Audit Policy and Procedure Manual - Civil Aviation Authority of Nepal
Audit Policy and Procedure Manual - Civil Aviation Authority of Nepal Audit Policy and Procedure Manual - Civil Aviation Authority of Nepal
Civil Aviation authority of Nepal(d)(e)(f)(g)(h)(i)(j)3.5.5.3 Audit ClosureAudit Policy and Procedure Manualensure that each proposed corrective action will rectify the non-compliance andprevent its recurrence;determine that the auditee has developed a reasonable timetable for long-termcorrective action and ensure that the proposed completion date is indicated on theappropriate section of the corrective action Plan.approve the corrective action plan in co-ordination with the responsibleInspector and where necessary, the chief of division and appropriate team leaderand/or team member;determine for each corrective action plan item whether the follow-up is to beadministrative or on-site and indicate so on the corrective action form orcorrective action tracking form;monitor the progress of the corrective action plan by maintaining the follow-upsection of the Audit Finding Form/ Discrepancy Reporting Form and ensuring thatthe appropriate follow-up (administrative or on-site) has been conducted;ensure that all completed Audit Finding Form/ Discrepancy Reporting Form, togetherwith any supporting documentation, are placed on the audit file;advise the responsible manager when all corrective actions have beencompleted.(1) To enable the CAA Nepal to close regulatory audits within 12 months following CorrectiveAction Plan (CAP) acceptance, the following process should be applied. As a rule, the CAPshould aim at having all corrective action in place within 90 days. However, it is not alwayspossible to meet these deadlines and special consideration may be required to ensure auditclosure in a timely fashion.(2) Audit findings will be categorized as follows:(a)(b)(c)Issue: 2Revision: 00Date: June 2013An immediate safety issue, corrective action must be carried out immediately inorder for the organization to continue their activities. The finding should be writteninto the report. Should long-term corrective actions be required, depending onthe circumstances, this will be dealt with as identified in paragraphs (b),(c) or(d).Corrected within 30 days, normally the majority of findings should fall into thiscategory. The accepted CAP must indicate that the long and short-termcorrective action will be in place within 30 days. The CAA Nepal will ensurefollow-up action.Corrected between 90 days and twelve months, in cases where it isanticipate that the corrective action will take more than 90 days after CAPacceptance. A risk assessment should be completed by the relevant organizationbefore accepting the CAP.27
Civil Aviation authority of NepalAudit Policy and Procedure Manual(d)Longer than 12 months, in cases where it is not possible or reasonable to applythe corrective action within 12 months of acceptance of the CAP, a risk assessmentstudy should be completed by the relevant organization. If the risk assessmentconfirms that the proposed period of time is justified, an exemption shouldbe issued. The corrective action would therefore be completed.(3) The regulatory audit can be closed by the CAA Nepal 12 months after CAP acceptance,since the corrective action has either been completed or assessed to the point whereby anexemption could be issued.(4) The responsible Inspector(s) will confirm that all follow-up actions have beencompleted, entered in the CAA Nepal database and will so advise the Director, FlightSafety Standards Department. The Team Leader will then forward a letter to the auditeeinforming them that the audit is closed.3.5.6 Audit Follow-up Action(1) Once the audit report has been sent to the auditee, the necessity or extent of anyfollow-up action will be determined by the chief of division after consulting with theDirector, Flight Safety Standards Department. A decision record will highlight those auditfindings that are to be investigated by and followed-up by the chief of division. This record willform part of the audit file.(2) The co-ordination outlined in subsection (1) may take place as a discrete activity or,alternatively, as a function of an audit review committee.3.5.7 Audit Report Review Committee(1) The audit report review committee will be convened at the direction of the CAA Nepal.Audit reports resulting from combined audits should normally be subject to committeereview, as should specialty audits of organizations with complex operations.(2) The purpose of the audit report review committee is as follows:(a)(b)(c)(d)to confirm the technical accuracy of the report with special attention given to theauditee's description, the functional and specialty area summaries, and the auditfindings;to ensure that the report is an objective account of the audit and that nosubjective statements are included in the report;to ensure that statements made in the functional and specialty area summaries aresupported by the actual audit findings; andto determine if any findings identified in the report should be subject to furtherinvestigation.(3) The audit report review committee will consist of the Nominated Person by DirectorGeneral, Director Flight Safety Standards Department, chief of Division depending on theaudit report functional area.Issue: 2Revision: 00Date: June 201328
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<strong>Civil</strong> <strong>Aviation</strong> authority <strong>of</strong> <strong>Nepal</strong><strong>Audit</strong> <strong>Policy</strong> <strong>and</strong> <strong>Procedure</strong> <strong>Manual</strong>(d)Longer than 12 months, in cases where it is not possible or reasonable to applythe corrective action within 12 months <strong>of</strong> acceptance <strong>of</strong> the CAP, a risk assessmentstudy should be completed by the relevant organization. If the risk assessmentconfirms that the proposed period <strong>of</strong> time is justified, an exemption shouldbe issued. The corrective action would therefore be completed.(3) The regulatory audit can be closed by the CAA <strong>Nepal</strong> 12 months after CAP acceptance,since the corrective action has either been completed or assessed to the point whereby anexemption could be issued.(4) The responsible Inspector(s) will confirm that all follow-up actions have beencompleted, entered in the CAA <strong>Nepal</strong> database <strong>and</strong> will so advise the Director, FlightSafety St<strong>and</strong>ards Department. The Team Leader will then forward a letter to the auditeeinforming them that the audit is closed.3.5.6 <strong>Audit</strong> Follow-up Action(1) Once the audit report has been sent to the auditee, the necessity or extent <strong>of</strong> anyfollow-up action will be determined by the chief <strong>of</strong> division after consulting with theDirector, Flight Safety St<strong>and</strong>ards Department. A decision record will highlight those auditfindings that are to be investigated by <strong>and</strong> followed-up by the chief <strong>of</strong> division. This record willform part <strong>of</strong> the audit file.(2) The co-ordination outlined in subsection (1) may take place as a discrete activity or,alternatively, as a function <strong>of</strong> an audit review committee.3.5.7 <strong>Audit</strong> Report Review Committee(1) The audit report review committee will be convened at the direction <strong>of</strong> the CAA <strong>Nepal</strong>.<strong>Audit</strong> reports resulting from combined audits should normally be subject to committeereview, as should specialty audits <strong>of</strong> organizations with complex operations.(2) The purpose <strong>of</strong> the audit report review committee is as follows:(a)(b)(c)(d)to confirm the technical accuracy <strong>of</strong> the report with special attention given to theauditee's description, the functional <strong>and</strong> specialty area summaries, <strong>and</strong> the auditfindings;to ensure that the report is an objective account <strong>of</strong> the audit <strong>and</strong> that nosubjective statements are included in the report;to ensure that statements made in the functional <strong>and</strong> specialty area summaries aresupported by the actual audit findings; <strong>and</strong>to determine if any findings identified in the report should be subject to furtherinvestigation.(3) The audit report review committee will consist <strong>of</strong> the Nominated Person by DirectorGeneral, Director Flight Safety St<strong>and</strong>ards Department, chief <strong>of</strong> Division depending on theaudit report functional area.Issue: 2Revision: 00Date: June 201328
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