CASE 1A-CACS-20

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

• SYSTEMS AUDIT

SYSTEMS AUDIT - Certifications

• Obtain and review a copy of the current FAA Air Agency or Transport Canada AMO certificate, Operations Specifications (if applicable), and EASA/Canadian approval documents (if applicable). Are they accurate?

  Yes

  No

  N/A

• If the repair station has “Limited Ratings,” does the vendor have a capabilities listing that satisfies the standard?

  Yes

  No

  N/A

• Has the vendor designated an employee as the “Accountable Manager”?

  Yes

  No

  N/A

• Does the vendor employ a minimum of three (3) persons?

  Yes

  No

  N/A

• Does the roster (Do the rosters) identify all management, supervisory and inspection personnel?

  Yes

  No

  N/A

• Does the roster (Do the rosters) identify all personnel authorized for return-to-service?

  Yes

  No

  N/A

• Does the repair station have an employment summary for all personnel listed on the repair station roster(s)?

  Yes

  No

  N/A

• Do the vendor’s supervisory personnel satisfy the requirements of this standard?

  Yes

  No

  N/A

• Do the vendor’s inspection personnel satisfy the requirements of this standard?

  Yes

  No

  N/A

• Do the vendor’s return-to-service personnel satisfy the requirements of this standard?

  Yes

  No

  N/A

• Does the vendor have an FAA approved and active anti-drug and alcohol misuse prevention program (A449 and/or Registration)?

  Yes

  No

  N/A

SYSTEMS AUDIT - Quality Program

• Does the vendor have an FAA/NAA accepted Repair Station (or equivalent) Manual and does it meet the requirements of the 1-A standard?

  Yes

  No

  N/A

• Does the vendor have an FAA/NAA accepted Quality Control (or equivalent) Manual and does it meet the requirements of the 1-A standard?

  Yes

  No

  N/A

• Does the Quality Control Manual include references, where applicable, to manufacturer’s inspection standards?

  Yes

  No

  N/A

• Does the Quality Control Manual include samples of and instructions for completing maintenance and inspection forms, or reference a separate forms manual?

  Yes

  No

  N/A

• Does the vendor maintain a list of sub-contracted maintenance functions and agencies which includes type of certificate and rating(s), if any, held by each agency?

  Yes

  No

  N/A

• Does the vendor ensure that sub-contractor quality meets air carrier specifications and legal requirements?

  Yes

  No

  N/A

• Does the vendor have a contract allowing the FAA to inspect noncertificated sub-contractors?

  Yes

  No

  N/A

• Does the vendor have a process to ensure that their U.S. based sub-contracted maintenance/preventive maintenance providers, at all tiers (certificated and non-certificated), have an FAA approved and active anti-drug and alcohol misuse prevention program (A449 and/or Registration).

  Yes

  No

  N/A

• Does the vendor have a procedure for reporting defects or unairworthy conditions to the air carrier and the FAA/NAA?

  Yes

  No

  N/A

• Is there proper separation of maintenance and inspection responsibilities for vendors that perform required inspections (RII)?

  Yes

  No

  N/A

• Does the vendor have an acceptable receiving inspection system which includes verification of identifying data?

  Yes

  No

  N/A

• Does the vendor have an acceptable system for controlling stamps for both inspection and production personnel?

  Yes

  No

  N/A

• Does the vendor have a work turnover procedure?

  Yes

  No

  N/A

• Does the vendor have a duty time limitation requirement?

  Yes

  No

  N/A

• Does the vendor have controls in place to prevent foreign object damage to (or contamination of) all aviation products in any area where articles are stored or worked (e.g. fuel controls, hydraulic units, instruments, electronic components, structural components, etc), including such from smoking, eating, or drinking?

  Yes

  No

  N/A

• Is the security system reviewed periodically by management or an outside vendor?

  Yes

  No

  N/A

• Does the vendor identify specific individuals, by title, as responsible for the following programs:<br>

  Yes

  No

  N/A

• Technical Data?

  Yes

  No

  N/A

• Shelf Life?

  Yes

  No

  N/A

• Calibrated tooling?

  Yes

  No

  N/A

• Scrap Parts?

