Audit Procedures
Airworthiness
Presented by COSCAP SA
Outline
We will cover :
•Introductions
•Course Objective
•Course Administration and Outline
4
Objective
ONE
•To provide Inspectors with the basic
skills and knowledge required to
participate as a Team Member in any audit.
5
Objective
TWO
•To be able to write an audit finding
accurately, and in accordance with the
applicable Civil Aviation standard and the
course material.
6
Overview of the
Audit Process
Inspectors Handbooks
Note:
The procedures outlined in this presentation
are detailed in Chapter 17 of the Airworthiness
Inspectors handbook:
1 Audit Procedures
2 Policy and Procedures
3 Check Lists
4
Aim
• To give a description of the
audit process.
2
Outline
We will cover:
•An overview of Audits
•Definition of an Audit
•Reasons for Conducting an Audit (Types)
•Classes of Audits
•Team Composition and Roles of Members
•Frequency
•Steps in the audit process.
3
What is an audit?
An audit is an in-depth review of
the activities of an organization
to verify conformance to applicable
Civil Aviation regulations and standards.
5
Auditing
The auditing process places the relationship between the
regulated organisation and its regulator into the proper
context. It reinforces that essential requirement that the
responsibility for safety rests with the regulated
organisation. If the organisation has effective systematic
arrangements for managing safety, it will have little
difficulty in responding immediately and thoroughly to an
audit. The organisation will be more open about
incidents and its failures because its safety management
procedures will enforce visibility and due process. It will
also want to explain what went wrong and how the
matter was dealt with to reassure the regulator.
5
The 4 basic activities
during an audit:
• Pre-audit
• Physical audit
• Post audit
• Audit follow-up
6
Audit Program
Purpose:
To ensure that a satisfactory level of
aviation safety is maintained, and
that the governments Civil Aviation’s audit
policies and procedures are applied
nationally in a uniform manner.
7
Audit Types:
Initial Certification Audit
Approximately six months after the
issuance of an Air Operating Certificate or
Approved Maintenance Organization
Certificate
8
Audit Types:
Additional Authority Audit
•Prior to granting additional
authorities an audit may be
conducted.
9
Audit Types:
Routine Conformance Audit
Every holder of an Air Operating Certificate,
Approved Maintenance Organization Certificate,
or any other type of aviation organization certificate,
should be audited on a periodic cycle ranging
from six to 60 months.
10
Audit Types:
Special Purpose Audits
Called due to special circumstances, i.e..
an accident, safety concerns etc. These
audits are sometimes referred to as "No
notice Audits".
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Initial Audit Procedures Course
Audit Classes
•Combined - Operations and
Airworthiness conduct audits of their
specialties simultaneously under the
direction of one Audit Manager.
•Specialist - Airworthiness and
Operations audit their specialties
separately.
12
Classes of Audits
•Large Combined Audit
•Small Combined Audit
•Specialist Audit
• Airworthiness
• Operations
13
Outputs of an Audit
•Audit Report
•Parallel Report
14
The Audit Team
Convening
Authority
Audit
Manager
Team Leader
Ops
Team Leader
A/W
Team Member
Ops
Team Member
A/W
Others*
15
Convening Authority
The person responsible for authorizing and
overseeing a regulatory audit
16
Audit Manager
•Plans, organizes, directs, and
controls the audit process.
•Required on every audit.
17
Team Leaders
•Support and assist the Audit Manager.
•Not necessarily required on every audit.
18
Team Members
•Conduct the audit field work
•Document findings
•Generally on every audit
19
Observers
•Accompany the audit team during the audit.
•Do not participate in the physical inspection
unless specifically directed to do so.
•Not necessarily on every audit.
20
STEPS IN THE AUDIT PROCESS
CONVENING AUTHORITY
•Sets the Audit Schedule
•Appoints the Audit Manager
21
STEPS IN THE AUDIT PROCESS
AUDIT MANAGER
•Selects the team
•Communicates internally and externally
•Prepares the audit plan
•Establishes contact with the Auditee
•Sets the audit date(s)
22
STEPS IN THE AUDIT PROCESS
AUDIT MANAGER (con't)
• Initiates the Audit Plan
• Reviews outputs from the audit
• Formulates the Audit Report and Parallel
Findings
• Presents report(s) to the Convening Authority
• Ensures that the Audit Report is forwarded to
the Auditee.
23
PLANNING
Initial Audit Procedures Course
AIM
• To describe the various parts
involved in the planning of an audit in
accordance with the applicable
Civil Aviation standards
2
Initial Audit Procedures Course
OUTLINE
1. AN OVERVIEW OF PLANNING
2. SCOPE AND DEPTH OF AN AUDIT
3. AUDIT PLAN
3
Initial Audit Procedures Course
AUDIT PLAN
Purpose
•To ensure that the objectives of the
audit are met.
