ISAGO Audit Software Manual For Auditees (July2018)

ISAGO Audit Software Manual
for Auditees
July 2018
Audit Software Manual for Auditees
NOTICE
DISCLAIMER: The information contained in this publication is

subject to constant review in the light of changing government
requirements and regulations. No subscriber or other reader
should act on the basis of any such information without referring
to applicable laws and regulations and/or without taking
appropriate professional advice. Although every effort has been
made to ensure accuracy, the International Air Transport
Association shall not be held responsible for any loss or damage
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the contents hereof. Furthermore, the International Air Transport
Association expressly disclaims any and all liability to any
person or entity, whether a purchaser of this publication or not,
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of anything done or omitted, by any such person or entity in
reliance on the contents of this publication.
© International Air Transport Association. All Rights Reserved.

No part of this publication may be reproduced, recast,
reformatted or transmitted in any form by any means, electronic
or mechanical, including photocopying, recording or any
information storage and retrieval system, without the prior
written permission from:
Senior Vice President

Safety and Flight Operations
International Air Transport Association
800 Place Victoria
P.O. Box 113
Montreal, Quebec
CANADA H4Z 1M1
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Contents
1 Introduction .......................................................................................................................................... 4
2 Use of this Manual ................................................................................................................................ 4
3 Workflows ............................................................................................................................................. 5
3.1 Pre-onsite Audit Activities............................................................................................................. 5
3.2 Post-onsite Audit Activities ........................................................................................................... 6
4 Accessing the Software ......................................................................................................................... 7
5 Recording Document References ......................................................................................................... 8
5.1 Importing a Document Reference ................................................................................................ 9
5.2 Copying a Document Reference from an Existing Audit ............................................................. 10
5.3 Manually add Document References.......................................................................................... 12
5.4 Attaching Audit Questions (GOSARPs and Sub-References)....................................................... 13
5.5 Document References by GOSARPs ............................................................................................ 16
5.6 Merging Document References .................................................................................................. 17
5.7 Document References Inputting Completed .............................................................................. 18
6 Corrective Action Records (CAR)......................................................................................................... 19
6.1 Accessing a CAR........................................................................................................................... 19
6.2 Add Root Cause ........................................................................................................................... 21
6.2.1 Pre-defined Root Cause ...................................................................................................... 21
6.2.2 Add Your Own Root Cause .................................................................................................. 24
6.2.3 Viewing a Root Cause .......................................................................................................... 25
6.2.4 Editing a Root Cause ........................................................................................................... 25
6.3 Add a Corrective Action Plan (CAP)............................................................................................. 26
6.4 Review and Approval of CAP ....................................................................................................... 27
6.5 Add a Final Action Taken (FAT) ................................................................................................... 29
6.6 Review and Approval of FAT ....................................................................................................... 31
7 Common Actions ................................................................................................................................. 33
7.1 Attach a Document ..................................................................................................................... 33
7.2 Workflow Comments .................................................................................................................. 35
8 Troubleshooting .................................................................................................................................. 37
8.1 Access to Audit Software ............................................................................................................ 37
8.2 Any Other Issues ......................................................................................................................... 37
8.3 Time Constraints (CAP and FAT) ................................................................................................. 37
Appendix: Root Cause Categories ............................................................................................................... 38
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1 Introduction
Intelex is the proprietary name that refers to the audit software used by IATA to record the results of the
onsite and follow-up activities of an ISAGO Audit. All pre and post-onsite audit activities are tracked and
recorded in the software.
The software is web-based and scalable for each audit with a systematic workflow-based approach. Each
workflow has an assigned responsible person, including you, the Auditee, which makes user accountability
easier to follow.
2 Use of this Manual

