Unscoped DCT Report (Standard DCT)


MLF Label: 3.3.1 (OP) Operational Control DCT Type: ED DCT Specialty: Operations Peer Group: E - Part 135 (HAA) DCT Revision: 22.0 on 06/25/20 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To exercise authority and control over initiating, conducting and terminating flights.
Objective (FAA Responsibility): Determine if the CH will be able to; (1) Comply with regulations; (2) Exercise authority and control over initiating, conducting and terminating flights.

The (OP) Operational Control Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  3.3.1 (OP) Operational Control
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 the certificate holder must designate a:

      #1 PIC for each flight; and
      #2 SIC for each flight requiring two pilots?

REFERENCES: 135.109(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  3  9/28/2018 12:03:55 PM, 

QID:
 00001994, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8   
Do the procedures require that the PIC, as designated by the certificate holder, must remain the PIC at all times during that flight?


REFERENCES: 135.109(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  3  9/28/2018 12:03:55 PM, 

QID:
 00001997, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
9   
Do the procedures specify that the certificate holder is responsible for operational control of each flight conducted under its certificate and operations specifications?


REFERENCES: A008, 135.77

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  9/19/2017 1:38:07 PM, 

QID:
 00002537, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
10   
Do the procedures require that when a weather report or forecast is required to be used under 14 CFR Part 135 that the report or forecast is either:

      #1 Provided by the NWS;
      #2 Provided by a source approved by the NWS; or
      #3 Provided by a source approved by the FAA?

REFERENCES: A010, 135.213(a)

NOTE: The Administrator may grant a deviation from the requirement that weather observations made and furnished to pilots to conduct IFR operations at an airport, must be taken at the airport where those IFR operations are conducted.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  3  1/12/2016 12:31:03 PM, 

QID:
 00003207, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
11   
Do the procedures require the Operator to comply with their FAA issued operating certificate and OpSpecs, including deviations and exemptions?


REFERENCES: A001, A005, 119.5(g), 119.5(h), 119.5(i), 119.5(j), 119.9(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  6/25/2018 10:46:56 AM, 

QID:
 00003480, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
12   
Do the procedures require that the name of the Operator or operating certificate number be displayed on the aircraft and be:

      #1 Legible; and
      #2 Visibly readable by a person standing on the ground at any time except during flight time?

REFERENCES: 119.9(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  7/17/2014 4:31:37 PM, 

QID:
 00003489, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
13   
Does the certificate holders manual include:

      #1 Clearly identified excerpts of or references to its operations specifications;
      #2 Mandatory compliance requirements; and
      #3 Other information that will keep employees informed of the impact on their duties and responsibilities?

REFERENCES: 119.43(b), 119.43(c)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  3  7/7/2017 8:43:00 AM, 

QID:
 00003492, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
14   
Do the procedures require the certificate holder to:

      #1 Maintain a principal base of operations; and
      #2 Notify the responsible Flight Standards office at least 30 days before changing the location of its principal base of operations?

REFERENCES: 119.47, 119.47(a), 119.47(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  3  6/24/2019 3:56:25 PM, 

QID:
 00003496, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
15   
Does the manual include:

      #1 The name of each management person required under 119.69(a) who is authorized to act for the certificate holder;
      #2 The person's duties, responsibilities, and authority; and
      #3 The name and title of each person authorized to exercise operational control under 135.77?

REFERENCES: A006, A008, 119.69(a), 119.69(e), 135.77

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  3  7/7/2017 8:43:00 AM, 

QID:
 00003499, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
16   
Does the certificate holders aircraft requirements describe the exclusive use of at least one aircraft for at least one kind of operation authorized in the operations specifications?


REFERENCES: 8900.1 Vol 3 Ch 18 Sec 3, A003, 135.25(b)

NOTE: If the certificate holder does not have the exclusive use of an aircraft they must have one available for use under a written agreement (including arrangements for performing required maintenance) that meets the requirements for that kind of operation.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  3  12/13/2018 2:44:24 PM, 

QID:
 00003506, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
17   
Do the procedures specify that if a certificate holder or PIC knows of conditions, including airport and runway conditions, that are a hazard to safe operations, the certificate holder or PIC restricts or suspends operations as necessary until those conditions are corrected?