  Yes

  No

  N/A

• Is there a back-up person identified by title for all the above programs?

  Yes

  No

  N/A

• Does the vendor maintain, for a minimum of 36 months, a file of audit findings and corrective actions from audits for which a VEL was signed? Is the file accessible to the auditor?

  Yes

  No

  N/A

SYSTEMS AUDIT - Training Manual

• Does the vendor have a documented training program?

  Yes

  No

  N/A

• Is formal and OJT training documented?

  Yes

  No

  N/A

• Are training records for mechanics, inspectors and supervisors retained for a minimum of two (2) years after the person leaves the company?

  Yes

  No

  N/A

SYSTEMS AUDIT - Technical Data Program

• Does the vendor have procedures to:

  Yes

  No

  N/A

• Obtain air carrier specifications?

  Yes

  No

  N/A

• Incorporate air carrier specifications into their work processes?

  Yes

  No

  N/A

• Verify that air carrier specifications were incorporated?

  Yes

  No

  N/A

• Obtain approval for deviating, if necessary, from air carrier specifications?

  Yes

  No

  N/A

• Have adequate checks, inspections, and tests to ensure work was performed to air carrier specifications?

  Yes

  No

  N/A

• Does the vendor have a documented system to ensure technical data is current?

  Yes

  No

  N/A

• Does the vendor have records of manual revisions?

  Yes

  No

  N/A

• Does the vendor have a system to control working copies of manuals to ensure they are revised with the masters?

  Yes

  No

  N/A

• Are there established approved procedures controlling revisions in manuals deviating from OEM specifications (e.g. EO, EA, Air Carrier Data, etc.)?

  Yes

  No

  N/A

• If the vendor has ODA authority, does it have a system for receiving air carrier approval prior to use of the data?

  Yes

  No

  N/A

• Does the vendor have an approved ODA manual and roster?

  Yes

  No

  N/A

SYSTEMS AUDIT - Shelf Life Program

• Does the vendor have a documented shelf life program?

  Yes

  No

  N/A

• Does the program list parts and materials that have shelf life limits?

  Yes

  No

  N/A

• Is there an adequate system to assure that no item will be issued or used past its expiration date?

  Yes

  No

  N/A

SYSTEMS AUDIT - Calibration Program

• Does the vendor have a documented calibration program?

  Yes

  No

  N/A

• Does the program identify the calibration frequencies, limitations, and applicable tolerances or specifications?

  Yes

  No

  N/A

• Does the calibration program require test and inspection equipment/ tools to be traceable to a standard acceptable to the FAA/NAA (e.g., The National Institute of Standards and Technology (NIST))?

  Yes

  No

  N/A

• Does the calibration program require records to be kept for a minimum of two (2) years or two (2) calibration cycles?

  Yes

  No

  N/A

• Is there a system to identify each tool in the program, its calibration frequency, and its calibration due date?

  Yes

  No

  N/A

• Does the vendor have a procedure for identifying, controlling, and/ or preventing out-of-service, non-calibrated, for reference only, and due-for-calibration tools and equipment from being used?

  Yes

  No

  N/A

• Does the vendor have a procedure to control the calibration of personal tools?

  Yes

  No

  N/A

SYSTEMS AUDIT - Internal Audit Program

• Does the vendor have an internal audit and surveillance function?

  Yes

  No

  N/A

• Does the internal audit function ensure compliance with air carrier specifications?

  Yes

  No

  N/A

• Does the internal audit program assure appropriate corrective action?

  Yes

  No

  N/A

SYSTEMS AUDIT - Internal Audit Program

• Does the vendor have a documented procedure for controlling scrapped parts?

  Yes

  No

  N/A

• Does the scrap program assure that scrapped parts are either returned to the air carrier or mutilated beyond repair?

  Yes

  No

  N/A

• Does the scrap program require a record of scrapped life-limited parts to be maintained for a minimum of two (2) years?

  Yes

  No

  N/A

• Does the record include the P/N, S/N and date of the scrapped part?

  Yes

  No

  N/A

• WORK PROCESS AUDIT

WORK PROCESS AUDIT - Receiving/Shipping Inspection

• Does the vendor comply with its receiving process?

