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WorksheetsIOSA Conformance Auditors Training
Total questions: 20
Worksheet time: 10mins
In the case of conflicting information within the IOSA documentation what is the correct procedure to be used:
The 1PM always prevails on IAH and ISM
The Alerts always prevail on 1PM, ISM and IAH
They have all t he same level and only the ISM prevails on the Mandatory Observations
Refer to IATA for guidance
To ensure that a document is properly controlled there are many elements that need to be in place Which of the answers below is the most accurate:
A) A controlled document shall be disseminat ed t hroughout t he appropriate areas of t he organization and to any applicable external service provider
B) A controlled document shall be approved by regulatory authorities.
C) A controlled document shall be reviewed regularly to maintain the currency and retention specifications.
Most accurate answer is A + B
Most accurate answer is A + B + C
Most accurate answer is A + C.
If they are applicable, are there any ISARPs for which it is possible not to provide any documentary references?
No. All lSARPs shall always have a document references.
Yes, ISARPs which are related to the Mandatory Observations do not require a documentary reference.
Yes ISARPs that require adequate infrastructure, workplace, etc., do not require a documentary reference.
Yes ISARPs that refer to outsourced functions do not require a documentary reference.
When can ISARPs be identified as not applicable?
When the process, function, equipment requirement, etc., is completely inactive, or cannot be applied to the
Operator.
When the process, function, equipment requirement, et c., is completely outsourced.
ISARPs are all applicable and they shall be identified with necessary document references.
When the funct ion is at least part ially inactive, or cannot be applied to the Operator.
Which statement best describes the Parallel Conformity Option (PCO)?
PCOs are available for all lSARPs.
Only certain ISARPs have PCOs.
PCOs have no expiry date.
If t he PCO is not used, it must be assessed as Not Applicable.
The appropriate method to record a finding is to describe it:
In broad terms as directly derived by the ISARP in a manner to ensure that both the auditee and the AO will understand it
In a factual, clear and complete manner to ensure that the lead auditor will understand it.
In a factual, clear and complete manner to ensure that the auditee will understand it.
In a factual, clear and complete manner to ensure that both the auditee and the AO will understand it.
Can an ISARP be assessed as implemented but not documented?
No. The continuity of implementation is directly linked to documentation and therefore no ISARP can be assessed this way.
No. Any systems, programs, policies, processes and procedures are implemented in accordance with a controlled document and no alternatives are allowed.
Yes. In some instances it is possible that the ISARP be assessed as implemented but not documented. The procedures to assess an implemented but not documented ISARP is no different by the ones to be used for other types of assessments.
Yes. In some instances it is possible that the ISARP be assessed as implemented but not documented. Depending on the corrective action the assessment might need to be changed.
The ORG non-SMS repeated ISARPs identify a set of ORG ISARPs that are correlated to equivalent ISARPs in the
operational disciplines What judgment shall the ORG auditor make to determine if they are significant to support a nonconformity in the ORG provision?
Any nonconformity in the operational discipline(s) will generate a nonconformity to the corresponding ORG ISARP.
There should be at least 2 nonconformities in the operational disciplines to generate a nonconformity to the corresponding
ORG ISARP.
There should be at least 2 minor and 1 major nonconformities in the operational disciplines to generate a nonconformity to the corresponding ORG ISARP.
The auditor must make judgments based on complexity, severity, significance, and systemic deficiency of the nonconformities in the operational disciplines with a risk-based approach. No rigid rules apply.
Which of the following statements for interlinked ISARPs is the most accurate?
They are repeated ISARPs which have common operational requirements and are presented in a tabular format to help the auditor to identify, harmonize and ensure consistent assessments.
They are ISARPs which have common operational requirements and are presented in a tabular format to help the auditor to identify, harmonize and ensure consistent assessments.
They are SMS ISARPs which have common operational requirements and are presented in a tabular format to help the auditor to identify, harmonize and ensure consistent assessments.
They are the minimum set of lSARPs that shall be checked onsite during a renewal audit to verify accuracy of the
Conformance Report generated by the Operator.
Which of the following statements for evidence sampling is the most accurate?
For each ISARP the auditor shall randomly sample at least 10% of the records available.
For each ISARP the auditor shall randomly sample at least 10% of the records available but not less than 3 samples.
The sample items will vary as per ISARP requirements. Their diversity and quality should be sufficiently representative of the entire range of records and shall account for the risk, complexity, size, frequency, and magnitude of the requirements assessed.
The sample items will vary as per ISARP requirements but not less than 5 samples shall be selected for each ISARPs.
Auditor Actions are steps which ensure the collection of sufficient evidence to support a conclusion of conformity type with an ISARP. Do they have a given structure?
No. They vary from ISARP to ISARP depending on the content of the provisions.
No. It is the auditor who shall identify, case by case, which are the best actions to be performed to assess any given ISARP.
Yes. They are normally divided into three different groups plus one used to describe any other action.
Yes. Each ISARP always has five different auditor actions.
How shall the IOSA auditor assess outsourced functions?
By verifying the Operator's oversight of outsourced functions and, where access to the outsourced service provider is possible, directly observing related operations.