This manual provides you with guidance on how to manage your ISAGO Audit workflows. There are two
basic workflows as described in the next section. Each workflow is independent and requires different
access rights and credentials.
You will probably be the GSP coordinator for the ISAGO Audit; however, other employees including
Department Heads may also play a part in developing and implementing a Correct Action Plan (CAP) and
then closing a Corrective Action Record (CAR).
Flowcharts and software screenshots are used to illustrate the workflows and required actions. The
flowcharts are color-coded to indicate who is responsible for each stage of a workflow. Red boxes on the
screenshots indicate the subject matter or where to click.
The guidance may not be provided in the order in which the audit software is used, displayed or viewed.
Despite our best effort to cover everything, nothing is perfect and we acknowledge there may be errors
or missing useful information. IATA welcomes all feedback, corrections or suggested improvements, on
this Manual by email to isago@iata.org.
If you encounter difficulties with the audit software of a technical nature see 8, Troubleshooting.
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3 Workflows
3.1 Pre-onsite Audit Activities
Figure 1 illustrates the audit software workflow

prior to the onsite audit. The audit software is
prepared (built) prior to the onsite audit by the
ISAGO Agent (GOA). The GOA will enable the ISAGO
disciplines to be included in the scope of the audit
and assign them to an ISAGO Auditor in the
software.
The document references recorded in the software

are established by the ISAGO Auditors during an
initial Headquarters Audit. You are required
thereafter to maintain the document references
and update as necessary. You can enter/update
document references at any time before an
upcoming Station Audit. This is important. It is not
only good housekeeping but also saves time during
the onsite audit and allows the ISAGO Auditors to
focus on auditing.
You can also save the time of the ISAGO Auditors

while onsite also by entering the document
references yourself prior to an initial onsite audit.
We encourage you to do so as it also serves as a
useful gap analysis. Discuss this with the GOA if you
Figure 1 – Pre-onsite Audit Activities Workflow
decide to do so.
You will have to provide the GOA the name of the person who will be responsible to record the post-
onsite (follow-up) activities when the GOA builds the audit. Changing the person responsible will not be
possible once the audit is built.
You can nominate a dedicated person (other than the person responsible for follow-up activities) to
upload and maintain the document references. The GOA will provide access details (username/password)
if you provide the first and last name and email address of the person.
HOWEVER – this person using this access to the audit software will only have access to
the document references before the audit takes place. There will be no access to the
information/records of the post-onsite activities that are part of the second workflow.
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3.2 Post-onsite Audit Activities
Figure 2 illustrates the audit software workflow after the onsite audit is completed and the follow-up
activities commence to close the audit.
Note: Access to the audit software to input or view the information/records of the post-
onsite activities will be provided to you by the Lead Auditor assigned to the audit.
You have to develop, using the information

recorded in each CARs related to each Finding,
and propose a CAP that will result in conformity
with the associated ISAGO standard to close the
Finding. The CAP will also address the Root
Cause or Causes you identified as the reason for
the non-conformity.
The CAP is reviewed and approved by the ISAGO

Auditor that raised the CAR. A date by which
approval has to be obtained will be set for each
CAP; however, the date by which all CAPs are
approved will be set by the Lead Auditor at the
onsite audit closing meeting.
You are then required to record details of the

Final Action Taken (FAT) that you offer to the
ISAGO Auditor as evidence of the
implementation of corrective action that should
result in closure of the CAR.
What you provide in the CAR may be the only

information available to the ISAGO Auditor. It is
essential that it is complete, accurate and is able
to convince the ISAGO Auditor that you have
successfully addressed the Finding. Failure to do
so may not only result in delay but also a
possible reason for the ISAGO Auditor to
Figure 2 – Post-onsite Audit Activities Workflow request a follow-up visit, at extra cost, to verify
conformity.
The CAR is also part of the ISAGO Audit Report, which is read by your customer airlines. They will want to
see that you have successfully and satisfactorily addressed the Finding too.
Note: The audit software assigns a deadline to each stage of the follow-up process. If
whoever is responsible (either you or the ISAGO Auditor) for the stage allows the deadline
to pass without providing the required input, neither party will be able to update the
information unless the deadline is modified by IATA. You should not let this happen!
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4 Accessing the Software

