Unscoped DCT Report (Standard DCT)

MLF Label: 1.2.3 (OP) Computer-Based Recordkeeping System (Released)
DCT Type: ED DCT
Specialty: Operations
Peer Group: A - Part 121 Air Operators
DCT Revision: 7.0 on 07/13/2016 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To keep records in an FAA approved computer based system.

Objective (FAA Responsibility): Determine if the CH will be able to; (1) Comply with regulations; (2) Keep records in an FAA approved computer based system.

 
   

Questions Answers References
1.2.3 (OP) Computer-Based Recordkeeping System
1. Is the individual with responsibility clearly identifiable and required to have the knowledge and qualifications necessary to plan, organize, direct and control activities for this element?



NOTE: 


Safety Attribute: Management Responsibility, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121") OR (FAR PART = "135") OR (FAR PART = "145") , Rev.  5.0  07/12/2016, QID: 00010624, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
2. Is the individual with authority clearly identifiable, and required to have the knowledge and qualifications necessary to direct, control, or change procedures, and make key decisions, such as safety risk acceptance, associated with this element?



NOTE: 


Safety Attribute: Management Authority, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121") OR (FAR PART = "135") OR (FAR PART = "145") , Rev.  5.0  07/12/2016, QID: 00010630, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
3. Are there process measurements that provide for the continuous monitoring and measuring of safety performance related to this element, to identify deficiencies or hazards?



NOTE: 


Safety Attribute: Process Measurement, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121") OR (FAR PART = "135") OR (FAR PART = "145") , Rev.  5.0  07/12/2016, QID: 00010622, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
4. Do the procedures require the Operator to maintain copies of the following for at least 3 months:
      #1 Load manifest;
      #2 Dispatch release; and
      #3 Flight plan?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121" ) AND ( TYPE 119 OPERATION = "DOMESTIC" OR "FLAG" ) AND ( OPSPEC = "A025" ) , Rev.  2.0  05/08/2014, QID: 00000944, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
A025; 121.695(a); 121.695(b)
5. Does the General Operations Manual provide a full description of the electronic recordkeeping system?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121" ) AND ( OPSPEC = "A025" ) , Rev.  1.0  09/20/2012, QID: 00000957, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
A025; 121.135
6. Do the procedures require that the electronic signing process meet the required criteria and is considered legally binding?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121" ) AND ( OPSPEC = "A025" ) , Rev.  1.0  09/20/2012, QID: 00000958, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 3 Ch 31 Sec 2; A025
7. Do the procedures require that records be retained for the applicable currency period?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121" ) AND ( OPSPEC = "A025" ) , Rev.  1.0  09/20/2012, QID: 00000959, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 3 Ch 31 Sec 3; A025
8. Do the procedures require currency records as the documentation of training or qualification events?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121" ) AND ( OPSPEC = "A025" ) , Rev.  1.0  09/20/2012, QID: 00000960, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 3 Ch 31 Sec 3; A025
9. Does the manual include the automated recordkeeping system structure and instructions for using computer commands for operations such as data entry, data processing, data retrieval, data security, and report generation?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121" ) AND ( OPSPEC = "A025" ) , Rev.  1.0  09/20/2012, QID: 00000961, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 3 Ch 31 Sec 4; A025
10. Do procedures exist in enough detail to meet the regulatory and guidance requirements for this element to produce the intended results?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121") OR (FAR PART = "135") OR (FAR PART = "145") , Rev.  5.0  07/12/2016, QID: 00010595, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
11. Do procedures require frequent back-ups of computerized records at off-sight storage locations?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121" ) AND ( OPSPEC = "A025" ) , Rev.  1.0  01/07/2016, QID: 00049353, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 3 Ch 31 Sec 4; AC-120-78; A025
12. Do controls exist to ensure processes associated with this element achieve the intended results?



NOTE: Controls associated with this element may include, but are not limited to, hardware, software, special procedures or procedural steps, checklists, or supervisory practices.


Safety Attribute: Controls, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "145") OR (FAR PART = "121") OR (FAR PART = "135") , Rev.  4.0  07/12/2016, QID: 00010681, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
13. Does the certificate holder have a method to evaluate the impact of changes on related processes (interfaces) for this element?



NOTE: 


Safety Attribute: Interfaces, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "121") OR (FAR PART = "135") OR (FAR PART = "145") , Rev.  5.0  07/12/2016, QID: 00010623, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable


Response Details List EP & ED DCTs (Both OP and AW) (Released , 1.0)
1 Unclear procedure(s)
2 Conflicting procedure(s)
3 Used workaround(s)
4 Skipped process step(s)
5 Personnel failed to follow process (procedures, guidance, etc)
6 Procedures/guidance not available
7 Procedures/guidance not current
8 Inconsistent procedure(s)
9 Undocumented procedure(s)
10 Minor typographical error(s) (i.e. record entries)
11 Information missing
12 Communication failure(s)
13 Personnel failed to perform task
14 Process failed to meet desired outcome
15 Process oversight failure
16 Equipment/tools not available
17 Equipment/tools not adequate
18 Equipment/tools not calibrated
19 Facilities not adequate
20 Other
Response Details List N/A Response Detail (Released , 1.0)
1 Operator not authorized by OpSpecs
2 Equipment not equipped/authorized
3 Not applicable due to exemption, deviation, or exception
4 Not authorized by regulation
5 Not authorized by Order
6 Not authorized by Notice
7 Not authorized/recommended by Advisory Circular
8 Not authorized by Policy Letter, Legal Interpretation, or other guidance
9 Other