4
Initial Audit Procedures Course
AUDIT PLAN
• MAIN USERS
- Plan Audit Manager and Team will work from
• Logistical details
• SECONDARY USERS
- To Convening Authority for Approval
• Who, When, How Long and Costs
– To Auditee
• When, Areas to be audited and Special Requests
5
The Mind Map
Initial Audit Procedures Course
Schedule
Team
Selection
Scope &
Depth
Audit of
Acme Aero
Objective
Budget
•Travel
•Accommodation
•Per Diems
•Land transport
•Budget
Contingencies
Preps
•Company File Review
•Previous Audit Report
•Company Manuals
•Principal Insp Briefing
Initial Audit Procedures Course
PLANNING
WHY
•Ensures efficiency and economics
8
Initial Audit Procedures Course
PLANNING
Purpose/Function
• Identifies functions
- Shows areas where flexibility is
possible
- Shows areas where there is no
margin for error
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Initial Audit Procedures Course
Critical Path Planning
Entry Meeting
Company De-brief
Scope & Depth
Team Selection
Physical Insp.
Audit Report
Budget
Functional Areas
Wrap-up Activities
Team Meeting
Findings
Daily Meetings
Preps
Documents
Pre-Audit
Start
Audit
Post-Audit
Follow-Up
Finish
Initial Audit Procedures Course
SCOPE
What is it?
‘SCOPE’ is defined as the number of functional
areas within a company's operation that will
be audited.
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Initial Audit Procedures Course
SCOPE
Determined by the class or type
of audit to be conducted
•Combined
•Specialist
•Special Purpose
12
Initial Audit Procedures Course
SCOPE
Functional Areas
Defined as 28 discrete areas or departments within
an organization e.g.:
Code
Topic
A-1 Maintenance Control Manual
A-2 Technical Publications
A-3 Company Quality Audits
A-4 Engineering
A-5 Support/Overhaul Shops
A-6 Aircraft Maintenance Records, etc
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Initial Audit Procedures Course
SCOPE
Functional Areas
• Determined by
- Review OC & OPS Specs to determine size of auditee
- Review AMO’s, Distributors and Manufacturers
- Review Certificates of Approval, A/C limitations,
Maintenance and/or Quality Control Manuals for
Airworthiness
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Initial Audit Procedures Course
DEPTH
•The period of time over which a
company’s operations will be
audited, normally from the last audit
until present day.
•It could also be thought of as the
extent or the size of the audit.
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Initial Audit Procedures Course
Planning Factors
Company
• Discuss company history with appropriate CAA Inspectors
• Obtain and review previous audit report and
follow-up action.
• Review company files (Looking for exemptions and
special authorities)
• Obtain and review certificates of approval and
limitations (AOC’s etc.)
• Review Manuals (MCM, Ops, Training, Cabin
Attendant as applicable)
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Initial Audit Procedures Course
Planning Factors
Company
• Review accident reports
• Review company changes (personnel, aircraft,
facilities, equipment, management, etc.)
• Bases
• Size of company for sampling rationale
18
Initial Audit Procedures Course
SAMPLING RATIONALE
MRA set out a table for sampling to
95% confidence level
• Confidence level of 95% is identified in the MRA.
• In practical terms it may not be realistic to review all
aircraft in the fleet. Significant findings against one
type of aircraft may require additional review against
other types. You must be realistic when conducting
the review and look at each audit situation
independently.
S
C
I
E
N
C
E
19
Sampling Rates for 95% Confidence
9
8
7
6
5
4
3
2
1
0
Fleet Size
Sample
Required
A300-B4
A300-600
A330
737-300
737-400
747-200
747-400
DC10-30
MD11
F28
Initial Audit Procedures Course
Planning Factors
Bases
•When was the last audit?
•Review the company and compliance history.
•What was found at the bases during the last
audit?
•Was there a follow-up? How did it go?
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Initial Audit Procedures Course
Planning Factors
Bases
•How accessible are the bases and is it
worthwhile to visit?
•Can we find the information elsewhere?
•What manpower is required?
•Determine risk management.
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Initial Audit Procedures Course
Planning Factors
Manpower
•Team Members. Are the right people available?
•Will Subject Matter Experts be required?
•Will all Specialties be covered?
•Do I need Support Staff?
•How can I get the best utilization of team
members?
22
Initial Audit Procedures Course
Planning Factors
Duration
•Size of Company
•Record of Company
•Capabilities/diversification of A/C, etc.
•Scope and function of work carried out
•Distance, location and company scope of work
•Unforeseen circumstances (weather, travel etc.)
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Initial Audit Procedures Course
Planning Factors
Duration
•Significant areas of concern will increase
sampling & duration.
