Internal Audit - duplicate

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AUDIT INSTRUCTIONS

TAP DOTS TO RIGHT TO OPEN AUDIT INFORMATION and GUIDANCE MATERIAL When finished tap *Close* at bottom of page. Glossary: ISARPS - IOSA STANDARDS AND RECOMMENDED PRACTICES OM - Operations Manual 1. Read ISARP and refer to any Guidance Material in *Audit Instructions*. 2. Tap on "References and Comments" to open space to enter your references and any comments if unable to find correct references. Re tap to close. 3. Complete all ISARP's before sending audit to graeme.latta@airnz.co.nz 4. Ensure front page of audit is completely filled out with all names of those involved in the audit. 5. If your base or department is unable to comply with any ISARP's please prepare a change request to have your policy or procedure added as a "difference". This audit addresses the safety and security requirements associated with the passenger cabin. It is also applicable to an Operator that conducts passenger flights with cabin crew. Where an Operator outsources the performance of cabin operations functions to external service providers, the Operator retains overall responsibility for such functions, and must demonstrate processes for monitoring applicable external service providers in accordance with CAB 1.10.2. GENERAL INFORMATION Audits and Records Audits are a requirement in such a highly regulated environment. Our exposition details an internal audit each 12 months and the results of those audits to be made available to management to be discussed in a management meeting. The results of those audits should be an agenda item and any items that need correcting or implementing should be discussed at this time. All follow-up discussion and procedures should be documented in management minutes and recorded for auditing purposes. Base Communication System All bases shall have a communication system that enables and ensures an exchange of operationally relevant information throughout the cabin operations management system and among operational personnel. Operational & General Bulletins There are documented bulletin procedures for distribution and production. Alcohol and Drugs, IOSA Standards The airline has a comprehensive alcohol and drugs policy which all personnel are aware of. In addition to this policy IATA require an additional addendum to this policy in that they require all operational personnel to be clean of any psychoactive substances, unless prescribed by a physician and that the crew member is cleared by the same physician to operate. it is a requirement of IATA that all FSM's/PSR's/ISM's are aware of this requirement and have at the briefing stage of the duty, or any other periods during the duty, observed their crew and are confident that no one is in breach of this requirement. For example a "psychoactive" substance can be any drug from Panadol to illegal drugs. It has been known where extensive use of painkillers, cold medicines could impair the persons operational ability unless correctly prescribed by a physician. Compliance of crew to all rules, regulations and requirements A requirement of IATA is that crew briefings shall contain essential operational information and/or guidance communicated to the cabin crew. it also requires that the briefing identify that the crew are aware of all laws, regulations and procedures to the extent necessary for cabin crew prior to duty assignments. External Service Providers Show evidence that you review and assess the external service provider and are assured that the standards and requirements of the operation comply with the requirements of the Section 121 of CAA Rules and other regulatory requirements. Controlled Documents Action • Provide details of all controlled documents used onboard operator aircraft and in an operational capacity. • Provide evidence that crew have been directed to this internet site KORUDOC for manual information. Baggage Review the manual section on baggage security, lost/delayed baggage, claims etc and ensure that the policy is compliant with your base. Undocumented Policies/Procedures Are there any policies or procedures that are being used at your base and are not documented in the relevant manual for reference. Base Checks: • Bulletin books up to date • Communication system current • CDAR documents available • Instruct FSM's, ISM's, PSR's, ISC's F/A's on CCGOP and contents. Review Management Responsibilities within Audit Plan. - SMS Management shall have a SMS programme in place where there is an action plan available to show the results of both management and onboard monitoring with the issues documented, measured and key performance areas identified as areas to improve on and how this is measured. Previous type Audits vs Current Status Previous type audits of the departments and bases was primarily focused on daily processes, procedures and the currency of manuals and documentation used on base. Current audit status is to expand on the curriculum provided by the IATA Operational Safety Audit team so that our areas are "pre-approved" in preparation for future audits by IATA, and also in line with the requirements an external regulator may expect. Compliance with GOP, SOP's We have as an airline a comprehensive exposition of manuals and all the policies, processes and systems that we use are documented. For our SOP's we refer directly to the Cabin Safety Manual and for our GOP's we refer to the Cabin Crew General Operating Procedures Manual. • Other policies and procedures can be located in other manuals of the exposition. Should your base, office or department have any policies, or procedures that are not in compliance with the exposition please ensure these are correctly changed in the manual or that the policy or procedure is complied with. It is not acceptable to leave the policy or procedure untouched. Review Organisational Structure of Management and Responsibilities. An organisational structure must be available for the auditor to view that complies with the documented structure in the relevant Operations Manual. GUIDANCE MATERIAL CAB 1.1.1 A management system is documented in controlled company media at both the corporate and operational levels. Manuals or controlled electronic media are acceptable means of documenting the management system. Documentation provides a comprehensive description of the scope, structure and functionality of the management system and depicts lines of accountability throughout the organization, as well as authorities, duties, responsibilities and the interrelation of functions and activities within the system for ensuring safe and secure operations. Acceptable means of documentation include, but are not limited to, organograms (organization charts), job descriptions and other descriptive written material that define and clearly delineate the management system. Documentation also reflects a functional continuity within the management system that ensures the entire organization works as a system and not as a group of independent or fragmented units (i.e., silo effect). An effective management system is fully implemented and functional with a clear consistency and unity of purpose between corporate management and management in the operational areas. The management system ensures compliance with all applicable standards and regulatory requirements. In addition to internal standards and regulations of the State, an operator may also be required to comply with authorities that have jurisdiction over operations that are conducted over the high seas or within a foreign country. CAB 1.1.2 Please provide the line of authority from GM within the management organisational structure. This must also include those persons responsible for communication with the regulator, and regulatory responsibilities and external service providers. Management Processes There are a number of processes that management are required to comply with in the exposition and records should be kept of these activities. The auditor will advise on the correct and acceptable documentation required to be compliant. CAB 1.1.3 Ensure your base has adequate coverage of manuals and that they are up to date and accessible. Manuals required to have access to are: • Cabin Safety Manual • Cabin Crew General Operating Procedures Manual • Airline Management Systems Manual • Passenger Handling Manual CAB 1.2.1 The definition of authorities and responsibilities of management and non-management personnel is an element of the Safety Policy and Objectives component of the SMS framework. In the context of an SMS, accountability means being responsible for