Safety Attribute Inspection (SAI) Data Collection Tool Revision#: … safety attribute... · 2014. 6. 17. · rapid two-way radio communication system or other means approved by the

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Safety Attribute Inspection (SAI) Data Collection Tool

3.1.4 Operational Control (OP)

Revision#: 10 Revision Date: 06/23/2014

ELEMENT SUMMARY INFORMATION

Scope of Element:

Purpose (operator's responsibility): To ensure safe flight operations are maintained through appropriate operational control procedures. Objective (FAA oversight responsibility): To determine if the operator's Operational Control process:

Meets all applicable requirements of Title 14 of the Code of the Federal Regulations (14 CFR) and FAA policies,

Incorporates the safety attributes,

Identifies any shortfalls in the operator's Operational Control process.

Specific Instructions:

Intentionally left blank

SUPPLEMENTAL INFORMATION

Regulatory Requirements:

A.008, Operational Control A.023, Authorization to Use an Approved Procedure for Determining Operations During Ground Icing Conditions A.028, Aircraft Wet Lease Arrangements A.029, Aircraft Interchange Arrangements A.345, Substitute Scheduled Service as a Supplemental Air Carrier 91.13, Careless or Reckless Operation 91.153, VFR flight plan: Information required. 119.5, Certifications, authorizations, and prohibitions. 119.7, Operations specifications. 119.9, Use of business names. 119.43, Certificate holder's duty to maintain operations specifications. 119.47, Maintaining a principal base of operations, main operations base, and main maintenance base; change of address. 119.53, Wet leasing of aircraft and other arrangements for transportation by air. 121.99, Communication facilities. 121.107, Dispatch centers. 121.122, Communications facilities - supplemental operations 121.125, Flight following system. 121.135, Manual contents 121.351, Radio equipment for extended overwater operations and for certain other operations. 121.395, Aircraft dispatcher: Domestic and flag operations. 121.533, Responsibility for operational control: Domestic operations. 121.535, Responsibility for operational control: Flag operations. 121.537, Responsibility for operational control: Supplemental operations. 121.539, Operations notices. 121.541, Operations schedules: Domestic and flag operations.

Revision Date: 06/23/2014 Rev # 10


121.551, Restriction or suspension of operation: Domestic and flag operations. 121.553, Restriction or suspension of operation: Supplemental operations. 121.555, Compliance with approved routes and limitations: Domestic and flag operations. 121.557, Emergencies: Domestic and flag operations. 121.559, Emergencies: Supplemental operations. 121.561, Reporting potentially hazardous meteorological conditions and irregularities of ground and navigation facilities. 121.569, Equipment interchange: Domestic and flag operations. 121.599, Familiarity with weather conditions. 121.601, Aircraft dispatcher information to pilot in command: Domestic and flag operations. 121.603, Facilities and services: Supplemental operations. 121.605, Airplane equipment. 121.607, Communication and navigation facilities: Domestic and flag operations. 121.609, Communication and navigation facilities: Supplemental operations. 121.627, Continuing flight in unsafe conditions. 121.629, Operation in icing conditions. 121.631, Original dispatch or flight release, redispatch or amendment of dispatch or flight release. 121.667, Flight plan: VFR and IFR: Supplemental operations. 121.711, Communication records: Domestic and flag operations.

Related CFRs & FAA Policy/Guidance:

Related CFRs:

Intentionally left blank

FAA Policy/Guidance:

FAA Order 8900.1, Volume 3, Chapter 25 FAA Order 8900.1, Volume 6, Chapter 2, Section 22



SAI SECTION 1 - PROCEDURES ATTRIBUTE

Objective:

The questions in this section of the SAI will help verify that the operator’s documented procedures identify who, what, when, where, and how those procedures are accomplished. These procedures must allow all personnel to perform their duties and responsibilities with a high degree of safety. 14 CFR part 121.135(a)(1)

Tasks

The inspector shall accomplish the following tasks:

1 Review the information in the Supplemental Information Section of this SAI.

2 Review the duties and responsibilities for management and other personnel who accomplish the processes associated with this element.

3 Review the documentation of the processes associated with this element.

4 Review documented interfaces to identify interactions between related processes, interactions within this element process, and between one person, workgroup, or organization to another that the operator uses to accomplish this process.

Questions

1.1 When conducting operations under more than one paragraph of 14 CFR parts 119.21, 119.23, or 119.25, do procedures:

Specify that the operations will be conducted in accordance with the specified requirements for the kind of operation conducted; and

Comply with the appropriate authorizations, limitations, and procedures specified in the operations specifications for each kind of operation?

Yes

No, Explain

Not Applicable

Updated: Rev # 3 on 03/03/2010

SRRs: 119.5(f)

Kind Of Question: Flag, Supplemental, Domestic

1.2 Do procedures specify operating with the appropriate certificate and operations specifications and in accordance with any deviations and exemptions?

