ans inspector handbook tcaa/qsp/sr/o/ans-07 inspector handbook_1.pdf · 20 22 jan 2010 app 3-1 22...

TANZANIA CIVIL AVIATION AUTHORITY

AERODROMES AND

AIR NAVIGATION SERVICES

Revision: 1

Document No: TCAA/QSP/SR/O/ANS-07

Title: ANS Inspector Handbook of 62

This is a controlled document Issued on: 20 March 2013

Foreword

The Civil Aviation safety oversight program has been implemented to promote and ensure conformance with the Civil Aviation Regulations and Standards, collectively prescribing an acceptable level of aviation safety within Tanzania In conducting regulatory inspections and Inspection/audits, and documenting the activity process, the Authority is able to assess and determine the level of conformance to regulatory requirements for the Air Navigation Service Providers within the country. This manual outlines the directions, processes and procedures for conducting Inspection/audits of Air Navigation Services and facilities. Adherence to the guidance herein is imperative and will ensure Inspection/audit policies and procedures are uniformly applied across Tanzania. To maintain overall effectiveness of the Inspection/audit activity, our approach to each organization must be one of transparency, with a high degree of professionalism, using experience, skills and communication as essential ingredients. The aviation community must view our program as one that is fair and equitable in its application.

………………………… Tanzania Civil Aviation Authority


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1 22 Jan 2010 38 22 Jan 2010 APP 8-1 22 Jan 2010

2 22 Jan 2010 39 22 Jan 2010 APP 8-2 22 Jan 2010

3 22 Jan 2010 40 22 Jan 2010 APP 8-3 22 Jan 2010

4 22 Jan 2010 Chapter 6 APP 8-4 22 Jan 2010

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AERODROMES AND AIR NAVIGATION

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Title: ANS inspectors Handbook Manual of 62

This is a controlled document Issued on:

TABLE OF CONTENTS Forward….……………………………………………………………………………..1 Record of Amendments…..………………………………………………………....2 Distribution List..……………………………………………………………………...3 List of Effective Pages………………………………………………..……………..4 0. CHAPTER 1 ............................................................................................... 11

1. 11 2. GENERAL .................................................................................................. 11

1.1. Definitions ................................................................................................... 11 1.2. Abbreviations ............................................................................................. 13 1.3. Objectives of the Manual........................................................................... 15

1.4. Applicability ............................................................................................... 15 1.5. Authority for publication and amendment of the manual ..................... 15

CHAPTER 2 ................................................................................................................. 16 GENERAL POLICY AND PROCEDURE ............................................................... 16 2.1 Introduction ................................................................................................ 16

2.1.1 Director General, Civil Aviation .............................................................. 16

2.1.2 ANS Inspectors’ Handbook ...................................................................... 16 2.1.3 CAA Safety Inspection/audit Program .................................................... 16 2.1.4 Safety Oversight Directorate .................................................................... 16

2.2 Authority ..................................................................................................... 16 2.2.1 Director General, Civil Aviation .............................................................. 17

2.2.2 Inspector delegation of authority ............................................................. 17 2.3 Inspection/Audit plan ................................................................................ 17

2.4 Inspection/Audit types ............................................................................... 17 2.4.1 General ........................................................................................................ 17 2.4.2 Pre-certification Inspection/Audit ............................................................ 17 2.4.3 Additional authority Inspection/Audit ..................................................... 18 2.4.4 Routine conformance Inspection/Audit ................................................... 18

2.4.5 Special-purpose Inspection/Audit ............................................................ 18 2.5 Scope and depth ......................................................................................... 18

2.6 Frequency ................................................................................................... 18 2.7 Inspection/Audit budget ............................................................................ 19 2.8 Inspection/Audit phases............................................................................. 19 2.8.1 General ........................................................................................................ 19 2.8.2 Pre-Inspection/Audit.................................................................................. 19 2.8.3 Physical Inspection/Audit .......................................................................... 19



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2.8.4 Post-Inspection/Audit ................................................................................ 20 2.8.5 Inspection/Audit follow-up ........................................................................ 20

2.9 Checklists .................................................................................................... 20 2.9.1 Purpose........................................................................................................ 20 2.9.2 Applicability ............................................................................................... 20 2.9.3 Safety management system assessment guide ......................................... 20

2.10 Inspection/Audit team ............................................................................... 20 2.10.1 Inspection/Audit assignments ................................................................... 21

2.10.2 Inspector/Auditor qualification ................................................................ 21 2.10.3 Inspection/Audit coordination .................................................................. 21

2.10.4 Specialist ..................................................................................................... 21 2.10.5 Observers .................................................................................................... 21 2.11 Director of Safety Regulation role ............................................................ 22

2.12 Parallel findings and observations ........................................................... 22 2.13 Discrepancies within CAA mandate......................................................... 22

2.14 Confidentiality ............................................................................................ 22 2.15 Inspection/audit report .............................................................................. 22 2.17 Inspection/audit record retention and disposal ....................................... 23

CHAPTER 3 ................................................................................................................. 24

INSPECTION/AUDIT PROCEDURES .................................................................... 24 3.1 Selection of inspection/audit Procedures ................................................. 24 3.2 Pre-inspection/audit ................................................................................... 24

3.2.1 Notification ................................................................................................. 24 3.2.2 Inspection/Audit Team Requirements ..................................................... 24

3.2.3 Inspection/Audit Plan ................................................................................ 24 3.2.4 Pre-inspection/Audit File and Documentation Review .......................... 26

3.2.5 Inspection/Audit File ................................................................................. 27 3.2.6 Pre-Inspection/Audit Team Meeting ........................................................ 27 3.3 Physical Inspection/Audit .......................................................................... 27 3.3.1 General ........................................................................................................ 27 3.3.2 Entry Meeting............................................................................................. 27

3.3.3 Evaluation and Verification ...................................................................... 28 3.3.4 Inspection/Audit Findings ......................................................................... 30

3.3.5 Daily briefings ............................................................................................ 31 3.3.6 Exit Meeting ............................................................................................... 31 3.4 Post-Inspection/Audit process................................................................... 32 3.5 Inspection/Audit report ............................................................................. 32 3.5.1 General ........................................................................................................ 32 3.5.2 Report format ............................................................................................. 32



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3.5.3 Report procedures ..................................................................................... 33 3.6 Inspection/Audit follow-up ........................................................................ 33

3.6.1 General ........................................................................................................ 33 3.6.2 Types of corrective action ......................................................................... 34 3.6.3 Corrective action plan submission ........................................................... 35 3.6.4 Corrective action acceptance .................................................................... 35

3.6.5 Corrective action follow-up ....................................................................... 36 3.6.6 Aviation enforcement action ..................................................................... 38

3.6.7 Inspection/Audit report review committee .............................................. 39 3.6.8. Post-Inspection/Audit surveillance ........................................................... 39

PARALLEL FINDINGS AND OBSERVATIONS ................................................... 41 4.1. General ........................................................................................................ 41 4.2. Parallel findings ......................................................................................... 41

4.2.1 Parallel findings shall include; ..................................................................... 41 4.2.2 Follow-up .................................................................................................... 41

4.3 Parallel observation ................................................................................... 42 4.3.2 Follow-up action ......................................................................................... 42 INSPECTION/AUDIT TEAM QUALIFICATIONS AND RESPONSIBILITIES 42

5.1 Team selection ............................................................................................ 43

5.2 The Director of Safety Regulation ............................................................ 43 5.2.1 Responsibilities ........................................................................................... 43 5.3 Team Leader............................................................................................... 43

5.3.1 Terms of reference ..................................................................................... 43 5.3.2 Qualifications.............................................................................................. 44

5.3.3 Responsibilities ........................................................................................... 44 5.4 Team Member ............................................................................................ 46

5.4.1 Terms of reference ..................................................................................... 46 5.4.2 Qualifications.............................................................................................. 46 5.4.3 Responsibilities ........................................................................................... 46 CHAPTER 6 ................................................................................................................. 48 INSPECTOR TRAINING, QUALIFICATIONS AND CREDENTIALS .............. 48

6.1 Introduction ................................................................................................ 48 6.2 Types of training ........................................................................................ 48

6.2.1 Initial training ............................................................................................ 48 6.2.2 Specialized training .................................................................................... 48 6.2.3 Recurrent training ..................................................................................... 48 6.2.4 Training for re-qualification ..................................................................... 49 6.2.5 On-job-training (OJT) ............................................................................... 49 6.3 Training plan .............................................................................................. 49



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6.4 Training records......................................................................................... 49 6.5 Inspector Qualifications ............................................................................ 49

6.6 Credentials .................................................................................................. 59 CHAPTER 7 ................................................................................................................. 61 ANS INSPECTION FIELDS AND PROCEDURES ................................................ 61 7.1. General ........................................................................................................ 61

7.2. Inspection fields .......................................................................................... 61

APPENDICES Appendix 1 – Aerodrome Inspection Checklist…………………………………APP 1-1 Appendix 2 – Aerodrome and Approach Combined Checklist………………….APP 2-1 Appendix 3 – Approach Inspection Checklist………………………………….APP 3-1 Appendix 4 – Area Control Inspection Checklist………………………………APP 4-1 Appendix 5 – AIS Aerodrome Unit Inspection Checklist………………………APP 5-1 Appendix 6 – AIS NOF Inspection Checklist………………………………….APP 6-1 Appendix 7 – AIS Cartographic Unit Inspection Checklist……………………APP 7-1 Appendix 8 – AIS Headquarters Inspection Checklist…………………………APP 8-1 Appendix 9 – CNS Inspection Checklist……………………………………….APP 9-1 Appendix 10 – Meteorology Inspection Checklist ……………………………APP 10-1 Appendix 11 - Procedure Design………………………………………………APP 11-1 Appendix 12 – Search and Rescue Inspection Checklist………………………APP 12-1 FORMS FM 1 - ANSP Application/Renewal/Amendment Form FM 2 - Air Navigation Services Provider Register FM 3 - Confirmation Request Form FM 4 - Confirmation Request Tracking Form FM 5 - Corrective Action Form FM 6 - Corrective Action Form Part 1 FM 7 - Corrective Action Form Part 2 FM 8 - Corrective Action Tracking Form FM 9 - Evidence Log FM 10 - Finding Form FM 11 - Parallel Finding Form FM 12 – Parallel Observation Form FM 13 - Navigation Service Provider Certificate



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0. CHAPTER 1 1.

