Question and Answers

01) Determine monitoring elements/ activities contained in a NCASQCP?

1. Audits
2. Inspections
3. Surveys
4. Tests
5. Investigation

02) Describe the legal enforcement and elements of the monitoring activities?
1. Authority to perform audits, inspection, survey and tests
2. Authority to inspect airport, aircraft and aviation facilities
3. Authority to request aviation documents
4. Authority to take corrective and enforcement actions

03) List out the programmes required by Annex 17

1. NCASP
2. NCASQCP
3. NCASTP
4. Airport Security programme
5. Airline Security programme

04) Annex 17 standard 3.4.4.

Each Contracting State shall require the appropriate authority to develop, implement and maintain a national
civil aviation security quality control programme to determine compliance with and validate the effectiveness of
its national civil aviation security programme.

05) Annex 17 standard 3.4.6

Each Contracting State shall arrange for security audits, tests and inspections to be conducted on a regular
basis, to verify compliance with the national civil aviation security programme and to provide for the rapid and
effective rectification of any deficiencies.

06) List the type of Legal framework enforcements?

1. Immediate corrective actions
2. Administrative action
3. Civil penalty
4. Criminal and or Judicial action

07) Define audit

Audit : An in-depth compliance examination of all aspects of the implementation of the national civil aviation
security programme.

08) Define Inspection:

An examination of the implementation of relevant national civil aviation security programme requirements by
an airline, airport or other entity involved in security.

09) Define Survey:

An evaluation of security needs including the identification of vulnerabilities which could be exploited to carry
out an act of unlawful interference, and the recommendation of corrective actions.

10) Define Test :

A covert or overt trail of an aviation security measure which simulates an attempt to commit an act of unlawful
act.

11) What are the Key elements of audit?

All aspects
• In-depth Examination
 • Security Programme
• Continuous Basis
• Constant Standard

12) Differences and similarities between audit and inspection

Difference :
Scope: The amount of involvement or intervention, which may involve the entire security programme or be
limited to certain aspects.
Duration: Due to its scope, an audit will normally take a greater amount of time to complete.
In addition, States will need to decide as to when and what corrective actions and enforcement measures they
will require for areas of non-compliance.

Similarity: ( common elements)

1. Verify compliance of measures in relation to a benchmark
2. Judge the standard of security achieved and effectiveness of measures
3. Identify deficiencies and ensure corrective actions

13) What are enforcement actions, a State should define?

Enforcement actions
1. Corrective actions
2. Enforcement measures
3. Corrective action plan ( CAP)

14) What are the categories of compliance a State should define?

Categories of compliance:
1. Compliant
2. Compliant – need enhancements
3. Non compliant – non critical
4. Non compliant – critical
5. Non confirmed
6. Not applicable

15) List out the needs relating to security while conducting a survey?
1. Type and quantity of equipment
2. Number of persons necessary
3. Quality and detail of procedure
4. Training needs
5. MANPAD Vulnerability Survey

16) What is the aim of the Security test?

A Security test is an attempt to commit a simulated unlawful act against existing security measures, carried out
covertly or overtly that makes it possible to determine the performance of a person or an object. The test is
used to determine the effectiveness or ineffectiveness of a measure or procedure

17) What are the characteristics of a security test?

1. Frequent execution at irregular intervals
2. With or without prior notice to participants
3. Normally of short duration
4. Limited objective involving specific elements of measures and procedures
5. Emphasis on successes and failures

18) What are the essentials of Quality control measures?

1. Complementary to each other
2. Adapt work method and attitude to the type of measures being adapted
3. Planned and organized appropriately
 19) What are the Inspector’s Qualities?
• Neutrality
• Objectivity
• Empathy
• Listening skills
• Honesty
• Climate of trust

20) What are the Objectives of On-Site Observations?

• Verify that written measures are in fact implemented
• Verify compliance with the regulations
• In case of a discrepancy, look for factual proof

21) Write the sequence of the audit/inspection mission?

