CA 101-08 09 MARCH 2017 Page 1 of 18

Section/division FLIGHT OPERATIONS PART 135 Form Number: CA 101-08 Telephone number: 011-545-1000 Fax Number: 011-545-1350

Physical address Ikhaya Lokundiza, 16 Treur Close, Waterfall Park, Bekker Street, Midrand, Gauteng

Postal address: Private Bag X73, Halfway House 1685 Website: www.caa.co.za

ANNUAL AUDIT CHECKLIST PART 101 (RPAS)

OPERATIONS AUDIT CHECKLIST PART 101 (OFFICE USE)

Note: Inspector to complete these details before the audit and confirm all information is still valid during the audit.

Operator

File Number

Physical Address

Postal Address

Postal Code

Telephone Number Fax Number

Cell Phone Number E-Mail Address

Base Of Operations (and as per ASLC)

LICENSE DETAILS

Licence(s) Number(s)

Class of Air Service:

Type of Air Service :

Category of Aircraft:

Date Application Received

Confirmation of payment and date

RPAS Operating Certificate Expiry Date

PREVIOUS FINDINGS

LEVEL 1

LEVEL 2

LEVEL 3

NOTES FOR THIS INSPECTION

http://www.caa.co.za/

CA 101-08 09 MARCH 2017 Page 2 of 18

NOTES: INSPECTION AND AUDIT FUNCTIONS CAA inspection and audit functions confirm for CAA that an Operator is operating in compliance with regulatory requirements and RPAS Operations Manual (ROM). The ROM might hold additional standards which the Operator has agreed to uphold. There will be times when it is not possible or necessary to review or examine 100% of a companys operation. This is when sampling principles apply. Inspection and audit checklists have been developed to provide a systematic approach to the inspection of an Operators various specialty areas. The checklists are designed to identify specific items within each specialty area and to make reference to applicable regulatory requirements. Where an Operator fails to comply with these requirements, they will be considered to be in non-compliance and will be required to undertake corrective action. 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.

The allocation of time for pre-audit activities.

Team member travel requirements.

The compiling of the required documentation.

The contents of the Operators ops manual and file should be studied for background knowledge and to detect any shortcomings and anomalies.

PRE-AUDIT MEETING 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 An entry meeting must be held. It is important in that it establishes communications between the Operators- and CAAs audit team. (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 requirements. An audit finding needs to be recorded on an Audit Finding Report form on which the Operator signs for agreement with the finding. PARALLEL FINDINGS Should a shortcoming from the CAA or the need for a correction in procedure or regulation be found, submit a parallel finding on the prescribed form to the line manager. CLOSING MEETING The closing meeting is conducted to ensure that the Operators senior management have been fully debriefed on the results of the audit. Agreement is also reached on the submission of a corrective action plan by the Operator

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Regulatory Ref.

REQUIREMENTS N/A Satisfactory Not

satisfactory Note No.

ORGANIZATION / MANAGEMENT

CAR 101.04.5

Is the RPAS Operations Manual (ROM) up to date with the latest regulations and technical standards?

ROM amendment number and date as per CAA copy?

No hand amendments?

Is the ROM available at the operating sites

Are controlled copies of ROM current with master copy?

POST HOLDERS: Are they still in the nominated posts? (Complete post holders names)

- Accountable Manager / CEO:

- Safety Manger:

- Responsible Person: Flight Operations:

- Responsible Person: Aircraft:

- Quality Manager:

- Security Manager:

Are post holders responsibilities and functions defined and formalised?

Have all 6 post holders accepted their duties?

CAR 101.04.7

Does management continually monitor and improve the company safety and quality policy? (Minutes, company memos)

Does management ensure the safety and quality objectives are understood and maintained by all personnel?

Are periodic management safety and quality meetings and reviews conducted and documented?

Are safety and quality concerns, decisions and information distributed by management throughout all relevant personnel and structures of the Operator?

Do inputs to the management review 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 reviews?

CAR 101.04.01

Air Service Licence

- Available for presentation

- Correct type and category for the operations conducted

ROC and Operations Specifications

RPAS Operating Certificate and Operations Specifications available for presentation?

CAR 101.04.2(2)

Does the operator ensure that his/her aircraft are only registered on one ROC

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Regulatory reference REQUIREMENTS N/A Satisfactory

Not satisfactory

Note No.