REFERENCES: 8900.1 Vol 3 Ch 25 Sec 1, 135.69(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  3  3/19/2020 11:12:12 AM, 

QID:
 00003508, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
18   
Do the procedures specify that the PIC may not begin a flight unless the pilot determines that the airworthiness inspections required by 91.409 or 135.419, whichever is applicable, have been made?


REFERENCES: 135.71

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00003509, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
19   
Does the certificate holder have established flight locating procedures, furnished to a representative of the Administrator, for locating each flight for which an FAA flight plan is not filed that:

      #1 Provide the certificate holder with at least the information required to be included in a VFR flight plan;
      #2 Provide for timely notification of an FAA facility or search and rescue facility if an aircraft is overdue or missing; and
      #3 Provide the certificate holder with the location, date, and estimated time for re-establishing communications if the flight will operate in an area where communications cannot be maintained?

REFERENCES: 8900.1 Vol 3 Ch 25 Sec 5, 135.79(a), 135.79(c)

NOTE: A copy of the certificate holders flight locating procedures and any changes or additions, shall be furnished to the Administrator, unless those procedures are included in a manual required under part 135.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (FLT OPERATION CONFIGURATION = "ALWAYS FILES FAA FLIGHT PLAN") ,  Rev.  6  6/25/2020 10:03:49 AM, 

QID:
 00003510, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
20   
Do the procedures include that flight locating information is retained at its principal place of business, or at other places designated by the certificate holder, until the completion of the flight?


REFERENCES: 8900.1 Vol 3 Ch 25 Sec 5, 135.79(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND NOT (FLT OPERATION CONFIGURATION = "ALWAYS FILES FAA FLIGHT PLAN") ,  Rev.  2  6/25/2020 9:58:06 AM, 

QID:
 00003514, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
21   
Do the procedures specify that the Operator must inform each person in its employment of the OpSpecs that apply to that person's duties and responsibilities?


REFERENCES: 135.81

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00003516, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
22   
Do the procedures specify that the certificate holder must make available to each pilot in its employ the following materials in current form:

      #1 Airman's Information Manual (Alaska Supplement in Alaska and Pacific Chart Supplement in Pacific-Asia Regions) or a commercial publication that contains the same information;
      #2 14 CFR Part 135 and 91; and
      #3 Aircraft Equipment Manuals and Aircraft Flight Manual or equivalent?

REFERENCES: 8900.1 Vol 3 Ch 25 Sec 1, 135.81, 135.81(a), 135.81(b), 135.81(c)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  4  3/19/2020 11:12:11 AM, 

QID:
 00003517, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
23   
Do the procedures specify that all management personnel who exercise operational control must be direct employees of the certificate holder?


REFERENCES: 8900.1 Vol 3 Ch 25 Sec 5, A008

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "A008" ) ,  Rev.  2  2/27/2019 10:34:36 AM, 

QID:
 00003525, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
24   
Do the certificate holder's procedures specify the operational control system requirements of OpSpec A008?


REFERENCES: 8900.1 Vol 3 Ch 25 Sec 1, 8900.1 Vol 3 Ch 25 Sec 5, A008, 135.77

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") ,  Rev.  4  3/19/2020 11:12:06 AM, 

QID:
 00003526, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
25   
Do the procedures specify that the certificate holder may not conduct any operation under 14 CFR Part 135, unless each crewmember is:

      #1 A direct employee or agent during every aspect of the 14 CFR Part 135 operations, including those aspects related to any preflight and postflight duties; and
      #2 Currently trained and tested, qualified, and holds the appropriate airman and medical certificates to conduct flights for the certificate holder under 14 CFR Part 135?