1. Meeting of auditors/inspectors
2. Opening meeting
3. Visits
4. Night visit
5. Discussions
6. Internal meetings
7. Local liaison information meeting
8. Writing of report on findings
9. Final meetings
10. Audit/inspection report
11. Mission report
12. Corrective action plans

22) List the Annexes: methodology documents for audit?

1. Pre-audit questionnaire model
2. Audit guide
3. Checklist
4. Discussion records
5. Intermediate findings report
6. Final report model
7. Corrective action plan model
8. Inspection checklist model

23) What are the key elements to an audit or what is the concept of audit?
1. Benchmark: It is the set of laws and principles that govern the audited sector as well as the NCASP
2. Methodology: It consists of reviewing documents, on-site observations, and interviewing appropriate
personnel in order to carry out an audit
3. Auditor/Inspector: A single individual or be comprised of a team of qualified and authorized
auditors/inspectors

24) What are the different phases of an audit

An audit normally consists of three phases:
1. Audit preparation and introduction
2. Conduct of audit
3. Audit report( findings, recommendations and corrective actions)

25) Name the two basic meetings of audit and explain it

Pre-audit meeting or in- briefing:
Its held at the beginning of the audit, the main objective of which is to introduce the auditor/inspector and
present the audit plan
Post- audit meeting or out-briefing:
 Its main objective is to present the audit findings

26) Describe the various steps in preparing for an audit/inspector List the five elements of audit
preparation?
1. Preliminary study of documents provided by the audited entity
2. Development of the audit plan
3. Contact with local authority or Local liaison officer
4. Allocating duties within the team
5. Pre-audit meeting

27). List the code of ethics that an auditor/inspector must adopt?

1. Be Discreet
2. Do not threaten
3. Respect people
4. Do not interfere with the performance of duties
5. Do not ask for or accept special treatment
6. Respect confidentiality
7. Be honest

28) . Causes- related to audit itself:

Ignorance of the object
Fear of sanctions

29). Causes- related to the circumstances of the audit:

Saturation:
Decision coming from hierarchy:
Extra workload:
New requirements under implementation:
Economic consequences:

30) .Causes- related to skill and authority:

Fear of not knowing how to answer:
Fear of a personal skills review:
Fear of the auditor’s authority:

31) .Causes- related to natural factors:

Resistance towards any change:
Protection of the organization:
Audit or inspection seen as threat:

32) What not to do while managing a difficult situation?

1. Intercede in local conflicts
2. Generate conflicts
3. Judge people

33) What to do while managing a difficult situation?

1. Keep a positive attitude
2. Establish a climate of trust
3. Show respect
4. Involve participants in the process
5. Keep to the objectives and plan
6. Change interviewee if possible.

34) What information should be contained in IFR?

1. Summary of facts noted
2. Category of findings and
3. Recommendations, if required

35). What are the salient features of IFR?

IFR should be
1. Clear
2. Concise
3. Comprehensive
4. Short
5. Objective
6. Factual

36) List the contents of the post-audit meetings?

1. Appreciation for audit assistance
2. Review audit objective and benchmark used
3. Review methods for gathering information
4. Presentation of audit findings
a. General
b. For each audited sector
5. Comments made by auditors ( written or verbal)
6. On-site validation
7. Deadline for the transmission of the report
8. Mentioning of the corrective action plan

37). Write the contents of the final Report?

1. Introduction
2. Objectives and scope
3. Name of audited party
4. Dates,
5. Benchmark
6. Names of interviewees
7. Detailed descriptions
a. Standards of compliance and non compliance
8. Level of compliance
a. Programme
b. Operational
c. Implementation

38) Name a few elements that help for effective communication?

