Unscoped DCT Report (Standard DCT)


MLF Label: 2.1.3 (OP) Simulators/Training Devices DCT Type: EP DCT Specialty: Operations Peer Group: B - Part 135 (10 or More Seats) DCT Revision: 19.0 on 06/22/21 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To use full flight simulators, flight training devices, and training aids that meet the requirements of the training programs.
Objective (FAA Responsibility): Determine; (1) If the CH followed the accepted or approved process; (2) If the CH used full flight simulators, flight training devices, and training aids that met the requirements of the training programs.

 (OP) Simulators/Training Devices Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  2.1.3 (OP) Simulators/Training Devices
1   
Were financial and human resources provided to ensure the safety and quality performance of this element?


REFERENCES: AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3

Safety Attribute: Responsibility,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/15/2019 9:08:44 AM, 

QID:
 00051936, Response Details: Responsibility ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
2   
Were financial and human resources provided to ensure the safety and quality performance of this element?


Safety Attribute: 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  3/15/2019 9:08:43 AM, 

QID:
 00051950, Response Details: Responsibility ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
3   
Did the person with authority over the certificate holder's process effectively plan, direct and control resources, or 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: Authority,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" OR "145" OR "141" OR "142" OR "147") AND (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/15/2019 9:08:43 AM, 

QID:
 00051937, Response Details: Authority ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
4   
Did the person with authority over the certificate holder's process effectively plan, direct and control resources, or change procedures and make key determinations including safety risk acceptance decisions for this element?


Safety Attribute: 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  3/15/2019 9:08:44 AM, 

QID:
 00051951, Response Details: Authority ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
5   
Were the certificate holder's process measurement(s) used to evaluate the performance of this element and if necessary, implement corrective action?


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  3/15/2019 9:08:44 AM, 

QID:
 00051938, Response Details: Process Measurement ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
6   
Were the certificate holder's process measurement(s) used to evaluate the performance of this element and if necessary, implement corrective action?


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  3/15/2019 9:08:44 AM, 

QID:
 00051952, Response Details: Process Measurement ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
7   
Were only approved simulators and training devices, and training courses using aircraft simulators and training devices, used in the certificate holder's training program?


REFERENCES: 8900.1 Vol 3 Ch 19 Sec 1, 135.323(e), 135.335(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (TRAINING EQUIPMENT = "FLIGHT SIMULATORS" OR "FLIGHT TRAINING DEVICES") AND NOT (TRAINING PROGRAMS = "PILOT TRAINING UNDER 121 N&O ONLY") ,  Rev.  7  6/22/2021 2:26:39 PM, 

QID:
 00012212, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
8   
Were only FAA-assigned qualification level simulators or flight training devices used in the Advanced Qualification Program (AQP) training for:

      #1 Conducting proficiency evaluations;
      #2 Training to proficiency;
      #3 Determining if an individual or crew was ready for a proficiency evaluation;
      #4 Meeting recency of experience requirements; and
      #5 Conducting Line Operational Simulations (LOS)?

REFERENCES: A034, 121.921(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") AND (AQP = "PILOT") ,  Rev.  3  12/29/2020 1:18:37 PM, 

QID:
 00012417, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
9   
Were training devices used in AQP part of an approved continuing program that provided serviceability and fitness to perform its intended function?


REFERENCES: 121.921(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") AND (AQP = "PILOT") ,  Rev.  3  12/29/2020 1:18:37 PM, 

QID:
 00012423, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
10   
Did the training courses using aircraft simulators and other training devices receive approval by the FAA before being included in the certificate holder's training programs?


REFERENCES: 135.327(b), 135.335(d)

NOTE: In granting initial and final approval or revisions of training programs, the FAA considers the training devices, methods, and procedures listed in the certificate holder's curriculum required under 135.327.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (TRAINING EQUIPMENT = "FLIGHT SIMULATORS" OR "FLIGHT TRAINING DEVICES") AND NOT (TRAINING PROGRAMS = "PILOT TRAINING UNDER 121 N&O ONLY") ,  Rev.  6  6/22/2021 2:26:57 PM, 

QID:
 00012431, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
11   
Did each aircraft simulator and other training devices used in a training course or in checks receive specific approval for:

      #1 The certificate holder; and
      #2 The particular maneuver, procedure, or crewmember function involved?