2. GENERAL 3.

1.1. Definitions

The following terminology is specific to this manual and to those portions of associated manuals that pertain to inspections and Inspection/audits: Audit: An in-depth review of the activities of an organization to verify conformance to regulatory requirements;

Audit activities: Those activities and procedures through which information is obtained to verify conformance to regulatory requirements;

Auditee: The organization to be audited. This term may be interchanged with “company”, “document holder”, “operator” and “organization”;

Audit finding: A non-conformance to a specified regulatory requirement or company approved procedure, identified during an audit and documented on a finding form;

Audit report: A report that outlines the audit process and provides a summary of the audit findings;

Certification: The process of determining competence, qualification, or quality on which the issuance of a [State] aviation document is based. This includes the original issuance, denial, renewal or revision of that document;

Confirmation: The assurance that findings are in accordance with data obtained from different sources;

Confirmation request form (CRF): A form issued to an organization by an inspector requesting specific information. The organization is requested to respond within a specified period;

Conformance: The state of meeting regulatory requirements or organization’s approved procedures;



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Corrective action plan: A plan submitted in response to findings. The plan outlines how the company proposes to correct the deficiencies documented in the findings;

Documented: That which has been recorded in writing, photocopied or photographed and then signed, dated and retained;

Finding: A non-conformance to a regulatory requirement or company approved procedure;

Finding form: A form used to document a finding;

Follow-up: The final audit phase that focuses on corrective action to findings issued during an audit;

Inspection: The basic activity of an audit, involving the systematic assessment of a specific characteristic of an organization to verify conformance to regulatory requirements or company approved procedures. The term also refers to inspector tasks exercised in the performance of this activity;

ANS Inspectors' Handbook: A manual outlining general audit policies and procedures and serving as the principal guidance document for the conduct of inspection/audits within [CAA]; Inspection field: The area or unit within the ANSP to be inspected/audited;

Non-conformance: The failure to meet regulatory requirements or company approved procedures;

Practice: The method by which a procedure is carried out;

Procedure or process: A series of steps followed methodically to complete an activity. This includes: the activity to be done and individual(s) involved; the time, place and manner of completion; the materials, equipment, and documentation to be used; and the manner in which the activity is to be controlled;

Quality assurance activities (QAA): A series of planned activities to determine whether the management system conforms to the requirements of the operating



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standards. These activities include quality assurance reviews and self-assessments;

Standard: An established criterion used as a basis for measuring an organization’s level of conformance;

Team leader: The individual appointed under the authority of the [Director of Safety oversight] to lead an audit team.

Team member: The individual appointed under the authority of the [Director of Safety oversight] to participate in safety audit;

Working papers: All documents required by the auditor or audit team to plan and implement the audit. These may include inspection schedules, assignments, checklists and various report forms.

1.2. Abbreviations

The following abbreviations and acronyms will be found throughout this manual and in functional area control manuals, including checklists and other guidance materials:

ANS Air Navigation Services ANSP Air Navigation Services Provider ATC Air Traffic Control ATM Air Traffic Management CAA Civil Aviation Authority CARs Civil Aviation Regulations CNS Communication, Navigation and Surveillance DG Director General HQ Headquarters ICAO International Civil Aviation Organization IFR Instrument Flight Rules MANSOPS Manual of Air Navigation Services Operations N/A Not Applicable NOTAM Notice to Airmen QA Quality Assurance QAA Quality Assurance Activities QC Quality Control SAR Search and Rescue



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SMS Safety Management System



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1.3. Objectives of the Manual

(a) To provide guidance to ANS Inspectors administering the inspection and inspection/audit programme.

(b) To promote standardization in application of programme procedures and

practices.

(c) To fulfill the ANS certification requirements in accordance with the Civil Aviation Regulations.

(d) To encourage and promote the establishment of reasonable programmes for

enhancing and improving safety to benefit the aviation community. 1.4. Applicability

The categories of Air Navigation Service Providers Inspected/audited under the provisions of this manual are; Air Traffic Services, Meteorological Services for air navigation, Aeronautical Information Services, Search and Rescue, Communication, Navigation and Surveillance Systems and Flight procedure design.

1.5. Authority for publication and amendment of the manual 1.5.1. The ANS Inspectors’ Handbook is developed, published and distributed pursuant

to Civil Aviation (ANS) Regulations, 2008. 1.5.2. The Authority is responsible for the issuance and control of amendments to this

manual. All copies of the manual are numbered and issued in accordance with the distribution list. Individual holders are responsible for insertion of all amendments. Minor changes (e.g. telephone number, typographical errors) can be accommodated by hand amendment with prior notification to the Authority. All such changes will be incorporated accordingly.

1.5.3. All users of this manual are encouraged to submit recommendations for

proposed revisions, additions or omissions to the Authority for consideration and inclusion in the amendments as appropriate.



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CHAPTER 2

GENERAL POLICY AND PROCEDURE 2.1 Introduction 2.1.1 Director General, Civil Aviation

The [Director General], Civil Aviation is responsible for the development of inspection and audit policy and procedures contained in this handbook.

2.1.2 ANS Inspectors’ Handbook

This handbook outlines general inspection/audit policy and procedures and serves as the principal guidance document for the conduct of inspection/audits and includes checklists, forms and guidance materials that will be used by Inspectors in the course of their inspection and audit activities.

2.1.3 CAA Safety Inspection/audit Program

The CAA Safety inspection/audit Program has been developed to promote conformance with the Civil Aviation Regulations and associated standards.

2.1.4 Safety Oversight Directorate

The Director of Safety Regulation is responsible for the management of the Safety Oversight inspection/audit Program, which includes the following:

(a) defining inspection/audit policy, procedures and training standards; (b) managing inspectors training program(s); (c) maintaining the safety oversight and inspection/audit manual and assisting

in the development and management of documents required for the inspection/audit process;

(d) administering the safety oversight inspection/audit program to ensure uniform application of Civil Aviation inspection/audit policies and procedures; and

(e) coordinating inspection/audit activities. 2.2 Authority



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2.2.1 Director General, Civil Aviation

The Director General, Civil Aviation (DGCA) is responsible for the development of inspection and audit policy and procedures. The appropriate responsibilities have been delegated to Director responsible for safety regulations pursuant to section 20 of the Civil Aviation Act CAP 80 as reflected in the Delegation of Powers by the Director General. Pursuant to the above powers the DGCA has provided policy and procedural guidance for the conduct of safety oversight Inspection/Audit through this safety oversight Inspection/Audit manual. .

2.2.2 Inspector delegation of authority The Director responsible for aviation safety oversight shall appoint Inspectors/Auditors to carry out assessment and Inspection/audits who shall have unhindered access to aircraft, aerodrome and related facilities and installations, navigation and communication facilities and to any records and information. The Civil Aviation Act provides for Inspectors/Auditors to take appropriate action to ensure that safety deficiencies are corrected and appropriate standards are maintained.

2.3 Inspection/Audit plan

The inspections/audits of organizations shall be done in accordance with a plan prepared by the Director of Safety Regulation as contained in Chapter 3 of this handbook.

2.4 Inspection/Audit types 2.4.1 General

The type of inspection/audit is determined by the circumstances under which the inspection/audit is convened and includes the following: (a) pre-certification inspection/audit; (b) additional authority inspection/audit; (c) routine conformance inspection/audit; and (d) Special-purpose inspection/audit.

2.4.2 Pre-certification Inspection/Audit



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Pre-certification inspection/audit will be conducted prior to the issuance of the certificate.

2.4.3 Additional authority Inspection/Audit

An additional authority inspection/audit may be conducted prior to the granting of an additional authority. Prior notification to the organization is not required.

2.4.4 Routine conformance Inspection/Audit

A routine conformance inspection/audit will be conducted for the purpose of determining an organization’s overall level of conformance to regulatory requirements. All applicable characteristics of the organization will be subject to review.

