Section/division: FLIGHT OPERATIONS Form Number: CA 121-18a

Telephone number: 011-545-1000 Fax Number: 011-545-1350

Physical address: Ikhaya Lokundiza, 16 Treur Close, Waterfall Park, 10 Bekker Street, Midrand, Gauteng
Postal address: Private Bag X73, Halfway House 1685 Website: www.caa.co.za

AUDIT & INSPECTION CHECKLIST:

OPERATORS (PART 121)

Name of operator
Physical address

Postal code
Postal address

Postal code
Telephone number Fax number
Cell phone number E-mail address

Audit team

Base of operations
Class and type of licences
Operations
Date application received
number
Date of last audit
Date of this audit
Date AOC issued

CA 121-18 16 April 2019 Page 1 of 20

NOTES:
INSPECTION AND AUDIT FUNCTIONS
CAA inspection and audit functions confirm that an operator is in compliance with regulatory requirements.

There will be times when it is not possible or necessary to review or examine 100% of a company’s
operation. This is when sampling principles apply.

Inspection and audit checklists have been developed to provide a systematic approach to the inspection of
an operator’s various specialty areas. The checklists are designed to identify specific items within each
specialty area and to make reference to applicable regulatory requirements. Items must be checked for
documentation (DOC) and implementation (IMPL) of the various items. To be satisfactory, items must be
both documented and implemented. The term “documentation” refers to the system of company manuals
and all related documents. Where applicable, evidence must be supplied to confirm implementation, e.g.
minutes of meetings and other supplementary documentation, or any other proof that processes have been
implemented.

The “Note” (Note Number) column must be used to refer to the “NOTES” pages for detailed explanations. If
an item is not applicable, it must be marked as such in the ”Note” column. Where operators fail to comply
with these requirements, they will be considered to be in non-compliance and will be required to undertake
corrective action.

A Safety Management System (SMS) is compulsory for all start-up operators as from January 2009 and for
all existing operators with a valid AOC as of January 2010, and where appropriate an FRMS as from
November 2013

AUDIT PLANNING
The following should be considered when scheduling an audit:

• The feasibility of the audit dates and time-periods with consideration given to availability of
inspectors and the operator’s personnel.

• The allocation of time for pre-audit/ inspection activities.

• Team member travel requirements.

• The compiling of the required documentation.

• The contents of the operator’s Operations Manual and file should be studied for background
knowledge and to detect any shortcomings/ anomalies.

PRE-AUDIT MEETING (“PRE-BRIEF”)

A pre-audit team meeting is important as it informs team members of the expectations of the team leader. It
also provides an opportunity for team members to clear up any questions and gain clarity on their specific
roles.

ENTRY MEETING (“IN-BRIEF”)

An entry meeting must be held. It is important in that it establishes communications between the Operator’s
and CAA’s audit teams. (See appendix for an agenda).

AUDIT FINDINGS
Audit findings are the foundation of the audit report so it is important that they be completed in accordance
with the latest requirements.

CLOSING MEETING (“OUT-BRIEF”)

The closing meeting is conducted to ensure that the Operator’s senior management have been fully
debriefed on the results of the audit.

