Audit Policy and Procedure Manual - Civil Aviation Authority of Nepal

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Civil Aviation authority of Nepal2.5 Audit Classification2.6 ScopeAudit Policy and Procedure ManualAudits are classified as "combined" or "specialty". A combined audit will target more thanone functional area whereas a specialty audit will focus on specialty areas, or elements(checklists) thereof, within a single functional area.2.6.1 CriteriaThe scope of an audit is influenced by the following:(a)(b)(c)(d)(e)(f)the type and classification of the audit;the period back in time that systems are subject to review (typically from thelast audit to the present);the enforcement record of the organization;the time since the last audit (frequency of inspection);the confidence in corrective actions taken by the organization as a result of aprevious audit; andinspector availability.2.6.2 Consultation RequirementFor other than routine compliance audits, the CAAN will be consulted before the scope ofa particular audit is determined.2.7 FrequencyAudits are carried out as per annual surveillance plan. This period is extended if anorganization's SMS demonstrates a high level of compliance with applicable standards andhas a well managed self-audit and safety oversight program in place, or as appropriate tothe nature of operations. Inspections can be used;To validate confidence in the certificate holder's obligations to collectively meet theauditing assessment requirement; andTo assess compliance with agreed corrective action plans resulting from previousaudit findings.2.8 Overseas Audit Budgets2.8.1 GeneralThe audit team leader is responsible for resource utilisation and control during audits. Whereapplicable, forecast expenditures will be included in the proposed audit plan, to be approvedby the Director of Department, and should include a breakdown of travel and dailyallowance costs for all inspection activities. Once the budget has been approved, theaudit team leader will ensure that expenditures fall within approved allocation areas. Uponcompletion of the audit, the audit leader will provide the Director of Department with anexpense summary.Issue: 2Revision: 00Date: June 20137
Civil Aviation authority of NepalIssue: 2Revision: 00Date: June 2013Audit Policy and Procedure Manual2.9 Audit PhasesThe audit process consists of the following four distinct phases:pre-audit;physical audit;post-audit; andaudit follow-up.2.9.1 Pre - Audit(1) Planning and preparation during the pre-audit phase will ensure that the objectives of theaudit are achieved effectively, efficiently and economically. The time schedule and thepersonnel and financial resources required will be determined by the scope of the proposedaudit. This will be addressed and justified within the audit plan.(2) Information gathered during the pre-audit phase will assist the audit team in(a)(b)(c)(d)2.9.2 Physical Auditidentifying the specific areas, systems and activities to be inspected;selecting the appropriate inspection checklists;determining if the scope of the audit is adequate; andFinalizing the audit plan.The physical audit phase will be implemented in accordance with the audit plan. Thepurpose of this phase is to verify compliance with regulatory requirements and to assignfindings where compliance has not been confirmed. Audit results will be communicated tothe organization under review at daily meetings and/or the exit meeting.2.9.3 Post-AuditPost-audit activities include completion of administrative details and production of the auditreport.2.9.4 Audit Follow-upAudit follow-up includes the development and approval of the organization's correctiveaction plan, ensures full implementation of that plan, and includes formal closure of theaudit by the CAA Nepal.2.10 Checklists2.10.1 Purpose(1) Checklists provide a systematic approach for the conduct of an inspection and aredesigned to identify specific items for review and make reference to the applicableregulatory requirement, be it to a regulation or standard requirement. AirworthinessInspector Handbook and Flight Operations Inspector Handbook includes checklist for theinspectors for various purposes.(2) Checklists should not limit the inspector's ability to explore other areas wherewarranted.8
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