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Section/division: Flight Operations Form Number: CA 121-18a

Telephone number: 011-545-1000 Fax Number: 011-545-1350


Physical address: Ikhaya Lokundiza, 16 Treur Close, Waterfall Park, Bekker Street, Midrand, Gauteng
Postal address: Private Bag X73, Halfway House 1685 Website: www.caa.co.za

AUDIT & INSPECTION CHECKLIST:


LARGE OPERATORS (PART 121)

Name of operator

Physical address

Postal code

Postal address

Postal code

Telephone number Fax number

Cell phone number E-mail address

Audit team

Base of operations

Class and type of licences

Date application received Operations number

Date of last audit

Date of this audit

Date AOC issued

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NOTES:

INSPECTION AND AUDIT FUNCTIONS

CAA inspection and audit functions confirm for CAA that an operator 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 companys operation.
This is when sampling principles apply.
Inspection and audit checklists have been developed to provide a systematic approach to the inspection of an
operators 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 operator 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


The feasibility of the audit dates and time-periods with consideration given to availability of inspectors and the
operator.
The allocation of time for pre-audit/inspection activities.
Team member travel requirements.
The compiling of the required documentation.
The contents of the operators ops manual and file should be studied for background knowledge and to detect
any shortcomings/anomalies.

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.

ENTRY MEETING
An entry meeting must be held. It is important in that it establishes communications between the Operators- and
CAAs audit teams. (See appendix for an agenda).

AUDIT FINDINGS
Audit findings are the foundation of the audit report so it is important that they be completed in accordance with
the requirements.

CLOSING MEETING
The closing meeting is conducted to ensure that the Operators senior management have been fully debriefed on
the results of the audit.

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CAR Ref Not Note
REQUIREMENTS Applicable
Yes No
Number
GENERAL
What was the purpose of the previous audit?
Was there an audit follow-up required and was it
completed?
Are there any outstanding audit findings?
Have they been attended to?
Have there been any changes in the Operators Post
Holders, scope, size, aircraft and type of service since the
previous audit?
What are the implications?
INSPECTION PROCESS
Where questions do not have definitive yes/no or n/a
answers, the operator is to provide the inspector with
satisfactory evidence of compliance
ORGANIZATIONAL STRUCTURE
Nominated Post Holders:
Chief Executive Officer:
Responsible Person Flight Operations:
Responsible Person Flight Crew Training:
Responsible Person Safety:
Responsible Person Aircraft:
Responsible Person Ground Operations:
Responsible Person Quality:
Responsible Person Security/Emergency:
Are their Responsibilities and functions defined and
formalised?
121.04.2 MANAGEMENT
Is there a formal management system in place?
Is there a description and Organogram?
Contained in the Ops manual?
Has senior management ensured that duties,
responsibilities and authorities are defined, documented and
communicated within the organisation?
In the case of Quality Assurance, Safety Management and
Emergency Response, is there a clear delineation of
functional tasks and lines of reporting established and
functioning?
Is effective succession, delegation or deputation of these
responsibilities and others, which are critical to the
operation, made when the principle office holders are
absent?

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REQUIREMENTS Applicable
Yes No
Number
Does senior management formally and actively commit to the
development and implementation of a company safety and quality
policy as a top priority?
Are safety and quality objectives included in the description of
duties and responsibilities of senior management?
Confirm Management Plan as per Operations Manual
Is any function of the organisation that affects safety or quality
outcomes, outsourced?
If so, is control thereof identified within the management system?
Does the organisation still ensure effective safety and quality
control over such functions?
How?
Does senior management continually monitor and strive to improve
the company safety and quality policy effectiveness?
How?
Do they communicate the importance of meeting statutory and
regulatory requirements?
How?
Do they ensure that safety and quality objectives are understood
and maintained by all personnel?
Are periodic management safety- and quality reviews conducted?
Where are they documented?
Does the Company clearly communicate to all employees its
vision, mission, goals and objectives?
How?
Does the company support effective feedback mechanisms to
monitor its performance?
How?
Do they ensure the availability of adequate resources?
(Documentary or other formal evidence of above to be provided by
the Operator)
Does management liaise with external parties such as CAA on
matters relating to the organisation safety- and quality system?
Do they review the management system at regular, planned
intervals to ensure its suitability, adequacy and effectiveness?
Where is this specified and how is the process controlled and
formalised?
Does this review include assessing opportunities for improvement
and the need for changes to the management system, including
safety and quality policies and objectives?
Do inputs to the management review include:
Results of audits;
Safety and quality issues/outcomes;
Operational feedback;
Changes in regulatory policy or CAA legislation;