CA 121-18 16 April 2019 Page 2 of 20

 Not
CAR Ref REQUIREMENTS N/A Satisfactory
Satisfactory Note Number

CAR
part 121
Subpart ORGANIZATION/ MANAGEMENT
4
ORGANIZATIONAL STRUCTURE
Is there a description and organogram?
Confirm Management Plan is contained in the Operations
Manual and that it is being implemented.
NOMINATED POST HOLDERS:
• Chief Executive Officer (Accountable Manager)
• Responsible Person Flight Operations
• Responsible Person Safety
• Responsible Person Aircraft
• Security manager
• Quality assurance manager
• Chief pilot
• Cabin safety manager
Are their responsibilities and functions defined and
formalised?
Does senior management continually monitor and strive to
improve the company safety and quality policy effectiveness?
Do they communicate the importance of meeting statutory
and regulatory requirements?
Do they ensure that safety and quality objectives are
understood and maintained by all personnel?
Are periodic operations, safety, and quality meetings/ reviews
conducted?
Do inputs to the management review/ s include:
• Results of audits
• Safety and quality issues/outcomes
• Operational feedback
• Changes in regulatory policy or CAA legislation
• Status of corrective and preventive actions
• Follow up actions from previous management
reviews?
CAR SAFETY MANAGEMENT SYSTEM
Part 140
& OM Complete Initial SMS Assessment Checklist (CA 140-03)
For operators who have achieved 85% complete SMS
Routine Assessment Checklist (CA 140-04)
FATIGUE RISK MANAGEMENT SYSTEM (FRMS)
Does the operator have an FRMS
Has the operator designated a person responsible for
FRMS?
121.0 Does the operator’s FRMS manual contain as a minimum the
2.15& following?
16 &
OM 1. A FRMS policy?
2. A FRMS processes?
3. A safety assurance processes?
4. A FRMS promotion processes; each as prescribed in
document SA-CATS?
CA 121-18 16 April 2019 Page 3 of 20
CAR QUALITY MANAGEMENT SYSTEM
Part 121
Subpart Quality System & Policy
10 & OM Does the QMS include a quality assurance programme that
includes all planned and systematic actions necessary to
provide confidence that all operations and maintenance are
conducted in accordance with all applicable requirements,
standards and operational procedures?
Structured according to the size and complexity of the
operation?
Formal policy statement from Accountable Manager?
Does the system comply with the policy?
Are quality processes and procedures implemented?
Cite continued compliance with relevant CAR and AOC
holder’s standards?
Does Accountable Manager have overall responsibility for the
Quality System?
Quality Manager
Does the Quality Manager ensure:
The monitoring of compliance with, and the adequacy of, the
procedures required to ensure safe operational practices and
airworthy aircraft?
The monitoring of activity in flight operations, maintenance,
crew training and ground operations, to ensure that the
standards required by the Director, and any additional
requirements defined by the operator are being met?
Any additional tasks that may be assigned with respect to the
financial and non-operational efficiency aspects of the
company?
Quality assurance programme is properly established,
implemented, maintained and continuously renewed and
improved?
Does the QM have a direct link to the Accountable Manager?
Does the QM have access to all parts of the operator and
sub-contractor’s organization?
Are the functions of the Quality Manager carried out by
different but complementary Quality Assurance programmes?
Are Quality Managers (QM’s)/ reps and auditing functions
independent with no conflict of interest?
Scope
Does the scope of the quality monitoring include all those
required by the SA-CATS?
Audit Scheduling
Is the schedule flexible and does it allow for unscheduled
audits when trends are identified?
Has the operator established a schedule of audits to be
completed during a specified calendar period?
Are all aspects of the operation reviewed within every period
of 12 months in accordance with the programme (unless an
extension to the audit period is accepted by the Director)?
Document Control
Is the Quality Management System (QMS) supported by a
Quality Management Manual (QMM) that is approved?
Quality Assurance Programme
Are the inspections and audits carried out as per the
requirements of the Quality Manual and SA-CATS & CARS?
Are non-compliances identified and recorded?

CA 121-18 16 April 2019 Page 4 of 20

 Origin of the finding established?
Individual/department responsible for implementing corrective
action identified?
Are corrective actions developed in response to findings?
Corrective actions monitored to verify completion?
Is there a procedure for when corrective action not completed
within stated time limit?
Monitoring the implementation and completion of corrective
action?
Providing management with an independent assessment of
corrective action implementation and completion?
Evaluating the effectiveness of corrective action through
follow-up?
Management Evaluation
Is there Process for identification of trends?
Prevention of non-conformities?
Does the Accountable Manager determine frequency, format
and structure of management evaluation and review
activities?
Recording
Does the operator maintain accurate, complete and readily
accessible records documenting the results of the quality
assurance programme for a period of at least five years?
Quality Assurance Responsibility For Sub-Contractors
Are any of the AOC holders’ activities contracted out to
external agencies?
Does a written agreement exist between the AOC holder and
the sub-contractor?
Are the sub-contractor’s safety related activities included in
the AOC holder’s quality assurance programme?
Quality System Training
Are those responsible for managing the quality system and
those involved in the inspection or audit functions trained in
accordance with SA-CATS?
For those not responsible for managing the quality system,
does training cover a briefing on the way the quality system
will function in the company?
REGULAR AND NON-REGULAR PRIMARY REPORTS-
FROM FLIGHT CREWS
Operator Flight record
Cabin Crew report
Technical log
Aircraft log
Fuel docket
Arrival/ Departure message
Flight crew and Technical irregularity Report
Bird Strike Report & AVMED procedure
Flight Safety Report
Captain’s Flight Record
Flight Test Report
Flight crew and Technical irregularity Report
CAR REVIEW OPERATORS WET LEASE CONTRACTS (IF
Part 48 APPLICABLE)*

