1. for Cabin Safety Inspectors
Welcome to the
Aviation Audit Course
for Cabin Safety Inspectors
CSI, Aviation Audit Course 1
First of all, I’d like to thank Barbara for the introduction…Thank you Barbara.
I would like to welcome you all to this Aviation Audit Procedures Course for Cabin Safety Inspectors. Actually, even if you come from the other side of the fence (which is operator side), this course would still be a lot of help because it gives you a different perspective n what an audit is. 1

2. Objectives To gain better understanding of the purpose of an audit
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 2
Our Course Objectives is straight forward...two of them...closely related 2

3. CSI, Aviation Audit Course
AUDITING
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.
3 read
To simplify these, what is it that we want from the industry? We just want the industry operators to ensure that everything is being thought of to ensure that we all do things all the time with safety in mind. We don’t want haphazard procedures, we don’t want tired and useless cabin crew ion the air, we want our passengers to reach their destination safely. 3

4. CSI, Aviation Audit Course
AUDITING…cont...
The company will not hide information about incidents and its failures because the company’s 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.
4 read
As you can see … an audit is suppose to improve the relationship between the Authority and the operator.
It is suppose to open lines of communications so that the operator becomes more at home with the Authority and seeks advise before it tries something new and makes a mistake. 4

5. 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 CAA regulations and standards. 5
It is impossible for me to over emphasize that an audit is
in-depth review of all aspects of the organization
...approach should be one of complete openness
promote conformance to regulatory requirements and automatically becomes synonymous to compliance with ICAO SARPS and protocols
…it is therefore a series of factual statements outlining the overall level of conformance of the auditee 5

6. Overview of an Audit Process
CSI, Aviation Audit Course
Overview of an Audit Process 6
To fulfill your obligations as an inspector (or inspectee for industry participants) it is necessary that you be familiar with this process.
We should always remember that the (NAP) National Audit Program was made to ensure that a satisfactory level of aviation safety is maintained, and that CAA audit policies and procedures are applied nationally in a uniform manner. 6

7. Outputs of an Audit Audit Report CAA Internal Report
CSI, Aviation Audit Course
Outputs of an Audit
Audit Report
CAA Internal Report 7
an Audit report is a series of factual statements outlining the overall level of conformance of the auditee
the Parallel Report or the CAA Internal report consists of audit findings against ourselves...The Civil Aviation Authority....once again, we approach this with a positive attitude and objective viewpoint
What is in an Audit? …next slide 7

8. BASIC ACTIVITIES OF AN AUDIT:
CSI, Aviation Audit Course
BASIC ACTIVITIES OF AN AUDIT:
Pre-audit
Physical audit
Post audit
Audit follow-up 8
What does this mean to us? 8

9. Audit Activity Breakdown
CSI, Aviation Audit Course
Audit Activity Breakdown
Scope & Depth
Team Selection
Budget
Documents
Preps
Team Meeting
Entry Meeting
Physical Insp..
Functional Areas
Findings
Daily Meetings
Company De-brief
Corrective Action
Follow Up
Audit Report
Wrap-up Activities 9
The biggest part of an audit is planning
Part of planning is knowing what are the things to be prepared for and what to look at. Each activity of the audit is graphed for us to be aware.
Lets look at the 1st of these phase…the Pre-Audit phase …..next slide
Pre-Audit
Audit
Post-Audit
Follow-Up
Start
Finish 9

10. Pre- Audit CSI, Aviation Audit Course 26 10 10
Pre-Audit activities sets the tone for the entire audit.
It is during this phase that credibility and respect for the audit management team can be established (or if not handled properly…lost, or at best, delayed).
What are the pre-audit activities? ….next slide 26 10

11. Pre-Audit Activities Audit planning Team assembly
CSI, Aviation Audit Course
Pre-Audit Activities
Audit planning
Team assembly
Pre-audit team meeting
Final preparations including document review 11
You’ve all heard the phrase: “If you fail to plan you’re planning to fail”.
The quality of an audit is directly proportional to the quality of planning...so plan the work...and work the plan.
…part of Audit Planning – is knowing your schedule and duration for audit
Distance
location
Unforeseen circumstances (weather, travel etc.) are but a small part of it 11

12. Audit Planning Rule of Thumb Small 1 - 5 days Medium 5 - 15 days
CSI, Aviation Audit Course
Audit Planning
Rule of Thumb
Small days
Medium days
Large days 12
We should bear in mind that some industry operators have about 75 aircrafts and not only one type 12

13. Scope CAA defines scope as the number of
CSI, Aviation Audit Course
Scope
CAA defines scope as the number of
areas within a company's operation
that will be audited. 13
Scope is determined by the type or class of audit conducted……Combined, Specialist, Special Purpose
It is also determined by:
Size of company including personnel
Records of company – qualification and training records, aircraft types and safety equipments and procedures, Flt time
Review OC & OPS Specs - domestic, International operations, charter…? Type of aircrafts w/ Cabin crew
Certificates of Approval, A/C limitations – does the operator do extended overwater operations? 13