2.4.5 Special-purpose Inspection/Audit

A special-purpose inspection/audit is one conducted to respond to safety concerns or circumstances other than those requiring a pre-certification Inspection/audit, an additional authority inspection/audit or a routine conformance inspection/audit. A special purpose inspection/audit may preclude certain team-member activities and responsibilities that would be associated with other types of Inspection/audits.

2.5 Scope and depth

The scope and depth of an inspection/audit is influenced by the following: (a) type of the inspection/audit; (b) the period back in time that systems are subject to review (typically

from the last inspection/audit to the present); (c) the enforcement record of the organization; (d) the confidence in corrective actions taken by the organization as a

result of a previous inspection/audit; and (e) Inspector/Auditor and financial resources available

2.6 Frequency

With the exception of pre-certification, additional authority and special purpose inspection/audits, organizations shall be inspected/audited at least once a year.



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2.7 Inspection/Audit budget

The Director of Safety Regulation is responsible for resource utilization and control during inspection/audits. Where applicable, forecast expenditures will be included in the proposed Inspection/audit plan and should include a breakdown of travel and overtime costs for all Inspection/audit activities. Once the budget has been approved, the Director of Safety Regulation will ensure that expenditures fall within approved allocation.

2.8 Inspection/Audit phases 2.8.1 General

The Inspection/audit process consists of the following four distinct phases: (a) pre-inspection/audit; (b) physical inspection/audit; (c) post-inspection/audit; and (d) Inspection/audit follow-up

2.8.2 Pre-Inspection/Audit

Pre-inspection/audit activities involve notifying the organization, selecting an inspection/audit team, developing an inspection/audit plan, reviewing files and related documentation, opening an inspection/audit file if one has not been opened prior to the inspection/audit, and convening the pre-inspection/audit team meeting. Further details are given in section 3.2 of this manual.

2.8.3 Physical Inspection/Audit

The physical inspection/audit phase will be implemented in accordance with the inspection/audit plan. The purpose of this phase is to verify conformance with regulatory requirements and to assign findings where non-conformance has been confirmed. Inspection/audit results will be communicated to the organization under review at daily meetings and/or the exit meeting. Once an inspection/audit has commenced, it will not be terminated without approval of the Director of Safety Regulation. Further details on Physical Inspection/audit are given in section 3.3 of this manual.



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2.8.4 Post-Inspection/Audit

Post-inspection/audit activities include completion of administrative details and production of the inspection/audit report. Details of post Inspection/audit activities are given in section 3.4 of this manual.

2.8.5 Inspection/Audit follow-up

Inspection/audit follow-up includes acceptance of the organization’s corrective action plan, verification of full implementation of that plan and formal closure of the Inspection/audit by the team leader. Further details on inspection/audit follow-up are given in section 3.5 of this manual.

2.9 Checklists 2.9.1 Purpose

Checklists provide a systematic approach for the conduct of an inspection/audit and are designed to identify specific items for review and make reference to the applicable regulatory requirement, be it to a regulation, standard or control manual requirement. Checklists should not limit the inspector/auditor’s ability to explore other areas where warranted.

2.9.2 Applicability

Inspection/audit checklists will: (a) be used to guide the inspection/audit; (b) be completed or have areas that were not completed so annotated;

and (c) be signed and dated by the team member using the checklist.

2.9.3 Safety management system assessment guide

Where an assessment of an organization’s safety management system (SMS) will be completed, the SMS assessment guide shall be used.

2.10 Inspection/Audit team



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2.10.1 Inspection/Audit assignments

Inspectors/ Auditor assigned to an inspection/audit team shall report to the team leader for the duration of the inspection/audit. To ensure continuity, Inspectors/Auditor assigned to an inspection/audit shall not be released from their duties prior to the completion of their assignments set out in the inspection/audit plan unless written authorization has been received from the Director of Safety Regulation. Team members must be able to focus on inspection/audit activities and must therefore be released from other responsibilities during the term of the Inspection/audit.

2.10.2 Inspector/Auditor qualification

Inspection/audit team member qualifications will vary according to their respective duties and responsibilities and are specified in Chapter 4 of this manual.

Where the qualifications referred to above have not been met, persons providing specialist assistance and Inspector/Auditor under training may be included as team members with the approval of the Director of Safety Regulation. Any work undertaken by these individuals must be reviewed by a qualified member who will sign and take responsibility for work completed.

2.10.3 Inspection/Audit coordination

Inspection/audits will be coordinated through the Director of Safety Regulation.

2.10.4 Specialist

A specialist may join the inspection/audit team by mutual agreement of the Director of Safety Regulation and appropriate team leader.

2.10.5 Observers

An observer may join the Inspection/audit team by mutual agreement of the Director of Safety Regulation, appropriate team leader and the ANSP. This observer may be a CAA Inspector/Auditor or any other person authorized by the Director of Safety Regulation.



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2.11 Director of Safety Regulation role

The Director of Safety Regulation shall monitor the effectiveness of inspection/audit plans by using policies and procedures outlined in this manual.

2.12 Parallel findings and observations

When parallel findings or observations are identified during an inspection/audit, the required form will be completed in accordance with sections 4.2.1 and 4.3.1 and follow-up is to be conducted in accordance with section 4.2.2 and 4.3.2.

2.13 Discrepancies within CAA mandate

During an inspection/audit, the organization under review may produce CAA letters or approval documents that are inconsistent with current regulation or policy. Where non-conformance to a regulatory requirement results, an inspection/audit finding will be assigned to the organisation under review to ensure that it is resolved through the corrective action plan. The inspector shall include these inconsistencies in a parallel finding.

2.14 Confidentiality

Owing to the sensitive nature of inspection/audits, confidentiality of inspection/audit information is important; this is especially true during the physical inspection/audit. Inspector/Auditor shall exercise judgment and discretion when discussing matters pertaining to the inspection/audit whether on or off the site. Discussion of inspection/audit content shall be limited to the inspection/audit team and CAA management and shall be undertaken in accordance with the communication protocols specified in the Inspection/audit plan.

2.15 Inspection/audit report

The inspection/audit report is the documentary result of an inspection/audit and is required for each inspection/audit. The report outlines the inspection/audit process, provides a summary of the areas under review and includes copies of any inspection/audit findings. Section 3.4.1 outlines the general procedures for preparing an inspection/audit report.



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2.16 Access to information 2.16.1 Any request for inspection/audit records must be processed upon receipt by the

authority.

2.16.2 In the case of ongoing inspection/audits where disclosure of the requested inspection/audit documents will be injurious to the decision making process (and/or the deliberations between Director of Safety Regulation and the approved organization) Director of Safety Regulation shall make recommendations for non-disclosure of the relevant portions of requested records.

2.17 Inspection/audit record retention and disposal

The process for disposal and/or retention of inspection/audit records will be determined by the requirements of the National Archives of Tanzania in conjunction with the Disposal Act and any CAA disposal policy that may be in place.



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CHAPTER 3

INSPECTION/AUDIT PROCEDURES 3.1 Selection of inspection/audit Procedures

Inspection/audit procedures are similar in application yet there are differences attributable to the size, scope and complexity of the organizations being inspected/audited. With some types of inspections/audits, not all procedures outlined in this Chapter will be employed.

3.2 Pre-inspection/audit

The phases of the pre-inspection/audit involve, among other things, notifying the organization, selecting an inspection/audit team, developing an inspection/audit plan, reviewing files and related documentation, opening an inspection/audit file if one has not been opened prior to the inspection/audit, and convening the pre-inspection/audit team meeting.

3.2.1 Notification

An organization will normally be contacted at least fourteen (14) days prior to the planned inspection/audit date to confirm the inspection/audit schedule. The notification period for inspections/audits planned on shorter notice will be at the discretion of the Authority. The scope of the Inspection/audit will determine the lead-time for this contact.

3.2.2 Inspection/Audit Team Requirements

Inspection/audit team requirements including team member selection, terms of reference, qualifications and responsibilities are specified in Chapter 5 of this Manual.

3.2.3 Inspection/Audit Plan

The Director of Safety Regulation will develop an inspection/audit plan. This plan ensures that the inspection/audit will be conducted in an organized manner and in accordance with predetermined criteria. Appropriate sections of the plan will be distributed to each member of the inspection/audit team to provide guidance and



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direction throughout the inspection/audit. The inspection/audit plan should address the following items as applicable: a) Objective The inspection/audit plan should state the inspection/audit type

(section 2.5) as applicable (i.e., Pre-certification, Routine Conformance inspection/audit, Additional authority or Special Purpose inspection/audit).

b) Scope and Depth The following should be specified where applicable:

(i) the specialty areas (including elements therein) of the organization to be inspected/audited;

(ii) the duration of the inspection/audit;

c) Organization Description The inspection/audit plan should provide specific information on the organization. This will provide the Inspector/Auditor with an overview of the organization and will include information pertaining to the following:

(i) the number of employees and their location; (ii) type of operation; and (iii) any other relevant information

d) Methodology The inspection/audit plan should describe the methodology to be used during the inspection/audit including: (i) the manner in which the Inspection/audit is to be conducted (i.e.,

procedures specified in this manual). (ii) the specific procedures to be followed (specialist guidance such as

checklists, forms and guidance materials provided in this manual); and (iii)details pertaining to maintenance of the inspection/audit file required

by section 3.2.5

e) Communications The inspection/audit plan should identify the communication protocols that the inspection/audit team is to follow. This will include internal communications within the inspection/audit team and CAA personnel, as well as external communications with the ANSP, external agencies and the public.

f) Specialist Assistance Specialists are persons who possess knowledge

and expertise that is required of the inspection/audit team yet is not available within the Authority.



