Higher Diploma in Aviation

Risk Management and Quality Improvement

Notes 3 –Quality Improvement
 Quality Assurance
Background principle: (by Dr. W.
Edwards Deming)
Apply actions necessary
for improvement ( e.g.
clearance of findings)
4. Act 1. Plan

Monitor and evaluate the

implemented process by
testing the results against
the predetermined
objectives/standard
(e.g. audit process)
QUALITY Establish objectives and
processes required to
ASSURANCE
deliver the desired results
CYCLE (e.g manual writing)

Implementation of
3. Check developed procedure 2. Do
(e.g. training,
distribution of OM)
What is Quality Assurance?
The quality systems standard defines quality assurance
as:

“Part of quality management focused on

providing confidence that quality
requirements are fulfilled.“

ISO 9001: 2008 QMS

What is Quality Assurance?

IATA Definition:
The formal and systematic process of auditing and
evaluation of management system and operational
functions to ensure:

• Compliance with regulatory and internal requirements;

• Satisfaction of stated operational needs;

• Identification of undesirable conditions and areas

requiring improvement;

• Identification of hazards;

• Control of operational risks.

Quality Assurance vs Quality Control
Quality Control (QC) is a system of routine technical activities, to
measure and control the quality of the operation on day to day
basis by operational manager. It is designed to:
(i) Provide routine and consistent checks to ensure operation
integrity, correctness, and completeness;
(ii) Identify and address errors and omissions.

Quality Assurance (QA) activities include a planned system of

review procedures conducted by personnel not directly involved in
the operation process. Reviews, preferably by independent third
parties, should be performed upon a finalised QC procedures.
Quality Assurance personnel should avoid becoming involved with
on going operational supervisory activities and thereby avoid any
confusion between quality assurance responsibilities and those
related to quality control.
Quality Assurance in Aviation Industry
Quality assurance (QA) is the activity of providing, through an audit
process, the evidence needed to establish that all activity is being
conducted in accordance with the applicable requirements,
standards and procedures.

A Quality Management System (QMS) provides consistency in the

delivery of products and services to meet performance standards
as well as customer expectations. The QMS also has an
independent assurance function that utilizes a feedback loop to
assure delivery of products and services that are ―fit for purpose
and free of defects or errors. The quality assurance function
identifies ineffective processes and procedures that must be
redesigned for efficiency and effectiveness.
ICAO SMM
Quality Assurance in Aviation Industry

Safety is an unspoken and unwritten quality expectation..

Quality Assurance ≠ Safety Assurance

7
Quality Assurance in Aviation Industry

These are
examples of
binding
regulations
standards to
Air Operator

8
Manual/Documentation
Manual is a key component of the quality system
and contain detailed definition of working processes.

Ideally manual content should be formulated around

procedures derived from an area of functional
activity or supervision.
Manual/Documentation

The stated intentions and direction Policy

of the org.
Organized set of processes directed WHO?
towards a common goal. Programme
WHAT?
WHEN?
Planned course of actions that
is implemented in a controlled HOW?
manner to achieve a result Process

Specified way to carry out

a process Procedure
Manual/Documentation
Requirement:

The Operator shall have a system for the management and control of documentation
and/or data used directly in the conduct or support of operations, to include processes
for:
i) Identifying the version of operational documents;

ii) Distribution that ensures availability of the current version of applicable operations, maintenance
and security manuals:
- In appropriate areas of the organization.
- To external service providers that conduct outsourced operational functions.

iii) Review and revision as necessary to maintain the currency of information contained in documents;

iv) Document retention that permits reference and accessibility;

v) Identification and control of obsolete and/or reproduced documents;

vi) Retention and dissemination of documentation received from external sources, to include manuals
and documents from regulatory authorities and original equipment manufacturers.
Principle : Audit

simple definition of an audit is:

“a comparison between how it is and how it should be”

12
Principle : Audit (Cont’d)
What are auditor looking for during audit?
The state of a specification has been
1. Documentation published and represented in controlled
document
Principle : Audit (Cont’d)

