Unscoped DCT Report (Standard DCT)
MLF Label: 4.3.4 (AW) Major Repairs & Alterations DCT Type: ED DCT Specialty: Airworthiness Peer Group: D - Part 135 (9 or Less Seats/Single Pilot) DCT Revision: 13.0 on 12/29/20 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To use approved/acceptable data to accomplish major repairs, major alterations, and generate the appropriate records/reports.
Objective (FAA Responsibility): Determine if the CH will be able to; (1) Comply with regulations; (2) Accomplish major repairs and major alterations using approved/acceptable data; (3) Generate the appropriate major repair and major alteration records/reports.

The (AW) Major Repairs & Alterations Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  4.3.4 (AW) Major Repairs & Alterations
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   
Does the maintenance program include procedures to prevent Canadian Aircraft Maintenance Engineers from approving major repairs or alterations for return to service?


REFERENCES: 43.17(e)

NOTE: A Canadian AMO, whose system of quality control for the maintenance, preventive maintenance, alteration, and inspection of aeronautical products that has been approved by Transport Canada Civil Aviation (or an authorized employee performing work for such an AMO), may approve (certify) a major repair or alteration performed under this section if the work was performed according to technical data approved by the FAA.

Safety Attribute: Procedures,  Question Type: Output Validation,  

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

QID: 00005475, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released
◯  Yes
◯  No
◯  Not Applicable
8   
Do the procedures require software modifications that affect the safe operation of the aircraft to be treated as major alterations?


REFERENCES: 8900.1 Vol 6 Ch 11 Sec 19

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:  (FAR PART = "135" ) ,  Rev.  2  3/25/2016 8:27:22 AM, 

QID: 00005478, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released
◯  Yes
◯  No
◯  Not Applicable
9   
Do the maintenance procedures specify how the certificate holder will classify major repairs and alterations?


REFERENCES: AC-120-16, AC-43.13-2, AC-43.9-1, 8300.16, 8900.1 Vol 6 Ch 2 Sec 28, 43 Appendix A, 43.3, 43.5

NOTE: Major repairs and alterations must be performed per technical data approved by the FAA.

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: 00005483, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released
◯  Yes
◯  No
◯  Not Applicable
10   
Do the maintenance procedures include for the return to service of an aircraft, engine, appliance, or propeller after a major repair or alteration has been performed?


REFERENCES: AC-43.9-1, 43.3, 43.5, 43.7

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: 00005484, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released
◯  Yes
◯  No
◯  Not Applicable
11   
Do the maintenance procedures require that major repairs or alterations be done per technical data approved by the Administrator?


REFERENCES: AC-43.9-1, 8300.16, 43 Appendix B, 43.11, 43.9

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: 00005485, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released
◯  Yes
◯  No
◯  Not Applicable
12   
Do the maintenance procedures require current records of major repairs or alterations for each airframe, engine, appliance, and propeller (if installed) be retained and transferred with the aircraft when it is sold?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 6, 43 Appendix B, 91.417(c), 91.419

NOTE: These records may be in plain language, coded, or electronic form.

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 7:30:31 AM, 

QID: 00005486, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released
◯  Yes
◯  No
◯  Not Applicable
13   
Do the maintenance procedures require the certificate holder to submit a copy of each report of a major repair or alteration to AFS-750 and make the reports available for inspection by the Administrator or any representative of the NTSB?


REFERENCES: 135.73, 43 Appendix B, 43.9(b)

NOTE: The certificate holder must keep a copy of each report of a major repair available for inspection by the representative of the Administrator who is assigned to it.

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 7:30:31 AM, 

QID: 00005487, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released
◯  Yes
◯  No
◯  Not Applicable
14   
Do the maintenance procedures require the certificate holder to use manufacturer's data or FAA-approved data for all maintenance and alterations?


REFERENCES: AC-120-77, 8900.1 Vol 4 Ch 14 Sec 3, AC-91-90, 8900.1 Vol 6 Ch 1 Sec 2, 135.411(a), 135.419, 135.421, 43.13(a), 43.16

NOTE: The certificate holder may elect to use its own AAIP under 135.419.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:  (FAR PART = "135") AND ((OPSPEC = "D101") OR (OPSPEC = "D102") OR (OPSPEC = "D104")) ,  Rev.  3  12/17/2018 2:27:33 PM, 

QID: 00005502, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released
◯  Yes
◯  No
◯  Not Applicable
15   
Are there procedures in place to ensure the completion and submission of FAA Form 337 for major repairs and major alterations performed?


REFERENCES: 43 Appendix B, 43.9(d)

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 7:30:31 AM, 

QID: 00005503, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released
◯  Yes
◯  No
◯  Not Applicable
16   
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
17   
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
18   
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
19   
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
20   
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
21   
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
22   
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
23   
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