REFERENCES: 8900.1 Vol 3 Ch 19 Sec 6, 135.335(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (TRAINING EQUIPMENT = "FLIGHT SIMULATORS" OR "FLIGHT TRAINING DEVICES") AND NOT (TRAINING PROGRAMS = "PILOT TRAINING UNDER 121 N&O ONLY") ,  Rev.  6  6/22/2021 2:26:58 PM, 

QID:
 00012432, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
12   
Did the simulator or other training devices used maintain the performance, function, and other characteristics required for approval?


REFERENCES: 135.335(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (TRAINING EQUIPMENT = "FLIGHT SIMULATORS" OR "FLIGHT TRAINING DEVICES") AND NOT (TRAINING PROGRAMS = "PILOT TRAINING UNDER 121 N&O ONLY") ,  Rev.  7  6/22/2021 2:26:59 PM, 

QID:
 00012435, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
13   
Were the aircraft simulators used in a training course or in checks:

      #1 Approved for the type of aircraft and, if applicable, the particular variation within the type for which the training or check was conducted; and
      #2 Modified to conform to any modification of the aircraft being simulated that changes the performance, function, or other characteristics required for approval?

REFERENCES: 135.335(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (TRAINING EQUIPMENT = "FLIGHT SIMULATORS") AND NOT (TRAINING PROGRAMS = "PILOT TRAINING UNDER 121 N&O ONLY") ,  Rev.  5  6/22/2021 2:27:00 PM, 

QID:
 00012436, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
14   
Were all the training devices or flight simulators used by the certificate holder or training center properly evaluated and approved for the AQP?


REFERENCES: A034, 121.921

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") AND (AQP = "PILOT") ,  Rev.  2  12/29/2020 1:18:33 PM, 

QID:
 00012582, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
15   
Did each FSTD used to satisfy a training requirement in an approved training program:

      #1 Maintain the performance, function, and other characteristics as required for qualification in accordance with 14 CFR part 60;
      #2 Get modified in accordance with 14 CFR part 60 to conform with any modification to the airplane being simulated that results in changes to performance, function, or other characteristics required for qualification;
      #3 Undergo a daily functional preflight check before being used; and
      #4 Have a daily discrepancy log kept with each discrepancy entered by the appropriate instructor or check airman at the end of each training or check flight?

REFERENCES: A034, 121.407(a), 60.20, 60.25

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ((FAR PART = "121") AND (AQP = "PILOT")) OR ((FAR PART = "135") AND (TRAINING PROGRAMS = "PILOT TRAINING UNDER 121 N&O ONLY" OR "PILOT TRAINING UNDER BOTH 135 AND 121 N&O") AND (AQP = "PILOT")) ,  Rev.  5  12/29/2020 1:18:34 PM, 

QID:
 00012595, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
16   
Was each FSTD specifically approved for the certificate holder for:

      #1 Use in the certificate holder's approved training program;
      #2 The type airplane and, if applicable, the particular variation within type for which the training or check is being conducted; and
      #3 The particular maneuver, procedure, or flightcrew member function involved?

REFERENCES: A034, 121.407(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ((FAR PART = "121") AND (AQP = "PILOT")) OR ((FAR PART = "135") AND (TRAINING PROGRAMS = "PILOT TRAINING UNDER 121 N&O ONLY" OR "PILOT TRAINING UNDER BOTH 135 AND 121 N&O") AND (AQP = "PILOT")) ,  Rev.  3  12/29/2020 1:18:34 PM, 

QID:
 00050587, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
17   
Was each FSTD specifically approved for the certificate holder for:

      #1 Use in the certificate holder's approved training program;
      #2 The type airplane and, if applicable, the particular variation within type, for which the training or checking is being conducted; and
      #3 The particular maneuver, procedure, or flightcrew member function involved?