CA 121-18 16 April 2019 Page 5 of 20

Subpart Wet Lease – In CARS 48
3
Obtain prior approval for foreign registered aeroplanes
Duration of lease 6 calendar months max. per year
Wet Lease – In - From operator who holds AOC
Type certified aircraft?
Valid COA?
Maintained/ operated according to 121?
Operated according to AOC?
Fleet not predominantly composed of leased aircraft
Lease agreement to include 121.01.6(1) as a condition
Wet Lease – Out CARS 48.03.4
Lease-out to non-contracting state operator; (shall remain the
operator of the aeroplane for the purposes of subpart 6)
Not Note Number
CAR Ref REQUIREMENTS N/A Satisfactory
Satisfactory
Car Part Lease Between 2 RSA Operators
48
Leasing operator to remain the operator of aeroplane as
prescribed in subpart 6
Lease operator to obtain approval from Director of Civil
Aviation
Conditions of approval shall be part of lease agreement
Sub chartering
May not exceed five days
Director of Civil Aviation informed within 24 hours
CAR DOCUMENTATION AND RECORDS MANAGEMENT
Part 121
Subpart Does the Management system documentation include:
4 &OM An Organisation manual containing the organisational scope,
structure, safety and quality policies and objectives including
a description of management personnel and their respective
duties and responsibilities?
Operations and Training manuals required by CAA?
Policy and Procedural manuals required to ensure the
effective planning, operation and control of its quality
processes?
Records required by CAA and ISO standards (the latest
forms)?
CAR AOC/ AIR SERVICE LICENCE
Part
121 Does the company possess a valid Licence/ AOC?
Subpart Domestic?
6
International?
Both?
Cargo/ Pax?
Both?
Are they displayed?
Are the types of aircraft still valid?
Is the company providing the type of air service as stated on
the AOC?
Does the company have proof of liability insurance?
CAR DOCUMENTS TO BE RETAINED ON GROUND (90 DAYS)
Part
121 Is this requirement ensured and controlled?
Subpart PARTS OF FLIGHT FOLDERS:
7 & OM
Aircraft Registration
Date of Flight

CA 121-18 16 April 2019 Page 6 of 20

 Name of Flight Crew Members
Duty Assignment of Flight Crew Members
Place of Departure
Place of Arrival
Time of Departure (off-block time)
Time of Arrival (on-block time)
Hours of Flight
Nature of Flight
Incidents, observations (if any)
Signature of Pilot in Command
Current Maintenance Status Statement
Not Note Number
CAR Ref REQUIREMENTS N/A Satisfactory
Satisfactory
Outstanding Deferred Defects
Fuel Used
Fuel Uplift
Load and trim sheet
Passenger list and Cargo manifest
Special loads notification (Dangerous Goods)
Copy of Operational Flight Plan
General Declaration
Are the required documents completed and signed?
121.0 OPERATIONS MANUAL
4.2 Approved and amendments reflect current policy and
procedures?
Do aircrew members and ground operations personnel, such
as operational controllers and dispatchers, have a copy of the
appropriate part of the Ops Manual?
How are crew kept current on the contents of the Ops
Manual? (E.g. periodic open book quizzes).
CAR AIRCRAFT DOCUMENTATION:
Part 91
& OM Does the Operator ensure and control that the following
documentation is retained and available on board aircraft and
is also in good condition:
Flight folios
Certificate of Airworthiness
Certificate of Registration
Licence of Flight Crew Members
Certificate of Safety (Release to Service)
Journey Logbook or General Declaration
Passenger Manifest
Manifest and Detailed Declaration of Cargo
Mass and Balance Report
Noise Certificate
List of Visual Signals for Intercepting/Intercepted Aircraft
Aircraft Flight Manual
Radio Station Licence?
Certified copies of AOC and OpsSpec

CA 121-18 16 April 2019 Page 7 of 20

 MEL
CAA approval and/ or confirm compliance with MMEL?
CAR/ CATS
Updated and complete?
AIC AND NOTAMS
Updated and complete?