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CAR Ref Not Note
REQUIREMENTS Applicable
Yes No
Number
Status of corrective and preventative actions;
Follow up actions from previous management reviews and
Changes that could affect the management system and
recommendations for its improvement?
Documentary or other formal evidence of above to be
provided by the Operator
DOCUMENTATION- AND RECORDS
MANAGEMENT
Does the Management system documentation include:
An Organisation manual containing the organisational
scope, structure, safety and quality policies and objectives
including a description of management personnel and their
respective duties and responsibilities?
Operations and Training manuals required by CAA?
Policy and Procedural manuals required to ensure the
effective planning, operation and control of its quality
processes?
Records required by CAA and ISO standards?
The organisation shall maintain the validity of its
documentation ensuring they are reviewed, amended and
updated as required.
Documents shall also remain legible, readily identifiable and
retrievable.
Is this process controlled to ensure the above takes place?
How?
121.04.2/
FLIGHT SAFETY MANAGEMENT
AIC 30.14
Is there a Safety management system?
Is there a Safety Manager, with significant authority, and
who has sufficient flying knowledge and experience, to be
responsible for the accident prevention and flight safety
programme?
Is the Safety Manager independent from line- and
operational management activities and reporting directly to
the CEO/Accountable manager?
Confirm
Is there a control/feedback system enabling Safety- and
Quality related concerns to be addressed to Senior
management and to ensure corrective and preventive
actions are carried out as necessary?
What form does it take?
e.g. Are minutes/records of Safety and other related
meetings kept specifying persons responsible, action
required, action taken, return dates and feedback to Senior
management, etc?
Are these minutes distributed to the appropriate persons?
How is this process controlled?
Is there a documented accident prevention and flight safety
programme?

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REQUIREMENTS Applicable
Yes No
Number
Where?
Is there a system for the investigation and reporting of
aircraft accidents or incidents?
Where?
Is a close relationship with the aircraft manufacturer
maintained?
Is there a system to ensure the capture of all occurrences
affecting flight safety?
Where and how?
Is there a system for the conduct of internal investigations
in response to flight safety occurrences?
Where?
(Could be addressed in Quality)
Do these investigations include findings and
actions/recommendations and a suggested process for
implementing any corrective or preventive remedial
actions by managers responsible?
What form does it take and how is this process controlled?
Is there periodic dissemination of flight safety related info
for the continuing education of personnel?
How is this done?
Is there a risk assessment methodology to establish risk
trends, confirm adherence to SOPs and to establish the
effectiveness of flight crew training, etc? E.g. The effective
analysis of flight data (Flight data recorder monitoring)
Is there a method to effectively utilise confidential human-
factors reporting and feedback for flight- and cabin crew?
What form does it take?
QUALITY ASSURANCE AND AUDIT
CATS ORGANIZATIONAL STRUCTURE
121.04.2&
AIC Is there a Quality Assurance system and associated policy
18.28. statement?
OPS
MANUAL
Is there a Quality Assurance program?
Has AIC 18.28/CATS, with emphasis on par (7), been
used as basis?
Confirm compliance
Is there a Quality- Manual/Section?
Is there an organogram and a general description of the
Quality System and are management- and control lines
identified?
Is there a Quality Manager, with significant authority and
who has sufficient flying knowledge and experience to be
responsible for the Quality assurance and internal
evaluation or audit programme?

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CAR Ref Not Note
REQUIREMENTS Applicable
Yes No
Number
Confirm
Is the Quality manager suitably qualified?
Is the Quality Manager independent from line- and
operational management activities (preferably not one of
the nominated post holders but could be the CEO if
he/she is not one of the nominated post holders as well)
and reporting directly to the CEO/Accountable manager?
Confirm
Is there a control/feedback system enabling Quality- and
Safety related concerns to be addressed to Senior
management and to ensure corrective and preventive
actions are carried out as necessary?
What form does it take?
e.g. Are minutes/records of Quality and other related
meetings kept specifying persons responsible, action
required, action taken, return dates and feedback to
Senior management, etc?
Are these minutes distributed to the appropriate persons?
How is this process controlled?
If the Quality/Audit function is outsourced, does the
organisation still ensure control over it?
How?
Is the control identified within the management system?
Does the Operator ensure that these external auditors
carry out their responsibilities according to the Operators
requirements and Legislation?
How? (E.g. by means of a formal contract, etc.)
Are they familiar with the Operators type of operation?
In this case, is there a control/feedback system as well,
enabling Quality- and Safety related concerns to be
addressed to the Operators senior management and to
ensure corrective and preventive actions are carried out
promptly if necessary?
What form does it take?
QUALITY AUDITS (QAS)
The purpose of QAs is to confirm that Operator policies,
structures, facilities, resources and procedures remain
relevant to the Operators operation; to ensure
conformance with regulatory and management system
requirements; and identify potentially unsatisfactory
practices or procedures before they cause an accident or
incident.

