Unscoped DCT Report (Standard DCT)


MLF Label: 4.2.3 (AW) AD Management DCT Type: ED 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 accomplish all ADs and maintain records.
Objective (FAA Responsibility): Determine if the CH will be able to; (1) Comply with regulations; (2) Accomplish all ADs and maintains records.

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

Questions Answers Comments
  4.2.3 (AW) AD 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: 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 that if a change in a product affects the ability to accomplish the actions required by the AD in any way, a request for FAA approval of an AMOC must include the specific proposed actions that address the unsafe condition, unless it can be shown the change eliminated the unsafe condition?


REFERENCES: 39.17

NOTE: The AMOC must show the change eliminated the unsafe condition or the request must include the specific actions proposed to address the unsafe condition?

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  6/25/2020 9:58:06 AM, 

QID:
 00004694, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
5   
Do the procedures specify that a proposal for an AMOC or a change in the compliance time must, provide an acceptable level of safety, be submitted to the FAA Principal Inspector, include the specific actions to address the unsafe condition, and may only be used when approved by the manager of the office identified in the AD?


REFERENCES: 39.19

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/25/2020 10:01:09 AM, 

QID:
 00004696, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
6   
Do the procedures specify how to request information about AMOCs that have already been approved from the responsible office identified in the AD?


REFERENCES: 39.21

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  6/25/2020 9:58:07 AM, 

QID:
 00004702, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
7   
Do the procedures specify how to obtain authority, or exercise Special Flight Permit with Continuous Authorization, to fly an aircraft to a repair facility to do the work required by an AD?


REFERENCES: 39.23

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  6/25/2020 9:58:07 AM, 

QID:
 00004703, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
8   
Do the procedures specify that the AD requirements take precedence when a conflict exists between a service document and an AD?


REFERENCES: 39.27

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  6/25/2020 9:58:08 AM, 

QID:
 00004704, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
9   
Do the certificate holders procedures specify Emergency AD Notification requirements to include the designated person/organization, phone number (24-hour when possible), and email address?


REFERENCES: A447

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) AND ( OPSPEC = "A447" ) ,  Rev.  4  6/25/2020 9:59:22 AM, 

QID:
 00004705, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
10   
Does the CAMP include requirements to amend OpSpec A447 when changes are made to the designated person/organization, phone number, or email address for Emergency AD notification?


REFERENCES: A447

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) AND ( OPSPEC = "A447" ) ,  Rev.  3  6/25/2020 9:58:21 AM, 

QID:
 00004713, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
11   
Does the CAMP include procedures to ensure a product that does not meet the requirements of an applicable AD is not operated?


REFERENCES: 8900.1 Vol 3 Ch 43 Sec 1, 39.7

Safety Attribute: Procedures,  Question Type: Output Validation,  

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

QID:
 00004724, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
12   
Does the AD management program include an AD Configuration Control Board that has regular meetings or equivalent where action plans are, reviewed, coordinated, and assigned?


REFERENCES: 8900.1 Vol 3 Ch 59 Sec 1, AC-39-9

NOTE: Some operators may have fewer resources than others; therefore, a single individual or department may conduct AD planning functions.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 9:58:22 AM, 

QID:
 00004734, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
13   
Does the AD verification process ensure continued AD compliance?


REFERENCES: 8900.1 Vol 3 Ch 59 Sec 1, AC-39-9

NOTE: The AD verification process should include include: ADs with the highest potential of alteration during normal maintenance, physical verification, verification of records, meeting the criteria for inclusion into a sampling program; and a required one-time verification?

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 9:58:22 AM, 

QID:
 00004740, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
14   
Do the AD management AMOC procedures identify personnel and their role in the process, have a concise process to ensure that deviations from AD requirements do not occur, unless the deviations have been approved; and ensure that AD compliance is recorded only after an approved AMOC has been accomplished.


REFERENCES: 8900.1 Vol 3 Ch 59 Sec 1, AC-39-9

NOTE: Certificate holders should have a concise process to ensure that deviations from AD requirements do not occur, unless the deviations have been approved. Ensure that AD compliance is recorded only after an approved AMOC has been accomplished.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  4  6/25/2020 10:02:45 AM, 

QID:
 00004751, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
15   
Do the AD management procedures include additional areas of consideration during the planning element?