Not Note Number

CAR Ref REQUIREMENTS N/A Satisfactory
Satisfactory
OPERATIONS
CAR OPERATIONAL CONTROL AND SUPERVISION
part 121
Subpart Is there adequate organization, control and supervision of
7 & OM flight operations and training?
Are there regular, documented flight operations meetings and
reviews?
Are there regular, documented flight operations technical
reviews?
Are minutes kept and is there a control/ feedback system
enabling concerns to be addressed to Senior Management
and to ensure corrective and preventive actions are carried
out as necessary?
Is there a process for establishing operational policies and
procedures?
Are operations personnel receiving safety/ operational
information in a timely manner?
CONTRACTED SERVICES
Does the Operator have a surveillance or oversight
programme applicable to external ground handling agents or
service providers to ensure that all ground handling
operations performed for the Operator are conducted in
conformity with the Approved Operations Manual and
applicable regulatory requirements?
GROUND HANDLING
Does the Operator have a system for the management of
personnel assigned to its ground handling operations, to
include assurance of appropriate competence, training,
education, skills, and experience?
Does the Operator have an operating manual containing
corporate standards that meet Operator and applicable
Regulatory requirements, and include policies, processes,
procedures and practices for all ground handling operations?
Does the operator have training programmes that include
initial and recurrent training to ensure that employees
engaged in ground handling operations establish and retain
their effectiveness in carrying out assigned duties?
Does the operator ensure a designated individual is
responsible for supervision and oversight of ramp
operations?
BUILDING AND BASE FACILITIES-
Are office facilities adequate?
Are there adequate passenger and cargo handling facilities/
equipment?
Is there an operations library?
Is there an aircraft technical library?
Are there crew briefing facilities?
Are there crew and staff rest rooms?
CAR DISPATCHERS AND OPERATIONS
part 121
Subpart OFFICERS/ CONTROLLERS / FLIGHT FOLLOWERS
CA 121-18 16 April 2019 Page 8 of 20
7 & OM Does the operators have Flight Operations Officers/
Dispatchers/Ops Controllers?
Is there an explicit management structure and lines of
authority for Dispatchers and Ops officers/ Controllers?
Are their responsibilities clearly defined?
CAR Do they have the experience appropriate to their position?
Part 121
Subpart Are all Ops Controllers and Dispatchers formally trained?
3 & OM Is there a formal syllabus?
Does it cover all the relevant aspects as required by the
CAR?
Do the Ops Controllers and dispatchers do recurrent
training?
Who conducts the training?
Do the instructors that train the dispatchers/flight Operations
Officers/controllers and flight followers meet the requirements
of the regulations.
Do the instructors do recurrent training?
CAR Has the Operator established a scheme for the regulation of
Part 121 duty periods that include the FOOs
Subpart Do the flight operations officers comply with duty period
2 & OM
limitations as per the SACATS?
CAR SYSTEM OF FLIGHT FOLLOWING
part 121
Subpart Is there a system in operation?
7 & OM Is the system formally managed and controlled?
Are there adequate facilities and comms available?