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REQUIREMENTS Applicable
Yes No
Number
Where is this specified by the Operator?
Is there an audit team either dedicated or otherwise?
Are they independent with no conflict of interest?
Do they have direct line reporting to senior management?
Are Quality Managers (QMs) and auditing functions
independent of Ops and other Line managers?
Does/do the QM/s have direct access to the MDs/CEO?
Do QMs have access to all parts of the organisation?
How is this ensured?
Has an audit-schedule/programme been established?
Where is this recorded?
Does/will the audit scope cover at least the aspects in par
(8) (d) of AIC 18.28/CATS?
Are company wide internal audits conducted including
sub-contracted activities?
Where is it recorded?
Are audit reports submitted to the CEO/Accountable
manager and other relevant managers at the completion
of each audit?
How is this ensured/controlled?
Are actions taken without delay to eliminate detected non-
compliances and ensure corrective and preventive actions
are carried out?
How is this recorded and controlled?
Does the Quality Manager implement reviews and as a
result thereof, is the Quality System continuously
developed and improved?
Where is this recorded?
Does the Quality Manager monitor the Quality System to
ensure its validity/applicability?
How?
Are audit review/monitoring records and reports kept?
Where?
Are the findings of Quality audits noted and are immediate
corrective actions implemented by the appropriate Post
Holders?
Where is this recorded and how is this ensured and
controlled?
Q A PROGRAMMES
Are all employees motivated to work professionally and
according to set standards?
How and where is it recorded?
Does the QA-program reveal if performance needs
improvement or correction?

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REQUIREMENTS Applicable
Yes No
Number
If so, does the implementation of corrective and preventive
action take place?
How and where is it recorded?
Are there follow up activities for the verification of the
actions taken, e.g. corrective and preventive action, and
the reporting of verification results?
How is this done and where is it recorded?
Is there periodic dissemination of Quality related info for
the continuing education of personnel?
How is it done?
QA METHODS USED
QUALITY INSPECTION (QI)
The purpose of QI is to verify whether established Ops
procedures and requirements are followed, typically in the
following areas:
Actual Flight Operations
Ground de-icing/anti-icing
Flight Support Services
Load Control
Maintenance
Technical Standards
Training Standards
Are QIs carried out or planned for in the above areas?
Where is it specified?
Are records kept?
QUALITY INVESTIGATIONS (Q INV)
The purpose of Q INV is to determine the chain of events
and to identify and analyse the prime causes of an
incident (if required).
Are reports submitted to the CEO/Accountable manager
and other relevant managers at the completion of each
investigation?
How is this ensured/controlled?
Is there a formal feedback process and are actions taken
without delay to eliminate detected non-compliances and
ensure corrective and preventive actions are carried out?
How is this recorded and controlled?
QUALITY TRAINING
Do the Post Holders train their personnel in the relevant
parts of the Quality System?
Are training courses for QA- personnel and auditors
planned/carried out for the relevant person/s?
Where is it documented?

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REQUIREMENTS Applicable
Yes No
Number
Does existing training for all employees cover the fact that
the Operator
Operates under SA-CARS 121;
Has a quality system;
Has a Quality Manual, and
Has a Quality Assurance program?
Where is this documented/recorded?
Quality assurance within flight operations
Internal control as part of the quality system
The Reporting System detailed below is aimed at keeping
management and other functions informed about the
performance in the Flt Ops fields. Reports should consist
of the following:
REGULAR PRIMARY REPORTS-FROM FLIGHT CREWS
Operator Flight record
Cabin Crew report
Technical log
Aircraft log
Fuel docket
Arrival/Departure message

Are they made or catered for?


Are these reports distributed to concerned
depts/managers?
Is there a formal feedback process and are actions taken
without delay to eliminate detected non-compliances and
ensure corrective and preventive actions are carried out?
How is this recorded and controlled?
PRIMARY-NON-REGULAR INCIDENT REPORTS
Flight crew and Technical irregularity Report
Bird Strike Report
Flight Safety Report
Captains Flight Record
Cabin Crew Report
Flight Test Report
Are they made or catered for?
Are these reports distributed to concerned
depts/managers?
Is there a formal feedback process and are actions taken
without delay to eliminate detected non-compliances and
ensure corrective and preventive actions are carried out?

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CAR Ref Not Note
REQUIREMENTS Applicable
Yes No
Number
How is this recorded and controlled?
SUPPLEMENTARY REPORTS
(Used when further details are required)
e.g: Analysis Report
Are these reports catered for?
EXTERNAL AUDITING
If external auditing is catered for, is there organisational
control within the Operators management
organisation/system?
Are Code Share partners involved?
Are the results documented?
Is the report distributed to all the applicable managers?
How is this controlled and ensured?
Is there a method of control to ensure that the required
corrective and preventive action takes place?
Where is this documented?
SMALL OPERATORS
(< 20 Full Time Employees)
Do they use a checklist?
Is there a Quality/Audit Manager and system?
If a checklist is being used, does it at least address the
aspects in AIC 18.28/CATS paras (7) and (8) (d)?
Is there an Audit schedule?
Is there a feedback and control system to ensure that
corrective and preventive actions are carried out as
necessary?
Is there a periodic review by top management?
Are records kept?
Is there an occasional independent overview of the
checklist content?
Where is this formalised and controlled?
Whatever arrangements are made, the operator retains
the ultimate responsibility for the Quality system and
especially the completion and follow-up of corrective
actions.
Is there a general description and organogram of the
Emergency Organisation/System?
Where?
Is there an Emergency Manager, with significant authority
and who has sufficient flying knowledge and experience to
be responsible for the effective implementation and
maintenance of an Emergency Response Plan?
Confirm

