WGC Internal Audit: ATO Audit

• Conducted on

  Date

• Audit Title

• Audit No.

• Auditor

• Auditee/s

Standard, Purpose and Scope

• Standard: NAM CARs Part 141, Training Organization Ops Manual (ATO MOP)

• Purpose: To ensure that the training organization complies with the regulations and the training is delivered to the required standard for WGC.

• Scope: ATO facilities, aircraft, training records, instructor training, safety, quality and admin processes.

Supplier Information

• Company Name

• Accountable Manager

• Contact Details

• Description of Services or Products provided to Westair

1 Certificates

• Does the organization have an NDCA ATO?

• ATO Certificate No

• 1.1 Is the ATO certificate displayed?

  Yes

  No

  N/A

• 1.2 Is the ATO certificate current?

  Yes

  No

  N/A

• 1.3 Does the ATO OPS Spec list all the training that are required by Westair and list all the aircraft that is used by the ATO?

  Yes

  No

  N/A

• Does the organization have an SA CAA ATO?

• ATO Certificate No

• 1.1 Is the ATO certificate displayed?

  Yes

  No

  N/A

• 1.2 Is the ATO certificate current?

  Yes

  No

  N/A

• 1.3 Does the ATO OPS Spec list all the training that are required by Westair and list all the aircraft that is used by the ATO?

  Yes

  No

  N/A

• Does the organization have an "other" ATO?

• Specify "other"

• ATO Certificate No

• 1.1 Is the ATO certificate displayed?

  Yes

  No

  N/A

• 1.2 Is the ATO certificate current?

  Yes

  No

  N/A

• 1.3 Does the ATO OPS Spec list all the training that are required by Westair and list all the aircraft that is used by the ATO?

  Yes

  No

  N/A

2 Manual of Procedures (MOP)

• 2.1 Is the MOP approved by the authority?

  Yes

  No

  N/A

• 2.2 Is there a signed statement by the certificate holder confirming that the MOP and the the documents incorporated by reference reflect the certificate holder's means of compliance with the regulations?

  Yes

  No

  N/A

• 2.3 Does the MOP describe an amendment procedure or process?

  Yes

  No

  N/A

• 2.3.1 Is the amendment procedure followed and signed off at the appropriate stages?

  Yes

  No

  N/A

• 2.4 Does the MOP have a description of the scope of training provided?

  Yes

  No

  N/A

• 2.5 Does the MOP specify a distribution system and identity of the manual holders and locations?

  Yes

  No

  N/A

• 2.5.1 Is the distribution procedure followed?

  Yes

  No

  N/A

• 2.6 Does the MOP detail the responsibilities of key personnel?

  Yes

  No

  N/A

• 2.7 does the MOP detail the minimum qualifications of post holders and instructors?

  Yes

  No

  N/A

3 Facility

• 3.1 Are there clear signage provided to identify the organization's premises?

  Yes

  No

  N/A

• 3.2 Is there a reception area?

  Yes

  No

  N/A

• 3.3 Are the facilities suitable to present the courses and training requested?

  Yes

  No

  N/A

• 3.3.1 Does the ATO have its own class rooms?

  Yes

  No

  N/A

• 3.3.1.1 Are the class rooms large enough and equipped with the right equipment (projectors, boards, tables and chairs, etc.)?

  Yes

  No

  N/A

• 3.3.1.2 Are the class rooms kept clean and neat?

  Yes

  No

  N/A

• 3.3.2 Does the ATO provide refreshments to the course atendees?

  Yes

  No

  N/A

• 3.4 Are suitable storage provided for hard copy records and/or archives?

  Yes

  No

  N/A

• 3.4.1 Are the access to the records and archives controlled?

  Yes

  No

  N/A

• 3.4.2 Are the records well organized and are individual records easily accessible by authorized persons?

  Yes

  No

  N/A

• 3.5 Are suitable waiting areas for students or clients?

  Yes

  No

  N/A

• 3.6 Are there briefing rooms for pre-flight or post-flight briefings for instructors and students?

  Yes

  No

  N/A

• 3.7 Are there areas provided for study in between lessons or training flights to study or do research?

  Yes

  No

  N/A

• 3.8 Has the ATO provided office space/s for the instuctors?

  Yes

  No

  N/A

• 3.9 Are there an area designated for instructors to rest, drink coffe/tea or eat?

  Yes

  No

  N/A

4 Safety

• 4.1 Is a Safety Officer appointed?

  Yes

  No

  N/A

• Safety Officer Name

• 4.1.1 Is the Safety Officer trained/qualified?

  Yes

  No

  N/A

• 4.2 Does the organization have a SMS?

  Yes

  No

  N/A

• 4.2.1 Is the SMS documented?

