CHECKLIST FOR PART 145 APPROVAL

Transcription

1 Section/division AIRWORTHINESS: AIRCRAFT MAINTENANCE ORGANISATION Form Number: CA CHECKLIST FOR PART 145 APPROVAL AMO Number Name of organization Physical address Postal address Postal code Telephone number Cell phone number address: Expiry date: Postal code Categories applied for A B C D E W X Date application received Date of audit Audit team ACCOUNTABLE MANAGER QUALITY MANAGEMENT SYSTEM MANAGER SAFETY MANAGEMENT SYSTEM MANAGER OTHER PROCEDURE FOR COMPLETION ORGANISATION REPRESENTATIVES 1. Definitions Yes shall mean there is means of compliance. No shall mean there is no means of compliance. Not Applicable shall mean that the requirement is not relevant to the organisation s activities. Acceptable shall mean compliance. Unacceptable shall mean non compliance. 2. Abbreviations Y=>Yes N=> No A=>Acceptable U=>Unacceptable N/A=> Not Applicable 3. Instructions 3.1. The blocks must checked in a combination of either [Y&A] or [Y&U] or [N&A] or [N&U] or [N/A] 3.2. Where the following combination is checked a note is mandatory i.e [Y&U] or [N&A] or [N&U] or [N/A] 3.3. The checklist must be signed by the audit team leader after completion prior to the closing meeting Empty rows are not permitted. Sections not checked should be indicated either with a strike through or crossed out and specified that the section was not checked The accountable manager or organisation representative must sign the checklist and the receipt of the preliminary audit report at the closing meeting. CA MARCH 2017 Page 1 of 19

2 S: INSPECTION AND AUDIT FUNCTIONS CAA inspection and audit functions confirm for CAA that an organisation is operating in compliance with regulatory requirements. There will be times when it is not possible or necessary to review or examine 100% of a company s operation. This is when sampling principles apply. Inspection and audit checklists have been developed to provide a systematic approach to the inspection of an organisation various specialty areas. The checklists are designed to identify specific items within each specialty area and to make reference to applicable regulatory requirements. Where an organisation fails to comply with these requirements, they will be considered to be in non-compliance and will be required to undertake corrective action. AUDIT PLANNING The following should be considered when scheduling an audit; (a) The feasibility of the audit dates and time-periods with consideration given to availability of inspectors and the operator. (b) The allocation of time for pre-audit/inspection activities. (c) Team member travel requirements. (d) The compiling of the required documentation. (e) The contents of the organisation manual of procedures and file should be studied for background knowledge and to detect any shortcomings/anomalies. (f) The audit objectives and scope. PRE-AUDIT MEETING A pre-audit team meeting is important as it informs team members of the expectations of the team leader. It also provides an opportunity for team members to clear up any questions and gain clarity on their specific roles. Agenda items must be discussed and formalised at this meeting. The audit schedule must be discussed and formalised which must include additional time prior to the closing meeting to allow inspectors to formalise the preliminary audit report. If the client does not have the necessary resources to print out a report a hand written report must be issued. The audit schedule is sent to the client prior to the audit to ensure that the client allocate enough resources to cover the schedule. ENTRY MEETING An entry meeting must be held. It is important in that it establishes communications between the Operator sand CAA s audit teams. (See checklist CA for the standard agenda). For local audits, The client must be notified of the hourly rates that apply from audit planning, inspection and post audit activities. The agenda must be followed as a guide during the briefing at all times to ensure that the client understands all expectations and the scope of the audit. The audit schedule is also discussed to ensure that the client will be able to accommodate the schedule. AUDIT FINDINGS A finding is when the Organisation is found to be non compliant/contravening all relevant legislation and/or approved operating procedures. The severity of the finding must be identified based on its nature and the compromise it renders to safety. Audit findings are the foundation of the audit report so it is important that they be completed in accordance with the requirements. Findings must be rated aligned to the Safety & Security Oversight Policy (Levels 1,2 & 3). CLOSING MEETING The closing meeting is conducted to ensure that the Operator s senior management have been fully debriefed on the results of the audit. The preliminary report is issued to the client and the client is debriefed on the outcome of the audit. The client is informed that a final report will be issued within 3 days. POST AUDIT ACTIVITIES Issue final audit report within 3 days. Evaluate the action plan to the audit report. Submit to the CS (Quality Control Department) for review, once accepted by QC:AIR convene a Review Board (NB: Senior manager or Designate to sign-off ARB decision). Invoice is issued to client that must include all activities. Issue a certificate of approval with OPSPECS after payment is confirmed by CAA finance. Note: The issue of an OPSPECS will be done based on the proposed OPSPECS provided by the organisation at the time of application for initial approval or amendment. File and Archive all documents. Update internal tracking system. Note: For overseas audits all applicable fees must be paid in full and confirmed by CAA finance before the audit and undertaking of the journey. CA MARCH 2017 Page 2 of 19