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g) Parallel Findings and Observations The inspection/audit plan will indicate the process team members will follow when parallel findings or observations are identified.

h) Budget The inspection/audit plan shall include the budget for the

expenses to be incurred during the implementation of the programme.

i) Team Composition The inspection/audit plan shall include a list of the inspection/audit team members, technical specialties and telephone number.

j) Inspection/audit Schedule An inspection/audit schedule shall be

provided indicating the pre-inspection/audit and physical inspection/audit activities including dates and time.

3.2.4 Pre-inspection/Audit File and Documentation Review

This includes a thorough review of all files and documentation that are relevant to the organization. The following should be completed during this activity where applicable:

(a) ensure that all reference manuals and documents to be used during the inspection/audit are readily available and include the latest approved amendments;

(b) review the ANSP’s approved manuals for conformance to the appropriate standard;

(c) review the ANSP’s files and records to include: (i) previous inspection/audits including corrective actions and

follow-up where applicable, (ii) accident or incident data, including incident reports, (iii) previous enforcement action, and (iv) exemptions, waivers, approvals, limitations and

authorizations; (d) identify areas that require further review during the physical

inspection/audit; (this can be added to the notes section of the applicable checklist.)

(e) Select the applicable checklist(s) from this manual in accordance with the scope of the inspection/audit; and

(f) complete all applicable pre-inspection/audit items on the checklists



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3.2.5 Inspection/Audit File

An inspection/audit file is required to track inspection/audit history and help determine inspection/audit frequency. It is also valuable in assessing the effectiveness of inspection/audit follow-up. An inspection/audit file shall be opened for each organization that is inspected/audited. The inspection/audit file shall contain a complete chronological record of all correspondence(s) and documentation dealing with inspections/audits including a complete record of inspection/audit follow-up action. Items that appear inconsistent or incomplete during a review of the inspection/audit file must be distinctly marked for verification during the physical inspection/audit.

3.2.6 Pre-Inspection/Audit Team Meeting

This meeting should include the following agenda items as applicable for the type of inspection/audit:

(a) administrative details; (b) inspection/audit plan review and amendment, ensuring that all team

members have received appropriate inspection/audit plan; (c) confidentiality and access to information; (d) use of checklists; (e) communications; (f) pre-inspection/audit review and physical inspection/audit overview;

and (g) where possible, Inspector/Auditor briefing on the organization’s

current activities, trends, performance and previous inspection/audit history including corrective action and follow-up.

3.3 Physical Inspection/Audit 3.3.1 General

Activities conducted during the physical inspection/audit include the entry meeting, evaluation and verification, daily briefings and the exit meeting.

3.3.2 Entry Meeting



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The entry meeting should set the tone for the physical inspection/audit and should be attended by the ANSP’s senior management. Members of the inspection/audit team will attend the entry meeting as directed by the Director of Safety Regulation. Additional personnel may attend as directed by the Director of Safety Regulation. This meeting will outline the inspection/audit process and confirm any administrative requirements so that the physical inspection/audit may be conducted both effectively and efficiently, while minimizing disruptions to the ANSP operations.

3.3.3 Evaluation and Verification

3.3.3.1 Use of Inspection/Audit Checklists Use of the applicable checklists

contained in this manual is mandatory, as they will assist Inspectors in determining the level of conformance to regulatory requirements. Based on the results of the completed checklist, a determination of the strengths and weaknesses of the ANSP’s control system will be possible. Although each item on the checklist need not be checked, this system will be most effective if all items are evaluated. There may be times where it is not possible to review a particular specialty area element (i.e., an entire checklist). This shall be documented in the Inspection/audit report and where applicable, a parallel observation submitted.

During this phase, the inspection/audit team will;

(a) confirm whether the ANSP’s operation conforms to regulatory requirements;

(b) confirm whether controls are operating effectively and as intended and specified in the appropriate manual; and

(c) where non-conformance with a regulatory requirement is identified, gather evidence or supporting documentation (with the assistance of the enforcement point-of-contact if required) and prepare an inspection/audit finding.

3.3.3.2 Inspections Inspections range from the simple observation of an activity

to the detailed analysis of a system or process using comprehensive checklists or forms. The term inspection includes: the review of files and records, interviews, use of confirmation requests, observation of such activities as air traffic control operations.



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3.3.3.3 Interviewing ANSP Personnel Interviews are verbal communications with the ANSP’s personnel and range from an informal discussion to pre-arranged interviews. Interviews are important to inspectors/ Auditor in that they enable the Inspector/Auditor to:

(a) determine whether the control system documented in control manuals is in use;

(b) determine the accuracy of information provided; (c) assess the knowledge of supervisory personnel pertaining to their

duties and responsibilities; and (d) where applicable, confirm the validity of findings identified during an

inspection/audit

3.3.3.4 Guidelines for preparing the interview The following guidelines will be useful when preparing for an interview:

(a) prepare carefully prior to the interview by defining the areas to be explored and setting specific objectives (guidance material may be included in the appropriate manual);

(b) explain why the interview is taking place; (c) use open ended questions and avoid complex questions or phrases; (d) ensure that questions are understood; (e) listen carefully to answers and allow interviewee to do most of the

talking; (f) avoid being side-tracked from your original objectives; (g) terminate the interview if the atmosphere becomes highly negative; (h) thank the interviewee at the conclusion of the interview; and (i) document responses during or as soon as possible following the

interview.

3.3.3.5 Confirmation Requests Confirmation requests are typically used where the Inspector/Auditor requires information and the appropriate company representative is not immediately available to provide it. Communications are entered on the Confirmation Request Form (CRF) and forwarded to the ANSP with a request that the information be provided by a specified date and time. A sample CRF can be found in Appendix 2 of this manual. Team members will forward CRFs to the team leader who will review the document to ensure that it is recorded in a Confirmation Request Tracking Form (CRTF-Appendix 2) and forwarded to the appropriate person in the ANSP’s organization.



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When the CRF has been returned and appropriate action taken, this material should be filed.

3.3.4 Inspection/Audit Findings 3.3.4.1 General Inspection/audit findings must be prepared accurately as they form

the basis of the inspection/audit report and a successful inspection/audit. A sample finding form can be found in Appendix 2. Since a number of team members will be completing finding forms, it is important that a standardized approach to inputting data on the form be taken. All evidence and supporting documentation will be included with the completed finding form for review by the applicable team leader and the Director of Safety oversight. Although this documentation will not be included in the inspection/audit report, it will be retained in the inspection/audit file.

3.3.4.2 Issuance during the Physical Inspection/Audit Where it is determined that

corrective action and subsequent follow-up to a non-conformance is required in a period less than that which occurs through the use of an approved corrective action plan (typically 30 working days), an inspection/audit finding may be issued during the physical inspection/audit. This type of finding is usually made where safety is compromised and corrective action is required immediately, or at the very least, prior to completion of the inspection/audit. The corrective action section of the inspection/audit finding form includes a checkbox and a line to specify the date and time by which that corrective action is required.

The ANSP must respond to the inspection/audit finding by the date and time specified in the corrective action section of the finding form using a corrective action form. A sample corrective action form can be found in Appendix 2. Issuance of inspection/audit findings during the physical inspection/audit will only be contemplated when the Director of Safety oversight and team leader are in agreement with such action. For the purposes of follow-up to corrective actions taken during the physical inspection/audit, the team leader or Director of Safety oversight will accept submitted corrective actions by signing the applicable corrective action form.



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3.3.4.3 Filling the finding form The finding form must be dully completed by the Inspector /Auditor, while observing the following;

a) identify the ANSP using the organization’s name as found on the register and file number,

b) identify the area of inspection/audit c) enter the location where the non-conformance applies, d) for each non-conformance, correctly identify the regulatory

requirement or company approved procedure to which it applies and quote the regulatory requirement or company approved procedure word for word, ensuring that the quotation is relevant or insert the reference in approved manuals

e) ensure that the examples illustrate non-conformance with the applicable requirement be it a regulation or a standard

f) avoid the use of unnecessary words g) specify the name of the Inspector/Auditor and the date the

inspection/audit finding was made.

3.3.5 Daily briefings

Team briefings should be held at the end of each day during the inspection/audit to;

a) ensure adherence to the inspection/audit plan; b) validate confirmation requests and inspection/audit findings; c) resolve issues or problems arising from the day’s activities; and d) provide the team leader with the information necessary to update

the Authority where applicable.