  Yes

  No

  N/A

• 4.2.2 Are internal safety audits conducted?

  Yes

  No

  N/A

• 4.2.2.1 Is there an Safety audit schedule?

  Yes

  No

  N/A

• 4.2.2.2 Is the Safety audit schedule followed?

  Yes

  No

  N/A

• 4.2.2.3 In the event of findings from a Safety audit are corrective action requests issued?

  Yes

  No

  N/A

• 4.2.2.3.1 Are the corrective actions actioned correctly, no quick fixes?

  Yes

  No

  N/A

• 4.3 Are Hazards, Incidents and Accidents reported and the data analyzed?

  Yes

  No

  N/A

• 4.3.1 Are safety reports discussed and considered by management on a regular basis?

  Yes

  No

  N/A

• 4.3.1.1 Are minutes kept of safety meetings by management?

  Yes

  No

  N/A

• 4.3.1.2 Are action taken of safety concerns by management?

  Yes

  No

  N/A

• 4.4 Is there a fire extinguisher in each training area/office/class room and is it serviceable?

  Yes

  No

  N/A

• 4.5 Is there a first aid kit/s available at the facility and is it up to date?

  Yes

  No

  N/A

• 4.6 Are emergency numbers displayed in prominent places?

  Yes

  No

  N/A

• 4.6.1 Are emergency numbers kept up to date or checked regularly?

  Yes

  No

  N/A

• 4.7 Does the organization have an Emergency Response Plan (ERP)?

  Yes

  No

  N/A

• 4.7.1 Is there an ERP manual?

  Yes

  No

  N/A

• 4.7.2 Is the ERP kept up to date?

  Yes

  No

  N/A

• 4.7.3 Is the ERP readily available?

  Yes

  No

  N/A

• 4.7.4 Are ERP exercises held?

  Yes

  No

  N/A

• 4.7.4.1 How many exercises are held every year?

• Date of last ERP exercise:

  Date

• 4.8 Is there and emergency evacuation plan for the premises?

  Yes

  No

  N/A

• 4.8.1 Is the evacuation plan displayed or exit signs in each room?

  Yes

  No

  N/A

• 4.8.2 Are emergency evacuation assembly points designated?

  Yes

  No

  N/A

• 4.10 Is safety actively promoted by the organisation?

  Yes

  No

  N/A

• 4.11 Are safety meetings regularly held?

  Yes

  No

  N/A

• 4.11.1 Are minutes of the safety meetings kept?

  Yes

  No

  N/A

5 Library

• 5.1 Does the organization have technical guides, POHs, handbooks, syllabi and regulatory publications according to approved scope of training?

  Yes

  No

  N/A

• 5.1.1 Has the ATO appointed a Librarian?

  Yes

  No

  N/A

• Librarian Name

• 5.1.2 Are the publications/manuals current? (Does the handbooks cover the material with recent exam requirements)

  Yes

  No

  N/A

• 5.1.3 Is there a system for monitoring the currency of publications and is it effective?

  Yes

  No

  N/A

• 5.1.4 Are the publications contolled?

  Yes

  No

  N/A

• 5.1.5 Are the publications readily available?

  Yes

  No

  N/A

• 5.1.6 Are the latest forms available to instructors and/or students?

  Yes

  No

  N/A

• 5.1.6.1 Are there a system to ensure only the latest forms are used?

  Yes

  No

  N/A

6 Training Aircraft and flight Training Devices or Simulators

• 6.1 Does the ATO own or operate training aircraft?

  Yes

  No

  N/A

• 6.1.1 Has the ATO appointed a Responsible Person Aircraft (RPA)?

  Yes

  No

  N/A

• Name of the RPA (type "no RPA" no appointed RPA)

• If the RPA post is delegated to and AMO give the name of the AMO

• Name of person looking after aircraft:

• Post of person looking after aircraft:

• 6.1.1.1 Does the delegated person or AMO advise when aircraft are due for scheduled maintenance?

  Yes

  No

  N/A

• 6.1.1.2 Does the delegated person or AMO advise when defects has been recitfied?

  Yes

  No

  N/A

• 6.1.1.1 Does the RPA or delegate monitor the serviceability of the ATO aircraft?

  Yes

  No

  N/A

• 6.1.1.2 Does the RPA or delegate arrange for the aircraft to be booked in for maintenance when needed or if due?

  Yes

  No

  N/A

• 6.1.1.3 Does the RPA or delegate monitor the condition of the ATO aircraft? (Paint, Upholstery, Covers, Sunshields, Chocks etc.)

  Yes

  No

  N/A

• 6.1.1.4 Does the RPA or delegate ensure that all the safety equipment are onboard each aircraft on a regular basis?

