1 / 51

AUDITS AND INSPECTIONS

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

rosabennett
Télécharger la présentation

AUDITS AND INSPECTIONS

An Image/Link below is provided (as is) to download presentation Download Policy: Content on the Website is provided to you AS IS for your information and personal use and may not be sold / licensed / shared on other websites without getting consent from its author. Content is provided to you AS IS for your information and personal use only. Download presentation by click this link. While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server. During download, if you can't get a presentation, the file might be deleted by the publisher.

E N D

Presentation Transcript

  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 November2002

  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 November2002

  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 November2002

  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 November2002

  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 November2002

  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 operator’s daily audits and special safety audit reports and actions thereon. Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November2002

  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 November2002

  9. Purpose (1) • To determine the conformity or degreeof 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 November2002

  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 November2002

  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 November2002

  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 November2002

  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 November2002

  14. Inspection/Audit Programme (1) • A schedule of inspections to be carried out in a year. Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November2002

  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 November2002

  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 November2002

  17. Roles and Responsibilities • The Authority/Management • The Inspection Team • The unit being inspected Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November2002

  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 November2002

  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 November2002

  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 November2002

  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 November2002

  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 November2002

  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 November2002

  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 November2002

  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 November2002

  26. Initiating the Inspection • Inspection programme • Ad hoc • Purpose and Scope • Lead inspector/team Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November2002

  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 November2002

  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 November2002

  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 November2002

  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 November2002

  31. Executing the Inspection • Opening meeting • Examination • Coordination meetings • Closing meeting Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November2002

  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 November2002

  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 November2002

  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 November2002

  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 November2002

  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 November2002

  37. Inspection Report • Lead inspector responsible • Standard format • Standard procedures for handling Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November2002

  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 November2002

  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 November2002

  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 November2002

  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 November2002

  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 November2002

  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 November2002

  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 November2002

  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 November2002

  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 November2002

  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 November2002

  48. Summary (1) • WHY Inspections • Roles and Responsibilities • Management • Inspection team • The Provider Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November2002

  49. Summary (2) • Inspection Programme • Inspection Plan • Opening meeting • Fact finding • Closing meeting • Reporting • Follow-up Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November2002

  50. Summary (3) • Qualification requirements • Joint inspections • Same principles apply to both inspections and audits! Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November2002

More Related