Conducting Surveillance of CNS Providers

CHAPTER 2

CHAPTER 2

Conducting Surveillance of CNS

Conducting Surveillance of CNS

Providers

Providers

Definitions

Definitions

Surveillance:

Surveillance:

 A process through which the State proactively verifies

 A process through which the State proactively verifies

through inspections, audits and other activities that aviation licence,

through inspections, audits and other activities that aviation licence,

certificate, authorization or approval holders continue to meet the

certificate, authorization or approval holders continue to meet the

established requirements and function at the level of competency

established requirements and function at the level of competency

and safety required by the State.

and safety required by the State.

Audit: 

Audit: 

An in-depth review of the activities of an organization to verify

An in-depth review of the activities of an organization to verify

conformance to regulatory requirements.

conformance to regulatory requirements.

Inspection: 

Inspection: 

The basic activity of an audit, involving the systematic

The basic activity of an audit, involving the systematic

assessment of a specific characteristic of an organization to verify

assessment of a specific characteristic of an organization to verify

conformance to regulatory requirements or company approved

conformance to regulatory requirements or company approved

procedures.

procedures.

Overview

Overview



Audits/inspections of CNS service providers enable the CNS

Audits/inspections of CNS service providers enable the CNS

Inspectorate to:

Inspectorate to:



verify the CNS Providers' level of compliance with

verify the CNS Providers' level of compliance with

requirements.

requirements.



validate that preventive controls established by the CNS

validate that preventive controls established by the CNS

provider to mitigate risks are effective.

provider to mitigate risks are effective.



CAA therefore uses audits to answer the question, 

CAA therefore uses audits to answer the question, 

“Is it

“Is it

working?”

working?”



Audits may be systemic or targeted to specific facilities or

Audits may be systemic or targeted to specific facilities or

stations, and

stations, and



Audits may be conducted on-site or virtually, and include

Audits may be conducted on-site or virtually, and include

the review of documents, records, and other data provided

the review of documents, records, and other data provided

by the ANSP.

by the ANSP.

Overview

Overview

Safety Audits/inspections;

Safety Audits/inspections;



Provide the oversight organization and other authorities

Provide the oversight organization and other authorities

with evidence of ANSP’s compliance with applicable safety

with evidence of ANSP’s compliance with applicable safety

processes, regulatory requirements, and implementation

processes, regulatory requirements, and implementation

arrangements, and attempt to identify the need for

arrangements, and attempt to identify the need for

improvement or corrective action;

improvement or corrective action;



Are independent of CNS provider’s internal safety audits

Are independent of CNS provider’s internal safety audits

undertaken as part of its safety, quality control, quality

undertaken as part of its safety, quality control, quality

assurance, and/or quality management systems;

assurance, and/or quality management systems;



Are conducted by qualified CNS oversight inspectors; and

Are conducted by qualified CNS oversight inspectors; and



Lead to the correction of any identified non-compliance

Lead to the correction of any identified non-compliance

issues.

issues.

TYPES OF AUDIT

TYPES OF AUDIT



Pre-certification Audit/inspection (phase 4);



Post certification/routine conformance

Audit/inspection;



Additional authority Audit/inspection;



Special-purpose Audit/inspection.

TYPES OF AUDIT

TYPES OF AUDIT

Pre-certification Audit/Inspection

Pre-certification Audit/Inspection



Pre-certification Audit/inspection will be

conducted prior to the issuance of the certificate.

This occurs at the fourth stage- Demonstration and

inspection phases of the ANSP certification

process.

TYPES OF AUDIT

TYPES OF AUDIT

Post certification/routine conformance

Post certification/routine conformance

Inspection/Audit;

Inspection/Audit;



A Post certification/ routine conformance

Audit/inspection will be conducted for the

purpose of determining an organization’s overall

level of conformance to regulatory requirements

after the ANSP have been certificated. All

applicable characteristics of the organization will

be subject to review.

TYPES OF AUDIT

TYPES OF AUDIT

Additional authority Audit/Inspection

Additional authority Audit/Inspection



An additional authority Audit/inspection may be

conducted prior to the granting of an additional

authority. Prior notification to the organization is

not required.

