BARS Audit Checklist Examples Ver 2

BARS Audit Report Examples and Excel tips
BARS Audit Checklist Examples
The BARS Audit Report can have a wide readership with persons of varying degrees of knowledge of the aviation industry. There will also be persons from
different countries and many that do not have English as a first language. For these reasons it is important that the Auditor, when completing the checklist,
and subsequently the corrective actions, uses language that is clear and concise when recording information in the Audit.
Additionally, the Auditors comments when recording the evidence for non-conformity are setting the scene for the next effort in the corrective actions by
the AO. Again, a clear, concise and accurate description of the non-conformity will ensure that the AO/Auditee completing the corrective action will make
the proper and valid changes in order to bring them into conformity with the relevant standard.
At all times, the Auditor should keep in mind ‘when someone else reads this, will they clearly understand the non-conformity that I saw?’. It is not
satisfactory to rely on the reader using the audit question as the sole reference for the description of the non-conformity. The Auditor takes the question
and applies it to the Auditee in the context of the scope of operations and the situation on the day of the Audit. This is not always clear when reading
through the log of corrective actions. A rule of thumb: A good auditor description of non-conformity should be understandable to a third party reader even if
they do not read the actual audit question.
Below are some examples of BARS Audit checklist responses with BPO critique based on the BARS Procedures Manual and the BARS Auditors Guide Ver 2.
These examples have been drawn from all of the participating Audit Companies (both good and less than good examples) with some minor editing applied
to de-identify the Audit. In many cases, the numbering and wording of the question may have changed in subsequent versions of the Audit Checklist. The
feedback comments on the Doc Ref column and OE column are still valid in any case.
Some columns have been removed for space and the ‘X’ in the checklist assessment column has been replaced by a ‘C , ‘NC’ or N/A as appropriate to the
example.
It is worth reading this example sheet in conjunction with the information in the BARS Procedures Manual (BPM) Section 8 and the BARS Auditor Guide.
Corrective Action Examples
Version 2 of this document now includes examples of corrective actions both good and less than good. The Corrective Action (CA) section of the BARS Audit
Report is one of the most important and thoroughly read parts of the document. It is where the reader wants to see the veracity and validity of the effort
put in to correct the non-conformity. The information in the corrective action is made up of data by both the Operator and the Lead/Auditor. The two
FSF BARS Program Office [DA] 1 of 13 Ver 2: 01 Feb 2014

parties need to work together to ensure the information in the CA is unambiguous, coherent and clearly indicates the effort applied to close the finding.
The BARS Auditor Guide section 7 provides the minimum criteria for an acceptable corrective action.
Microsoft Excel Tips
Some handy tips and tricks for using the Microsoft Excel application have been included. These have been aimed at users within the BARS Audit scenario
and onsite auditing situations. Microsoft Excel version 2010 (file type: xlsx) was used as the basis for the tips but most will work with previous versions.

BARS Audit Checklist Good Examples:
1/
The operators training and checking program TCM 2.3 The TCM reference requires the training
should ensure that training and checking is to be impartial however there is no
conducted by independent personnel. requirement that the training be
conducted independently from the
checking.
P2 FLT2.04.01 NC Reviewed Flight Operations Management
Meeting 19 May 2011 where item 5e
covered the independence of training
and checking for the XXX Fleet.
Implemented - Not Documented.
In this case the Auditor has described the elements of the AO’s operations that are in conformity but also the elements that are not. The comments provide
the evidence for the justification for the assessment of ‘Implemented’ and a clear description of the non-conformity.
2/
The operator's operations manual, as a minimum SOPM23 pg 102 Interview with EMB 120 Captain verified
should include weather minima and maximum AOMERJ 2-10 the knowledge of minima and wind
cross and tailwind components. AFMEMB Sect 2 limitations.
P2 FLT1.02.11 AFMEMB Sect 5-8 C
This assessment of conformity shows the sampling of the fleets that was provided by the operator and the Auditor’s interview of a line crew to validate the
assessment of implementation.