REFERENCES: A008, 135.95

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "A008" ) ,  Rev.  3  9/19/2017 1:38:06 PM, 

QID:
 00003530, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
26   
Do the procedures specify that each pilot must be specifically listed by name and airman certificate number on a list of pilots maintained by the certificate holder at its main base of operations or listed in operations specification A039 or A040, if applicable?


REFERENCES: A008

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "A008" ) ,  Rev.  2  2/27/2019 10:34:36 AM, 

QID:
 00003533, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
27   
Do the procedures specify that per 119.53, the Operator may not wet lease from or enter into any wet leasing arrangement with any person not authorized by the FAA to engage in common carriage operation under 14 CFR Part 121 or 135, whereby that other person provides an aircraft and at least one crewmember to the Operator?


REFERENCES: A028

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A028") ,  Rev.  2  7/7/2017 8:42:59 AM, 

QID:
 00003540, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
28   
Do the operational control system procedures specify complete, effective and sustainable operational control over each aircraft operated by the certificate holder?


REFERENCES: 8900.1 Vol 3 Ch 25 Sec 1, A008

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "A008" ) ,  Rev.  3  3/19/2020 11:12:11 AM, 

QID:
 00003542, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
29   
Do the procedures specify that the Operator may not operate any aircraft, which is subject to an agreement between the Operator and the aircraft owner or any lease of the aircraft, if that agreement shifts liability and accountability for the safety of flight operations from the Operator to the aircraft owner or other parties?


REFERENCES: A028

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A028") ,  Rev.  2  7/7/2017 8:42:59 AM, 

QID:
 00003543, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
30   
Do the procedures require that the FAA be provided a copy of the wet lease of aircraft for common carriage operations, including foreign air carriers, or any other foreign person engaged in common carriage wholly outside the United States, prior to conducting operations involving a wet lease?


REFERENCES: A028

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A028") ,  Rev.  2  7/7/2017 8:42:59 AM, 

QID:
 00003544, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
31   
Do the procedures specify that prior to conducting a 14 CFR Part 135 flight or series of flights, at least one management person listed in OpSpec A006, management personnel of the OpSpecs, or a management person designee who is a direct employee of the Operator, other than a pilot assigned to the specific flight or series of flight, must determine and have sufficient knowledge of the following:

      #1 Each assigned crewmember is qualified and eligible to serve as a required crewmember in the aircraft and type of operation to which the crewmember is assigned; and
      #2 The aircraft assigned for use is listed in OpSpec D085 and is airworthy under the Operator's FAA-approved maintenance, inspection, or airworthiness program?

REFERENCES: A008

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "A008" ) ,  Rev.  2  7/17/2014 4:31:43 PM, 

QID:
 00003545, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
32   
Do the procedures specify that prior to conducting any flight operation under 14 CFR Part 135, the Operator must provide information to the designated PIC that indicates:

      #1 Which flight or series of flights will be conducted under 14 CFR Part 135;
      #2 Which 14 CFR Part 91 flights will be conducted by the Operator; and
      #3 That the Operator is accountable and responsible for the safe operations of these flights or series of flights?

REFERENCES: A008

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "A008" ) ,  Rev.  2  7/17/2014 4:31:43 PM, 

QID:
 00003548, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
33   
Do the procedures specify that the system of operational control ensures that each pilot is knowledgeable that the failure to adhere to the Operator's directions and instructions while operating aircraft under these OpSpecs, may be contrary to 14 CFR Part 119 and 135, and therefore may be subject to legal enforcement action by the FAA?


REFERENCES: A008

NOTE: This includes pilot compliance with directions or instructions from an aircraft owner, other than the Operator, or any other outside private person or private entity, that are contrary to the Operator’s directions or instructions.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "A008" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00003552, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
34   
For air ambulance operations, do the procedures specify the appropriate policies, instructions, and information for flight locating to include:

      #1 Communication procedures ensuring that actual departure times are transmitted and received;
      #2 Procedures ensuring that position reports are made at specified intervals and are received; and
      #3 If applicable, adequate training on the operator's flight-locating procedures.

