Unscoped DCT Report (Standard DCT)


MLF Label: 1.1.3 (AW) Continuous Analysis and Surveillance System (CASS) DCT Type: ED DCT Specialty: Airworthiness Peer Group: C - Part 135 (9 or Less Seats) DCT Revision: 15.0 on 09/28/20 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To develop an effective CASS that provides continuous analysis, surveillance, identifies deficiencies and implements corrective actions.
Objective (FAA Responsibility): Determine if the CH will be able to; (1) Comply with regulations; (2) Develop an effective CASS that provides continuous analysis, surveillance, identifies deficiencies and implements corrective actions.

The (AW) Continuous Analysis and Surveillance System (CASS) Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  1.1.3 (AW) Continuous Analysis and Surveillance System (CASS)
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: AC-120-92, 8900.1 Vol 17 Ch 3 Sec 3

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
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?


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

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
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?


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  3/8/2019 12:47:48 PM, 

QID:
 00051931, Response Details: Process Measurement ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
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 the procedures specify how the CASS will establish and maintain the ability to perform the following functions for the CAMP, regardless of whether those programs are carried out by the Operator or by another person:

      #1 Surveillance;
      #2 Analysis;
      #3 Corrective action; and
      #4 Follow-up?

REFERENCES: AC-120-16, AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1, 135.431(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  3  7/4/2014 10:18:57 PM, 

QID:
 00000350, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8   
Does the CASS specify policies and procedures to conduct:

      #1 Audits to verify performance; and
      #2 Analysis to verify effectiveness?

REFERENCES: AC-120-16, AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  4  9/19/2017 10:49:32 AM, 

QID:
 00000355, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
9   
Do the procedures include corrective action when CASS identifies deficiencies through analysis of the audit and/or operational data?


REFERENCES: AC-120-16, AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  3  7/7/2014 1:05:30 PM, 

QID:
 00000358, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
10   
Do the procedures identify:

      #1 Who will be responsible to perform hazard identification;
      #2 What prerequisite training or qualifications are required for personnel to participate in hazard identification;
      #3 When to perform hazard identification;
      #4 How to accomplish the determination of a hazard; and
      #5 How to document the hazard?

REFERENCES: AC-120-16, AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  3  7/7/2014 1:05:29 PM, 

QID:
 00000359, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
11   
Do the CASS procedures specify to make changes to the CAMP whenever the Administrator finds it does not contain adequate procedures or standards to meet the requirements of 14 CFR Part 135?


REFERENCES: 8900.1 Vol 3 Ch 44 Sec 1, 135.431(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  2  3/29/2014 7:22:53 AM, 

QID:
 00000365, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
12   
Do the procedures specify how the data is utilized from the audit types as described in its CASS?


REFERENCES: AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1

NOTE: Types of audit data may include Internal, External, In house and or Third Party.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  4  2/27/2019 9:41:27 AM, 

QID:
 00000367, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
13   
Do the procedures specify three methods of audit performance including:

      #1 Work-in-progress method;
      #2 Transaction method; and
      #3 Systems method?

REFERENCES: AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  3  7/7/2014 1:05:30 PM, 

QID:
 00000372, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
14   
Do the procedures specify a risk-based methodology for determining priorities and for establishing and adjusting audit cycles?


REFERENCES: AC-120-16, AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  2  3/29/2014 7:28:47 AM, 

QID:
 00000376, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
15   
Do the procedures specify instructions to ensure auditors are provided with checklists that:

      #1 Ensure consistency and completeness of audits;
      #2 Are updated and current; and
      #3 Are written in a manner which evaluates compliance with the 10 elements of the maintenance program?

REFERENCES: AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  2  3/29/2014 7:28:50 AM, 

QID:
 00000377, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
16   
Does the CASS include procedures indicating it monitors all 10 elements of an effective CAMP including:

      #1 Airworthiness responsibility;
      #2 Air carrier maintenance manual;
      #3 Air carrier maintenance organization;
      #4 Accomplishment and approval of maintenance and alterations;
      #5 Maintenance schedule;
      #6 RII;
      #7 Maintenance recordkeeping system;
      #8 Contract maintenance;
      #9 Personnel training; and
      #10 CASS?

REFERENCES: AC-120-16, AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  2  7/4/2014 5:58:29 PM, 

QID:
 00000381, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
17   
Does the CASS include responsibilities and guidelines for:

      #1 Tracking the implementation of corrective actions according to the timeline;
      #2 Identifying the role of auditors, managers, management committees, and senior management;
      #3 Using automation or computerized systems;
      #4 Using risk assessment and/or systems analysis to guard against unintended consequences;
      #5 Using measures to evaluate the effect of the corrective action; and
      #6 Identifying the affected technical area to communicate the status of the corrective action to the person responsible for monitoring implementation?

REFERENCES: AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  2  3/29/2014 7:29:00 AM, 

QID:
 00000392, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
18   
Do the procedures addressing the CASS provide for the development of a corrective action plan that addresses:

      #1 When a corrective action plan is developed based on risk assessment;
      #2 Development of a corrective action proposal focused on the root cause;
      #3 Documentation for the accomplishment of tasks within the corrective action plan;
      #4 Corrective action plan approval;
      #5 Corrective action plan records and documentation retention;
      #6 Risk assessment and/or systems analysis controls that guard against unintended consequences; and
      #7 A determination the corrective action plan was effective during the follow-up process?

REFERENCES: AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  2  3/29/2014 7:29:00 AM, 

QID:
 00000399, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
19   
Do the CASS procedures address:

      #1 Risk analysis; and
      #2 Preliminary Root Cause Analysis?

