Table Of ContentThe Art of Safety
Auditing
A Tutorial for Regulators
The Art of Safety
Auditing
A Tutorial for Regulators
Sasho Andonov
CRC Press
Taylor & Francis Group
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Contents
Acronyms and Abbreviations .............................................................................ix
Definitions of the Terms Used..............................................................................xi
Preface .....................................................................................................................xv
Author ...................................................................................................................xix
1 Introduction .....................................................................................................1
1.1 Who Can Benefit from This Book? .....................................................1
1.2 General Explanation Regarding the Book .........................................2
1.3 Axioms ....................................................................................................4
2 Clarifications of General Terms ..................................................................7
2.1 Introduction ...........................................................................................7
2.2 Management and Engineering ...........................................................7
2.3 Hazard, Threat, and Risk .....................................................................8
2.4 Two Types of Safety ..............................................................................9
2.5 Quality versus Safety .........................................................................10
2.6 Safety versus Security ........................................................................14
2.7 Oversight versus Audit ......................................................................14
2.8 Inspection versus Audit .....................................................................15
2.9 Compliance versus Conformance .....................................................16
2.10 What Is a Management System? .......................................................17
2.11 Establishing a Management System .................................................18
2.12 Understanding Procedures ................................................................19
2.13 Records .................................................................................................20
2.14 AMC ......................................................................................................22
2.15 Validation versus Verification ...........................................................23
2.16 Safety Case ...........................................................................................24
2.17 Human Factors (HF) ...........................................................................25
2.18 Mistake versus Error ..........................................................................26
2.19 Just Culture ..........................................................................................27
3 Regulation ......................................................................................................31
3.1 Introduction .........................................................................................31
3.2 How to Pass a Regulation? .................................................................31
3.3 Accreditation, Certification, Licensing, Attestation, Approval ........34
3.4 Standards versus Recommendations ...............................................38
3.5 Regulation and Regulators ................................................................39
3.6 “Grey Area” of Regulation .................................................................40
3.7 Regulation and Auditors ....................................................................41
3.8 Post-holder............................................................................................42
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3.9 “Personality” of Regulators ...............................................................44
3.10 Who to “Blame” If There Is Non-Compliance? ..............................47
4 Types of Audits .............................................................................................51
4.1 Introduction .........................................................................................51
4.2 Internal Audits ....................................................................................51
4.3 External Audits ....................................................................................56
4.3.1 Second Party Audits ..............................................................56
4.3.2 Third Party Audits .................................................................57
4.3.2.1 Categories of Third Party Audits .........................58
4.4 Frequency of Audits ...........................................................................60
5 Companies and Audits ................................................................................63
5.1 Introduction .........................................................................................63
5.2 “Personality” of the Company ..........................................................64
5.3 Understanding the Audit of the Company .....................................67
5.3.1 What Is the Purpose of the Audit? ......................................67
5.3.2 How the Companies Are Reacting to Audits ....................69
6 Check Lists (CLs) ..........................................................................................73
6.1 Introduction .........................................................................................73
6.2 Two Types of Check Lists ...................................................................75
6.2.1 Target Check Lists ..................................................................75
6.2.2 Audit Check List ....................................................................78
6.3 What to Do with Filled Audit CLs? ..................................................82
6.4 Compliance and Non-Compliance ...................................................83
6.5 Audit Software ....................................................................................86
7 Management of Findings ............................................................................89
7.1 Introduction .........................................................................................89
7.2 Findings ................................................................................................89
7.3 Objective Evidence ..............................................................................90
7.4 Type of Findings ..................................................................................93
7.5 How to Present the Findings? ...........................................................96
7.6 What Is Next? .......................................................................................97
8 Preparation for Audit ...................................................................................99
8.1 Introduction .........................................................................................99
8.2 Schedule of Audits ............................................................................101
8.3 Establishing the Audit Team ...........................................................102