taking corrective actions, either to address hazards and/or errors identified through reporting or from other sources, or in response to events, such as accidents and incidents. An effective management system has lines of authority and responsibility that flow from corporate senior management into all operational areas of the organization. Delegation of authority and assignment of responsibility is described and communicated such that it is understood throughout the organization. As a minimum, organization charts, or organograms, are acceptable means for documenting the structure of a management system. Management positions critical to operational safety or security may require enhanced job descriptions or terms of reference that reflect specialized requirements inherent in certain key positions. Such specialized requirements would include any delegation of authority exercised by personnel on behalf of an authority (e.g., designated or authorized flight examiner). Compliance with regulatory requirements, as well as internal policies and procedures, is an essential element of a safe and secure operational environment. The responsibility for ensuring compliance with both regulatory and internal requirements is specified and assigned within the management system. Job descriptions, terms of reference and operating manuals are examples of appropriate locations for documenting management system responsibilities. CAB 1.2.2 Show policy that ensures delegation of duties within management when key stakeholders are absent. A documented process that ensures a specific person (or perhaps more than one person) is identified to assume the duties of any operational manager that is or is expected to be away from normal duties meets the intent of this requirement. An operator may have nominated deputies in place or a process for ensuring the appointment of a temporary replacement. A notification of such delegation of duties may be communicated throughout the management system using email or other suitable communication medium CAB 1.2.3 Show from manual the person authorised to deal with regulatory authorities, and other operationally relevant external entities. To ensure the communication and coordination with external entities is consistent and appropriate, liaison with operationally relevant external entities is normally controlled through the delegation of authority and assignment of responsibility to specifically named management personnel. Such authorities and responsibilities would normally be included in the job descriptions of the applicable managers. CAB 1.2.4 Show duties and responsibilities of all cabin crew positions. As a minimum, OM documentation describes: • Duties and responsibilities for cabin crew members, including cabin crew leader, if applicable; • Chain (succession) of command on board the aircraft CAB 1.2.5 An operator might utilize other methods that complement training to ensure cabin crew members remain knowledgeable of the laws, regulations, rules, guidelines and other information that is relevant in the performance of duties. For example, cabin crew members might have destination specific information or briefing books that explain the customs and immigration processes associated with flying into foreign destinations. Additionally, laws, regulations and procedures might be reviewed to the extent necessary during cabin crew briefings prior to duty assignments. CAB 1.2.5a An operator will have a process for determining if the cabin crew are familiar with laws, rules, regulations and procedures pertinent to the performance of their duties either by means of read and sign, or personal acceptance of information. CAB 1.2.6 Problematic Use of Substances and State. Operators subject to laws or regulations of the State of the Operator (hereinafter, the State) that preclude the publication of a psychoactive substance prohibition policy as specified in this provision may demonstrate an equivalent method of ensuring that personnel engaging in any kind of problematic use of psychoactive substance abuse do not exercise their duties and are removed from safety-critical functions Re-instatement to safety-critical duties could be possible after cessation of the problematic use and upon determination that continued performance of such duties is unlikely to jeopardize safety. Examples of other subjects that might be addressed in a comprehensive and proactive policy include: i. Education regarding the use of psychoactive substances; ii. Identification, treatment and rehabilitation; iii. Employment consequences of problematic use of psychoactive substances; iv. Biochemical testing; v. Requirements of ICAO and the Authority. CAB 1.2.7 Show and identify the policy and procedure in the manual relating to psychoactive substances. CAB 1.3.1 An effective communication system ensures the exchange of operational information throughout all areas of the organization, and includes senior managers, operational managers and front line personnel. To be totally effective, the communication system would also include external organizations that conduct outsourced operational functions. Methods of communication will vary according to the size and scope of the organization. However, to be effective, methods are as uncomplicated and easy to use as is possible, and facilitate the reporting of operational deficiencies, hazards or concerns by operational personnel. Specific means of communication between management and cabin crew members typically include: . Email, Internet or other electronic systems; . Safety or operational reporting system . Communiqués (letters, memos, bulletins); . Publications (newsletters, magazines). If email is used as an official medium for communication with cabin crew members, the process is typically formalized by the operator to ensure control and ffectiveness CAB 1.3.2 Processes are in place to ensure information regarding policies, procedures and responsibilities is made available to cabin crew members on a regular and timely basis. Vehicles for communication typically include the cabin crew operations manual, operations bulletins, bulletin board notices, safety bulletins, electronic computer messages, telephone calls or any other effective means. Also, a process is in place to ensure essential information necessary for the safe conduct of a flight is communicated to the cabin crew prior to the departure of each flight or series of flights. Such process would include a means for cabin crew members to acknowledge receipt of essential information. Written or verbal confirmation to a responsible manager that is recorded is considered an acceptable means of acknowledgement CAB 1.3.3 The GM Cabin crew will advise the Administration Manager to conduct a review of the necessary facilities, workspace and equipment required to ensure that management personnel are able to do their job in ensuring they communicate in an acceptable way to the cabin crew member. A review of these facilities shall be completed annually and reported to a applicable management meeting with minutes recorded to ensure internal and external audits can view such minutes. CAB 1.3.4 The operator will have a communication system that enables the necessary communications and information relating to a flight is available to the flight manager prior to their prelfight briefing. CAB 1.4.1 The management system would identify, typically through policy, risk assessment, management review or other means, the infrastructure and resource requirements that would be necessary to deliver safe and secure operations, to include operations and maintenance support facilities, services and equipment appropriate for the area, such as: • Buildings, workspaces and associated utilities; • Facilities for people in the organization; • Support equipment, including tools, hardware and software • Support services, including transportation and communication. A suitable work environment satisfies human and physical factors and considers: • Safety rules and guidance, including the use of protective equipment; • Workplace location(s); • Workplace temperature, humidity, light, air flow; • Cleanliness, noise or pollution. CAB 1.4.2 Prerequisite criteria for each position, which would typically be developed by the operator, and against which candidates would be evaluated, ensure personnel are appropriately qualified for management system positions and operational roles in areas of the organization critical to safe and secure operations. CAB 1.5.1 Guidance Material not required CAB 1.5.2 Guidance Material not required CAB 1.5.3 The intent of this provision is for