Yes

No, Explain


SRRs: 119.5(g)


1.3 Do the operator’s procedures specify that operations will be conducted:

In common carriage;

With the appropriate economic authority from the Department of Transportation; and

Only within the geographical areas that are authorized by the operations specifications?

Yes

No, Explain




SRRs: 119.5(h); 119.5(i); 119.5(j)


1.4 Do the operator’s procedures specify:

The authorizations, limitations, and procedures under which each kind of operation is to be conducted; and

Other procedures under which each class and size of aircraft is to be operated?

Yes

No, Explain


SRRs: 119.7(a)


1.5 Do procedures specify that the operator may use only the business name(s) from its operations specifications?

Yes

No, Explain


SRRs: 119.9(a)


1.6 Do procedures require the name of the operator to be:

Legibly displayed, and

Visibly readable by a person standing on the ground?

Yes

No, Explain


SRRs: 119.9(b)


1.7 Do procedures require the operator to:

Maintain a principal base of operations; and

Notify the FAA at least 30 days before a proposed change of location of its principal base of operations?

Yes

No, Explain


SRRs: 119.47(a); 119.47(b)


1.8 If an operator does not have an approved ground de-icing/anti-icing program, do procedures in its operations specifications require that, any time conditions are such that frost, ice, or snow may reasonably be expected to adhere to the aircraft, no aircraft will take off unless it has been checked to ensure that the wings, control surfaces, and other critical surfaces are free of frost, ice, and snow?

Yes

No, Explain

Not Applicable

Note(s): This check must occur within five minutes prior to beginning takeoff and be accomplished from outside the aircraft.




SRRs: 121.629(d)


1.9 For domestic and flag operations, do procedures require aircraft to have two-way radio communication with both ATC and the company's dispatch office along the scheduled route of flight?

Yes

No, Explain

Not Applicable


SRRs: 121.99(a)

Kind Of Question: Flag, Domestic

Related Design JTIs: 1. Check that the operator has information and instruction to ensure a

two-way radio communication system or other means approved by the administrator, independent of any system operated by the United States, available at points over the entire route, under normal operating conditions (either direct or via approved point-to-point circuits) between each airplane and the appropriate dispatch office, except as specified as Sec121.351(c).

Sources: 121.99(a); 121.99(b)(1); 121.99(b)(2); 121.99(b)(3); 121.135(b)(26)

2. Check that the operator has information and instruction to ensure a rapid two-way radio communication system or other means approved by the administrator, independent of any system operated by the United States, available at points over the entire route, under normal operating conditions (either direct or via approved point-to-point circuits) between each airplane and the appropriate air traffic control unit.

Sources: 121.99(a); 121.99(b)(1); 121.99(b)(2); 121.99(b)(3); 121.135(b)(26)

1.10 For domestic and flag operations, do procedures require enough dispatch centers that:

Are adequate for the operations being conducted; and

Are located at points necessary to ensure proper operational control of each flight?

Yes

No, Explain

Not Applicable


SRRs: 121.107


1.11 For domestic and flag operations, do procedures specify that the communications systems between each airplane and the dispatch office must be independent of any system operated by the United States?

Yes

No, Explain

Not Applicable


SRRs: 121.99(b)


Related Design JTIs: 1. Check that the operator has a information and instruction to ensure



rapid two-way radio communication system or other means approved by the administrator, independent of any system operated by the United States, available at points over the entire route, under normal operating conditions (either direct or via approved point-to-point circuits) between each airplane and the appropriate dispatch office, except as specified as Sec121.351(c).

Sources: 121.99(a); 121.99(b)(1); 121.99(b)(2); 121.99(b)(3); 121.135(b)(26)

2. Check that the operator has information and instruction to ensure a reliable two-way radio communication system or other means approved by the administrator, independent of any system operated by the United States, available at points over the entire route, under normal operating conditions (either direct or via approved point-to-point circuits) between each airplane and the appropriate dispatch office, except as specified as Sec121.351(c).

Sources: 121.99(a); 121.99(b)(1); 121.99(b)(2); 121.99(b)(3); 121.135(b)(26)

1.12 For supplemental operations, do procedures comply with the communication requirements as specified in 14 CFR part 121.122(a)?

Yes

No, Explain

Not Applicable

Note(s): All-cargo operations in airplanes with more than two engines are excepted.


SRRs: 121.122(a)

Kind Of Question: Supplemental

Related Design JTIs: 1. Check that the operator has information and instruction to ensure a

two-way radio communication system or other means of communication approved by the FAA is available providing a rapid and reliable communications system over the entire route (either direct or approved point-to-point circuits) between (a) each airplane and the operator, and (b) between each airplane and the appropriate air traffic services, except as specified in 121.351(c).

