COMPLIANCE MONITORING CHECKLIST

Year:

Subject

Date checked

Checked by

Comments/non-compliance
Report No

Declaration change management

Operations have been performed in accordance with the declaration

Changes have been properly managed in accordance with the defined process

Flight operations

Balloon checklists checked for accuracy and validity

Flight plans checked for proper and correct information

Ground handling

Instructions regarding fuelling, if applicable

Instructions regarding dangerous goods issued and known by all relevant personnel, if applicable

Mass

Load sheets checked for proper and correct information, if applicable

Pilot training

Updated and accurate training records

Pilot licences current, correct ratings and valid medical certificates

Pilots received recurrent training

Training facilities and instructors approved

Pilots received pre-flight inspection training, as applicable

Documentation related to operations

Operations manual checked for correct amendment status

Flight documents record checked and updated

Personnel

Correctly identified current accountable manager and other nominated persons

The organisation chart accurately indicates lines of responsibility and accountability throughout the organisation

Qualifications of all new personnel (or personnel with new functions) have been appropriately assessed

Proper training has been provided to staff involved in any safety-management-related processes and tasks

Proper training has been provided to staff involved in any compliance-monitoring-related processes and tasks

Training provided to staff, as necessary, to cover changes in regulations, in competent authority publications, in the management system documentation and in associated procedures, etc.

Contracted activities (if applicable)

Assessment of any new providers prior to the establishment of any contract

For existing providers: check that the service provided conforms to the applicable requirements of this Annex

Training and communication on safety

All personnel are aware of safety management policies, processes and tasks

Availability of safety-related documentation and publications

Safety-critical information derived from internal safety or occurrence reporting, hazard identification or compliance monitoring have been timely communicated to all staff concerned

Management system documentation

Adequate and updated documentation

Staff can easily access such documentation when needed

Record-keeping

The records cover all the activities and management system processes

Compliance with minimum record-keeping periods (random checks)

Emergency response provisions or emergency response plan (ERP)

Emergency response information or ERP, as applicable, is up to date and readily available

All staff is aware of the emergency response information or ERP (random checks)

If an ERP has been activated, how effective was it?

Internal safety reporting procedures

Check the number of reports received since the last audit or organisational review

Internal reporting and external occurrence reporting are properly performed

The safety or occurrence reports are analysed

Feedback is provided to reporters