an operator to provide operational documentation in a format that is acceptable to the Authority and useable by all relevant personnel. Documentation used in the support of cabin operations may: • Exist in electronic form; • Be issued in more than one language. CAB 1.6.1 The complete content of the OM for cabin operations may be issued in more than one document or manual. For example, an operator might choose to issue a practical manual, which would be a controlled document and considered part of the OM. A practical manual, which might be referred to as a quick reference handbook (QRH,QRC), typically comprises checklists and other selected information and material taken directly from the OM, and is utilized by cabin crew members in performing onboard duties and procedures during normal, abnormal and/or emergency operations. Likewise, whereas the operational and training areas of cabin operations specified in the OM, they are typically issued in separate documents. For example, the cabin crew training program, might be outlined in a training document, while policies, procedures, checklists are specified in operational documents. CAB 1.6.2 To display approval, the Operations Manual contains a list of effective pages and, if applicable, displays evidence of approval or acceptance by the Authority. The manual (or revisions) is (are) typically accepted or approved, as applicable, prior to issuance to cabin crew members and before any operational procedures contained in the manual are implemented. In some states, the regulatory authority might have a passive process for providing acceptance of the manual. In such case, the process defines the procedural steps and provides a record of the completed steps and date of acceptance CAB 1.6.3 The specifications in this provision are applicable to the OM whether issued or accessible in paper or electronic form CAB 1.6.4 When the OM is issued in paper form, a process (checking or other methods) is designed to ensure the manual is kept up to date by individual cabin crew members. For example, a process could be established whereby a periodic check of the operations manual of each cabin crew member is conducted on a scheduled basis (e.g., during recurrent training, line evaluation or preflight briefing). When the OM is made accessible in electronic form, a process (checking or other method) is designed to ensure the electronically accessed manual is up to date. It is normally the responsibility of the operator to amend onboard electronic manuals. Cabin crew can cross check updates to the electronic manual during their preflight check to ensure it contains the most recent updates, revisions and information. CAB 1.6.5 The number of complete OMs onboard the aircraft would be determined by the way the manual is to be utilized by the cabin crew. If the complete version of the OM is used directly for the conduct of cabin operations, it might be necessary to have more than one copy on board, depending on the size of the aircraft and the number of cabin crew members. If a practical manual (or QRH, QRC) is used by the cabin crew for the conduct of cabin operations, a minimum of one complete version of the PM would typically be onboard the aircraft for use as a reference document. The flight deck is an acceptable location for the OM as a reference document if measures are in place that provide for unobstructed access by the cabin crew. If electronically accessed manuals are provided onboard the aircraft, one or more access terminals or devices would be located so the cabin crew has immediate or unobstructed access, as applicable to the way the manual is utilized, the size of the aircraft, and the number of cabin crew members. In addition, it is recommended that operators give consideration to providing applicable back-up physical (paper) manuals in case of electronic manual malfunction. CAB 1.6.6 GM not required. CAB1.6.7 A practical manual (or QRH,QRC) is typically required to be in the possession of each individual cabin crew member, available at each cabin crew station, or otherwise located to ensure immediate access by each cabin crew member. CAB 1.7.1 The system addresses the management and control of all records associated with operations, which includes personnel training records, and also includes any other records that document the fulfillment of operational requirements (e.g. aircraft maintenance, operational control, operational security). CAB 1.7.2 Maintaining records in electronic files is a reliable and efficient means of short and long-term storage. The integrity of this type of record-keeping system is ensured through secure, safe storage and backup systems. In an electronic records system, record files are managed and controlled (i.e. created, maintained, identified, updated, accessed, retained and deleted) using computer systems, programs and displays (e.g. a web-based system). To preclude the loss of records due to hardware or software failures, an electronic system is programmed to create backup files on a schedule that ensures records are never lost. Typically, an electronic system provides for file backup on a daily basis. Where necessary, the look and feel of electronic records is similar to that of a paper record. The retention period for records is defined by the operator and, if applicable, will always be in accordance with requirements of the Authority. Hardware and software, when updated or replaced, is retained to enable retrieval of old records. CAB 1.7.3 This pertains to the library of forms used both operationally and internally and will be subject to a registry detailing version number, issue date and expiry date. CAB 1.8.1 Show sample of some regulatory trainers as chosen by the auditor to ensure they are current in their role with qualifications applicable. CAB 1.8.2 The operator will ensure that all management personnel have had a regulatory briefing , that they are familiar with the rules and regulations pertaining to their job, and that there is evidence of an induction programme for new management personnel. Show evidence that the management positions are filled by personnel on the basis of knowledge, skills, training and experience appropriate to the position they hold. CAB 1.9.1 A quality assurance program serves to monitor, evaluate and continually improve operational safety performance, which are elements of the Safety Assurance component of the SMS framework. Information gained from quality assurance audits can be used in the management of operational risk. Additionally, the quality assurance program could be structured to serve as a safety performance monitoring and measuring activity in an SMS. In some organizations the quality assurance program may have a different name (e.g. internal evaluation program). A robust program ensures a scope of auditing that encompasses all areas of the organization that impact operational safety or security. The incorporation of IOSA Standards and Recommended Practices (ISARPs) ensures appropriate management and operational areas are audited. An effective audit program includes: • Audit initiation, including scope and objectives; • Planning and preparation, including audit plan and checklist development; • Observation and gathering of evidence to assess documentation and implementation; • Analysis, findings, actions; • Reporting and audit summary; • Follow-up and close out. To ensure auditors gather sufficient evidence to produce realistic assessments during an audit, the program typically includes guidance that defines the various sampling techniques that are expected to be used by auditors in the evidence collection phase of the audit. The audit process typically includes a means whereby the auditor and responsible personnel from the audited area have a comprehensive discussion and reach agreement on the findings and corresponding corrective actions. Clear procedures are established to resolve any disagreement between the auditor and audited area. All action items require follow-up to ensure closeout within an appropriate period of time. CAB 1.9.2 Management review is a necessary element of a well-managed company that provides a medium through which organizational control and continual improvement can be delivered. To be effective, a formal management review takes place on a regular basis, typically once or more per year. An appropriate method to satisfy this requirement is a periodic formal meeting of senior executives. The agenda of the meeting would typically include a general assessment of the management system to ensure all defined elements are functioning effectively and producing