The Intelex ISAGO audit software is accessed using a web browser on a computer. The software is always
online and so an internet connection must be maintained at all times. No additional software or
components are required.
Access to the information entered is controlled (by username and password) and only available to the
assigned person responsible for the workflow (or part thereof).
Enter the following URL: https://clients.intelex.com/Login3/IATAExternal
Enter your Username and Password provided by the Lead Auditor, or the GOA
if you only wish to review or update the document references.
Click Login.
The system login screen will re-appear if you enter an incorrect username
and/or password. Contact the Lead Auditor (or GOA) if you need assistance.
A successful login will provide the My Tasks Summary screen illustrated below.
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5 Recording Document References

Click on the field (highlighted below in red) containing the audit code.
The Document References window below will appear. Keep a note of the Record No. It is useful when
uploading the document references.
As with most software applications there are several ways of doing something. The Manage/Import tab
will allow you to upload or modify a document reference by importing a reference, copying a reference
from a previous (existing) audit or manually adding (typing) a reference.
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5.1 Importing a Document Reference
Importing a document reference is the best option if you have a large number of documents and
references to these documents are readily available in an Excel file. You will have to use a template for
the format of the Excel file.
To obtain the Excel file template:
Click Data Import.
Click Download Template
The Excel template has the following 9 fields:
Audit Record No.* The 3 digit number you kept a note of!
Document Code* The acronym or other code that you identify the document by
Document Title* The controlled name of the document
Document Version The controlled version of the document
Document Description Brief information on the purpose or content of the document
Date of Document The controlled publication date of the document
Document Type* Type, Type 2, Type 3 or Paper (as specified in ORM Table 1.1)
Date Reviewed Date of your last document review
Question Codes This appears in the software Checklist once you click on a question hyperlink,
so leave empty at this stage
The fields indicated by * are mandatory.
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Complete the fields in the Excel template as shown below and Save.
Click Data Import.
Click Choose File.
Locate and select the saved Excel file and click Import.
The imported document references will appear in Document References.
5.2 Copying a Document Reference from an Existing Audit
You can choose to copy the entire document references or specific documents from a previous audit.
Click Copy from Existing Audit.
10
A pop-up window will appear.
Select the checkbox beside the Audit header.
Click Select.
You can copy just a specific document or documents from a previous audit.
Select the checkbox beside the document header. You can select more than one document.
Click Select.
The document references will appear in Document References.
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5.3 Manually add Document References
This option should be used when only a few document references are to be entered, such as in the case
of a Station Audit where a new document reference applies because of a local variation or airline
requirements.
Click Add Entry.
Enter the Document Reference Details (see fields in table in 0).
Click Save & Exit.
The added document reference will appear in Document References.
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5.4 Attaching Audit Questions (GOSARPs and Sub-References)
If you have imported or manually added document references you must also link each document
reference to an audit question.
Click the document you wish to attach.
Scroll down to Audit Questions (Map).
Click Attach.
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Select the related GOSARP. You can select more than one GOSARP if required.
Click Select.
The selected GOSARP (Question Code/Question) will appear in Audit Questions (Map).
Add Sub References as necessary and Comments if necessary.
Click in the box to enable text input.
Click away from the box to save the input.
14
Click Exit when you have completed attaching all GOSARPs.
You will see the added document references are recorded. Sub references are not displayed but you can
verify their existence by returning to Audit Questions (Map).
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5.5 Document References by GOSARPs
The Grouped by Question tab is an alternative method of attaching or viewing GOSARPs associated with
document references.
New or existing document references can be added or attached.
Click the paper icon associated with the Question.
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Click Attach Existing or Add New.
5.6 Merging Document References
This function allows two document references to be merged together, deleting (archiving) the redundant
document reference.
Click on the box under Merge With for the document that is redundant.
Click the downwards arrow in the box and select the document reference to which the redundant
document reference is to be merged.
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Click Refresh
The redundant document reference will be deleted but can, for any reason, be viewed under the Merged
(Archived) tab.
5.7 Document References Inputting Completed
Click Submit when you have completed inputting your document references.
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6 Corrective Action Records (CAR)

A CAR is raised in the audit software by the ISAGO Auditor for each non-conformity (Finding) that is
identified during the onsite part of the ISAGO Audit. To enable the ISAGO Auditor to close a CAR you have
to:
 Identify and record the Root Cause for the non-conformity