Sources: 121.122(a)

1.13 For supplemental operations, do procedures require a flight following system with centers located at points where flights can be adequately monitored?

Yes

No, Explain

Not Applicable

Note(s): The flight following centers are required to provide the pilot in command (PIC) with all information necessary for the safety of flight.


SRRs: 121.125(a)


Related Design JTIs: 1. Check that the operator has information and instructions for the

approved flight following system established in accordance with



14CFR Part 121.

Sources: 121.125(a)(1); 121.135(b)(26)

2. Check that the operator has information and instruction for the approved flight following system that is adequate for the proper monitoring of each flight.

Sources: 121.125(a)(1); 121.135(b)(26)

3. Check that the operator has flight following centers located at those points necessary to ensure the proper monitoring of the progress of each flight with respect to its departure at the point of origin, arrival at its destination, including intermediate stops and diversion therefrom, and maintenance or mechanical delays encountered at those points or stops.

Sources: 121.125(a)(2)(i)

1.14 For supplemental operations, do procedures specify that when other persons provide flight following services, the operator has primary responsibility for operational control?

Yes

No, Explain

Not Applicable


SRRs: 121.125(b)


1.15 For supplement operations, do procedures require the operations specifications to specify the flight following system the operator is authorized to use and the location of the flight following centers?

Yes

No, Explain

Not Applicable


SRRs: 121.125(d)


1.16 Do procedures specify that operations within the state of Alaska will be conducted with the equipment required by 14 CFR part 121.351(a) if the Administrator finds that equipment necessary?

Yes

No, Explain

Not Applicable


SRRs: 121.351(b)


1.17 For domestic and flag operations, do procedures provide enough qualified aircraft dispatchers at each dispatch center to ensure the proper operational control of each flight?

Yes

No, Explain

Not Applicable


SRRs: 121.395


1.18 Do procedures specify that the operator is responsible for operational control?

Yes

No, Explain

Note(s): Supplemental operators must list each person authorized to exercise operational control in their manual.




SRRs: 121.533(a); 121.535(a); 121.537(a)(1); 121.537(a)(2)


1.19 For domestic and flag operations, do procedures specify that the Pilot in Command (PIC) and the aircraft dispatcher, in compliance with 14 CFR part 121 and the operations specifications, are jointly responsible for the preflight planning, delay, and dispatch release of a flight?

Yes

No, Explain

Not Applicable


SRRs: 121.533(b); 121.535(b)


1.20 For supplemental operations, do procedures specify that the Pilot in Command (PIC) and the Director of Operations, in compliance with 14 CFR part 121 and the operations specifications, are jointly responsible for the:

Initiation,

Continuation,

Diversion, and

Termination of a flight?

Yes

No, Explain

Not Applicable

Note(s): The Director of Operations may delegate the listed functions but not the responsibility.


SRRs: 121.537(b)


1.21 For domestic and flag operations, do procedures specify that the aircraft dispatcher is responsible for:

Monitoring the progress of each flight;

Issuing necessary information (and for flag operations, instructions) for the safety of the flight; and

Canceling or re-dispatching the flight if, in the opinion of the PIC or dispatcher, the flight cannot operate or continue to operate safely as planned or released?

Yes

No, Explain

Not Applicable


SRRs: 121.533(c); 121.535(c)


1.22 Do procedures specify that the PIC:

Is responsible for the safety of the crewmembers, passengers, cargo, and airplane during the flight; and

Has full control and authority in the operation of the aircraft, without limitation, over other crewmembers and their duties during flight time, whether or not he/she holds valid certificates authorizing him/her to perform the duties of those crewmembers?

Yes

No, Explain




SRRs: 121.533(d); 121.533(e); 121.535(d); 121.535(e); 121.537(d)


1.23 Do procedures specify that no person will operate an aircraft in a manner that endangers life or property?

Yes

No, Explain


SRRs: 91.13; 121.535(f); 121.537(f)


1.24 For supplemental operations, do procedures identify the Director of Operations as responsible for canceling, diverting, or delaying a flight if in his/her opinion, or the opinion of the PIC, the flight cannot operate or continue to operate safely as planned or released?

Yes

No, Explain

Not Applicable


SRRs: 121.537(c)


1.25 For supplemental operations, do procedures specify that the Director of Operations ensures that each flight is monitored for:

Departure of flight to arrival at destination, including intermediate stops and diversions;

Maintenance and mechanical delays encountered; and

Known conditions that may adversely affect the safety of flight?

Yes

No, Explain

Not Applicable


SRRs: 121.537(c)


1.26 For supplemental operations, do procedures specify that the PIC, in compliance with 14 CFR part 121 and the operations specifications, is responsible for the preflight planning and the operation of the flight?