  Yes

  No

  N/A

• 6.1.2 Are all the aircraft used by the ATO listed on the Ops Sec?

  Yes

  No

  N/A

• List all aircraft registrations on the Ops Spec:

• 6.1.3 Are all the aircraft owned by the ATO?

  Yes

  No

  N/A

• 6.1.3.1 Does each aircraft not owned by the ATO have lease agreements?

  Yes

  No

  N/A

• 6.1.3.1.1 Are all the lease agreements reviewed regularly (at least every 24 months or less)?

  Yes

  No

  N/A

• 6.1.4 Does each aircraft have a maintenance agreement?

  Yes

  No

  N/A

• 6.1.4.1 Has the ATO published a Maintenance Control Manual (MCM)?

  Yes

  No

  N/A

• 6.1.4.1.1 Is the MCM approved by the DCA/CAA?

  Yes

  No

  N/A

• 6.1.4.1.2 Has each AMO received and signed for a copy of the MCM?

  Yes

  No

  N/A

• 6.1.4.2 Are all the maintenance agreements reviewed regularly (at least every 24 months or less)?

  Yes

  No

  N/A

• List the AMO/s that maintain the aircraft:

• 6.1.4.3 Are all the aircraft MPIs and 50 hour inspections (at least oil change) done when due?

  Yes

  No

  N/A

• 6.1.4.3.1 Is there a system to track scheduled maintenance due times and is it documented in the MOP?

  Yes

  No

  N/A

• 6.1.4.4 Are all defects rectified and signed off in the flight folios/tech log?

  Yes

  No

  N/A

• 6.1.5 Does the ATO have records and documents of each aircraft? (CoR, CoA, RTS, MnB, Radio Lic and COI)<br>

  Yes

  No

  N/A

• 6.1.5.1 Are the records and documents current and up to date?

  Yes

  No

  N/A

• 6.1.5 Each aircraft have the following emergency equipment?

  Select 406 Mhz ELT Strips FAK Water Tracking Sys

  • 406 Mhz ELT
  • Strips
  • FAK
  • Water
  • Tracking Sys

• 6.2 Does the ATO own/operate simulators or flight training devices?

  Yes

  No

  N/A

• List all of the simulator types with registration:

• 6.2.1 Is each simulator/FTD Approved by the DCA/CAA?

  Yes

  No

  N/A

• 6.2.2 Are the all simulators/FTDs listed on the ATO Ops Spec

  Yes

  No

  N/A

• 6.2.3 Is each simulator/FTD checked at least once a year for serviceability (Annual QTG)?

  Yes

  No

  N/A

• 6.2.3.1 Are the records of the QTG available and up to date for each simulator?

  Yes

  No

  N/A

• 6.2.4 Does the ATO have cockpit familiarization devices (Paper Tigers)?

  Yes

  No

  N/A

• 6.2.4.1 Does the devices resemble the real aircraft accurately?

  Yes

  No

  N/A

• 6.2.4.2 Are the devices more or less full size?

  Yes

  No

  N/A

• 6.2.4.3 Are access to the devices readily available to students?

  Yes

  No

  N/A

7 Quality

• 7.1 Is a QA Manager appointed?

  Yes

  No

  N/A

• QA Manager name

• 7.1.1 Is the QA manager qualified?

  Yes

  No

  N/A

• 7.2 Does the organization have a QA system?

  Yes

  No

  N/A

• 7.2.1 Is the QA system documented?

  Yes

  No

  N/A

• 7.2.2 Is the QA system manual approved by the DCA/CAA?

  Yes

  No

  N/A

• 7.3 Are internal audits conducted?

  Yes

  No

  N/A

• 7.3.1 Is there an internal audit schedule?

  Yes

  No

  N/A

• 7.3.2 Is the internal audit schedule followed?

  Yes

  No

  N/A

• 7.3.3 In the event of findings from internal audit; are corrective actions issued?

  Yes

  No

  N/A

• 7.3.3.1 Are the corrective actions actioned correctly, no quick fixes?

  Yes

  No

  N/A

• 7.4 Does the QA system function?

  Yes

  No

  N/A

• 7.4.1 Are records of audits available?

  Yes

  No

  N/A

• 7.4.2 Are there procedures to ensure that findings are communicated to the accountable manager?

  Yes

  No

  N/A

• 7.4.3 Is there a record detailing audit findings, corrective actions and follow up inspections?

  Yes

  No

  N/A

8 Training/Instructor/Personel Records

• 8.1 Does the organization keep records of all training provided or received for each staff member?

  Yes

  No

  N/A

• 8.1.1 Is the record system documented in the MOP?

  Yes

  No

  N/A

• 8.2 Is there a list of instructors indicating their qualifications and authorizations?

