Unscoped DCT Report (Standard DCT)


MLF Label: 4.2.3 (AW) AD Management DCT Type: ED DCT Specialty: Airworthiness Peer Group: D - Part 135 (9 or Less Seats/Single Pilot) 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: 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 that the records of the current status of each AD include:

      #1 The method of compliance;
      #2 The AD number and revision date; and
      #3 The time in service when the next action is due (if the requirement is recurring) expressed in the appropriate measuring parameter.

REFERENCES: 8900.1 Vol 3 Ch 31 Sec 6, 91.417(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  3  7/17/2014 4:32:19 PM, 

QID:
 00004822, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8   
Do the procedures include requirements to ensure that the following related to the AD occurs:

      #1 Specific inspections are carried out;
      #2 Conditions and limitations are complied with; and
      #3 Required actions are taken to resolve unsafe conditions?

REFERENCES: 39.11

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  3/29/2014 7:18:07 AM, 

QID:
 00004826, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
9   
Do the procedures include instructions for requesting FAA approval of an alternate method of compliance if a change affects the Operator's ability to accomplish the actions required by the AD?


REFERENCES: 8900.1 Vol 3 Ch 59 Sec 3, 39.11, 39.19

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  4/14/2016 12:42:37 PM, 

QID:
 00004830, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
10   
Do the procedures specify that a request to the FAA for an AMOC must include specific proposed actions to address the unsafe condition?


REFERENCES: AC-39-9, 39.19

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  3/29/2014 7:18:07 AM, 

QID:
 00004831, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
11   
Do the procedures specify that an AMOC or a change in the compliance time submitted to the FAA for approval must:

      #1 Provide an acceptable level of safety;
      #2 Include the specific actions proposed to address the unsafe condition; and
      #3 Be submitted to the Operator's Principal Inspector for comment and to forward the request to the manager of the office identified in the AD?

REFERENCES: 39.19

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  7/17/2014 4:32:19 PM, 

QID:
 00004833, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
12   
Do the procedures prevent the use of an alternate method of compliance unless approved by the office manager identified in the AD?


REFERENCES: 8900.1 Vol 3 Ch 59 Sec 3, 39.19

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  4/14/2016 12:42:37 PM, 

QID:
 00004837, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
13   
Do the procedures specify how to obtain information about alternative methods of compliance that have already been approved from the office responsible for approving them?


REFERENCES: 8900.1 Vol 3 Ch 59 Sec 3, 39.21

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  4/14/2016 12:42:37 PM, 

QID:
 00004838, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
14   
Do the procedures specify how to obtain authority to fly an aircraft to a repair facility to do the work required by an AD?


REFERENCES: 39.23

NOTE: This authority may be granted using OpSpecs or may be obtained from the local Flight Standards office.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  3  6/24/2019 4:11:38 PM, 

QID:
 00004839, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
15   
Do the procedures include instructions to ensure that AD requirements are followed when a conflict exists between the service document and the AD?


REFERENCES: 39.27

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  3/29/2014 7:18:09 AM, 

QID:
 00004840, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
16   
Do the procedures include instruction to ensure that products which do not meet the requirements of an applicable AD are not operated?


REFERENCES: 39.9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  4/14/2016 12:42:37 PM, 

QID:
 00004848, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
17   
Do the procedures include an AD management process that can be categorized into the following six elements:

      #1 Planning;
      #2 Support;
      #3 Provisioning;
      #4 Implementing;
      #5 Recording; and
      #6 Auditing?

REFERENCES: AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  7/17/2014 4:32:21 PM, 

QID:
 00004849, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
18   
Does the AD management program include an AD Configuration Control Board that has regular meetings, or equivalent, where action plans are:

      #1 Reviewed;
      #2 Coordinated; and
      #3 Assigned?

REFERENCES: AC-39-9

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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  7/17/2014 4:32:21 PM, 

QID:
 00004858, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
19   
Does the AD management verification process needed to ensure continued AD compliance include:

      #1 Physical verification;
      #2 Verification of records;
      #3 Meeting the criteria for inclusion into a sampling program; and
      #4 A required one-time verification?

REFERENCES: AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  7/17/2014 4:32:22 PM, 

QID:
 00004864, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
20   
Does the AD management process include procedures that:

      #1 Identify ADs that have the highest potential of alteration during normal maintenance; and
      #2 Verify continued AD compliance through an Operator-developed verification program?