  Yes

  No

  N/A

• Does the vendor verify that the identifying data (P/N, S/N, nomenclature, mod. No.) on the documentation and the data plate match?

  Yes

  No

  N/A

• Does the vendor incorporate air carrier specifications into their work processes?

  Yes

  No

  N/A

• Does the vendor only perform work for which it is authorized on its Operations Specifications?

  Yes

  No

  N/A

• Are components returned in an appropriate shipping container or as specified by the air carrier?

  Yes

  No

  N/A

WORK PROCESS AUDIT - Maintenance Observation/Sampling

• Is maintenance properly performed and documented for:

  Yes

  No

  N/A

• Preliminary inspection?

  Yes

  No

  N/A

• Functional test?

  Yes

  No

  N/A

• Hidden damage inspection?

  Yes

  No

  N/A

• Unit disassembly per instructions?

  Yes

  No

  N/A

• Unit cleaning per instructions?

  Yes

  No

  N/A

• Parts inspection/checking per instructions?

  Yes

  No

  N/A

• Parts repairing per instructions?

  Yes

  No

  N/A

• Properly taking and recording fits and clearances?

  Yes

  No

  N/A

• Unit reassembly per instructions?

  Yes

  No

  N/A

• Unit functional testing per instructions?

  Yes

  No

  N/A

• Final Return to Service inspection?

  Yes

  No

  N/A

• Does the vendor have appropriate tools and test equipment (including equivalent non-OEM) to perform the work?

  Yes

  No

  N/A

• Are the tools and test equipment in serviceable condition?

  Yes

  No

  N/A

• Are calibrated tools and equipment labels showing within calibration and are they legible?

  Yes

  No

  N/A

• Is the appropriate technical data being utilized (e.g. current CMM, AMM, SRM, etc.)?

  Yes

  No

  N/A

• Is technical data stored in a manner that will protect it from dirt and damage?

  Yes

  No

  N/A

• Are adequate viewing devices in good condition and available for viewing the technical data?

  Yes

  No

  N/A

• If the technician is observed deviating from OEM technical data (e.g. alternate tooling/procedures, Process Specs., DER repairs, per an ODA, etc.), have those deviations been approved by the air carrier?

  Yes

  No

  N/A

• Are proper safety precautions being taken?

  Yes

  No

  N/A

• Is the unit/aircraft protected from FOD?

  Yes

  No

  N/A

• Are air carriers’ parts properly identified throughout the maintenance actions and in storage?

  Yes

  No

  N/A

• Does each shelf life item have the shelf life expiration limit displayed?

  Yes

  No

  N/A

• Were items sampled for shelf life within limits?

  Yes

  No

  N/A

• Are fluid dispensing cans and servicing units properly identified?

  Yes

  No

  N/A

• Is the vendor following their work turnover procedure?

  Yes

  No

  N/A

• Are all required licenses and repairman certificates available for review?

  Yes

  No

  N/A

• Does the vendor properly execute air carriers’ required inspections (RII)?

  Yes

  No

  N/A

• Do final inspection personnel ensure that adequate checks, tests, and inspections are performed to air carrier specifications?

  Yes

  No

  N/A

• Do personnel follow the return to service procedures?

  Yes

  No

  N/A

• Are the vendor’s work records complete, in order, and legible?

  Yes

  No

  N/A

• Do the work package records contain:

  Yes

  No

  N/A

• The description of the work performed or reference to data acceptable to the administrator?

  Yes

  No

  N/A

• The date of completion of the work performed?

  Yes

  No

  N/A

• The name of the person performing the work?

  Yes

  No

  N/A

• The name of the person inspecting the work?

  Yes

  No

  N/A

• The signature, certificate number of the person returning the article to service?

  Yes

  No

  N/A

• Are all test and inspection records in work package?

  Yes

  No

  N/A

• Does the vendor’s return-to-service document meet air carrier and FAA/NAA requirements?

  Yes

  No

  N/A

• Does the vendor maintain certification on sub-contractor work?

  Yes

  No

  N/A

• Were Major repairs/alterations properly documented?

  Yes

  No

  N/A

• Were ADs properly evaluated, accomplished, and documented?