3 A. MANAGEMENT RESPONSIBILITY N/A Y N A U 1. Has the holder of the Certificate of Approval applied for renewal at least 60 days before the approval expires? (CAR ) 2. Is the maintenance organisation approval displayed in a prominent place, generally accessible to the public at such holder s principal place of business? (CAR ) 3. Are the approved operations specifications readily available at the place where the certificate of approval is displayed? Carry out a general cursory review of the document. 4. Has the organisation employed or contracted a senior person identified as the accountable manager and compliance officer of the organisation? (CAR (1)(a)) Does the accountable executive s show authorities and responsibilities over the following: a) full authority for human resources issues; b) authority for major financial issues; c) direct responsibility for the conduct of the organization s affairs; d) final authority over operations under certificate; and e) final responsibility for all safety issues. 5. Has the organisation employed or contracted a competent person who is responsible for the quality assurance and such person has direct access to the accountable manager on all safety matters? (CAR (1)(b)) 6. Has the Organisation employed or contracted a competent person who is responsible for the Safety Management System, and such person has direct access to the Accountable Manager? 7. Does the current management structure align with the MOP list of key management personnel and their positions? (CAR ) 8. Does the current Management structure cater for: (CAR (1). - Maintenance Control - Planning of Maintenance - General Administration (Finance and Purchasing) 9. Is the approved statement of compliance available? Carry out a general cursory review of the document. 10. Does the Organisation have an approved, up to date amended Manual of Procedures (or a supplement with an equivalent document for a foreign organisation) and is it approved by the Director of Civil Aviation? (CAR ) 11. Has the organisation established and documented a quality Assurance system for the control and supervision of all maintenance activities? (CAR ) 12. Are key personnel aware of their responsibilities as stipulated in the organisations manual of procedure (or a supplement with an equivalent document for a foreign organisation)? Check for documented proof i.e. Job Descriptions, acknowledgement, undertaking, memo etc.(sa-cats ) 13. Has the organisation employed or contracted adequate personnel to plan, perform, supervise inspect and certify all maintenance undertaken by the organisation. (CAR (1)(c)) 14. Is there full and efficient co-ordination between departments and within departments in respect of airworthiness matters? S: CA MARCH 2017 Page 3 of 19

