Unscoped DCT Report (Standard DCT)

MLF Label: 1.2.3 (OP) Computer-Based Recordkeeping System (Released)
DCT Type: ED DCT
Specialty: Operations
Peer Group: E - Part 135 (HAA)
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. Does the Operator's manual require personnel to follow approved procedures as authorized in OpSpec A025?



NOTE: 


Safety Attribute: Process Measurement, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "135" ) AND ( OPSPEC = "A025" ) , Rev.  1.0  09/20/2012, QID: 00000984, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
A025
4. 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
5. Do the procedures require the system to identify the certifying instructor, supervisor, or check airman?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "135" ) AND ( OPSPEC = "A025" ) , Rev.  1.0  09/20/2012, QID: 00000963, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 3 Ch 20 Sec 2; 8900.1 Vol 3 Ch 31 Sec 4; A025; 135.323(c)
6. Do the procedures specify that the records of each pilot will include, but not limited to, the following:
      #1 Their full name and pilot certificate (by type and number) with ratings held;
      #2 Aeronautical experience in sufficient detail to determine the pilot's qualifications to pilot aircraft in operations;
      #3 Current duties and the date of the pilot's assignment to those duties;
      #4 The effective date and class of the medical certificate that the pilot holds;
      #5 The date and result of each of the initial and recurrent competency tests, and proficiency and route checks which includes the type of aircraft flown during that test or check;
      #6 The pilot's flight time in sufficient detail to determine compliance with the flight time limitations; and
      #7 The date of the completion of the initial phase and each recurrent phase of the training required?



NOTE: The pilot's check pilot authorization, if any, must be included in their record.


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "135" ) AND ( OPSPEC = "A025" ) , Rev.  2.0  06/24/2014, QID: 00000964, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 3 Ch 19 Sec 2; 8900.1 Vol 3 Ch 31 Sec 4; A025; 135.63(a)
7. Do the procedures specify that for the records required of 135.63(a)(4) and 135.63(a)(5) be retained for at least 12 months?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "135" ) AND ( OPSPEC = "A025" ) , Rev.  1.0  09/20/2012, QID: 00000976, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 3 Ch 31 Sec 3; A025; 135.63(b)
8. Do the policies and procedures require the Operator to maintain copies and custody of the load manifest records for least 30 days?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "135" ) AND ( OPSPEC = "A025" ) AND ( PROPULSION = "MULTIENGINE" ) , Rev.  1.0  09/20/2012, QID: 00000977, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 3 Ch 31 Sec 4; A025; 135.63(c); 135.63(d)
9. Do the procedures require use of a recordkeeping system that uses an AQP to comply with requirements of 135.63?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "135" ) AND ( OPSPEC = "A025" ) AND ( OPSPEC = "A034" ) , Rev.  1.0  09/20/2012, QID: 00000978, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
AC-120-54; A025; A034; 121.925
10. Does the General Operations Manual provide a full description of the electronic recordkeeping system?



NOTE: Reference the General Operations Manual appropriately in OpSpec A025.


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "135" ) AND ( OPSPEC = "A025" ) , Rev.  2.0  02/19/2014, QID: 00000979, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 3 Ch 18 Sec 3; 8900.1 Vol 3 Ch 31 Sec 4; 8900.1 Vol 3 Ch 32 Sec 4; A025; 135.63
11. 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 = "135" ) AND ( OPSPEC = "A025" ) , Rev.  1.0  09/20/2012, QID: 00000980, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 3 Ch 31 Sec 4; A025; 135.63
12. 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 = "135" ) AND ( OPSPEC = "A025" ) , Rev.  1.0  09/20/2012, QID: 00000981, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 3 Ch 31 Sec 3; 8900.1 Vol 3 Ch 31 Sec 4; A025; 135.63(a)
13. Does the Operator's 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: The approval process for a 14 CFR Part 135 Operator must comply with the same criteria as a 14 CFR Part 121 Operator.


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "135" ) AND ( OPSPEC = "A025" ) , Rev.  1.0  09/20/2012, QID: 00000982, 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; 135.63
14. Does the Operator's procedures specify all records required by 135.63 be kept at its principal business office or other location approved by the FAA?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "135" ) AND ( OPSPEC = "A025" ) , Rev.  1.0  09/20/2012, QID: 00000983, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 3 Ch 31 Sec 3; A025; 119.59(b); 135.63(a)
15. 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
16. Do the procedures specify that an individual record for each required flight attendant will be maintained with sufficient detail to determine compliance with the applicable portions of 14 CFR 135.273?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "135") AND (OPSPEC = "A025") AND (CREWMEMBERS = "FLIGHT ATTENDANTS") , Rev.  1.0  06/24/2014, QID: 00043108, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 3 Ch 19 Sec 2; 8900.1 Vol 3 Ch 31 Sec 4; A025; 135.63(a)
17. Do the procedures specify that the records of each pilot will include the pilot's release from employment for physical or professional disqualification?



NOTE: 


Safety Attribute: Procedures, Question Type: Output Validation, Scoping Attribute:  (FAR PART = "135") AND (OPSPEC = "A025") , Rev.  1.0  06/24/2014, QID: 00043109, Response Details: EP & ED DCTs (Both OP and AW), Status: Released
   Yes
   No
   Not Applicable
8900.1 Vol 3 Ch 31 Sec 4; A025; 135.63(a)
18. 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
19. 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