Daily briefings for the ANSP should be scheduled to minimize any disruption. These briefings are conducted to update the ANSP’s management on inspection/audit progress and to discuss any identified findings.

3.3.6 Exit Meeting

Upon completion of the inspection/audit, the team leader will convene an exit meeting with the ANSP’s senior management to brief them on the results of the inspection/audit. Where applicable, the inspection/audit team will have briefed the ANSP on all inspection/audit findings during the daily meetings so debate between the team



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and the organization should not occur. The ANSP should be advised that they will have an opportunity to respond formally to the inspection/audit report in their corrective action plan submission. The team leader shall advise the ANSP that the inspection/audit report will be forwarded to them within 10 working days from the completion of the exit meeting and that a corrective action plan must be submitted within 30 days after the report has been received. Details of the corrective action process will also be discussed.

3.4 Post-Inspection/Audit process

The post-inspection/audit process includes the wrap-up of inspection/audit administrative details (claims, overtime, etc.), preparing the inspection/audit report and convening the inspection/audit report review committee where applicable.

3.5 Inspection/Audit report 3.5.1 General

The inspection/audit report is a document that summarizes the results of an inspection/audit and includes the inspection/audit findings and where applicable, corrective actions taken to findings issued during the inspection/audit in accordance with section 3.3.4.2. The report is a factual account of the inspection/audit and will not include subjective statements, suggestions or recommendations. The team leader is responsible for the preparation of the inspection/audit report and its submission for approval.

3.5.2 Report format

The inspection/audit report will have three distinct parts as follows: a) Part I — Introduction, which identifies the ANSP, summarizes the

inspection/audit process and includes the executive summary which summarizes the most significant findings for the information of ANSP and Director of Safety Regulation

b) Part II — The details of the inspection/audited areas; and



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c) Part III— Inspection/audit findings identified during the inspection/audit.

Inspection/audit reports may vary depending on the type of inspection/audit but shall follow the general structure specified above.

3.5.3 Report procedures

Inspection/audit findings issued to the ANSP during the physical inspection/audit pursuant to section 3.3.4.2 will be left with the organization and copies included in the inspection/audit report. Where the finding required corrective action prior to the end of the physical inspection/audit, the completed corrective action form will be attached to the inspection/audit finding. Where draft findings are left with the ANSP, the word ―draft‖ must be added to the form header. The inspection/audit report will be presented to the ANSP within ten working days calculated from the day of the exit meeting. Inspection/audit reports that require additional time for committee review may be given five additional days to be completed. Circumstances where this is permitted shall be specified in this manual. Any delay beyond the above time frame must be documented since the validity of the inspection/audit will be compromised if the report is not presented in a timely manner.

The Director of Safety Regulation will sign the report cover letter and forward the report to the ANSP. The report will outline the procedure for responding to the findings and specify the required response time of 30 days from the time the ANSP receives the report. The report will be distributed according to procedures specified in this manual.

3.6 Inspection/Audit follow-up 3.6.1 General

Upon completion of the inspection/audit, the Director of Safety Regulation will delegate follow-up responsibilities to persons responsible for regulatory oversight of the appropriate aspect of the ANSP’s operation who shall ensure that;

a) the corrective action plan (CAP) and inspection/audit follow-up has been entered in the appropriate database;



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b) where applicable, corrective actions required by a specific date on the corrective action section of the finding form have been completed by the date specified; and

c) the corrective action plan is submitted in the appropriate time and is approved, implemented and effective in rectifying the applicable non-conformances.

Inspection/Audit follow-up is considered complete when:

a) the applicable Inspector/Auditor has accepted all the corrective actions;

b) corrective action status has been recorded in the inspection/audit file; and

c) the Director of Safety Regulation has been advised and a letter forwarded to the ANSP advising them that the inspection/audit is closed.

Quality Assurance activities will be used to determine the effectiveness of inspection/audit follow up.

3.6.2 Types of corrective action 3.6.2.1 Short-term corrective action This action corrects the specific non-

conformance specified in the inspection/audit finding and is preliminary to the long-term action that prevents recurrence of the problem. Short-term corrective action will be completed:

a) by the date/time specified in the corrective action section of the finding form; or

b) per the accepted corrective action plan.

3.6.2.2 Long-term corrective action Long-term corrective action has two components. The first component will involve identifying the root cause of the problem and indicating the measures the ANSP will take to prevent a recurrence. These measures should focus on a system change. The second component is a timetable for the implementation of the long-term corrective action. Subject to the following paragraph, long-term corrective action will take place within 90 days and will include a proposed completion date. Some long-term corrective actions may require time periods in excess of 90 days (e.g. major equipment purchases). In this case, refer to 3.6.5.4, which explains



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how to deal with inspection/audit findings both beyond 90 days and closure of findings within 12 months. Where applicable, the CAP will include milestones or progress review points at 90 day intervals leading up to the proposed completion date for each inspection/audit finding. Where the short-term corrective action taken meets the requirements for long-term corrective action, this shall be so stated in the long-term corrective action section on the corrective action form.

3.6.3 Corrective action plan submission

The covering letter of the inspection/audit report will require the ANSP to submit: a) where applicable, corrective action forms for each finding requiring

corrective actions by the date specified in the corrective action section of the finding form; and

b) a corrective action plan addressing all other findings within 30 days from the date of receipt of the report. This deadline will not be extended without the approval of the Director of Safety Regulation

The Director of Safety Regulation will include the name(s) of the person(s) to whom the corrective action plan shall be sent in the inspection/audit report covering letter. Corrective action plans received from the ANSP should include completed corrective action forms and where applicable, supporting documentation that may take the form of technical record entries, purchase orders, memoranda, revised inspection/audit procedure cards, manual amendments, etc.

3.6.4 Corrective action acceptance

Where the corrective action plan is acceptable, the ANSP shall be so advised and the appropriate information (administrative/on-site follow-up, proposed completion date) will be entered on the corrective action form or where applicable, the corrective action tracking form, for the purpose of follow-up. Functional databases should also be used to track the progress of inspection/audit follow up.

Before accepting plans for findings that include long-term corrective actions exceeding 90 days as permitted in 3.6.5.4, the Director of Safety Regulation must be satisfied that the proposed corrective action is reasonable and that safety will not be



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jeopardized. These findings will then be considered closed for the purposes of corrective action plan follow-up provided the requirements of 3.6.5.2 are met. If the ANSP’s corrective action plan is not acceptable, the applicable Inspector/Auditor or other assigned person will request that the plan be revised and re-submitted within 10 days of the request. Where the ANSP is unresponsive to this action, an alternative course of action may be pursued, such action could include the sending of a Notice of Suspension to the organisation by the Director of Safety Regulation.

3.6.5 Corrective action follow-up 3.6.5.1 Follow-up process

a) Where the inspection/audit findings are of a minor nature and no threat to aviation safety exists an ―administrative follow-up‖ may be acceptable. In this case, the documents referred to in 3.6.3 must be reviewed and found acceptable. All other findings require ―on-site follow-up‖ to ensure that non-conformances have been rectified and that corrective actions are effective.

b) Progress will be monitored as the ANSP completes inspection/audit finding corrective actions. This will be accomplished by using the follow-up section on the corrective action form, the corrective action tracking form or functional database. Both forms identify the finding number, the type of inspection/audit follow-up (administrative or on-site) and the date upon which the corrective action was completed.

c) Long-term corrective actions that have been accepted in accordance with 3.6.2.2 will be followed-up by the applicable Inspector/Auditor or other assigned person, who will advise the Director of Safety Regulation when the item is complete. This follow-up will be confirmed through routine surveillance activities.

3.6.5.2 Inspection/Audit follow-up Personnel assigned inspection/audit follow-

up responsibilities will: a) monitor the ANSP to ensure that the 30 day response time for

corrective action plan submission is observed or, where applicable, that corrective actions required by a specific date (indicated on the corrective action section of the finding form) have been completed;



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b) ensure that the corrective action plan addresses the most critical findings first;

c) ensure that each proposed corrective action will rectify the root cause of the finding to prevent its recurrence;

d) determine that the ANSP has developed a reasonable timetable for long-term corrective action and ensure that the proposed completion date is indicated on the appropriate section of the corrective action form, entered on the corrective action tracking form or entered in the applicable functional database;

e) accept the corrective action plan in co-ordination with the Director of Safety Regulation and appropriate team leader and/or team member;

f) determine for each corrective action plan item whether the follow-up is to be administrative or on-site and indicate so on the corrective action form, corrective action tracking form or applicable functional database;

g) monitor the progress of the corrective action plan by maintaining the follow-up section of the corrective action form, the corrective action tracking form or applicable functional database and ensuring that the appropriate follow-up (administrative or on-site) has been conducted;

h) ensure that all completed corrective action forms and corrective action tracking forms, together with any supporting documentation are placed in the Inspection/audit file; and

i) advise the Director of Safety Regulation when all corrective actions have been completed.

3.6.5.3. Deficiencies from APIRG Deficiencies identified within the APIRG

framework shall be treated as in 3.6.2 to 3.6.5.2 above. In this case, ICAO shall be updated.