 Determine and record what you will do to achieve conformity (a Corrective Action Plan (CAP))
 Implement and record the CAP activities
 Record the Final Action Taken (FAT) that you believe is evidence of achieving conformity as per
the approved CAP.
You will receive your credentials (usually from the Lead Auditor) to gain access to the CARs when the
onsite portion of the audit is completed.
Note: You have to provide the GOA the name of the person who will be responsible to
record the CAR entries when the GOA builds the audit. Changing the person responsible
will not be possible once the audit is built.
All CARs must be closed for the ISAGO Audit to be closed. Refer to the GOPM for details of required
timelines, deadlines and the responsibilities of the personnel involved.
A CAR will only be raised for an Observation if you tell the ISAGO Auditor that you would like to address
it. However, you are under no obligation to complete the associated CAP or close the CAR, in which case
you must notify the ISAGO Auditor as soon as possible so that the CAR can be deleted.
6.1 Accessing a CAR
Logon as described in 4. Accessing the Software. The CARs are displayed in My Tasks.
Click the Description to view the CAR or the Pencil Icon to enter in edit mode (you want to enter
information).
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A page for you to enter information on each stage of the CAR closure workflow appears.
The CAR page ribbon at the top has four functions:
1. Send for Review = to submit entered information for review/approval by the ISAGO Auditor.
2. Add Comment - you can enter additional information which may be helpful to the ISAGO Auditor.
3. Edit - enables text entry and editing, and you can also enable edit mode if accessed from the
Description.
4. Exit - you are returned to My Tasks.
If you click Edit, the Save (saves entered information) and Cancel (does not save entered information)
buttons appear.
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Scrolling down on the page you will see sections Audit Details, Initiating Details, and Related Questions.
Audit Details displays the ISAGO Audit and audit discipline that the CAR belongs to.
Initiating Details displays the CAR type, the name of the ISAGO Auditor that raised the CAR and the
deadline for you to submit the CAP.
Related Questions displays the GOSARP which the CAR relates to, details of the ISAGO Auditor’s
assessment of non-conformity, comments, related document references, and attachments, if any.
6.2 Add Root Cause
You must determine the Root Cause or Causes for the non-conformity, and form the basis of determining
what corrective action is needed to achieve conformity.
6.2.1 Pre-defined Root Cause

The audit software has a set of pre-defined Root Causes, see Appendix: Root Cause Categories. It is
possible to add your own Root Cause in all Categories, see 6.2.2. Add Your Own Root Cause.
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Scroll down to Root Cause Analysis.
Click Add Entry (You must enter at least one Root Cause - this field cannot be left blank).
Click Select.
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Select a Root Cause from the list.
Click Select.
Click Save & Exit if there are no additional Root Causes to be added.
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Click Save & Add Entry if there are multiple Root Causes for this CAR.
Repeat your selection of Root Causes as necessary.
6.2.2 Add Your Own Root Cause

Select Other (description to be provided by Auditee) in the relevant Category.
Click Select.
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Fill in details of the Root Cause in the Other text box.
Click Save & Add Entry and repeat above to add another bespoke Root Cause.
Click Save & Exit when done.
6.2.3 Viewing a Root Cause

A saved Root Cause may be viewed.
Click the Record No.
6.2.4 Editing a Root Cause