•Availability of team members
•Loss of a team member (illness, accident etc)
•Experience level of auditors
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Initial Audit Procedures Course
Audit Planning
Rule of Thumb
•Small
1 - 5 days
•Medium 5 - 15 days
•Large 15 +
days
25
Initial Audit Procedures Course
Funding
Consider:
•Class of Audit
•The number of people on the team
•The scope of the audit
•Accommodation, meals, etc.
•Foreign travel, Air and ground transportation,
•Equipment/conference room, rentals.
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Initial Audit Procedures Course
Staffing
Considerations
•Make an Organization Chart
•Select Team Leaders
•Select Subject Matter Experts
•Select Advisors (if required)
•Determine support personnel requirements
28
Lucky Airlines
AMO 58/0100, AOC/40-001
Lucky Airlines AUDIT ORGANIZATIONAL CHART
1997
Convening Authority
Director, Airworthiness
Cpt Harry
Audit Manager
Ted Smith
Adminitrative Assistant
Ms Lush
Airworthiness Team Leader
Joe Hunt
Deputy Team Leader
Engineering
Bob Scott
Deputy Team Leader
Fleet Analysis
Dick
Operational Team Leader
tba
Deputy Team Leader
Standards
T Hard
Inspector
A300, A330,
B727,B737
DC-10, MD-11
Inspector
Inspector
Inspector
Inspector
Inspector
Inspector
Inspector
Inspector
Inspector
Inspector
AIRWORTHINESS
Showing Functional areas to be
audited
Audit Areas
Engineering
Fleet Analysis
Standards
A1
IPM
A1
IPM
A1
IPM
A2
Technical Publications
A2
Technical Publications
A8
Parts/Material Control
A3
Company Internal Audits
A3
Company Internal Audits
A12
Test Flights
A4
Engineering
A6
Aircraft Maintenance Records
A13
Maintenance Contracts
A5
Support/Overhaul Shops
A7
Sample Aircraft for Conformance
A15
Airworthiness Control Committee
A14
Certification of Components
A9
Maintenance Programs
A17
Maintenance Training Standards
A16
AWD/SB Compliance
A10
Reliability Programs
A18
Licencing Certification Standards
A11
MEL
A20
Facilities/General
A16
AWD/SB Compliance
A19
Fuelling/Refuelling/ Fire Prevention
A21
Sub-Bases/Enroute
tba
Initial Audit Procedures Course
Audit Plan
Purpose
•To ensure audit goals and
objectives are effectively and
efficiently achieved.
29
Communication
Aim
•To describe the lines of communication
which must be established in order to
conduct an effective audit.
2
Outline
We will cover:
•Lines of communication
3
Lines of Communication
Purpose
•To ensure the audit plan is followed;
•To ensure all team members
understand with whom they will
communicate;
•To ensure unforeseen problems are
dealt with in a timely manner.
4
Convening
Authority
Audit Team
Team
Leader
A/W
Team
Members
Company
DFO
Chief
Cabin
Attendant
Cabin
Attendant
C/P
CCP
Pilots
Team
Leader
Ops
*Others
Team
Members
President
Director
of
Maint.
CASO
Dispatch
Audit
Manager
Main
Base
AME
Apprentice
Quality
Assurance
Manager
Sub-Base
AME
Sub-Base
AME
Apprentice
Apprentice
Store
Keeper
Technical
Records
Clerk
5
Internal Communications
Overview
6
Internal Communications Overview
Convening
Authority
Audit Manager
Team
Leader(A)
Team
Leader(O)
Team
Member(s)
Team
Member(s)
Observer(s)
Observer(s)
7
Internal Communication
Audit Manager with:
•The Convening Authority
•Team Leaders
•Team Members
•Observers
8
External Communications
CAA Members:
•Observers
•Team Members
•Team Leaders
•Audit Manager
11
External Communications
Audit Manager with:
•Auditee
•Airport Manager
•Foreign Affairs
•Media
12
External Communications
Contact with Company
•Typically by phone, then in writing;
•Establish a good relationship;
•Use a non threatening manner;
•Gain acceptance of your audit plan;
•Ask for a contact/liaison person;
•Set meeting dates and times;
•Request facilities for the audit team.
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Initial Audit Procedures Course
Communications
The Process
•AM should begin planning
•AM should establish internal contacts as applicable ie.
Inspectors etc.
•AM should establish external contacts if necessary
•AM should establish the audit team (team leader. assist.)
•AM should contact auditee by phone and in writing
15
Communications
The Process cont'd
•Audit Manager should complete planning
•Audit Manager should meet with the team
16
Pre-Audit
Initial Audit Procedures Course
Aim
To describe the activities
that take place during the pre-audit.