REFERENCES: 8900.1 Vol 4 Ch 5 Sec 3, AC-135-15

NOTE: FAA Order 8900.1 Vol 4 Ch 5 Sec 3 and AC 135-15 provide policy and guidance for a certificate holder's air ambulance manual procedures that may be found acceptable by the Administrator.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A024") ,  Rev.  2  6/24/2019 3:56:26 PM, 

QID:
 00048820, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
35   
Do procedures require the certificate holder to collect and submit the appropriate data for the Helicopter Air Ambulance Mandatory Flight Information Report as per operations specifications A021?


REFERENCES: A021

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A021") ,  Rev.  1  9/28/2015 2:27:04 PM, 

QID:
 00049092, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
36   
Does the certificate holder's operations manual include procedures that prior to conducting VFR operations for helicopter air ambulance the pilot in command must:

      #1 Determine the minimum safe cruise altitude by evaluating the terrain and obstacles along the planned route of flight;
      #2 Identify and document the highest obstacle along the planned route of flight;
      #3 Using the minimum safe cruise altitudes in bullets 1 and 2 above, determine the minimum required ceiling and visibility to conduct the planned flight by applying the weather minimums appropriate to the class of airspace for the planned flight;
      #4 While conducting VFR operations, ensure that all terrain and obstacles along the route of flight are cleared vertically by no less than 300 feet for day operations and 500 feet for night operations; and
      #5 If a rerouting, change in destination, or other changes to the planned flight that occur while the helicopter is on the ground at an intermediate stop, evaluate the new route in accordance with §135.615(a)?

REFERENCES: 135.615(d), 135.615(b), 135.615(a), 135.615

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A021") ,  Rev.  1  10/6/2015 2:14:04 PM, 

QID:
 00049206, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
37   
Does the certificate holder conducting helicopter air ambulance operations, establish and document in its operations manual, procedures for an FAA-approved preflight risk analysis that includes at least the following:

      #1 Flight considerations, to include obstacles and terrain along the planned route of flight, landing zone conditions, and fuel requirements;
      #2 Human factors, such as crew fatigue, life events, and other stressors;
      #3 Weather, including departure, en route, destination, and forecasted;
      #4 A procedure for determining whether another helicopter air ambulance operator has refused or rejected a flight request; and
      #5 Strategies and procedures for mitigating identified risks, including procedures for obtaining and documenting approval of the certificate holder's management personnel to release a flight when a risk exceeds a level predetermined by the certificate holder?

REFERENCES: 135.617(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A021") ,  Rev.  1  10/6/2015 2:14:05 PM, 

QID:
 00049213, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
38   
Do the procedures for helicopter air ambulance operations provide that the certificate holder must develop a preflight risk analysis worksheet that includes:

      #1 Prior to the first leg of each helicopter air ambulance operation, the pilot in command must conduct a preflight risk analysis and complete the preflight risk analysis worksheet in accordance with the certificate holder's FAA-approved procedures;
      #2 The pilot in command must sign the preflight risk analysis worksheet and specify the date and time it was completed; and
      #3 That the certificate holder must retain the original or a copy of each completed preflight risk analysis worksheet at a location specified in its operations manual for at least 90 days from the date of the operation?

REFERENCES: 135.617(c), 135.617(b), 135.617(d), 135.617

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A021") ,  Rev.  1  10/6/2015 2:14:05 PM, 

QID:
 00049219, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
39   
Do procedures specify certificate holders authorized to conduct helicopter air ambulance operations with 10 or more helicopter air ambulances assigned to the operations specifications, have an operations control center?


REFERENCES: AC-120-96, 135.619(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A021") AND (TYPE/KIND OF OPERATION = "10 OR MORE HELICOPTER AIR AMBULANCES") ,  Rev.  1  5/2/2016 12:00:07 PM, 

QID:
 00049548, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
40   
Do procedures require the operations control center must be staffed by operations control specialists who, at a minimum;

      #1 Provide two-way communications with pilots;
      #2 Provide pilots with weather briefings, to include current and forecasted weather along the planned route of flight;
      #3 Monitor the progress of the flight; and
      #4 Participate in the preflight risk analysis required under §135.617, as applicable?

