Unscoped DCT Report (Standard DCT)


MLF Label: 1.4.2 Certificate Requirements DCT Type: EP DCT Specialty: Airworthiness Peer Group: G - Part 145 Outside the U.S. without Aviation Safety Agreement DCT Revision: 15.0 on 06/25/19 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To keep OpSpecs, organizational charts, and capability lists up to date and available.
Objective (FAA Responsibility): Determine; (1) If the CH followed the accepted or approved process; (2) If the CH kept OpSpecs, organizational charts, and capability lists up to date and available.

The Certificate Requirements Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  1.4.2 Certificate Requirements
1   
Best describe how the procedures were followed to perform work per the:

      #1 Repair Station ratings; and
      #2 Limitations of the OpSpecs.

REFERENCES: 8900.1 Vol 6 Ch 9 Sec 4, AC-145-9, 145.201(a)

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "145" ) ,  Rev.  3  3/26/2015 9:57:54 AM, 

QID:
 00011904, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Consistently followed the procedures
  Some steps were missed or not followed
  Procedures were not consistently followed or adequate
  Not Observable
  Not Applicable
2   
Were financial and human resources provided to ensure 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  3/15/2019 9:08:44 AM, 

QID:
 00051936, Response Details: Responsibility ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
3   
Were financial and human resources provided to ensure 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  3/15/2019 9:08:43 AM, 

QID:
 00051950, Response Details: Responsibility ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
4   
Did the person with authority over the certificate holder's process effectively plan, direct and control resources, or 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  3/15/2019 9:08:43 AM, 

QID:
 00051937, Response Details: Authority ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
5   
Did the person with authority over the certificate holder's process effectively plan, direct and control resources, or 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  3/15/2019 9:08:44 AM, 

QID:
 00051951, Response Details: Authority ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
6   
Were the certificate holder's process measurement(s) used to evaluate the performance of this element and if necessary, implement corrective action?


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  3/15/2019 9:08:44 AM, 

QID:
 00051938, Response Details: Process Measurement ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
7   
Were the certificate holder's process measurement(s) used to evaluate the performance of this element and if necessary, implement corrective action?


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  3/15/2019 9:08:44 AM, 

QID:
 00051952, Response Details: Process Measurement ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
8   
Were the certificate and OpSpecs:

      #1 Current;
      #2 Signed by the appropriate FAA personnel; and
      #3 Available on the premises for inspection by the public and the FAA?

REFERENCES: 8900.1 Vol 6 Ch 9 Sec 4, 145.5(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "145" ) ,  Rev.  4  3/26/2015 9:57:54 AM, 

QID:
 00011893, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
9   
Did the Repair Station have copies matching those at the responsible Flight Standards office of their:

      #1 Certificate; and
      #2 OpSpecs?

REFERENCES: 8900.1 Vol 6 Ch 9 Sec 4, 145.5(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "145" ) ,  Rev.  4  6/25/2019 4:24:29 PM, 

QID:
 00011898, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
10   
Did the capability list match the responsible Flight Standards office copy?


REFERENCES: 8900.1 Vol 6 Ch 9 Sec 4, AC-145-9, 145.215(d)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "145" ) AND ( OTHER CERTIFICATES OR APPROVALS = "CAPABILITY LIST" ) ,  Rev.  4  6/25/2019 4:24:29 PM, 

QID:
 00011901, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
11   
Did the Repair Station certify in writing that all employees for the repair station, its contractors, or subcontractors performing a job function concerning the transport of dangerous goods (hazardous material) were trained as outlined in the most current edition of the ICAO Technical Instructions for the Safe Transport of Dangerous Goods by Air?


REFERENCES: 8900.1 Vol 2 Ch 2 Sec 6, 145.53(d)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "145" ) AND ( HAZMAT = "HAZMAT EMPLOYER" ) ,  Rev.  2  7/4/2014 2:09:21 PM, 

QID:
 00011919, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
12   
Did the certificate holder show that the repair station certificate and/or rating is necessary for maintaining or altering U.S.-registered aircraft and articles for use on U.S.-registered aircraft, or Foreign-registered aircraft operated under the provisions of part 121 or part 135, and articles for use on these aircraft?


REFERENCES: 145.51(c)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "145") ,  Rev.  2  12/14/2018 11:18:17 AM, 

QID:
 00050826, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
13   
Did the certificate holder show that the fee prescribed by the FAA has been paid?


REFERENCES: 145.51(c)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "145") ,  Rev.  1  12/29/2016 11:13:08 AM, 

QID:
 00050827, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
14   
Did the certificate holder follow policies, procedures, instructions and information for this element?


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  3/15/2019 9:08:43 AM, 

QID:
 00051933, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
15   
Did the certificate holder follow policies, procedures, instructions and information for this element?


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  3/15/2019 9:08:43 AM, 

QID:
 00051947, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
16   
Was the organizational chart current?


REFERENCES: 8900.1 Vol 6 Ch 9 Sec 2, 8900.1 Vol 6 Ch 9 Sec 4, AC-145-9, 145.209(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "145" ,  Rev.  1  12/14/2018 11:18:16 AM, 

QID:
 00054492, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
17   
Was the capability list current?


REFERENCES: 8900.1 Vol 6 Ch 9 Sec 4, AC-145-9, 145.215

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "145") AND (OTHER CERTIFICATES OR APPROVALS = "CAPABILITY LIST") ,  Rev.  1  12/14/2018 11:18:16 AM, 

QID:
 00054494, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
18   
Did the controls effectively mitigate unacceptable risk(s) for this element?


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  3/15/2019 9:08:43 AM, 

QID:
 00051934, Response Details: Controls ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
19   
Did the controls effectively mitigate unacceptable risk(s) for this element?


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  3/15/2019 9:08:43 AM, 

QID:
 00051948, Response Details: Controls ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
20   
Were the certificate holder's interfaces effective 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  3/15/2019 9:08:43 AM, 

QID:
 00051935, Response Details: Interfaces ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
21   
Were the certificate holder's interfaces effective 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  3/15/2019 9:08:43 AM, 

QID:
 00051949, Response Details: Interfaces ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
22   
Did individuals understand their role and contribute 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  3/15/2019 9:08:43 AM, 

QID:
 00051939, Response Details: Safety Ownership ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
23   
Did individuals understand their role and contribute 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  3/15/2019 9:08:44 AM, 

QID:
 00051953, Response Details: Safety Ownership ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable


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  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  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
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/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
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  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  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  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