1. Be available, attentive, and listen
2. Adapt to the language and references of others, know your audience
3. Avoid lecturing
4. Avoid prejudices, while remaining objective
5. Specify objectives
6. Be Clear, specific and concise. Structure the information

39). List the different ways of showing dissatisfaction or disagreement? Or

What are the difficult audit/inspection situations which need to be managed?
Evasive Action:
1. Refusal to answer questions
2. Voluntary and systematic lateness to previously planned appointment
3. Planned interruptions
4. Loss of memory, missing documents , etc.
Distraction:
1. Loss of time, long meals, visit of premises, coffee breaks, etc
2. Flattery, obsequiousness, etc
3. Discussions
4. Special cases or exceptional circumstances, which justify a non-compliant situation
Resistance:
1. Passiveness
2. Withholding of information
3. Masking of information
4. Blocking communication
Conflicts:
Verbal attack
Rejection
The first three mannerisms are referred as defensive attitude where as conflict is referred as an offensive
attitude

40). List the causes for difficult audit/inspection situations?

Causes- related to audit itself:
Mistrust: Felt towards the audit especially when objectives are not mastered
Fear of sanctions: the audit party fears the potential sanctions consequent to the audit
Causes- related to the circumstances of the audit:
Saturation:
Decision coming from hierarchy:
Extra workload:
New requirements under implementation:
Economic consequences:
Causes- related to skill and authority:
Fear of not knowing how to answer:
Fear of a personal skills review:
Fear of the auditor’s authority:
Causes- related to natural factors:
Resistance towards any change:
Protection of the organization:
Audit or inspection seen as threat:

41) Annex standard 3.4.1

Each Contracting State shall ensure that:
a) background checks are completed in respect of persons implementing security controls, persons with
unescorted access to security restricted areas, and persons with access to sensitive aviation security
information prior to their taking up these duties or accessing such areas or information;
b) recurrent background checks are applied to such persons at intervals defined by the appropriate authority;
and c) persons found unsuitable by any background check are immediately denied the ability to implement
security controls, unescorted access to security restricted areas, and access to sensitive aviation security
information.

42). What are the traps to be avoided by an auditor?

Browsing:
1. Deviating from the plan, going from subject to subject
2. Personal distraction
Haste:
1. Extensive questioning
2. Unprepared evaluation

43) Annex 17 standard 4.4.1

Each Contracting State shall establish measures to ensure that originating passengers of commercial air
transport operations and their cabin baggage are screened prior to boarding an aircraft departing from a
security restricted area.

44). What are the specifics of the inspections?

1. More direct questioning
2. More closed questions
3. Straight to the point
4. Do not threatening or authoritative behavior

45). What are the paraphrasing questions?

Repeating what was stated in simple terms
Clarifying answers provided by the interviewee while verifying agreement.

46). What is the purpose of paraphrasing ?

1. Clarify answer
2. Validate information received
3. Specify the meaning of one or more terms

47). What are the various sources of gathering information by an auditor?

1. Observation
2. Review of documents
3. Formal and informal interviews

48).What are the primary purposes/ objective of on-site observations?

1. Verify that written measures are in fact implemented and adapted to the configuration of the premises.
2. Assess each security measure through observations and discussions to determine compliance with
regulations.
3. If variations are found, look for facts to establish proof.

49) What is the Behaviour of the Inspector?

• Listening
• Speech
• Space

50) Annex 17 standard 3.1.1

Each Contracting State shall establish and implement a written national civil aviation security programme to
safeguard civil aviation operations against acts of unlawful interference, through regulations, practices and
procedures which take into account the safety, regularity and efficiency of flights.

51) Write down any six duties of Team Leader?

• Study preliminary documents
• Prepare the Inspection plan with the liaison
• Supervise and assist inspection team members
• Hold the pre-inspection meeting
• Participate in inspection
• Hold team meetings
• Supervise the post-inspection meeting

52) Annex 17 Standard 5.1.4

Each Contracting State shall ensure that contingency plans are developed and resources made available to
safeguard civil aviation against acts of unlawful interference. The contingency plans shall be tested on a
regular basis.

53) What are the Test obligations?

Test must:
• be legal within the State
• not jeopardize safety
• not cause damage to property
• not cause undue alarm
• be realistic
54) What are the Characteristics of Security Investigation?