4 B. MANUAL OF PROCEDURE (or equivalent for a foreign approval) 1. Are additional procedures referenced in the manual of procedure available? (CAR ) (SA-CATS-AMO (3)) 2. If the MOP was revised during the year (from the last oversight period), does it still have: - All the required content; - Document control. Is it still coherent and reflect the latest and greatest reflection of the Organization; - 3. CAR , provides that the following information be included in the manual: 1. a statement signed by the accountable executive confirming that the manual defines the organization s procedures and associated personnel responsibilities and will be complied with at all times; 2. a general description of the scope of work authorized under the organization s terms of approval; 3. a description of the organization s procedures and quality or inspection system; 4. a general description of the organization s facilities; 5. names and duties of the person or persons required by Law; 6. a description of the procedures used to establish the competence of maintenance personnel; 7. a description of the method used for the completion and retention of the maintenance records; 8. a description of the procedure for preparing the maintenance release and the circumstances under which the release is to be signed; 9. the personnel authorized to sign the maintenance release and the scope of their authorization; 10. a description, when applicable, of the additional procedures for complying with an operator s maintenance procedures and requirements; 11. a description of the procedures for complying with the service information reporting including SDR and SMS; 12. a description of the procedure for receiving, assessing, amending and distributing within the maintenance organization all necessary airworthiness data from the type certificate holder or type design organization; and. 13. liaison or contractual arrangements with other organizations which provide services associated with the approval (Special processes such as NDT, Welding) 4. Are measures taken to ensure that the contents of the manual is understood, implemented and complied with at all levels? (SA-CATS (3)) 5. Is the MOP clear and concise? 6. Is there an effective control of the MOP, record of amendments and the approval thereof, and the record of distribution of the MOP? (SA-CAR ) N/A Y N A U CA MARCH 2017 Page 4 of 19

5 7. Do staff members have ready access to the MOP and all other documents issued by the Director? (CAR ) 8. Are deviations conducted in accordance with the written procedure? 9. Has the organisation ensured that all notifications regarding significant changes to the organisation have been done in accordance with the MOP? (SA-CATS (a) (ix)) 10. Does the organisation comply with all the procedures as detailed in the Manual of Procedure? (CAR ) 11. Confirm MOP Revision against SACAA records. S: C. SAFETY MANAGEMENT SYSTEM (CAR 140) Please use CA (for Initial certification) or CA (routine renewal) S: N/A Y N A U Please provide an opinion on the maturity of the Safety System, as this is an important element of the Organization. CA MARCH 2017 Page 5 of 19

6 D. QUALITY SYSTEM N/A Y N A U 1. Have all corrective actions relating to previous CAA audit findings been implemented and are there actions taken to prevent recurrence of such non-compliance? (SA-CATS (1) (b)). Follow up on previous audit report to be done. 2. Does the organisation ensure that all personnel holding company authorisation to sign on behalf of the organisation certificates relating to maintenance and/or release certificates, are qualified? (CAR ). 3. Does the organisation have an internal quality audit plan? 4. Does the audit plan cover all areas of the organisations activities including personnel within a period of 12 months? 5. Can the organisation show evidence of any internal audits conducted as per the audit plan? (SA-CATS (2)(a)) Review the company records to verify compliance and effectiveness of the QA system! 6. Is every non-compliance investigated, corrected and are measures put in place to prevent recurrence of such noncompliance? (SA-CATS (1)(b)) 7. Is there evidence of management review of quality indicators such as audit reports and customer complaints to ensure that safety concerns are brought to the attention of management? (SA-CATS item 1(2)(d)) 8. Are appropriate actions decided at management reviews, documented and implemented to ensure compliance to airworthiness requirements? (SA-CATS item 1(2)(d)) 9. Are quality indicators reviewed by Management? (CATS (1)(c) 10. Are the auditors suitably qualified as per the quality assurance system? (SA-CATS (2)(h)). Review training & qualification records. 11. Interview few employees, and respond: Is quality understood by the Organization? (CATS (3))( S: Please provide an opinion on the maturity of the Quality System, as this is an important element of the Organization. CA MARCH 2017 Page 6 of 19

7 E. PERSONNEL AND TRAINING N/A Y N A U 1. Has the organisation established & developed a training programme for its maintenance personnel. (CAR (1)) 2. Does the training programme ensure that personnel receive or has received type- or model-specific training in respect of the aircraft or aircraft components for which the organisation has approval? (CAR (2)(a) 3. Does the training programme ensure that personnel receive periodically recurrent training with specific attention to new technologies and maintenance techniques; as prescribed in Document (SA-CATS ?) 4. Has the training programme been implemented effectively? 5. Does the organisation comply with the requirements for authorising/appointing personnel (involved in planning, performing, supervising, inspecting or certifying the maintenance) as stated in the manual of procedures? (CAR and CAR ). 6. Has the organisation established a process for determining and maintaining, the competence of its personnel? (CAR (4)) 7. Are personnel in technical departments of sufficient numbers and experience to plan, perform, supervise and inspect the work and have they been given the appropriate authority? (CAR ) 8. Are all records kept as per the MOP requirements? Review the personnel records for compliance with requirements. (CAR ) 9. Do the records comply? 10. Are all the ratings supported by qualified AMEs? (Check ratings on AMO license and capability list) S: CA MARCH 2017 Page 7 of 19

