CSI, Aviation Audit Course

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CSI, Aviation Audit Course
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CSI, Aviation Audit Course
Objectives

• To gain better understanding of the purpose
• of an audit
• To gain better techniques in auditing, which
• are in accordance with CAA standards

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AUDITING
CSI, Aviation Audit Course
What is an audit suppose to accomplish?.

• The auditing process should put the relationship
  between the company and CAA into balance.
• It enforces the requirement that the company is
  responsible for safety.
• If the company manages safety properly the
  company will not have any problems in addressing
  a CAA audit.

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AUDITINGcont...
CSI, Aviation Audit Course

• The company will not hide information about
  incidents and its failures because the companys
  safety management team will accept and address
  the problems in the open.
• The company will also want to explain to CAA what
  went wrong and how the problem was rectified
  without fear.

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CSI, Aviation Audit Course
What is an audit?

• An audit is an in-depth review of the activities
  of an organization to verify conformance to
  CAAregulations and standards.

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Overview of an Audit Process
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CSI, Aviation Audit Course
Outputs of an Audit

• Audit Report
• CAA Internal Report

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CSI, Aviation Audit Course
BASIC ACTIVITIES OF AN AUDIT

• Pre-audit
• Physical audit
• Post audit
• Audit follow-up

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CSI, Aviation Audit Course
Audit Activity Breakdown
Company De-brief
Corrective Action Follow Up
Audit Report
Wrap-up Activities
Pre-Audit
Post-Audit
Follow-Up
Audit
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Pre- Audit
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CSI, Aviation Audit Course
Pre-Audit Activities

• Audit planning
• Team assembly
• Pre-audit team meeting
• Final preparations including document review

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CSI, Aviation Audit Course
Audit Planning
Rule of Thumb

• Small 1 - 5 days
• Medium 5 - 15 days
• Large 15 days

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CSI, Aviation Audit Course
Scope

• CAA defines scope as the number of
• areas within a company's operation
• that will be audited.

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CSI, Aviation Audit Course
Depth

• The period of time over which a companys
  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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CSI, Aviation Audit Course
SAMPLING RATIONALE
The audit procedures manual sets out a table for
sampling to 95 confidence level

• Confidence level of 95 is identified in the CAA
  guidelines.
• 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.

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CSI, Aviation Audit Course
Communication

• 1. Daily internal meetings with Team
• 2. External meeting with the
• Company

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CSI, Aviation Audit Course
Prep Documentation review

• Outstanding previous audits
• Company Manuals
• CCSM
• Cabin Crew Training Program
• Surveillance reports since the previous audit
• Cabin enroute
• Pre-flight reports
• Proving reports
• Recurring findings and problems
• Monitored Trainings

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Audit
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CSI, Aviation Audit Course
ENTRY MEETING
Topics to be covered

• Thank You's
• Explain the purpose of the meeting
• Introduction of Team Company Rep
• Discuss objective and conduct of audit
• Discuss scope and depth
• Communications between the Audit Team
• the company, including Daily Meetings
• Introduce forms that the operator may see over
• the course of the audit

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Steps in Conducting a Physical Inspection
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CSI, Aviation Audit Course
Checklists

• Use as directed
• Ensure that no area is overlooked
• Write down information
• Check company against CAA regulation
  requirements

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Physical Inspections
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CSI, Aviation Audit Course
Interviewing People
Why?

• To determine if the system documented in the
  approved manuals is the system in use
• To assess the knowledge of the operators
  personnel. To review their duties and
  responsibilities
• To determine if any other areas need be audited
• To tell people what is going on

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CSI, Aviation Audit Course
Base Inspections

• Cabin Crew Manuals held by other departments
• and other key Management personnel
• Manual Amendment Safety Bulletin distribution,
• Are CC reports on safety issues dealt with
• CC injury reports to determine safety related
  trends
• Journey logs are closed and repairs corrected
• Flt Time Duty Limitations Rest Requirements
• Aircraft types Cabin Crew scheduled for
  operating

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Aircraft Inspection

• Equipments
• Exits and Doors
• Placards
• Unserviceable equipments

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Pre-flight Inflight Inspections

• General
• No of Cabin Crew Crew briefing
• Apron Safety
• Cabin checks
• Flt Time Duty Limitations Rest Requirements

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Cabin Crew Training Program

• Training Program
• Crew Qualifications
• Training Records
• Dangerous Goods/Hazmat Program
• CRM

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After Interview Inspection

• Make extra notes as necessary
• Tell Team Leader if necessary

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Evidence
What is it?

• Anything which supports or shows a
  non-conformance.

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Immediate Threat to Safety

• Inform Team Leader Immediately

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CSI, Aviation Audit Course
Not an Immediate Threat to safety

• What do you do?

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Post Audit
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CSI, Aviation Audit Course
Audit Finding
Definition

• "audit finding" means the determination of
  non-conformance of a product, process, practice
  or procedure or a characteristic thereof to
  aregulation or standard. This will be
  documented in the Audit Finding Form.

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Company De-brief

• Exit Meeting" with the operators team
• should provide an overview of the audit.

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CSI, Aviation Audit Course
Writing Audit Findings

• Write the regulatory requirement in terms of
  chapter, section, paragraph etc.
• Then incorporate the phrase "Which states"
• Then write the correct portion of the
  requirement.
• The standard and the example(s) must match
• The example(s) would support more than one
  Audit Finding

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CSI, Aviation Audit Course
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

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Follow Up
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Corrective Action Plan

• The Operator will then write down their
• corrective action plan as CAA auditors
• we must ensure that corrective action
• plans are made in such a way that they
• prevent re-occurrence of the same in the
• future

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CSI, Aviation Audit Course
Audit Follow-up

• The CAA Inspector must continue to
• monitor the companys short and long
• term responses to the audit
• non conformance findings.
• The CAA must regulate the company
• maintaining constant surveillance

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Audit CompletedThank You.
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