3/
The operator shall have a system that ensures GPP 1.12.2.1 XXX crew scheduling and rostering
P1 FLT1.05.01.04 all flight crew members assigned to flights are C system has violation warnings for items
within flight and duty limits. monitored.
The Operator should have an operational XXX IMS Manual, Sighted sample reports in REAP.
reporting system that includes procedures for Section 3.30: IMS
P2 ORG2.03.08 the FSO to review all reports and prioritize Means of Execution C
events for investigation.
These conformity assessments show the documentary reference provided by the operator and the implementation evidence noted by the Auditor.
4/
The Operator should ensure that the appointed MOE 3.5.8 The operator has a training plan under
Maintenance Organization(s) conduct initial and development, however, at the time of
then recurrent maintenance training for all the audit the training plan was not
P2 MNT1.04.01 maintenance personnel at an interval not NC implemented. The training plan
exceeding 36 months. includes recurrent training periods,
however it does not state training
periods will not exceed 3 years.
This description of non-conformity clearly describes the situation on the day of the Audit. It shows the correlation between the supplied documentary
reference and the inadequacy (training interval) and the fact that the training was not implemented.
5/
The Operator should ensure each maintenance XXX Signature Training Documented as referenced, human
organization that performs maintenance for the Program Ch 3 Pg 1 Par factors training was verified in training
P2 MNT1.04.04 Operator has a recurrent training program that 1 C files and tracked on a register.
includes human factors in maintenance; for
maintenance personnel.
A good example, the Auditor has confirmed the operator’s reference and provided a clear statement of the implementation evidence used to determine
conformity.

Less than good examples:
6/
The Operator should have a thunderstorm The Operator does not document how it
avoidance policy applicable to enroute meets this requirement.
P2 FLT2.15.01 thunderstorms and thunderstorms within 3nm NC
of a destination airfield.
There is a hint of implementation here but the Auditor has not described the non-conformity in a manner that will direct a thorough corrective action.
Consider: The operator does not have a documented thunderstorm avoidance policy relating to enroute and destination situations. As a clear description of
the non-conformity, it will direct an appropriate corrective action far better than a generic statement.
7/
If the Operator utilizes distinct flight dispatch XXX could not provide references from
personnel, it should have a flight dispatcher controlled documents in support of
flight following training program that includes having a flight dispatcher flight
P2 FLT2.09.02 training in the use of Operator satellite flight NC following training program that includes
following equipment, if applicable. training in the use of Operator satellite
flight following equipment, if applicable.
Using the text of the question via copy and paste is not a desirable way of describing the non-conformity. In this case the ‘if applicable’ part was left in.
During the course of the Audit, the Auditor must determine the applicability of each question within the scope of the Audit. The fact that the question has
been determined as non-conforming means the question was applicable and it is not necessary to repeat it in the Auditor’s comments. Questions are meant
as questions, designed to guide the auditor in the review of evidence in order to validate the operator’s conformity against a set of criteria. The question is
not designed to be the description of non-conformity.
Consider: The Operator utilises satellite flight following systems and flight dispatchers.
The Operator does not have a training program for the flight dispatchers, nor does it provide training to the dispatchers in satellite flight following
equipment and procedures.

8/
The Operator, or its appointed Maintenance MCM 1.4.1.4 Documented and implemented.
Organisation(s), should ensure an annual ABMM 7.7.5
aircraft maintenance internal audit program is Quality Audit
P2 MNT1.05.01 established utilizing an approved audit #11/AUD/28 C
schedule, audit checklists, audit reports and
non-conformance/corrective action records.
The Auditor has included the Objective Evidence (Quality Audit Report) in the Doc Ref column. It should be in the OE column as it forms the basis for the
objective evidence reviewed in order to make the assessment of conformity for implementation. There is no requirement to make the statement of
‘Documented and Implemented’ in the OE column. This is indicated by the assessment in the conformity column.
For this case, consider describing the OE by: Reviewed the Quality Audit #11/AUD/28 demonstrating adherence to the Operators published audit schedule.
9/
The Operator shall maintain dangerous goods Information provided in DXX 4.4 does
training records that clearly show dates of not satisfy this standard. Whilst CXX
course completion and qualification expiry for 9.13 covers the required information it
P2 GRH2.4.4 ground personnel. NC was difficult to find and should be
documented in the DXX.
In this case the Auditor appears to state that there is conformity in the CXX but no reference has been provided in the Doc Ref column. The Auditor is also
giving guidance/advice as to the corrective action and this is not permitted in the BARS Program. Information provided in regards to the DXX is irrelevant in
the checklist as it has been identified as not appropriate as material to answer the question. If the document reference provided by the auditee is incorrect,
the Auditor must amend the information in the Doc Reference column to only list relevant and conforming references.