The state of a specification has been published and represented in

controlled document
Principle : Audit (Cont’d)
The state of a specification has being activated,
2. Implementation integrated, incorporated, deployed, installed and
monitored and evaluated for continued effectiveness….
Through Objective & factual information found during an audit that is
Evidences used by the auditor to determine fulfilment of requirement
Principle : Audit (Cont’d)

Not Documented
Documented and
or/and
Implemented
Not Implemented
results in
results in

Conformity Finding
Example – Station Audit
The bird strike rate at XXX International Airport has increased and is now the highest on
the operator network. The most recent two bird strike events that caused damage to
aircraft where probably caused by the Stonechat (see pics below).
Finding(s):
1. It would appear the birds have been displaced from their preferred open farmland
habitat by the recent flooding.
2. No scheduled bird control procedure was found for ABC, the company managing XXX
International Airport. In the longer term ABC is looking to implement a comprehensive,
non lethal bird control program.
Quality Audit Program
Audits shall be conducted throughout the organisation of functions that are
relevant to the safety and security of operations. This includes, but is not
limited to; flight operations, operational control/flight dispatch, maintenance
operations, cabin operations, safety and quality functions, ground handling
and cargo operations.

Quality Audit Program activities include:

1. Scheduling and planning of the audit,
2. Selecting and assembling of the audit teams,
3. Preparation of the audit,
4. Opening meeting,
5. On-site assessment,
6. Closing meeting,
7. Issuing the audit report,
8. Accepting corrective action(s) and conducting audit follow-up,
9. Closing the finding(s) and audit
Scheduling and Planning of Audit

Auditor is required to prepare an Audit Plan that details all requirements

necessary for successful implementation of the Audit, and at a minimum the
audit scheduling and planning process shall include the consideration of the
following:

• Audit objectives, scope and criteria

• Audit location(s) and activities to be audited
• Key contact with auditee
• Logistical requirements and arrangements
• travel itinerary for audit team
• cultural issues;
• any need for translators or interpreters

All audit modules shall be conducted within (e.g.12 months) period

Preparing audit
Audit Team leader has responsibility for having all pre-audit activities
accomplished in an organized and structured manner. The audit preparation
work shall include the consideration of the following:

• Determining the requirements for specialized operational and/or audit skills

• Select Audit team comprises only fully qualified auditors that are on its list of
approved auditors
• identification of the regulatory/company standards as the basis of the Audit
• Assigning tasks to the audit team
• Preparing checklists and working, including the effectiveness of corrective
action that has been implemented
• Considers relevant operational safety or security events that have occurred
• Consider relevant SLA (Service Level Agreement)

Auditor are impartial and functionally independent from operational areas to be

audited. Auditors shall be independent and shall not be required to audit their own
work area.
Opening Meeting
A formal Opening Meeting with the auditee will be held at the beginning of the on-
site assessment phase of the Audit. The designated Audit Team leader will normally
be the spokesperson. The following are to be discussed or accomplished during the
meeting:
• introduction of members of the audit team and representatives of the
auditee;
• exchange of contact information and establishment of lines of
communication;
• verification of the schedule of all activities, including the Closing Meeting;
• scope and objective of the Audit;
• roles and responsibilities of all parties associated with the audit, including
auditors, auditee representative, observers, escorts and others as
applicable;
• administrative arrangements for the Audit Team (e.g. meals, lodging,
meeting facilities,working hours, security clearances)

The overall objective of the opening meeting is to ensure that key administrative,
procedural and operational aspects of the Audit are clearly understood by all parties.
Opening Meeting (Cont’d)
• schedule of operational activities that will be assessed (line flights, pushback, etc.) and
verification of arrangements for travel and access to the various audit venues;
• methods that will be used by the Auditors to determine conformity (factual evidence);
• criteria and method of determining conformity (“documented” and “implemented”);
• brief description of audit follow-up process, including closure of Findings and verification;
• confidentiality of the Audit process;
• safety, security or emergency procedures, as applicable;
• conditions that may lead to termination of the audit/dispute resolution process;
On-site assessment
Auditor will be assessing all operational aspects of the organization within the
audit scope , and will be taking notes to record evidence that supports either
conformity or nonconformity with the requirement. The on-site assessment
process shall include the consideration of the following :
• Documented along with supporting objective evidence on the checklist
• reviewing manuals and other documentation relevant to the audit scope;
• interviewing relevant management and operational personnel;
• conducting observations of facilities, equipment and other resources;
• observing and assessing operational activities and processes;
• communicating information relative to real or potential findings and
observations to auditee representatives.
• Identification Badge - auditor are suggested to display the company
identification badge at all times when conducting the on-site assessment