  Yes

  No

  N/A

• SUPPORT SYSTEMS AUDIT

SUPPORT SYSTEMS AUDIT - Calibration Control

• Does the vendor comply with its calibrated tool program?

  Yes

  No

  N/A

• Did the sample checks of the calibrated tooling indicate that the tooling is within calibration limits?

  Yes

  No

  N/A

• Do calibration records:

  Yes

  No

  N/A

• Show date calibrated?

  Yes

  No

  N/A

• Show calibration due date?

  Yes

  No

  N/A

• Identify the person that performed calibration or check?

  Yes

  No

  N/A

• Contain a calibration certificate for each item calibrated by an outside agency?

  Yes

  No

  N/A

• Record details of adjustments and repairs?

  Yes

  No

  N/A

• Show the P/N, S/N, and calibration due date of the standard used to perform the calibration?

  Yes

  No

  N/A

• Where tooling/test equipment is used, does the vendor:

  Yes

  No

  N/A

• Have an operating manual and maintenance manual for the equipment?

  Yes

  No

  N/A

• Perform maintenance and servicing per the manual?

  Yes

  No

  N/A

• Maintain maintenance and servicing records for two years?

  Yes

  No

  N/A

• Where applicable, list the equipment in their calibration program?

  Yes

  No

  N/A

• Where a vendor uses non-OEM specified tooling/test equipment, is it properly substantiated as equivalent?

  Yes

  No

  N/A

SUPPORT SYSTEMS AUDIT - Training

• Are RII inspectors properly trained and certified?

  Yes

  No

  N/A

• Did the sampled names indicate the mechanics, inspectors and supervisors were properly trained, authorized and certificated, if required, for the work they perform?

  Yes

  No

  N/A

• Are the training records retained for a minimum of two (2) years after the employee leaves the company?

  Yes

  No

  N/A

SUPPORT SYSTEMS AUDIT - Facilities

• If the vendor deals in non-aircraft parts, materials and/or maintenance activities, are they adequately segregated from the aircraft functions?

  Yes

  No

  N/A

• Does the vendor have:

  Yes

  No

  N/A

• Sufficient work space and areas for the proper segregation and protection of articles?

  Yes

  No

  N/A

• Segregated work areas enabling environmentally hazardous or sensitive operations such as painting, cleaning, welding, avionics work, and machining to be done properly and in a manner that does not adversely affect other maintenance?

  Yes

  No

  N/A

• Suitable racks, hoists, trays, stands, and other segregation means for the storage and protection of all articles?

  Yes

  No

  N/A

• Space sufficient to segregate articles and materials stocked for installation from those undergoing maintenance, preventive maintenance, or alterations?

  Yes

  No

  N/A

• Ventilation, lighting, and control of temperature, humidity, and other climatic conditions sufficient to ensure personnel perform maintenance, preventive maintenance, or alterations to the standards required by the part?

  Yes

  No

  N/A

• Areas for receiving and for shipping air carriers’ units with adequate space, lighting, shelving, security and fire protection to accommodate air carriers’ units in a manner that will preclude damage, loss, and theft?

  Yes

  No

  N/A

• Adequate and appropriate storage area to safely store air carriers’ reusable shipping containers and to protect them from environmental damage?

  Yes

  No

  N/A

• If the vendor has an airframe rating, is suitable permanent housing provided to enclose the largest type and model of aircraft listed on its Operations Specifications?

  Yes

  No

  N/A

• If the vendor performs maintenance, preventive maintenance, or alterations on articles outside of its housing, does it provide suitable facilities that are acceptable to the FAA/NAA and its air carriers?

  Yes

  No

  N/A

• Do facilities outside of the vendor’s housing meet the requirements of this standard so that the work can be done in accordance with the requirements of 14 CFR 43?

  Yes

  No

  N/A

• Does the vendor have adequate safety procedures in place and are the operations conducted in a safe manner and environment?

  Yes

  No

  N/A

SUPPORT SYSTEMS AUDIT - Material Control Process

• Are parts and materials correctly identified and properly stored?

  Yes

  No

  N/A

• Do parts in bins match part number on bins?

  Yes

  No

  N/A

• Does the vendor have a quarantine area for rejected parts and materials awaiting disposition?

