Unscoped DCT Report (Standard DCT)


MLF Label: 1.1.3 (AW) Continuous Analysis and Surveillance System (CASS) DCT Type: ED DCT Specialty: Airworthiness Peer Group: A - Part 121 Air Operators DCT Revision: 16.0 on 06/25/20 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To develop an effective CASS that provides continuous analysis, surveillance, identifies deficiencies and implements corrective actions.
Objective (FAA Responsibility): Determine if the CH will be able to; (1) Comply with regulations; (2) Develop an effective CASS that provides continuous analysis, surveillance, identifies deficiencies and implements corrective actions.

The (AW) Continuous Analysis and Surveillance System (CASS) Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  1.1.3 (AW) Continuous Analysis and Surveillance System (CASS)
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: 5.23(a), 5.25(a), 5.25(b), 5.25(c), 5.21

Safety Attribute: Management Responsibility,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/8/2019 12:47:45 PM, 

QID:
 00051915, Response Details: Responsibility ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
2   
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: 5.23(a), 5.23(b), 5.25(c)

Safety Attribute: Management Authority,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/8/2019 12:47:48 PM, 

QID:
 00051916, Response Details: Authority ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
3   
Do process measurement(s) exist to evaluate the performance of this element and implement corrective action if necessary?


REFERENCES: 5.75, 5.71, 5.73

Safety Attribute: Process Measurement,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/8/2019 12:47:48 PM, 

QID:
 00051917, Response Details: Process Measurement ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
4   
Do the procedures specify how the CASS will establish and maintain the ability to perform Surveillance, Analysis, Corrective action, and Follow-up regardless of whether those programs are carried out by the certificate holder or by another person?


REFERENCES: 8900.1 Vol 3 Ch 44 Sec 1, AC-120-16, AC-120-79, 121.373(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/25/2020 10:02:39 AM, 

QID:
 00000251, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
5   
Does the CASS specify procedures to verify performance through audits and determine effectiveness through analysis?


REFERENCES: 8900.1 Vol 3 Ch 44 Sec 1, AC-120-79

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/25/2020 9:59:24 AM, 

QID:
 00000256, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
6   
Do the procedures include corrective action when CASS identifies deficiencies through analysis of the audit and/or operational data?


REFERENCES: 8900.1 Vol 3 Ch 44 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 9:58:49 AM, 

QID:
 00000259, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
7   
Do the procedures identify:

      #1 Who will be responsible to perform hazard identification;
      #2 What prerequisite training or qualifications are required for personnel to participate in hazard identification;
      #3 When to perform hazard identification;
      #4 How to accomplish the determination of a hazard; and
      #5 How to document the hazard?

REFERENCES: 8900.1 Vol 3 Ch 44 Sec 1, 5.73

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/25/2020 9:58:50 AM, 

QID:
 00000260, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
8   
Do the CASS procedures specify to make changes to the inspection program and/or the program covering other maintenance, preventive maintenance, and alterations whenever the Administrator finds they do not meet the requirements of this part?


REFERENCES: 121.373(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 9:59:24 AM, 

QID:
 00000266, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
9   
Do the procedures specify that the certificate holder may petition their responsible Flight Standards office within 30 days of receiving notification of non-compliance, requesting the Administrator to reconsider the notice to make a change in the CASS program?


REFERENCES: 121.373(c)

NOTE: Except in the case of an emergency requiring immediate action in the interest of safety, the filing of the petition stays the notice pending a decision by the Administrator.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 10:02:39 AM, 

QID:
 00000267, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
10   
Do the procedures specify how the data is utilized from the audit types as described in its CASS?


REFERENCES: 8900.1 Vol 3 Ch 44 Sec 1

NOTE: Types of audit data may include Internal, External, In house and or Third Party.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/25/2020 10:01:23 AM, 

QID:
 00000268, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
11   
Do the procedures specify three methods of audit performance?


REFERENCES: 8900.1 Vol 3 Ch 44 Sec 1

NOTE: The three methods of audit performance include Work in progress, Transaction method, and Systems methods.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 9:58:18 AM, 

QID:
 00000273, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
12   
Do the procedures specify instructions to ensure auditors are provided with checklists to ensure consistency and completeness of audits?