PUBLICATIONS Hard copy or electronically available

CARS & CATS D D M M Y Y

AIPs D D M M Y Y

Notams, AICc, AIPs supplements

D D M M Y Y

Jeppesen/Airad/ equivalent: If specified in ROM

D D M M Y Y

Flight planning software if specified in ROM

D D M M Y Y

Do operations personnel and remote pilots have access to operators electronic publications if in use?

CAR 101.04.7

SAFETY MANAGEMENT SYSTEM

Has the operator established an SMS?

Is there a process for hazard identification and risk mitigation?

Is there a process to develop and implement remedial action necessary to maintain an acceptable level of safety?

Is there provision for continuous assessment of the effectiveness of safety management activities?

Does the operator make use of Hazard, Incident and accident reporting forms?

Is the database of hazards and incidents regularly updated and analysed?

Sample hazard, incident and accident reports to ensure action has been taken. Also review assessment of the effectiveness of the action taken

Emergency Response Plan:

Is there an Emergency Response Plan (ERP) with clear indication of responsibilities of indicated personnel during transition from normal to emergency to normal operations?

Is the ERP co-ordinated with local, remote base and all applicable airport and/or operating site emergency facilities?

Are ERP contact details regularly updated (eg: with QA audit)?

SMS/ERP Training:

Are new employees given SMS and ERP training as part of induction training?

Safety Meetings:

Are safety meetings held frequently and according to the safety objectives, if applicable

Do the minutes of safety meetings reflect adequate attention to SMS principles and reported hazards?

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Regulatory Ref

REQUIREMENTS N/A Satisfactory Not

Satisfactory Note No.

CATS 101.04.5

QUALITY MANAGEMENT SYSTEM

Is there a quality management system in place?

Is there a formal policy statement from the Accountable Manager/CEO?

Are checklists used?

Is there an audit schedule, which can be tracked and monitored?

Is there a feedback and control system to ensure that corrective and preventative actions are carried out and evaluated for effectiveness?

Are records retained?

Is the quality system formalised and controlled?

Does the quality system enable the operator to monitor compliance with:

a Relevant sections of the CATS and CARS?

b Operations manual and CONOPS

c Any other standards established by the ROC holder or SACAA?

OPERATIONS

** Demonstrated refers to the demonstration conducted in order to obtain approval for operations categorized as limitations. Mark N/A for audits/inspections not involving a demonstration.

CAR 101.02.3

EQUIPMENT (VLOS and E-VLOS operations)

Is the RPA equipped with an altimetry system, displaying to the operator on the RPS the altitude and height of the RPA AGL.

CAR 101.05.10

REQUIREMENTS FOR ALL OPERATIONS (to be on site)

Valid RPL

Copy of the ROC and Ops Spec

Certificate of registration for each RPA

Copy of the RLA

User manual for the RPA and RPS

CAR/CATS 101.05.17

PRE-FLIGHT PREPARATION

Remote pilot to verify: i) relevant notifications ii) NOTAMS iii) Weather

Flight planning: i) up to date aeronautical charts to determine

the type of airspace ii) Flight within limits of ROC and according to

ROM

Systems status inspected before flight

Roles and duties of each crew member defined in writing (as per ROM, Field operations manual, crew briefing sheet or other documentation)

CAR 101.05.19

Type of operation, aircraft performance and external factors considered when selecting take-off and landing areas

CAR 101.04.4(2)

E-VLOS OPERATIONS

Observer training included in the ROM

** Demonstrated

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Regulatory Ref

REQUIREMENTS N/A Satisfactory Not

Satisfactory Note No.

CAR 101.05.1

INCLEMENT WEATHER OPERATIONS PERMITTED

B-VLOS approval obtained as per below requirements

Approval for night operations obtained as per below requirements

CAR 101.05.2

TAKE OFF or LANDING ON PUBLIC ROADS

Provision in RPAS operations manual

** Demonstrated

Permission obtained from relevant authority

CARS/CATS 101.05.3

CONTROLLED AIRSPACE

Provision in RPAS operations manual: safety and separation procedures

Fitted with a mode C or S transponder OR Exempted by the relevant ATSU/CAMU FUA application

Fitted with an altimeter (RPAs altitude AGL on QNH)

Fitted with strobe light(s)

Aeroplane: fitted with navigation lights

Permission from relevant ATSU

Supply ATSU with RPAs performance details: type, speed, rate of climb and descent, abort and emergency procedures

Communicate with ATSU via air-band radio

Detailed response and reaction procedure with the ATSU in the event of an emergency: aborting the RPA activity, loss of control, loss of communication

CAR 101.05.21

Does the pilot have a time piece synchronised with UTC prior to operations within controlled airspace?