Yes

No, Explain

Not Applicable


SRRs: 121.537(e)


1.27 Do procedures require the operator to notify its operations personnel when there are changes in:

Equipment and operation procedures;

The use of navigation aids, airports, air traffic control procedures and regulations;

Local airport traffic control rules;

Flight hazards that may affect flight safety;

Icing and other potentially hazardous meteorological conditions; and

Irregularities in ground and navigation facilities?

Yes

No, Explain


SRRs: 121.539


1.28 For domestic and flag operations when establishing operations schedules, do Yes



procedures consider appropriate winds, cruising speeds, and servicing requirements?

No, Explain

Not Applicable

Note(s): The cruising speed may not be more than that resulting from the specified cruising output of the engines.


SRRs: 121.541


Related Design JTIs: 1. Check that the operator's manual system contains information and

instructions to ensure flight operations schedules allow enough time for the proper servicing of aircraft at intermediate stops.

Sources: 121.135(b)(26); 121.541

2. Check that the operator's manual system contains information and instructions to ensure flight operations schedules consider the prevailing winds en route and the cruising speed of the type of aircraft used.

Sources: 121.135(b)(26); 121.541

1.29 When the operator knows hazardous conditions exist, do procedures specify restricting or suspending operations until the conditions are corrected?

Yes

No, Explain

Note(s): Hazardous conditions include airport and runway conditions that are a hazard to safe operations. For supplemental operations, the pilot in command also must restrict or suspend operations under the same conditions.


SRRs: 121.551; 121.553


1.30 For domestic and flag operations flying scheduled air transportation operations, do procedures prohibit pilots from flying:

Routes contrary to approved operations specifications; and

Other than in accordance with the limitations in the operation specifications?

Yes

No, Explain

Not Applicable


SRRs: 121.555


1.31 For domestic and flag operations during flight with an emergency situation that requires immediate decision and action by an aircraft dispatcher, and is known to him/her, do procedures specify that the dispatcher will:

Advise the PIC of the emergency;

Yes

No, Explain

Not Applicable



Ascertain the decision of the PIC; and

Have the decision recorded?


SRRs: 121.557(b)


1.32 For domestic and flag operations during flight with an emergency situation when the aircraft dispatcher cannot communicate with the pilot, do procedures specify that the dispatcher will:

Declare an emergency; and

Take necessary action?

Yes

No, Explain

Not Applicable


SRRs: 121.557(b)


1.33 For domestic and flag operations, do procedures specify that when a person declares an emergency, that person must send a written report of any deviation through the operator's operations manager and to the Administrator?

Yes

No, Explain

Not Applicable

Note(s): The dispatcher sends report within 10 days after the date of the emergency. The PIC sends report within 10 days after returning to home base.


SRRs: 121.557(c)


1.34 For supplemental operations in an emergency situation requiring an immediate decision and action by the PIC, do procedures specify that the PIC may, to the extent required for safety, take any necessary action and deviate from prescribed operations procedures and methods, weather minimums, and 14 CFR part 121?

Yes

No, Explain

Not Applicable

Note(s): The person declaring the emergency shall send a written report of the deviation through the Director of Operation to the Administrator within 10 days after the flight is completed, or in the case of operations outside the United States, upon return to the home base.


SRRs: 121.559(a); 121.559(c)


1.35 For supplemental operations in an emergency situation requiring an immediate decision and action by management personnel, do procedures specify that:

When personnel can communicate with the pilot, they will advise the PIC of the emergency, ascertain the decision of the PIC, and have the decision recorded; or

When personnel cannot communicate with the pilot, they will declare an emergency and take any action that they consider necessary under the

Yes

No, Explain

Not Applicable



circumstances?


SRRs: 121.559(b)


1.36 Do procedures specify that the pilot in command shall notify an appropriate ground station when he encounters a meteorological condition or irregularity in a ground facility or navigation aid that he considers is essential to the safety of other flights?

Yes

No, Explain


SRRs: 121.561(a)


1.37 For domestic and flag operations, do procedures specify that an aircraft dispatcher will not release a flight until the dispatcher is thoroughly familiar with reported and forecast weather conditions on the route?

Yes

No, Explain

Not Applicable


SRRs: 121.599(a)


1.38 For supplemental operations, do procedures specify that a PIC will not begin a flight until thoroughly familiar with reported and forecast weather conditions on the route?

Yes

No, Explain

Not Applicable


SRRs: 121.599(b)


1.39 For domestic and flag operations, do procedures specify that before beginning a flight, the aircraft dispatcher provides the PIC with all current information that may affect the safety of flight for each route and each airport, including:

Airport conditions;

Irregularities of navigation facilities; and

Weather reports and forecasts of weather phenomena, including adverse weather phenomena such as clear air turbulence, thunderstorms, and low altitude wind shear?