10/
The appointed Maintenance Organization(s) MCM 8.3.2 The Operator has climate control
should have climate control systems in their systems in their stores facilities that
stores facilities that prevent against climatic prevent against climatic damage to
P2 MNT 2.03.03 damage to parts, tools and/or equipment, such C parts, tools and/or equipment, such as
as mould, mildew, freezing or hot temperatures mould, mildew, freezing or hot
if and as applicable. temperatures as applicable.
In this case the Auditor appears to have copied the text of the question as the basis of the Objective Evidence. Considering this Operator is in a tropical
environment, discussion about ‘freezing temperatures’ and ‘as applicable’ are not relevant. The BARS Auditor Guide 4.8 requires the Auditor to ‘describe
the evidence used to demonstrate that the Operator has implemented the requirements of the question or Standard’. A restating of the question text does
not achieve this. Consider: Reviewed the MCM information and inspected the main base maintenance stores facility.

Following are three examples of BARS Audit Corrective Actions with BPO feedback on the different fields within the Corrective Action module. Note that the
Auditor Comments in response to the CAP do not appear in the Audit Report and only displayed in BARSoft.
Corrective Action Examples
1/
BARS Audit Report Corrective Action Information Feedback Notes on the Corrective Action
Question
If the Operator utilizes designated personnel for flight following, it should have a training program for the systems
and procedures associated with flight following including satellite flight following as applicable.
Objective Evidence
At the time of audit, the Operator did not have a training program for the procedures associated with flight
following.
This RCA is not relevant to the identified non-conformity.
Root Cause
The Auditor should request that this be revised as part of the CAP
Inadequate specification/ requirements.
review process.
Aircraft Operator Corrective Action Plan The CAP is a little vague and lacks detail for the Auditor to give a
Training program included in the 2012 SMS training plan. valid review.
The Auditors response here gives the Operator little to no useful
Auditor Comments on Corrective Action Plan (These comments are visible in BARSoft but not produced in the feedback on how the CAP is as far as acceptability to the BARS
Audit Report) Program criteria.
Thanks. There is no discussion on implementation up to this point from
either the Auditor or AO.
The CAT is a simple repeat of the CAP. There is no detail as to
Aircraft Operator Corrective Action Taken
traceability of document changes and no information in relation to
Training program included in the 2012 SMS training plan.
any implementation (or plan) of the training
The reader of the Audit Report does not see any of the evidence
that is attached to the corrective action so the Auditor referring to it
Auditor Comments on Corrective Action Taken
is of no value.
The attached document is satisfactory.
Neither the Operator nor the Auditor has provided any information
on whether the training has or is about to take place.

2/
Question
The Operator shall have GPWS and TCAS training for all flight crew operating aircraft with this equipment fitted.
Objective Evidence
The Operator does not document or implement training for GPWS or TCAS.
Root Cause
The Root Cause (RCA) is relevant to the non-conformity.
Lack of specified training or education.
Aircraft Operator Corrective Action Plan
Pilot indoctrination training syllabi to be amended to include a sign off for these items. Additionally, online training The planned action clearly demonstrates how the Operator will
modules will be purchased from Flight Safety International. GPWS and TCAS training will be included in induction correct the non-conformity and also take steps to ensure it does not
training of all new pilots and current pilots to complete by end of October. Induction Checklist to be amended to occur again by documented procedures in their system of training.
include the courses.
Auditor Comments on Corrective Action Plan (These comments are visible in BARSoft but not produced in the
Audit Report)
The Auditor Comments on the CAP do not appear in the Audit
The corrective action plan is appropriate.
Report. Here the Auditor has approved the CAP and also described
Please provide a copy of the indoctrination syllabus for review, a copy of the induction checklist and evidence of the
the evidence needed in the review to close the finding.
subscription to the online training you mentioned.
Please also supply evidence of at least one pilot completing the online training for GPWS and TCAS training.
Aircraft Operator Corrective Action Taken
The pilot indoctrination training syllabus has been amended by Ver 2 dated 30 Sep 2012 to include GPSW and TCAS
The Operator has provided clear and specific detail on their
training for new hire pilots.
corrective action. It is in line with the proposed CAP and they have
The induction checklist has been amended by Ver 4 dated 30 Sep 2012 to ensure the GPWS and TCAS training is
provided traceable records and documentation.
completed as part of the new hire induction process.
The company has subscribed to the online training provider for GPWS and TCAS effective 25 Sep 2012 and two
pilots have completed this training. Records of completion are provided.
Auditor Comments on Corrective Action Taken The Auditor has clearly described what the evidence was that he/she
The Auditor has reviewed the following: reviewed in order to close this finding. They have validated the
GPWS/TCAS training has been added to the Staff Induction checklist (Ver 4 dated 30 Sep 2012) under the section of
traceability of the company documentation and the record of the
'Course List'.
implemented training.
Version 2 of the Indoctrination syllabus dated 30 Sep 2012 which now includes GPWS and TCAS as required training.
Evidence of subscription to the online training (Flight Safety International)for GPWS, TAWS, and TCAS. The Auditor has also finished with a clear statement of the Operators
Evidence of completed training by a new pilot (Bill Smith) dated 05 Oct 2012. level of conformity to the question.
The Operator has now documented and implemented GPWS and TCAS training for the flight crew as required by
FLT 1.02.13 and BAR Standard 5.13 and 8.4.