TYPES OF AUDIT

TYPES OF AUDIT

Special-purpose Audit/Inspection

Special-purpose Audit/Inspection



A special-purpose Audit/Inspection is one conducted to

respond to safety concerns or circumstances other than

those requiring a pre-certification Audit/inspection, an

additional authority Inspection/Audit or a routine

conformance Audit/inspection.



A special purpose audit may be convened with little or

no notice arising from safety concern (e.g. Adhoc

surveillance).



A special purpose Audit/inspection may preclude certain

team-member activities and responsibilities that would be

normally associated with other types of Audit/inspections.

Audit/Inspection Phases

Audit/Inspection Phases

THREE distinct phases:



Pre-Audit/Inspection;



Physical Audit/Inspection;



Post- Audit/Inspection; and

Audit/Inspection follow-up

Audit/Inspection Phases

Audit/Inspection Phases

Pre-Audit/Inspection Phase

Pre-Audit/Inspection Phase



Pre-Audit/Inspection activities involve

notifying the organization, selecting an

Audit/Inspection team, developing an

Audit/Inspection plan, reviewing files and

related documentation and convening

the pre- Audit/Inspection team meeting.

Audit/Inspection Phases

Audit/Inspection Phases

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase



The physical Audit/Inspection phase will be

implemented in accordance with the Audit/Inspection

plan.



The purpose of this phase is to verify conformance with

regulatory requirements and to assign findings where

non-conformance has been confirmed.



Audit/Inspection results will be communicated to the

organization under review at daily meetings and/or the

exit meeting.



Once an Audit/Inspection has commenced, it should

not be terminated without approval of the Head of the

inspectorate

Audit/Inspection Phases

Audit/Inspection Phases

Post- Audit/Inspection & follow up Phase

Post- Audit/Inspection & follow up Phase



Post-Audit/Inspection activities include

completion of administrative details and

production of the Audit/Inspection report

Planning a CNS Inspection

Planning a CNS Inspection

Audit/Inspection Programme

Audit/Inspection Programme

The ANS- CNS oversight department is required to establish

The ANS- CNS oversight department is required to establish

and implement, a surveillance programme which should

and implement, a surveillance programme which should

include, at a minimum, the elements below;

include, at a minimum, the elements below;



the types of surveillance activities (e.g. audits, inspections,

the types of surveillance activities (e.g. audits, inspections,

tests, safety events analyses);

tests, safety events analyses);



the timeframe or frequency of the activities;

the timeframe or frequency of the activities;



items to be covered or scope of the activities; and

items to be covered or scope of the activities; and



related methodology/procedures, job aids and guidance

related methodology/procedures, job aids and guidance

on how the activity should be conducted, starting from

on how the activity should be conducted, starting from

the notification of the service provider, if applicable, to

the notification of the service provider, if applicable, to

the closure of the deficiencies identified during the

the closure of the deficiencies identified during the

activities

activities

Planning a CNS Inspection

Audit/Inspection programme

Audit/Inspection programme

The oversight audit program should;

The oversight audit program should;



Enable audit/inspection of areas of potential

Enable audit/inspection of areas of potential

safety concern with the highest identified risk, or

safety concern with the highest identified risk, or

with a focus on those areas where problems have

with a focus on those areas where problems have

been identified;

been identified;



Cover all the functions/stations within CNS

Cover all the functions/stations within CNS

provider organizations, services and network;

provider organizations, services and network;



Ensure that audits are conducted in a manner

Ensure that audits are conducted in a manner

commensurate to the level of risk posed by the

commensurate to the level of risk posed by the

CNS provider’s activities;

CNS provider’s activities;

Planning a CNS Inspection

Planning a CNS Inspection

Audit/Inspection programme

Audit/Inspection programme

The oversight audit program should;

The oversight audit program should;



Ensure that sufficient audits are conducted on a

Ensure that sufficient audits are conducted on a

consistent basis, to check the compliance of all

consistent basis, to check the compliance of all

CNS organizations, as pertains to applicable safety

CNS organizations, as pertains to applicable safety

processes, and regulatory requirements in all the

processes, and regulatory requirements in all the

relevant areas of the functional system; and,

relevant areas of the functional system; and,



Enable conduct of follow-up activities to ensure

Enable conduct of follow-up activities to ensure

effective implementation of corrective actions.

effective implementation of corrective actions.