14. CSI, Aviation Audit 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. 14
Depending on what you see on the surface, with a little dusting, you need to go deeper. We need to always remember that we are not auditing the people but the system. We are looking for systemic not individual faults. 14

15. SAMPLING RATIONALE The audit procedures manual sets out
CSI, Aviation Audit Course
SAMPLING RATIONALE
The audit procedures manual sets out
a table for sampling to 95% confidence level S C I E N
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. 15
Part of what to consider in the planning stage as to schedule is the sampling rationale. It is required that we must have 95% confidence level. So the more aircrafts, cabin crew, training records mean more time consumed in audit 15

16. Communication 1. Daily internal meetings with Team
CSI, Aviation Audit Course
Communication
1. Daily internal meetings with Team
2. External meeting with the
Company 16
An essential part of being a member on an audit team is your ability to communicate…to both other members of the team, as well as the operator.
It is important to advise the operator and your team of applicable lines of communication…Audit Managers should insist that company personnel respect and use the established communications channels.
Internal communication include Team Meetings…
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.
Nothing will bring an audit “down” faster than poor communications…whereas the opposite is also true,
Good communications result in effective, successful audits.
- constant communication develops teamwork and shows supports for the group 16

17. Prep & Documentation review
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 17
For Previous audits… we try and determine what does the previous audit reveal? and Specify nature of the problem? … Is it a problem in training? Standards?
……are there any recurring problems?
For Company manuals Cabin safety inspectors need to refer to the Cabin Crew Manual & Training Program job aid. Has it been updated in accordance with the latest revision?
For surveillance reports we need to check on all reports of the past 12 months….. Have they been addressed by the operator? 17

18. Audit CSI, Aviation Audit Course 18 18
Lets now go to the audit itself… next slide 18

19. ENTRY MEETING Thank You's Explain the purpose of the meeting
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 19
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 19

20. Steps in Conducting a Physical Inspection
CSI, Aviation Audit Course
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) 20
Review Standards
......how can we determine the level of compliance if we don’t know what the standard is...regulation/standard/procedure... by going through your checklist
Now, when I know what to measure it against I can move on with the actual physical audit...next I inspect, interview, and test whether it meets the standard…
….if it does not…“Draw up the audit finding”.
….if it does… then proceed to the next 20

21. Checklists Use as directed Ensure that no area is overlooked
CSI, Aviation Audit Course
Checklists
Use as directed
Ensure that no area is overlooked
Write down information
Check company against CAA regulation requirements 21
One way of knowing the standards or the regulations is by using your checklist…..read
….Your checklist is your best guide to a professional audit
….Best keep it as informal as possible
….Not an inquisition…the goal is to obtain information… 21

22. Physical Inspections CSI, Aviation Audit Course 22 22
Is the actual inspection of whether the operator is conforming with regulations and its stated policies and standards.
An operator policy shall never be more lax than the regulation but may always be stricter than it. When the regulation is lax therefore the auditor holds the operator to its policy instead of the regulation.
Physical Inspections 22

23. Interviewing People Why?
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 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 23
Usual means of communication between department management positions
Signs that the channels of communications are effective and positive
What are the actions done by management in case of safety issues in reports? Either with pax or with cabin crew 23

24. Base Inspections Cabin Crew Manuals held by other departments
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 24
CCSM held by other departments I have found are not updated, and the responsibility is not designated by company…shld be in manual
I have found that the CML is unanswered or the snags become redundant bec maintenance says they have checked them but when checked it is still inoperative…. Pathlights, smoke detector, reclining mechanisms
Check schedules and flight time where crew bases their productive pay
Monitoring by managements of Flt time limitations
Example is Management or trainer practice of being scheduled to fly after training in the morning because after all they will rest in the outlaying station and it is to their advantage bec they want to go abroad 24

25. Aircraft Inspection Equipments Exits and Doors Placards
CSI, Aviation Audit Course
Aircraft Inspection
Equipments
Exits and Doors
Placards
Unserviceable equipments 25
Aircraft markings and placards in accordance with the Aircraft Flight Manual often I notice that the instructions for opening doors are not anymore red or missing totally 25

