Unscoped DCT Report (Standard DCT)


MLF Label: 4.4.3 (AW) Short-term Escalations 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 perform short-term escalations per the regulations with a high degree of safety.
Objective (FAA Responsibility): Determine if the CH will be able to; (1) Comply with regulations; (2) Perform short-term escalations per regulation with a high degree of safety.

The (AW) Short-term Escalations Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  4.4.3 (AW) Short-term Escalations
1   
Does the process design ensure the individual with responsibility provides both financial and human resources for the safety and quality performance of this element?


REFERENCES: 5.23(a), 5.25(a), 5.25(b), 5.25(c), 5.21

Safety Attribute: Management Responsibility,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/8/2019 12:47:45 PM, 

QID:
 00051915, Response Details: Responsibility ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
2   
Is the person with authority clearly identifiable, qualified and knowledgeable to effectively plan, direct and control resources, change procedures and make key determinations including safety risk acceptance decisions for this element?


REFERENCES: 5.23(a), 5.23(b), 5.25(c)

Safety Attribute: Management Authority,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/8/2019 12:47:48 PM, 

QID:
 00051916, Response Details: Authority ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
3   
Do process measurement(s) exist to evaluate the performance of this element and implement corrective action if necessary?


REFERENCES: 5.75, 5.71, 5.73

Safety Attribute: Process Measurement,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/8/2019 12:47:48 PM, 

QID:
 00051917, Response Details: Process Measurement ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
4   
Does the manual include the following for the technical evaluation and implementation of short term escalation of scheduled maintenance intervals:

      #1 Conditions;
      #2 Procedures; and
      #3 Standards?

REFERENCES: 8900.1 Vol 3 Ch 40 Sec 1, D076, 8900.1 Vol 3 Ch 37 Sec 1

NOTE: The 8900.1, Volume 3, Chapter 40, Section 1 pertains to certificate holders/applicants issued only D074/D075 operations specification. This guidance will be used when Short Term Escalation procedures are incorporated in the certificate holders/applicants reliability program (D074), in the absence of D076 operations specification.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "D076") OR (OPSPEC = "D074") OR (OPSPEC = "D075")) ,  Rev.  3  12/28/2016 10:34:16 AM, 

QID:
 00005834, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
5   
Do the procedures prohibit the use of short term escalations to compensate for:

      #1 Marketing requirements;
      #2 Flight scheduling requirements;
      #3 Poor maintenance practices; or
      #4 Poor maintenance program management?

REFERENCES: 8900.1 Vol 3 Ch 40 Sec 1, D076, 8900.1 Vol 3 Ch 37 Sec 1

NOTE: The 8900.1, Volume 3, Chapter 40, Section 1 pertains to certificate holders issued only D074/D075 operations specification. This guidance will be used when Short Term Escalation procedures are incorporated in the certificate holders reliability program (D074), in the absence of D076 operations specification.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "D076") OR (OPSPEC = "D074") OR (OPSPEC = "D075")) ,  Rev.  3  12/28/2016 10:34:16 AM, 

QID:
 00005838, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
6   
Do the procedures limit the use of short term escalations to:

      #1 The emergence of some unforeseen situation; and
      #2 Those which can be supported solely on a technical analysis?

REFERENCES: 8900.1 Vol 3 Ch 40 Sec 1, D076, 8900.1 Vol 3 Ch 37 Sec 1

NOTE: The 8900.1, Volume 3, Chapter 40, Section 1 pertains to certificate holders issued only D074/D075 operations specification. This guidance will be used when Short Term Escalation procedures are incorporated in the certificate holders reliability program (D074), in the absence of D076 operations specification.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "D076") OR (OPSPEC = "D074") OR (OPSPEC = "D075")) ,  Rev.  3  12/28/2016 10:34:17 AM, 

QID:
 00005843, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
7   
Do the procedures prohibit the use of short term scheduled maintenance interval escalations on a:

      #1 Large scale (escalating numerous aircraft at once); or
      #2 Repetitive basis to the extent that it results in a fleet interval extension?

REFERENCES: 8900.1 Vol 3 Ch 40 Sec 1, D076, 8900.1 Vol 3 Ch 37 Sec 1

NOTE: The 8900.1, Volume 3, Chapter 40, Section 1 pertains to certificate holders issued only D074/D075 operations specification. This guidance will be used when Short Term Escalation procedures are incorporated in the certificate holders reliability program (D074), in the absence of D076 operations specification.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "D076") OR (OPSPEC = "D074") OR (OPSPEC = "D075")) ,  Rev.  3  12/28/2016 10:34:17 AM, 

QID:
 00005846, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8   
Do the procedures include limiting the escalation of scheduled maintenance tasks to a maximum 10 percent, not to exceed 500 hours time-in-service?


REFERENCES: 8900.1 Vol 3 Ch 37 Sec 1, 8900.1 Vol 3 Ch 40 Sec 1, D076

NOTE: The 8900.1, Volume 3, Chapter 40, Section 1 pertains to certificate holders issued only D074/D075 operations specification. This guidance will be used when Short Term Escalation procedures are incorporated in the certificate holders reliability program (D074), in the absence of D076 operations specification.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "D076") OR (OPSPEC = "D074") OR (OPSPEC = "D075")) ,  Rev.  3  12/28/2016 10:34:17 AM, 

QID:
 00005849, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
9   
Do the procedures prohibit the use of short-term escalation authorizations when the sole justification is a military contract requirement?