Planning a CNS Inspection

Planning a CNS Inspection

Elements of surveillance Program

Elements of surveillance Program

a)

The CNS provider/Station to be audited

The CNS provider/Station to be audited

b)

Audit/inspection type

Audit/inspection type

c)

The team composition

The team composition

d)

Budget

Budget

e)

Audit/inspection dates

Audit/inspection dates

Planning a CNS Inspection

Planning a CNS Inspection

Factors that influence the scope and depth of a

Factors that influence the scope and depth of a

surveillance programme

surveillance programme



type of the Inspection/Audit;

type of the Inspection/Audit;



the period back in time that systems are subject to review

the period back in time that systems are subject to review

(typically from the last Inspection/Audit to the present);

(typically from the last Inspection/Audit to the present);



the enforcement record of the organization;

the enforcement record of the organization;



the confidence in corrective actions taken by the

the confidence in corrective actions taken by the

organization as a result of a previous Inspection/Audit;

organization as a result of a previous Inspection/Audit;

and

and



Inspector/Auditor and financial resources available.

Inspector/Auditor and financial resources available.

Handout H2.1

Handout H2.1

Planning a CNS Inspection

Planning a CNS Inspection

Audit Plans

Audit Plans



For each individual CNS inspector approved to carry out

For each individual CNS inspector approved to carry out

aviation activities, a periodic surveillance plan should be

aviation activities, a periodic surveillance plan should be

developed based on the applicable surveillance

developed based on the applicable surveillance

programme.

programme.



For each surveillance activity on the service provider, a

For each surveillance activity on the service provider, a

surveillance plan should be developed

surveillance plan should be developed



The surveillance plan should detail the type of activities to be

The surveillance plan should detail the type of activities to be

performed and the specified timeframe as well as the scope

performed and the specified timeframe as well as the scope

of each activity, as applicable.

of each activity, as applicable.



The purpose of the safety oversight audit plan is to outline the

The purpose of the safety oversight audit plan is to outline the

sequential process of the on-site audit and provide the CNS

sequential process of the on-site audit and provide the CNS

provider with valuable information on the conduct of the

provider with valuable information on the conduct of the

audit

audit

Planning a CNS Inspection

Planning a CNS Inspection

Contents of an audit plan

Contents of an audit plan



dates of the on-site/virtual safety oversight audit;

dates of the on-site/virtual safety oversight audit;



objectives of the safety oversight audit;

objectives of the safety oversight audit;



scheduled dates for opening and closing meetings;

scheduled dates for opening and closing meetings;



identification of the CNS provider’s key personnel

identification of the CNS provider’s key personnel

(safety oversight coordinator would have been

(safety oversight coordinator would have been

already appointed and acknowledged to Authority);

already appointed and acknowledged to Authority);



scope of the on-site safety oversight audit to be

scope of the on-site safety oversight audit to be

conducted and audit areas to be covered;

conducted and audit areas to be covered;



identification of documents necessary to conduct the

identification of documents necessary to conduct the

safety oversight audit;

safety oversight audit;

Planning a CNS Inspection

Contents of an audit plan

Contents of an audit plan



travel and administration plans (security clearances, health

travel and administration plans (security clearances, health

requirements, etc.) as well as the travel schedules of audit

requirements, etc.) as well as the travel schedules of audit

members;

members;



the language to be used for the safety oversight audit, the

the language to be used for the safety oversight audit, the

audit preparation briefing material for team members and

audit preparation briefing material for team members and

the on-site audit mission package;

the on-site audit mission package;



identification of priority issues brought to the attention of

identification of priority issues brought to the attention of

ATS/SAR provider from reviewing material   provided and

ATS/SAR provider from reviewing material   provided and

other documents available to CAA or information received

other documents available to CAA or information received

on the status of Services

on the status of Services



Team members’ assignments and responsibilities.

Team members’ assignments and responsibilities.

Handout H 2.2

Handout H 2.2

Pre-Audit Activities

Pre-Audit Activities

Pre-Audit Activities

Pre-Audit Activities

Audit Research

Audit Research



Throughout the audit preparation process, audit team members should

Throughout the audit preparation process, audit team members should

thoroughly research the upcoming audit to ensure that all applicable

thoroughly research the upcoming audit to ensure that all applicable

requirements have been captured, and that they have not changed.

requirements have been captured, and that they have not changed.