By verifying only the Operator's oversight of related functions. If the operator performed audits in its oversight, the IOSA auditor should include in the narrative reference to the checklist(s) used by the Operator.
By directly observing any operations related to all outsourced functions. In case non-conformities are identified they shall be raised against the Operator.
Outsourced functions are not part of the on-site audit and shall be identified as not applicable.
Which of the following statements is the most accurate in relation to Mandatory Observations (MOs)?
MOs are derived from the auditor actions and can be carried out by using any type of checklist or aide-memoire the auditor or the AO deems appropriate.
The MO checklists have dedicated spaces to record the names of individuals observed for training check purposes.
All MOs as listed in the IOSA checklist shall always be completed.
MO checklists are not part of the Audit report.
The ORG SMS interlinked and repeated ISARPs identify a set of ORG ISARPs that are correlated to equivalent ISARPs in the operational disciplines and amongst other ORG ISARPs. Which of the following statement is the most accurate? If a finding is assessed in DSP1 .12.2, it
Will trigger a finding in ORG 3.1.2.
Will trigger a finding in ORG 3.1.2 and ORG 1.1.10.
May trigger a fonding in ORG 3.1.2 as deemed appropriate by the ORG auditor.
May trigger a fonding in ORG 3.1.2 and ORG 1.1.10 as deemed appropriate by the ORG auditor.
Which of the following statements is the most accurate?
The IOSA Audit duration is:
Defined by the AOs and normally is 25 auditor-days onsite and 5 auditor-days for preparation and follow-up activities.
Defined by IATA and is 25 auditor-days onsite and 5 auditor-days for preparation and follow-up activities. If necessary, the AO may increase the auditor days with the approval of IATA.
Defined by IATA and is 25 auditor-days onsite and 3 auditor-days for preparation and 2 days for follow-up activities. If
necessary, the AO may increase the auditor days in accordance with the executed Audit Agreement with the Operator
Not fixed. It varies according to the complexity of the Operator's activities and how long they have been in the IOSA registry. The AO defines the auditor days in the executed Audit Agreement with the Operator.
As part of the preparation, the auditor needs to identify ISARPs which are going to be assessed as 'N/A' based on the information provided. In addition the auditor should also perform a document review of operator manuals prior to the on-site phase.
With this review, which ISARPs shall be assessed for documentation?
ISARPs associated with Procedures
ISARPs associated with Processes.
ISARPs associated with Programs.
ISARPs associated with Policies.
All lSARPs.
The CAR Process is composed by the following phases:
Narrative
Root Cause Analysis (RCA)
Corrective Action Plan (CAP)
Final Action Taken (FAT)
Verification of implementation (VOI)
Which phases belong to the Operator?
Narrative, RCA, CAP and FAT.
RCA, CAP3nd !=AT.
Narrative, CAP and FAT.
Narrative, RCA, and FAT.
In IOSA there are several reasons why a fleet or an Aircraft can be exempted from the audit. Which of the following
statements is correct?
The fleet or aircraft is/are:
Not on the AOC, are grounded, are being phased in but not yet operated.
Grounded, are being phased in but not yet operated, wet lease-in aircraft that are on the AOC as mandated by the State of the Operator;
Not on the AOC, are grounded undergoing major upgrade, repair or restoration work;
Grounded, are being phased in but not yet operated, wet lease-in aircraft that are on the AOC as mandated by the State of the Operator, nonconformity due to introduction of operational bulletins.
Given the following ISARP:
ORG 3.4.3 The Operator shall have a process for addressing findings that result from audits conducted under the quality assurance program, which ensures:
(i)Identification of root cause(s);
(ii)Development of corrective action as appropriate to address findings;
(iii)Implementation of corrective action in appropriate operational area(s);
(iv)Evaluation of corrective action to determine effectiveness. (GM) ►
Which is the mo st accurate answer to conduct a verification of implementation?
Sample audit reports and verify that the root cause, corrective actions development/implementation and evaluation of effectiveness are done in a consistent manner.
Review the operator process and sample audit reports and relevant records to verify that the root cause, corrective actions development/implementation and evaluation of effectiveness are carried out in a consistent manner and as per the Operator's process specifications.
Sample one or more audit reports and verify that the finding(s) has\have been closed within the given time limit.
Interview the auditee and ask about their process for addressing findings and then sample some audit reports to verify that their statements are effectively implemented.
An Active Implementation permits an Operator to be in conformity with a designated ISARP based on the execution of an acceptable Implementation Action Plan (IAP).
What elements shall be included in the IAP?
A signed declaration from an Operator higher management position that they will be in conformity with the provisions within a period not exceeding 120 days following the registration renewal, evidence that the IAP is underway and identify a series of progress milestones.
How the Operator plans to be in conformity with the provisions within a projected date of completion, and identify a series of progress milestones.
A signed declaration from an Operator higher management position that they will be in conformity with the provisions within a period not exceeding 90 days following the registration renewal, evidence that the IAP is underway and identify progress milestones spaced at intervals of 6 months or less.
How the Operator plans to be in conformity with the provisions within a projected date of completion, evidence that the IAP is underway and identify a series of progress milestones.