A saved Root Cause may be edited.
Click the Pencil Icon beside the Record No.
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6.3 Add a Corrective Action Plan (CAP)
A CAP provides details to the ISAGO Auditors on what corrective action you intend to carry out, and by
when, to address the Root Causes and achieve conformity to close the Finding.
Note: The more detail you provide in the CAP, the better. It must clearly outline the
corrective actions to address all aspects of the non-conformity and Root Cause(s). It must
cover all aspects of the corrective action you intend to take and you must complete the
approved CAP, otherwise you risk further discussion with the ISAGO Auditor and potential
difficulties in CAR closure. If everyone is aware of and agrees what to do, what to
document and implement, you will avoid unnecessary surprises at the end of the process.
You should ensure that the CAP is written in plain English (correct spelling and grammar). Text or
documentation submitted in another language must include a translated version.
Scroll down to Corrective Action Plan.
Interim or Permanent? will always be Final Action, and Corrective Action will always be Yes. If Corrective
Action is No the CAR Workflow will progress directly from CAP to Closed without any
verification/confirmation from the ISAGO Auditor. You do not want this to happen!
In Corrective Action Plan enter all details of your CAP. There is no limit on the amount of text you can
enter.
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Click Save to save the entries you have made.
6.4 Review and Approval of CAP
When you have completed entering your Root Cause(s) and CAP you have to notify the ISAGO Auditor
that it is ready for review.
Click Send for Review.
The CAR will disappear from your My Tasks list.
If the ISAGO Auditor rejects your CAP, the CAR will reappear in My Tasks and it will still be at the Corrective
Action Plan (CAP) stage.
The audit software is designed to host an exchange of information between you and the ISAGO Auditors
whenever responsibility to enter information changes. For example, the ISAGO Auditor may offer
suggestions for additional Root Causes or the improvement of the CAP if it is rejected. Use Workflow
Comments to provide any information to the ISAGO Auditors that should not be part of CAP but is
important to know when you submit the CAP.
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You can access the CAR by either clicking on the Pencil icon or Description and discover why the CAP has
been rejected in Workflow Comments.
Read the comment and edit/make appropriate changes to the Root Causes or CAP as described previously.
Then resend the CAP to the ISAGO Auditor.
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6.5 Add a Final Action Taken (FAT)
If the ISAGO Auditor approves your CAP the stage will change to FAT.
Once the CAP is approved, you have to implement the corrective actions for each Finding within the
required timelines. You should inform the ISAGO Auditors of the status of implementation on a regular
basis and notify them without delay if you cannot keep with the plan.
When implementation of the CAP is completed you have to enter the FAT and provide Verification (proof)
of Implementation (VoI).
Note: The FAT are the changes you made to achieve conformity, they will be the primary
focus of the ISAGO Audit Report, reviewed by your customer and potential customer
airlines.
The ISAGO Auditors will review the evidence you provide as VoI. This can usually be verified by
examination of revised documentation; however, operational change and/or changes to equipment, will
need additional supporting evidence. In some cases a follow-up visit by the ISAGO Auditor is necessary.
Note: All VoI documentation must be in English. Revised and published controlled
documents may be submitted in the local language; however, the relevant changes must
be translated for verification by the ISAGO Auditor.
The ISAGO Auditor will review the FAT.
The ISAGO Auditor will notify you that the FAT has been accepted and the Finding is closed, or advise that
further action is required on your part or that a follow-up visit is necessary for the VoI.
Note: Failure to close a Finding at this stage may prevent the closure of the ISAGO Audit
on schedule and before a required deadline.
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Access the CAR by either clicking on the Pencil icon (to enter edit mode) or Description (and then click
Edit as previously described).
You should check Workflow Comments to see if the ISAGO Auditor has provided any further input.
Scroll down to FAT and enter the relevant details.
Enter the following information to complete this stage:
Final Action Taken - enter the details of the Final Action Taken here.