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CAR Ref Not Note
REQUIREMENTS Applicable
Yes No
Number
EMERGENCY MANAGEMENT
Is the Emergency manager suitably qualified?
Is the Emergency Manager independent from line- and
operational management activities and reporting directly
to the CEO/Accountable manager?
Confirm
Is there a control/feedback system enabling Emergency
related concerns to be addressed to Senior management
and to ensure corrective and preventive actions are
carried out as necessary?
What form does it take?
e.g. Are minutes/records of Emergency and other related
meetings kept specifying persons responsible, action
required, action taken, return dates and feedback to
Senior management, etc?
Are these minutes distributed to the appropriate persons?
How is this process controlled?
Is there a company wide ERP to facilitate the effective
management of accidents and/or serious incidents?
Is there a feedback and associated control system in
place to ensure corrective and preventive actions are
carried out as necessary?
Where is it documented?
Are the individual plans at all the companys operational
locations co-ordinated with the corporate plan?
How and where?
Are the ERPs detailed i.r.o. responsibilities emergency
procedures, outside agencies, comms, humanitarian
assistance and liaison with external agencies?
Where is it documented?
Are accurate manifests of passengers, crew and cargo
maintained? (A y/n is sufficient. These docs will be dealt
with later in the checklist)
Does the ERP ensure a means of communicating with the
public in the event of an accident or major incident?
Is the ERP reviewed at regular, planned intervals to
ensure its suitability, adequacy and effectiveness?
Are there records hereof?
Does this review include assessing opportunities for
improvement and the need for changes to the ERP?
Are the required personnel adequately trained?
How?
Are plans, emergency systems and responses regularly
rehearsed?
How?

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CAR Ref Not Note
REQUIREMENTS Applicable
Yes No
Number
Is there appropriate physical infrastructure to support
ERP? e.g. Command centre and comms-phone, fax, e-
mail, cell, etc?
Are there dedicated- and support teams available?
Where is it documented?
Part 121
FLIGHT OPERATIONS
Subpart 6
/ACT No The operator shall ensure that all aircraft are operated in
115 of compliance with the airworthiness certificate, aircraft
1990 operating/flight manual, operations manual, mel and other
applicable regulatory/restrictive documents and
procedures
OPERATIONAL ASPECTS
ORGANISATION/MANAGEMENT
Is there an adequate organisation, method of control and
supervision of flight operations?
How is this ensured?
Are there sufficient qualified management personnel to
maintain safe flight operations?
Confirm
Is the Flight Operations Management System reviewed at
regular planned intervals?
AOC
Does the company possess a valid Licence/AOC?
Domestic?
International?
Both?
Cargo/Pax?
Both?
Are they displayed?
Are the types of aircraft still valid?
Is the company providing the type of air service as stated
on the AOC?
Does the company have proof of liability insurance?
ICAO
OPERATIONS SPECIFICATIONS
Annex 6
Are Operations Specifications documented?
Are they authorised by CAA?

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CAR Ref Not Note
REQUIREMENTS Applicable
Yes No
Number
121.04.2
OPERATIONS MANUAL
VOL 3
Is the Ops Manual CAA approved, amended and does it
reflect current policy and procedures?
Structure comprises the following
Part 1: General
(Including a description of the Quality Assurance system)
Part 2: Aeroplane Operating Matters
Part 3: Route and Aerodrome Instructions and Information
Part 4: Training
(Including syllabi for flight- and cabin crew and operations
personnel such as dispatchers, etc.)
Does the Ops Manual include all items required by the
regulations and CAA, including abnormal/ emergency
procedures and policies?
Is a copy of the Ops Manual carried on each aircraft?
Do aircrew members and ground operations personnel,
such as operational controllers and dispatchers, have a
copy of the appropriate part of the Ops Manual?
How are the above two requirements controlled?
Are flights carried out in accordance with the policies and
procedures contained in the Ops manual?
How is this compliance ensured and controlled?
How are crew kept current on the contents of the Ops
manual? (E.g., Periodic open book quizzes).
Does the Ops Manual provide a framework for positive
control and guidance for each operational area and are
the responsibilities and functions of key personnel clearly
defined?
Does the Ops Manual contain an organizational chart, job
descriptions and the responsibilities of Ops personnel?
OPERATIONAL CONTROL AND SUPERVISION
Is there adequate organization, control and supervision of
flight operations and training?
How is this ensured?
Are there regular, documented flight operations meetings
and reviews?
Are there regular, documented flight operations technical
reviews?
Are minutes kept and is there a control/feedback system
enabling concerns to be addressed to Senior
management and to ensure corrective and preventive
actions are carried out as necessary?
What form does it take?