Yes

No, Explain

Not Applicable


SRRs: 121.601(a); 121.601(b)


1.40 For domestic and flag operations, during a flight, do procedures specify that the aircraft dispatcher provide to the PIC any additional available information that may affect the safety of flight, including:

Meteorological conditions (including adverse weather phenomena, such as clear air turbulence, thunderstorms, and low altitude windshear); and

Irregularities of facilities and services?

Yes

No, Explain

Not Applicable




SRRs: 121.601(c)


1.41 For supplemental operations, do procedures specify that before beginning a flight, the PIC obtain all available current reports or information on airport conditions and irregularities of navigation facilities that may affect the flight's safety?

Yes

No, Explain

Not Applicable


SRRs: 121.603(a)


1.42 For supplemental operations, do procedures specify that during a flight, the PIC obtain all available current reports or information on meteorological conditions, irregularities of facilities, and services that may affect the flight's safety?

Yes

No, Explain

Not Applicable


SRRs: 121.603(b)


1.43 Do procedures specify that an airplane may not be dispatched or released unless it is airworthy and is equipped as prescribed in 14 CFR part 121.303?

Yes

No, Explain


SRRs: 121.605


1.44 For domestic and flag operations, do procedures specify that an airplane may not be dispatched over an approved route or route segment unless the required communication and navigation facilities are operating satisfactorily?

Yes

No, Explain

Not Applicable

Note(s): Reference 14 CFR parts 121.99 and 121.103 for required communication and navigation equipment.


SRRs: 121.607(a)


1.45 For flag operations, if for technical or other reasons, the required communication and navigation facilities are not available, do procedures specify that the operator may dispatch an airplane over that route if the PIC and the dispatcher determine that the communication and navigation facilities are:

Equal to those required;

Available; and

Operating satisfactorily?

Yes

No, Explain

Not Applicable



SRRs: 121.607(b)

Kind Of Question: Flag



1.46 For supplemental operations, do procedures specify that no aircraft will be released over any route unless sufficient communication and navigation facilities are operating satisfactorily?

Yes

No, Explain

Not Applicable



SRRs: 121.609


1.47 Do the procedures specify that a PIC may not allow a flight to continue toward any airport to which it has been dispatched if the PIC or dispatcher (domestic or flag) determine that the flight cannot be completed safely?

Yes

No, Explain

Not Applicable

Note(s): If the PIC determines there is no safer procedure, the flight may continue to the airport.


SRRs: 121.627(a)


Related Design JTIs: 1. Check that the operator's manual system includes information and

instructions necessary to allow personnel; that no pilot in command may allow a flight to continue toward any airport to which it has been dispatched or released if, in the opinion of the pilot in command the flight (or dispatcher for flag/domestic) cannot be completed safely; unless, in the opinion of the pilot in command, there is no safer procedure. In that event, continuation toward that airport is an emergency situation as set forth in 14CFR Part 121.557.

Sources: 121.135(a)(1); 121.627(a)

1.48 When operating in ground icing conditions without an approved de-ice program, do procedures prohibit the dispatch, release or take-off of an aircraft any time frost, ice or snow adheres, or may reasonably be expected to adhere, to critical surfaces of the aircraft, unless the aircraft has been checked to ensure that the wings, control surfaces, and other critical surfaces are free of frost, ice, and snow?

Yes

No, Explain

Not Applicable

Note(s):

This check must occur within five minutes prior to beginning takeoff and must be accomplished from outside the aircraft; and,

This check requirement must be outlined in the operator's operations specifications.


SRRs: A.023; 121.629(b); 121.629(c); 121.629(d)


1.49 Do procedures specify that a flight may not continue to an airport unless the weather conditions at an alternate airport are forecast to be at or above the

Yes

No, Explain



alternate minimums specified in the operations specifications for the time the aircraft would arrive at that airport?

Note(s): If an alternate airport is amended en route, the airport must be within the fuel range of the aircraft, per 14 CFR parts 121.639 through 647.


SRRs: 121.631(b)


1.50 Do procedures specify that neither an original destination airport nor alternate airport may be changed while the aircraft is en route, unless at the time of re-dispatch or amendment of the flight release, the other airport is authorized for that type of aircraft and the appropriate requirements of 14 CFR parts 121.593 through 121.661 and 121.173 are met?

Yes

No, Explain


SRRs: 121.631(f)


1.51 When a dispatch or flight release is amended en route, do procedures require the amendment to be recorded?

Yes

No, Explain


SRRs: 121.631(g)


1.52 For supplemental operations and prior to takeoff, do procedures specify that the PIC file a flight plan containing the appropriate information required by 14 CFR part 91, with the nearest FAA communication station, appropriate military station, or, when operating outside the United States, the appropriate authority?

Yes

No, Explain

Not Applicable

Note(s): If the communication facilities are not readily available, the PIC shall file the flight plan as soon as practicable after the aircraft is airborne. The flight plan must continue in effect for all parts of the flight.