Approved checklist is recommended to be used during on-site

assessment.
On-site assessment (Cont’d)
Audit findings are generally identified as the following categories:

1. Non-compliance (NCP) – Failure to fulfill, meet or be in accordance with

regulatory requirements. It represents a significant risk to the operation,
product or service that requires immediate or substantial corrective action to
be implemented without delay.

2. Non-conformance (NCF) – Non-fulfilment of specifications contained in

internal document as determined by the Auditor in terms of having been
documented and/or implemented by the service provider. An implementation
of corrective action is required within a reasonable time frame.

3. Observation (OBS) – A documented statement based on factual evidences

On-site assessment (Cont’d)
Do you still remember ?
On-site assessment (Cont’d)
On-site assessment (Cont’d)
Auditor shall ensures findings and observations are:

• identification of root cause

• generated against a specific company SOP or requirement
• based on objective evidence discovered during the audit
• discussed with the auditee during the audit in an attempt to achieve
agreement
• documented along with supporting objective evidence on the checklist

Standardized Audit - For audits conducted according to same requirement/standard

and it is imperative that each audit is conducted in a standardized and consistent
manner to ensure the reliability of the quality assurance programme
Closing meeting
At the end of the audit, prior to preparing the audit report, the auditor shall hold a
closing meeting/debriefing with the auditee or management representative(s) who is
responsible for the specific functions concerned. The objectives of the closing
meeting/debriefing are to:
• Present the audit findings and Observations, including supporting factual evidence in such a
manner so as to ensure that they clearly understand the objectives and results of the audit
• Deliver informal verbal comments to the auditee for the purpose of explaining, clarifying or
expanding upon certain operational issues associated with or raised during the Audit. Verbal
comments are the appropriate means for imparting information relevant to minor
discrepancies that did not warrant a Finding or Observation
• Discuss and establish mutually accepted timescales for corrective/preventive actions to audit
findings
• Ensure the auditee understands that Audit Closure can only be declared after corrective action
in accordance with the accepted Corrective Action Plan has been implemented by the
Operator and verified by the auditor

Findings are suggested to bring up and discuss with the auditee during the
audit, therefore, there should be no surprises at the closing meeting
Issue audit report
Auditor is required to be agreed with the auditee on the date of submission of
audit report. The audit report process shall include, but not limited to the
consideration of following:

• Audit Report shall include the completed findings and Corrective Action
Request for each finding and observation resulted from the audit
• Verbal comments delivered at the Closing Meeting are informal only and
should not to be documented in the report
• Audit Report shall identify the root causes and ownership of the problems

The root cause of individual finding shall be determined by the auditee

Accepting a corrective action and
conducting audit follow-up
During accepting a corrective action and conducting audit follow-up, auditor shall
ensure the action plan is to eliminate or resolve the cause(s) of a non-
compliance, discrepancy or undesirable situation in order to prevent future
recurrences. The acceptance process shall include the consideration of following:

• Method used to prevent future recurrences

• Verification of corrective action implementation according to agreed
timescale
• Evidence that provides proof corrective action has been implemented
• Accepting completed corrective action and closing findings
• Follow up audit as appropriate

Corrective action must address root cause(s) to eliminate the possibility of

recurrence of nonconformity
Example: Ramp Assessment
Ground vehicle left
unattended at ramp
with engine on!
Labelling
Labelling
Labelling

An A330 was
being pushed
back however, a
Boeing 767 tow
bar was in used…
What can
happen?
Shear pin broken and the pushback tug lost control!
Runway/Taxiway/Ramp Surface Condition
What is Acceptable ?
what can happen ?!
De/Anti-icing
 Caution : Primary/External Sensors
Now You See It
• Air Data;
Pilot/Static Probes
• Air Data; Angle of
Attack (AOA)
• Radio/Nav;
Antennaes Now You Don’t
Ramp Walk Round….what can happen ?!
Closing Audit
Declare audit closure on a specific date once all findings have been closed
through full implementation of comprehensive and permanent corrective
action in accordance with the accepted corrective action by the auditee and
such implementation has been verified by the auditor

