Compliance Product Sample

• Document No.

• Audit Title

• Conducted on

  Date

• Conducted by

Audits

• Is the published audit programme being fulfilled as per plan?

  Acceptable

  Minor Shortfall

  Unacceptable

• Are external suppliers being managed through the audit plan? Are external audits being accomplished per the published audit schedule?

  Acceptable

  Minor Shortfall

  Unacceptable

• Are task audits being accomplished per structured working week schedule?

  Acceptable

  Minor Shortfall

  Unacceptable

Occurrence Reports

• Is the weekly report spreadsheet up to date (Within 7 days) and populated with relevant descriptors?

  Acceptable

  Minor Shortfall

  Unacceptable

• Are occurrence reports being assigned in a timely manner?

  Acceptable

  Minor Shortfall

  Unacceptable

Technical Publications Review

• Is there evidence to demonstrate that EASA and CAA regulatory updates and notices are being reviewed and actioned accordingly?

  Acceptable

  Minor Shortfall

  Unacceptable

• Are procedure amendments being controlled and actioned in a timely manner?

  Acceptable

  Minor Shortfall

  Unacceptable

• Are QL0028 fabrication requests being actioned in a timely manner?

  Acceptable

  Minor Shortfall

  Unacceptable

Authorisations and Approvals

• Sample three company members SAP qualification records and check all mandatory training has been accomplished and remains valid?

  Acceptable

  Minor Shortfall

  Unacceptable

• Review current list of contract agency staff and sample three candidates to ensure all mandatory training has been accomplished and remains valid?

  Acceptable

  Minor Shortfall

  Unacceptable

Mandatory Training

• Check Mandatory read sign off record to ensure group compliance

  Pass

  Fail

  N/A

• Sample two colleagues training profile for HF compliance

  Pass

  Fail

  N/A

• Sample two colleagues ASCEND profile to ensure no outstanding training within the next 14 days. Any found must be added to weekly Planner for confirmation of completion at next team meeting

  Safe

  At Risk

  N/A

Coordination of Training

• Is the Classroom visual management board accurate, up to date and aligned with the classroom calendar?

  Yes

  No

  N/A

• Has the current weeks ASCEND compliance report been issued?

  Yes

  No

  N/A

• Has the Compliance Dashboard report been distributed per schedule?

  Yes

  No

  N/A

• Check all classrooms for condition and presentation

  Good

  Fair

  Poor

  N/A

• Is there a published training programme for the next seven days?

  Yes

  No

  N/A

Office Administration

• Have Time Life reports been distributed per QL0053 schedule?

  Acceptable

  Minor Shortfall

  Unacceptable

• Is incoming documentation being managed and cleared in a timely manner? Licence updates, QL003 applications, Contractor CVs etc

  Acceptable

  Minor Shortfall

  Unacceptable

• Are the H&S and Quality Forum packs at an appropriate stage of readiness for the scheduled forums?

  Acceptable

  Minor Shortfall

  Unacceptable

• Is the Newsbrief information being supplied on time and per requirement?

  Acceptable

  Minor Shortfall

  Unacceptable

Monitoring of H&S

• Are tool box talks being conducted on a monthly basis?

  Yes

  No

  N/A

• Are all Doctors reports actioned in a timely manner?

  Yes

  No

  N/A

• Mask fit monitoring. Consider the following: Has the most recent Monday report been issued? Has People Online been updated? Is the failure spreadsheet accurate and have managers been notified?

  Acceptable

  Minor Shortfall

  Unacceptable

• Are Lost Time Injuries being monitored and recorded via the tracker?

  Yes

  No

  N/A

H&S Inspections

• H&S Inspections - Are inspections being carried out per schedule?

  Yes

  No

  N/A

• Sample two actions from a recent inspection to verify appropriate closure

  Good

  Fair

  Poor

  N/A

• Are findings being communicated to relevant colleagues?

  Yes

  No

  N/A

SOAR Cards

• Is the SOAR card database updated on a daily basis?

  Yes

  No

  N/A

• Are trend analysis reports being created and communicated as a result of SOAR reports?

  Yes

  No

  N/A

Office Housekeeping

• Review the office condition for general cleanliness and appearance. Consider the following as a minimum: Desks cleared at end of shift, window sills clear, PER books cleared, 'Kitchen' area clean and presentable, white boards managed to reflect current status and cleared of outdated info, no visible hazards that could present a risk of injury, slip, trip, fall etc.

  Good

  Fair

  Poor

  N/A

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