8.4 Organizing the Approval Audit .....................................................103
8.4.1 Documentation Audit .........................................................104
8.4.2 Preparing On-Site Audit .....................................................106
8.4.3 Executing On-Site Audit .....................................................109
Contents vii
8.5 Sampling.............................................................................................110
8.5.1 How to Choose a Sample? ..................................................112
8.5.2 How to Use Sampling in Audits? ......................................114
9 Conducting the Audit ................................................................................117
9.1 Introduction .......................................................................................117
9.2 How to Do Auditing? .......................................................................117
9.2.1 Auditing Documentation ....................................................117
9.2.2 Auditing Equipment ............................................................119
9.2.3 Auditing Employees’ Qualifications .................................121
9.2.4 Auditing Safety Policy ........................................................122
9.2.5 Auditing Safety Objectives .................................................126
9.2.6 Auditing Procedures ...........................................................128
9.2.7 Auditing Records .................................................................131
9.2.8 Auditing Preventive and Corrective Maintenance .........134
9.2.9 Auditing Preventive and Corrective Actions ..................136
9.2.10 Auditing Management of Change .....................................137
9.2.11 Auditing Alarm Systems ....................................................139
9.2.12 Auditing “Chronology of Events” .....................................141
9.2.13 Auditing Human Factors (HF) ...........................................143
9.2.14 Auditing Process of Monitoring of SMS ...........................144
9.2.15 Auditing Training in the Company ..................................145
9.2.16 Auditing Handling, Storage, and Shipping .....................146
9.2.17 Auditing Internal Audits ....................................................147
9.2.18 Auditing Outsourcing and Partner Companies ..............148
9.3 Final Report .......................................................................................149
9.4 What Next? .........................................................................................152
9.5 The Regulator and the Outcomes from the Audits ......................152
10 “Challenges” for the Auditor during Audits ........................................155
10.1 Introduction .......................................................................................155
10.2 Time Gap ............................................................................................155
10.3 Not Following the Audit Schedule .................................................158
10.4 Company Does Not Allow Access to Some Premises .................158
10.5 Company Is Lying .............................................................................159
10.6 Auditor Found Something Which Is Not in Target CLs .............160
10.7 There Is Not Enough Staff in Company to Maintain
Safe Operations .................................................................................161
11 Profile of the Auditor .................................................................................165
11.1 Introduction .......................................................................................165
11.2 What Is Important for the Auditor? ...............................................166
11.3 Yearly Assessment of Auditors .......................................................167
11.4 Improvements of Auditors ...............................................................169
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11.5 Things for Which a Good Auditor Must Take Care ....................169
11.6 Qualities of Auditor ..........................................................................171
11.6.1 Training in Audits ...............................................................172
11.6.2 Time Management ...............................................................172
11.6.3 Honesty .................................................................................173
11.6.4 Independence .......................................................................174
11.6.5 Impartiality ...........................................................................174
11.6.6 Communication ....................................................................175
11.6.7 Flexibility ..............................................................................176
11.6.8 Trustworthiness ...................................................................177
11.6.9 Decisiveness ..........................................................................178
11.6.10 Analytical and Understanding ..........................................178
11.6.11 Persistence .............................................................................178
11.6.12 Trust in the Instincts ...........................................................179
11.6.13 Commitment and Determination ......................................179
11.6.14 Professionalism ....................................................................180
11.6.15 Team Work ............................................................................180
11.7 The Most Important Thing! .............................................................181
Final Words ........................................................................................................185
Appendix: Axioms .............................................................................................187
Index .....................................................................................................................189
Acronyms and Abbreviations
ADP Automatic Data Processing
AIS Aeronautical Information Services
AMC Acceptable Means of Compliance or Alternative Means of
Compliance
ANSP Air Navigation Service Provider
ATC Air Traffic Control
ATCo Air Traffic Controller
BP British Petroleum
CAA Civil Aviation Agency
CLs Check Lists
CNS Communication, Navigation, Surveillance
COM Communication
DFS Deutsche Flugsicherung
DGCA Directorate General of Civil Aviation
DME Distance Measuring Equipment
EASA European Aviation Safety Agency
FAA Federal Aviation Administration
FMS Financial Management System
GCAA General Civil Aviation Authority
GP Glide Path
HF Human Factors
HSE Health, Safety, and Environment
IAEA International Atomic Energy Agency
IANS Institute of Air Navigation Services
IATA International Air Transport Association
ICAO International Civil Aviation Organization
IT Information Technology
ISO International Organization for Standardization
LLZ Localizer
LMS Logistic Management System
MET Meteorological Services (in aviation)
MRO Maintenance, Repair, and Overhaul (Maintenance and Repair
Organization)
MTBF Mean Time Between Faults (Failure)
MTC Military Technological College
MTTR Mean Time To Repair
NAVAIDs Navigational Aids
NTSB National Transportation Safety Board
QMS Quality Management System
PMS Production Management System
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