REFERENCES: 8900.1 Vol 3 Ch 59 Sec 1, AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 9:58:22 AM, 

QID:
 00004757, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
16   
Does the AD management process identify the personnel responsible for coordinating and auditing, maintaining technical documentation, and reviewing/evaluating information?


REFERENCES: 8900.1 Vol 3 Ch 59 Sec 1, AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 9:58:23 AM, 

QID:
 00004776, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
17   
Does the certificate holder provide an adequate organizational structure for managing the AD process?


REFERENCES: 8900.1 Vol 3 Ch 59 Sec 1, AC-39-9

NOTE: Depending on the operator’s organizational structure, materials and scheduling/planning departments are responsible for ensuring the materials specified in the AD and engineering document are provided. Those departments should plan for adequate capacity and time to accomplish the AD requirement(s) in appropriate work environments with the required maintenance personnel.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 9:58:23 AM, 

QID:
 00004783, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
18   
Does the certificate holder procedures ensure all elements of the AD process were recorded?


REFERENCES: 8900.1 Vol 3 Ch 59 Sec 1, AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 9:58:23 AM, 

QID:
 00004794, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
19   
Do the AD management procedures specify maintenance records establishing AD compliance be maintained in accordance with regulatory requirements?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 5, 8900.1 Vol 3 Ch 59 Sec 1, AC-39-9

NOTE: The method of compliance means a concise description of the action taken to comply with the requirements of the AD. If an AMOC is used to comply with an AD, the method of compliance means a description of the AMOC and a copy of the FAA approval.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  3  6/25/2020 9:58:24 AM, 

QID:
 00004801, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
20   
Do the AD management procedures include a planning method, appropriate with to its size, capabilities, resources, and equipment, that ensures continued AD compliance?


REFERENCES: 8900.1 Vol 3 Ch 59 Sec 1, AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") ,  Rev.  2  6/25/2020 9:58:54 AM, 

QID:
 00049437, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
21   
Do the AD management procedures include a support mechanism, appropriate to its size, capabilities, resources, and equipment, that ensures continued AD compliance?


REFERENCES: 8900.1 Vol 3 Ch 59 Sec 1, AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") ,  Rev.  2  6/25/2020 9:58:54 AM, 

QID:
 00049438, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
22   
Do the AD management procedures include a provisioning process, appropriate to its size, capabilities, resources, and equipment, that ensures continued AD compliance?


REFERENCES: 8900.1 Vol 3 Ch 59 Sec 1, AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") ,  Rev.  2  6/25/2020 9:58:55 AM, 

QID:
 00049439, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
23   
Do the AD management procedures include an implementation process, appropriate to its size, capabilities, resources, and equipment, that ensures continued AD compliance?


REFERENCES: 8900.1 Vol 3 Ch 59 Sec 1, AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") ,  Rev.  2  6/25/2020 9:58:55 AM, 

QID:
 00049440, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
24   
Do the AD management procedures include a method of recording, appropriate to its size, capabilities, resources, and equipment, that ensures continued AD compliance?


REFERENCES: 8900.1 Vol 3 Ch 59 Sec 1, AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") ,  Rev.  2  6/25/2020 9:58:56 AM, 

QID:
 00049441, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
25   
Do the AD management procedures include a method of auditing, appropriate to its size, capabilities, resources, and equipment, that ensures continued AD compliance?


REFERENCES: 8900.1 Vol 3 Ch 59 Sec 1, AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") ,  Rev.  2  6/25/2020 9:58:56 AM, 

QID:
 00049442, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
26   
Do the AD management procedures specify how to determine applicability, ensuring any documents Incorporated by Reference (IBR) in the body of the AD are treated as an extension of the AD and considered mandatory?


REFERENCES: 8900.1 Vol 3 Ch 59 Sec 1, AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") ,  Rev.  2  6/25/2020 9:58:56 AM, 

QID:
 00049449, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
27   
Does the CAMP include procedures that ensure that specific inspections are carried out, conditions and limitations are complied with and any unsafe condition is resolved when the certificate holder complies with an AD requirement.


REFERENCES: 39.11

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  6/25/2020 9:59:15 AM, 

QID:
 00051088, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
28   
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
29   
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
30   
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
31   
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