Unscoped DCT Report (Standard DCT)


MLF Label: 1.3.1 (AW) Required Personnel DCT Type: ED DCT Specialty: Airworthiness Peer Group: A - Part 121 Air Operators DCT Revision: 10.0 on 06/25/20 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To provide sufficient qualified management and technical personnel.
Objective (FAA Responsibility): Determine if the CH will be able to; (1) Comply with regulations; (2) Provide sufficient qualified management and technical personnel.

The (AW) Required Personnel Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  1.3.1 (AW) Required Personnel
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   
Does the manual include a chart or a description of the maintenance organization identifying responsibility and authority for the overall maintenance program and all the elements and functions?


REFERENCES: 121.133, 121.365, 121.369(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  6/25/2020 9:58:04 AM, 

QID:
 00000985, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
5   
Do the procedures specify the requirements to ensure that management and technical personnel:

      #1 Are trained;
      #2 Are appropriately certificated;
      #3 Have been qualified through training, experience, and expertise; and
      #4 Have a full understanding of their duties and responsibilities?

REFERENCES: 119.65(d), 121.375

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 9:58:21 AM, 

QID:
 00000986, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
6   
Do the procedures ensure that the certificate holder maintains responsibility:

      #1 For the airworthiness of their aircraft, including airframes, engines, propellers, appliances, and associated parts;
      #2 For the maintenance, preventive maintenance, and alteration of its aircraft, including airframes, engines, propellers, appliances, emergency equipment, and associated parts, performed per the manual and regulations; and
      #3 Regardless of who does the work?

REFERENCES: 121.363(a), 121.363(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/24/2019 9:37:44 AM, 

QID:
 00000991, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
7   
Do the procedures include general policy provisions identifying the duties, responsibilities, and authority of:

      #1 Management personnel; and
      #2 Technical personnel?

REFERENCES: 8900.1 Vol 3 Ch 32 Sec 11, 8900.1 Vol 3 Ch 32 Sec 8, 119.65(a), 119.65(e)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  5/21/2014 10:24:03 PM, 

QID:
 00000995, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8   
Do the procedures specify the requirements to have qualified full-time personnel in the following or equivalent positions:

      #1 Director of Maintenance; and
      #2 Chief Inspector?

REFERENCES: 119.65(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  5/21/2014 10:24:06 PM, 

QID:
 00000998, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
9   
Do the procedures identify the following for personnel serving full time in the Director of Maintenance and Chief Inspector positions:

      #1 Qualifications;
      #2 Duties;
      #3 Responsibilities; and
      #4 Authority?

REFERENCES: 119.65(a), 119.65(e)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  5/21/2014 10:26:51 PM, 

QID:
 00001001, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
10   
Do the procedures specify the requirements that individuals who serve in the Director of Maintenance and Chief Inspector positions (or equivalent) be qualified through:

      #1 Training;
      #2 Experience; and
      #3 Expertise?

REFERENCES: 119.65(d)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  5/21/2014 10:26:58 PM, 

QID:
 00001006, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
11   
Do the procedures specify that the Director of Maintenance must:

      #1 Hold a mechanic certificate with airframe and powerplant ratings;
      #2 Have 1 year of experience in a position responsible for returning airplanes to service;
      #3 Have at least 1 year of experience in a supervisory capacity under either 119.67(c)(4)(i) or 119.67(c)(4)(ii) maintaining the same category and class of airplane as the certificate holder uses; and
      #4 Have 3 years of experience within the past 6 years in 119.67(c)(4)(i), 119.67(c)(4)(ii), or a combination of both?

REFERENCES: 119.67(c)

NOTE: The Administrator may grant a deviation to the experience requirements of 119.67(c).

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/25/2020 10:02:42 AM, 

QID:
 00001010, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
12   
Do the procedures specify that the Chief Inspector must:

      #1 Hold a mechanic certificate with both airframe and powerplant ratings and have held these ratings for at least 3 years;
      #2 Have at least 3 years of maintenance experience on different types of large airplanes with 10 or more passenger seats with an air carrier or certificated repair station, 1 year of which must have been as a maintenance inspector; and
      #3 Have at least 1 year of experience in a supervisory capacity maintaining the same category and class of aircraft as the certificate holder uses?

REFERENCES: 119.67(d)

NOTE: The Administrator may grant a deviation to the experience requirements of 119.67(d).

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/25/2020 10:02:44 AM, 

QID:
 00001015, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
13   
Do the procedures list the names and business addresses of the individuals assigned to the Director of Maintenance and Chief Inspector positions?


REFERENCES: 8900.1 Vol 3 Ch 18 Sec 3, 119.65(e)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) AND ( OPSPEC = "A006" ) ,  Rev.  3  6/25/2020 9:58:25 AM, 

QID:
 00001019, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
14   
Do the procedures specify that the certificate holder's management personnel will notify the responsible Flight Standards office within 10 days of any change to or vacancy in the Director of Maintenance or Chief Inspector positions?


REFERENCES: 119.65(e)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/24/2019 9:37:43 AM, 

QID:
 00001020, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
15   
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
16   
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
17   
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
18   
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  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