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14.5.18 The key principles to be observed in the development of the audit report are:
a) consistency of observations and recommendations in the closing meeting, interim audit report and
final audit report;
b) conclusions substantiated with references;
c) observations and recommendations stated clearly and concisely;
d) avoidance of generalities and vague observations;
e) objective presentation of the observations;
f) use of widely accepted aviation terminology, avoiding acronyms and jargon; and
g) avoidance of criticism of individuals or positions.
14.5.19 An outline of a typical audit report is provided in Table 14-2.
14.6 AUDIT FOLLOW-UP
14.6.1 Audit follow-up involves the management of change. Upon receipt of the final audit report,
management must ensure that progress is made to reduce or eliminate the attendant risks. The primary
purpose of an audit follow-up is to verify the effective implementation of the corrective action plan. Follow-up
is also required to ensure that any action taken pursuant to the audit does not in any way degrade safety. In
other words, new hazards with potentially higher risks must not be allowed to enter the system as a
consequence of the audit.
14.6.2 Failure by the auditor to follow up on lapses in implementing necessary (and agreed) safety
actions will compromise the validity of the entire safety audit process. Follow-up action may be effected
through monitoring the status of implementation of accepted corrective action plans or through follow-up
audit visits. Where a follow-up visit has been made, a further report of this visit should be prepared. This
report should clearly indicate the current status of the implementation of the agreed corrective actions. If any
non-compliance, deficiency or safety shortcoming remains unresolved, the audit team leader should
highlight this in the follow-up report.
14.7 ISO QUALITY STANDARDS
Many aviation organizations have been certified under the International Organization for Standardization
(ISO) standards for products and services (usually the ISO 9000 series of standards relating to quality
management). As part of the ISO certification process, organizations are subjected to stringent initial and
ongoing quality audits conducted by an independent auditing organization.
Chapter 14. Safety Auditing 14-9
Table 14-2. Example of the contents of an audit report
CONTENTS OF AN AUDIT REPORT
INTRODUCTION
[This section should identify the audit, of which this report is the formal documentation,
and introduce the different chapters included in the report.]
LIST OF REFERENCED DOCUMENTS
[This section should outline all documents that were used during the audit.]
BACKGROUND
[This section should describe the reason for the audit. This could be a regular
audit, or there could be a specific reason for the audit (e.g. safety risk identified or
safety incident observed).]
PURPOSE
[This section should state the objective and scope of the audit as described in the
audit plan. Any event during the audit that led to problems in fulfilling the objective
should be described.]
STAFFING
[This section should list the personnel included in the audit.]
OBSERVATIONS
[This section should describe the observations of the audit team in general terms.
Both good points and points of concern should be covered. The details concerning
the observations should be attached as observation sheets, including the
agreed corrective actions.]
GENERAL CONCLUSION
[This section should present the general conclusions of the audit. It should not
only focus on problems but highlight good points as well.]
ATTACHMENTS
[All observation sheets and associated corrective action sheets should be
attached to the audit report.]
_______________________
15-1
Chapter 15
PRACTICAL CONSIDERATIONS FOR
OPERATING A SAFETY MANAGEMENT SYSTEM
15.1 INTRODUCTION
Beyond the theoretical and conceptual considerations for establishing a safety management system (SMS),
a number of practical considerations need to be addressed. This chapter discusses some of them.
15.2 THE SAFETY OFFICE
15.2.1 In most States, there is no regulatory requirement for an operator to appoint a safety manager
(SM). However, many medium- to large-sized operators choose to employ an SM and provide a safety
office. The safety office serves as a focal point for safety-related activities, acts as a repository for safety
reports and information, and provides expertise on safety management to line managers. Just as aircraft
operators benefit from the creation of a dedicated safety office, major aviation service providers (such as
ATC, aerodromes and aircraft maintenance organizations) would benefit from a similar office.
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