Unscoped DCT Report (Standard DCT)


MLF Label: 1.2.3 (OP) Computer-Based Recordkeeping System DCT Type: ED DCT Specialty: Operations Peer Group: A - Part 121 Air Operators DCT Revision: 11.0 on 05/28/20 (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.

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

Questions Answers Comments
  1.2.3 (OP) Computer-Based Recordkeeping System
1   
Does the process design ensure the individual with responsibility provides both financial and human resources for the safety and quality performance of this element?


REFERENCES: 5.23(a), 5.25(a), 5.25(b), 5.25(c), 5.21

Safety Attribute: Management Responsibility,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/8/2019 12:47:45 PM, 

QID:
 00051915, Response Details: Responsibility 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?


REFERENCES: 5.23(a), 5.23(b), 5.25(c)

Safety Attribute: Management Authority,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/8/2019 12:47:48 PM, 

QID:
 00051916, Response Details: Authority ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
3   
Do process measurement(s) exist to evaluate the performance of this element and implement corrective action if necessary?


REFERENCES: 5.75, 5.71, 5.73

Safety Attribute: Process Measurement,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/8/2019 12:47:48 PM, 

QID:
 00051917, Response Details: Process Measurement ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
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?

REFERENCES: A025, 121.695(a), 121.695(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) AND ( TYPE 119 OPERATION = "DOMESTIC" OR "FLAG" ) AND ( OPSPEC = "A025" ) ,  Rev.  2  5/21/2014 10:22:23 PM, 

QID:
 00000944, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
5   
Does the General Operations Manual provide a full description of the electronic recordkeeping system?


REFERENCES: A025, 121.135

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) AND ( OPSPEC = "A025" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00000957, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
6   
Do the procedures require that the electronic signing process meet the required criteria and is considered legally binding?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 2, A025

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) AND ( OPSPEC = "A025" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00000958, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
7   
Do the procedures require that records be retained for the applicable currency period?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 3, A025

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) AND ( OPSPEC = "A025" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00000959, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8   
Do the procedures require currency records as the documentation of training or qualification events?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 3, A025

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) AND ( OPSPEC = "A025" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00000960, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
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?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 4, A025

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" ) AND ( OPSPEC = "A025" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00000961, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
10   
Do procedures exist in enough detail to meet the regulatory and guidance requirements for this element to produce the intended results?


Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  1  3/13/2018 11:30:19 AM, 

QID:
 00051912, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
11   
Do controls exist within this element that ensure risks are reduced to an acceptable level?


REFERENCES: 5.51, 5.53, 5.55

Safety Attribute: Controls,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/8/2019 12:47:45 PM, 

QID:
 00051913, Response Details: Controls ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
12   
Does the certificate holder have a method to evaluate the impact of changes on related processes (interfaces) for this element?


Safety Attribute: Interfaces,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/8/2019 12:47:45 PM, 

QID:
 00051914, Response Details: Interfaces ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
13   
Does the process design require that individuals understand their safety role and how it contributes to the safety performance of this element?


REFERENCES: 5.23(a), 5.91, 5.93

Safety Attribute: Safety Ownership,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121") ,  Rev.  2  3/8/2019 12:47:46 PM, 

QID:
 00051918, Response Details: Safety Ownership 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  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  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  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  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  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