Information
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Document No.
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Audit Title
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Client / Site
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Conducted on
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Prepared by
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Location
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Personnel
Operations Audit
Operations Management
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Examine Ops Management day to day responsibilities and duties as compared to the description in the manual.
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Interview flight crew to determine how comfortable they are with regard to approaching managers to address perceived safety concerns.
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How well do ops managers communicate throughout the organization? Are suggestions from employees solicited and reviewed?
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Are operations managers overburdened, even on occasion, with additional duties and not able to perform their assigned tasks effectively?
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Is the published organizational chart correct and complete?
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Do all operations managers understand and abide by the company safety policy?
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Do operations managers understand change management and risk management and use the defined processes?
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Safety Management Performance
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Are company employees familiar with the SMS guidance (manual) contents and understand the details of the company’s SMS?
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The designated safety personnel have the skills, availability, training, and required resources to exercise the authority, duties and responsibilities defined in company policy.
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Is there an appropriate SMS training program for employees? Does this training effectively prepare and encourage employees to actively participate in the company’s safety processes?
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Is there an effective IEP program? Are internal audits performed with regularity? Is there a tracking and corrective action process for findings (deficiencies)?
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Are employees provided the necessary feedback on safety hazard report submissions?
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Is there a change management process that identifies responses to significant changes within the organization or to its operating environment?
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Is senior management kept informed of significant safety related issues and are they involved in the evaluation and risk resolution of these issues on a consistent basis? How is this accomplished?
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Assess the current state of the safety culture throughout the entire organization.
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Does the Safety / Quality Committee meet regularly? Is the committee engaged in pertinent issues, and display appropriate action to positively affect the organization?
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Is there a defined Emergency Response Team identified? Is there documented training regarding the functioning of the ERP? Have ERP drills been conducted?
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Does the ERP have defined procedures regarding media interaction in the event of an accident?
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Are there procedures in place to protect and preserve the Cockpit Voice Recorder (CVR) and Flight Data Recorder (FDR) data?
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Flight Operations
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Does the organization have established written procedures defining responsibilities and communication of essential information between management, flight crews and schedulers/dispatchers?
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Assess the process for conducting compatibility evaluations and/or risk assessments for any new flight operations and airports. How is this assessment documented?
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Are operations personnel receiving safety and operational information in a timely manner?
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Are destination airports assessed for risk as part of the scheduling process? Are risk controls established for airport locations where risk levels are high? How is this accomplished, and by whom?
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Is a review/revision process in place for the company’s operating manual(s)? Is there an established formal method for submitting suggested changes to these manuals and any associated SOPs?
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Is there documented flight crew guidance for mountainous terrain airports and GPWS alerts?
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Is there clear, documented guidance for flight crews and ground personnel regarding the use and preservation of data from Cockpit Voice Recorders (CVR) and Flight Data Recorders (FDR)?
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Is there a documented fatigue counter measures program that defines rest and duty parameters for flight crews? Is deviation approval authority defined?
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Assess the thoroughness of the EFB implementation, including the associated change management process involved with an EFB transition. Are procedures clearly outlined and flight crews trained?
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Evaluate current RNP, MNPS, RNAV, and RVSM company procedures and processes to ensure regulatory requirements are met.
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Pilot Records
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Are the company’s pilot records kept in a secure location, and free of any extraneous documents?<br>
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Do pilot records accurately track all of the initial and recurrent training required by the organization?
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Does the training record keeping system provide prompt and accurate notification of impending pilot expiration and due dates?
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Is the pilot record keeping system audited at an appropriate frequency interval?
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Examine all pilot records for any expirations, or “grounded” periods because of qualification or training lapses. Verify no flight time was logged during these periods.
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For applicable aircraft, is right seat landing currency tracked for both PIC and SIC qualified pilots?
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Staff Hiring Process
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Are the company’s pilot hiring criteria and procedures formally established and documented?
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Is a sufficient reference and criminal history check accomplished during the hiring process? Are the results of these checks maintained in a secure location?
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Are all prospective candidates required to take a pre-employment drug & alcohol test before final hiring occurs? Is this completed with the oversight of the appropriate individual or department within your organization?
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Are newly hired pilots given an appropriate probationary period and subsequent timely performance review?
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Evaluate the overall hiring process by examining the pilot retention and turnover rate within the flight operation.
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Pilot Training
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Are the training center(s) utilized by your organization audited on a biennial basis to ensure training consistency using a company prescribed syllabus and specific company procedures? Is there a formal process in place to review these audits and verify they are completed as required?
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Is the company training manual and curriculum reviewed and kept up to date to ensure it contains training guidance on new equipment subject matter and new procedures? Are training materials up to date and reviewed for accuracy?
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Is training appropriately documented in organized records in order to verify it is completed and objectives met as outlined in the company’s training requirements?