REFERENCES: 8900.1 Vol 3 Ch 44 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 9:58:18 AM, 

QID:
 00000278, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
13   
Does the CASS include procedures indicating it monitors all elements of an effective CAMP?


REFERENCES: 8900.1 Vol 3 Ch 44 Sec 1, AC-120-16, AC-120-79

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 9:58:18 AM, 

QID:
 00000282, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
14   
Do the CASS procedures address Risk analysis and Preliminary Root Cause Analysis?


REFERENCES: 8900.1 Vol 3 Ch 44 Sec 1, AC-120-79

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 9:58:18 AM, 

QID:
 00000308, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
15   
Do the CASS procedures for Analysis of Operational Data:

      #1 Provide analysts with a method to process the data and an understanding of the potential significance of each data set;
      #2 Emphasize that analysis of operational data should consider root causes of negative trends or anomalies; and
      #3 Delineate the roles of CASS analysts as well as other departments or personnel in the analysis of operational data?

REFERENCES: AC-120-79

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  7/6/2017 2:02:13 PM, 

QID:
 00000311, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
16   
Do CASS procedures specify the Follow-up process/action?


REFERENCES: 8900.1 Vol 3 Ch 44 Sec 1

NOTE: Examples of Follow-up actions include, but are not limited too; what measures will be used to evaluate the effectiveness of the corrective action; when and/or how often the follow-up will occur; how to use the automation or computerized systems to document the follow-up process; and how to determine changes to surveillance planning and/or data collection.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 9:58:18 AM, 

QID:
 00000315, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
17   
Do the CASS procedures include requirements to ensure CASS auditors and analysist are qualified through training and experience, and contribute to the evaluation of a proposed corrective action?


REFERENCES: AC-120-79

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 9:58:19 AM, 

QID:
 00000320, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
18   
Do the CASS procedures specify the standard communication processes?


REFERENCES: AC-120-79

NOTE: See AC 120-79A to ensure the certificate holder develops appropriate standard communication processes for all aspects of their CASS to assist in standardizing procedures.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 9:58:19 AM, 

QID:
 00000323, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
19   
Does the CASS include requirements to ensure CASS personnel are independent of the areas they audit?


REFERENCES: 8900.1 Vol 3 Ch 44 Sec 1, AC-120-79

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  6/25/2020 9:58:03 AM, 

QID:
 00000329, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
20   
Do CASS procedures specify the sources of hazards?


REFERENCES: 8900.1 Vol 3 Ch 44 Sec 1, AC-120-79

NOTE: AC 120-79 identifies the principle sources of hazards to include; personnel, equipment, workplace; and organization.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 9:58:19 AM, 

QID:
 00000330, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
21   
Do the certificate holders procedures for CASS meet the intent of AC 120-79?


REFERENCES: AC-120-79

NOTE: AC 120-79 documents one method of compliance for CASS found acceptable by the Administrator. Alternate compliance methods must provide an equivalent level of safety.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") AND (OPSPEC = "D072") ,  Rev.  1  2/27/2018 7:57:41 AM, 

QID:
 00051908, 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 = "121") ,  Rev.  1  3/13/2018 11:30:19 AM, 

QID:
 00051912, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
23   
Do procedures include responsibilities and guidelines for how the technical area will communicate the status of the corrective action plan to the person responsible for monitoring implementation?


REFERENCES: AC-120-79

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  1  6/25/2020 10:04:19 AM, 

QID:
 00056196, 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: 5.51, 5.53, 5.55

Safety Attribute: Controls,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/8/2019 12:47:45 PM, 

QID:
 00051913, Response Details: Controls 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 = "121") ,  Rev.  2  3/8/2019 12:47:45 PM, 

QID:
 00051914, 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: 5.23(a), 5.91, 5.93

Safety Attribute: Safety Ownership,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/8/2019 12:47:46 PM, 

QID:
 00051918, 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  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/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