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CAR Ref Not Note
REQUIREMENTS Applicable
Yes No
Number
Is there a process for establishing operational policies and
procedures?
Where?
Are operations personnel receiving safety/operational
information in a timely manner
What is the process?
BUILDING AND BASE FACILITIES
Are office facilities adequate?
Are there adequate passenger and cargo handling
facilities/equipment?
Is there an Operations library?
Is there an aircraft technical library?
Are there crew-briefing facilities?
Are there crew- and staff rest rooms?
LINE OPERATIONS
The operators line operations shall be conducted in a
safe and reliable manner supported by well documented
general-, normal-, abnormal- and emergency procedures
Does the Operator ensure that each flight is appropriately
manned?
How?
Does the operator ensure that the required
comprehensive flight briefings are carried out?
How?
Does the Operator have adequately documented pre-
departure procedures to ensure safe operations into
designated airfields?
Where?
Does the Operator comply with ICAO/CAA standards i.r.o.
the following:
Ground proximity warning system?
(>15000kg or > 30 pax)
ACAS (>15000kg or > 30 pax)?
A CVR (last 30 mins capability)?
>25000ft-O2 masks for crew and pax?
Noise certification?
Is the required training catered for?
If ACAS is fitted:
Is proper training provided i.r.o. response to ACAS alerts,
etc?
Is sufficient O2 carried for flights above 10000ft?

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CAR Ref Not Note
REQUIREMENTS Applicable
Yes No
Number
How is this ensured?
Does the Operator ensure that there is one, easily
accessible, life jacket/flotation device for each person on
board?
(>50nm from shore; over water, beyond gliding distance
where on take off or landing ditching is likely)
How?
Are ELTS carried?
Are there instructions to ensure that flight recorders and
CVRs are not switched off during flight time?
Where?
GENERAL
Do aircraft have a secure facility to store weapons
removed from passengers?
How does the operator ensure that crewmembers
required to wear corrective lenses carry a spare set?
Does the operator have a policy on:
Alcohol use and testing?
Drug use and testing?
Is there a policy regarding the deliberate violation of
procedures?
CATS DISPATCHERS AND OPERATIONS
121.04.2.4 OFFICERS/CONTROLLERS
PART 4 &
Operations Is there an explicit management structure and lines of
Manual authority for Dispatchers and Ops officers/controllers?
Where are they documented?
Are their responsibilities clearly defined?
Where?
Are all Ops Controllers and Dispatchers formally
trained?
How?
Is there a formal syllabus?
Does it cover all the relevant aspects?
Do they have the experience appropriate to their
position?
How is this ensured?
Operations
SYSTEM OF FLIGHT-FOLLOWING
Manual
Is there a system in operation?
Is the system formally managed and controlled?
How?
Are there adequate facilities and comms available?

Confirm

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Not Note
CAR Ref REQUIREMENTS Applicable
Yes No
Number
121.01.6 OPERATORS WET LEASE CONTRACTS (IF
121.01.8 APPLICABLE)
121.01.9
121.01.10 WET LEASE-IN
Does the Operator ensure that wet lease crews are
certified in accordance with state regulations?
Do they obtain prior approval for foreign registered
aeroplanes?
Duration of lease: 6 calendar months maximum per year.
Wet Lease-In;
From operator who holds AOC
Type certified aircraft?
Valid COA?
Maintained/Operated according to 121?
Operated according to AOC?
The fleet must not be predominantly composed of leased
aircraft
Does the lease agreement include prior CAA approval
[121.01.6(1)] as a condition?
WET LEASE-OUT
Wet lease-out to non contracting state operator: (owner
shall remain the operator of the aeroplane for the
purposes of subpart 6)
LEASE BETWEEN 2 RSA OPERATORS
Leasing operator to remain the operator of aeroplane as
prescribed in subpart 6
Leasing operator to obtain approval from Director of Civil
Aviation
Conditions of approval shall be part of the lease
agreement
Sub chartering in may not exceed five days
The Operator to inform the Director of Civil Aviation within
24 hours
CAR
DOCUMENTATION
121.04.1
CATS Operational documentation shall be in good condition,
91.03.5 readily identifiable, complete, clear, and legible and user
Operation friendly.
s Manual
CATS How does the Operator ensure and control this?
121.04.2 Do operational controllers or dispatchers, and flight crews
receive the same documentation/information?
How is this ensured/controlled?
Does the Operator ensure that prior to each flight, each
pilot-in-command certifies that he is satisfied with all
aspects of airworthiness, navigation, maintenance, weight
and balance, loading, limitations and flight planning?

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CAR Ref Not Note
REQUIREMENTS Applicable
Yes No
Number
If so, how?
Documents retained on the ground? (for >90 days)
How is this requirement ensured and controlled?
Confirm compliance.
PARTS OF THE FLIGHT FOLIO
Aircraft Registration
Date of Flight
Name of Flight Crew Members
Duty Assignment of Flight Crew Members
Place of Departure
Hours of Flight
Nature of Flight
Incidents, observations (if any)
Signature of Pilot in Command
Current Maintenance Status Statement
Outstanding Deferred Defects
Fuel Used
Fuel Uplift
Time of Arrival (on-block time)
Load and trim sheet
Passenger list and cargo manifest
Special loads notification (Dangerous Goods)
Copy of Operational Flight Plan
General Declaration
Are the required documents completed and signed?
CAR/CATS
Are the CARS/CATS updated and complete?
AIC and NOTAMS
Are the AICs and NOTAMS properly filed and are they
updated and complete?
Is NOTAM- info factored into performance computations?
How?

