Unscoped DCT Report (Standard DCT)
MLF Label: 1.5.2 (OP/AW) Emergency Response DCT Type: EP DCT Specialty: Airworthiness Peer Group: J - Part 142 Training Centers DCT Revision: 1.0 on 12/27/19 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): Implement an emergency response plan (ERP) as necessary, without compromise to safety including documented organizational interfaces.
Objective (FAA Responsibility): Confirm an emergency response plan (ERP) has been implemented as necessary, without compromise to safety including documented organizational interfaces.

The (OP/AW) Emergency Response Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  1.5.2 (OP/AW) Emergency Response
1   
Were financial and human resources provided to ensure 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  3/15/2019 9:08:44 AM, 

QID: 00051936, Response Details: Responsibility ED/EP/SP DCTs (Both OP and AW),  Status: Released
◯  Yes
◯  No
◯  Not Observable
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 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
3   
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?


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  3/15/2019 9:08:43 AM, 

QID: 00051937, Response Details: Authority ED/EP/SP DCTs (Both OP and AW),  Status: Released
◯  Yes
◯  No
◯  Not Observable
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 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
5   
Were the certificate holder's process measurement(s) used to evaluate the performance of this element and if necessary, implement corrective action?


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  3/15/2019 9:08:44 AM, 

QID: 00051938, Response Details: Process Measurement ED/EP/SP DCTs (Both OP and AW),  Status: Released
◯  Yes
◯  No
◯  Not Observable
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 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
7   
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
8   
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
9   
Are the certificate holder "proxies" clearly identified along with their assignment and the limitations of their authority to perform safety management responsibilities when moved from daily to emergency operations?


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

NOTE: A proxy is delegated authority on an emergency basis to represent and perform the duties of an individual during their absence.

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  12/27/2019 11:51:29 AM, 

QID: 00051958, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released
◯  Yes
◯  No
◯  Not Observable
◯  Not Applicable
10   
Did the proxy understand their defined limitations and authority as documented by the certificate holder for instances where emergency authority is delegated?


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

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  12/27/2019 11:51:29 AM, 

QID: 00051964, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released
◯  Yes
◯  No
◯  Not Observable
◯  Not Applicable
11   
Did the certificate holder document the proxy competencies required to make safety related decisons on behalf of the organization for their process area?


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

NOTE: Competencies include qualifications, training, knowledge and experience. Safety related duties include SRM activities, corrective action oversight, etc.

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  12/27/2019 11:51:29 AM, 

QID: 00051966, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released
◯  Yes
◯  No
◯  Not Observable
◯  Not Applicable
12   
Did the certificate holder have documented emergency response plans that were coordinated with external business partners that have emergency response plans (e.g., code share partners, airports, etc.)?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:  (FAR PART = "135" OR "145" OR "142" OR "141" OR "147") AND (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  12/27/2019 11:51:29 AM, 

QID: 00051967, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released
◯  Yes
◯  No
◯  Not Observable
◯  Not Applicable
13   
Did the controls effectively mitigate unacceptable risk(s) for this element?


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  3/15/2019 9:08:43 AM, 

QID: 00051934, Response Details: Controls ED/EP/SP DCTs (Both OP and AW),  Status: Released
◯  Yes
◯  No
◯  Not Observable
14   
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
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 (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
16   
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
17   
Did individuals understand their role and contribute 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  3/15/2019 9:08:43 AM, 

QID: 00051939, Response Details: Safety Ownership ED/EP/SP DCTs (Both OP and AW),  Status: Released
◯  Yes
◯  No
◯  Not Observable
18   
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  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  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  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