SRRs: 121.667(a)


1.53 For domestic and flag operations, do procedures specify that each en route radio contact between the operator and its pilots be recorded?

Yes

No, Explain

Not Applicable

Note(s): The record must be kept for at least 30 days.


SRRs: 121.711


1.54 Do procedures specify that the Administrator will be provided a copy of any wet lease agreements that would lease an aircraft to another person engaged in common carriage operations, including foreign air carriers, or to any other foreign person engaged in common carriage outside the United States?

Yes

No, Explain

Not Applicable




SRRs: 119.53(a)


1.55 Do procedures specify that, before operating in an interchange agreement:

The procedures conform with 14 CFR part 121 and with safe operating practices;

Required crewmembers and dispatchers are trained for the airplanes and equipment to be used and are familiar with the communications and dispatch procedures;

Maintenance personnel are trained for the airplanes and equipment, and are familiar with the maintenance procedures;

Flight crewmembers and dispatchers are qualified for the route and airport; and

The airplanes are similar to the airplanes of the operator with whom the carrier has the interchange agreement with respect to the arrangement of flight instruments and the arrangement and motion of controls that are critical to safety, unless there is an adequate training program that ensures that any potentially hazardous dissimilarities are safely overcome by flight crew familiarization?

Yes

No, Explain

Not Applicable


SRRs: 121.569(a)


1.56 For domestic and flag operations, do procedures specify that the pertinent provisions and procedures involved in the equipment interchange agreement are included in the manuals?

Yes

No, Explain

Not Applicable


SRRs: 121.569(b)


1.57 Do procedures specify that substitute operations be conducted in accordance with the same operations authority as those held by the operator arranging for the substitute operation?

Yes

No, Explain

Not Applicable


SRRs: 119.53(e)


1.58 Do procedures specify that substitute operations will be conducted between airports for which the substitute operator has authority for scheduled operations, or within areas of operations that the substitute operator has authority for supplemental or on-demand operations?

Yes

No, Explain

Not Applicable


SRRs: A.345; 119.53(e)


1.59 Do procedures specify that flights for passengers stranded because of the cancellation of their scheduled flights will be operated under the applicable rules for supplemental or on-demand operations of 14 CFR part 121?

Yes

No, Explain

Not Applicable


SRRs: 119.53(f)




1.60 Do procedures specify that a VFR flight plan must include:

Aircraft identification number and, if necessary, its radio call sign;

Type of aircraft;

Full name and address of the PIC;

Point and proposed time of departure;

Proposed route, cruising altitude (or flight level), and true airspeed at that altitude;

Point of first intended landing and the estimated elapsed time until over that point;

Amount of fuel on board (in hours);

Number of persons in the aircraft, except where that information is otherwise readily available to the FAA; and

Any other information the PIC or ATC believes is necessary for ATC purposes?

Yes

No, Explain

Not Applicable


SRRs: 91.153(a)


1.61 When a VFR flight plan has been activated and the flight has been cancelled or completed, do procedures specify that the PIC will notify an FAA Flight Service Station or ATC facility?

Yes

No, Explain

Not Applicable


SRRs: 91.153(b)


1.62 Do procedures describe the system for operational control referenced in operations specifications paragraph A008?

Yes

No, Explain


SRRs: A.008Operational Control


Related Design JTIs: 1. Check that the operator has operations specifications paragraph A-

008 defining the operational control system.

Sources: A.008Operational Control

2. Check that the operator has operations specifications paragraph A-008 defining the person(s) responsible for the operational control process.

Sources: A.008Operational Control

1.63 Do procedures specify that wet lease operations are conducted in accordance with operations specifications paragraph A028?

Yes

No, Explain

Not Applicable


SRRs: A.028Aircraft Wet Lease Arrangements




1.64 Do procedures specify that interchange operations are conducted in accordance with operations specifications paragraph A029?

Yes

No, Explain

Not Applicable


SRRs: A.029Aircraft Interchange Arrangements


1.65 If authorized to conduct substitute scheduled operations as a supplemental operator, are procedures conducted in accordance with operations specifications paragraph A345?

Yes

No, Explain

Not Applicable


SRRs: A.345Substitute Scheduled Service, Supplemental


1.66 Do procedures include the intent of the guidance contained in FAA Order 8900.1, Volume 3, Chapter 25?

Yes

No, Explain



1.67 Do procedures include the intent of the guidance contained in FAA Order 8900.1, Volume 6, Chapter 2, Section 22?

Yes

No, Explain

Updated: Rev # 10 on 06/23/2014


1.68 Does the manual contain general policies that require compliance with the SRRs?

Yes

No, Explain


SRRs: 121.135(b)(1)


1.69 Are the procedures written in enough detail to ensure the effective coordination of work activities from one person, workgroup, or organization to another to ensure the desired result?