8 F. CONTROL OF AIRWORTHINESS DATA (Civil Aviation Regulation ) 1. Is the organisation enrolled to receive amendments for all airworthiness data required to support its approvals? 2. If the organisation depends on customer or other sources for airworthiness data, is this arrangement effective? 3. Does the organisation hold the latest documentation? (Check documentation holding list with manufacturer s revision status list) 4. Is there evidence that the amendments are received, are up to date and are correctly embodied? (Check library documents with the documentation holding list and method of embodiment.) 5. Is the further distribution of documents by the library satisfactory (where applicable)? 6. Is the information (amendments) brought to the attention of the persons who need to use it? 7. Does the organisation have a complete set of ADs affecting the products supported and do the personnel know how to use this information? S: N/A Y N A U CA MARCH 2017 Page 8 of 19

9 G. TOOLS AND EQUIPMENT N/A Y N A U 1. Do the personnel comply with the procedures described in the manual for the use of special tools and equipment? (SA-CATS ) 2. Does the organisation have the necessary equipment to support its ratings (capability)? (CAR (a)) 3. Is an up to date inventory of tools and equipment available? 4. Are the tools and equipment marked to identify ownership? 5. Is there a system for the control of tools and equipment and is this system effective? (CAR ) 6. Do the personnel follow the established procedure to control serviceability? Tool calibration and other equipment, is it at a frequency and to a standard to ensure serviceability, accuracy and traceable to National Standards, or other comparable standards? None calibrated tools, is there a mechanism designed to assured continued serviceability of these tools (stands, slings, etc) Are these process effective? (CAR (b) / (SA-CATS ) 7. Are calibration records and verification standards kept for at least five years? (CAR ) 8. Is the method of controlling hand tools (whether personally owned or issued by the organisation) acceptable? (CAR (b)) S: CA MARCH 2017 Page 9 of 19

10 H. HANGAR(please review in conjunction with the facilities section of this checklist) 1. Is the controlling Manual available and accessible by every person who needs access? 2. Is the hangar kept neat and clean? 3. Are the personnel operating within their approval? (Check some personal authorisations) 4. Is the maintenance documentation (inspection sheets) available at the work station and in use? (Filled in as work progresses?) 5. Is the appropriate airworthiness data (Maintenance manuals, ADs, SBs or other approved data) available at work station? (Check revision status against library holding) 6. Is the method of controlling copied documents acceptable? 7. Is measuring equipment within calibration? (Check some of equipment in hangar) 8. Are items removed from aircraft properly identified with respect to source and status? 9. Are items removed from aircraft properly stored? 10. Have replacement spares been inspected and are these traceable to source? 11. Are tools properly controlled (check company tools & personal tools)? 12. In respect of specialised equipment: 12.1 Are operating instructions available? 12.2 Are personnel trained to use this equipment? Is there a system for the maintenance of hangar equipment 13. in operation and is it effective (check the following where applicable)? 13.1 Fire fighting equipment 13.2 Pressure equipment 13.4 Overhead cranes and slings 13.4 Aircraft jacks 14. Are the safety measures in the hangar adequate (check where applicable)? 14.1 Personal safety equipment Is the working environment within the Hangar conducive to 14.2 satisfactory personnel performance? (e.g. Are personnel protected from environmental elements that may have negative human performance effects?) 14.3 Docking equipment and stand 14.4 Specialised equipment used in this section S: N/A Y N A U CA MARCH 2017 Page 10 of 19

