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AUDITS AND INSPECTIONS

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To follow up the necessary corrective and preventive actions. ... Approves (or disapproves) the provider's plan for corrective/preventive action follow-up. ... – PowerPoint PPT presentation

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Title: AUDITS AND INSPECTIONS


1
AUDITS AND INSPECTIONS
2
CONTENT
  • INSPECTION OBJECTIVES
  • MANAGEMENT RESPONSIBILITIES
  • ROLES AND RESPONSIBILITIES
  • INSPECTING
  • INTRODUCTION
  • CORRECTIVE/PREVENTIVE ACTION FOLLOW UP
  • COMPETENCE OF PERSONNEL
  • JOINT INSPECTIONS

3
Audit
  • A systematic and independent examination carried
    out by the provider, a third party or by
    customers to determine whether infrastructure,
    systems, products or services comply with
    regulatory or other applicable standards

4
Inspection
  • A systematic examination carried out by the
    Authority to determine whether the providers
    infrastructure, systems, products or services
    comply with regulatory, or other applicable
    standards including the stated safety management
    system of the provider

5
Aerodrome obligation (1)
  • 3D.5.1    The aerodrome operator shall arrange
    for an audit of the safety management system,
    including an inspection of the aerodrome
    facilities and equipment. The audit shall cover
    the aerodrome operators own functions.

6
Aerodrome obligation (2)
  • The aerodrome operator shall also arrange for an
    external audit and inspection programme for
    evaluating other users, including fixed-base
    operators, ground handling agencies and other
    organizations working at the aerodrome as
    referred to in regulation 3D.4.2.

7
CAA obligation
  • Doc 9774, 5.2.3.1    These tasks and
    responsibilities include
  •  a) periodic or special on-site audits of the
    aerodrome safety management system including
    verification of the aerodrome, and data published
    in the AIP and inspection of the aerodrome
    facilities, equipment and operating procedures
    and
  •  b) review of the aerodrome operators daily
    audits and special safety audit reports and
    actions thereon.

8
Objective
  • To determine whether initial compliance with
    regulatory requirements exists
  • To determine whether continued compliance with
    regulatory requirements is ensured by the
    provider.
  • To follow up the necessary corrective and
    preventive actions.

9
Purpose (1)
  • To determine the conformity or degree of
    nonconformity of the providers infrastructure,
    system, process, product or service with
    specified requirements.
  • To determine the effectiveness of the management
    system in meeting specified objectives.

10
Purpose (2)
  • To determine that the provider has identified
    areas and degrees of risk and has managed those
    effectively.
  • To evaluate the competence and performance of
    those accountable for safety.
  • To meet regulatory obligations.

11
CAA Management Responsibilities (1)
  • Formulate the policy on types of inspections,
    including core and themed areas.
  • Establish procedures for planning and scheduling
    the programme of inspections.
  • Determine the standards to inspect against.
  • Develop capabilities to enable them to inspect
    effectively against such standards.

12
CAA Management Responsibilities (2)
  • Selecting inspectors and lead inspectors for
    particular assignments in order to ensure that
    the skills brought to each assignment are
    appropriate.
  • Formalise inspection report formats.
  • Establish boundaries of lead inspector authority
  • Establish procedures to monitor
    corrective/preventive action follow-up

13
CAA Management Responsibilities (3)
  • Establish policy and procedures in case of major
    non-conformities.
  • Produce a formal and structured training
    programme for inspectors.
  • Regularly assess the training needs of inspectors
    and take appropriate action to maintain and
    improve inspection skills.

14
Inspection/Audit Programme (1)
  • A schedule of inspections to be carried out in a
    year.

15
Inspection/Audit Programme (2)
  • Model CAA Inspection Programme
  • Jan Aerodrome XX, All aspects
  • Feb Aerodrome YY, SMS and RFF
  • Mar Aerodrome ZZ, SMS, Winter operations
  • Apr Aerodrome WW, SMS, Infrastructure
  • Etc.

16
Inspection/Audit Programme (3)
  • Model AD Audit programme
  • Jan Safety Management System and Winter
    Operations
  • Feb Electrical Services and RFF
  • Mar Handling Agents
  • Apr Fuel companies
  • Etc, Etc

17
Roles and Responsibilities
  • The Authority/Management
  • The Inspection Team
  • The unit being inspected

18
The Authority/Management
  • Need, purpose and general scope.
  • Define the required inspector qualification.
  • Receives the inspection report and transmits it
    to the provider.
  • Approves (or disapproves) the providers plan for
    corrective/preventive action follow-up.
  • Monitors that decided follow-up action is
    complied with.

19
The Inspection Team (1a)
  • Inspectors
  • Communicate and clarify inspection requirements.
  • Comply with the applicable inspection
    requirements.
  • Plan and carry out assigned responsibilities
    effectively and efficiently documenting the
    observations.

20
The Inspection Team (1b)
  • Inspector (continued)
  • Report the inspection results to the lead
    inspector.
  • Co-operate with and support the lead inspector.

21
The Inspection Team (2a)
  • Lead Inspectors
  • Assist with the selection of the inspection team.
  • Prepare the inspection plan.
  • Communicate and clarify inspection requirements
    to the inspection team.
  • Communicate the inspection plan to the provider.
  • Represent the inspection team with the providers
    management.

22
The Inspection Team (2b)
  • Lead Inspectors (continued)
  • Formulate the conclusions and non-conformities of
    the inspection.
  • Assess the level of the found non-conformities.
  • Submit the inspection report according to
    procedure.
  • Taking or recommending action to the Authority.