3/
Question
If the Operator performs night offshore operations, it should have flight crew Standard Operating Procedures
(SOP’s) that include night offshore operations stabilized approach criteria
Objective Evidence
At the time of audit, the Operator did not have SOPs that include night offshore operations stabilized approach
criteria.
Root Cause
Inadequate procedures.
Aircraft Operator Corrective Action Plan
The CAP is brief and lacks implementation detail
Incorporate night offshore operations stabilized approach procedure into the OM.
Auditor Comments on Corrective Action Plan (These comments are visible in BARSoft but not produced in the
Audit Report) The Auditor has addressed the lack of implementation detail in the
The CAP is acceptable, however you will need to demonstrate implementation for this item. How will you ensure all acceptance comments. He/she has also advised the Auditee what
crew are aware of the new information in the OM/SOP? evidence is required to be submitted and how. Note; this text does
Please provide a copy of the revised documentation and also evidence of implementation. You can either email it to not appear in the final Audit Report.
me or attach it directly to this corrective action in BARSoft.
Again the information in the CAT by the Operator is brief; however
Aircraft Operator Corrective Action Taken the Auditor has clearly described the evidence in the closing
OS standard operating procedures updated. comments for his review. You can see how the Operator has
Supporting FLTOPS Memo provided for review. addressed implementation using the memo with the additional
information in the CAT.
Auditor Comments on Corrective Action Taken The Auditors Comments clearly show what was reviewed even
The OS (Offshore) standard operating procedures updated by Amendment 32 dated 01 Oct 2012; - section 6.2.6 through the CAT has not provided traceable details. With the
describes the stabilised approach criteria required for all offshore night approaches. information in the Auditor Comments, the information can be
Evidence of the distribution for the amended OS- SOP to all flight crew was reviewed. located at some future point in time (the next Audit) and verified by
A copy of the FLTOPS Memo 14/2012 dated 01 Oct 2012 was reviewed and it describes the new night offshore a third party.
approach criteria and how it is to be used. The reader of this report can have some confidence that this
This now satisfies the requirements of FLT 1.02.03. corrective action is valid and complete.

Tips for using Microsoft Excel:

ALT+Enter: Will allow you to start a new line of text within the cell you have changed from an arrow to a
are currently working in. filter icon, then select ‘Clear filter
from…’ and all items in that
Filter Function: The filter function is very useful when working column will be displayed.
with the checklist. Select the columns you would like to filter
and then select ‘Filter’. The filter function will also allow
you to ‘Sort’ the data in that
After the Filter has been applied use the drop down arrow for column. Sorting will place the data
the appropriate column to pick from the list of what you would like to in either alphabetical or numerical
see. In this case the non-conformity column has order (A-Z or Z-A) depending on
been filtered by removing the blank cells so
your choice. Use caution with this
only the non-conforming questions will be feature as it can be very difficult to
displayed. get the data back in the original order after using this function. We
You can also Filter by selecting any text or fill recommend you do not use it when working with a BARS Audit Checklist.
colour that has been used in the column. For
example if the Auditors description of a non-
conformity was entered in red text, this this can
be filtered so only the non-conforming text will
show. Consider using this as a reminder in cases
during the Audit where the Auditor is awaiting
additional information to complete the
question.
Once you have completed using the filter, you can identify the filtered
column by the drop down icon at the top of the column (filtered columns

