Unscoped DCT Report (Standard DCT)


MLF Label: 1.3.4 (AW) Computer-Based Recordkeeping System DCT Type: ED DCT Specialty: Airworthiness Peer Group: K - Part 147 Aviation Maintenance Technician Schools DCT Revision: 3.0 on 06/24/19 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To keep records in an FAA approved computer based recordkeeping system.
Objective (FAA Responsibility): Determine if the AMTS will be able to; (1) Comply with regulations; (2) Keep records in an FAA approved computer based recordkeeping system.

The (AW) Computer-Based Recordkeeping System Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  1.3.4 (AW) Computer-Based Recordkeeping System
1   
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
2   
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
3   
Do the procedures include a full description of the electronic recordkeeping system?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 2

NOTE: Since A025 deals with recordkeeping requirements in general, and electronic recordkeeping, a new vital will be needed for "ELECTRONIC RECORDKEEPING".

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "147") AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  1  10/17/2018 10:58:19 AM, 

QID:
 00054280, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
4   
Do the procedures include instructions for electronic signatures covering:

      #1 How they will be controlled; and
      #2 The types to be used?

REFERENCES: 8900.1 Vol 3 Ch 31 Sec 2, AC-120-78, A025

NOTE: Since A025 deals with recordkeeping requirements in general, and electronic recordkeeping, a new vital will be needed for "ELECTRONIC RECORDKEEPING".

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "147") AND (AUTHORIZATIONS = "ELECTRONIC SIGNATURES") ,  Rev.  2  6/24/2019 9:37:55 AM, 

QID:
 00054281, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
5   
Do the procedures 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?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 2, AC-120-78, A025

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "147") AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  1  10/17/2018 10:58:19 AM, 

QID:
 00054284, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
6   
Do the procedures exist and are they designed to prevent users from gaining unauthorized access?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 1, AC-120-78

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "147") AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  1  10/17/2018 10:58:19 AM, 

QID:
 00054285, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
7   
Do the procedures require frequent back-ups of computerized records at off-sight storage locations?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 2, AC-120-78

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "147") AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  1  10/17/2018 10:58:19 AM, 

QID:
 00054286, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8   
Do the procedures require the AMT to provide the responsible Flight Standards office the current records in a format acceptable to the FAA?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 2, AC-120-78

NOTE: Manuals and Records submitted in electronic format must be compatible with the FAA electronic capabilities and free of any programs that would adversely affect that capability.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "147") AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  2  6/24/2019 9:37:55 AM, 

QID:
 00054287, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
9   
Do the procedures specify electronic recordkeeping requirements for:

      #1 Producing paper copies at the request of the FAA;
      #2 Allowing the FAA to review records and information at their respective offices;
      #3 Prohibiting the electronic recordkeeping system from password duplication;
      #4 Auditing the electronic recordkeeping system every 60 days, and filing as part of the record retention requirements;
      #5 Ensuring the integrity (hardware and software) of each computerized workstation;
      #6 Ensuring computerized records are transmitted per the appropriate regulatory requirements, and in an acceptable format to the FAA; and
      #7 Ensuring the person with authority specifies who is authorized to use electronic signatures and who is authorized to have access to the appropriate records?
      #8 Attendance, tests and grades received on the subjects required by this part;
      #9 Instruction credited for previous training or experience;
      #10 Authenticated transcript of grades to support previous training; and
      #11 Current progress chart or individual progress record, showing the practical projects or laboratory work completed, or to be completed, by the student in each subject?

REFERENCES: AC-120-78

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "147") AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  2  6/24/2019 9:37:55 AM, 

QID:
 00054288, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
10   
Do the procedures require a backup method for providing access to maintain and distribute electronic records, in the event of a system failure?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 2

NOTE: 8900.1 Vol 3 Ch 31 Sec 2 Para 3-3013 M & N

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "147") AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  1  10/17/2018 10:58:19 AM, 

QID:
 00054300, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
11   
Do the AMTS procedures contain the following:

      #1 Methods for distribution and/or access to manuals; and
      #2 An explanation of the media by which the manuals will be distributed to required personnel?

REFERENCES: 8900.1 Vol 3 Ch 31 Sec 2

NOTE: 8900.1 Vol 3 Ch 31 Sec 2 Para 3-3013 O

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "147") AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  1  10/17/2018 10:58:19 AM, 

QID:
 00054301, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
12   
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


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, 2.0)
1 Not applicable or authorized for the certificate holder or applicant
2 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  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