26. Pre-flight & Inflight Inspections
CSI, Aviation Audit Course
Pre-flight &
Inflight Inspections
General
No of Cabin Crew & Crew briefing
Apron Safety
Cabin checks
Flt Time & Duty Limitations & Rest Requirements 26
Pre-flight & Flight Inspections
Competency cards/licences (presence & validity) trainers forget to log competency checks, a captain has signed in their card
Manual inspection (currency & availability) random check (inaccessible to cabin crew
Crew briefing are they done properly
Correct number of crew (incapacitated crew)
The system for reporting unserviceable items or cabin snags and the rectification system.(unanswered by maintenance, open for ages
Apron Safety
Passenger safety (small airlines complacent of escorting passengers to aircraft)
Refueling proc (specially abled pax are told to use WC at this time, cc are busy with loading of aircraft catering and cleaners instead of manning their doors)
Cabin Checks
Passenger briefing (safety demo, exit row, special needs) (taken for granted by cabin crew, incomplete briefing, inaudible)
Carry on baggage procedure/control (size, number, weight, stowage)(plastic bags, portfolios, handbags, cameras, religious images and statues)
Alcohol /Drugs – boarding, procedures by ground personnel
Flt Time & Duty Limitations & Rest Requirements through interviews
Check schedule of cabin crew & and actual take offs and arrivals
Actual rest given 26

27. Cabin Crew Training Program
CSI, Aviation Audit Course
Cabin Crew
Training Program
Training Program
Crew Qualifications
Training Records
Dangerous Goods/Hazmat Program
CRM 27
Facility – they have moved
Program
Shld include syllabus/curriculum (for trainers and raters) (as part of the subjects taken should be a go over of the program itself especially for trainers) includes also joint F/D & CC trng
what about qualifications for upgrades (who qualifies)(Senior Cabin crew)
passing standards and what operator does in case of failures
Trainers vis-a vis cabin crew number
Qualifications of crew and trainers
Records & record system (is it easy to understand, do trainers maintain records properly, including competency cards, retention)
Aids (courseware, handout, exams, equipments for training)
Monitoring system for training & competency checks
Mock ups, Emergency evacuation trainers used doors, tailcone etc.
Adequate portable emergency equipment available for training purposes
Ensure instructors are qualified for both DG and CRM
Ensure CRM is done as per regulation (F/D are normally missing in action, in fact this should be a team including dispathers, maintenance, etc….ground personnel)
Workshop type 27

28. After Interview & Inspection
CSI, Aviation Audit Course
After Interview
& Inspection
Make extra notes as necessary
Tell Team Leader if necessary 28
….following the interview and physical inspection, we may want to support any finding of non-conformance with some evidence
what is evidence? …………….next slide 28

29. CSI, Aviation Audit Course
Evidence
What is it?
Anything which supports or shows a non-conformance. 29
(photocopies of training records, photographs, reports, schedules, etc)
we are often asked, “what happens if the non-conformance is an immediate threat?”
next... 29

30. Immediate Threat to Safety
CSI, Aviation Audit Course
Immediate Threat to Safety
Inform Team Leader Immediately 30
An immediate threat would be unruly pax, or intoxicated passenger being boarded.
Auditor – suppose to observe what crew does abt it…
If crew does nothing… say “maybe you shld tell Capt abt it…. Watch again 30

31. Not an Immediate Threat to safety
CSI, Aviation Audit Course
Not an Immediate Threat to safety
What do you do? 31
when its not an immediate threat (99.9%) what do we do? ...next
give it to the operator
Confirmation Request Form (CRF)....verbal...they will usually take action
If they fix the problem immediately before finishing the audit then that’s the end of it…
But if they take longer then it becomes part of the audit finding form 31

32. CSI, Aviation Audit Course
Post Audit 32
Now we go to Post audit 32

33. Audit Finding Definition
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 a regulation or standard. This will be documented in the Audit Finding Form. 33
Why is the AFF so important?
Audit is only as good as the audit report and the report (executive and functional summaries) is supported by the findings.
If findings are written incorrectly they can be contested...and thrown out...this could jeopardize the integrity of the entire report. 33

34. Company De-brief “Exit Meeting" with the operator’s team
CSI, Aviation Audit Course
Company De-brief
“Exit Meeting" with the operator’s team
should provide an overview of the audit. 34
The meeting should summarize the audit findings, stating the strength and weakness.
Controversial discussion w/ company representatives regarding audit report content must be avoided. 34

35. Writing Audit Findings
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 35 35

36. Writing Examples Ensure that the example matches the regulatory
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 36
reference supporting evidence
- “as indicated by the attached journey log pages or photocopies”
- “as stated on the attached Confirmation Request Form”, 36

37. Follow Up CSI, Aviation Audit Course 37 37
Part of follow up is the Corrective Action Plan required 37

38. Corrective Action Plan
CSI, Aviation Audit Course
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 38 38

39. Audit Follow-up The CAA Inspector must continue to
CSI, Aviation Audit Course
Audit Follow-up
The CAA Inspector must continue to
monitor the company’s short and long
term responses to the audit
non conformance findings.
The CAA must regulate the company
maintaining constant surveillance 39 39

40. Audit Completed Thank You.
CSI, Aviation Audit Course
Audit Completed Thank You. 40 40