Freeze Panes: Row header (the letter identifier, for BARS Checklists this is usually the J
column) and then select Spell Check from the ‘Review’ tab. You can
The Freeze Panes function can be very useful when working with long or see/change the language the used for the spell check at the bottom of the
wide spread Spell Check box. Use caution with ‘Change All’ function and the ‘Add to
sheets and Dictionary’ functions as they both can make many changes unknown to
wishing to the user leading to missed errors.
keep header
rows visible. Formatting cells and columns:
On the View
tab select the On occasions you may see just a
‘Freeze Panes’ series of XXXX after entering data or
function then select the Freeze Top Row. Now, as you scroll down the text into a cell. This is usually a
formatting problem. To change the
page the Header row will always stay visible over the rest of the columns.
formatting of data within a
When you are finished with the function select ‘Unfreeze Panes’ and the cell/row/column, click on the area
spread sheet will return to normal view. you wish to format and then right
click to select ‘Format Cells’. You can
Editing text within a Cell: also type CTRL+1 to get the same
You can edit text menu. Now change the format by
already entered selecting from the list. If you are
by either double having the XXX issue make the cell
clicking in the format ‘Text’ and it should display
cell and making correctly. The ‘Wrap Text’ option is available here under the Alignment
the changes or selecting the cell and then editing in the function bar tab and this will keep all text within the boundaries of the cell instead of
above. You can make the function bar larger by click and dragging the continuing to the right on the spread sheet.
lower border down to see all the text for cases where there is a lot of There is also a Wrap Text button on the
data. Alignment section of the menu bar.
Spell Check: You can Spell Check either a part of whole spread sheet. To
carry out a spell check on just the Objective Evidence column click on the

To quickly switch between multiple applications you may have open at Quick Shortcuts:
the same time (i.e. using Excel as well as Adobe Reader and Internet
Explorer) use ALT+Tab and it will cycle through the various applications CTRL+C is Copy
each time you hit Tab whilst holding down the ALT key. CTRL+V is Paste
CTRL+X is Cut
You can do the same for switching between the tabs of an Excel CTRL+Z is Undo
workbook by using CTRL+Page Up/Page Down. CTRL+F will open the ‘Find’ Function
CTRL+B will make the selected text Bold
Auto Size Row Height: If you are
typing text into a cell and it
disappears off the bottom and out
of view you can have Excel
automatically set the row height
to suit the column with the most
amount of text. Select the column
you wish this to apply to, then
select ‘Format’ function on the
Home Tab of the Menu bar, then
‘AutoFit Row Height’. Note that
there is a maximum height that
Excel will not exceed. If you have
reached this then you can widen
the column to allow more data.

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BARS Audit Report Examples and Excel tips

BARS Audit Checklist Examples

Corrective Action Examples

FSF BARS Program Office [DA] 1 of 13 Ver 2: 01 Feb 2014

Microsoft Excel Tips

FSF BARS Program Office [DA] 2 of 13 Ver 2: 01 Feb 2014

BARS Audit Checklist Good Examples:

FSF BARS Program Office [DA] 3 of 13 Ver 2: 01 Feb 2014

FSF BARS Program Office [DA] 4 of 13 Ver 2: 01 Feb 2014

Less than good examples:

FSF BARS Program Office [DA] 5 of 13 Ver 2: 01 Feb 2014

FSF BARS Program Office [DA] 6 of 13 Ver 2: 01 Feb 2014

FSF BARS Program Office [DA] 7 of 13 Ver 2: 01 Feb 2014

Corrective Action Examples

FSF BARS Program Office [DA] 8 of 13 Ver 2: 01 Feb 2014

FSF BARS Program Office [DA] 9 of 13 Ver 2: 01 Feb 2014

FSF BARS Program Office [DA] 10 of 13 Ver 2: 01 Feb 2014

Tips for using Microsoft Excel:

FSF BARS Program Office [DA] 11 of 13 Ver 2: 01 Feb 2014

FSF BARS Program Office [DA] 12 of 13 Ver 2: 01 Feb 2014

FSF BARS Program Office [DA] 13 of 13 Ver 2: 01 Feb 2014

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