the desired operational safety and security outcomes. Senior management ensures deficiencies identified during the management review are addressed through the implementation of organizational changes that will result in improvements to the management system. Input to the management review process would typically include: • Results of audits; • Findings from operational inspections and investigations; • Operational feedback; • Incidents and near-miss reports; • Changes in regulatory policy or civil aviation legislation; • Process performance and organizational conformance; • Status of corrective and preventative actions; • Results from implementation or rehearsal of the emergency response plan (ERP); • Follow-up actions from previous management reviews; • Feedback and recommendations for management system improvement; • Regulatory violations. Output from the management review process would typically include decisions and actions related to: • Improvement of the processes throughout the management system; • Safety and security requirements; • Resource needs. The management review is a formal process, which means documentation in the form of meeting schedules, agendas and minutes are produced and retained. Additionally, the output of the management review process would normally include action plans for changes to be implemented within the system where deemed appropriate. Examples of strategies that might improve the overall effectiveness of the management review process include: • Integrating the management review meeting into other performance review meetings; • Scheduling management review meetings frequently enough to ensure any action that might be required is timely; • Ensuring senior managers understand their responsibilities as part of the review process • Ensuring action items resulting from meetings are documented and progress is tracked; • Ensuring there is always a responsible name associated with action items. CAB 1.9.3 The operator shall have minutes for inspection showing the process for addressing any issues that result from audits of cabin operations functions, e.g. LOCOM, Internal audits. CAB 1.10.1 An operator would always retain full responsibility for ensuring an outsourced function is performed properly by an external provider, even if such provider is the parent organization or an affiliate of the operator. A contract or agreement is necessary to ensure details of the outsourced functions to be performed by the external service provider are formally documented. Inclusion of measurable specifications, usually contained in a service level agreement, would provide the basis for a monitoring process as specified in ORG 3.5.2., related to CAB 1.10.2 An operator has a responsibility to ensure outsourced functions are conducted in a manner that meets its own operational safety and security requirements. A monitoring process is necessary to satisfy that responsibility, and such process would be applicable to any external service provider that conducts outsourced operational functions for the operator, including the parent organization or a separate affiliate of the operator. In some regulatory jurisdictions, there may be a regulatory control process that permits certain organizations to meet rigorous standards and become approved to conduct outsourced operational functions for an operator. A regulatory control process would be an acceptable means for meeting the specification of this provision if it can be demonstrated by the operator that the regulatory control process: • Includes ongoing monitoring of the approved service providers; • Such monitoring is sufficiently robust to ensure the approved service providers fulfill the operational requirements of the operator on a continuing basis Under certain circumstances, operational functions may be involuntarily removed from an operator and conducted by a governmental or quasi-governmental authority that is not under the control of the operator (e.g., passenger or baggage security screening at some airports). Under such circumstances, the operator would have a process to monitor output of the function being conducted by the authority to ascertain desired results are being achieved. CAB 1.10.3 Refer to CAB 1.10.2 CAB 1.10.4 This provision applies only to products that are purchased or otherwise acquired from an external supplier or vendor. Whereas purchasing might be the most typical means of acquiring such products, other means might be also be used (e.g. lease, barter). This provision does not apply to outsourced operational functions or services that are provided by an external organization or service provider (this is addressed in ORG 3.5.1 and 3.5.2). This provision does not apply to electronic navigation data products utilized in flight (e.g., FMS database) or for operational control (e.g. flight planning database Following are some examples of products that could have a negative effect on operations if put into service with substandard quality (i.e. the operator‘s technical standards are not met): • Training devices (e.g. simulators, door mock-ups); • Cabin safety cards or videos; • Cabin service carts or trolleys; • Onboard safety equipment (e.g. PBE, life jackets); • Ground support equipment; • Operational software, databases (non-navigation); • Security screening equipment • Unit load devices (ULDs). Part of the process is a method for identifying products that have a direct effect on the safety or security of operations. To ensure technical specifications are met, a process may focus on the supplier, the product or a combination of both. The process may include an evaluation of suppliers, with the selection of suppliers based on their ability to supply products in accordance with the operator‘s requirements and technical specifications. The use of formal industry supplier audit or evaluation programs is one means for assessing the abilities of suppliers to deliver quality products, such as the Coordinating Agency for Supplier Evaluation (CASE). Implementation of a rigorous receiving inspection process (or equivalent activity) provides another means of verifying that operationally critical products meet specified technical requirements prior to such products being put into service. CAB 1.11.1 A/B If the Operator conducts passenger flights with cabin crew, the Operator should have a hazard identification program in cabin operations that includes: i) A combination of reactive and proactive methods for safety data collection; ii) Processes for safety data analysis that identify existing hazards and predict future hazards to aircraft operations. CAB 1.11.2 A/B If the Operator conducts passenger flights with cabin crew, the Operator should have a safety risk assessment and mitigation program in the cabin operations organization that specifies processes to ensure: xiii) Hazards are analyzed to determine corresponding safety risks to aircraft operations; xiv) Safety risks are assessed to determine the requirement for risk mitigation action(s); xv) When required, risk mitigation actions are developed and implemented in cabin operations. • Risk assessment and mitigation is an element of the Safety Risk Management component of the SMS framework. CAB 1.11.3 Operational reporting is considered a proactive hazard identification activity in an SMS CAB 1.11.4 N/A CAB 1.11.5 A/B Setting measurable safety objectives is an element of the Safety Assurance component of the SMS framework. By setting performance measures, an operator is able to track and compare its operational performance against a target (i.e. the performance objective, typically expressed as a rate or number reduction) over a period of time (e.g. one year). Achievement of the target (or objective) would represent an improvement in the operational performance. The use of performance measures is an effective method to determine if desired safety outcomes are being achieved, and to focus attention on the performance of the organization in managing operational risks and maintaining compliance with relevant regulatory requirements. Performance measures in cabin operations might address, for example, inadvertent slide deployments, turbulence-related injuries in the cabin and rapid deplaning/emergency evacuation events. CAB 1.12.1 If the operator conducts passenger flights with cabin crew procedures and policies at each crew base will be documented to ascertain the effectiveness of the procedures and policies against those detailed in the OM and reviewed at a management meeting to determine if any of the policies and processes listed in the OM require changing to ensure compliance.