Yes

No, Explain



1.70 Does the manual include a requirement to comply with the operations specifications related to this element including clearly identified excerpts, references, mandatory compliance requirements, or other information that will keep employees informed of the impact on their duties and responsibilities?

Yes

No, Explain


SRRs: 119.43(b); 119.43(c); 121.135(a)(4)


1.71 Does the manual contain policies and procedures that include the duties and responsibilities for personnel involved with this element?

Yes

No, Explain

Note(s): This includes personnel, in addition to those required by 14 CFR part 119, who have authority and responsibility for processes covered by this element.




SRRs: 121.135(b)(2)


1.72 Does the manual refer to the appropriate sections of 14 CFR, and are the procedures consistent with the appropriate 14 CFR references or operating certificate concerning this element?

Yes

No, Explain

Note(s): Procedures for Flag and Supplemental operations must be consistent with applicable foreign regulations as well.


SRRs: 121.135(a)(4); 121.135(b)(3)


SAI SECTION 1 - PROCEDURES ATTRIBUTE

Drop-Down Menu

1. No policy, procedures, instructions, or information specified.

2. Procedures or instructions and information do not identify who, what, when, where, how.

3. Policy, procedures, or instructions and information do not comply with CFR.

4. Policy, procedures, or instructions and information do not comply with FAA policy and guidance.

5. Policy, procedures, or instructions and information do not comply with other documentation (e.g., manufacturer's data, Jeppesen Charts, etc.).

6. Policy, procedures, or instructions and information unclear or incomplete.

7. Documentation quality (e.g., unreadable or illegible).

8. Policy, procedures, or instructions and information inconsistent across certificate holder manuals (FOM - Flight Operations Manual to GMM - General Maintenance Manual, etc.).

9. Policy, procedures, or instructions and information inconsistent across media (e.g., paper, microfiche, electronic).

10. Resource requirements incomplete (personnel, facilities, equipment, technical data).

11. Other.



SAI SECTION 2 - CONTROLS ATTRIBUTE

Objective:

The questions in this section of the SAI will help determine if controls (i.e. checks and restraints) are designed into the processes associated with this element to ensure policies and procedures are followed to achieve desired results.

Tasks

The inspector shall accomplish the following task:

1 Review the policies, procedures, instructions and information to understand the controls associated with this element.

Questions

2.1 Are there controls in place to ensure that flights are properly dispatched or released?

Yes

No, Explain



2.2 Are there controls in place to ensure that flights are operated only over approved areas and routes?

Yes

No, Explain



2.3 Are there controls in place to ensure that the operator has sufficient facilities for releasing and monitoring its flights?

Yes

No, Explain



2.4 Are there controls in place to ensure that the operator uses certificated and qualified dispatchers to exercise its authorized operational control duties?

Yes

No, Explain

Not Applicable



2.5 Are there controls in place to ensure that the operator uses qualified flight followers to exercise its authorized operational control duties?

Yes

No, Explain

Not Applicable



2.6 Are there controls in place to ensure that flight crew personnel are advised of all changes that may affect safety of flight?

Yes

No, Explain



2.7 Are there controls in place to ensure that the operator is able to communicate with flights at any point along the route?

Yes

No, Explain

Not Applicable

Note(s):



All-cargo operations in airplanes with more than two engines are excepted.



2.8 Are there controls in place to ensure that the operator provides the flight crews with all appropriate weather information and the associated minimums?

Yes

No, Explain



2.9 Are there controls in place to ensure that the dispatcher/flight follower complies with the operator's emergency handling procedures?

Yes

No, Explain



2.10 Are there controls in place to ensure that flights are conducted only into airports certificated under 14 CFR part 139 or authorized by the Administrator?

Yes

No, Explain



2.11 Are there controls in place to ensure that the operator properly initiates, cancels, or diverts flights?

Yes

No, Explain



2.12 Are there controls in place to ensure that the pilot in command (PIC) ensures the safety of the passengers, crew, and cargo during the flight?

Yes

No, Explain



2.13 Are there controls in place to ensure that domestic and flag operators' operations schedules properly consider appropriate winds, cruising speeds, and servicing requirements?

Yes

No, Explain

Not Applicable



2.14 Are there controls in place to ensure that lease and interchange agreements are conducted properly?

Yes

No, Explain

Not Applicable



2.15 Are there controls in place to ensure that the individuals exercising operational control during supplemental operations are authorized by the operator?

Yes

No, Explain

Not Applicable



2.16 Is there a control in place to ensure that operator’s without an approved ground de-ice program ensure the aircraft wings, control surfaces, propellers, engine inlets, and other critical surfaces are free of frost, ice, and snow at takeoff?