REFERENCES: 121.407(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ((FAR PART = "121") AND (TRAINING EQUIPMENT = "FLIGHT SIMULATORS" OR "FLIGHT TRAINING DEVICES")) OR ((FAR PART = "135") AND (TRAINING EQUIPMENT = "FLIGHT SIMULATORS" OR "FLIGHT TRAINING DEVICES") AND (TRAINING PROGRAMS = "PILOT TRAINING UNDER 121 N&O ONLY" OR "PILOT TRAINING UNDER BOTH 135 AND 121 N&O")) ,  Rev.  3  12/29/2020 1:18:35 PM, 

QID:
 00050595, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
18   
Did each FSTD used to satisfy a training requirement in an approved training program:

      #1 Maintain performance, function, and other characteristics as required for qualification in accordance with 14 CFR part 60;
      #2 Get modified in accordance with 14 CFR part 60 to conform with any modification to the airplane being simulated that results in changes to performance, function, or other characteristics required for qualification;
      #3 Undergo a daily functional preflight check before being used; and
      #4 Have a daily discrepancy log kept with each discrepancy entered by the appropriate instructor or check airman at the end of each training or check flight?

REFERENCES: 121.407(a), 60.20, 60.25

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ((FAR PART = "121") AND (TRAINING EQUIPMENT = "FLIGHT SIMULATORS" OR "FLIGHT TRAINING DEVICES")) OR ((FAR PART = "135") AND (TRAINING EQUIPMENT = "FLIGHT SIMULATORS" OR "FLIGHT TRAINING DEVICES") AND (TRAINING PROGRAMS = "PILOT TRAINING UNDER 121 N&O ONLY" OR "PILOT TRAINING UNDER BOTH 135 AND 121 N&O")) ,  Rev.  2  6/25/2020 9:59:09 AM, 

QID:
 00050621, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
19   
Did the certificate holder follow policies, procedures, instructions and information for this element?


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  3/15/2019 9:08:43 AM, 

QID:
 00051933, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
20   
Did the certificate holder follow policies, procedures, instructions and information for this element?


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  3/15/2019 9:08:43 AM, 

QID:
 00051947, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
21   
Was training and checking, under an advanced simulation training program, permitted in Level B, C, and D FFSs (as applicable) in accordance with 14 CFR part 121 Appendix H?


REFERENCES: 121 Appendix H

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ((FAR PART = "121") AND (TRAINING EQUIPMENT = "ADVANCED SIMULATION")) OR ((FAR PART = "135") AND (TRAINING EQUIPMENT = "FLIGHT SIMULATORS") AND (TRAINING PROGRAMS = "PILOT TRAINING UNDER 121 N&O ONLY" OR "PILOT TRAINING UNDER BOTH 135 AND 121 N&O")) ,  Rev.  2  6/25/2020 10:01:16 AM, 

QID:
 00052208, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
22   
Did the controls effectively mitigate unacceptable risk(s) for this element?


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  3/15/2019 9:08:43 AM, 

QID:
 00051934, Response Details: Controls ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
23   
Did the controls effectively mitigate unacceptable risk(s) for this element?


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  3/15/2019 9:08:43 AM, 

QID:
 00051948, Response Details: Controls ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
24   
Were the certificate holder's interfaces effective 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  3/15/2019 9:08:43 AM, 

QID:
 00051935, Response Details: Interfaces ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
25   
Were the certificate holder's interfaces effective 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  3/15/2019 9:08:43 AM, 

QID:
 00051949, Response Details: Interfaces ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
26   
Did individuals understand their role and contribute 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  3/15/2019 9:08:43 AM, 

QID:
 00051939, Response Details: Safety Ownership ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
27   
Did individuals understand their role and contribute 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  3/15/2019 9:08:44 AM, 

QID:
 00051953, Response Details: Safety Ownership ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable


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  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  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  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  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  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  N/A Response Detail (Released, 2.0)
1 Not applicable or authorized for the certificate holder or applicant
2 Other
Response Details List  N/O Response Detail (Released, 2.0)
1 Personnel (e.g., key certificate holder personnel not present/available)
2 Equipment (e.g., equipment not present/available/in serviceable condition)
3 Event did not occur (e.g., did not observe an intoxicated passenger on the flight)
4 Time Constraints (e.g., resources/workload)
5 Weather (e.g., weather needed for observation not present or weather made observation impossible)
6 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