  Yes

  No

  N/A

• 8.3 Do the personnel records contain qualifications for management and admin personnel?

  Yes

  No

  N/A

• 8.4 Are instuctor flight and duty times recorded and monitored to stay within prescribed limits?

  Yes

  No

  N/A

• 8.4.1 Is the record system documented in the MOP?

  Yes

  No

  N/A

9 Student and Client Training Records

• 9.1 Are records kept of all students or clients?

  Yes

  No

  N/A

• Student file reviewed

Student File no

• Name on Student File

• 9.1.1 Does the file contain personal information and contact details of the student and next of kin?

  Yes

  No

  N/A

• 9.1.2 Does the file contain records of training received with progress reports?

  Yes

  No

  N/A

• 9.1.3 Does the file contain copies exam results?

  Yes

  No

  N/A

• 9.1.4 If a type rating have been done for this student; is a copy of the marked type tech kept in the file?

  Yes

  No

  N/A

• 9.1.5 Are copies of skill tests submitted to the DCA/CAA kept in the file?

  Yes

  No

  N/A

• 9.1.6 Can progress reports provided to students, sponsors or clients readily?

  Yes

  No

  N/A

• 9.2 Does the ATO present courses other than flight training?

  Yes

  No

  N/A

• List all courses:

• 9.2.1 Does each course have a published syllabus and is it on record?

  Yes

  No

  N/A

• 9.2.1.1 Is each syllabus approved?

  Yes

  No

  N/A

• 9.2.1.2 Are all courses listed on the ATO Ops Spec?

  Yes

  No

  N/A

• 9.2.1.3 Does each course facilitator have the required qualifications to present the course?

  Yes

  No

  N/A

• 9.2.1.4 Does each course use standardized course material and/or slides?

  Yes

  No

  N/A

• 9.2.1.5 Are the syllabi follwed?

  Yes

  No

  N/A

• 9.4 Does the ATO provide training to outside organizations?

  Yes

  No

  N/A

• 9.4.1 Does the ATO have training agreements with the outside organizations?

  Yes

  No

  N/A

• 9.4.1.1 Are the training agreements kept on record at the ATO?

  Yes

  No

  N/A

• 9.4.1.2 Are the training agreements regularly reviewed (at least every 24 months)?

  Yes

  No

  N/A

• 9.4.2 Is there a training plan or schedule for client organizations?

  Yes

  No

  N/A

• 9.4.2.1 Is the training plan followed?

  Yes

  No

  N/A

• 9.4.2.2 Does the training plan meet the client requirements?

  Yes

  No

  N/A

• 9.5 Is there a system to measure customer satisfaction or course effectiveness?

  Yes

  No

  N/A

• 9.5.1 Is this system documented in the MOP?

  Yes

  No

  N/A

• 9.5.2 Is this system followed for most courses or training?

  Yes

  No

  N/A

• 9.5.3 Are records kept of this system?

  Yes

  No

  N/A

• 9.5.3.1 Are the results analyzed to improve training?

  Yes

  No

  N/A

• 9.5.3.2 Are results discussed with course facilitators or instructors?

  Yes

  No

  N/A

10 Stock Control

• Does the organization keep stock to sell (books, maps or pilot accessories)?

  Yes

  No

  N/A

• 10.1 Are the stock kept in a suitable location?

  Yes

  No

  N/A

• 10.2 Is there a stock control system?

  Yes

  No

  N/A

• 10.2.1 Are there minimum stock levels set?

  Yes

  No

  N/A

11 Financial System

• 11.1 Are there credit agreements or monthly retainer agreements in place between the ATO and outside organizations with training agreements?

  Yes

  No

  N/A

• 11.2 Does the ATO have a book keeping system?

  Yes

  No

  N/A

• 11.2.1Are invoices sent:

  Select Daily Weekly Monthly When training is complete

  • Daily
  • Weekly
  • Monthly
  • When training is complete

• 11.2.2 Can students/clients obtain current statements easily?

  Yes

  No

  N/A

• 11.2.3 Is there a system to avoid students from training without exceeding their available balance?

  Yes

  No

  N/A

• 11.2.4 Are client statements sent out on time and payments processed when received quickly?

  Yes

  No

  N/A

• 11.3 Is the ATO registered for VAT?

  Yes

  No

  N/A

• 11.3.1 Are there records of the VAT reports?

  Yes

  No

  N/A

• 11.3.2 Are VAT reports submitted on time?

  Yes

  No

  N/A

General Observations and Recommendations

• Observations

• Recommendations

Acceptance

• Can the auditor Recommend this ATO as a training organization to Westair?

  Reccommended

  Recommended with Restrictions

  Not Reccommended

• Reasons

• Auditor Signature

  Sign

• Auditee Signature

  Sign