Unscoped DCT Report (Standard DCT)


MLF Label: 1.1.2 (OP) Safety Program (Ground and Flight) DCT Type: ED DCT Specialty: Operations Peer Group: A - Part 121 Air Operators DCT Revision: 13.0 on 09/28/20 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To develop an effective safety program that identifies safety concerns and implements corrective actions.
Objective (FAA Responsibility): Determine if the CH will be able to; (1) Comply with regulations; (2) Develop an effective safety program that identifies safety concerns and implements corrective actions.

The (OP) Safety Program (Ground and Flight) Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  1.1.2 (OP) Safety Program (Ground and Flight)
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: 5.21, 5.23(a), 5.25(a), 5.25(b), 5.25(c)

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: 5.71, 5.73, 5.75

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   
Do the policies and procedures include a requirement for a qualified full-time Director of Safety or an equivalent position?


REFERENCES: 119.65(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  5/20/2014 4:36:05 AM, 

QID:
 00000211, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
5   
Do the operations and maintenance safety program(s) specify that the Director of Safety and anyone exercising control over air carrier operations must:

      #1 Be qualified through training, experience, and expertise; and
      #2 Perform their duties to meet applicable legal requirements and maintain safe operations?

REFERENCES: 8900.1 Vol 3 Ch 18 Sec 3, 119.65(d)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  5/22/2014 5:15:54 AM, 

QID:
 00000212, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
6   
Do the operations and maintenance safety program(s) specify that the Director of Safety and anyone exercising control over air carrier operations must, to the extent of their responsibilities, have a thorough understanding of:

      #1 Aviation safety standards and safe operating practices;
      #2 14 CFR Part 1, including all applicable maintenance and airworthiness requirements (e.g., 14 CFR Part 1, 21, 23, 25, 43, 45, 47, 65, 91, and 121);
      #3 OpSpecs; and
      #4 Manual required by 121.133?

REFERENCES: 119.65(d)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  5/21/2014 8:03:47 PM, 

QID:
 00000215, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
7   
Do the operations and maintenance safety program(s) specify the following information for the required management personnel:

      #1 Names and business addresses; and
      #2 Duties, responsibilities, and authority?

REFERENCES: 8900.1 Vol 3 Ch 18 Sec 3, 119.65(e)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) ,  Rev.  2  5/22/2014 5:15:55 AM, 

QID:
 00000220, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8   
Do the procedures ensure that the ASAP is established and has a valid MOU?


REFERENCES: AC-120-66, 8900.1 Vol 11 Ch 2 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) AND ( SAFETY PROGRAMS = "ASAP" ) ,  Rev.  2  5/21/2014 8:03:49 PM, 

QID:
 00000230, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
9   
Do the procedures ensure that the FOQA program is comprised of the following four basic elements:

      #1 Airborne Data Recording Systems;
      #2 Data Transmittal Systems;
      #3 Data Analysis Systems; and
      #4 FOQA Organizational Structure?

REFERENCES: AC-120-82, 8900.1 Vol 11 Ch 2 Sec 2

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) AND ( SAFETY PROGRAMS = "FOQA" ) ,  Rev.  2  5/21/2014 8:03:50 PM, 

QID:
 00000231, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
10   
Do the procedures specify that the Operator have procedures or a program designed to actively identify hazards and control associated risks in flight, maintenance, and ground operations?


REFERENCES: AC-120-59

NOTE: AC 120-59 Air Carrier IEP provides information to design, develop, and implement an IEP. This AC provides one method, but not necessarily the only method, that an Operator may use to identify hazards and control or eliminate the associated risk.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) AND ( SAFETY PROGRAMS = "IEP" ) ,  Rev.  2  5/21/2014 8:03:45 PM, 

QID:
 00000236, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
11   
Do procedures specify that the certificate holder administers the annual fatigue education and awareness program training to employees/personnel who possess direct administrative duties, including crew scheduling, and direct management oversight of:

      #1 Flightcrew members, flight attendants and dispatchers/flight followers scheduled under 14 CFR part 117;
      #2 The scheduling of flightcrew members and flight attendants under 14 CFR part 117; and/or
      #3 Operational control under 14 CFR part 117?

REFERENCES: 117.9(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND (OPSPEC = "A319") ,  Rev.  3  9/28/2020 10:13:57 AM, 

QID:
 00031302, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
12   
Do VDRP procedures meet the intent of Advisory Circular 00-58?


REFERENCES: AC-00-58, 8900.1 Vol 11 Ch 1 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND (SAFETY PROGRAMS = "VDRP") ,  Rev.  1  7/6/2017 2:02:15 PM, 

QID:
 00051214, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
13   
Does the certificate holder have procedures to include the review and implementation of proposed Commercial Aviation Safety Team (CAST) Safety Enhancements (SE)?


REFERENCES: 8900.1 Vol 10 Ch 3 Sec 1, 8900.1 Vol 3 Ch 18 Sec 2

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  1  6/27/2018 3:25:44 PM, 

QID:
 00051864, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
14   
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
15   
Do the training program procedures ensure IEP personnel are trained in the following areas:

      #1 Recognized quality management auditing;
      #2 System analysis;
      #3 Root cause analysis;
      #4 Risk assessment; and
      #5 Evaluation principals and techniques?

REFERENCES: AC-120-59B

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND (SAFETY PROGRAMS = "IEP") ,  Rev.  1  12/16/2019 11:53:58 AM, 

QID:
 00055486, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
16   
Do the procedures require that the certificate holder retain fatigue education and awareness training records for a minimum of 12 calendar months?


REFERENCES: 117.9(a), A319

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") AND (OPSPEC = "A319") ,  Rev.  1  9/28/2020 10:13:57 AM, 

QID:
 00056551, 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: 5.53, 5.55, 5.51

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  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  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