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CAR Ref Not Note
REQUIREMENTS Applicable
Yes No
Number
Part
AIRCRAFT DOCUMENTATION
91.03.1
How does the Operator ensure and control that the
following documentation is retained and available on
board aircraft and is also in good condition?
Flight folios
Certificate of Airworthiness
Certificate of Registration
Licence of Flight Crew Members
Certificate of Safety (Release to Service)
Journey Logbook
General Declaration
Passenger Manifest
Manifest and Detailed Declaration of Cargo
Mass and Balance Report
Noise Certificate
List of Visual Signals for
Intercepting/Intercepted Aircraft
Aircraft Flight Manual
Radio Station Licence.
Insurance Declaration (certain countries)
CATS
MEL
121.4.2
PART 2 Is there a CAA approved MEL for each aircraft?
Par.
2.2.10 Is there compliance with the MMEL?
Is MEL info factored into performance computations?
How?
121.07.3 OPERATIONS
and
121.07.4 OPERATIONAL CONTROL AND SUPERVISION
Operation
s Manual Is there an established, maintained and approved method
of supervision of Flight- and Ground operations?
Are personnel properly instructed have demonstrated their
abilities and are aware of their duties and responsibilities?
Where and how?
(Operator to provide proof)
121.02.4
ROUTES AND AREAS OF OPERATION
121.07.1
Are there sufficient en route procedures and processes?
Is this documented and where?

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CAR Ref Not Note
REQUIREMENTS Applicable
Yes No
Number
The PIC must demonstrate within the past 12 months
Knowledge of routes
Knowledge of airfields
Knowledge of the procedures over high density
traffic/inhabited areas
Knowledge of obstructions, physical layout,
lighting, holding, instrument approach, operating
minima, and SID/STAR of aerodrome
Knowledge of any specific navigational
requirement/qualification which may be required
over the route
How and when is this done?
SCHEDULED OPERATIONS
For scheduled operations, does the Operator ensure that
suitable ground facilities and services, including
meteorological services are provided?
How?
Is there a flight crew route guide with information on
comms facilities, navigation aids, airports and other info
as deemed necessary by the Operator?
Are current and suitable maps and charts available to
cover the route of the proposed flight/s and alternates?
Where?
How is their currency ensured/controlled?
Does the Operator/pilot ensure that the aircraft are free of
frozen contamination prior to flight? (If applicable)
How?
Where is it specified?
OPS
RNAV and MNPS (If applicable)
SPECS/
OPS Are these procedures addressed in the Ops Manual and
MANUAL Ops Specifications?
Does the operator have the required navigation
equipment?
Are crews suitability trained and are aircraft certified?
Confirm
OPS RVSM (If applicable)
SPECS/ Is this procedure addressed in the Ops Manual and Ops
OPS Specifications?
MANUAL
Does the operator have the required equipment that
indicates flight levels and altitudes and which provides an
alert function?
Are crews suitability trained and are aircraft certified?
How? Confirm

CA 121-18a 14 JULY 2010 (Phase 1) Page 20 of 34


CAR Ref Not Note
REQUIREMENTS Applicable
Yes No
Number
121.07.1
TWIN ENGINE OPERATION: PAR(C)
vol 2 {par.
(a) (I) & If a twin-engine aircraft is used, are adequate airfields
(ii)} available within the time and distance limitations as
prescribed?
Described in Ops specifications?
Is ETOPS applicable? If so, are the ETOPS rules
contained in CATS 121.07.1 applied?
How is this ensured?
121.07.06
MINIMUM FLIGHT ALTITUDES
CATS
91.07.2 Does the Operator have a process in place to establish
minimum flight altitudes?
Where?
Are there specified methods included in the Ops manual
and are they applied?
Are performance and operating limitations as per CARS
121.07.6 par 2 and 3 and Subpart 8 and CATS 91.07.2
taken into account?
Where and how?
POLICIES AND PROCEDURES
Does the Operator ensure that Operations policies and
procedures are appropriately and consistently applied?
How?
Is there a policy regarding procedure violations?
Where?
Are take off minima procedures applied? (See also Low
Visibility Procedures (LVPs)
Where and how?
Is there a policy regarding the use and suitability of
alternates for T/O and Destination?
Where?-specify
Are there sufficient procedures and practises in place to
ensure safe visual and instrument approaches?
Where?
Are there non-precision approach procedures?
Where?
Precision approach: Category l operations.
Confirm Operators policy regarding missed approaches
(Commencement and continuation of approach limitations
91.07.25)
Are Category ll and lll- and Low visibility operations
catered for? (Part 91 Subpart8).
If applicable
Is there adequate procedural training?