Not Note Number

CAR Ref REQUIREMENTS N/A Satisfactory
Satisfactory
CAR ROUTES AND AREAS OF OPERATION
part 121 The PIC must demonstrate within the past 12 months:
Subpart
• Knowledge of route
7 & OM
• Knowledge of aerodrome
• Knowledge of procedures over high density traffic/
inhabited areas
• Knowledge of obstructions, physical layout, lighting,
holding, instrument approach, operating minima, and
SID/ STAR of aerodrome
• Knowledge of any specific navigational qualification
which may be required over the route
RNAV ,MNPS ,RNP AND GNSS
Crew trained and aircraft certified?
RVSM
Crew trained and aircraft certified?
SCHEDULED OPERATION: PAR. (a) (i) & (ii)
Are there sufficient ground facilities and services?
Are Meteorological services provided?
TWIN ENGINE OPERATION: PAR(C)
If a twin-engine aircraft is used, are adequate airfields
available within the time and distance limitations as
prescribed?
Described in Ops Specifications?
Is ETOPS / EDTO applicable? If so, are the ETOPS / EDTO
rules contained in CATS 121.07.1 applied?
MINIMUM FLIGHT ALTITUDES
CA 121-18 16 April 2019 Page 9 of 20
 Does the Operator have a process in place to establish
minimum flight altitudes?
Are there specified methods included in the Ops manual and
are they applied?
Are performance and operating limitations as per CARS
121.07.6 par 2 and 3 and Subpart 8 and CATS 91.07.2 taken
into account?
CAR POLICIES AND PROCEDURES
part 121
Subpart Does the Operator ensure that Operations policies and
4 & 7&8 procedures are appropriately and consistently applied?
& OM Is there a policy regarding procedure violations?
Are take off minima procedures applied? (See also Low
Visibility Procedures (LVP’s)
Is there a policy regarding the use and suitability of alternates
for T/ O and Destination?
Are there sufficient procedures and practises in place to
ensure safe visual and instrument approaches?
Are there non-precision approach procedures?
Precision approach: Category l operations.
Confirm Operator’s policy regarding missed approaches
(Commencement and continuation of approach limitations
91.07.25)
Are Category ll and lll- and Low visibility operations catered
for? (Part 91 Subpart8), if applicable
Is there adequate procedural training?
Does the Operator ensure that all aircraft operate in
accordance with a comprehensive and detailed code of
performance?
Not Note Number
CAR Ref REQUIREMENTS N/A Satisfactory
Satisfactory
Are all significant aircraft performance factors such as wt, alt,
temp, r/way gradient and contamination considered?
When operating into special airports?
Does the Operator ensure that t/o wt and estimated landing
wt will not exceed max wt’s as specified in the flight manual?
Does the Operator plan for critical engine failure and to either
stop the t/ o or still continue safely?
Does the Operator ensure that en-route aircraft are still able
to continue and remain above min flt alt?
FUEL POLICY
Is the Operators fuel policy and planning detailed in the Ops
Manual? (In terms of CATS 91.07.12)
Is minimum dispatch/ departure fuel calculated to include
taxi, trip, alternate, contingency and final reserve fuel?
Does the operational flight plan have a breakdown of sector
fuel?
Are In-flight fuel checks carried out and logged?
Is there an in-flight re-planning procedure?
AEROPLANE PERFORMANCE OPERATING
LIMITATIONS
Do the Operator’s procedures/ policies ensure compliance of
a Class A aeroplane, if applicable, with the requirements of
Subpart 8, Division One for a Class A aeroplane?
OPERATORS FLIGHT CREW SCHEDULING SYSTEM
Has the Operator established flight- and duty time
limitations?
How is it monitored/ controlled?
Are records kept?
CA 121-18 16 April 2019 Page 10 of 20
 Is other commercial flying tracked and accounted for?
Does the pilot sign a declaration declaring that he/ she will
not be exceeding their limits by undertaking this flight?
If there is a requirement to exceed these limits, is the
crewmembers’ permission obtained and is CAA informed/
approval requested?
CAR AEROPLANE OPERATING MANUAL(S)
part 121
Subpart Is it included or referred to in the Ops manual?
7 & OM Is each crewmember provided with a copy of the parts
relevant to his/ her duties?
OPERATIONAL FLIGHT PLAN
Is it completed for each flight?
Is it signed?
Are all entries current and of permanent nature?
Is it complete i.r.o all required detail?
Is it retained for 90 days?
Confirm compliance with CATS 121.04.5
Confirm the process and organisation for handling of
accidents and incidents as described in Ops Manual
CAR FLIGHT CREW TRAINING
part 121
Subpart TRAINING MANUAL
3 & OM Confirm approval and currency
Compare with onboard normal and emergency checklists
Not Note Number
CAR Ref REQUIREMENTS N/A Satisfactory
Satisfactory
CAR TRAINING RECORDS
part 121
Subpart Confirm copies of licenses and all other relevant records and
3 & OM reports
Confirm upkeep
Verify that all recurrent programs are carried out
Is there a system in place to ensure that crew is current in all
aspects of Part 121 training requirements?
CONVERSION COURSE
Approved syllabi?
ANNUAL ROUTE CHECKS
Recorded and validity?
RECURRENT TRAINING/ SIX MONTHLY PROFICIENCY
CHECKS
Confirm currency and recency and if operating on more than
one type
CRM
Confirm Initial and recurrent training
Recurrent training every 12 months?
Syllabus completed over 4 year period?
DANGEROUS GOODS
Confirm Initial and recurrent training
Recurrent training every 24 months
RNAV (RNP 5), RVSM and NAT MNPS (Oceanic)

If applicable.

