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
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

4. Inspection
A systematic examination carried out by the Authority to determine whether the provider’s infrastructure, systems, products or services comply with regulatory, or other applicable standards including the stated safety management system of the provider
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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 operator’s own functions.
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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.
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

7. CAA obligation
Doc 9774, :    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 operator’s daily audits and special safety audit reports and actions thereon.
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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.
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

9. Purpose (1)
To determine the conformity or degree of nonconformity of the provider’s infrastructure, system, process, product or service with specified requirements.
To determine the effectiveness of the management system in meeting specified objectives.
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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.
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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.
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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.
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

14. Inspection/Audit Programme (1)
A schedule of inspections to be carried out in a year.
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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.
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

17. Roles and Responsibilities
The Authority/Management
The Inspection Team
The unit being inspected
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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 provider’s plan for corrective/preventive action follow-up.
Monitors that decided follow-up action is complied with.
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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.
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

20. The Inspection Team (1b)
Inspector (continued)
Report the inspection results to the lead inspector.
Co-operate with and support the lead inspector.
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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 provider’s management.
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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.
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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.
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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.
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

25. Inspecting Initiating the Inspection Preparing the Inspection
Executing the Inspection
Inspection report
Follow-up of the Inspection
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

26. Initiating the Inspection
Inspection programme
Ad hoc
Purpose and Scope
Lead inspector/team
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

27. Preparing the Inspection
Review of the provider’s documentation
Review former inspection reports with follow-up action
Assign duties to team members
Prepare the inspection plan
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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, provider’s documentation etc)
Identification of inspection team members
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

31. Executing the Inspection
Opening meeting
Examination
Coordination meetings
Closing meeting
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

34. Examination Fact finding Interviews (not only leaders)
Documents and records
Physical observations
Fact vs. Standards =
Conformity
Non-conformity
Not clear-cut
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

37. Inspection Report Lead inspector responsible Standard format
Standard procedures for handling
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

38. Content (1) Identification of the inspection report
Identification of the organisation inspected
Inspection dates
Identification of the provider’s representatives
Identification of the inspection team members
The scope and objectives of the inspection
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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.
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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)
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

45. Standardisation and improvement
Inspector training workshops
Inspector performance comparison
Reviews of inspection reports
Performance appraisals
Rotation of inspectors between inspection teams
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

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
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

47. Joint Inspections (2) Reports and follow-up
Joint or separate depends on the organisation of both the CAA and the Aerodrome
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

48. Summary (1) WHY Inspections Roles and Responsibilities Management
Inspection team
The Provider
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

49. Summary (2) Inspection Programme Inspection Plan Opening meeting
Fact finding
Closing meeting
Reporting
Follow-up
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

50. Summary (3) Qualification requirements Joint inspections
Same principles apply to both inspections and audits!
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

51. QUESTIONS?
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002