Unscoped DCT Report (Standard DCT)


MLF Label: 1.2.3 (OP) Electronic Signatures, Recordkeeping and/or Manuals DCT Type: EP DCT Specialty: Operations Peer Group: J - Part 142 Training Centers DCT Revision: 6.0 on 06/22/21 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To keep records in an FAA accepted electronic signatures, recordkeeping and/or manual system.
Objective (FAA Responsibility): Determine; (1) If the training center followed the accepted or approved process; (2) If the training center kept records in an FAA accepted electronic signatures, recordkeeping and/or manual system.

 (OP) Electronic Signatures, Recordkeeping and/or Manuals Element includes the following System(s) and Subsystem(s)

Questions Answers Comments
  1.2.3 (OP) Electronic Signatures, Recordkeeping and/or Manuals
1   
Best describe how the training center followed automated recordkeeping system 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 4, A025

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  1  10/29/2019 9:22:37 AM, 

QID:
 00053662, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Consistently followed the procedures
  Some steps were missed or not followed
  Procedures were not consistently followed or adequate
  Not Observable
  Not Applicable
2   
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: 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
3   
Were financial and human resources provided to ensure the safety and quality performance of this element?


Safety Attribute: 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
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?


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

Safety Attribute: 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
5   
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: 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
6   
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
7   
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
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 (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
9   
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
10   
Did the training center ensure each record was preserved and not altered?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  2  5/28/2020 10:15:26 AM, 

QID:
 00053664, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
11   
Did the training center ensure the integrity of each record?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  2  5/28/2020 10:15:27 AM, 

QID:
 00053665, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
12   
Did the training center ensure the quality, accuracy, and integrity of the electronic records maintained on the system, as well as any backup system?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  2  5/28/2020 10:15:27 AM, 

QID:
 00053666, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
13   
Did the training center follow its procedures for electronic recordkeeping system maintenance and support?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  2  5/28/2020 10:15:27 AM, 

QID:
 00053667, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
14   
Did the training center provide its records to the FAA and/or NTSB, as applicable?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  2  5/28/2020 10:15:28 AM, 

QID:
 00053668, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
15   
Did the training center provide training and user instructions for persons responsible for entering, maintaining, and retrieving data from the electronic recordkeeping system?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  2  5/28/2020 10:15:28 AM, 

QID:
 00053669, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
16   
Did the training center ensure personnel met specific access requirements prior to making entries into the electronic recordkeeping system?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  2  5/28/2020 10:15:28 AM, 

QID:
 00053670, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
17   
Did the training center instructors and evaluators follow the procedures to access the electronic recordkeeping system in order to enter information and certify record entries for which they are responsible?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  2  5/28/2020 10:15:29 AM, 

QID:
 00053671, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
18   
Did the training center identify personnel who have the overall reaponsisbility for the integrity and security of the electronic recordkeeping system?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  2  5/28/2020 10:15:29 AM, 

QID:
 00053672, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
19   
Did the training center follow its procedures when updating its electronic recordkeeping system or transferring data to a new system?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  2  5/28/2020 10:15:30 AM, 

QID:
 00053673, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
20   
Did the training center ensure that any electronic signature is unique and difficult to duplicate?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC SIGNATURES") ,  Rev.  2  5/28/2020 10:15:32 AM, 

QID:
 00053676, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
21   
Did any electronic signature block contain a word or statement conveying the signatory's intent to affix his/her signature, and was the signatory prompted prior to affixing his/her signature?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC SIGNATURES") ,  Rev.  2  5/28/2020 10:15:32 AM, 

QID:
 00053677, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
22   
Was any signatory notified that their electronic signature was affixed when completed?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC SIGNATURES") ,  Rev.  2  5/28/2020 10:15:33 AM, 

QID:
 00053678, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
23   
Was each electronic signature attached to, or logically associated with the record or document being signed?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC SIGNATURES") ,  Rev.  2  5/28/2020 10:15:33 AM, 

QID:
 00053679, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
24   
Did the training center have an electronic signature process that is retrievable and traceable?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC SIGNATURES") ,  Rev.  2  5/28/2020 10:15:33 AM, 

QID:
 00053682, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
25   
Did the training center ensure that when an electronic signature was applied, it was permanent, and the information contained in the document or record was unalterable without a new signature?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC SIGNATURES") ,  Rev.  2  5/28/2020 10:15:33 AM, 

QID:
 00053683, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
26   
Did the training center follow security protocols and prevention of unauthorized access and modification?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC SIGNATURES") ,  Rev.  2  5/28/2020 10:15:34 AM, 

QID:
 00053684, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
27   
Was the training center able to correct records or documents that were electronically signed in error, as well as those documents where a signature is properly affixed but the information or data was in error?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC SIGNATURES") ,  Rev.  3  5/28/2020 10:15:34 AM, 

QID:
 00053685, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
28   
Did the training center safely archive documents signed electronically?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC SIGNATURES") ,  Rev.  3  5/28/2020 10:15:34 AM, 

QID:
 00053686, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
29   
Did the training center ensure the private key or access to the electronic system that affixes the signiture is under the sole custody of the signatory at all times?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC SIGNATURES") ,  Rev.  2  5/28/2020 10:15:34 AM, 

QID:
 00053687, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
30   
Did the training center ensure continuity of data during the transition from a hardcopy system to an electronic recordkeeping system?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  1  5/28/2020 10:15:31 AM, 

QID:
 00056178, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
31   
Did the training center ensure that any form of validation for an electronic record, meets the FAA standards for electronic signatures?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  1  5/28/2020 10:15:31 AM, 

QID:
 00056179, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
32   
Did the training center document their policies and procedures for the electronic signature process?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC SIGNATURES") ,  Rev.  1  5/28/2020 10:15:35 AM, 

QID:
 00056182, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
33   
Did the certificate holder's electronic records provide equivalent or better data integrity, accuracy, and accesibility to what would otherwise be provided by a paper record?


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

NOTE: A recordkeeping system stores and preserves evidence of a particular event.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  1  5/28/2020 10:15:35 AM, 

QID:
 00056183, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
34   
Did each electronic record contain the minimum required information?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  ( FAR PART = "142" ) AND (AUTHORIZATIONS = "ELECTRONIC RECORDKEEPING") ,  Rev.  1  5/28/2020 10:15:35 AM, 

QID:
 00056184, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
35   
Did the certificate holder's electronic signatures meet the required elements in order to be legally binding?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "142") AND (AUTHORIZATIONS = "ELECTRONIC SIGNATURES") ,  Rev.  1  5/28/2020 10:15:35 AM, 

QID:
 00056185, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
36   
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
37   
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
38   
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
39   
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
40   
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
41   
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