Unscoped DCT Report (Standard DCT)


MLF Label: 1.1.3 (AW) Continuous Analysis and Surveillance System (CASS) DCT Type: EP DCT Specialty: Airworthiness Peer Group: A - Part 121 Air Operators DCT Revision: 14.0 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; (1) If the CH followed the accepted or approved process; (2) If the CH developed 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   
Best describe how the certificate holder followed the procedures in the utilization of the three audit methods.


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: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/25/2020 10:02:55 AM, 

QID:
 00011035, 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
2   
Best describe how the certificate holder followed its CASS communication processes.


REFERENCES: AC-120-79

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  6/25/2019 4:17:39 PM, 

QID:
 00011076, 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
3   
Best describe how the CASS procedures were followed for the identification and management of hazards.


REFERENCES: 8900.1 Vol 3 Ch 44 Sec 1

Safety Attribute: Controls,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  9/23/2015 4:14:47 PM, 

QID:
 00011028, 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
4   
Were financial and human resources provided to ensure 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  3/15/2019 9:08:42 AM, 

QID:
 00051922, Response Details: Responsibility ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
5   
Did the CASS address the four principal potential 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: Management Authority,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 9:58:32 AM, 

QID:
 00011079, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
6   
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: 5.23(a), 5.23(b), 5.25(c)

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

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/15/2019 9:08:43 AM, 

QID:
 00051923, Response Details: Authority ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
7   
Did the certificate holder conduct and utilize the data from the audits described in its CASS?


REFERENCES: 8900.1 Vol 3 Ch 44 Sec 1, 8900.1 Vol 6 Ch 2 Sec 30, AC-120-79

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

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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  2/27/2019 12:01:25 PM, 

QID:
 00011021, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
8   
Did the certificate holder collect the aircraft equipment performance and operational data described in its CASS?


REFERENCES: 8900.1 Vol 3 Ch 44 Sec 1, 8900.1 Vol 6 Ch 2 Sec 30, AC-120-79

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

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/25/2019 4:17:39 PM, 

QID:
 00011022, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
9   
Were the certificate holder's process measurement(s) used to evaluate the performance of this element and if necessary, implement corrective action?


REFERENCES: 5.75, 5.71, 5.73

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

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/15/2019 9:08:43 AM, 

QID:
 00051924, Response Details: Process Measurement ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
10   
Did the certificate holder analyze all audit results and collected data to determine the performance and effectiveness of its programs, regardless of whether those programs were carried out by it or any other maintenance provider?


REFERENCES: AC-120-16, AC-120-79, 121.373(a), 8900.1 Vol 20 Ch 8 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 10:02:55 AM, 

QID:
 00011020, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
11   
Did the certificate holder make changes to the CAMP when the Administrator found that it did not contain adequate procedures or standards to meet the requirements of 14 CFR Part 121?


REFERENCES: 121.373(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  6/25/2019 4:17:39 PM, 

QID:
 00011029, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
12   
Verify that the CASS records show that all elements of the CAMP were monitored.


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 9:58:32 AM, 

QID:
 00011044, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The CASS records indicate that the elements were monitored
  The CASS records indicate that one or more elements were not monitored
  Not Observable
13   
Did the CASS perform 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.  2  6/25/2020 9:58:11 AM, 

QID:
 00011071, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
14   
Were the development, implementation, and follow-up for the CASS corrective actions appropriate, timely, and effective?


REFERENCES: 8900.1 Vol 3 Ch 44 Sec 1, 8900.1 Vol 6 Ch 2 Sec 30

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 9:58:32 AM, 

QID:
 00011072, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
15   
Were the CASS personnel independent of the areas they audited?


REFERENCES: AC-120-79

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00011078, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
16   
Were the personnel who carried out the functions of the CASS properly trained, and did they meet the experience requirements identified in the manual?


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" ) ,  Rev.  2  12/29/2016 11:13:09 AM, 

QID:
 00011096, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
17   
Did the certificate holder follow policies, procedures, instructions and information for this element?


Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/15/2019 9:08:42 AM, 

QID:
 00051919, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
18   
Did the certificate holder communicate the status of the corrective action plan to the person responsible for monitoring implementation?


REFERENCES: 8900.1 Vol 3 Ch 44 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  1  6/25/2020 10:04:18 AM, 

QID:
 00056195, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
19   
Verify that the corrective actions were initiated and documented when the CASS identified deficiencies in the following areas:

      #1 Internal and external audits;
      #2 Event emergency response;
      #3 Day-to-day performance monitoring; and
      #4 Long-term performance monitoring.

REFERENCES: 8900.1 Vol 6 Ch 2 Sec 30

Safety Attribute: Controls,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  5/22/2014 5:16:27 AM, 

QID:
 00011023, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The CASS records indicate that corrective actions were initiated and documented
  The CASS records indicate that corrective actions were not initiated and documented
  Not Observable
  Not Applicable
20   
Did the certificate holders auditors follow checklists to ensure consistency and completeness of audits?


REFERENCES: 8900.1 Vol 3 Ch 44 Sec 1

Safety Attribute: Controls,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 9:58:32 AM, 

QID:
 00011040, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
21   
Did the controls effectively mitigate unacceptable risk(s) for this element?


REFERENCES: 5.51, 5.53, 5.55

Safety Attribute: Controls,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/15/2019 9:08:42 AM, 

QID:
 00051920, Response Details: Controls ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
22   
Were the certificate holder's interfaces effective for this element?


Safety Attribute: Interfaces,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/15/2019 9:08:42 AM, 

QID:
 00051921, Response Details: Interfaces 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?


REFERENCES: 5.23(a), 5.91, 5.93

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

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/15/2019 9:08:43 AM, 

QID:
 00051925, Response Details: Safety Ownership ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable


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
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