Unscoped DCT Report (Standard DCT)


MLF Label: 4.3.4 (AW) Major Repairs & Alterations 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 use approved/acceptable data to accomplish major repairs, major alterations, and generate the appropriate records/reports.
Objective (FAA Responsibility): Determine if the CH will be able to; (1) Comply with regulations; (2) Accomplish major repairs and major alterations using approved/acceptable data; (3) Generate the appropriate major repair and major alteration records/reports.

The (AW) Major Repairs & Alterations Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  4.3.4 (AW) Major Repairs & Alterations
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 include a classification method to assess each alteration and repair as major or minor?


REFERENCES: 8900.1 Vol 3 Ch 43 Sec 1, AC-120-16, 121.135(b), 121.369(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  5/21/2014 10:25:14 PM, 

QID:
 00005437, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
5   
Do the procedures specify that an alteration not listed in the aircraft, aircraft engine, or propeller specifications be classified as major, if it:

      #1 Appreciably affects weight, balance, structural strength, performance, powerplant operation, flight characteristics, or other qualities affecting airworthiness;
      #2 Is not done according to accepted practices;
      #3 Cannot be done by elementary operations; or
      #4 Is listed in 14 CFR Part 43 Appendix A(a)?

REFERENCES: 1.1, 43 Appendix A

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  6/25/2020 9:58:09 AM, 

QID:
 00005438, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
6   
Do the procedures specify a repair to be classified as major if it is:

      #1 Improperly done or might appreciably affect weight, balance, structural strength, performance, powerplant operation, flight characteristics, or other qualities affecting airworthiness;
      #2 Is not done according to accepted practices;
      #3 Cannot be done by elementary operations; or
      #4 Is listed in 14 CFR Part 43 Appendix A(b)?

REFERENCES: 1.1, 43 Appendix A

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  6/25/2020 9:58:09 AM, 

QID:
 00005443, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
7   
Do the procedures include requirements that ensure that major repairs or alterations are returned to service using FAA-approved technical data?


REFERENCES: 121.379(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

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

QID:
 00005448, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8   
Do the procedures specify what FAA-approved technical data is?


REFERENCES: 8300.16

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  1/13/2016 3:13:21 PM, 

QID:
 00005449, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
9   
Do the procedures specify how the FAA-approved technical data will be obtained?


REFERENCES: 8300.16

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  1/13/2016 3:13:21 PM, 

QID:
 00005450, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
10   
Do the procedures require that maintenance manual revisions are coordinated with their engineering organizations or equivalent?


REFERENCES: AC-120-77

NOTE: The engineers document the damage, condition, or contemplated action; conduct a technical analysis to determine whether the change would comply with the pertinent airworthiness standards (i.e., Parts 25, 33, etc.); and classify the maintenance action, alteration action, or continue-in-service condition as major or minor. If major, the technical and substantiating data supporting the change must be approved by the Administrator.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  5/21/2014 10:25:16 PM, 

QID:
 00005451, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
11   
Do the engineering procedures require documentation of the following when developing technical and substantiating data:

      #1 The damage or alteration;
      #2 The condition or contemplated action;
      #3 A technical analysis to determine whether the change would comply with the pertinent airworthiness standards; and
      #4 A classification of the maintenance action, alteration action, or continue-in-service condition as major or minor?

REFERENCES: AC-120-77

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  6/25/2020 9:58:09 AM, 

QID:
 00005452, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
12   
Do the procedures include requirements specifying that when Repair Stations develop technical and substantiating data on behalf of the Operator, that data must be evaluated, documented, and approved according to the Operator's procedures?


REFERENCES: 8900.1 Vol 3 Ch 43 Sec 1, AC-120-77, 121.367(a), 121.379(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  5/21/2014 10:25:19 PM, 

QID:
 00005457, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
13   
Do the procedures specify Canadian Aircraft Maintenance Engineers may not approve major repairs or alterations for return to service?


REFERENCES: 43.17(e)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) AND ( PERSONNEL = "CANADIAN PERSONS TO PERFORM MAINTENANCE, PREVENTIVE MAINTENANCE OR ALTERATIONS ON U.S. AERONAUTICAL PRODUCTS" ) ,  Rev.  3  3/15/2017 9:13:56 AM, 

QID:
 00005458, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
14   
Do the procedures include a system for the preservation and retrieval of information that provides:

      #1 A description, or reference to data acceptable to the Administrator, of the work performed;
      #2 The name of the person performing the work, if the work is performed by a person outside the certificate holder's organization; and
      #3 The name or other positive identification of the individual approving the work?

REFERENCES: 121.369(c)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  6/25/2020 9:58:10 AM, 

QID:
 00005459, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
15   
Do the procedures specify that the Operator must prepare a report at the completion of each major repair or alteration of an airframe, aircraft engine, propeller, or appliance of an aircraft it operates?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 5, 121.707(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

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

QID:
 00005463, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
16   
Do the procedures specify that the certificate holder must:

      #1 Submit a copy of each report of a major alteration to the FAA-representative who is assigned to the certificate holder; and
      #2 Keep a copy of each report of a major repair available for inspection by the FAA-representative who is assigned to the certificate holder?

REFERENCES: 8900.1 Vol 3 Ch 31 Sec 5, 121.707(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  6/25/2020 9:58:10 AM, 

QID:
 00005464, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
17   
Do the procedures specify that an Operator must keep a list of major alterations for the airframe, engine, appliances, and propellers?


REFERENCES: 121.380(a), 121.380(c)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  5/21/2014 10:26:22 PM, 

QID:
 00005467, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
18   
Do the procedures require retention of the current major alterations list and its transfer at the time the aircraft is sold?


REFERENCES: 121.380(c)

Safety Attribute: Procedures,  Question Type: Output Validation,  

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

QID:
 00005468, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
19   
Do the procedures require that technical personnel be qualified through training, experience, and expertise?


REFERENCES: 119.65(d), 121.375

Safety Attribute: Procedures,  Question Type: Output Validation,  

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

QID:
 00005469, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
20   
Do the procedures require software modifications that affect the safe operation of the aircraft to be treated as major alterations?


REFERENCES: 8900.1 Vol 6 Ch 11 Sec 19

Safety Attribute: Procedures,  Question Type: Output Validation,  

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

QID:
 00005470, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
21   
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
22   
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
23   
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
24   
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