2
Initial Audit Procedures Course
Outline
•Review of Pre-Audit activities
•Topics to be covered during the Pre-audit
meeting
•Material to be reviewed during the pre-audit
activities
3
Initial Audit Procedures Course
Pre-Audit Activities
•Audit planning
•Team assembly
•Pre-audit team meeting
•Final preparations
including document review
4
Initial Audit Procedures Course
Pre-Audit Team Meeting
Topics to be covered
•Materials presented to members
•Duties and Responsibilities
•Specific audit area
•Checklists
•Observer position
•Team plan
5
Initial Audit Procedures Course
Pre-Audit Team Meeting
Other considerations
•Conflict of Interest
•Confidentiality
•Access to Information
•Schedules and Arrangements
•Forms Administration
•Parallel Report
•Budget
6
Initial Audit Procedures Course
Pre-Audit Review
Files held by the Authority
•Company Files
•Aircraft Files by Registration number
•Concession File
•Aircraft Type File
•Company Approvals File etc etc.
7
Initial Audit Procedures Course
Pre-Audit Review
Inspection Reports
•In-flight inspection reports
•Ramp checks
8
Initial Audit Procedures Course
Pre-Audit Review
Previous Audit Reports
•Previous history
•Review findings
9
Initial Audit Procedures Course
Pre-Audit Review
All Company manuals
•Maintenance/Operations manuals
•Aircraft flight manual
•Procedures/Training manuals
•Dispatch manual
•MELs
10
Initial Audit Procedures Course
Pre-Audit Review
Review Documents
•Flight Permit
•ETOPS
•Fuel policy
•Authorities held (CAT II, RVR600, etc.)
•Exemptions/Concessions
•Approvals/Modifications
•Aircraft Type Approvals
•Manufacturing Limitations, etc.
11
Entry Meeting
Aim
•To describe the activities involved in
the entry meeting with the company
and to better appreciate the climate it
may be given in.
2
Outline
We will cover:
•Communication Rules
•Topics covered at Entry Meeting
3
ENTRY MEETING
•YOU
Factors that shape outlook
- Your task is to provide a service
- Your Authority is often not well understood
by industry
•THE OPERATOR
- Often very clever at conducting commercial ventures
- Some view regulations and standards as barriers to
expansion and have little time for those tasked with
monitoring and enforcing them
4
ENTRY MEETING
Factors (Con't)
•OPERATOR'S PERSONNEL
-View themselves as very good in their job
-They do not want to look bad
•OWNERS
-Have a lot invested in terms of time and money
-Audit may make findings that will be costly to fix
-Many do not like being under government observation
5
ENTRY MEETING
Factors (Con't)
•GOVERNMENT
-Has a lot of say in the company's affairs
-Operator may view your presence as interference
-Time spent during an audit is non-profitable
•CREDIBILITY
-Your reputation may have preceded you
-Don't play games
6
ENTRY MEETING
Strategy
•Imagine yourself in Operator's shoes
•Plan and prepare for the audit as much
as possible
•Identify issues that could prove
difficult and develop a plan to
deal with them should they arise
7
ENTRY MEETING
Setting the stage
• Held on company’s premises
• Dress neatly
• Be on time
• Be open and friendly prior to and during
the meeting
• Ensure your team is properly briefed
• Ensure operator is properly represented
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Initial Audit Procedures Course
ENTRY MEETING
Setting the stage cont'd
• Ask Operator to hold questions till the
end of your address
• One person speaks at a time
• Speak clearly and be brief
• Try to convey your message in a
non-adversarial way
• Do not compare one operator to another
• Maintain control of the meeting
9
ENTRY MEETING
Topics to be covered
•Thank You's
•Explain the purpose of the meeting
•Introduction of Audit Team and Company
Representatives
•Discuss audit objective
•Discuss scope and depth
10
ENTRY MEETING
Topics to be covered cont'd
•Discuss communications between the Audit Team and the
company, including Daily Meetings
•Discuss way audit is conducted
•Discuss the means of handling non-conformances including
immediate threat to safety.
•Introduce forms that the operator may see over the course
of the audit
11
ENTRY MEETING
Topics to be covered cont'd
•Arrange tour of facilities
•Discuss Exit Meeting date and time
•Discuss efforts that will be made to make sure disruption to
the operator is very small
12
ENTRY MEETING
Topics to be covered (Con't)
• Confirm
-Working Space
-Photocopier, telephones, facsimile machine, etc.
-Measuring or test equipment
-Admission to facilities and files
• ask questions
• Conclude the meeting in a friendly way
13
Physical Inspections
Aim
•To describe the activities and
procedures that are carried out
during physical inspections.
2
Outline
We will cover:
•Overview
•checklists
•Interviewing
•Documenting evidence
•Audit forms
•Corrective action
3
What is Auditing?