• Legal within the State

• Impartial
• Diligent
• Standardized
• Timely fashion

55) Study of Site Plans

• Number of terminals
• Location of areas to inspect
• Distance between areas to be inspected
• Number of access points
• Familiarization of facilities prior to arrival

56) What are the questions you should ask while conducting Inspection?
• More direct questioning
• More closed questions
• Straight to the point
• Do not use threatening or authoritative behaviour

57) Annex 17 Standard 4.7.3

Each Contracting State shall ensure that the aircraft operator and the pilot-in-command are informed when
passengers are obliged to travel because they have been the subject of judicial or administrative proceedings,
in order that appropriate security controls can be applied.

58) Primary Objective of Aviation Security

The primary objective of the Aviation Security is the safety and security of passengers, crew, ground
personnel, general public, airports, aviation installations and all other matters relating to safeguard against acts
of unlawful interference with civil aviation operations.

59) Explain Rule 48( The Aircraft Security Rules 2011) . Inspection.
Any person, authorized by the Commissioner in writing may, at all reasonable times, enter any place or
aircraft to which access is necessary and to inspect the facilities, services, equipment, documents and records
for the purpose of securing compliance with the provisions of these rules.

60) Define Annex 17?

Annex 17 to the Convention with the title “Standards and Recommended Practices — Security —
Safeguarding International Civil Aviation against Acts of Unlawful Interference”.

61) What are the don’t in the final report?

1. Voice opinions
2. Be verbose
3. Use expressions which may be subject to misinterpretation

62) What are the do’s in the final report?

1. Use short sentences
2. Use third person tense
3. Use formal language
4. Use security terminology

63) What are the contains in the final report?

• Recommendations/Sanctions
• Categories of compliance
 • Summary
• Corrective Action Plan

64) Annex 17 standard 3.4.8

Each Contracting State concerned with an act of unlawful interference shall require its appropriate
authority to re-evaluate security controls and procedures and in a timely fashion take action necessary
to remedy weaknesses so as to prevent recurrence. These actions shall be shared with ICAO.

65) What is critical element 3 and explain it?

State Appropriate Authority for Aviation Security and its Responsibilities
Designation of an appropriate national authority for aviation security matters supported by appropriate
technical and non-technical staff and provided with adequate financial resources.
The State appropriate authority must have security regulatory functions, objectives and policies, and
must develop and maintain an effective NCASP, NCASTP and NQCP. It must also ensure the
promulgation of relevant regulations, the allocation of tasks and the coordination of responsibilities
between government agencies.

66) What is critical element 6 and explain it?

Certification and Approval Obligations
The implementation of processes and procedures to ensure that personnel and organizations
performing an aviation security activity meet the established requirements before they are allowed to
conduct the relevant activity. Examples: Certification of screeners, approval of security programmes
and requirements for recurrent certification and recurrent approvals.
67) What are the Questioning Techniques while conducting Inspection?
• The different types of questions:
Open-ended/closed questions
Leading/neutral questions
68) What is the advantage of Open-ended questions?
It provides a theme and absolute freedom as to how it is dealt with. It focuses on the person being
questioned.

69) What is the Disadvantage of Leading question ?

It tends to lead and influence the answer. It is not objective and must be avoided during inspections

71) What is Paraphrasing Techniques?

Paraphrasing consists in repeating in simple terms and clarifying the answers provided by the
interviewee. It is a method for clarifying information and a means of verifying what has been stated by
the person
72) What down any five Objectives of Preliminary Study?
• Establish a liaison within the airport / entity to be inspected
• Familiarize yourself with the inspected airport
• Identify elements requiring additional information
• Optimise resources impacting the inspection
• Draft a realistic inspection plan
73) What are the types of security Investigations?
There are two types of investigations:
• to identify non‐compliance based on a confidential report (Annex 17 Standard 3.4.7 c)
• to analyse the deficiencies / causes after an act of unlawful interference to prevent reoccurrence
74) Annex 17 standard 3.2.2
Each Contracting State shall ensure that an authority at each airport serving civil aviation is
responsible for coordinating the implementation of security controls.
75) What is the disadvantage of closed questions?
It provides little freedom in answering. It does not always seem to yield authentic and significant
answers (this depends on the relevance of questions).