IS-BAO 2018 Standard Differences October 2018 Why are we here - - PowerPoint PPT Presentation

IS-BAO 2018 Standard Differences

October 2018

Why are we here today?

• The IS-BAO 2018 Standard’s structure is significantly

improved from previous editions.

• This training will highlight these changes and orient
• perators to the new processes and procedures.
• The 2018 Standard, which was released in draft format in

January, may now be used for registration audits and will become mandatory for use on audits after June 30th, 2019.

• IBAC does not intend to revise the Standard again any time
• soon. The 2018 Standard is what we plan will take us to the

year 2020 and perhaps even longer.

• The 2017 Standard may still be used for registration audits

conducted on or before June 30th, 2019.

Chapter Numbers

• In order to better align the IS-BAO and IS-BAH

programme’s common core SMS, the 2018 Standard has had the chapters renumbered as follows:

• 1. Purpose of the Standard
• 2. Introduction
• 3. Safety management Systems
• 4. Emergency Response Plan
• 5. Security
• 6. Company Manuals
• 7. Organization and Personnel Requirements
• 8. Training and Proficiency
• 9. Occupational Safety and Health
• 10. Environmental Management
• 11. Transportation of Dangerous Goods
• 12. Fatigue Management
• 13. Flight Operations
• 14. Aircraft Equipment Requirements
• 15. Aircraft Maintenance Requirements

Conducting the SMS Evaluation – APM 5.6

In an effort to improve understanding of the Standard requirements, Soundness, Appropriateness and Effectiveness have been changed to Stage 1, Stage 2 and Stage 3.

• When conducting a Stage 1 evaluation, the auditor will need to complete

the Stage 1 (S1) Protocol questions which are designed to evaluate whether the required processes and procedures are established.

• When conducting a Stage 2 evaluation, the auditor will need to complete

the Stage 1 (S1) and Stage 2 (S2) Protocol questions which are designed to focus on the evidence that these processes and procedures are effective.

• When conducting a Stage 3 evaluation, the auditor will need to complete

the Stage 1 (S1), Stage 2 (S2) and Stage 3 (S3) Protocol questions which are designed to address maturity indicators associated with the Standard.

Stage 1, Stage 2 & Stage 3 Protocols

3.1.5 SMS Documentation Stage 1 Protocols (applicable to Stage 1, 2 and 3 audits) S 1a . There is a SMS manual that includes all items required in IS-BA 3.2.1.e.1. (3.1.5.1) Note: The SMS manual may be in the form of stand- alone documents or may be integrated with other

• rganizational documents maintained by the
• rganization.

DR S 1b . There is a process to regularly review the SMS manual and update it where appropriate. (3.1.5.1) DR S 1c . There is a process for the development and maintenance of SMS operational records as part of the SMS documentation. (3.1.5.2) DR Stage 2 Protocols (applicable to Stage 2 and 3 audits) S 2a . There is evidence that pertinent parts of the SMS manual are available to personnel according to their

• role. (3.1.5.1 and 6.2)

EI S 2b . There is documented evidence that the SMS manual is being reviewed and updated as appropriate. (3.1.5.1) EI S 2c . Records pertaining to all SMS outputs are available. (3.1.5.2) EI S 2d . The SMS procedures reflect relevant coordination or integration with external customer or subcontractor

• rganizations where applicable. (3.1.5.1.c)

EI Stage 3 Protocols (applicable to Stage 3 audits only) S 3a . The SMS documentation demonstrates how the

• rganization identifies opportunities for continuous

improvement. EI

SMS Stage 3 Evaluation – APM 5.6.3

• For a Stage 3 evaluation, your auditor will use the Stage

3 (S3) Protocol Questions, along with interviews and

• bservations, to determine your organization’s status

in terms of safety cultural attributes.

• Nonconformities related to these Protocol questions

will not result in a finding but will be used by your auditor and IBAC as information to determine whether your organization’s safety cultural attributes are in line with those expected of a Stage 3 organization.

Safety Cultural Aspects of a Stage 3 Organization – APM 5.6.3

A Stage 3 organization is expected to have the following characteristics:

• Widespread employee commitment to and involvement with

improving safety performance, including visible leadership by top management;

• A sustained desire for improved safety performance through

focusing on established organizational objectives by measuring safety indicators with targets over a period of time;

• A consistent effort seeking the causes of deficiencies, rather than

allocation of blame;

• Effective communication of safety information within and outside

the organization, including safety performance trends;

• A deeply held commitment to the benefits of continuous evaluation

and improvement;

Safety Cultural Aspects of a Stage 3 Organization – APM 5.6.3

Stage 3 organization characteristics (continued)

• Managerial awareness of the issues that adversely impact

the organization’s safety culture;

• Primary indicators that include safety, that do not focus only
• n cost or financial targets, and that are actively measured;
• Adequate allocation of financial and other resources for

safety management;

• Initiatives to learn from the safety performance of external
• rganizations; and
• Safety performance measures that include those of

effectiveness of safety activities and processes, rather than just the results of these activities.