Reference may be made to the ICAO standards as well as respective State

Reference may be made to the ICAO standards as well as respective State

regulations and directives, standard operating procedures, corrective action

regulations and directives, standard operating procedures, corrective action

plans, etc.

plans, etc.



Important research questions include:

Important research questions include:



What initiated the audit?

What initiated the audit?



What are the results of any past audits on the audit area?

What are the results of any past audits on the audit area?



Are there enforcement actions against the service provider related to this

Are there enforcement actions against the service provider related to this

audit area?

audit area?



Which requirements are applicable to this audit area?

Which requirements are applicable to this audit area?

Audit/Inspection Plan

Audit/Inspection Plan

C

C

a

a

s

s

e

e

S

S

c

c

e

e

n

n

a

a

r

r

i

i

o

o

P

P

r

r

a

a

c

c

t

t

i

i

c

c

a

a

l

l

E

E

x

x

e

e

r

r

c

c

i

i

s

s

e

e

-

-

P

P

r

r

e

e

p

p

a

a

r

r

a

a

t

t

i

i

o

o

n

n

o

o

f

f

a

a

n

n

I

I

n

n

s

s

p

p

e

e

c

c

t

t

i

i

o

o

n

n

P

P

l

l

a

a

n

n

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase



The physical Audit/Inspection phase will be

The physical Audit/Inspection phase will be

implemented in accordance with the

implemented in accordance with the

Audit/Inspection plan.

Audit/Inspection plan.



The purpose of this phase is to verify conformance

The purpose of this phase is to verify conformance

with regulatory requirements and to assign findings

with regulatory requirements and to assign findings

where non-conformance has been confirmed.

where non-conformance has been confirmed.



Audit/Inspection results will be communicated to

Audit/Inspection results will be communicated to

the organization under review at daily meetings

the organization under review at daily meetings

and/or the exit meeting.

and/or the exit meeting.



Once an Audit/Inspection has commenced, it

Once an Audit/Inspection has commenced, it

should not be terminated without approval of the

should not be terminated without approval of the

Head of the inspectorate

Head of the inspectorate

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

Audit teams are expected to:

Audit teams are expected to:



conduct an opening meeting with facility

conduct an opening meeting with facility

management;

management;



collect data, analyze collected data and verify

collect data, analyze collected data and verify

that analysis;

that analysis;



record findings;

record findings;



conduct team briefings; and

conduct team briefings; and



conduct a closing meeting with facility

conduct a closing meeting with facility

management while conducting on-site audits.

management while conducting on-site audits.

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

Opening Meeting

Opening Meeting



The Audit/Inspection team should conduct an

The Audit/Inspection team should conduct an

entry meeting on the first day of the

entry meeting on the first day of the

audit/inspection with the audited party so that

audit/inspection with the audited party so that

both parties have an opportunity to meet and

both parties have an opportunity to meet and

discuss on relevant details and arrangements.

discuss on relevant details and arrangements.



The entry meeting should set the tone for the

The entry meeting should set the tone for the

physical Audit/Inspection and should be attended

physical Audit/Inspection and should be attended

by the CNS provider’s senior management and all

by the CNS provider’s senior management and all

members of the Audit/Inspection team.

members of the Audit/Inspection team.

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

Opening Meeting Elements

Opening Meeting Elements



Thank the Auditee for cooperation



Introduce yourself and team member(s) present



Explain the purpose of the Audit



Review objectives and principles of the audit

(responsibilities and duties of the Auditee and the audit

team).



Describe the audit process and methods of gathering

information (e.g. observation, discussion, review of

documents) during the audit.



Briefly present the audit plan with the objective to adjust

and confirm it.

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

Opening Meeting Elements

Opening Meeting Elements



Confirm the arrangements for the post-audit debriefing

(location, participants)