CAR 101.05.4

RELEASING AN OBJECT or SUBSTANCE

Provision in operations manual

** Demonstrated

CAR 101.05.5

DANGEROUS GOODS

Provision in operations manual

** Demonstrated

Comply with provisions of Part 92

CAR/CATS 101.05.8

C2 OPERATIONAL REQUIREMENTS

C2 performance requirements safety case (confirm with airworthiness inspector)

CAR 101.05.9

RPA is controlled by only one RPS at any given time

CAR 101.05.10

OPERATIONS ABOVE 400FT AGL

Provision in operations manual

Permission from CAMU obtained

** Demonstrated

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Regulatory Ref

REQUIREMENTS N/A Satisfactory Not

Satisfactory Note No.

CAR 101.05.10

OPERATIONS WITHIN 10KM OF AN AERODROME

Provision in operations manual

** Demonstrated

Permission from relevant authorities/ATSU, if applicable

OPERATIONS WITHIN RESTRICTED AIRSPACE

Provision in operations manual

** Demonstrated

Permission from relevant authorities/ATSU, if applicable

ADJACENT TO/ABOVE NUCLEAR POWER PLANT, PRISON, POLICE STATION, CRIME SCENE, COURT OF LAW, NATIONAL KEY POINT OR STRATEGIC INSTALLATION

Provision in operations manual

** Demonstrated

Permission from relevant authorities

CAR 101.05.11

B-VLOS OPERATIONS

Provision in operations manual

RPA operated by using command inputs only

Requirements of CATS101.02.2 met

Ability to remain clear from obstacles and any other hazards and take appropriate action for collision avoidance. Normal and lost C2 link unless:

i) Area is void of other air traffic ii) Operation occurs in specifically

delimited/segregated airspace iii) Any other mitigation is in place to avoid other

aircraft, obstacles or hazards

C2 data link frequency is appropriate

C2 performance requirements are acceptable

** Demonstrate: i) Flight tasks through control inputs only ii) Command RPA to follow a predetermined

course or group of way points iii) Remote pilot can interrupt the set course and

can fly an alternate course or land to avoid other traffic

iv) Display of exact position of the RPA to the pilot, in real-time on a moving map enable radio calls and report RPA position

v) Reactions in the event of receiving an alert for conflict with high ground or obstacles

CAR 101.05.12

NIGHT OPERATIONS

Provision in operations manual (select)

Limited to R-VLOS operations only OR

VLOS/E-VLOS/B-VLOS night operations

** R-VLOS only demonstrated

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Regulatory Ref

REQUIREMENTS N/A Satisfactory Not

Satisfactory Note No.

CAR 101.05.12

Non-RVLOS night operations ** Demonstrate:

i) Meet the requirements of B-VLOS

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Regulatory Ref

REQUIREMENTS N/A Satisfactory Not

Satisfactory Note No.

CAR 101.05.22

FLIGHT FOLIO

Meets requirements as per CATS101.05.22

Accessible at RPS at all times during flight

Kept up to date - entries made immediately upon completion of the occurrence to which they refer

Maintenance entry certified by person responsible for maintenance

Maintain fuel/charging records to show the minimum power reserves are complied with

Document fuel, charging and oil records, as applicable

Maintain oil records to determine trends of oil consumption, if applicable

CAR 101.05.23

POWER RESERVES

Power reserve of 10% assured

Documented in ROM

Included in flight planning

CAR 101.05.24

FIRST AID KIT

Contents as per CATS91.04.13

At the RPS and within 300m of the take-off and landing points

Periodic checks completed by the owner/operator

Readily accessible to all crew members involved in the operation

CAR 101.05.25

FIRE EXTINGUISHER

At the RPS and within 300m of the take-off and landing points

RPS fire extinguisher suitable for use with electronic equipment/power generating equipment

Fire extinguisher suitable for use on the RPA

MAINTENANCE (for operations of Class 3 or higher RPAS)

CAR 101.06.2

Is maintenance conducted by the holder of a valid RMT authorization?

