEF list or equivalent);
      #2 Procedures and processes for identifying NEF items that may be deferred;
      #3 Procedures for tracking program deferrals;
      #4 Documentation procedures for inoperative, damaged, or missing NEF items;
      #5 Appropriate (M) and (O) procedures;
      #6 Procedures for follow-up maintenance, repair, and replacement; and
      #7 an NEF Proviso included into the MEL ATA Chapter 25?

REFERENCES: 91.7, 8900.1 Vol 4 Ch 4 Sec 4

NOTE: NEF programs of parts 91 (excluding part 91K) and 142 are not FAA-approved but still require surveillance by the AFS field office.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "141") AND (AUTHORIZATIONS = "USES AN APPROVED MEL") ,  Rev.  3  5/28/2020 10:24:02 AM, 

QID:
 00053392, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
17   
Does the Pilot School have a method to keep the NEF program as a supplement to the MMEL or MEL, depending on whether a D095/D195 LOA is issued?


REFERENCES: 91.7, 8900.1 Vol 4 Ch 4 Sec 4

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "141") AND (AUTHORIZATIONS = "USES AN APPROVED MEL") ,  Rev.  2  5/28/2020 10:24:03 AM, 

QID:
 00053400, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
18   
Does the Pilot School have a method to ensure that items deferred as NEF are evaluated for compliance with their approved program?


REFERENCES: 91.7, 8900.1 Vol 4 Ch 4 Sec 4

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "141") AND (AUTHORIZATIONS = "USES AN APPROVED MEL") ,  Rev.  2  5/28/2020 10:24:03 AM, 

QID:
 00053401, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
19   
Does the Pilot School have a method to ensure that it uses a CDL that is at least equal or more restrictive than the FAA-approved CDL?


REFERENCES: 91.7, 8900.1 Vol 4 Ch 4 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "141") AND (AUTHORIZATIONS = "USES AN APPROVED MEL") ,  Rev.  2  5/28/2020 10:24:03 AM, 

QID:
 00053402, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
20   
Does the Pilot School have policies and procedures that are adequate to ensure that all penalties, limitations, and restrictions associated with a CDL item are properly addressed?


REFERENCES: 91.7, 8900.1 Vol 4 Ch 4 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "141") AND (AUTHORIZATIONS = "USES AN APPROVED MEL") ,  Rev.  2  5/28/2020 10:24:03 AM, 

QID:
 00053403, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
21   
Does the Pilot School have procedures to ensure that items identified as CDL items:

      #1 The airplane manufacturer's or Supplemental Type Certificate (STC) holder's FAA-approved CDL must list relief for the CDL item;
      #2 If the CDL item is discovered by a maintenance person positioned at the aircraft, that person notifies the flightcrew and the maintenance organization (e.g., Maintenance Control). The maintenance organization or flightcrew notifies flight operations personnel (dispatch, flight following, and/or other persons authorized) in accordance with the aircraft operator’s approved MEL and/or CDL procedures;
      #3 If the CDL item is discovered by the flightcrew, the flightcrew notifies the maintenance organization and appropriate flight operations personnel;
      #4 Each CDL item is entered into the aircraft maintenance logbook;
      #5 Each CDL item is listed on a placard and affixed in the cockpit in clear view of the flightcrew, per the AFM; and
      #6 Fuel and performance penalties, limitations, and restrictions associated with each CDL item are calculated and entered in the appropriate flight documentation (e.g., dispatch, flight release, flight plan)?

REFERENCES: 91.7, 8900.1 Vol 4 Ch 4 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "141") AND (AUTHORIZATIONS = "USES AN APPROVED MEL") ,  Rev.  3  5/28/2020 10:24:03 AM, 

QID:
 00053404, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
22   
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
23   
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
24   
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
25   
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
26   
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
27   
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