3.6.5.4. Inspection/Audit closure To enable the Director of Safety Regulation to

close regulatory inspection/audits within 12 months following Corrective Action Plan (CAP) acceptance, the following process should be applied. The CAP should aim at having all corrective action in place within 90 days of acceptance by the applicable Inspector/Auditor or other assigned person. If it is not possible to meet the deadlines, special consideration may be required to ensure a timely closure of the inspection/audit.



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Inspection/audit findings will be categorized as follows: a) An immediate safety issue - corrective action must be carried out

immediately in order for the ANSP to continue with its activities. The finding should be written into the report. Should long-term corrective actions be required, depending on the circumstances, this will be dealt with as identified in (b), (c) or (d) below.

b) Corrected within 90 days - the majority of findings should fall into this category. The accepted CAP must indicate that the long and short-term corrective action will be in place within 90 days. The applicable Inspector/Auditor or other assigned person will ensure follow-up.

c) Corrected between 90 days and twelve months - where it is anticipated that the corrective action will take more than 90 days after CAP acceptance, a risk assessment shall be completed by the applicable Inspector/Auditor or other assigned person before acceptance by the Director of Safety Regulation.

d) Longer than 12 months - where it is not possible or reasonable to apply the corrective action within 12 months of acceptance of the CAP, a risk assessment study shall be completed by the applicable Inspector/Auditor or other assigned person. If the risk assessment confirms that the proposed period is justified, an exemption shall be issued. The corrective action would therefore be completed.

The inspection/audit can be closed by the Director of Safety Regulation 12 months after acceptance, since the corrective action has either been completed or assessed to the point whereby an exemption could be issued. The Director of Safety Regulation will confirm that all follow-up actions have been completed, entered in the functional database and will then forward a letter to the ANSP informing them that the inspection/audit is closed.

3.6.6 Aviation enforcement action

Once the inspection/audit report has been sent to the ANSP, a copy will be sent to the appropriate Aviation Enforcement office. The necessity or extent of any enforcement action will be determined jointly by the Director of Safety Regulation and Aviation Enforcement officers. A decision record shall



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highlight those inspection/audit findings that are to be investigated by Aviation Enforcement. This record will form part of the inspection/audit file. The co-ordination outlined above should take place as a discrete activity or, alternatively, as a function of an inspection/audit review committee.

3.6.7 Inspection/Audit report review committee

The Director of Safety Regulation may convene an inspection/audit report review committee as may be necessary to:

a) confirm the technical accuracy of the report with special attention given to the ANSP’s description, the specialty area summaries, and the Inspection/audit findings;

b) ensure that the report is an objective account of the inspection/audit and that no subjective statements are included in the report;

c) ensure that statements made in the summaries are supported by the actual inspection/audit findings; and

d) determine if any findings identified in the report should be subject to further investigation.

To facilitate an effective review it will be necessary to provide copies of the report to committee members in advance of the committee meeting, yet it is acknowledged that the meeting must be held shortly thereafter in order to provide time to make any changes, produce the final report and forward same to the ANSP within the time periods specified in 3.3.6. Recommendations resulting from the committee review will be considered advisory by the Director of Safety Regulation who shall retain responsibility for the final report.

3.6.8. Post-Inspection/Audit surveillance

During inspection/audit follow-up, surveillance is the only means to ensure that organizations with non-conformances comply with regulatory requirements and respond satisfactorily to inspection/audit findings. Post-inspection/audit surveillance can be conducted administratively, by inspection or as a more structured follow-up audit.



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3.6.9. Closing of inspection/audit

The inspection/audit would be completed when;

a) the final report has been published and accepted an action plan to address deficiencies and/or non-standard practices has been completed.

b) the deficiencies and non-standard practices have been closed by Lead Auditor



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CHAPTER 4

PARALLEL FINDINGS AND OBSERVATIONS

4.1. General

During the course of audit, audit team members may make parallel observations or findings pertaining to deficiencies in, or misapplication of, Civil Aviation Regulatory requirements or non-regulatory policies, procedures or guidelines. These observations and findings will be documented on the parallel observation or parallel finding form, the purpose of which is to improve the quality and effectiveness of the CAA regulatory oversight programme. The team leader will forward all parallel observations and findings to the Director of Safety Regulation upon the completion of the audit who will ensure that the follow-up process specified in section 4.2.2 and 4.3.2 has been followed. Parallel observations and findings shall neither be included nor referenced in the audit report.

4.2. Parallel findings 4.2.1 Parallel findings shall include;

a) a description of the non-conformance that resulted in the finding; and

b) examples that support the finding Parallel findings are subject to the corrective action process described in 4.2.2 A sample parallel finding form can found in Appendix 2.

4.2.2 Follow-up

Upon receipt of parallel findings, the Director of Safety Regulation will assign an appropriate Inspector/Auditor (or other assigned person) for co-ordination and follow-up. Parallel findings over which the Director of Safety Regulation has no authority shall, where applicable, be forwarded to the Director General, who will assign an appropriate Inspector/Auditor for co-ordination and follow-up. The Inspector so appointed shall co-ordinate the corrective action plan responses with the Director of Safety Regulation within 30 days and track the completion of each corrective action item when the corrective action plan is fully implemented.



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4.3 Parallel observation 4.3.1 The following information shall be included when making a parallel observation:

a) a description of the problem citing examples where possible; and b) recommendations to resolve the situation

Due to the subjective nature of parallel observations, recommendations are non-binding to the Director of Safety Regulation.

4.3.2 Follow-up action

The Director of Safety Regulation will forward parallel observations to the appropriate Inspector/Auditor for review and consideration. The inspector will advise the Director of Safety Regulation of any proposed action within 30 days. The Parallel Report Follow-up Inspector/Auditor(s) need not track parallel observations unless requested to do so by Director of Safety Regulation.

CHAPTER 5

INSPECTION/AUDIT TEAM QUALIFICATIONS AND RESPONSIBILITIES



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5.1 Team selection

Selection of the inspection/audit team members will be based on the type of the inspection/audit. Specialists and observers may be included as appropriate. An inspection/audit team may not require all the positions listed below and that various duties and responsibilities may be combined or deleted when assumed by a particular team member. This chapter outlines the terms of reference, qualifications and responsibilities of the Manager responsible for ANS Standards, team leader and each team member.

5.2 The Director of Safety Regulation 5.2.1 Responsibilities

The Director of Safety Regulation shall: a) determine the objective and scope of the inspection/audit; b) develop the inspection/audit plan c) select/appoint the inspection/audit team d) oversee the implementation of the inspection/audit programme; e) review and approve the inspection/audit report f) ensure that the ANSP receives the report within the required time-

frame g) ensure that action is taken in an appropriate and timely manner for

any immediate threat to safety identified by the team leader or team member during the physical inspection/audit

h) ensure that appropriate follow-up action is completed after the physical inspection/audit; and

i) send a letter to the ANSP confirming that all inspection/audit findings and corrective actions are complete and that the inspection/audit has been closed

5.3 Team Leader 5.3.1 Terms of reference

The terms of reference will be outlined in the assignment letter, memo or other acceptable method and specify that the team leader:



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a) will report directly to the Director of Safety Regulation until released from his/her Inspection/audit duties;

b) will conduct all inspection/audit related matters in accordance with policy and procedures specified in the Safety oversight inspection/audit Manual. and any related documentation;

c) will immediately contact the Director of Safety Regulation with a recommendation for action in the event of an immediate threat to aviation safety;

d) is authorized to communicate directly Director of Safety Regulation to obtain the required personnel resources.

e) Will, where required, be assigned appropriate resources for travel, overtime and any related expenses to be incurred during the inspection/audit

5.3.2 Qualifications

The Team Leader shall have: a) completed the Inspection/audit Course, Communications Skills for

New Inspector/Auditor Course, Aviation Enforcement Course and Applicable Specialty Course;

b) experience related to the type of organization to be inspected/audited;

c) a sound knowledge of Civil Aviation legislation and regulations; d) demonstrated communication and management skills; e) experience with CAA administrative procedures; and f) participated as a team member for a minimum of two

inspection/audits.

