Section/division Flight Operations/Airworthiness AUDIT …

1 Section/division Flight Operations/Airworthiness Form Number: CA 135-09. AUDIT AND INSPECTION CHECKLIST FOR. AOC ISSUANCE AND/OR RENEWAL. Name of Operator Physical address Name of Responsible Person Aircraft Postal code Postal address Postal code Telephone number Fax number E-mail Cell phone number address Base of Maintenance Class and type of licences Date application received AOC Number Date of last AUDIT Date of this AUDIT Date AOC issued CAA AUDIT team ORGANISATION REPRESENTATIVES DURING BRIEFING MEETING. ACCOUNTABLE MANAGER. QUALITY ASSURANCE MANAGER.

2 RESPONSIBLE PERSON. AIRCRAFT. OTHER. CA 135-09 09 MARCH 2017 Page 1 of 11. INSPECTION AND AUDIT FUNCTIONS. CAA inspection and AUDIT functions confirm for CAA that an Operator is operating and maintaining the aircraft in compliance with regulatory requirements. There will be times when it is not possible or necessary to review or examine 100% of a company's operation. This is when sampling principles apply. Inspection and AUDIT checklists have been developed to provide a systematic approach to the inspection of an Operator's various specialty areas.

3 The checklists are designed to identify specific items within each specialty area and to make reference to applicable regulatory requirements. Where an Operator fails to comply with these requirements, they will be considered to be in non- compliance and will be required to undertake corrective action. AUDIT PLANNING. The following should be considered when scheduling an AUDIT ;. 1. The feasibility of the AUDIT dates and time-periods with consideration given to availability of inspectors and the Operator. 2. The allocation of time for pre- AUDIT /inspection activities.

4 3. Team member travel requirements. 4. The compiling of the required documentation. 5. The contents of the Operator's ops manual and file should be studied for background knowledge and to detect any shortcomings/anomalies. PRE- AUDIT MEETING. A pre- AUDIT team meeting is important as it informs team members of the expectations of the Project Manager (team leader). It also provides an opportunity for team members to clear up any questions and gain clarity on their specific roles. Emphasis should be on the report consolidation and the steps to effect issuance recommendations upon receipt of the response from the auditee.

5 ENTRY MEETING. An entry meeting must be held. It is important in that it establishes communications between the Operator's- and CAA's AUDIT teams. (See appendix for an agenda). AUDIT FINDINGS. AUDIT findings are the foundation of the AUDIT report so it is important that they be completed in accordance with the requirements. CLOSING MEETING. The closing meeting is conducted to ensure that the Operator's senior management have been fully debriefed on the results of the AUDIT . AUDIT REPORT. The AUDIT preliminary report with AUDIT findings as indicated during AUDIT debrief should be left with the Project Manager, who will thus consolidate all the reports from various Departments and send to the auditee.

6 NOTE: All required meetings stated in this form must be documented on the Operator's file for record purposes. CA 135-09 09 MARCH 2017 Page 2 of 11. A. REQUIREMENTS YES NO N/A Note No. 1. ORGANIZATIONAL STRUCTURE. 2. Nominated Post Holders: 3. Chief Executive Officer: 4. Responsible Person Safety: 5. Responsible Person Aircraft: 6. Responsible Person Ground operations : 7. Responsible Person Quality: 8. Are their key personnel responsibilities and functions defined and formalised? 9. Are these key management personnel current and inline with the Operator's OPS Manual?

7 B. MANAGEMENT YES NO N/A Note No. 1. Is there a description and Organogram Contained in the MCM? 2. Has senior management ensured that duties, responsibilities, and authorities are defined, documented, and communicated within the organisation? 3. Are there any changes that have been incorporated in the Operator's Post Holders, scope, size, aircraft, and type of service since the previous AUDIT ? 4. If any changes were done, were these changes submitted to ASLC and SACAA for acceptance or approval? 5. Are these changes reflected in the approved MCM.

8 OPSPECS and OPS Manual? 6. Were these changes impacting negatively on safety? If yes please explain in detail how they are impacting negatively on operation safety. 7. In the case of Quality Assurance, is there a clear description of functional tasks and lines of reporting established and functioning? 8. Is effective succession, delegation, or deputation of these responsibilities and others, which are critical to the AOC. Holder, made when the principle office holders are absent? C. QUALITY MONITORING SYSTEM YES NO N/A Note No. 1.

9 Is the quality system documented? 2. Are the auditors suitably qualified? 3. Has the organisation designated a person responsible for quality? 4. Can the organisation show evidence of an internal AUDIT plan and of internal audits conducted? 5. When last was an AUDIT performed to ensure the contracted AMO ratings were still valid? 6. When last was an AUDIT performed on the technical record keeping system utilized by the AMO? How often are these audits performed? 7. Are records available for the previous SACAA audits and the last AUDIT carried out by the Operator on their maintenance provider?

10 8. Have corrective action been taken on previous SACAA. audits and inspections conducted and are actions taken to prevent recurrence of such non-compliance? 9. Are there any outstanding AUDIT findings? If yes; check if they have been attended to. Obtain a copy of the corrective action plan from AMO. CA 135-09 09 MARCH 2017 Page 3 of 11. 10. Was there an AUDIT follow-up required? Check if the follow- up was completed. 11. Is there a corrective and preventive action procedure? 12. Is there a procedure for management review and overview?