Unscoped DCT Report (Standard DCT)


MLF Label: 3.2.3 (OP) Special Navigation Areas of Operation
DCT Type: EP DCT
Specialty: Operations
Peer Group: A - Part 121 Air Operators
DCT Revision: 8.0 on 03/15/19 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To conduct special navigational operations as authorized in OpSpecs.
Objective (FAA Responsibility): Determine; (1) If the CH followed the accepted or approved process; (2) If the CH conducted special navigational operations as authorized in OpSpecs.


The (OP) Special Navigation Areas of Operation Subsystem includes the following Element(s)


Questions Answers References
  3.2.3 (OP) Special Navigation Areas of Operation
1   
Were financial and human resources provided to ensure the safety and quality performance of this element?




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

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/15/2019 9:08:42 AM, 

QID:
 00051922, Response Details: Responsibility ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
5.23(a), 5.25(a), 5.25(b), 5.25(c), 5.21
2   
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: Management Authority,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/15/2019 9:08:43 AM, 

QID:
 00051923, Response Details: Authority ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
5.23(a), 5.23(b), 5.25(c)
3   
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 = "121") ,  Rev.  2  3/15/2019 9:08:43 AM, 

QID:
 00051924, Response Details: Process Measurement ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
5.75, 5.71, 5.73
4   
Verify that the flight crewmembers who operated within areas of special navigation were trained to perform their duties.




Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND ((TYPE 119 OPERATION = "DOMESTIC") OR (TYPE 119 OPERATION = "FLAG")) AND ((OPSPEC = "B036") OR (OPSPEC = "B037") OR (OPSPEC = "B038") OR (OPSPEC = "B039") OR (OPSPEC = "B040") OR (OPSPEC = "B041") OR (OPSPEC = "B054") OR (OPSPEC = "B055") OR (OPSPEC = "C050")) ,  Rev.  2  7/10/2017 12:06:44 PM, 

QID:
 00013437, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies
  Not Observable
  Not Applicable
8900.1 Vol 4 Ch 1 Sec 5, 121.445, 121.683
5   
Verify that the dispatchers assigned to areas of special navigation were trained to perform their duties.




Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND ((TYPE 119 OPERATION = "DOMESTIC") OR (TYPE 119 OPERATION = "FLAG")) AND ((OPSPEC = "B036") OR (OPSPEC = "B037") OR (OPSPEC = "B038") OR (OPSPEC = "B039") OR (OPSPEC = "B040") OR (OPSPEC = "B041") OR (OPSPEC = "B054") OR (OPSPEC = "B055") OR (OPSPEC = "C050")) ,  Rev.  2  7/10/2017 12:06:44 PM, 

QID:
 00013438, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies
  Not Observable
  Not Applicable
121.135(b), 121.683
6   
Verify that the flight followers assigned to areas of special navigation were trained to perform their duties.




Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND ((TYPE 119 OPERATION = "SUPPLEMENTAL") OR (TYPE 119 OPERATION = "FLAG")) AND ((OPSPEC = "B036") OR (OPSPEC = "B037") OR (OPSPEC = "B038") OR (OPSPEC = "B039") OR (OPSPEC = "B040") OR (OPSPEC = "B041") OR (OPSPEC = "B054") OR (OPSPEC = "B055") OR (OPSPEC = "C050")) ,  Rev.  2  7/10/2017 12:06:45 PM, 

QID:
 00013439, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies
  Not Observable
  Not Applicable
121.135(b), 121.683
7   
Did the aircraft that operated in special navigation areas meet the requirements for those operations?




Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "B036") OR (OPSPEC = "B037") OR (OPSPEC = "B038") OR (OPSPEC = "B039") OR (OPSPEC = "B040") OR (OPSPEC = "B041") OR (OPSPEC = "B054") OR (OPSPEC = "B055") OR (OPSPEC = "C050")) ,  Rev.  3  7/10/2017 12:06:43 PM, 

QID:
 00013440, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
8900.1 Vol 4 Ch 1 Sec 5
8   
Were the required flight crewmember actions accomplished before and after flights entered special navigation areas of operation?




Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "B036") OR (OPSPEC = "B037") OR (OPSPEC = "B038") OR (OPSPEC = "B039") OR (OPSPEC = "B040") OR (OPSPEC = "B041") OR (OPSPEC = "B054") OR (OPSPEC = "B055") OR (OPSPEC = "C050")) ,  Rev.  2  7/10/2017 12:06:45 PM, 

QID:
 00013441, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
8900.1 Vol 4 Ch 1 Sec 5, 121.445
9   
Verify that the flights were planned and operated according to the applicable provisions and limitations of the issued OpSpecs.




Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND ((OPSPEC = "B036") OR (OPSPEC = "B037") OR (OPSPEC = "B038") OR (OPSPEC = "B039") OR (OPSPEC = "B040") OR (OPSPEC = "B041") OR (OPSPEC = "B054") OR (OPSPEC = "B055") OR (OPSPEC = "C050")) ,  Rev.  2  7/10/2017 12:06:46 PM, 

QID:
 00013442, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies
  Not Observable
  Not Applicable
8900.1 Vol 4 Ch 1 Sec 5
10   
Did the certificate holder follow policies, procedures, instructions and information for this element?




Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/15/2019 9:08:42 AM, 

QID:
 00051919, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
11   
Did the controls effectively mitigate unacceptable risk(s) for this element?




Safety Attribute: Controls,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/15/2019 9:08:42 AM, 

QID:
 00051920, Response Details: Controls ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
5.51, 5.53, 5.55
12   
Were the certificate holder's interfaces effective for this element?




Safety Attribute: Interfaces,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/15/2019 9:08:42 AM, 

QID:
 00051921, Response Details: Interfaces ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
13   
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 = "121") ,  Rev.  2  3/15/2019 9:08:43 AM, 

QID:
 00051925, Response Details: Safety Ownership ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
5.23(a), 5.91, 5.93


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/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  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