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CAR Ref Not Note
REQUIREMENTS Applicable
Yes No
Number
How?
Does the Operator ensure that all aircraft operate in
accordance with a comprehensive and detailed code of
performance?
How?
Are all significant aircraft performance factors such as wt,
alt, temp, r/way gradient and contamination considered?
How and where?
When operating into special airports?
Does the Operator ensure that t/o wt and estimated
landing wt will not exceed max wts as specified in the
flight manual?
How and where?
Does the Operator plan for critical engine failure and to
either stop the t/o or still continue safely?
Where and how?
Does the Operator ensure that en-route, aircraft are still
able to continue and remain above min flt alt?
How?
CARS
FUEL POLICY
121.07.10
Is the Operators fuel policy and planning detailed in the
Ops manual? (In terms of CATS 91.07.12)
Is minimum dispatch/departure fuel calculated to include
taxi, trip, alternate, contingency and final reserve fuel?
Where?
CARS Does the operational flight plan have a breakdown of
121.07.11 sector fuel?
Confirm
CATS Are In-flight fuel checks carried out and logged?
121.04.5
Where/how?
Is there an in-flight re-planning procedure?
Where is the above documented and formalised?
121 AEROPLANE PERFORMANCE OPERATING
Subpart 8 LIMITATIONS
Do the Operators procedures/policies ensure compliance
of a Class A Aeroplane, if applicable, with the
requirements of Subpart 8, Division One for a Class A
Aeroplane?
How?
Where is it documented?

CA 121-18a 14 JULY 2010 (Phase 1) Page 22 of 34


CAR Ref Not Note
REQUIREMENTS Applicable
Yes No
Number
121.02.10 OPERATORS FLIGHT CREW SCHEDULING
(Part 2 SYSTEM
and
CATS) Has the Operator established flight- and duty time
limitations?
Where?
How is it monitored / controlled?
Are records kept?
Is other commercial flying tracked and accounted for?
Does the pilot sign a declaration declaring that he/she will
not be exceeding their limits by undertaking this flight?
If there is a requirement to exceed these limits, is the
crewmembers permission obtained and is CAA
informed/approval requested?
121.04.3
AEROPLANE OPERATING MANUAL(S)
Is it included or referred to in the Ops manual?
Is each crewmember provided with a copy of the parts
relevant to his/her duties?
How is this ensured and controlled?
Ops.
OPERATIONAL FLIGHT PLAN
manual/
CATS Is it completed for each flight?
121.04.5
Is it signed?
Are all entries current and of permanent nature?
Is it complete i.r.o all required detail?
Is it retained for 90 days?
How are all these actions controlled for compliance?
Confirm compliance with CATS 121.04.5
CATS
TRAINING AND STANDARDS
121.4.2
PART 1 Is formal training catered for and where is it documented?
Par.
2.1.11 Is the flight training program and its requirements,
together with syllabi/ curriculum outlined in the Ops
manual?
Is the managerial responsibility for training clearly
defined?
Where?
Is there an organisational structure to support training?
Where is documented?

CA 121-18a 14 JULY 2010 (Phase 1) Page 23 of 34


CAR Ref Not Note
REQUIREMENTS Applicable
Yes No
Number
CATS 121 Are there satisfactory training facilities?
Subpart 3
and Confirm
Operation
s Manual Do instructors possess proper training credentials?
Part 4
How is this controlled?
Is there a process for standardizing the quality of
instruction by instructors?
Where is this documented?
Are training manuals updated to reflect current
procedures?
How is this process controlled?
(Confirm CAA approval and recency/applicability)
Does the Operator provide initial and recurrent ground-
and flight training programs, which ensure that all flight
crewmembers are adequately trained?
Where is this documented?
Are they programmed at the correct intervals-e.g. six
months?
Are in-flight proficiency checks programmed for?
Where?
Is piloting technique demonstrated to a check, pilot?
Does the Operator provide a Command-training program
for new Captains?
Is there a screening process for Captain upgrade
candidates?
Where is this documented?
Does the training program include Line Operated Flying
Training (LOFT)?
Is currency and recency controlled if the pilot/crew is
operating on more than one type?
How?
Does the Operator ensure that there will be no in-flight
simulation of emergencies while pax or cargo is carried?
Where/how?
Does the training program include crew coordination and
training in all types of emergency or abnormal procedures
caused by power plant, airframe-/system malfunctions or
fire?
Where is it documented?
Does the Operator provide adequate adverse weather
training?
Ice/de-ice procedures?
X-wind conditions, etc?
How?

CA 121-18a 14 JULY 2010 (Phase 1) Page 24 of 34


CAR Ref Not Note
REQUIREMENTS Applicable
Yes No
Number
TRAINING/QUALIFICATION RECORDS
Does the Operator maintain accurate records of all
training qualifications for flight crews? (Including copies of
licences, medicals and all relevant records and reports)
Confirm documentation
Are the records monitored for due dates, etc?
How/by whom?
Is there a re-qualification program for pilots whose
recency has lapsed?
Where?
Is there a system in place to ensure that crew are current
in all aspects of Part 121 training requirements?
How is this monitored/controlled?
CONVERSION COURSE
Are conversion courses provided?
Are there approved syllabi?
Confirm
Does the Operator permit pilots to maintain a dual aircraft
qualification and are these qualifications appropriately
tracked and currency ensured?
How?
ANNUAL ROUTE CHECKS
Does the Operator maintain a route qualification program?
Are these checks recorded and are they valid?
Where?
Is there adequate demonstrated knowledge of terrain,
flying conditions, nav, s&r, etc by the PIC?
Where is this recorded?
121.03.5
vol3
CRM

Are all flight- and cabin-crewmembers trained in CRM?