11 I. WORKSHOP (please review in conjunction with the facilities section of this checklist) Name/Type of workshop 1. Is the controlling Manual available and accessible by every person who needs access? 2. Is the workshop kept neat and clean? 3. Are the personnel operating within their approval? (Check some personal authorisations) 4. Is the maintenance documentation (inspection sheets) available at the work station and in use? (Filled in as work progresses?) 5. Is the appropriate airworthiness data, where applicable, (Maintenance manuals, ADs, SBs or other approved data) available? (Check revision status against library holding) 6. Is the method of controlling copied documents acceptable? 7. Is measuring equipment within calibration? (Check some equipment in workshop) 8. Is the inspection status of the work piece properly identified? 9. Have replacement spares been inspected and are these traceable to source? 10. Are tools properly controlled? (Check company tools and personal tools) 11. Is every test bench within calibration (where applicable)? 12. Are operating instructions available? 13. Are personnel trained to use this equipment? 14. Is there a system for the maintenance of workshop equipment in operation and is it effective? Check the following where applicable: 14.1 Fire fighting equipment 14.2 Specialised equipment used in this workshop 15. Are the safety measures in the workshop adequate? Check where applicable: 15.1 Personal safety equipment 15.2 Is the working environment within the workshop area conducive to satisfactory personnel performance? (e.g. Are personnel protected from environmental elements that may have negative human performance effects?) 15.3 Specialised equipment used in this workshop S: N/A Y N A U CA MARCH 2017 Page 11 of 19

12 J. PURCHASING AND STORES (Civil Aviation Regulations (e) and (f)) read together with SA-CATS ) (please review in conjunction with the facilities section of this checklist) 1. Does the organisation purchase only from reputable suppliers (approved supplier list) (check purchasing records)? 2. If a system for supplier control has been implemented, does the organisation comply with own procedures? 3. Does incoming inspection take place in accordance with own procedures? 4. Is evidence of incoming inspection recorded? 5. Is a traceability number allocated and recorded? 6. Is access to the stores controlled? 7. Are parts in the store correctly identified (check match between part no, bin identification, stores inventory)? 8. Can traceability be established for all items stored (check trace-ability numbers availability, different batches being separated)? (Trace some items in stores to their delivery documentation) 9. Are all lifted items controlled by expiry date and on a first in first out system? 10. Is the storage of rubber products acceptable? (Check packaging, environment control, rotation of tires) 11. If items are returned to the store, is the control system adequate? 12. Is the control of U/S and repairable items acceptable? 13. Is the storage of flammable goods acceptable? S: N/A Y N A U CA MARCH 2017 Page 12 of 19

13 K. PROCESS CONTROL AND MAINTENANCE RECORDS 1. Does the organisation limit itself to the approved scope of work? (SA-CATS (a)(viii))) 2. Has the organisation established capability lists for work on categories B, D (other than complete engines) and X? 3. Does the organisation comply with all the procedures for completion of records? (CAR (b)) 4. Can all work performed be traced to the person doing the work? 5. Does the system allow for an Inspector to counter sign upon completion of the work performed? 6. Is reference to the manuals used entered on all maintenance work sheets? 7. Is there a system to ensure ADs and SBs compliance? 8. Is this system used and effective? 9. Are recurrent ADs tracked? 10. Is there, where required, a method of tracking life limited parts on products? 11. Is this method effective? 12. Are the inspection checklists used in compliance with requirements? 13. Are checklists completed in compliance with the requirements? 14. Review some of the log books available at the AMO. Are these log books filled in completely and correctly? 15. Review some of the CRMA s issued during the past year. Do these meet with requirements? 16. Are maintenance records kept for a period of five year? (CAR (2)(c)) 17. If an electronic system is utilized to keep record, does it have a backup and recovery mechanism? 18. If an electronic system is utilized, review processes around data recovery and storage. S: N/A Y N A U CA MARCH 2017 Page 13 of 19