Explain the reporting system, including the audit report and

the action plan



Identify who is designated by the Auditee to receive the

audit report



Be receptive to any special concerns from the Auditee with

regard to the performance of the auditor areas to be

observed



Confirm the location of the audit team facilities and any

other administrative details

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

Evidence Gathering Techniques

Evidence Gathering Techniques

The following methods will be used to gather

The following methods will be used to gather

information

information



Detailed documentation review

Detailed documentation review



Random sampling of documentation

Random sampling of documentation



Interviews

Interviews



Observations

Observations



Checklists

Checklists

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

Evidence Gathering Techniques

Evidence Gathering Techniques

1. Interviewing CNS Provider’s Personnel

1. Interviewing CNS Provider’s Personnel

Figure 2: Types of interviews

Figure 2: Types of interviews

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

Figure 3: In-depth Interviews

Figure 3: In-depth Interviews

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

Interviewing The CNS Provider’s Personnel

Interviewing The CNS Provider’s Personnel



In-depth interviews are the best since they involve a one on

In-depth interviews are the best since they involve a one on

one interaction and designed to provide a detailed picture

one interaction and designed to provide a detailed picture

of the audited/inspected entity.

of the audited/inspected entity.



Responses given by the auditee should be documented

Responses given by the auditee should be documented

during or as soon as possible following the interview.

during or as soon as possible following the interview.

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

2. Observation

2. Observation



It offers the inspector the opportunity to gather ‘live’ data

It offers the inspector the opportunity to gather ‘live’ data

from naturally occurring situations e.g. Checking status of

from naturally occurring situations e.g. Checking status of

systems in the equipment rooms

systems in the equipment rooms



In this way the auditor/inspector can look directly at what is

In this way the auditor/inspector can look directly at what is

taking place rather than relying on second-hand accounts.

taking place rather than relying on second-hand accounts.



What people do sometimes differs from what they say and

What people do sometimes differs from what they say and

observation provides a reality check.

observation provides a reality check.

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

2. Observation

2. Observation

When doing observations consider the following:

When doing observations consider the following:



Do I want to look, or listen, or hear or both?

Do I want to look, or listen, or hear or both?



Do I want to observe in real time, or later, or both?

Do I want to observe in real time, or later, or both?



If in real time, do I record on paper or electronically?

If in real time, do I record on paper or electronically?



If later, do I capture events by voice recorder, or video, or still

If later, do I capture events by voice recorder, or video, or still

camera, or in text

camera, or in text



Do I want to observe continuously, or for fixed periods, or at fixed

Do I want to observe continuously, or for fixed periods, or at fixed

intervals?

intervals?



Do I want to observe the whole arena, or just part of it?

Do I want to observe the whole arena, or just part of it?



Do I want to observe the same events/people all the time, or to

Do I want to observe the same events/people all the time, or to

change?

change?



Do I want to do the observation myself or involve others?

Do I want to do the observation myself or involve others?

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

An effective audit Team shall:

An effective audit Team shall:



Exercise good time management

Exercise good time management



Use checklists to collect evidence

Use checklists to collect evidence



Employ positive questioning techniques and listen to the

Employ positive questioning techniques and listen to the

auditee’s response

auditee’s response



Take notes

Take notes



Sample evidence provided

Sample evidence provided



Link evidence together for trends

Link evidence together for trends



Summarize the findings

Summarize the findings

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

Daily briefings

Team briefings



ensure adherence to the Inspection/Audit plan;



validate confirmation requests and Inspection/Audit

findings;



resolve issues or problems arising from the day’s activities;

and



provide the team leader with the information necessary

to update the Authority where applicable

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

Daily briefings

ANSP Briefings



Scheduled to minimize any disruption



Update the ANSP’s management on Inspection/Audit

progress



D

iscuss any Inspection/Audit findings that have been

identified.

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

Exit meeting.

Exit meeting.



On completion of an audit, the auditors convene a post-audit

On completion of an audit, the auditors convene a post-audit

meeting with the officer in-charge of the audited party.

meeting with the officer in-charge of the audited party.



The auditors have the discretion to either hold such meeting on the

The auditors have the discretion to either hold such meeting on the

same day of the audit or choose another date for this occasion.

same day of the audit or choose another date for this occasion.



The purpose of this meeting is to provide both the audit team and the

The purpose of this meeting is to provide both the audit team and the

audited party an opportunity to cover the following aspects:

audited party an opportunity to cover the following aspects:

a)

Review of the objective and scope of the audit;

Review of the objective and scope of the audit;

b)

Summary of the audit activities;

Summary of the audit activities;

c)

Presentation of draft findings and recommendations; and

Presentation of draft findings and recommendations; and

d)

Agree on post-audit actions by both the audit team and the

Agree on post-audit actions by both the audit team and the

audited party.

audited party.

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

Completing Checklists.