REFERENCES: AC-120-16, AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  2  3/29/2014 7:22:53 AM, 

QID:
 00000407, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
20   
Do the CASS procedures for Analysis of Operational Data:

      #1 Provide analysts with a method to process the data and an understanding of the potential significance of each data set;
      #2 Emphasize that analysis of operational data should consider root causes of negative trends or anomalies; and
      #3 Delineate the roles of CASS analysts as well as other departments or personnel in the analysis of operational data?

REFERENCES: AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  3  7/6/2017 2:02:14 PM, 

QID:
 00000410, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
21   
Do the CASS procedures require a follow-up that includes:

      #1 What measures will be used to evaluate the effectiveness of the corrective action;
      #2 When and/or how often the follow-up will occur;
      #3 How to use the automation or computerized systems to document the follow-up process; and
      #4 How to determine changes to surveillance planning and/or data collection?

REFERENCES: 8900.1 Vol 3 Ch 44 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  2  7/4/2014 6:33:51 PM, 

QID:
 00000414, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
22   
Do the CASS procedures include requirements to ensure CASS auditors and analysts:

      #1 Are qualified (through training or experience) in systems analysis; and
      #2 Can contribute to the evaluation of a proposed corrective action?

REFERENCES: AC-120-79

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  2  7/7/2014 1:05:30 PM, 

QID:
 00000419, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
23   
Do the CASS procedures specify:

      #1 Who is responsible for keeping the standard communication processes up-to-date and available;
      #2 Who is responsible for completing the standard communication processes;
      #3 Where communications are sent, who must respond, and how responses are tracked; and
      #4 How, where, and for how long to retain completed records?

REFERENCES: AC-120-79

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  2  7/7/2014 1:05:30 PM, 

QID:
 00000422, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
24   
Does the CASS include procedures that determine the level of CASS follow-up audits for verifying corrective action implementation?


REFERENCES: 8900.1 Vol 3 Ch 44 Sec 1, 135.431(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  3  1/4/2018 3:41:23 PM, 

QID:
 00000427, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
25   
Does the CASS include requirements to ensure CASS personnel are independent of the areas they audit?


REFERENCES: AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  2  7/7/2014 1:05:30 PM, 

QID:
 00000428, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
26   
Does the CASS take into account the following four sources of hazards:

      #1 Personnel;
      #2 Equipment;
      #3 Workplace; and
      #4 Organization?

REFERENCES: AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  2  3/29/2014 7:26:05 AM, 

QID:
 00000429, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
27   
Does the CASS have policies and procedures for the following:

      #1 Scheduling and conducting internal and external audits;
      #2 Identifying and updating the list of operational data sets to be collected and for collecting data;
      #3 Analyzing audit results;
      #4 Analyzing operational data;
      #5 Developing proposed corrective actions and analyzing them;
      #6 Approving and implementing corrective actions, including changes to the maintenance program, and
      #7 Monitoring and follow-up of corrective actions?

REFERENCES: AC-120-79, 8900.1 Vol 3 Ch 44 Sec 1

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  2  3/29/2014 7:26:08 AM, 

QID:
 00000434, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
28   
Do the procedures which address critical CASS interfaces and relationships to other programs include:

      #1 Policies and procedures for communications within the CASS and between the CASS and other areas of the operation;
      #2 Interface documents; and
      #3 Policies and procedures to integrate or relateother Operator programs to the CASS?

REFERENCES: AC-120-79

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  2  7/7/2014 1:05:30 PM, 

QID:
 00000442, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
29   
Does the CASS document identify the experience and training requirements for CASS personnel?


REFERENCES: AC-120-79

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00000446, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
30   
Do the CASS procedures require audits of all required CAMP programs to verify they are being performed according to the manual?


REFERENCES: AC-120-79

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "D072" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00000448, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
31   
Does the CASS program include requirements for competency improvement training identified through the CASS?


REFERENCES: AC-120-16, 135.431, 135.433

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "D072" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00000449, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
32   
Does the CASS program ensure that IEP personnel receive training including:

      #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 = "135" ) AND ( OPSPEC = "D072" ) ,  Rev.  5  12/16/2019 11:53:59 AM, 

QID:
 00000450, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
33   
Does the CASS program include initial and recurrent training for CASS personnel that includes:

      #1 14 CFR Part 135;
      #2 OpSpecs training;
      #3 Systems analysis training;
      #4 Audit training;
      #5 Risk assessment training; and
      #6 Root cause analysis training, including human factors?

REFERENCES: AC-120-79

NOTE: CASS personnel include auditors, audit analysts, and operational data analysts.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "D072" ) ,  Rev.  3  9/19/2017 10:49:33 AM, 

QID:
 00000459, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
34   
Do the certificate holders procedures for CASS meet the intent of AC 120-79?


REFERENCES: AC-120-79

NOTE: AC 120-79 documents one method of compliance for CASS found acceptable by the Administrator. Alternate compliance methods must provide an equivalent level of safety.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") AND (OPSPEC = "D072") ,  Rev.  1  2/27/2018 7:57:41 AM, 

QID:
 00051908, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
35   
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
36   
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
37   
Do controls exist within this element that ensure risks are reduced to an acceptable level?


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  3/8/2019 12:47:46 PM, 

QID:
 00051927, Response Details: Controls ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
38   
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
39   
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
40   
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
41   
Does the process design require that individuals understand their safety role and how it contributes 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  3/8/2019 12:47:46 PM, 

QID:
 00051932, Response Details: Safety Ownership ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
42   
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  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