The Australian Aviation Audit FunctionA CASA Cabin Safety Inspector perspective for theAsia Pacific Cabin Safety Working Group

Sue Rice School of Aviation UNSW 03 July 2012

International Civil Aviation OrganisationICAO

Approximately 1997 an introduction of the international National Aviation Authority’s – NAA’s -System Based Audit Program

CASA adopted this methodology in 1999.

It has matured and been documented in a contemporary format –• a further re-write is currently occurring

International Civil Aviation OrganisationICAO

Safety Management Systems – SMS

The notion is not new – in North America the USC have been conducting courses since early 1990’s

Disciplines within the aviation sector have long recognised the benefits of a systemic approach to operations

International Civil Aviation OrganisationICAO

ICAO SMS Program

Recommendation for each NAA to implementit’s own SMS for it’s organisation

Leading the way: Transport Canada

Australia now has State Safety Program

Department of Infrastructure & Transport

Australia’s State Aviation Safety Program

http://www.infrastructure.gov.au/aviation/safety/ssp/index.aspx

National Aviation White Paperhttp://www.infrastructure.gov.au/aviation/nap/index.aspx

Audit program of CASA in accordance with the current Surveillance Procedures Manual – SPMThe attributes:

Management Responsibility

Infrastructure

Process in Practice

Monitoring and Improvement

Management Responsibility:

Management commitment

Planning

Management Review

Infrastructure :

Facilities

Tools/Equipment/Materials

Data, Information & Records

Personnel

Process in Practice

Monitoring and Improvement:

Internal Audit

Internal Reporting

Investigation

Remedial, Corrective & Preventative Actions

Necessary communication and cooperation

Flight Operations Inspectors – Pilots

Airworthiness Inspectors – Maintenance Engineers

Dangerous Goods Inspectors

Ground Operations Inspectors

Cabin Safety Inspectors

Safety Systems Inspectors

Systems

1. Aircraft Configuration Control 2. Manuals 3. Flight Operations 4. Personnel Training and Qualifications 6. Flight Crew & Cabin Crew Flight Rest & Duty Time 7. Technical Administration 8. Safety Management Systems 9. Air Freight Operations

Systems

1. Aircraft Configuration Control 2. Manuals 3. Flight Operations 4. Personnel Training and Qualifications 6. Flight Crew & Cabin Crew Flight Rest & Duty Time 7. Technical Administration 8. Safety Management Systems 9. Air Freight Operations

Subsystems

1.1 Aircraft

2.1 Manual Management

3.1 Air Operator Programs and Procedures

4.2 Training Program

6.1 Flight Crew & Cabin Crew Limitations

7.1 Key Personnel

8.1 Safety Policy and Objectives

9.1 Freight Forwarders - Shippers

Elements

2. Manuals

2.1 Manual Management

A Legislative Reference:

Civil Aviation Regulation – CAR 215 – Operations Manual

Paragraph (9) “ Each member of the operations personnel of an operator

shall comply with all instructions contained in the operations manual in so far as they relate to his or her duties or activities”

Elements

2.1 Manual Management

2.1.1 Manual Currency

2.1.2 Content consistent across manuals

2.1.3 Distribution

2.1.4 Availability

2.1.5 Supplemental Operations manual Requirements

Elements

3.1 Air Operator Programs and Procedures

3.1.1 Passenger Handling

3.1.2 Cabin Crew Duties/ Cabin Procedures

3.1.5 Carry-on Baggage

3.1.6 Exit Row Seating

Elements

4.2 Training Programs

4.2.3 Training of Flight Crew Members

4.2.4 Training of Cabin Crew Members

4.2.7 Training of Check Crew & Instructors

4.2.8 Training Devices

4.2.9 Outsource Crew Training

Elements

4.3 Flight Crew, Cabin Crew and Dispatch Qualifications

4.3.2 Flight Crew / Cabin Crew Checks & Qualifications

Elements

6.1 Flight Crew and Cabin Crew Limitations

6.1. Scheduling and Reporting Systems

6.1.3 Cabin Crew Duty / Rest Time

Elements

7.1 Key Personnel

7.1.3 Head of Safety Management Systems(however described)

7.1.4 Chief Pilot/ Head of Flight Operations(however described)

7.1.5 Head of Training and Checking (however described)

Elements

8.2 Safety Risk Management

8.2.1 Hazard Identification Processes

8.2.2 Risk Assessment & Mitigation Processes

Elements

8.3 Safety Assurance

8.3.1 Safety Performance Monitoring & Measurement

8.3.2 Internal Safety Investigation

Conduct of Audit

Inspector Planning

Advised of scheduled audit

Review previous audit findings

Review surveillance findings

Determine scope

Conduct of Audit

Planning cont.

Commence dialogue with Operator & other inspectors

Determine schedule

Generate Worksheetsi.e. questions

Appropriate checklists where required

Conduct of Audit

Internal pre audit meeting re status update and last minute briefings where necessary.

The Audit Team is multi disciplinary. Various specilaists involved - dependent upon the identified deficiencies willfunction in collaboration

Conduct of Audit

On Site Components

Entry Meeting

Each discipline will commence their audit tasks

Conduct of Audit

In accordance with the pre determined cabin safety scope tasks are undertaken:Documentation review:

Standard Operating Procedures – SOP’sOrganisational processes, policies & proceduresRecord keeping – satisfactory manual controlDocument control – adequate revisions to ensure up to

date manualsEmergency Procedures Training and Testing programs

• inclusive of Instructor training records• proficiency assessment criteria, demonstrated

competencies are adequately documented

Conduct of Audit

Onsite surveillance - verification process that documented procedures are being complied with:

Onboard the aircraft to conduct line surveillance:Standard operating procedures – SOP’s

e.g. i) conduct of pre flight dutiesa) emergency equipment serviceability checksb) cabin crew and harness serviceablec) security checks

ii) compliance with passenger briefing process, inclusive of passengers with disabilities

iii) crew communications

Conduct of Audit

Emergency Procedures Training surveillance

• Scrutiny of practical training equipment and devices for suitability and serviceabilty – appropriate for task –

• Review of instructors effectively delivering training program

• Review of instructors effectively testing and providing appropriate feedback to crew

• Practical application of all documented processes, policies and procedures

Conduct of Audit

Where necessary collaborate with other inspectors e.g. Dangerous Goods Inspector

Collate all audit worksheets and requested operator documentation

Generate report

Determine findings:

Non compliance with legislationOR An Observation not associated with a legislative requirement

but that is a recommendation for improvement

Conduct of Audit

Internal multi discipline meeting to review all findings and where there may be any trends identified

Exit Meeting – the operator will be aware of the findingsprior- philosophy of “no surprises” – transparency by all ofCASA in it’s dealings with industry.

Thank you

Questions???

Safe Skies for All