Completing Checklists.

Purpose of Checklists

Purpose of Checklists

;

;



Checklists provide a systematic approach for the

Checklists provide a systematic approach for the

conduct of an Audit/Inspection and are designed

conduct of an Audit/Inspection and are designed

to identify specific items for review and make

to identify specific items for review and make

reference to the applicable regulatory requirement,

reference to the applicable regulatory requirement,

be it to a regulation, standard or control manual

be it to a regulation, standard or control manual

requirement.

requirement.



Checklists should not limit the Auditor/Inspector’s

Checklists should not limit the Auditor/Inspector’s

ability to explore other areas where warranted.

ability to explore other areas where warranted.

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

Completing Checklists.

Completing Checklists.

Audit/Inspection checklists will:

Audit/Inspection checklists will:



be used to guide the Audit/Inspection;

be used to guide the Audit/Inspection;



be completed or have areas that were not

be completed or have areas that were not

completed so annotated; and

completed so annotated; and



be signed and dated by the team member using

be signed and dated by the team member using

the checklist.

the checklist.

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

Completing Checklists.

Completing Checklists.



Use of the applicable checklist(s) is mandatory



A

ssist Inspectors/Auditors in determining the level of conformance to

regulatory requirements



Based on the results of the completed checklist, a determination of the

strengths and weaknesses of the ANSP’s control system will be possible



Although each item on the checklist need not be checked, this system

will be most effective if all items are evaluated



There may be times where it is not possible to review a particular

specialty area element.

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

Completing Checklists.

Completing Checklists.



Checklists assist the inspection/audit team to;

Checklists assist the inspection/audit team to;

(a)

confirm whether the ANSP’s operation conforms to

confirm whether the ANSP’s operation conforms to

regulatory requirements;

regulatory requirements;

(b)

confirm whether controls are operating effectively and as

confirm whether controls are operating effectively and as

intended and specified in the appropriate manual; and

intended and specified in the appropriate manual; and

(c)

gather evidence or supporting documentation and

gather evidence or supporting documentation and

prepare an inspection/audit finding, where non-

prepare an inspection/audit finding, where non-

conformance with a regulatory requirement is identified

conformance with a regulatory requirement is identified

,

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

Completing Checklists.

Completing Checklists.



The CNS inspector is expected to make entries/complete

The CNS inspector is expected to make entries/complete

the checklist to indicate the level of compliance by the

the checklist to indicate the level of compliance by the

service provider.

service provider.



The checklist is divided into several areas depending on

The checklist is divided into several areas depending on

State guidelines.

State guidelines.

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

Completing Checklists.

Completing Checklists.

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

Completing Checklists.

Completing Checklists.

A CNS Inspection checklist would typically consist of various elements;

A CNS Inspection checklist would typically consist of various elements;



Organization/Administrative Issues/Documentation

Organization/Administrative Issues/Documentation



Processes/Procedures

Processes/Procedures



Personnel Requirements/Training

Personnel Requirements/Training



Facilities –Communication, Navigation, Surveillance, Auxiliary Systems

Facilities –Communication, Navigation, Surveillance, Auxiliary Systems

Note: The above elements are checked against the regulations in force

and approved operating procedures.

Handouts H2.3/2.4

Physical Audit/Inspection Phase

Physical Audit/Inspection Phase

   EX 2.2 – Case Scenario

   EX 2.2 – Case Scenario

Conducting Inspection/Completing CNS Inspection

Conducting Inspection/Completing CNS Inspection

Checklist

Checklist

Post-Audit/Inspection & follow up Phase

Post-Audit/Inspection & follow up Phase



Post-Audit/Inspection activities include completion of

Post-Audit/Inspection activities include completion of

administrative details and production of the

administrative details and production of the

Audit/Inspection report.

Audit/Inspection report.



Audit/Inspection follow-up includes acceptance of the

Audit/Inspection follow-up includes acceptance of the

organization’s corrective action plan, verification of full

organization’s corrective action plan, verification of full

implementation of that plan and formal closure of the

implementation of that plan and formal closure of the

Audit/Inspection by the team leader.

Audit/Inspection by the team leader.

Note:

Note:

 The CNS inspectorate should establish and implement,

 The CNS inspectorate should establish and implement,

a system for record-keeping and filing.

a system for record-keeping and filing.