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Are special authorizations such as RNP and airstrip checkout defined in the training manual? Is this training being conducted as required?
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Does the company training program ensure all flight crew members receive the applicable hazmat initial and recurrent training to identify hazardous materials?
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Is there a formal new pilot indoctrination training program? How are flight crew members’ basic indoctrination ground training tracked? Are the training materials current?
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Are pilot training requirements assessed as part of company change management activities when situationally appropriate?
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Is there a crew resource management (CRM) and Human Factors training program and have all flight crew members received training? Do schedulers, dispatchers, and any others connected with the flight planning receive appropriate Human Factors training as well?
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Is there an established fatigue management system that includes fatigue training for all flight crew members? Do schedulers, maintenance personnel, and any others connected with the flight operations receive appropriate fatigue training as well?
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Is First Aid training provided to all crew members and offered to any other interested company employees?
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Examine the drug and alcohol training provided to flight crew. Are the materials appropriate and effective? Is the training effective, well organized and thoroughly documented?
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Flight Standards
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Do pilots generally agree that mandatory callouts, sterile cockpit, and other accepted CRM methods are understood and consistently practiced throughout flight operations?
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Does the flight standards program effectively interface with training requirements and planning? When significant change is planned, are flight standards reviewed?
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Are crewmember deficiencies and unintentional violations of a standard reported via an established method for determination of root cause and corrective action?
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Survival Equipment
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Has the organization established formal training on the use of the onboard survival equipment / individual aircrew survival equipment?
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Is emergency equipment for use in an aircraft accident in place and maintained?
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Is the required emergency equipment in the aircraft and current?
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Crew Scheduling
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Is there an effective system(s) that tracks flight and duty times for pilots (including contract pilots if used) and flight/ cabin attendants (if applicable).
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Examine the methods and procedures used to prevent the scheduling of any flight crew if a date-based statute or training requirement is overdue. Perform a records spot check to verify no crew members have flown with expired requirements.
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Determine if crew member fatigue is a primary consideration in the flight scheduling process. These considerations should be standardized and documented as an integral part of scheduling procedures.
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To re-enforce fatigue considerations, are all flight crew, flight attendants, schedulers and dispatchers given fatigue awareness training and are they familiar with the company specific scheduling procedures designed to manage fatigue?
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Are all flight qualification and duty time records organized, backed up, stored adequately, and kept in a secure location?
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Do managers effectively supervise the scheduling process and evaluate risks, assess the experience level of crews, and validate the proper pairing of crewmembers with standardized procedures? Are these procedures, duties and responsibilities listed in the appropriate company manual?
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Is there an established requirement that all flight crew log office/administrative and training time as duty time?
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Is the scheduler/dispatcher designated, properly trained and possessing requisite knowledge to carry-out the responsibilities of their position?
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Is a Fatigue Risk Management System documented and established for all operational areas of the organization?
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Is there some type of formal feedback process that provides an opportunity for flight crews to submit feedback on flight/trip scheduling?
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Is there a specific published guidance that describes how and when scheduling changes are communicated to flight crews?
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Security and Dangerous Goods
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Is there a designated security manager (title), assigned responsibility for overseeing and monitoring the security posture of the operation?
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Verify that security policies and procedures are documented.
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Interview employees to determine their perspective on security threats and the operation’s security posture.
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Verify when boarding aircraft passengers are screened for proper photo ID, manifested, and all baggage is positively controlled and matched
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Evaluate the procedures and equipment used to ensure security during aircraft servicing and while the aircraft is left unattended by a company flight crew.
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Are there procedures in place that require the aircraft cabin be checked for unauthorized items prior to each flight? If yes, are these procedures being followed?
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Is there an available method for employees to report security concerns/incidents? When security concerns or incidents are reported, are they resolved in a timely and effective manner?
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Is there an effective training program for dangerous goods/ hazmat?
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Are methods in place to inform/advise passengers what constitutes hazmat/dangerous goods and whether they can be carried on aircraft?
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Are procedures in place to ensure an accurate list/inventory of cargo items is given to the PIC and maintained as part of the aircraft flight record at home location?
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Operational Control
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The company flight manual clearly describes the release and operational control requirements used for each flight.
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Individuals who are authorized to exercise operational control and can approve flight deviations are clearly designated in the company flight manual.
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Before release, each flight is verified to be in compliance with company SOPs and all aircraft limitations.
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There are defined overdue aircraft procedures in the company flight manual that clearly describe when and what actions are to be initiated when an aircraft’s flight/trip status is in doubt and specific time expectations are not met.
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Examine the flight following procedures and equipment
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Home Safety & Security
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Examine the Electrical system and Generator installation/maintenance
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Verify safety equipment
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Examine access controls and security measures.
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Do the occupants have emergency egress options/plans?
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Is the home adequately prepared for a natural disaster?
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