Actions Taken By - use this dropdown menu to choose the appropriate name.
Submitted By - this field is automatically filled.
Date of Final Action Taken - this field is automatically filled.
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Click Save (if you wish/need to add more information later) or Click Send for VOI to submit.
You can also add a Workflow Comment if you need to inform the ISAGO Auditor of any relevant
information that is not part of the FAT.
Once the CAR has been sent for VOI, it will disappear from your My Tasks.
6.6 Review and Approval of FAT
You do not need to make any further inputs to the audit software for a CAR if the ISAGO Auditor accepts
the FAT.
If the ISAGO Auditor rejects the FAT, the CAR will reappear in My Tasks. It will still show the stage as FAT.
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The ISAGO Auditor’s reasons to reject the FAT will be recorded in Workflow Comments.
As you may have done with the CAP, you can provide the ISAGO Auditor with additional information using
Workflow Comments and you will need to resubmit (as before) your evidence based on the advice of the
ISAGO Auditor.
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7 Common Actions
You can use the following actions at any time during the CAR process.
7.1 Attach a Document
To demonstrate proof of documentation or implementation you will almost certainly have to provide the
ISAGO Auditor with the relevant documentation.
You can attach a document (or any file) in the audit software to the attention of the ISAGO Auditor.
You can repeat the procedure for additional files or documents that you wish to attach to the CAR.
Remember: All documentation must be in English. You can submit a revised and published
controlled document in another language; however, the relevant changes must be
translated into English for verification by the ISAGO Auditor.
Access the CAR from My Tasks.
Scroll to the bottom of the page to Attachments.
Click Attach Document
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You have three methods to attach a file. The default is the File tab.
Click Upload file and select the document or file you want to upload from your computer or accessed
from your computer (on a network or removable drive/memory device).
Click Ok.
The second method follows a similar procedure but uses a web address to locate the file to upload.
Click Web.
Enter the Name of the file and the URL (web address) where the file is located.
Click Ok.
Do not use the third method Server. An ISAGO Auditor will not have access to your server.
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7.2 Workflow Comments
Workflow Comments are not included in the ISAGO Audit Report. They serve purely as traceable
correspondence (information offered or feedback) between the ISAGO Auditor and the Auditee to give
advice or general information to assist one another at any time during the CAR closure process. They
cannot, however, be used as a two-way discussion. You will have to use telephone or Email for that
purpose.
Access the CAR from My Tasks.
Click Add Comment.
A pop window will appear.
Enter your comments in the dialogue box.
Click Ok.
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The comment will appear in Workflow Comments.
You can add as many comments as you like.
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8 Troubleshooting
8.1 Access to Audit Software
Most access issues, if the audit software is not in maintenance, will be associated with your internet
connection and can only be resolved yourself locally.
If any difficulties with access to the audit software are encountered, contact the Lead Auditor to verify
your credentials are correct.
IATA is not responsible for your internet connection, computer set-up or the compatibility of the audit
software with your operating system.
8.2 Any Other Issues
Contact IATA if you encounter what you believe is a software bug or functionality problem, or have any
request of support. Email to intelex@iata.org and copy the Lead Auditor for the specific ISAGO Audit. Give
as much detail of the issue as possible, including screenshots if you can.
8.3 Time Constraints (CAP and FAT)
The ISAGO Auditor sets the deadline for the submission of a CAP and FAT VoI for review. If you (or the
ISAGO Auditor) misses one of these deadlines the CAR will remain at its current stage and further progress
cannot be made unless IATA resets the deadline. IATA does not want to do this! This scenario can be
prevented by progressing the CAP as planned or requesting/allowing adequate time to do the work
involved (but while observing the required audit deadlines), and is a good example of where the use of
Workflow Comments is helpful in resolving matters in a timely manner.
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Appendix: Root Cause Categories