REFERENCES: 8900.1 Vol 3 Ch 37 Sec 1, 8900.1 Vol 3 Ch 40 Sec 1, D076

NOTE: The certificate holder may use this authorization during operations under a U.S. military contract for situations that are unanticipated or unforeseen as prescribed in their manual. The 8900.1, Volume 3, Chapter 40, Section 1 pertains to certificate holders issued only D074/D075 operations specification. This guidance will be used when Short Term Escalation procedures are incorporated in the certificate holders reliability program (D074), in the absence of D076 operations specification.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "D076") OR (OPSPEC = "D074") OR (OPSPEC = "D075")) ,  Rev.  4  6/24/2019 4:43:52 PM, 

QID:
 00005850, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
10   
Do the procedures prohibit escalating the following scheduled maintenance intervals:

      #1 Intervals specified by FAA AD;
      #2 Life limits specified by type-certificate data sheets;
      #3 Certification Maintenance Requirements (CMR) (unless specifically allowed and designated by the CMR document);
      #4 Structural sampling periods imposed by Maintenance Review Boards (MRB);
      #5 Airworthiness Limitations (AL/AWL/ALI);
      #6 Critical Design Configuration Control Limitations (CDCCL);
      #7 Interval limitations specified by Minimum Equipment Lists (MEL) or Configuration Deviation Lists (CDL); and
      #8 Failure Effect Categories (FEC) 5 and 8 tasks identified or “tagged” in the MRB Report (MRBR) (or equivalent) as satisfying a Candidate CMR (CCMR). These tasks must not be escalated beyond the interval that would otherwise be required by the CMR. (Coordination with the Original Equipment Manufacturer (OEM) may be required.)

REFERENCES: 8900.1 Vol 3 Ch 40 Sec 1, D076, 8900.1 Vol 3 Ch 37 Sec 1

NOTE: The 8900.1, Volume 3, Chapter 40, Section 1 pertains to certificate holders issued only D074/D075 operations specification. This guidance will be used when Short Term Escalation procedures are incorporated in the certificate holders reliability program (D074), in the absence of D076 operations specification.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "D076") OR (OPSPEC = "D074") OR (OPSPEC = "D075")) ,  Rev.  5  6/25/2020 10:02:49 AM, 

QID:
 00005851, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
11   
Do the procedures include criteria to define the type of data acceptable to justify a short-term escalation?


REFERENCES: 8900.1 Vol 3 Ch 37 Sec 1, 8900.1 Vol 3 Ch 40 Sec 1, D076

NOTE: The 8900.1, Volume 3, Chapter 40, Section 1 pertains to certificate holders issued only D074/D075 operations specification. This guidance will be used when Short Term Escalation procedures are incorporated in the certificate holders reliability program (D074), in the absence of D076 operations specification.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "D076") OR (OPSPEC = "D074") OR (OPSPEC = "D075")) ,  Rev.  2  12/28/2016 10:34:19 AM, 

QID:
 00005858, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
12   
Do the procedures ensure that short-term escalations are not authorized without supporting data?


REFERENCES: 8900.1 Vol 3 Ch 37 Sec 1, 8900.1 Vol 3 Ch 40 Sec 1, D076

NOTE: The 8900.1, Volume 3, Chapter 40, Section 1 pertains to certificate holders issued only D074/D075 operations specification. This guidance will be used when Short Term Escalation procedures are incorporated in the certificate holders reliability program (D074), in the absence of D076 operations specification.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "D076") OR (OPSPEC = "D074") OR (OPSPEC = "D075")) ,  Rev.  2  12/28/2016 10:34:18 AM, 

QID:
 00005859, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
13   
Do the procedures ensure that an escalation will not create an unsafe condition?


REFERENCES: 8900.1 Vol 3 Ch 37 Sec 1, 8900.1 Vol 3 Ch 40 Sec 1, D076

NOTE: The 8900.1, Volume 3, Chapter 40, Section 1 pertains to certificate holders issued only D074/D075 operations specification. This guidance will be used when Short Term Escalation procedures are incorporated in the certificate holders reliability program (D074), in the absence of D076 operations specification.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "D076") OR (OPSPEC = "D074") OR (OPSPEC = "D075")) ,  Rev.  2  12/28/2016 10:34:18 AM, 

QID:
 00005860, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
14   
Do the procedures restrict repetitive short-term escalations that would indicate the need for a revision to the maintenance program?


REFERENCES: 8900.1 Vol 3 Ch 37 Sec 1, 8900.1 Vol 3 Ch 40 Sec 1, D076

NOTE: The 8900.1, Volume 3, Chapter 40, Section 1 pertains to certificate holders issued only D074/D075 operations specification. This guidance will be used when Short Term Escalation procedures are incorporated in the certificate holders reliability program (D074), in the absence of D076 operations specification.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "D076") OR (OPSPEC = "D074") OR (OPSPEC = "D075")) ,  Rev.  2  12/28/2016 10:34:18 AM, 

QID:
 00005861, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
15   
Do the procedures specify a method to:

      #1 Record all escalations; and
      #2 Submit and report each request or use of an escalation to the responsible Flight Standards office?

REFERENCES: 8900.1 Vol 3 Ch 37 Sec 1, 8900.1 Vol 3 Ch 40 Sec 1, D076

NOTE: The 8900.1, Volume 3, Chapter 40, Section 1 pertains to certificate holders issued only D074/D075 operations specification. This guidance will be used when Short Term Escalation procedures are incorporated in the certificate holders reliability program (D074), in the absence of D076 operations specification.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "D076") OR (OPSPEC = "D074") OR (OPSPEC = "D075")) ,  Rev.  4  6/24/2019 4:43:52 PM, 

QID:
 00005862, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
16   
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
17   
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
18   
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
19   
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  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
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