CAR 101.06.4

Does the RMT maintain a personal logbook as per CATS101.06.4

SECURITY

CAR 101.04.8

Is RPAS storage secure, protecting RPAS from unlawful interference?

Is the RPAS stored and prepared for flight in a manner that prevents and detects tampering and ensures the integrity of the system

Is there a designated security co-ordinator?

Are security roles and responsibilities defined and carried out as per the ROM, Part 4: Safety and Security?

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Regulatory Ref

REQUIREMENTS N/A Satisfactory Not

Satisfactory Note No.

CREW TRAINING RECORDS FOR EACH EMPLOYEE INVOLVED IN THE DEPLOYMENT, HANDLING AND STORAGE OF RPAS

Does the operator complete induction training with all new employees?

Are SMS and QMS requirements part of induction training?

Are Proficiency Checks done as per the ROM, if applicable

Is recurrent training and checking done as per the ROM, if applicable

CAR 101.04.8

Does the operator conduct background checks on all employees?

Are criminal record checks completed every 24 months?

Have all employees completed Security Awareness Training as prescribed in Part 109?

CAR 101.04.6

Are crew records kept up to date?

Are records of crew no longer utilised kept for the required period (5 years)?

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AIRCRAFT ON ROC

Registration Type Owner

CL

AS

S o

f

RP

AS

Airc

raft

cate

gory

(A

4,

H1,

H2)

3rd

Par

ty

liabi

lity

(Y/N

)

Insu

red

amou

nt

Insu

ranc

e

Exp

iry d

ate

ICA

SA

appr

oval

Cer

tific

ate

of

regi

stra

tion

RP

AS

Let

ter

of A

ppro

val

(Dat

e of

expi

ry)

Max

imum

wei

ght

(MA

UW

)

1 ZT-

2 ZT-

3 ZT-

4 ZT-

5 ZT-

6 ZT-

7 ZT-

8 ZT-

9 ZT-

10 ZT-

11 ZT-

12 ZT-

13 ZT-

14 ZT-

15 ZT-

16 ZT-

17 ZT-

18 ZT-

19 ZT-

20 ZT-

Note: Category A4: Fixed wing // Category H1: Multi-rotor // Category H2: Helicopter

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RECORDS: REMOTE PILOT & PERSONNEL INLVOLVED IN THE DEPLOYMENT, HANDLING AND STORAGE OF RPAS

DATE OF EXPIRY

NAME (A),

(MR) or (H)

License Number (or position, for

example: observer)

VLOS, E-VLOS

or B-VLOS

Background check

completed (date)

Induction training

(including SMS and

QMS)

Aviation Security

Awareness training

Criminal record check

(every 24 months)

Medical (Class 4 or above) (not

applicable to non-RPL holders unless

stated in ROM)

Proficiency check or Observer

training (as per ROM, if applicable)

1

2

3

4

5

6

7

8

9

10

12

13

14

15

16

17

18

19

20

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NOTE NUMBER

NOTES

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CONCLUSIONS: FINDINGS AND OBSERVATIONS

LEVEL 1 FINDING

(Constitutes non-compliance which necessitate 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)

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.)

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Number OBSERVATIONS

Number OPERATORS CORRECTIVE ACTION PLAN

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DEBRIEF TO OPERATOR REPERSENTATIVES FROM AUDIT MANAGER

Operator Representatives

CAA Audit Team

COMMENTS MADE BY THE AUDIT MANAGER TO THE OPERATORS REPRESENTATIVES

Operations

Training

Administration

Documentation

Recommendations

SIGNATURE OF FOD 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 OPERATORS REPRESENTATIVE

NAME IN BLOCK LETTERS DATE

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ATTENDANCE REGISTER

CAA & OPERATOR REPRESENTATIVES

PURPOSE OF MEETING

CHAIRPERSON / PRESENTER DATE: Y Y Y Y M M D D

ATTENDEE INITIALS & SURNAME

SECTION SIGNATURE

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APPENDIX A

Entry meeting agenda

1 Thank the operator for their attendance, co-operation and use of their facilities. 2 Introduce the team. 3 Allow Operator senior representative to introduce their representatives. 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 companys 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 need be.