Unscoped DCT Report (Standard DCT)


MLF Label: 1.4.2 Certificate Requirements
DCT Type: ED DCT
Specialty: Airworthiness
Peer Group: F - Part 145 Within US
DCT Revision: 12.0 on 03/08/19 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To keep OpSpecs, organizational charts, and capability lists up to date and available.
Objective (FAA Responsibility): Determine if the CH will be able to; (1) Comply with regulations; (2) Keep OpSpecs, organizational charts, and capability lists up to date and available.


The Certificate Requirements Subsystem includes the following Element(s)


Questions Answers References
  1.4.2 Certificate Requirements
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?




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
AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3
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?




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
AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3
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?




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
AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3
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 procedures require the organizational chart be kept current and available for inspection by the FAA?




Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "145" ) ,  Rev.  3  12/14/2018 11:18:16 AM, 

QID:
 00001202, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8900.1 Vol 6 Ch 9 Sec 2, 8900.1 Vol 6 Ch 9 Sec 4, AC-145-9, 145.209(a)
8   
Does the Repair Station Manual include consistent position titles throughout the manual?




Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "145" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00001203, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-145-9
9   
Do the procedures require supervisors to oversee the work performed by any individuals unfamiliar with the methods, techniques, practices, aids, equipment, and tools used to perform that work?




Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "145" ) ,  Rev.  2  12/14/2018 11:18:17 AM, 

QID:
 00001204, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8900.1 Vol 6 Ch 9 Sec 13, AC-145-9, 145.153(a)
10   
Do the procedures require the Repair Station to be rated for all articles maintained or altered and have all required special technical data, equipment, or facilities?




Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "145" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00001225, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
AC-145-9, 145.201(b)
11   
Do the procedures require the Repair Station to train all "HAZMAT employees?




Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "145" ) AND ( HAZMAT = "HAZMAT EMPLOYER" ) ,  Rev.  2  3/29/2014 7:43:42 AM, 

QID:
 00001226, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8900.1 Vol 2 Ch 2 Sec 6, 145.53(c)
12   
Do the procedures require acknowledgement of receipt of the 14 CFR Part 121 or 14 CFR Part 135 Operator notification before performing work for, or on behalf of that Operator?




Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "145" ) AND ( HAZMAT = "HAZMAT EMPLOYER" ) ,  Rev.  2  3/29/2014 7:44:51 AM, 

QID:
 00001227, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
121.1005(e), 135.505(e), 145.206(a)
13   
Do the procedures require that contracts with noncertificated persons, for the performance of maintenance, include provisions that the FAA may make an inspection and observe the performance of the noncertificated person's work on the article?




Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "145" ) AND ( OTHER CERTIFICATES OR APPROVALS = "CONTRACTS MAINTENANCE TO NONCERTIFICATED CONTRACTOR" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00001228, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
145.223(b)
14   
Do the procedures require the Repair Station to remain within the limitations of its ratings and OpSpecs when performing:

      #1 Maintenance;
      #2 Preventative maintenance; or
      #3 Alterations?



Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "145" ) ,  Rev.  3  3/15/2017 9:13:59 AM, 

QID:
 00001229, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
145.201
15   
Do the procedures require line maintenance for 14 CFR Part 121, 135, or 129 to only be performed when the Repair Station has been authorized by OpSpec D107?




Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "145" ) AND ( OPSPEC = "D107" ) ,  Rev.  3  3/15/2017 9:13:58 AM, 

QID:
 00001234, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8900.1 Vol 6 Ch 9 Sec 4, AC-145-9, D107, 145.205(d)
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 = "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
17   
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
18   
Do procedures require the capability list to be kept current and available for inspection by the FAA?




Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "145") AND (OTHER CERTIFICATES OR APPROVALS = "CAPABILITY LIST") ,  Rev.  1  12/14/2018 11:18:16 AM, 

QID:
 00054493, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8900.1 Vol 6 Ch 9 Sec 4, AC-145-9, 145.215
19   
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 (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
AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3
20   
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
21   
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
22   
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
23   
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 (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
AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3
24   
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