•Examining the operator's system, in
your assigned area, to determine if it
meets the applicable Civil Aviation
regulations and company procedures
as published in the CAA approved
Maintenance Procedures Manual.
5
Steps in Conducting a
Physical Inspection
Review CAA
standards
Obtain
checklists
Review
and
“test”
Does it meet
the standards
Does not
OK
Write
Notes
Proceed with
next
inspection
Write down
audit
finding(s)
6
Initial Audit Procedures Course
Checklists
• Use as directed
• Ensure that no area is
overlooked
• Write down information
• Check company against applicable Civil Aviation
regulation requirements
7
Audit
Airworthiness
•Maintenance Control/Policy Manual
•Civil Aviation Regulation
•Aviation Act
•MPD/MRB
•Approved maintenance programs
9
Interviewing People
Why?
• To determine if the system
documented in the approved manuals is
the system in use
• To assess the knowledge of the operator’s
personnel. To review their duties and
responsibilities
• To determine if any other areas need be audited
• To tell people what is going on
10
Basics of Interviewing
•Ensure no other Inspector has talked
to the person about the same thing.
•Where necessary, determine which
Team Member will talk to whom
•Be organized
•Be polite
•Do not interrupt auditee. If
necessary make an appointment
11
Basics of Interviewing
Continued
•Do not threatening
•Explain to Person what you are doing
and why
•Check whether it is ok to take notes
•Ask questions carefully
•Listen carefully to the response
12
Basic Do's of Interviewing
Continued
•Ask questions another way if necessary
•Ensure you understand the answers
•Ask extra questions as necessary
•Try to discuss
•Remain on track
•End the interview in a friendly manner
13
After Interview
•Make extra notes as necessary
•Tell Team Leader if necessary
14
Do Not
•Play ‘I have you now’
•Intimidate
•Allow yourself to be intimidated
•Allow yourself to be drawn into
fight
15
What if?
•The person refuses to speak to you
•The person wants to say tell you a secret
•The person wants to fight
•The person wants to make a speech
16
Evidence
What is it?
•Anything which supports or
shows a non-conformance.
17
Immediate Threat to Safety
•Inform Team Leader
18
Not an Immediate
Threat to safety
•What do you do?
19
Audit Findings
& Confirmation requests
Aim
•To describe how to complete the Audit
Finding and Confirmation request forms.
2
Outline
•Overview
•Writing Audit Findings correctly
•Practice exercises
•Test on writing an Audit Finding
•The Confirmation request Form
3
Initial Audit Procedures Course
Audit Finding
Definition
•"audit finding" means the determination
of non-conformance of a product,
process, practice or procedure or a
characteristic thereof to a specified
regulation or standard. This will be
documented in the Audit Finding Form.
4
Steps in Conducting a
Physical Inspection
Review
standards
Obtain
checklists
Review
and
“test”
Does it
meet standard
Does not
Does
Prepare
the paper work
Proceed with
next task
Write
the audit
finding(s)
5
Writing Audit Findings
Problems
•The Regulatory requirement has been
written incorrectly
•The standard and the example(s) do not match
•The example(s) would support more than one
Audit Finding
6
Quoting the CASR
Standard
Exactly
•Write the regulatory requirement in terms of
chapter, section, paragraph etc.
•Then incorporate the phrase "Which states"
•Then write enough of the regulation to clearly illustrate
the meaning of it.
•Tie one part to another by using …..… (dots)
7
Writing Examples
•Ensure that the example matches the Regulatory
requirement
•Include a lead-in statement such as "The
following are examples of..." where possible
•Write a statement of how the situation was
(past tense)
•Make reference to supporting evidence
9
Area of Audit:
AUDIT FINDING FORM
Audit Finding Form
Company Name
Base Location
Area of Audit:
Non-Conformance
With:
File
FINDING No.
Non-Conformance With:
Finding No.
EXAMPLES
EXAMPLES
Name and Signature of Auditor
Date
Company Corrective Action: Immediate, Short and/or Long Term
Company
Corrective Action
Immediate,
Short and/or
Long Term
Signature/Title
Date
Civil Aviation
Response
Audit Follow up
Civil Aviation Division Response
Audit Follow up
Target Completion Date
Date Item Completed
Inspector
AUDIT FINDING FORM
Area of Audit: A1 Maintenance Control Manual
Finding No:A1-1
Non Conformance with: SAR 121.137 (a) (1) which states in
part - Each certificate holder shall furnish copies of the
manual ………..to - its appropriate…...maintenance
personnel.
Area of Audit: A14 Certification of Components
Finding No:A14-2
Non Conformance with: SAR 145.39 (d) which states in part Each person who is directly in charge of the maintenance
functions……... must ……….have had at least 18 months of
practical experience………. in the work for which the certificate
holder is authorised.