23
The provider (1)
  • Inform relevant employees about the objectives
    and scope of the inspection.
  • Make available members of senior management with
    safety accountabilities during the inspection.
  • Appoint members of staff to accompany members of
    the inspection team when required.

24
The provider (2)
  • Provide all resources needed for the inspection
    team in order to ensure an effective and
    efficient process.
  • Co-operate with the inspectors to permit the
    inspection objectives to be achieved.
  • On the basis of the inspection report, develop a
    plan for corrective and preventive action for
    approval by the authority.

25
Inspecting
  • Initiating the Inspection
  • Preparing the Inspection
  • Executing the Inspection
  • Inspection report
  • Follow-up of the Inspection

26
Initiating the Inspection
  • Inspection programme
  • Ad hoc
  • Purpose and Scope
  • Lead inspector/team

27
Preparing the Inspection
  • Review of the providers documentation
  • Review former inspection reports with follow-up
    action
  • Assign duties to team members
  • Prepare the inspection plan

28
The inspection plan (1)
  • The inspection objectives and scope
  • Identification of the organisational elements to
    be inspected
  • Identification of all reference documents that
    the inspection will be carried out against (such
    as the applicable regulations, providers
    documentation etc)
  • Identification of inspection team members

29
The inspection plan (2)
  • The date and place where the inspection is to be
    conducted
  • The expected time and duration for each major
    inspection activity, including meetings with key
    personnel
  • The schedule of meetings to be held with
    aerodrome management
  • Inspection report distribution and expected date
    of issue

30
Working documents
  • Check lists, with attention points or questions
    to be asked (normally prepared by the inspector
    assigned to inspect that specific element)
  • Forms for reporting inspection observations
  • Forms for documenting supporting evidence for
    conclusions reached by the inspectors
  • Former audit and inspection reports
  • Results of the performed document evaluation

31
Executing the Inspection
  • Opening meeting
  • Examination
  • Coordination meetings
  • Closing meeting

32
Opening meeting (1)
  • Introduce the members of the inspection team
  • Become acquainted with the people who have the
    major safety accountabilities
  • Review the scope and objective of the inspection
  • Provide a short summary of the methods and
    procedures to be used to conduct the inspection

33
Opening meeting (2)
  • Establish the official communication links
    between the inspection team and the provider
    organisation
  • Confirm that the resources and facilities needed
    by the inspection team are available
  • Confirm the time and place for the closing
    meeting and any interim meetings of the
    inspection team and the senior management of the
    aerodrome
  • Clarify any unclear details of the inspection
    plan

34
Examination
  • Fact finding
  • Interviews (not only leaders)
  • Documents and records
  • Physical observations
  • Fact vs. Standards
  • Conformity
  • Non-conformity
  • Not clear-cut

35
Coordination meetings (team)
  • Check progress
  • Any surprises?
  • Need to change scope?
  • Evaluate facts against standards
  • Anything that requires immediate action?
  • Prepare for the closing meeting

36
Closing meeting
  • Clear any grey areas
  • General Summary and presentation of
    non-conformities
  • Questions from the provider
  • Any immediate actions required
  • Briefing on follow-up procedures

37
Inspection Report
  • Lead inspector responsible
  • Standard format
  • Standard procedures for handling

38
Content (1)
  • Identification of the inspection report
  • Identification of the organisation inspected
  • Inspection dates
  • Identification of the providers representatives
  • Identification of the inspection team members
  • The scope and objectives of the inspection

39
Content (2)
  • Identification of the reference documents against
    which the inspection was conducted
  • Identification of the organisational elements
    concerned
  • All subjects verified, reference and facts
    pertaining thereto
  • Observations
  • Nonconformities
  • Conclusions/Summary

40
Report distribution
  • Prepared and signed by the lead inspector
  • Goes from Management to Management
  • Should be accompanied by a cover letter
    describing expected follow-up action

41
FOLLOW-UP OF THE INSPECTION
  • The provider should formulate plans to initiate
    and implement corrective/preventive actions
    related to the inspection results
  • The Authority should (or should not) accept such
    plans
  • The Authority should verify that plans are
    followed

42
Competence (1a)
  • The aerodrome operator shall ensure that the
    audit reports, including the report on the
    aerodrome facilities, services and equipment, are
    prepared by suitably qualified safety experts.
  • Professional skill and knowledge is a must.

43
Competence (1b)
  • Additional knowledge for inspectors
  • Standards to be used
  • Assessment techniques
  • Hazard identification and risk analysis
  • SMS and Quality systems
  • Leadership (especially Lead inspectors)

44
Competence (2)
  • Experience desirable for inspectors
  • Professional experience is valuable
  • Three (full) inspections as trainee
  • Three (full) inspections as qualified inspector
    prior to evaluation as Lead inspector

45
Standardisation and improvement
  • Inspector training workshops
  • Inspector performance comparison
  • Reviews of inspection reports
  • Performance appraisals
  • Rotation of inspectors between inspection teams

46
Joint Inspections (1)
  • Annex 14 - ANS
  • Interface issues
  • Who is lead inspector
  • Joint inspection plan
  • Joint opening meeting
  • Coordination within the team
  • Joint closing meeting

47
Joint Inspections (2)
  • Reports and follow-up
  • Joint or separate depends on the organisation of
    both the CAA and the Aerodrome

48
Summary (1)
  • WHY Inspections
  • Roles and Responsibilities
  • Management
  • Inspection team
  • The Provider

49
Summary (2)
  • Inspection Programme
  • Inspection Plan
  • Opening meeting
  • Fact finding
  • Closing meeting
  • Reporting
  • Follow-up

50
Summary (3)
  • Qualification requirements
  • Joint inspections
  • Same principles apply to both inspections and
    audits!

51
  • QUESTIONS?
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