Is there initial and recurrent training by specially trained
facilitators?
-Recurrent training every 12 months
-Course completed over 4 year period
DANGEROUS GOODS (CARS Vol 2 Part 92 and
ICAO Tech Insts)
Is the Operator authorised to carry Dangerous Goods in
accordance with Part 92?
Are flight-crew members trained in the required aspects of
Dangerous Goods?
Is there initial and recurrent training?

CA 121-18a 14 JULY 2010 (Phase 1) Page 25 of 34


CAR Ref Not Note
REQUIREMENTS Applicable
Yes No
Number
Recurrent training every 24 months
Is the crew notified when Dangerous Goods are carried?
Does the PIC have the right to refuse Dangerous Goods
cargo?
Under which circumstances?
ANR vol 1 FLIGHT SIMULATORS- (If applicable)
Chap 3
and Ops Are simulators CAA approved?
Manual
Is there recurrent certification by CAA?
Are they used at the required Frequency?
How is this process controlled?
INT BEST
FLIGHT CREW HIRING
PRAC-
TICE Is there an established process whereby all pilot
candidates are appropriately screened and satisfy the
minimum aviation experience requirements?
Is it documented?
Where?
FEEDBACK
Does the Operator have a dynamic feedback system
where performance trends can be identified, discussed
and if necessary incorporated into syllabus changes?
How and where is this formalised and controlled?
CABIN SAFETY
See Cabin Safety checklist
SAFETY AND SECURITY
Does the Operator provide adequate security training for
all crewmembers?

CA 121-18a 14 JULY 2010 (Phase 1) Page 26 of 34


DEBRIEF

Operator
Representatives

Team

Operations

Training

Administration

Documentation

Recommendations

SIGNATURE OF INSPECTOR NAME IN BLOCK LETTERS DATE


I was de-briefed on the inspection/audit, have read and accept*/do not accept* the findings and observations of
the flight operations inspector/s and have received a copy of the report.
*Delete which is not applicable

SIGNATURE OF
NAME IN BLOCK LETTERS DATE
OPERATORS REPRESENTATIVE

CA 121-18a 14 JULY 2010 (Phase 1) Page 27 of 34


Number NOTES

CA 121-18a 14 JULY 2010 (Phase 1) Page 28 of 34


Number NOTES

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CONCLUSIONS: FINDINGS AND OBSERVATIONS
SEVERE NON-COMPLIANCE
(Constitutes non-compliance which necessitate the exercising of immediate discretionary enforcement
action/powers vested in the inspectors, authorized officers and/or authorized persons in the interest of
safeguarding aviation safety)

MAJOR NON-COMPLIANCE
(Constitutes non-compliance requiring the client to develop action plans with time frames and coupled with a
follow-up inspection to verify rectification of the non-compliance)

MINOR NON-COMPLIANCE
(Constitutes non-compliance which is left to the client to rectify and which will not necessitate a follow-up
inspection but which can be followed up at the next inspection. The client is required to notify the CAA when the
rectification has been effected within an agreed timeframe.)

CA 121-18a 14 JULY 2010 (Phase 1) Page 30 of 34


LIST OF AIRCRAFT
LEASE RD CHECK CHECKED
REGIS- CERT PERF. NUMBER 3 AMOUNT
TYPE OWNER AMO AGREE- AIRCRAFT OPS
TRATION AUW CLASS OF SEATS PARTY MILLION
MENT DOC MANUAL

CA 121-18a 14 JULY 2010 (Phase 1) Page 31 of 34


ATTENDANCE REGISTER
PURPOSE OF
BRIEFING
MEETING
DATE
CHAIRPERSON
/ PRESENTER
ATTENDEE INITIALS &
SECTION SIGNATURE
SURNAME

CA 121-18c 10 OCTOBER 2006 Page 32 of 34


ATTENDANCE REGISTER
PURPOSE OF
DE-BRIEFING
MEETING
DATE
CHAIRPERSON
/ PRESENTER
ATTENDEE INITIALS &
SECTION SIGNATURE
SURNAME

CA 121-18c 10 OCTOBER 2006 Page 33 of 34


APPENDIX A

1. Entry meeting agenda

2. Thank the operator for their attendance, co-operation and use of their facilities.

3. Introduce the team.

4. Explain the purpose of the inspection/audit.

5. Emphasise confidentiality of the inspection/audit.

6. Define the objective and scope of the audit: to establish the correct implementation of
procedures set out in the ops manual and other relevant regulations. Point out,
however, that international best practice and good common sense cannot always be
covered by legislation and the checklist may, therefore, in the interests of flight safety,
contain a few items of this nature.

7. Explain the methodology and that there will be times when it is not possible or
necessary to review or examine 100% of a companys operation. This is when sampling
principles apply.

8. Explain non-compliance and the associated gradings.

9. State when team and team/operator liaison meetings will take place.

10. Confirm logistical arrangements e.g. available office space, time for meals, etc.

11. Verify that all operator staff members are aware of the audit/inspection taking place.

12. Explain the purpose of the closing meeting and confirm the detail and time if possible.

13. Allow time for the operator to ask questions.

14. Allocate inspectors to various departments if need be.

CA 121-18c 10 OCTOBER 2006 Page 34 of 34