GM2 BOP.ADD.030(a)(6) Management system

• ED Decision 2018/004/R found in: Balloon Rule Book - Part-BOP Part-BFCL Part-ML CS-31GB CS-31HB CS-31TGB (Sep 2020)

GM2 BOP.ADD.030(a)(6) Management system ED Decision 2018/004/R COMPLIANCE MONITORING CHECKLIST (a)     Compliance monitoring audits or organisational reviews may be documented using a compliance monitoring checklist. The following provides a basic checklist, to be adapted as necessary to address the particular type of operations and to cover all relevant procedures described in the management system documentation and operations manual. (b)     Each checklist item may be addressed using an appropriate combination of: (1)     review of records and documentation; (2)     interview of the personnel involved; and (3)     feedback provided by contractors. <table border="1" cellpadding="0" cellspacing="0" width="603"> <tr> <td colspan="4" valign="top" width="603"> <p>COMPLIANCE MONITORING CHECKLIST</p> <p>Year: </p> </td> </tr> <tr> <td width="288"> <p>Subject</p> </td> <td width="81"> <p>Date checked</p> </td> <td width="75"> <p>Checked by</p> </td> <td width="160"> <p>Comments/non-compliance<br/> Report No</p> </td> </tr> <tr> <td colspan="4" valign="top" width="603"> <p>Declaration change management</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Operations have been performed in accordance with the declaration</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Changes have been properly managed in accordance with the defined process</p> </td> </tr> <tr> <td colspan="4" valign="top" width="603"> <p>Flight operations</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Balloon checklists checked for accuracy and validity </p> </td> </tr> <tr> <td valign="top" width="288"> <p>Flight plans checked for proper and correct information</p> </td> </tr> <tr> <td colspan="4" valign="top" width="603"> <p>Ground handling</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Instructions regarding fuelling, if applicable</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Instructions regarding dangerous goods issued and known by all relevant personnel, if applicable</p> </td> </tr> <tr> <td colspan="4" valign="top" width="603"> <p>Mass</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Load sheets checked for proper and correct information, if applicable</p> </td> </tr> <tr> <td colspan="4" valign="top" width="603"> <p>Pilot training</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Updated and accurate training records </p> </td> </tr> <tr> <td valign="top" width="288"> <p>Pilot licences current, correct ratings and valid medical certificates</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Pilots received recurrent training </p> </td> </tr> <tr> <td valign="top" width="288"> <p>Training facilities and instructors approved</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Pilots received pre-flight inspection training, as applicable </p> </td> </tr> <tr> <td colspan="4" valign="top" width="603"> <p>Documentation related to operations</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Operations manual checked for correct amendment status </p> </td> </tr> <tr> <td valign="top" width="288"> <p>Flight documents record checked and updated</p> </td> </tr> <tr> <td colspan="4" valign="top" width="603"> <p>Personnel</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Correctly identified current accountable manager and other nominated persons</p> </td> </tr> <tr> <td valign="top" width="288"> <p>The organisation chart accurately indicates lines of responsibility and accountability throughout the organisation</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Qualifications of all new personnel (or personnel with new functions) have been appropriately assessed</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Proper training has been provided to staff involved in any safety-management-related processes and tasks </p> </td> </tr> <tr> <td valign="top" width="288"> <p>Proper training has been provided to staff involved in any compliance-monitoring-related processes and tasks</p> </td> </tr> <tr> <td valign="top" width="288"> <p>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.</p> </td> </tr> <tr> <td colspan="4" valign="top" width="603"> <p>Contracted activities (if applicable)</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Assessment of any new providers prior to the establishment of any contract</p> </td> </tr> <tr> <td valign="top" width="288"> <p>For existing providers: check that the service provided conforms to the applicable requirements of this Annex</p> </td> </tr> <tr> <td colspan="4" valign="top" width="603"> <p>Training and communication on safety</p> </td> </tr> <tr> <td valign="top" width="288"> <p>All personnel are aware of safety management policies, processes and tasks</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Availability of safety-related documentation and publications</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Safety-critical information derived from internal safety or occurrence reporting, hazard identification or compliance monitoring have been timely communicated to all staff concerned</p> </td> </tr> <tr> <td colspan="4" valign="top" width="603"> <p>Management system documentation</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Adequate and updated documentation</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Staff can easily access such documentation when needed</p> </td> </tr> <tr> <td colspan="4" valign="top" width="603"> <p>Record-keeping</p> </td> </tr> <tr> <td valign="top" width="288"> <p>The records cover all the activities and management system processes</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Compliance with minimum record-keeping periods (random checks)</p> </td> </tr> <tr> <td colspan="4" valign="top" width="603"> <p>Emergency response provisions or emergency response plan (ERP)</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Emergency response information or ERP, as applicable, is up to date and readily available</p> </td> </tr> <tr> <td valign="top" width="288"> <p>All staff is aware of the emergency response information or ERP (random checks)</p> </td> </tr> <tr> <td valign="top" width="288"> <p>If an ERP has been activated, how effective was it?</p> </td> </tr> <tr> <td colspan="4" valign="top" width="603"> <p>Internal safety reporting procedures</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Check the number of reports received since the last audit or organisational review</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Internal reporting and external occurrence reporting are properly performed</p> </td> </tr> <tr> <td valign="top" width="288"> <p>The safety or occurrence reports are analysed</p> </td> </tr> <tr> <td valign="top" width="288"> <p>Feedback is provided to reporters</p> </td> </tr> </table>