Unscoped DCT Report (Standard DCT)


MLF Label: 1.2.3 (OP) Electronic Signatures, Recordkeeping and/or Manuals DCT Type: ED DCT Specialty: Operations Peer Group: C - Part 135 (9 or Less Seats) DCT Revision: 15.0 on 09/28/21 (Released)
Summary Information

Purpose (Certificate Holder Responsibility): To keep records in an FAA approved electronic signatures, recordkeeping and/or manual system.
Objective (FAA Responsibility): Determine if the CH will be able to; (1) Comply with regulations; (2) Keep records in an FAA approved electronic signatures, recordkeeping and/or manual based 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   
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: 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  3/8/2019 12:47:46 PM, 

QID:
 00051929, Response Details: Responsibility ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
2   
Does the process design ensure the individual with responsibility provides both financial and human resources for 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  3/8/2019 12:47:48 PM, 

QID:
 00051943, Response Details: Responsibility ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
3   
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: 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
4   
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: 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
5   
Do process measurement(s) exist to evaluate the performance of this element and implement corrective action if necessary?


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  3/8/2019 12:47:48 PM, 

QID:
 00051931, Response Details: Process Measurement ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
6   
Do process measurement(s) exist to evaluate the performance of this element and implement corrective action if necessary?


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  3/8/2019 12:47:48 PM, 

QID:
 00051945, Response Details: Process Measurement ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
7   
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 = "135" OR "145" OR "141" OR "142" OR "147") AND (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/8/2019 12:47:46 PM, 

QID:
 00051926, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
8   
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 = "135" OR "145" OR "141" OR "142" OR "147") AND NOT (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/8/2019 12:47:47 PM, 

QID:
 00051940, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
9   
Do the certificate holder's procedures ensure that an electronic signature provides equivalent qualities and attributes to those that are identified with a handwritten 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 = "121" OR "135") AND (OPSPEC = "A025") ,  Rev.  1  9/28/2021 9:21:42 AM, 

QID:
 00057672, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
10   
Does the certificate holder have policies and procedures that address each requirement for the use of electronic signatures, including the following:

      #1 Procedures addressing how the electronic signature process ensures regulatory compliance with 14 CFR as it applies to records and documents requiring signatures;
      #2 A description of the signature process;
      #3 Responsible personnel;
      #4 Defined users;
      #5 Training and user instructions;
      #6 System support;
      #7 Quality control and auditing; and
      #8 Policies and procedures for obtaining FAA acceptance prior to implementation?

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

NOTE: The policies and procedures must be part of the certificate holder's manual system or in a procedures document for those not required to have manuals.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") AND (OPSPEC = "A025") ,  Rev.  1  9/28/2021 9:21:43 AM, 

QID:
 00057673, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
11   
Do the certificate holder's procedures ensure that all electronic signatures meet the required standards for them to be considered 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 = "121" OR "135") AND (OPSPEC = "A025") ,  Rev.  1  9/28/2021 9:21:43 AM, 

QID:
 00057682, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
12   
Does the certificate holder have a definitive process that ensures all elements that comprise a valid electronic signature, in accordance with FAA standards, are present?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") AND (OPSPEC = "A025") ,  Rev.  1  9/28/2021 9:21:43 AM, 

QID:
 00057683, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
13   
Do the certificate holder's procedures ensure that an electronic record provides equivalent or better data integrity, accuracy, and accessibility 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 record preserves evidence of a particular event.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") AND (OPSPEC = "A025") ,  Rev.  1  9/28/2021 9:21:43 AM, 

QID:
 00057684, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
14   
Do the certificate holder's procedures ensure the minimum required information is contained in each electronic 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 = "121" OR "135") AND (OPSPEC = "A025") ,  Rev.  1  9/28/2021 9:21:43 AM, 

QID:
 00057685, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
15   
Does the certificate holder have electronic recordkeeping system policies, procedures, and methods in place that support the use of the system and ensure the integrity of the records maintained on the system, including the following:

      #1 System description;
      #2 Security;
      #3 Authenticity and prevention of unauthorized access or data corruption;
      #4 Quality control and auditing;
      #5 Maintenance support and backup measures;
      #6 Making records available to FAA and NTSB personnel;
      #7 Training and user instructions;
      #8 Persons with authorized access;
      #9 Instructor and Evaluator Access and Certifications;
      #10 Responsible personnel;
      #11 Transferring data to another system;
      #12 Continuity of data between hardcopy and electronic system; and
      #13 Electronic authentication, signature, validation, or endorsement?