START OF AUDIT

Important to Read Before Starting Audit. Please include all references and make any comments applicable to ensuring conformance. At the end of each ISARP please mark the result accordingly CON - Conformance, Documented and Implemented OBS - Observation, Documented but not Implemented NONC - Non Conformance, Implemented but not Documented FINDING - Finding, not Documented, not Implemented

1.1 MANAGEMENT AND CONTROL

CAB 1.1.1 If the Operator conducts passenger flights with cabin crew the operator shall have a management system for the cabin operations organisation that ensures control of cabin crew operations in the passenger cabin and the management of safety and security outcomes.

References and Comments
Auditor Actions

CAB 1.1.2 If the Operator conducts passenger flights with cabin crew the operator shall have a manager for cabin operations that 1. If required is a nominated official acceptable to the authority. 2. Has the authority and is responsible for the management and supervision of all cabin operations activities. 3. Is accountable to senior management for ensuring the safety and security of cabin operations.

References and Comments

1.2 AUTHORITIES AND RESPONSIBILITIES

CAB 1.2.1 If the Operator conducts passenger flights with cabin crew, the Operator shall ensure the cabin operations management system defines the authorities and responsibilities of management and non management personnel throughout the cabin operations organisation that perform functions relevant to the safety or security of cabin operations. The management system shall also specify 1. The levels of management with the authority to make decisions that affect the safety and/or security of cabin operations. 2. Responsibilities for ensuring cabin operations are conducted in accordance with applicable regulations and standards of the Operator.

References and Comments

CAB 1.2.2 If the Operator conducts passenger flights with cabin crew the Operator shall have a process for the delegation of duties within the cabin operations management system that ensures managerial continuity is maintained when operational managers, including nominated post holders, if applicable are absent from the workplace.

References and Comments

CAB 1.2.3 If the Operator conducts passenger flights with cabin crew the Operator shall ensure a delegation of authority and assignment of responsibility within the management system for liaison with regulatory authorities, original equipment manufacturers and other external entities relevant to cabin operations.

References and Comments

CAB 1.2.4 If the Operator conducts passenger flights with cabin crew the Operator shall ensure the duties and responsibilities of cabin crew members are defined and described in the Operations Manual (OM). CCGOP 1. All cabin crew including cabin crew leader. 2. Chain of command onboard the aircraft.

References and Comments

CAB 1.2.5 If the Operator conducts passenger flights with cabin crew , the Operator shall ensure cabin crew members maintain familiarity with laws, regulations and procedures pertinent to the performance of their duties. GUIDANCE Cabin crew members may have destination specific information or briefing books that explain the customs and immigration processes associated with flying into foreign destinations. Additionally, laws, regulations and procedures might be reviewed to the extent necessary during cabin crew briefings prior to duty assignments.

References and Comments

CAB 1.2.5a If the Operator conducts passenger flights with cabin crew, the Operator shall have a procedure that ensures cabin crew members are familiar with laws, rules, policies and procedures as outlined in the Cabin Crew General Operating Procedures Manual, and pertinent to the performance of their duties.

References and Comments

CAB 1.2.6 If the Operator conducts passenger flights with cabin crew the Operator shall have a policy that addresses the use of psychoactive substances by cabin crew members, which as a minimum: 1. Prohibits the exercise of duties while under the influence of psychoactive substances, unless properly prescribed by a physician and accepted by either the Operator or a physician designated by the Operator.. The cabin crew member shall carry written advice and permission from the relevant physician at all times during an operational duty. 2. Prohibits the problematic use of psychoactive substances. 3. Requires personnel who are identified as engaging in any kind of problematic use of a psychoactive substance to be removed from cabin crew operational functions. 4. COnforms to the requirements of the authority.

References and Comments.

1.3 COMMUNICATION

CAB 1.3.1 If the Operator conducts passenger flights with cabin crew, the Operator shall have a communication system that enables and ensures an exchange of information relevant to the conduct of cabin operations throughout the cabin operations management system and in all areas where operations are conducted. Specific means of communication between management and cabin crew members typically includes: email, internet or other electronic systems, safety or operational reporting system, letters, memors, bulletins, publications, newsletters, magazines. If email is used as an official medium for communication with cabin crew members the process is typically formalised by the Operator to ensure control and effectiveness.

References and Comments.