REFERENCES: AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  7/17/2014 4:32:22 PM, 

QID:
 00004870, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
21   
Do the AD management procedures for an AMOC:

      #1 Identify the specific requirements needed to obtain approval;
      #2 Identify the personnel and their role in the process;
      #3 Have a concise process to ensure that deviations from the AD requirements do not occur, unless the deviations have been approved;
      #4 Ensure that compliance with ADs is recorded only after an approved AMOC has been accomplished; and
      #5 Ensure AMOC proposals are processed through the Aircraft Certification Service office for the affected airplane and responsible Flight Standards office or Principal Inspector?

REFERENCES: AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  3  6/24/2019 4:11:38 PM, 

QID:
 00004875, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
22   
Does the AD management process include requirements to consider the following during the planning element:

      #1 Unique aspects of the AD;
      #2 Specific parts or articles that require long lead times;
      #3 Impact on future inspection schedules;
      #4 Unique product or appliance aspects; and
      #5 Applicability?

REFERENCES: AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  7/17/2014 4:32:23 PM, 

QID:
 00004881, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
23   
Does the AD management process include requirements to consider the following during the planning element:

      #1 Alternative Method of Compliance;
      #2 Method of compliance to ensure the AD requirements have been met;
      #3 Physical markings to identify areas where an AD is in effect;
      #4 Service instruction review;
      #5 Possible changes to the Aircraft Maintenance Manual, Illustrated Parts Catalog, or the Wiring Diagram Manual;
      #6 Rotable spares and work performed in the shop are AD compliant, and
      #7 Labor classification and skills?

REFERENCES: AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  7/17/2014 4:32:24 PM, 

QID:
 00004887, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
24   
Does the AD management process include requirements to consider the following during the planning element:

      #1 Site-specific locations to accomplish AD;
      #2 Inspection at the point of implementation;
      #3 Audit plans for ADs that call for segmented actions; and
      #4 The use of a prototype and, if used, the people that will accomplish that process?

REFERENCES: AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  7/17/2014 4:32:24 PM, 

QID:
 00004895, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
25   
Does the AD management process identify the personnel responsible for:

      #1 Coordinating and auditing;
      #2 Maintaining technical documentation; and
      #3 Reviewing and evaluating information?

REFERENCES: AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  7/17/2014 4:32:25 PM, 

QID:
 00004900, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
26   
Does the AD management process include procedures that ensure job instructions and tasks are imparted without omissions or changes?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  3/28/2014 6:30:20 PM, 

QID:
 00004905, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
27   
Does the AD management process include procedures that ensure:

      #1 The materials specified in the AD and engineering document are provided;
      #2 Adequate capacity is available;
      #3 Adequate time to accomplish the AD requirement is available;
      #4 Appropriate work environments exist; and
      #5 The required maintenance personnel are provided?

REFERENCES: AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  7/17/2014 4:32:25 PM, 

QID:
 00004906, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
28   
Does the AD management process include procedures to make a record and archive all:

      #1 Planning;
      #2 Supporting;
      #3 Provisioning;
      #4 Implementing element documentation, and
      #5 Validation audits?

REFERENCES: AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  7/17/2014 4:32:26 PM, 

QID:
 00004917, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
29   
Does the AD management process include requirements that AD records:

      #1 Document that AD requirements have been met;
      #2 Document continued compliance with AD requirements;
      #3 Document the identification of the particular aircraft, engine, propeller, and appliance to which the AD is applicable;
      #4 Include the AD number and revision date;
      #5 Include the date and time when the required action was accomplished;
      #6 Document the specific recurring actions to be accomplished and when that specific action is due; and
      #7 Specify the AD method of compliance?

REFERENCES: AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  7/17/2014 4:32:26 PM, 

QID:
 00004924, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
30   
Does the AD management process include audit procedures to include the following sub-elements:

      #1 Audit Processing;
      #2 Audit Scheduling;
      #3 Audit Preparation;
      #4 Audit Performance; and
      #5 Audit Results Process?

REFERENCES: AC-39-9

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) ,  Rev.  2  7/17/2014 4:32:27 PM, 

QID:
 00004933, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
31   
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
32   
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
33   
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
34   
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
35   
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
36   
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
37   
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
38   
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
39   
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
40   
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
41   
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
42   
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
43   
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
44   
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
45   
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