AUDIT FINDING FORM
Area of Audit: A21 Test & Measuring Equipment Finding No:A21-1
Non Conformance with: SAR 145.47(a) which states - A
certificate holder must have equipment and materials
necessary to efficiently perform the functions listed on their
certificate
Area of Audit: A21 Test & Measuring Equipment Finding No:A21-2
Non Conformance with: SAR 145.47(b) which states in part The organization shall ensure that all inspection tools and test
equipment are tested at regular intervals to ensure correct
calibration …………...
AUDIT FINDING FORM
Area of Audit: A21 Test & Measuring Equipment Finding No:A21-3
Non Conformance with: SAR 145.47(b) which states in part The organization shall ensure that all test equipment are tested
………. to ensure correct calibration to a standard derived from
the National Standards or to a standard provided by the
equipment manufacturer.
AUDIT FINDING FORM
Area of Audit: O15 Flt & Duty Time Records
Finding No:O15-1
Non Conformance with: SAR 700.14 (1) which states in
part - ‘Every air operator shall establish a system that
monitors the flight time, flight duty time and rest periods of
each of its flight crew members…...
Area of Audit: O2 OPS SPECIFICATIONS
Finding No:O2-1
Non Conformance with: SAR 705.26 (1) Which states in part Subject to subsection (2), no air operator shall operate a twinengined aeroplane on a route containing a point that is farther
from an adequate aerodrome than the distance that can be
flown in 60 minutes at the one-engine-inoperative cruise speed.
AUDIT FINDING FORM
Area of Audit: O16 Flight Inspections
Finding No:O16-1
Non Conformance with: SAR705.29 (1) which states in part
…….flight crew members who are on flight deck duty shall
remain at their duty stations with their safety belts fastened..
.
Confirmation Request Form
Purpose
To Reduce Inspector workload during the
Initiation and audit phases by requiring the
Auditee to prove compliance when non
conformance is indicated.
The CRF reduces time consuming document
searching, and places the onus on the company
to prove conformance.
6
Confirmation Request Form
Advantages
The auditee is afforded the opportunity to
prevent aircraft ‘grounding’, and it also ensures
that the auditor is possession of all the facts
before proceeding with further action. In
addition the auditor receives a signed document
from the auditee to use as part of the supportive
evidence package.
6
Confirmation Request Form
Advantages (cont.)
• where initial evidence indicates a non
conformance, the burden is on the company to
show otherwise;
 the auditor makes the final determination
based on auditee produced facts as to which
direction to proceed;
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Confirmation Request Form
Advantages (Cont.)
• elimination of arbitrary findings based on
subjective examples;
 the auditee is not faced with major surprises at
the end of the audit because all contentious issues
have been dealt with in an open manner; and
 the auditor has more time to devote to the
business of auditing rather than chasing a paper
trail.
6
Confirmation Request Form
Confirmation Request Form
CRF Number
Auditors name
CRF
No.
Company Name
Company name
Name of Auditor
Area of Audit
Company Representative
Title
Subject Matter
Company rep.
Area of audit
Subject matter
Company response
required by:
Auditor’s Signature
Company Response Required By:
Date and Time
Date and Time
Company Response
Company response
Company Representative’s Signature
Date and Time
For Inspector Use Only
Company Response Accepted
Auditor’s Signature
Company Response Reject
Audit Finding:
Date and Time
Yes
No
Daily
Meetings
Initial Audit Procedures Course
Aim
•To be able to conduct daily meetings
with the team and the company.
2
Initial Audit Procedures Course
Outline
We will cover:
1. Daily Team Meetings
2. Daily Company Meetings
3
Initial Audit Procedures Course
Daily Team Meeting
So Team Leader can:
•Exchange, discuss and validate the day's findings
and Confirmation Requests
•Reach agreement on certain items
•Be informed and measure the progress of the audit
•Plan the strategies and take decisions necessary in
terms of directing and re-directing personnel
4
Initial Audit Procedures Course
Daily Team Meeting
So Team Leader can:
•Be provided the information that will form the
content of the comments he will make during
the daily meeting with the operator
•Be provided the information to report the
progress of the audit to the AM as necessary
5
Initial Audit Procedures Course
Daily Team Meetings
Team Members should brief TL on
•The area(s) they are examining
•A brief summary of what they are
finding
•Identify any difficulties they are
having
•Offer possible solutions
6
Initial Audit Procedures Course
Daily Team Meetings
TMs should brief TL on cont'd
•A date/time for completion of any phase of their
assignments, (e.g. The technical library
review will be completed by this afternoon)
7
Post Audit
(Exit)
Meeting
Aim
•To describe the activities involved in
the exit meeting with the company
and to better appreciate the climate it
may be given in.
