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1. For ATS centres, the organization should develop an organization-wide safety audit plan. This safety audit plan should be revised
annually and should provide for all units or sections to be audited at regular intervals. Typically, this would be every two to three
years.
2. For audits of ATS units, these criteria should include those items listed in Section 2.5 of the PANS-ATM (Doc 4444) which are
relevant to the unit or section being audited.
14-2 Safety Management Manual (SMM)
Checklists may be used to identify what is to be reviewed during the audit in sufficient detail in order to
ensure that all intended tasks and functions are covered. The extent and elaboration of the checklists will
depend on the size and complexity of the organization being audited.
14.2.5 For an audit to be successful, the cooperation of the personnel of the unit or section concerned
is essential. The safety audit programme should be based on the following principles:
a) It must never appear to be a “witch hunt”. The objective is to gain knowledge. Any suggestions of
blame or punishment will be counterproductive.
b) The auditee should make all relevant documentation available to the auditors and arrange for staff
to be available for interview as required.
c) Facts should be examined in an objective manner.
d) A written audit report describing the findings and recommendations should be presented to the unit
or section within a specified period.
e) The staff of the unit or section, as well as the management, should be provided with feedback
concerning the findings of the audit.
f) Positive feedback should be provided by highlighting in the report the good points observed during
the audit.
g) While deficiencies must be identified, negative criticism should be avoided as much as possible.
h) The need to develop a plan to resolve deficiencies should be required.
14.2.6 Following an audit, a monitoring mechanism may be implemented to verify the effectiveness of
any necessary corrective actions. Follow-up audits should concentrate on aspects of the operations where
the need for corrective action was identified. Audits to follow up previous safety audits where corrective
action was proposed or because an undesirable trend in safety performance was identified cannot always
be scheduled in advance. The overall annual audit programme should make allowance for such
unscheduled audits.
14.2.7 Figure 14-1 illustrates the safety audit process diagrammatically. The procedures involved in
each step of the safety audit process are discussed in more detail later in this chapter.
14.3 THE SAFETY AUDIT TEAM
14.3.1 Safety audits may be undertaken by a single individual or a team, depending on the scale of the
audit. Depending on the size of the organization and the availability of resources, experienced and trained
individuals within the organization may perform safety audits or they may assist external auditors. The staff
selected to conduct an audit should have practical experience in disciplines relevant to the area to be
audited, a good knowledge of the relevant regulatory requirements and the organization’s SMS, and they
should have been trained in auditing procedures and techniques. An audit team comprises an audit team
leader and one or more auditors.
14.3.2 Those chosen to undertake an audit must be credible to those being audited. In short, they
must be qualified and trained for the audit function in the appropriate areas of expertise. As much as
Chapter 14. Safety Auditing 14-3
Figure 14-1. The safety audit process
possible, the audit team members should be independent of the area being audited. Wherever practical and
having regard to the size of the organization, these functions should be undertaken by persons who are not
responsible for, and have not been involved in, the design or performance of the tasks and functions being
audited. In this way, the evaluation is neutral and independent from the operational aspects of the
organization. It is also preferable that the audit team not be composed exclusively of management level
staff. This can help to ensure that the audit will not be viewed as threatening. Staff with current operational
experience may also be better at identifying possible problems. A specialist from outside the audit authority
may be required to participate in the audit.
The role of the audit team leader
14.3.3 An audit team leader should be appointed if more than one auditor is involved. The audit team
leader is responsible for the overall conduct of the audit. In addition, the audit team leader undertakes some
of the general tasks of an auditor (described in 14.3.4). The audit team leader must be an effective
communicator and must be able to earn the trust of the organization being audited.
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