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

NOTE: Electronic recordkeeping system procedures must be incorporated into the certificate holder's manual system or in a procedures document for those not required to have manuals, along with a description of the system itself.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") AND (OPSPEC = "A025") ,  Rev.  1  9/28/2021 9:21:44 AM, 

QID:
 00057686, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
16   
Do the certificate holder's procedures ensure that electronic manuals provide equivalent or better data integrity, accuracy, and accessibility to what would otherwise be provided by a printed manual?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") AND (OPSPEC = "A025") ,  Rev.  1  9/28/2021 9:21:44 AM, 

QID:
 00057700, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
17   
Do the certificate holder's procedures specify that the content of each electronic manual must be clearly identifiable and viewable by the user and must correlate and be comparable to what would by provided by a printed manual?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") AND (OPSPEC = "A025") ,  Rev.  1  9/28/2021 9:21:44 AM, 

QID:
 00057701, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
18   
Do the certificate holder's procedures ensure that the electronic system for delivering manual content, complies with regulatory requirements for currency, availability, and distribution to appropriate personnel?


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

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") AND (OPSPEC = "A025") ,  Rev.  1  9/28/2021 9:21:44 AM, 

QID:
 00057702, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
19   
Does the certificate holder have electronic manual system policies and procedures in place that support the use of the system and ensure the integrity of the manual content maintained and distributed via the system, including the following information:

      #1 Currency, access, availability, and distribution;
      #2 MEL direct access;
      #3 FAA and NTSB access;
      #4 Responsible personnel;
      #5 Prevention of unauthorized access and data corruption;
      #6 Storage, retrieval, and backup method;
      #7 Functionality;
      #8 Revision control;
      #9 Special considerations in displaying information;
      #10 Data archiving, and transferring data to another system;
      #11 System maintenance and support;
      #12 Quality control; and
      #13 Training and user instructions?

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

NOTE: Electronic manual system procedures must be incorporated into the certificate holder's manual system or procedures document for those not required to have manuals.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") AND (OPSPEC = "A025") ,  Rev.  1  9/28/2021 9:21:45 AM, 

QID:
 00057703, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
20   
Did the certificate holder's procedures specify that the master manual required by CFR, must include at least the following:

      #1 Description of electronic manual system;
      #2 Delivery media;
      #3 Personnel with authority and responsibility; and
      #4 A listing of manuals included?

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

NOTE: For certificate holders with a large and complex manual system, it is acceptable to list the kinds of manuals instead of listing each manual, provided all of the particular kinds of manual are maintained and distributed via the electronic manual system.

Safety Attribute: Procedures,  Question Type: Output Validation,  

Scoping Attribute:
  (FAR PART = "121" OR "135") AND (OPSPEC = "A025") ,  Rev.  1  9/28/2021 9:21:45 AM, 

QID:
 00057717, Response Details: EP & ED DCTs (Both OP and AW),  Status: Released

  Yes
  No
  Not Applicable
21   
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
22   
Do controls exist within this element that ensure risks are reduced to an acceptable level?


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  3/8/2019 12:47:47 PM, 

QID:
 00051941, Response Details: Controls ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
23   
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 = "135" OR "145" OR "141" OR "142" OR "147") AND (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/8/2019 12:47:46 PM, 

QID:
 00051928, Response Details: Interfaces ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
24   
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 = "135" OR "145" OR "141" OR "142" OR "147") AND NOT (SAFETY PROGRAMS = "SMSVP") ,  Rev.  2  3/8/2019 12:47:47 PM, 

QID:
 00051942, Response Details: Interfaces ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
25   
Does the process design require that individuals understand their safety role and how it contributes 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  3/8/2019 12:47:46 PM, 

QID:
 00051932, Response Details: Safety Ownership ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No
26   
Does the process design require that individuals understand their safety role and how it contributes 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  3/8/2019 12:47:48 PM, 

QID:
 00051946, Response Details: Safety Ownership ED/EP/SP DCTs (Both OP and AW),  Status: Released

  Yes
  No


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  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