2
Outline
We will cover:
•Communication Rules
•Topics covered at an Exit Meeting
3
Initial Audit Procedures Course
Exit Meeting
General
This meeting must not come up with any
surprises to the auditee, it will be a summary of
the briefing sessions held throughout the
course of the audit. If this meeting is a shock
to the management it is evidence of procedures
not being followed during the course of the
audit.
7
Initial Audit Procedures Course
Exit Meeting
Content
The speakers must present their findings in a clear
and concise manner. The meeting should:
 be chaired by the audit Manager;
 be cordial, diplomatic, clear, and polite;
take into account the personalities and background
of the company representatives;
 thank the auditee for their co-operation;
 summarise audit findings;
7
Initial Audit Procedures Course
Exit Meeting
Contents (Cont.)
 state the areas of strength as well as the
areas that are deficient;
 outline the progression of the report following
the meeting;
 explain the company’s obligations regarding
the corrective action plan;
 state how the response system works; and
 discuss follow-up action.
7
Audit Report
Initial Audit Procedures Course
Audit Report
•Part I
Format
-Overview of the Auditee
-Names and Positions of Management
-Date Audit Completed and Auditee's Name
and Address
-Purpose and Scope of the Audit
-Criteria Used
-Audit Team Composition
5
Initial Audit Procedures Course
Audit Report (Con't)
•Part II
-Executive Summary (which includes a
statement of Overall Conformance)
•Parts III and IV
-Functional Summaries (A/W and OPs)
•Appendices
-OPs and A/W Audit Findings
6
FLYRIGHT AUDIT
EXECUTIVE SUMMARY
(EXAMPLE)
Airworthiness
The Airworthiness section of this report indicates that, with the
exception of ‘Test & Measuring Equipment’, all audited areas
revealed non conformance findings demonstrating:
Failure to fully comply with all applicable regulatory
requirements.
Ineffective management control of the ‘Maintenance
Organisation’.
Ineffective system control through the company
maintenance control manuals.
A lack of effective quality control to ensure satisfactory
standards.
As a result, aircraft were operated with:
a) inspections and components that had overrun maintenance
specification requirements,
b) non-approved parts installed,
c) defect control and release certifications that did not meet
regulatory requirements.
Flyright has therefore operated aircraft in commercial service with
Certificates of Airworthiness not in force.
(EXAMPLE)
Operations
The Operations section of this report indicates that audited
areas revealed non-conformance findings demonstrating:
Failure to fully comply with all applicable
regulatory requirements.
Ineffective management control of ‘Training/Check
Programs’ to ensure satisfactory safety and regulatory
standards.
Failure to ensure that the company operations
manuals provided effective system control.
Failure to maintain adequate control of records.
(EXAMPLE)
AIRWORTHINESS
Summaries
A1
Maintenance Control Manuals
The hierarchy of the maintenance control manuals approved under
the Air Carrier Operating Certificate (AOC) and Approved
Maintenance Organization (AMO), requires restructuring. The
Certificate Holder utilizes the Aircraft Maintenance Specifications
document as the CAA approved, controlling manual. Sub tier manuals
include the Technical Procedures Manual, Technical Quality Manual,
Quality Assurance Regulations, Reliability Control Program Manual
and the Weight and Balance Manual.
In practical application the Technical Procedures Manual is the
controlling manual, however, this manual has not been approved by
CAA.
The Inspection Procedures Manual, utilized by the Approved
Maintenance Organization, as with the AOC Technical Procedures
Manual, Reliability Control Program Manual, Technical Quality
Manual, Quality Assurance Regulations and Weight and Balance
Manual, do not meet regulatory requirements.
Numerous ‘controlling’ manuals were found in the system that were
not reflected in the IPM or TPM, e.g. Maintenance and Engineering
Technical Form Manual, Quality Assurance Regulations, and the
Technical Quality Manual.
A2
Technical Publications
Numerous Manuals in the Main Technical Library are not being
maintained to a current status. A review of the document control,
for the user departments revealed a serious lack of control.
Numerous technical forms were found to be uncontrolled and in
one case three different forms had been assigned the same control
number.
A3
Company Quality Audits
Quality audits were not being consistently carried out of a number
of areas, e.g. sub-contractors, out stations, and Engineering Quality
Assurance. Staff were unable to provide details of the procedural
control of the audit process. A review of the yearly audit plan for
1997/98 indicated that the schedule was not being met. It was
noted that the Quality Audit department, encountered difficulty in
getting responses to their audit findings.
(EXAMPLE)
A4
Engineering
Numerous examples of components manufactured by outside
agencies to non-approved data were found. Some of these parts
may have been installed on Flyright, and other operator’s aircraft.
Examples of non-approved engineering modification drawings
and non-approved aircraft modification approvals were found.
The Technical Procedures Manual lacked procedures for the
approval process of repair data by CAA. Numerous forms were
being used in the field; however, these forms were not referenced
in the Technical Forms Manual.