5.3.3 Responsibilities

The Team Leader shall: a) plan, organize, direct and control the inspection/audit process; b) plan inspection/audit activities well in advance of the scheduled

inspection/audit date; c) select team Members in consultation with the Director of Safety

Regulation and confirm their assignment by letter, memo or other acceptable method;

d) Maintain an inspection/audit file



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e) develop an inspection/audit plan for approval by the Director of Safety Regulation;

f) notify the ANSP by letter of the planned inspection/audit (14 days prior to date of inspection/audit)

g) Co-ordinate personnel requirements for the inspection/audit team. h) ensure that the pre-inspection/audit documentation review is

complete; i) ensure that team members are knowledgeable in their assigned

specialty areas; j) co-ordinate with the appropriate specialty areas to ensure that all

non-inspection/audit departmental liaison and activities with the ANSP are minimized and/or co-ordinated through Director of Safety Regulation during the inspection/audit period;

k) convene a pre-inspection/audit team meeting l) establish contact with the Director of Safety Regulation to relay

fieldwork progress, potential problems, changes in the objectives or scope of the inspection/audit, and other significant matters arising during the pre-inspection/audit phase;

m) advise the Director of Safety Regulation immediately of any immediate threat to safety and any safety issues identified during the physical Inspection/audit;

n) ensure that any decisions to be made by, or approvals required from, Director of Safety Regulation during the physical inspection/audit are received in a timely manner;

o) exercise line authority over inspection/audit team members and observers;

p) ensure that all inspection/audit findings are tied to the applicable regulatory requirement and are supported by specific examples and evidence or other supporting documentation where applicable;

q) ensure that all draft findings have been discussed with the ANSP prior to the exit meeting, where it is possible to do so;

r) prepare the inspection/audit report and submit it to Director of Safety Regulation immediately after the inspection/audit within five (5) days after the Inspection/audit;

s) provide the Director of Safety Regulation with recommendations for possible enforcement action arising from the inspection/audit and co-ordinate subsequent action regarding inspection/audit findings with the enforcement inspectorate;



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t) ensure that team members have fulfilled all responsibilities prior to release from inspection/audit duties and confirm their release by letter, memo or other acceptable method if released other than as planned;

u) ensure that parallel findings and observations have been completed and distributed in accordance with 4.2 and 4.3.

5.4 Team Member 5.4.1 Terms of reference

The team member’s terms of reference will be outlined in the assignment letter, memo or other acceptable method and specify that the team member;

a) will report directly to the Team Leader, until released from his/her

inspection/audit duties; b) will conduct all Inspection/audit related matters in accordance with

policy and procedures specified in this manual ; and

c) will immediately contact the team leader, with a recommendation for action in the event of an immediate threat to aviation safety.

5.4.2 Qualifications

A team member shall a) completed the Inspection/audit Course, Communications Skills for

New Inspector/Auditor Course, Aviation Enforcement Course and Applicable Specialty Course or any other relevant qualifications;

b) have experience related to the type of organization to be Inspected/audited; and

c) possess a sound knowledge of Civil Aviation legislation and regulations

5.4.3 Responsibilities

A team member shall: a) conduct inspection/audit fieldwork and document inspection/audit

findings;



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b) document parallel findings/observations as they are encountered and forward these to the team leader;

c) communicate with the team leader to ensure that inspection/audit progress is reported and potential problems are addressed;

d) review the validity and applicability of inspection/audit findings by ensuring that all findings are tied to the applicable regulatory requirement and are supported by specific examples and evidence or other supporting documentation where applicable; and

e) provide the team leader with the applicable specialty area element (checklist) summaries where requested to do so in the inspection/audit plan.



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CHAPTER 6

INSPECTOR TRAINING, QUALIFICATIONS AND CREDENTIALS

6.1 Introduction

The training objective is to provide the ANS Inspectors with basic knowledge which will enable them perform the ANS regulatory functions. The knowledge is acquired through a combination of formal training courses and on-the-job training.

6.2 Types of training

6.2.1 Initial training

The minimum training that must be completed prior to issuance of an ANS Inspector’s credentials includes:

a) Inspection/audit Course, b) Enforcement and Compliance Procedures Course, c) OJT including administrative procedures and a minimum of two (2)

inspections with a qualified ANS Inspector. d) Communications Skills, e) Report Writing Skills,

6.2.2 Specialized training

The specialized training shall be dependent on the different ANS fields of inspection i.e. ATM, CNS, AIS, SAR and MET;

a) PANS-OPS Course, b) Human Factors, c) Safety Management System Course, d) Safety Management and Investigation Course, e) Quality Management Systems f) Accident and Incident Analysis Course

6.2.3 Recurrent training



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All ANS Inspectors shall be required to undertake recurrent training at least once every three years.

6.2.4 Training for re-qualification

An Inspector who has been out of the programme for more than one year shall conduct at least two inspections under supervision.

6.2.5 On-job-training (OJT)

All ANS Inspector trainees shall undergo OJT under the supervision of a qualified ANS Inspector. The trainee must,

a) participate in at least two inspections conducted by a qualified ANS

Inspector as an observer; and b) conduct at least two inspections under supervision.

6.2.6 Additional Training

a) Aviation Management Course, b) Safety Oversight for Managers,

6.3 Training plan

The Director of Safety Regulation shall ensure that in every Calendar year Inspectors are trained in the relevant special courses.

6.4 Training records

The Director of Safety Regulation shall keep all the training records of all Inspectors.

6.5 Inspector Qualifications 6.5.1 General

a) The ANS inspectorate provides safety oversight to the ANS system, including certification of ANSPs facilities and appropriate personnel as



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required to ensure compliance with Civil Aviation (ANS) Regulations, 2008 and the Manual of ANS Standards.

b) Effective oversight is necessary to maintain an acceptable level of safety,

and depends on the competence and dedication of the inspectors. It is therefore imperative that inspectors are trained to acquire skills, knowledge, attitudes and technical experience that compare favourably with the personnel they are expected to regulate. In addition, the inspectors should have terms and conditions of service consistent with their education, technical experience and responsibility in safety oversight.

c) Determination of the minimum number that is considered reasonable for

ANS Inspectors to carry out their tasks will take into account the number of providers to be handled by one ANS Inspector.

d) The ANS inspectorate staff is answerable to the Chief responsible for ANS

oversight 6.5.2 Functions and Qualifications of ANS Inspectors 6.5.2.1 CNS Inspector:

a) Functions

i) Carry out efficient and effective safety oversight activities on CNS facilities with objective of enhancing safe operation of aircraft and to ensure compliance with Civil Aviation Regulations and Standards.

ii) Develop technical guidance materials for CNS practices and procedures; and

iii) Recommend changes to civil aviation legislation and Regulations as appropriate.

b) Qualifications

i) B.Sc in electronics or telecommunication engineering or its equivalent

qualification from a recognized institution. ii) Should be computer literate iii) Possession of professional engineer’s registration from Engineers

Registration Board will be an added advantage.



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c) Working Experience

At least 5 years of relevant work experience, 3 of which should be in a supervisory position in managing communication, navigation and surveillance (CNS) facilities.

d) Other Attributes

i) The Inspectors should possess a high degree of integrity, be impartial

in carrying out their tasks, tactful and able to relate with people. ii) Knowledge in quality or safety management functions is an added

advantage.

e) Duties and responsibilities of CNS Inspectors:

i) Process applications for certification of ANSP in relation to CNS facilities.

ii) Recommend approval of installations, modifications or major repairs of CNS facilities;

iii) Conduct routine inspections and audit of CNS facilities and personnel; iv) Prepare detailed reports on inspections and auditing activities; v) Review maintenance procedure manuals, making recommendations in

respect of amendments which may be required by the Authority prior to approval of the manual;

vi) Liaise with other inspectors regarding recommendations in respect of issue and renewal of Certificates of ANS, checking all documents associated with the above including the manual amendment status.

vii) Develop/review guidance material as may be necessary to facilitate the implementation of standards;

viii) Review existing regulations/legislations and recommend amendments thereto;

ix) Evaluate and recommend for approval flight checking equipment and personnel;

x) Recommend training facilities for Air Navigation Engineers and Technicians;

xi) Monitor the training of technical staff hired by air navigation service providers;

xii) Coordinate the regular flight check and calibration on radio navigational aids;



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xiii) Participate in the investigation of ATS incidents and formulate safety recommendations and follow up implementations.

xiv) Analyse ICAO State letters related to SARPs on Annex 10 and recommend compliance or file difference as appropriate.

6.5.2.2 ATM Inspector

a) Functions i) Carry out efficient and effective safety oversight activities of Air Traffic

Management system with the objective of enhancing safety, efficiency and regularity of air navigation and ensuring compliance with Civil Aviation Regulations and Standards;

ii) Develop technical guidance materials to enable effective implementation of Civil Aviation Regulations and Manual of ANS Standards;

iii) Recommend changes to civil aviation legislation and regulations as may be appropriate.

b) Qualifications of ATM inspectors

i) B.Sc degree or equivalent professional qualifications from a recognized institution

ii) Air Traffic Control license endorsed with at least three ratings. iii) Computer literacy. iv) Basic training in any of the following: Flight Procedure design, SAR or

SMS. v) Basic training in Instructional Techniques is an added advantage

c) Working Experience:

At least five years experience as an air traffic controller, 3 of which should be in a supervisory position in air traffic management operations.

d) Attributes

i) The Inspectors should possess a high degree of integrity, be impartial in carrying out their tasks, tactful and able to relate with people.

ii) Good management, communication and interpersonal skills.

e) Duties and responsibilities of ATM Inspector Surveillance

i) Monitor the performance of the Air Traffic Services System to ensure compliance with promulgated standards;



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ii) Conduct regular audits/inspections to ensure compliance in the provision of Air Traffic Services;

iii) Ensure all Air Traffic Controllers involved in the provision of Air Traffic Control Services have valid Air Traffic Control licenses in accordance with the Civil Aviation (Personnel Licensing) Regulations, 2006;

iv) Obtain regular progress reports on the conduct of training for the air traffic controllers;

v) Review the ATS MANSOPS and recommend for approval or amendments thereto;

vi) Participate in conducting licensing and rating board examinations to air traffic controllers

vii) Evaluate training programmes to ensure that training provided addresses the needs for safety and efficiency in the provision of air traffic services.

viii) Follow up the administrative processes involved in issuing and endorsing ATC licenses and monitor the validity of individual licenses.

ix) Evaluate and recommend for approval visual/instrument flight procedures

x) Investigate ATS incidents and report non-compliance with regulations and procedures;

xi) Assist in aircraft accident investigation xii) Supervise the designated examiners/inspectors; and xiii) Supervise OJT for newly recruited ATM inspectors

Regulation

i) Develop/review guidance material as may be necessary to facilitate the implementation of standards;

ii) Review existing legislation/regulations and recommend amendments thereto;

iii) Evaluate ANSP applications and recommend for certification. iv) Liaise with ANSPs on regulatory matters associated with the

provision of Air Traffic Services. v) Analyse ICAO State letters related to SARPs on Annex 11 and

recommend compliance or file difference as appropriate.