CAB 1.3.2 If the Operator conducts passenger flights with cabin crew the Operator shall have processes to ensure information relevant to cabin crew policies, procedures and responsibilities is communicated to all cabin crew members, and to ensure essential operational information or guidance is communicated to the cabin crew prior to each flight.

References and Comments

CAB 1.3.3 If the Operator conducts passenger flights with cabin crew, the Operator shall have a process to ensure both deputies to the cabin crew leader and all cabin crew engaged in an operational duty shall be briefed in accordance with laws, rules and regulations pertaining to that duty, and that essential information necessary for the sale conduct of a flight is communicated to the cabin crew prior to the departure of each flight or series of flights. Such process would include a means for cabin crew members to acknowledge receipt of essential information. Written or verbal confirmation to a responsible manager or cabin crew leader is considered an acceptable means of acknowledgement.

References and Comments

1.4 PROVISION OF RESOURCES

CAB 1.4.1 If the Operator conducts passenger flights with cabin crew, the Operator shall have the necessary facilities, workspace, equipment and supporting services as well as work environment to satisfy cabin operations safety and security requirements. e.g. Buildings, workspaces and associated utilities, facilities for people in the Organisation, support equipment, including tools, hardware and software.

References and Comments

CAB 1.4.2 If the Operator conducts passenger flights with cabin crew the Operator shall ensure management and non management positions within the cabin operations organisation that require the performance of functions relevant to the safety or security of cabin operations are filled by personnel on the basis of knowledge, skills, training and experience appropriate for the position. GUIDANCE: A pre requisite criteria for each management position would typically be developed by the operator, and against which candidates would be evaluated, ensure personnel are appropriately qualified to management system positions and operational roles in areas of the organisation critifcal to safe and secure operations. It may be specified that certain positions may only be filled by individuals who are qualified cabin crew members, or in most cases the job description specifies the requirement for maintaining any additional competencies and qualifications.

References and Comments.

1.5 DOCUMENTATION SYSTEM

CAB 1.5.1 If the Operator conducts passenger flights with cabin crew the Operator shall have a system for the management and control of cabin operations documentation and/or data used directly in the conduct or support of operations. The primary purpose of document control is to ensure necessary, accurate and up to date documents are available to those personnel required to use them, to include in the case of outsourced operational functions, employees of external service providers. e.g. Operations Manuals, checklists, training manuals, process standards. An electronic system of document management and control is an acceptable means of conformance. Documented Control might include: 1. Version control and retention of revisions to manuals etc. 2. Distribution list to ensure appropriate availability at points of use. 3. Assignment of an individual with responsibility for approval for contents. 4. Title page, table of contents, preface and reference numbers for all manuals. 5. A distribution method and identification of recipients. Refer to AMS 5.1 for further conformance.

References and Comments

CAB 1.5.2 Intentionally Open

References and Comments

CAB 1.5.3 If the Operator conducts passenger flights with cabin crew, the Operator shall ensure documentation used in the conduct or support of cabin operations: 1. Contains legible and accurate information. 2. Is written in language understood by cabin operations personnel. 3. Is presented in a format appropriate for use by cabin operations personnel. If applicable is acepted or approved by the Authority. documentation used in the support of cabin operations may exist in electronic form and be issued in more than one language, provided that is documented to support such a format.

References and Comments.

1.6 OPERATIONS MANUAL

CAB 1.6.1 If the Operator conducts passenger flights with cabin crew the Operator shall have an Operations Manual (OM) which may be issued in separate parts, that contains the policies, procedures and other guidance or information necessary for cabin crew members to perform their duties and be in compliance with applicable regulations, laws, rules and Operator standards.

References and Comments

CAB 1.6.2 If the Operator conducts passenger flights with cabin crew and if required by the Authority, the Operator shall have a process to ensure the OM including updates and revisions is submitted for acceptance or approval. Manual will show list of effective pages, evidence of acceptance and approval.

References and Comments

CAB 1.6.3 If the Operator conducts passenger flights with cabin crew the Operator shall have a process to ensure cabin crew members are issued or have direct access to as a minimum those parts of the OM that address duties and responsibilities relevant to the safety and security of cabin operations. This policy is applicable to the OM whether issued or acccessible in paper or electronic form.

References and Comments.

CAB 1.6.4 If the Operator conducts passenger flights with cabin crew, the Operator shall have a process to ensure holders of the OM enter the most current amendments or revisions into the manual and maintain the manual in an up to date condition. The process now of updating the CCGOP is that the published manual is in an up to date condition as all updates are automatically uploaded and published as accepted.

References and Comments.

CAB 1.6.5 If the Operator conducts passenger flights with cabin crew, the Operator shall ensure a minimum of one complete version of the OM (CCGOP) is accessible onboard the aircraft for passenger flights and located in a manner that provides for: 1. If used directly for the conduct of cabin operations, immediate access by each crew member. 2. If utilised as a reference document only, unobstructed access by the cabin crew. If electronically accessed onboard the aircraft one or more access terminals would be provided. This may be on an electronic device either fixed or portable and must be documented to be in conformance.

References and Comments.

CAB 1.6.6 If the Operator conducts passenger flights with cabin crew, the Operator shall ensure information in the OM pertaining to cabin crew duties and responsibilities is published in the designated common language of the Operator.

References and Comments.

CAB 1.6.7 If the Operator conducts passenger flights with cabin crew, and publishes a practical manual for use by the cabin crew in the performance of their duties the Operator shall ensure one or more copies of the practical manual are onboard the aircraft for passenger flights and located in a manner that provides for immediate access by each crew member.