A6
Aircraft Maintenance Records
Numerous examples of inadequate defect rectification data have
been documented. Release certifications by unqualified persons,
missing certifications, missing required inspection items (RII, s),
lack of reference to standards, missing component information,
missing ATA references and missing employee information was
evident.
OPERATIONS
(EXAMPLES)
O-13 Minimum Equipment List (MEL)
All of the MELs have been approved by CAA. Not all MELs
reflect the latest revision of the manufacturing authority’s
approved MMEL. Evidence was seen of an item exceeding the
MEL time category. Evidence was seen of an aircraft operating
outside of the MEL performance limitations. One aircraft did not
have an approved MEL on board.
O-14 Dangerous Goods
Operations did not have a copy of the IATA Dangerous Goods
Manual and one could not be produced when requested .
Notices to travellers, required by carry-on baggage dangerous goods
regulations, were not in evidence at ticket counters, security
clearance areas or holding rooms.
O-15 Flight and Duty Time Limitations
Flight Crew flight and duty time limitations and rest requirements
were not in accordance with regulation 121.
Flight Attendant duty period limitations and rest requirements were
not in accordance with regulation 121 requirements.
Flight Operations Officers duty time limitations were found not to
exist.
Evidence existed of pilots exceeding regulatory flight time
limitations.
O-16 Flight and Ground Inspection
Numerous cases were found of AFMs on board aircraft not
reflecting CAA approval.
Numerous cases were found of AOMs on board aircraft not
reflecting CAA approval.
Several instances were noted of aircraft not having the current
approach plate.
Several instances were noted of Flight Attendants not having
the appropriate manuals in their possession.
Initial Audit Procedures Course
Summaries
Be Professional
•Ensure the Functional Summaries are
supported with Audit Findings
•Use the same format throughout
•Write the Summaries in the third person
•Follow the same order as the Audit Findings
•You may consider identifying any repeat
non-conformances
7
Auditee Corrective
Action
Initial Audit Procedures Course
Corrective Action
TYPES
• Auditee Corrective Action Proposals.
– Before the Team can make a final
recommendation as a conclusion of the audit
the auditee’s proposals for corrective actions
must be received, reviewed and accepted.
– Depending on the nature of the audit findings,
the company’s corrective action should involve:
7
Initial Audit Procedures Course
Corrective Action
Immediate Corrective Action
This is action taken immediately upon
identification of the audit finding to remove
the immediate threat to aviation safety;
7
Initial Audit Procedures Course
Corrective Action
Short-term Corrective Action
This action should correct a non-conformance that
does not pose an immediate threat to aviation
safety, which ensures that conformance is
established quickly until long-term action is
completed to prevent recurrence of the problem.
Short-term corrective action will normally take
place within 30 days; and
7
Initial Audit Procedures Course
Corrective Action
Long term Corrective Action
This longer-term action has two components:
1. Identifying the cause of the problem and indicating
the measures the company will take to prevent a
recurrence. These measures should focus on a system
change.
2. A timetable for company implementation of the
long-term corrective action. Long-term corrective action
will normally take place within twelve months.
7
Initial Audit Procedures Course
Corrective Action
Supporting Documents
Long and short term corrective action should be
accompanied by supporting documents for review eg:
• logbook entries,
• purchase orders,
• memoranda or revised inspection procedure
cards.
Note;It is important to verify as much supporting documentation
as possible during subsequent surveillance.
7
Initial Audit Procedures Course
Audit Follow-up
Purpose
When the Team Leaders are satisfied that all
corrective action proposals have been received a
full team meeting will be convened to formulate
and agree the final recommendations. These
recommendations will form a supplement to the
Audit Report and should include:
7
Initial Audit Procedures Course
Audit Follow-up
Recommendations
•an overall recommendation based on the
particular objectives of the audit;
acceptance or otherwise of the scheduled
compliance time for corrective actions;
frequency of follow-up to the findings; and
period and extent of future surveillance.
7
Initial Audit Procedures Course
Audit Follow-up
Recommendations
The Audit Manager will present the final
recommendations to the Director (for Approval).
Subject to approval by the Director the final result
of the audit can then be forwarded to the company.
7
Initial Audit Procedures Course
Audit Follow-up
Follow-up
The Team Leader(s) will control and monitor the
follow-up to all corrective actions, using the
applicable team member for the corrective action
to the Audit Finding that he/she raised.
When the necessary follow-up has been
completed and is satisfactory the result will be
notified to the Director.
7
Completing
the Audit
Initial Audit Procedures Course
Administration
•Submit expenses as applicable,
•Ensure follow-up inspection is
scheduled
•Schedule next audit
•Place all information on the audit file
•Return any borrowed equipment
4
Audit
Completed