Unscoped DCT Report (Standard DCT)


MLF Label: 3.2.3 (OP) Special Navigation Areas of Operation
DCT Type: EP DCT
Specialty: Operations
Peer Group: D - Part 135 (9 or Less Seats/Single Pilot)
DCT Revision: 12.0 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   
Best describe how the certificate holder followed its procedures relating to assigning a qualified PIC to a route that required a special type of navigation qualification.




NOTE: Within the preceding 12 calendar months, the pilot assigned to the route must have demonstrated qualification on the applicable navigation system in a manner acceptable to the Administrator by one of the following methods: -Flying over a route or area as PIC using the applicable special type of navigation system; -Flying over a route or area as PIC under the supervision of a check airman using the special type of navigation system; or -Completing the training program requirements.

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "B050" ) AND ( OPSPEC = "B036" OR "B037" OR "B038" OR "B039" OR "B040" OR "B041" OR "B054" ) ,  Rev.  3  12/14/2018 11:52:21 AM, 

QID:
 00013443, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Consistently followed the procedures
  Some steps were missed or not followed
  Procedures were not consistently followed or adequate
  Not Observable
  Not Applicable
B036, B037, B038, B039, B040, B050, B054, 135.99, 91.703
2   
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 = "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
AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3
3   
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 = "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
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: 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  3/15/2019 9:08:43 AM, 

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

  Yes
  No
  Not Observable
AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3
5   
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 = "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
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 (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
AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3
7   
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
8   
Were the required flight crewmember actions accomplished before and after entering Special Navigation Areas of Operation, including:

      #1 All Class II navigation operations were conducted so the aircraft was continuously navigated to the degree of accuracy or RNP type required for ATC;
      #2 The aircraft position was accurately fixed using airways navigation facilities or ATC radar prior to entering any airspace requiring the use of a long-range navigation system;
      #3 The aircraft position was accurately fixed and the long-range navigation system error was determined and logged according to the Operator's approved procedures after exiting this airspace; and
      #4 At least one of the required navigation system configurations was installed and operational at dispatch?



Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND (( OPSPEC = "B050" ) AND (OPSPEC = "B036" OR "B037" OR "B038" OR "B039" OR "B040" OR "B054") ) ,  Rev.  3  2/27/2019 12:08:14 PM, 

QID:
 00013444, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
B036, B037, B038, B039, B040, B050, B054, 91.703
9   
Verify that the flight crewmembers who were assigned to operate within Special Navigation Areas of Operation were trained and qualified.




Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "B050" ) AND (OPSPEC = "B036" OR "B037" OR "B038" OR "B039" OR "B040" OR "B054") ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00013449, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Records show the assigned crewmembers were appropriately qualified
  Records did not show the assigned crewmembers were qualified
  Not Observable
  Not Applicable
8900.1 Vol 4 Ch 1 Sec 5, B036, B037, B038, B039, B040, B050, B054
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 = "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
11   
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
12   
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 (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
AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3
13   
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
14   
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
15   
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
16   
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 (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
AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3
17   
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  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