FLIGHT SIMULATORS
CA 121-18 16 April 2019 Page 11 of 20
 • All simulators approved?
• Frequency satisfactory?
SPECIAL ENDORSEMENTS
ACCEPTANCE OF CARGO
Part 108 Checklist completed by Cargo Inspector
DANGEROUS GOODS HANDLING
Part 92 Checklist completed by DG Inspector

CA 121-18 16 April 2019 Page 12 of 20

 DEBRIEF

Operator
Representatives

Team

Operations

Training

Administration

Documentation

Recommendations

SIGNATURE OF INSPECTOR NAME IN BLOCK LETTERS DATE

I was de-briefed on the inspection/audit, have read and accept*/do not accept* the findings and observations
of the flight operations inspector/s and have received a copy of the report.
*Delete which is not applicable

SIGNATURE OF
OPERATOR’S NAME IN BLOCK LETTERS DATE
REPRESENTATIVE

CA 121-18 16 April 2019 Page 13 of 20

Number NOTES

CA 121-18 16 April 2019 Page 14 of 20

Number NOTES

CA 121-18 16 April 2019 Page 15 of 20

 CONCLUSIONS: FINDINGS AND OBSERVATIONS
LEVEL 1 FINDING
(Constitutes non-compliance which necessitates the exercising of immediate discretionary enforcement
action/powers vested in the inspectors, authorized officers and/or authorized persons in the interest of
safeguarding aviation safety)

LEVEL 2 FINDING
(Constitutes non-compliance requiring the client to develop action plans with time frames and coupled with a
follow-up inspection to verify rectification of the non-compliance)( 7 days )

LEVEL 3 FINDING
(Constitutes non-compliance which is left to the client to rectify and which will not necessitate a follow-up
inspection but which can be followed up at the next inspection. The client is required to notify the CAA when
the rectification has been effected within an agreed timeframe.) ( 30 Days )

CA 121-18 16 April 2019 Page 16 of 20

 LIST OF AIRCRAFT
LEASE CHECK CHECKED
REGIS- PERF. NUMBER of AMOUNT
TYPE OWNER AMO CERT AUW AGREE- 3RD PARTY AIRCRAFT OPS
TRATION CLASS SEATS MILLION
MENT DOC MANUAL

CA 121-18 16 April 2019 Page 17 of 20

 ATTENDANCE REGISTER
PURPOSE OF
BRIEFING
MEETING
DATE
CHAIRPERSON /
PRESENTER
ATTENDEE
SECTION SIGNATURE
INITIALS & SURNAME

CA 121-18 16 April 2019 Page 18 of 20

 ATTENDANCE REGISTER
PURPOSE OF
DE-BRIEFING
MEETING
DATE
CHAIRPERSON /
PRESENTER
ATTENDEE
SECTION SIGNATURE
INITIALS & SURNAME

CA 121-18 16 April 2019 Page 19 of 20

 APPENDIX A

1. Entry meeting agenda

2. Thank the operator for their attendance, co-operation and use of their facilities.

3. Introduce the team.

4. Explain the purpose of the inspection/ audit.

5. Emphasise confidentiality of the inspection/ audit.

6. Define the objective and scope of the audit: to establish the correct implementation
of procedures set out in the ops manual and other relevant regulations. Point out,
however, that international best practice and good common sense cannot always be
covered by legislation and the checklist may, therefore, in the interests of flight
safety, contain a few items of this nature.

7. Explain the methodology and that there will be times when it is not possible or
necessary to review or examine 100% of a company’s operation. This is when
sampling principles apply.

8. Explain non-compliance and the associated gradings.

9. State when team and team/ operator liaison meetings will take place.

10. Confirm logistical arrangements e.g. available office space, time for meals, etc.

11. Verify that all operator staff members are aware of the audit/ inspection taking
place.

12. Explain the purpose of the closing meeting and confirm the detail and time if
possible.

13. Allow time for the operator to ask questions.

14. Allocate inspectors to various departments, if necessary.

CA 121-18 16 April 2019 Page 20 of 20