Unscoped DCT Report (Standard DCT)


MLF Label: 1.3.2 (AW) Manual Management DCT Type: ED DCT Specialty: Airworthiness Peer Group: C - Part 135 (9 or Less Seats) DCT Revision: 11.0 on 03/08/19 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To provide manuals required by technical personnel to perform their duties.
Objective (FAA Responsibility): Determine if the CH will be able to; (1) Comply with regulations; (2) Provide manuals required by technical personnel to perform their duties.

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

Questions Answers Comments
  1.3.2 (AW) Manual Management
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 manuals will be prepared and kept current and be made available to maintenance personnel?


REFERENCES: 135.21(a), 135.21(d)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  3  12/14/2018 10:45:18 AM, 

QID:
 00001078, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8   
Do the procedures include maintenance information and instructions acceptable to the Administrator?


REFERENCES: 135.21(a)

NOTE: Maintenance instructions and information may be prepared in whole or in part in a printed form or other form.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  3  12/14/2018 10:45:18 AM, 

QID:
 00001079, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
9   
Do the procedures specify that copies of the manuals, with all changes and additions, will be furnished to FAA representatives and flight crewmembers and made available to ground operations and maintenance personnel?


REFERENCES: 135.21(d)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  4  12/14/2018 10:45:18 AM, 

QID:
 00001081, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
10   
Do the procedures specify that copies of manuals not provided in printed form must be provided in a form that is acceptable to the Administrator and must be retrievable in the English language?


REFERENCES: 135.21(g)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  2  12/14/2018 10:45:18 AM, 

QID:
 00001082, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
11   
Do the procedures ensure that associated policies, instructions, duties, responsibilities, and information are consistent across each manual and not contrary to any FARs?


REFERENCES: 135.21(c)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  2  12/14/2018 10:45:19 AM, 

QID:
 00001083, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
12   
Do the procedures specify the certificate holder will maintain one complete and current copy of each manual, as required by 135.21, at its principal base of operations?


REFERENCES: 135.21(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  2  12/14/2018 10:45:19 AM, 

QID:
 00001084, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
13   
Do the procedures ensure that the appropriate parts of the manuals are carried on airplanes when operations are being conducted away from the principal base of operations?


REFERENCES: 135.21(f), 135.21(h)

NOTE: If the Operator is able to perform aircraft inspections or maintenance at specified stations where it keeps the approved inspection program manual, then it does not have to carry the approved inspection program manual on board the aircraft.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  3  12/14/2018 10:45:23 AM, 

QID:
 00001085, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
14   
Do the procedures specify that the manual should describe the division of contents between the volumes if it is in more than one volume?


REFERENCES: 8900.1 Vol 3 Ch 32 Sec 10

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  3  12/14/2018 10:45:23 AM, 

QID:
 00001086, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
15   
Do the procedures specify that significant terms, acronyms, or abbreviations unique to the manual should be defined?


REFERENCES: 8900.1 Vol 3 Ch 32 Sec 6

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  2  12/14/2018 10:45:22 AM, 

QID:
 00001087, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
16   
Do the procedures include criteria for determining which parts of the manuals are required on airplanes conducting operations away from the principal base of operations?


REFERENCES: 135.21(f), 135.21(h)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  3  12/14/2018 10:45:22 AM, 

QID:
 00001088, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
17   
Do the procedures enable personnel who receive manuals to keep them up to date and accessible when performing their assigned duties?


REFERENCES: 135.21(d), 135.21(e)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  2  12/14/2018 10:45:22 AM, 

QID:
 00001089, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
18   
Do the procedures require the manuals to include the date of last revision on each revised page?


REFERENCES: 135.23

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  2  12/14/2018 10:45:22 AM, 

QID:
 00001090, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
19   
Do the procedures specify how the manual will be:

      #1 Prepared; and
      #2 Kept current?

REFERENCES: 135.21(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  3  12/14/2018 10:45:22 AM, 

QID:
 00001092, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
20   
Do the procedures specify the following:

      #1 The name of each required management person who is authorized to act for the certificate holder;
      #2 The person's assigned area of responsibility;
      #3 The person's duties, responsibilities, and authority; and
      #4 The name and title of each person authorized to exercise operational control?

REFERENCES: 119.69(a), 135.23(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  4  12/14/2018 10:45:21 AM, 

QID:
 00001095, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
21   
Do the procedures specify:

      #1 The method for ensuring compliance with aircraft weight and balance limitations and, for multiengine aircraft, for determining compliance with 135.185;
      #2 Copies of the OpSpecs or appropriate extracted information, including area of operations authorized, category and class of aircraft authorized, crew complements, and types of operations authorized; and
      #3 The procedure for complying with accident notification requirements;
      #4 The procedure for ensuring that the PIC knows that required airworthiness inspections have been made and that the aircraft has been approved for return to service in compliance with applicable maintenance requirements;
      #5 The procedure for reporting and recording mechanical irregularities that come to the attention of the PIC before, during, and after completion of a flight;
      #6 The procedure to be followed by the PIC for determining that mechanical irregularities or defects reported for previous flights have been corrected or that correction has been deferred;
      #7 The procedure to be followed by the PIC to obtain maintenance, preventive maintenance, and servicing of the aircraft at a place where previous arrangements have not been made by the certificate holder, when the pilot is authorized to so act for the certificate holder;
      #8 The procedure for the release for, or continuation of, flight if any item of equipment required for the particular type of operation becomes inoperative or unserviceable enroute;
      #9 Procedures for refueling aircraft, eliminating fuel contamination, protecting from fire, and supervising and protecting passengers during refueling; and
      #10 The approved aircraft inspection program, when applicable?

REFERENCES: 135.23(b), 135.23(c), 135.23(d), 135.23(e), 135.23(f), 135.23(g), 135.23(h), 135.23(i), 135.23(j), 135.23(o)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (APPROVALS = "SPIC NO MANUALS") ,  Rev.  4  12/14/2018 10:45:21 AM, 

QID:
 00001100, 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 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
25   
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
26   
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
27   
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
28   
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
29   
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  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/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
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