6.5.2.3 AIS/MAP Inspector a) Functions



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i) Carry out efficient and effective safety oversight activities on AIS/MAP facilities with objective of enhancing safe operation of aircraft and to ensure compliance with Civil Aviation Regulations and Standards.

ii) Develop technical guidance materials for AIS practices and procedures; and

iii) Recommend changes to civil aviation legislation and Regulations as appropriate.

b) Qualifications of AIS/MAP Inspectors

Bachelor of Science Degree with a bias in Mathematics from a recognised institution and professional training in:

i) Basic AIS Course ii) Cartographic Techniques iii) Computer literacy iv) Knowledge of Quality Management Systems v) Basic training in ICAO PANS–OPS, shall be an added advantage.


At least 5 years of relevant work experience, 3 of which should be in a supervisory position in AIS/MAP

d) Attributes


ii) Good management, communication and interpersonal skills. e) Duties and responsibilities of AIS/MAP Inspector

i) Evaluate and recommend for approval applications for certification of AIS/MAP services

ii) Develop criteria, standards, guidelines and performance measures governing the auditing, inspection, monitoring and evaluation of effective compliance of practices specific to AIS/MAP;

iii) Conduct routine inspections and audit of AIS/MAP information processing Systems and personnel;

iv) Prepare detailed reports on inspections and auditing activities; v) Provide technical guidance to the ANSP with regard to AIS/MAP.



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vi) Ensure currency of the ANSP’s Manuals and other technical publications in line with the existing CAA policies, Standards and any other directives.

vii) Develop guidance material as may be necessary to facilitate the implementation of standards;

viii) Review existing regulations/legislations and recommend amendments thereto;

ix) Review technical guidance material. x) Study the ANSP performance data, analysing trends, identifying risk

indicators, assessing risk and recommending measures for the provision of safe and efficient AIS/MAP systems/products;

xi) Monitor training of AIS/MAP staff recruited by air navigation service providers

xii) Analyse ICAO State letters related to Annexes 4 and 15 and recommend compliance or file difference as appropriate.

6.5.2.4 Flight Procedure Design Inspector a) Functions

i) Carry out efficient and effective safety oversight activities of Flight Procedure Design with the objective of enhancing safety, efficiency and regularity of air navigation and ensuring compliance with Civil Aviation Regulations and Standards;



b) Qualifications of Flight Procedure Design Inspectors


ii) Qualified flight procedure designer.

c) Working Experience: Must have designed both precision and non precision procedures using both conventional and space based facilities.

d) Attributes



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e) Duties and responsibilities of Flight Procedure Design Inspectors Surveillance

i) and ii) Supervise OJT for newly recruited ATM inspectors

Regulation



iii) Evaluate. iv) Liaise with ANSPs on regulatory matters associated with the

provision of flight procedure design. v) Analyse ICAO State letters related to flight procedure design and

recommend appropriate action.

6.5.2.5 SAR Inspector

a) Functions i) Carry out efficient and effective safety oversight activities of

Aeronautical Search and Rescue with the objective of enhancing safety, efficiency and regularity of air navigation and ensuring compliance with Civil Aviation Regulations and Standards;



b) Qualifications of SAR inspectors


ii) Air Traffic Control license endorsed with at least three ratings. iii) Training in SAR Mission coordination.



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At least five years experience as an air traffic controller

d) Attributes i) The Inspectors should possess a high degree of integrity, be

impartial in carrying out their tasks, tactful and able to relate with people.


e) Duties and responsibilities of SAR Inspector Surveillance

i) Monitor the performance of SAR System to ensure compliance with promulgated standards;

ii) Conduct regular audits/inspections to ensure compliance in the provision of the Search and Rescue system;

iii) Evaluate training programmes to ensure that training provided addresses the needs for safety and efficiency in the provision of SAR services.

iv) Evaluate and recommend for approval SAR plans; and v) Supervise OJT for newly recruited SAR inspectors

Regulation



iii) Liaise with ANSPs on regulatory matters associated with the provision of SAR Services.

iv) Analyse ICAO State letters related to annex 12 and recommend compliance or file difference as appropriate.

6.5.2.6 Aeronautical Meteorology Inspector

f) Functions

i) Carry out efficient and effective safety oversight activities of Aeronautical Meteorological Services with the objective of enhancing safety, efficiency and regularity of air navigation and ensuring compliance with Civil Aviation Regulations and Standards;



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g) Qualifications of Meteorology Inspector

i) B.Sc degree in meteorology or equivalent professional qualifications from a recognized institution with specialization in aeronautical meteorology.

ii) Computer literacy

h) Working Experience: At least three years experience in aeronautical meteorology .

i) Attributes



j) Duties and responsibilities of Meteorology Inspector Surveillance

i) Monitor the performance of the aeronautical meteorology system to ensure compliance with promulgated standards;

ii) Conduct regular audits/inspections to ensure compliance in the provision of aeronautical meteorological service;

iii) Review the MET MANSOPS and recommend for approval or amendments thereto; and

iv) Supervise OJT for newly recruited ATM inspectors

Regulation i) Develop/review guidance material as may be necessary to facilitate

the implementation of standards; ii) Review existing legislation/regulations and recommend amendments

thereto; iii) Evaluate ANSP applications and recommend for certification. iv) Liaise with ANSPs on regulatory matters associated with the

provision of aeronautical meteorology services.



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v) Analyse ICAO State letters related to Annex 3 and recommend compliance or file difference as appropriate.

6.6 Credentials

The ANS Inspectors’ credentials will identify the bearer as an accredited representative of the Authority authorized to perform ANS inspections/audits and discharge those duties as provided for by the Civil Aviation Act and the Civil Aviation (ANS) Regulations.

6.6.1 Approval Authority

The Director of Safety Regulation is the approving authority for issuance of ANS Inspector credentials.

6.6.2 Responsibility

The Director of Safety Regulation is responsible for establishing the criteria for eligibility and issuance and control of ANS Inspector credentials.

6.6.3 Use of Credentials

a) The credentials shall be used only in the conduct of official business; b) Holders of credentials are responsible for their proper safekeeping at all

times; c) Misuse or improper possession of the credentials can subject the offender

to disciplinary action.

6.6.4 Loss of credentials

The ANS Inspector’s credential is the property of the Authority. If a credential is lost, the Director of Safety Regulation shall be notified immediately.

6.6.5 Surrender of Credentials

The ANS Inspector’s credentials shall be surrendered to the holder’s supervisor under any of the following conditions:

a) Termination of employment; b) Reassignment to a position which does not require an ANSI credential;



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c) Issuance of a revised credential; or d) Upon demand of the issuing authority.



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CHAPTER 7

ANS INSPECTION FIELDS AND PROCEDURES

7.1. General 7.1.1. The areas of ANS covered in the inspection/audit programme are; Air Traffic

Management, Aeronautical Information Services, Aeronautical charts, Communication, Navigation and surveillance, Construction of Visual and Instrument Flight Procedures, Search and Rescue and Meteorological service for air navigation.

7.1.2. The procedures for conducting inspections/audits outlined in Chapter 3 of this handbook shall apply to all ANS areas mentioned above. Checklists and forms are provided to guide the inspectors/auditors.

7.1.3. The main objective of ANS Inspection is to determine conformance to the Civil Aviation Regulations and Standards.

7.2. Inspection fields 7.2.1. Air Traffic Management

a) Aerodrome control b) Approach Control c) Area Control d) ATS Surveillance e) Search and Rescue f) Meteorology

7.2.2. Aeronautical Information Services

a) AIS Aerodrome Unit b) AIS International NOTAM Office (NOF) c) AIS HQ Unit

7.2.3. Aeronautical charts

a) Charts production unit b) Cartographic Unit

7.2.4. Communication, Navigation and surveillance

a) Communication b) Navigation



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c) Surveillance

7.2.5. Construction of Visual and Instrument Flight Procedures (PANS OPS) a) Construction b) Publication

ans inspector handbook tcaa/qsp/sr/o/ans-07 inspector handbook_1.pdf · 20 22 jan 2010 app 3-1 22...

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