Yes

No, Explain

Not Applicable





SAI SECTION 2 - CONTROLS ATTRIBUTE

Drop-Down Menu

1. No controls specified.

2. Documentation for the controls do not identify who, what, when, where, how.

3. Controls incomplete.

4. Controls could be circumvented.

5. Controls could be unenforceable.

6. Resource requirements incomplete (personnel, facilities, equipment, technical data).

7. Other.



SAI SECTION 3 - PROCESS MEASUREMENT ATTRIBUTE

Objective:

Process measurements ensure the operator uses an internal evaluation function to detect, identify, and eliminate or control hazards and the associated risk. For airworthiness elements this is a required function of the operator’s Continuing Analysis and Surveillance System (CASS), required by 14 CFR part 121.373. The director of safety and the quality assurance department often work together to accomplish this function for the operator. Negative findings could require amendments to the safety/internal evaluation program or CASS audit forms or checklists.

Tasks


1 Review the control questions in Section 2 of this SAI.

2 Review the operator's policies, procedures, instructions and information to gain an understanding of the process measurements accomplished for this element.

Questions

3.1 Are there process measurements that evaluate whether the operator’s policies, procedures, and controls are achieving the desired results?

Yes

No, Explain

Note(s): Inspectors should refer to the controls in Section 2 of this SAI for possible process measurements for this element. Persons engaged in this process should have a method for identifying undesired results.



3.2 Do the operator’s process measurements assess the performance of the processes associated with this element?

Yes

No, Explain

Note(s): Verify audits exist to measure this element’s performance. Verify audits are scheduled for this element. Verify audits ensure everyone, including all outsource providers, comply with the operator’s program, manual and all applicable regulations and statutes.



3.3 Does the operator's program require the documentation of process measurement results?

Yes

No, Explain



3.4 Does the operator's program describe how the process measurement results are used to improve the ability to achieve the desired results?

Yes

No, Explain





3.5 Does the organization that conducts the process measurements have direct access to the person with responsibility for this element?

Yes

No, Explain



SAI SECTION 3 - PROCESS MEASUREMENT ATTRIBUTE

Drop-Down Menu

1. No process measurements specified.

2. Documentation for the process measurements does not identify (who, what, when, where, how).

3. Inability to identify negative findings.

4. No provisions for implementing corrective actions.

5. Ineffective follow-up to determine effectiveness of corrective actions.

6. Resources requirements (personnel, facilities, equipment, technical data).

7. Other.



SAI SECTION 4 - INTERFACES ATTRIBUTE

Objective:

Data collected in this section helps the principal inspector determine if the operator identifies, documents and manages change between this process and other related processes within the operator’s organization. It is important for the operator to identify and document where interactions between processes exist, and to have a method of managing change between these processes. Written policies, procedures, or instructions and information that are interrelated and located in different manuals within the operator’s manual system must be consistent to allow personnel to perform their duties and responsibilities with a high degree of safety.

Tasks

The inspector shall accomplish the following task:

1 Review interfaces associated with the processes for this element.

Questions

4.1 Does the operator identify and document the interfaces between processes?

Yes

No, Explain



4.2 Does the operator have a method to evaluate the impact of changes in this process to other related processes that interface with this process?

Yes

No, Explain



SAI SECTION 4 - INTERFACES ATTRIBUTE

Drop-Down Menu

1. No interfaces specified.

2. The following interfaces not identified within the certificate holder's manual system:

3. Interfaces listed are inaccurate.

4. Specific location of interfaces not identified within the manual system.

5. Other



SAI SECTION 5 - MANAGEMENT RESPONSIBILITY & AUTHORITY ATTRIBUTE

Objective:

Data from questions in this section will help determine if there is an identifiable, qualified (when required by CFR), and knowledgeable person who:

Is responsible for the process,

Is answerable for the quality of the process, and

Has the authority to establish and modify the process.

Tasks


1 Identify the person(s) who has overall responsibility for this element.

2 Identify the person(s) who has the authority to revise the procedures associated with this element.

3 Review the duties and responsibilities of the above person(s).

4 Review the appropriate organizational chart.

Questions

5.1 Is an individual(s) identified who is responsible for the quality of the procedures associated with this element?

Yes

No, Explain



5.2 Is an individual(s) identified who has the authority to establish and modify the policies, procedures, instructions, and information associated with this element?

Yes

No, Explain



5.3 Are duties and responsibilities documented for those who manage the procedures associated with this element?

Yes

No, Explain



5.4 Does the operator document the procedures for delegation of authority for this element?

Yes

No, Explain



SAI SECTION 5 - MANAGEMENT RESPONSIBILITY & AUTHORITY ATTRIBUTE

Drop-Down Menu

1. Not documented.

2. Documentation unclear.



3. Documentation incomplete.

4. Other.

Documents

Safety Attribute Inspection (SAI) Data Collection Tool Revision#: … safety attribute... · 2014. 6. 17. · rapid two-way radio communication system or other means approved by the