Auditor shall notify auditee in writing following a declaration of audit closure

OUTSOURCING QUALITY
CONTROL
Requirement
IATA Standard Manual Ed4

ORG 3.5.1 The Operator shall have processes to ensure a contract or

agreement is executed with external service providers that conduct
outsourced operations, maintenance or security functions for the Operator.
Such contract or agreement shall identify measurable specifications that can
be monitored by the Operator to ensure requirements that affect the safety
and/or security of operations are being fulfilled by the service provider.

ORG 3.5.2 The Operator shall have processes to monitor external service
providers that conduct outsourced operations, maintenance or security
functions for the Operator to ensure requirements that affect the safety
and/or security of operations are being fulfilled.
Requirement (Cont’d)
IATA Standard Manual Ed4

ORG 3.5.4 If the Operator satisfies aircraft operational needs through a

wet lease agreement with another operator, the Operator shall have a
process to monitor the performance of such other operator to ensure
operational safety and security needs of the Operator are being fulfilled.

ORG 3.6.1 The Operator should have processes to ensure equipment or

other operational products relevant to the safety or security of aircraft
operations that are purchased or otherwise acquired from an external
vendor or supplier meet the product technical requirements specified by
the Operator prior to being used in the conduct of operations or aircraft
maintenance.
Accountability
While outsourcing may result in the day-to-day managerial responsibility
moving to the service provider, accountability for the transferred
operational function remains with the operator.

In such cases, even though the operational function is conducted by a

third party, the operator retains full responsibility for ensuring the
function is conducted in a manner that meets its operational safety and
security requirements.

Such responsibility, and hence the requirement for monitoring, is

retained by the operator for outsourcing to any service provider that is
external to us, including our parent organization or a separate affiliate.

The operator shall ensure that all risks associated with the outsourced
activity are addressed to the same extent as they would be if the activity
was performed “in-house”.
Service Level Agreement
SLA is a formal agreement, usually as part of a contract, between an
operator and an external service provider that specifies, in measurable
terms, the services the external provider is expected to perform. As a
minimum, the contract should address the following issues:

• Service levels and performance requirements

• Audit and monitoring procedures
• Business continuity plans
• Default arrangements and termination provisions
• Pricing and fee structure
• Dispute resolution arrangements
• Liability and indemnity
• Confidentiality, privacy and security of information

SLA is the basis for monitoring of the performance of the external service
provider by the operator
External Service Provider Monitoring
An operator has a responsibility to ensure outsourced functions are conducted
in a manner that meets its own operational safety and security requirements. A
monitoring process is necessary to satisfy that responsibility, and such
process would be applicable to any external service provider that conducts
outsourced operational functions for the operator, including the parent
organization or a separate affiliate of the operator.
Example:
Contracto
Section Monitoring
Regulat Company (Responsible
r
Process (Responsible SLA Ref Freq
ory Ref Doc Ref for
for
compliance)
execution)
Flight Data
Routine Replay
CAD360, FOQA Safety Flight Data
Data Service Yearly
CAD739 Manaul 3.2 Department Services Ltd.
Readout Agreement
p.4 Exhibit A
Benefit of QMS

Identifying areas requiring improvement and

hazards to operations.
Benefit of QMS (Cont’d)
Standardisation

52
Benefit of QMS (Cont’d)

Clear work instructions - Reduce legal liability towards

company in case of major incident or accident.

This kind of risk could be lowered by the presence of

Operation Manual as far as practical .

Clear work instruction also help to preserve knowledge in

the case of experienced staff leaving the company

Challenge: Are the current OM(s) reflect the overall activities

of your company?
Benefit of QMS (Cont’d)

Defined duties, roles and responsibilities – Reduce duplicate

effort or possible conflict due to ambiguous, unclear work
instruction.

Also, it provides a standardised means to measure staff

performance.

Challenge: Do you understand who is doing what, when

and how within your organisation?