References and Comments

1.7 RECORDS SYSTEM

CAB 1.7.1 If the Operator conducts passenger flights with cabin crew, the Operator shall have a system for the management and control of cabin operations records to ensure the content and retention of such records is in accordance with requirements of the Authority, as applicable and to ensure operational records are subjected to standardised processes for 1. Identification 2. Legibility 3. Maintenance 4. Retention and Retrieval 5. Protection and security 6. Disposal or deletion More information available in AMS 55.2

References and Comments

CAB 1.7.2 If the Operator conducts passenger flights with cabin crew, and utilizes an electronic system for the management and control of cabin operations records, the Operator shall ensure the system provides for a scheduled generation of back-up record files. Further reference available in AMS 5.2

References and Comments

1.8 INTENTIONALLY OPEN

1.9 QUALITY ASSURANCE PROGRAMME

CAB 1.9.1 If the Operator conducts passenger flights with cabin crew the Operator shall have a quality assurance program that provides for the auditing and evaluation of the cabin operations management system and operational functions at planned intervals to ensure the organization is: 1. Complying with applicable regulations and standards of the Operator. 2. Satisfying stated operational needs. 3. Identifying undesirable conditions and areas requiring improvement. 4. Identifying hazards to operations. This requirement would typically apply to periodic audits of the training program, whether training is conducted by the Operator or outsourced to an external service provider. Further information can be obtained from Course Specs Manual.

References and Comments

CAB 1.9.2 If the Operator conducts passenger flights with cabin crew, the Operator shall have a process to ensure significant issues arising from audits of cabin operations functions are subject to management review These issues could impact the safety, security or cabin operations.

References and Comments.

CAB 1.9.3 If the Operator conducts passenger flights with cabin crew, the Operator shall have a process for addressing findings that result from audits of cabin operations functions which ensures: 1. Identification of root causes. 2. Development of corrective action as appropriate to address findings. 3. Implementation of corrective action in appropriate operational areas. 4. Evaluation of corrective action to determine effectiveness.

References and Comments

1.10 OUTSOURCING AND PRODUCT QUALITY CONTROL

CAB 1.10.1 If the Operator conducts passenger flights with cabin crew and has external service providers conduct outsourced cabin operations functions, the Operator shall have a process to ensure a contract or an agreement is executed with such external service providers. Contracts or agreements shall identify measureable specifications that can be monitored by the Operator to ensure requirements that affect the safety and/or security of cabin operations are being fulfilled b y the service provider. An example would be external training organisation. Refer AMS 3.6

References and Comments

CAB 1.10.2 If the Operator conducts passenger flights with cabin crew and has external service providers conduct outsourced cabin operations functions, the Operator shall have a process to monitor such external service providers to ensure requirements that affect the safety and/or security of cabin operations are being fulfilled. Monitoring typically includes random sampling, product audits, supplier audits, or other similar methods. Refer AMS 3.6

References and Comments.

CAB 1.10.3 If the Operator conducts passenger flights with cabin crew and has external service providers conduct outsourced cabin operations functions, the Operator should include auditing as a process for the monitoring of external service providers.

References and Comments.

CAB 1.10.4 If the Operator conducts passenger flights with cabin crew, the Operator should have a process to ensure equipment or other operational products relevant to the safety of the aircraft operations that are purchased or otherwise acquired from an external vendor or supplier meet the product technical requirements specified by the Operator prior to being used in the conduct of operations. e.g. 1. Operational manuals produced by external suppliers. 2. Cabin door or passenger service and training devices. 3. Video training programmes. Refer to AMS 3.6 not applicable to IFS currently.

References and Comments

1.11 SAFETY MANAGEMENT

CAB 1.11.1 A & B If the Operator conducts passenger flights with cabin crew the Operator shall have a hazard identification program in cabin operations that includes: 1. A combination of reactive and proactive methods for safety data collection. 2. Processes for safety data analysis that identify existing hazards and specific future hazards to aircraft operations.

References and Comments.

CAB 1.11.2 A & B If the Operator conducts passenger flights with cabin crew, the Operator shall have a safety risk assessment and mitigation program in the cabin operations organization that specifies processes to ensure: 1. Hazards are analyzed to determine corresponding safety risks to aircraft operations. 2. Safety risks are assessed to determine the requirement for risk control actions 3. When required, risk mitigation actions are developed and implemented in cabin operations.

References and Comments.

CAB 1.11.3 Operational Reporting If the Operator conducts passenger flights with cabin crew the Operator shall have an operational reporting system in the cabin operations organisation that: 1. Encourages and facilitates cabin operations personnel to submit reports that identify safety hazards, expose safety deficiencies and raise safety concerns. 2. Ensures mandatory reporting in accordance with applicable regulations. 3. Includes analysis and cabin operaqtions management action to address safety issues identified through the reporting system.

References and Comments.

CAB 1.11.4 If the Operator conducts passenger flights with cabin crew, the Operator should have a confidential safety reporting system in the cabin operations organisation that encourages and facilitates the reporting of events, hazards and/or concerns resulting from or associated with human performance in operations.

References and Comments.

CAB 1.1.5 A & B If the Operator conducts passenger flights with cabin crew, the Operator shall have processes in the cabin operations organization for setting performance measures as a means to monitor the safety performance of the organization and to validate the effectiveness of risk control.

References and Comments.

1.12 CABIN MANAGEMENT

CAB 1.12.1 If the Operator conducts passenger flights with cabin crew, the Operator shall have a process for standing a crew member down for any reason that may affect either the safety of the operation or prior to or after an event.

Reference and Comment

CAB 1.12.2 If the Operator conducts passenger flights with cabin crew, the Operator shall have a reporting for duty policy that enables a crew member to ascertain if they are fit and well for duty and the process for either reporting for duty or expressing non availability.

References and Comment

CAB 1.12.3 If the Operator conducts passenger flights with cabin crew the Operator shall have a policy for cabin crew on the Declaration of Compliance, to include: 1. Customs and Immigration formalities. 2. Agriculture 3. Company Stores. 4. Currency and Trading Regulations

References and Comment.

CAB 1.12.4 If the Operator conducts passenger flights with cabin crew the Operator shall have a policy on the: 1. Consumption of alcohol by cabin crew prior to a duty both operational and passengering/deadheading. 2. Conduct whilst on duty 3. Rules and policy when deadheading and availability to operate aircraft.

