Unscoped DCT Report (Standard DCT)


MLF Label: 1.2.3 (OP) Computer-Based Recordkeeping System DCT Type: EP DCT Specialty: Operations Peer Group: D - Part 135 (9 or Less Seats/Single Pilot) DCT Revision: 13.0 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; (1) If the CH followed the accepted or approved process; (2) If the CH kept 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   
Best describe how the Operator followed its approved electronic recordkeeping procedures.


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 4, AC-120-78, A025

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "A025" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00011594, 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   
Best describe how the Operator's recordkeeping system identified the certifying instructor, supervisor, or check airman.


REFERENCES: 8900.1 Vol 3 Ch 20 Sec 2, 8900.1 Vol 3 Ch 31 Sec 4, A025, 135.323(c)

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "A025" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00011603, 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
3   
Best describe how the electronic signing process met the required criteria and was considered legally binding.


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 4, A025

Safety Attribute: Procedures,  Question Type: Process Observation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "A025" ) ,  Rev.  2  3/29/2014 7:15:58 AM, 

QID:
 00011618, 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
4   
Best describe how the Operator followed 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 = "135" ) AND ( OPSPEC = "A025" ) ,  Rev.  2  3/29/2014 7:12:20 AM, 

QID:
 00011620, 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
5   
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: Management 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
6   
Were financial and human resources provided to ensure the safety and quality performance of this element?


Safety Attribute: Management 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
7   
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: 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  3/15/2019 9:08:43 AM, 

QID:
 00051937, Response Details: Authority ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
8   
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: 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  3/15/2019 9:08:44 AM, 

QID:
 00051951, Response Details: Authority ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
9   
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
10   
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
11   
Were the required records available at the locations approved by the Administrator?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 4, AC-120-78, A025, 135.63(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "A025" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00011595, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
12   
Did the computer-based recordkeeping system have adequate storage capacity for all required records?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 4, A025

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "A025" ) ,  Rev.  2  3/29/2014 7:12:35 AM, 

QID:
 00011597, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
13   
Were the archived records retrieved in a timely manner?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 4, AC-120-78, A025

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "A025" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00011598, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
14   
Were unauthorized entries or changes to records prevented?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 4, AC-120-78, A025

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "A025" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00011601, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
15   
Verify the records for each crewmember included, but are 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?

REFERENCES: 8900.1 Vol 3 Ch 19 Sec 2, 8900.1 Vol 3 Ch 31 Sec 4, A025, 135.63(a)

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  7/17/2014 4:36:38 PM, 

QID:
 00011604, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies
  Not Observable
  Not Applicable
16   
Verify the Operator retained records for the records required of 135.63(a)(4) and 135.63(a)(5) be retained for at least 12 months?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 3, A025, 135.63(b)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "A025" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00011616, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies
  Not Observable
  Not Applicable
17   
Verify the Operator maintained copies and custody of load manifest records for least 30 days.


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 4, A025, 135.63(c), 135.63(d)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "A025" ) AND ( PROPULSION = "MULTIENGINE" ) ,  Rev.  1  5/14/2014 10:51:14 AM, 

QID:
 00011617, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies
  Not Observable
  Not Applicable
18   
Verify the required currency records documented training or qualification events?


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 3, 8900.1 Vol 3 Ch 31 Sec 4, A025, 135.63(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "A025" ) ,  Rev.  2  6/25/2019 4:18:35 PM, 

QID:
 00011619, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate
  The records contained discrepancies
  Not Observable
  Not Applicable
19   
Did the Operator keep all records required by 135.63 at its principal business office or other location approved by the FAA.


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 3, A025, 119.59(b), 135.63(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135" ) AND ( OPSPEC = "A025" ) ,  Rev.  2  3/29/2014 7:10:39 AM, 

QID:
 00011621, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
20   
Did personnel follow approved procedures as authorized in OpSpec A025?


REFERENCES: A025

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A025") ,  Rev.  1  3/29/2014 7:13:57 AM, 

QID:
 00026567, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Observable
  Not Applicable
21   
Verify the records for each required flight attendant are maintained with sufficient detail to determine compliance with the applicable portions of 14 CFR 135.273.


REFERENCES: 8900.1 Vol 3 Ch 19 Sec 2, 8900.1 Vol 3 Ch 31 Sec 4, A025, 135.63(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (CREWMEMBERS = "FLIGHT ATTENDANTS") AND (OPSPEC = "A025") ,  Rev.  1  7/17/2014 4:48:23 PM, 

QID:
 00043140, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate;
  The records contained discrepancies
  Not Observable
  Not Applicable
22   
Verify records of each pilot, as applicable, include the pilot's release from employment for physical or professional disqualification.


REFERENCES: 8900.1 Vol 3 Ch 31 Sec 4, A025, 135.63(a)

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "135") AND (OPSPEC = "A025") ,  Rev.  1  7/17/2014 4:48:24 PM, 

QID:
 00043155, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  The records were accurate;
  The records contained discrepancies
  Not Observable
  Not Applicable
23   
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
24   
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
25   
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
26   
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
27   
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
28   
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
29   
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
30   
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  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/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  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