  Yes

  No

  N/A

• Does the vendor comply with its scrapped parts procedure to ensure they are either returned to the air carrier or mutilated beyond repair?

  Yes

  No

  N/A

• Are parts and material properly protected from damage and deterioration?

  Yes

  No

  N/A

• Are flammable, toxic or volatile materials properly identified and stored?

  Yes

  No

  N/A

• Are sensitive parts and equipment (oxygen parts, o-rings, electrostatic sensitive devices, temperature/humidity controlled item, etc.) properly packaged, identified and stored to protect from damage and contamination?

  Yes

  No

  N/A

• Are high pressure bottles correctly labeled, properly stored and secured?

  Yes

  No

  N/A

• Does the vendor maintain traceability certification on all parts and raw materials?

  Yes

  No

  N/A

SUPPORT SYSTEMS AUDIT - Records

• Does the vendor’s record keeping system and retention time meet 14 CFR requirements?

  Yes

  No

  N/A

IOSA SUPPLEMENT

• The Operator shall ensure each maintenance organization that performs maintenance for the Operator has an independent Quality Assurance Program that meets the specifications and has control processes as follows:

  Yes

  No

  N/A

• Meets the specifications and control processes contained in Table 4.7;

  Yes

  No

  N/A

• An internal audit/evaluation and surveillance program;

  Yes

  No

  N/A

• An established audit schedule;

  Yes

  No

  N/A

• A record of audit findings and corrective and/or preventive actions;

  Yes

  No

  N/A

• Assurance of appropriate corrective and/or preventive action;

  Yes

  No

  N/A

• All elements necessary to confirm the maintenance organization is in compliance with the applicable regulations and the MPM;

  Yes

  No

  N/A

• The QA program confirms all referenced procedures remain applicable and effective.

  Yes

  No

  N/A

• An initial evaluation, using the published checklists that cover all aspects of the maintenance organization technical activities, conducted within 12 months (or 24 months with appropriate management approval) following the date that the operating certificate is issued;

  Yes

  No

  N/A

• Recurring evaluations conducted at intervals established in the approved MPM;

  Yes

  No

  N/A

• Records of findings of compliance and non-compliance resulting from the evaluations required by i) and ii);

  Yes

  No

  N/A

• Procedures to ensure the findings of the evaluations are communicated to the person appointed and made available to the Operator;

  Yes

  No

  N/A

• Where appropriate, immediate and long-term actions to correct the root cause of each noncompliance noted;

  Yes

  No

  N/A

• Follow-up procedures to ensure necessary corrective/preventive actions (both immediate and long-term) implemented by the Maintenance Organization are effective;

  Yes

  No

  N/A

• A record-keeping system to ensure details of evaluation findings, corrective actions, preventive actions and follow-up are recorded and that the records are retained for two complete evaluation cycles.

  Yes

  No

  N/A

• Monitors compliance with applicable regulations, requirements and the Maintenance Procedures Manual (MPM) of the AMO;

  Yes

  No

  N/A

• Addresses the specific requirements of the Operator as specified in the maintenance agreement;

  Yes

  No

  N/A

• Is under the sole control of the Quality Manager or the person assigned managerial responsibility for the program.

  Yes

  No

  N/A

• The Operator shall ensure each maintenance organization that performs maintenance for the Operator has a process for periodic review of the quality assurance program by the Quality Manager or the person assigned managerial responsibility for the program for the purpose of ensuring compliance with current requirements of the Maintenance Program and the MMM.

  Yes

  No

  N/A

• The Operator shall ensure each maintenance organization that performs maintenance for the Operator has a training program that provides for continuation training on an interval not to exceed 36 months, which may be reduced to a lesser interval based on findings generated by the QA Program.

  Yes

  No

  N/A

• The Operator shall ensure each maintenance organization that performs maintenance for the Operator has a training and qualification program for auditors used in the QA Program.

  Yes

  No

  N/A

• The Operator shall ensure each maintenance organization that performs maintenance for the Operator has a training program that provides for initial and continuation training for receiving inspectors.

  Yes

  No

  N/A

• Add signature

  Sign

• Checklist based in the CASE 1A - CACS-20 & IOSA CHECK LIST from AQD - Last Amended 29-Oct-2012