REFERENCES: AC-120-96, 135.619(a), 135.617

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A021") AND (TYPE/KIND OF OPERATION = "10 OR MORE HELICOPTER AIR AMBULANCES") ,  Rev.  1  5/2/2016 12:00:08 PM, 

QID:
 00049550, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
41   
Do procedures require the operations manual describe the duties and responsibilities of operations control specialists, including;

      #1 Preflight risk mitigation strategies and control measures;
      #2 Shift change checklist; and
      #3 Training and testing procedures to hold the position, including procedures for retesting?

REFERENCES: AC-120-96, 135.619(c)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A021") AND (TYPE/KIND OF OPERATION = "10 OR MORE HELICOPTER AIR AMBULANCES") ,  Rev.  1  5/2/2016 12:00:08 PM, 

QID:
 00049560, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes;
  No
  Not Applicable
42   
Do procedures require helicopter air ambulance operations provide enough operations control specialists at each operations control center to ensure the certificate holder maintains operational control of each flight?


REFERENCES: AC-120-96, 135.619(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A021") AND (TYPE/KIND OF OPERATION = "10 OR MORE HELICOPTER AIR AMBULANCES") ,  Rev.  1  5/2/2016 12:00:07 PM, 

QID:
 00049565, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
43   
Do procedures require the operations control center specialists participate in the preflight risk analysis required under 14 CFR 135.617 to include the following:

      #1 Ensure the pilot has completed all required items on the preflight risk analysis worksheet;
      #2 Confirm and verify all entries on the preflight risk analysis worksheet;
      #3 Assist the pilot in mitigating any identified risk prior to takeoff; and
      #4 Acknowledge in writing, specifying the date and time, that the preflight risk analysis worksheet has been accurately completed and that, according to their professional judgment, the flight can be conducted safely?

REFERENCES: AC-120-96, 135.619(a), 135.617

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A021") AND (TYPE/KIND OF OPERATION = "10 OR MORE HELICOPTER AIR AMBULANCES") ,  Rev.  1  5/2/2016 12:00:09 PM, 

QID:
 00049566, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
44   
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
45   
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
46   
For foreign operations, do the procedures require the certificate holder make available to each pilot in its employ in current form, the International Flight Information Manual or a commercial publication that contains the same information concerning the pertinent operational and entry requirements of the foreign country or countries involved?


REFERENCES: 135.81(d)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (AREA OF OPERATION = "OPERATIONS OUTSIDE THE UNITED STATES") ,  Rev.  1  2/27/2019 10:34:36 AM, 

QID:
 00054646, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
47   
Does the certificate holder's accepted manual contain for each airplane used in SIC PDP:

      #1 Standard Operating Procedures (SOP) for conducting operations with two pilots;
      #2 Duties and responsibilities for an SIC;
      #3 Crew pairing requirements in accordance with §135.99(c)(4); and
      #4 The additional requirements of OpSpec A062 when SIC PDP operations are conducted under part 91?

REFERENCES: 8900.1 Vol 3 Ch 68 Sec 1, AC-135-43, A062

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A062") ,  Rev.  1  2/27/2019 10:34:35 AM, 

QID:
 00054663, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
48   
Do the procedures ensure the certificate holder does not operate an aircraft with less than the minimum flight crew specified in the aircraft operating limitations or the AFM for that aircraft and required by part 135 for the kind of operation being conducted?


REFERENCES: 135.99(a), 135.99(b)

NOTE: A second in command is required for aircraft having a passenger seating configuration, excluding any pilot seat, of ten seats or more.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  FAR PART = "135" ,  Rev.  1  6/24/2019 3:56:25 PM, 

QID:
 00055040, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
49   
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
50   
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
51   
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
52   
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
53   
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
54   
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