Reference and Comment

1.13 DOCUMENT CONTROL

CAB 1.13.1 If the Operator conducts passenger flights with cabin crew, the Operator shall have a process whereby cabin crew are able to follow a process to ensure they are in compliance with all up to date documentation required to complete operational duties. This includes: 1. Passports 2. Company ID's 3. Visas 4. Loss and Renewal of documents.

Reference and Comment

Internal Audit - duplicate

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AUDIT INSTRUCTIONS

START OF AUDIT

1.1 MANAGEMENT AND CONTROL

CAB 1.1.1 If the Operator conducts passenger flights with cabin crew the operator shall have a management system for the cabin operations organisation that ensures control of cabin crew operations in the passenger cabin and the management of safety and security outcomes.

1.2 AUTHORITIES AND RESPONSIBILITIES

CAB 1.2.4 If the Operator conducts passenger flights with cabin crew the Operator shall ensure the duties and responsibilities of cabin crew members are defined and described in the Operations Manual (OM). CCGOP 1. All cabin crew including cabin crew leader. 2. Chain of command onboard the aircraft.

1.3 COMMUNICATION

1.4 PROVISION OF RESOURCES

1.5 DOCUMENTATION SYSTEM

CAB 1.5.2 Intentionally Open

1.6 OPERATIONS MANUAL

CAB 1.6.6 If the Operator conducts passenger flights with cabin crew, the Operator shall ensure information in the OM pertaining to cabin crew duties and responsibilities is published in the designated common language of the Operator.

1.7 RECORDS SYSTEM

CAB 1.7.2 If the Operator conducts passenger flights with cabin crew, and utilizes an electronic system for the management and control of cabin operations records, the Operator shall ensure the system provides for a scheduled generation of back-up record files. Further reference available in AMS 5.2

1.8 INTENTIONALLY OPEN

1.9 QUALITY ASSURANCE PROGRAMME

CAB 1.9.2 If the Operator conducts passenger flights with cabin crew, the Operator shall have a process to ensure significant issues arising from audits of cabin operations functions are subject to management review These issues could impact the safety, security or cabin operations.

1.10 OUTSOURCING AND PRODUCT QUALITY CONTROL

CAB 1.10.3 If the Operator conducts passenger flights with cabin crew and has external service providers conduct outsourced cabin operations functions, the Operator should include auditing as a process for the monitoring of external service providers.

1.11 SAFETY MANAGEMENT

CAB 1.1.5 A & B If the Operator conducts passenger flights with cabin crew, the Operator shall have processes in the cabin operations organization for setting performance measures as a means to monitor the safety performance of the organization and to validate the effectiveness of risk control.

1.12 CABIN MANAGEMENT

CAB 1.12.1 If the Operator conducts passenger flights with cabin crew, the Operator shall have a process for standing a crew member down for any reason that may affect either the safety of the operation or prior to or after an event.

CAB 1.12.2 If the Operator conducts passenger flights with cabin crew, the Operator shall have a reporting for duty policy that enables a crew member to ascertain if they are fit and well for duty and the process for either reporting for duty or expressing non availability.

CAB 1.12.3 If the Operator conducts passenger flights with cabin crew the Operator shall have a policy for cabin crew on the Declaration of Compliance, to include: 1. Customs and Immigration formalities. 2. Agriculture 3. Company Stores. 4. Currency and Trading Regulations

1.13 DOCUMENT CONTROL

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AUDIT INSTRUCTIONS

START OF AUDIT

1.1 MANAGEMENT AND CONTROL

CAB 1.1.1 If the Operator conducts passenger flights with cabin crew the operator shall have a management system for the cabin operations organisation that ensures control of cabin crew operations in the passenger cabin and the management of safety and security outcomes.

1.2 AUTHORITIES AND RESPONSIBILITIES

1.3 COMMUNICATION

1.4 PROVISION OF RESOURCES

1.5 DOCUMENTATION SYSTEM

CAB 1.5.2 Intentionally Open

1.6 OPERATIONS MANUAL

CAB 1.6.6 If the Operator conducts passenger flights with cabin crew, the Operator shall ensure information in the OM pertaining to cabin crew duties and responsibilities is published in the designated common language of the Operator.

1.7 RECORDS SYSTEM

1.8 INTENTIONALLY OPEN

1.9 QUALITY ASSURANCE PROGRAMME

CAB 1.9.2 If the Operator conducts passenger flights with cabin crew, the Operator shall have a process to ensure significant issues arising from audits of cabin operations functions are subject to management review These issues could impact the safety, security or cabin operations.

1.10 OUTSOURCING AND PRODUCT QUALITY CONTROL

CAB 1.10.3 If the Operator conducts passenger flights with cabin crew and has external service providers conduct outsourced cabin operations functions, the Operator should include auditing as a process for the monitoring of external service providers.

1.11 SAFETY MANAGEMENT

CAB 1.1.5 A & B If the Operator conducts passenger flights with cabin crew, the Operator shall have processes in the cabin operations organization for setting performance measures as a means to monitor the safety performance of the organization and to validate the effectiveness of risk control.

1.12 CABIN MANAGEMENT

CAB 1.12.1 If the Operator conducts passenger flights with cabin crew, the Operator shall have a process for standing a crew member down for any reason that may affect either the safety of the operation or prior to or after an event.

CAB 1.12.2 If the Operator conducts passenger flights with cabin crew, the Operator shall have a reporting for duty policy that enables a crew member to ascertain if they are fit and well for duty and the process for either reporting for duty or expressing non availability.

CAB 1.12.3 If the Operator conducts passenger flights with cabin crew the Operator shall have a policy for cabin crew on the Declaration of Compliance, to include: 1. Customs and Immigration formalities. 2. Agriculture 3. Company Stores. 4. Currency and Trading Regulations

1.13 DOCUMENT CONTROL

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