14 L. SPECIAL PROCESSES N/A Y N A U 1. Does the organisation apply any of the following special processes: 1.1 NDT (Use Checklist CA ) 1.2 Welding 1.3 Heat Treatment 1.4 Plating 1.5 Shot Peening 1.6 Plasma Spray 2. IF YES: Are the procedures for applying specialised activities 2.1 documented in the manual of procedures? (SA-CATS (2)(j), 2.2 Are the quality control requirements for the specialised activities documented? 3. Are the quality control requirements implemented, i.e.: 3.1 periodic checks and recording thereof 3.2 safety precautions 3.3 training of personnel, etc 3.4 Processes in agreement with national standards Review the last internal quality assurance audit, and 4 confirm if all findings and required improvements have been implemented and closed S: CA MARCH 2017 Page 14 of 19

15 M. ACCOMMODATION & FACILITIES N/A Y N A U Does the organisation have adequate accommodation and 1. facilities? (CAR (a)) Facilities should be available and appropriate to the scope of work 2. performed as stated on the AMO approval certificate Is there suitable accommodation for the proper storage, segregation and protection of the products, parts or appliances concerned and for the materials and supplies to be used and is 3. this documented in the manual of procedures? (CAR ) - Does the stores area have adequate ventilation and fire protection (aligned to the requirements of stored parts, such as rubber)? These should be adequately lighted, provide protection from adverse 4. weather conditions and capable of enclosing the largest aircraft which the AMO is rated for Specialized workshops should be segregated to ensure that 5. environmental or work area contamination is unlikely to occur. Because aircraft maintenance is document intensive, adequate office facilities should be available for personnel and particularly those 6. engaged in the management of quality, planning and technical records. Does the organisation comply with the standard of cleanliness 7. to be maintained at each maintenance facility? (SA-CATS (b)) Does the organization provide reasonable security on its 8. facilities? (TGM Facility Inspection) Does the organization provide a designated area to Aircraft Maintenance Staff to study maintenance instructions and to 9. complete records in a proper manner? (TGM Facility Inspection) Facilities do not have to be the property of the AMO, they could be 10. available by contract arrangements but the certificate holder has to demonstrate that he has necessary access via contractual agreement S: CA MARCH 2017 Page 15 of 19

16 GENERAL S: CA MARCH 2017 Page 16 of 19

17 AUDIT DEBRIEF Note: The audit debriefing is based on the outcome of the audit that will be detailed on the preliminary audit report issued at the conclusion of this audit. The final audit report will follow. I the undersigned, hereby certify that I was debriefed on the inspection/audit, have read and accept*/do not accept* the findings and observations of the airworthiness inspector/s and have received a copy of the preliminary report. *Delete which is not applicable SIGNATURE OF AMO REPRESENTATIVE NAME IN BLOCK LETTERS DATE SIGNATURE OF AIRWORTHINESS INSPECTOR NAME IN BLOCK LETTERS DATE TIME KEEPING Time of arrival at Site Time of departure Less lunch Total Time spent on site Note: Maximum allowance for lunch: 45 minutes INVOICING DATA Pre-audit preparation Time spent on site Audit report preparation Post audit activities Miscellaneous(Specify) Other TOTAL Note: Travel Time (Not to be invoiced) AUDITOR S FEED-BACK 1. Were the audit arrangements acceptable? YES NO Suggestions 2. Was adequate time allowed for the audit? YES NO CA MARCH 2017 Page 17 of 19

18 Suggestions: In the case of an overseas visit, was contact established with the local 3. authority? If YES, what useful information was gained? YES NO 4. Has any information been gathered that should be shared with your colleagues? YES NO 5. Has any action item been identified for follow up by the auditor? YES NO 6. Notes for next year s audit team: CA MARCH 2017 Page 18 of 19

19 ATTENDANCE REGISTER PURPOSE OF MEETING AUDIT TEAM LEADER DATE ATTENDEE INITIALS & SURNAME SECTION / DEPARTMENT TELEPHONE S Office Number Cellular Number ADDRESS Opening meeting SIGNATURE Closing meeting CA MARCH 2017 Page 19 of 19