The following categories and sub-categories for a Root Cause are embedded in the audit software and selectable from a drop-down menu.
Area Category Sub-Category Example Sub-Category
RM01 - Insufficient human resources Staffing, manning for task
Improper infrastructure (equipment , facilities, material, technology support, intelligence)
RM02 - Insufficient/defective equipment/facilities
Inadequate procurement & acquisition process
available
Inadequate attrition or disposal policies
RM03 - Insufficient financial/budget resources,
excessive cost cutting
Resource
Long selection process
Management
RM04 - Insufficient selection process/qualification People with improper qualification selected
Unavailable training
Conflicting or inadequate prioritization
RM05 - Poor planning, prioritization Conflicting goals
Inadequate policies impacting planning or availability of resources
RM06 - Other (description to be provided by Auditee)
Inadequate norms, values, beliefs, policies
OC01 - Inadequate company culture Tolerance to drugs and alcohol
Tolerance to abundance or deviation from the rules
Inadequate incentive system affecting motivation
ORGANIZATIONAL INFLUENCES
OC02 - Inadequate HR policies Unstable workforce (hiring, retention)

Organizational Pressure on employees (evaluations, promotions), industrial, union , commercial, peer pressure
Climate Unclear lines of reporting
Inadequate delegation of authority
OC03 - Inadequate organizational structure Lack of formal accountabilities for actions
Inadequate accessibility or visibility of supervisor
Inappropriate organizational changes (personnel/aircraft/equipment) impacting the carrying out of duties
OC04 - Other (description to be provided by Auditee)
Management without sufficient support, planning or oversight
Inadequate risk management, risk assessment
OP01 - Inadequate oversight resources Insufficient safety programs
Operations, philosophy is flawed or accepts unnecessary risk
Insufficient company or contracted training programs
Standards, objectives, procedure, instruction, guidance, information
OP02 - Unclear/unavailable/inadequate regulations, Revision process
standard procedures Documentation
Organizational Communication of changes
Processes High operational tempo, quotas and time pressure
Workload (additional duties and off-duty activities)
OP03 - Inadequate operations
KPRs and measurement system
Schedules, deficient planning
Provided training was not sufficient
Training was not focus on job duties
OP04 - Inadequate training
Training is not standardized
There is only OJT provided
OP05 - Other (description to be provided by Auditee)
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Not providing policy, instruction, information
Inadequate task delegation/prioritization
IS01 - Failed to provide leadership and guidance
Personality conflict with team member
Lack of feedback
Task allocation
IS02 - Failed to track performance Task achievements
Adequate rest period
Inadequate
No tracking system in place
Supervision IS03 - Failed to track qualification
Records availability and control
No training program established
No training scheduled
IS04 - Failed to provide/ensure adequate training No tracking system in place
Training not scheduled on time
Records availability
IS05 - Other (description to be provided by Auditee)
UNSAFE SUPERVISION
Excessive workload over-tasking

Inadequate personnel
PA01 - Inappropriate employee
Resources with Limited Recent Experience (not authorized to perform particular task)
Planned scheduling/assigning/manning
Resources with Limited Total Experience (insufficient experience to perform the task)
Inappropriate
Resources not proficient to perform task
Activities
PA02 - Inadequate Risk Assessment Lack of evaluation of the risks associated with a task
PA03 - Authorization to take unnecessary risks
PA04 - Other (description to be provided by Auditee)
FP01 - Supervisor failed to identify and correct
inappropriate behavior or unsafe tendencies
Failed to Correct FP02 - Supervisor failed to correct known
a Known hazard/problem/error/inefficiency
Problem FP03 - Supervisor failed to report a hazard or unsafe
tendencies
FP04 - Other (description to be provided by Auditee)
SV01 - Supervisor failed to enforce rules and
Supervisor tolerated unwritten or unofficial (“De facto”) policy followed by individuals
regulations
SV02 - Supervisor directed/authorized subordinates to Provided inadequate documents
Supervisory
violate existing rules Falsified documents / records
Violations
SV03 - Supervisor authorized unqualified person for
work
SV04 - Other (description to be provided by Auditee)
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PN01 - Restricted visibility, altitude, terrain, weather
conditions
PN02 - Inadequate lighting, noise, vibration
Physical
PN03 - Inadequate cleanliness, surface conditions
Environment
PN04 - Inadequate facilities/walk/road layout, signing,
marking
PN05 - Other (description to be provided by Auditee)
TN01 - Inappropriate/poor design of equipment, tool,
parts, material
Technological TN02 - Inappropriate automation, function, reliability
Environment TN03 - Inappropriate interface design
TN04 - Inappropriate communications system
TN05 - Other (description to be provided by Auditee)
PC01 - Inattention, apathy, complacency, boredom,
distraction, stress, exhaustion (Burnout)
PC02 - Channelized attention and actions, confusion,
disorientation
PC03 - Personality style
Psychological PC04 - Illness, sickness
PRECONDITIONS
and Physical PC05 - Effects of alcohol, drugs (before or while on

Conditions duty)
PC06 - Inadequate experience for situation,
insufficient reaction time
PC07 - Misperception of operational conditions,
incorrect interpretation and understanding
PC08 - Other (description to be provided by Auditee)
PR01 - Inadequate Rest
PR02 - Inadequate physical fitness, Insufficient diet,
nutrition
Personal
PR03 - Self-medication and unreported medical
Readiness
conditions
PR04 - Inadequate personal preparation
PR05 - Other (description to be provided by Auditee)
CM01 - Lack of assertiveness or leadership
CM02 - Lack of planning or preparation, inadequate
briefing, insufficient re-planning
CM03 - Poor workload management or task delegation
CM04 - Authority gradient, poor teamwork
CRM
CM05 - Lack of cross-monitoring performance,
supportive feedback or acknowledgement
CM05 - Poor communication of critical information
and poor decision making
CM06 - Other (description to be provided by Auditee)
40
DE01 - Inadequate risk evaluation during operation,
misjudging
Decision Errors DE02 - Ignored caution, warning
DE03 - Task mis-prioritization
DE04 - Other (description to be provided by Auditee)
SE01 - Incorrect operation/handling of
equipment/inappropriate use of automation
SE02 - Incorrect operations/handling equipment
Skill Based Errors SE03 - Inadvertently activating or deactivating
equipment, controls or switches
SE04 - Failure to see and react/fail
UNSAFE ACTS
SE05 - Other (description to be provided by Auditee)

PE01 - Error due to misperception, illusion,
Perception disorientation, misjudgment
Errors PE02 - Spatial disorientation, vertigo, visual illusion
PE03 - Other (description to be provided by Auditee)
EV01 - Lack of discipline
EV02 - Rules, regulations, procedures not followed
Exceptional
EV03 - Intentional bending the rules, procedures,
violations
policies by individual or team without cause or need
EV04 - Others (description to be provided by Auditee)
RV01 - Widespread, routine, systemic, habitual
Routine violation by individual or team
violations RV02 - Violation based on Risk Assessment
RV03 - Other (description to be provided by Auditee)
41

ISAGO Audit Software Manual For Auditees (July2018)

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ISAGO Audit Software Manual

DISCLAIMER: The information contained in this publication is

© International Air Transport Association. All Rights Reserved.

Senior Vice President

2 Use of this Manual

Figure 1 illustrates the audit software workflow

The document references recorded in the software

You can also save the time of the ISAGO Auditors

3.2 Post-onsite Audit Activities

You have to develop, using the information

The CAP is reviewed and approved by the ISAGO

You are then required to record details of the

What you provide in the CAR may be the only

4 Accessing the Software

Enter the following URL: https://clients.intelex.com/Login3/IATAExternal

5 Recording Document References

5.1 Importing a Document Reference

To obtain the Excel file template:

Click Data Import.

Click Download Template

The Excel template has the following 9 fields:

Click Data Import.

Click Choose File.

The imported document references will appear in Document References.

5.2 Copying a Document Reference from an Existing Audit

Click Copy from Existing Audit.

A pop-up window will appear.

Select the checkbox beside the Audit header.

The document references will appear in Document References.

5.3 Manually add Document References

Click Add Entry.

A pop-up window will appear.

Enter the Document Reference Details (see fields in table in 0).

Click Save & Exit.

The added document reference will appear in Document References.

5.4 Attaching Audit Questions (GOSARPs and Sub-References)

Click the document you wish to attach.

A pop-up window will appear.

Scroll down to Audit Questions (Map).

Add Sub References as necessary and Comments if necessary.

Click in the box to enable text input.

Click away from the box to save the input.

Click Exit when you have completed attaching all GOSARPs.

5.5 Document References by GOSARPs

New or existing document references can be added or attached.

Click the paper icon associated with the Question.

A pop-up window will appear.

Click Attach Existing or Add New.

5.6 Merging Document References

5.7 Document References Inputting Completed

6 Corrective Action Records (CAR)

 Identify and record the Root Cause for the non-conformity

6.1 Accessing a CAR

The CAR page ribbon at the top has four functions:

6.2 Add Root Cause

6.2.1 Pre-defined Root Cause

Scroll down to Root Cause Analysis.

A pop-up window will appear.

Select a Root Cause from the list.

Repeat your selection of Root Causes as necessary.

6.2.2 Add Your Own Root Cause

Fill in details of the Root Cause in the Other text box.