Safety Cultural Aspects of a Stage 3 Organization – APM 5.6.3

Stage 3 organization characteristics (continued)

The ongoing improvement process should include regular evaluation of the safety management activities in relation to established SMS objectives as well as the evaluation of risk controls. It also shall include a formal process to identify the causes and implications of substandard performance and eliminate or mitigate such causes.

SMS Stage 3 Evaluation – APM 5.6.3

• It is acceptable to have some Stage 3 Protocol questions

assessed as “No.”

• Your organization can still attain Stage 3 registration without

100% conformity to the Stage 3 Protocol questions.

• It is a judgement based upon the holistic cultural

assessment of the organization by your auditor and IBAC.

• Your auditor is encouraged to provide realistic assessment
• f Stage 3 Protocol questions rather than pushing for 100%

“Yes” answers. This is to assist your organization by identifying areas of opportunity for improvement to the SMS.

Stage 3 Audits and the Protocols

Comments on your organization’s Safety Cultural Attributes – For Stage 3 Audits Only Your auditor will use the box at the end of the Chapter 3 Protocols page in the spreadsheet to enter a summary of the holistic cultural assessment of your organization’s Safety Cultural Attributes that led to your auditor’s recommendation for or against the Stage 3 registration. Your auditor will be sure to consider and comment upon the Stage 3 Cultural Attributes listed in APM 5.6.3.

Comments on the Organization’s Safety Cultural Attributes – For Stage 3 Audits

3.6.1 Has the organization established and maintained a documented flight data analysis (FDA) programme as part of its SMS and does it include all the elements listed in IS-BAO 3.6.1? (3.6.1) (Recommended Practice) DR EI Comments on the Organization's Safety Cultural Attributes - For Stage 3 Audits Comments, Observations, and Recommendations

Evidence of Implementation and Document Reference

Your auditor will be required to provide evidence of implementation and/or a document reference based upon the information in the Required Element box in column E of the Chapter 3 Protocols. These items were added to make the audit report requirements easier to understand and comply with.

• DR indicates that a document reference is required to be

entered in column G.

• EI indicates that evidence of implementation is required to

be entered in column H.

Evidence of Implementation – APM 4.7.3

• The Evidence of Implementation should not be completed

by your organization but by your auditor.

• These comments must include comments on the methods

used by your auditor to determine conformance, in terms of implementation, of the required policy/process/procedure during the onsite audit.

• Your auditor may complement such comments with a brief

description of the policy/process/procedure implemented by your organization, or other comments and/or recommendations deemed appropriate by your auditor.

Document Reference and Evidence of Implementation

3.1.2 Safety Accountability and Responsibilities Stage 1 Protocols (applicable to Stage 1, 2 and 3 audits) S 1a . The organization has identified an Accountable

• Executive. (3.1.2.1.a)

DR S 1b . Accountability for safety performance of the

• rganization is documented in the Accountable

Executive’s job description. (3.1.2.1.a) DR S 1c . The structure of the organization is documented so that lines of safety accountability are understood. (3.1.2.1.b) DR S 1d . The responsibilities of each position with respect to the safety performance of the organization are explicit. (3.1.2.1.c) DR S 1e . Safety responsibilities, accountabilities and authorities are documented and communicated throughout the

• rganization. (3.1.2.1.d)

DR S 1f. The levels of management with authority to make decisions regarding safety risk tolerability are defined. (3.1.2.1.e) Note: Provide an indication of the person(s) who hold the authority to accept or reject risk based on the

• rganization’s policy regarding safety risk tolerability.

DR EI

Review of Previous Audit Report

• It is highly recommended that you provide your auditor

with a copy of your organization’s previous audit to enable your auditor to review it prior to the audit.

• IBAC cannot provide report copies to your auditor.

They must come directly from your organization. If you do not have a copy of the report, you may request one from the IBAC Audit Manager.

• Your auditor is expected to comment on the

remediation of findings from the previous audit in the box provided on the Audit Summary page of the spreadsheet.

Review of Previous Audit Report

Review of Previous Audit Report Previous Audit Report Reviewed Prior to / During the Audit: Comments on Remediation of Findings from Previous Audit:

Significant Events Since Last Audit

Your auditor is expected to ask about and comment

• n any significant internal or external events that

impacted your organization in the last 2 years. This is good information for you to share with your auditor in the opening meeting. This could include, among other things, events such as significant incidents or accidents, mergers, buy outs, management team changes, change of fleet or type

• f operations, change of home base of operations,

etc.

Significant Events Since Last Audit

Please provide information on any significant internal or external events that impacted the organization in the last 2 years

Use of the OTAR Appendix

Audits conducted for organizations that have aircraft registered with the British Overseas Territories that are voluntarily utilizing IS-BAO Registration as an alternate means of compliance with their regulatory requirements have to meet the requirements imposed on this type of audit by the British Overseas Territories.

• All auditors on your audit team must hold the Special

Regulatory (SRQ) Credential.

• Your Organization and your auditor must also complete the

OTAR Appendix in the protocols found after Chapter 15 in the spreadsheet in the 2017 Protocols version 3.0 and later

• r the 2018 Protocols.

Use of the OTAR Appendix

The applicable OTAR Regulations may be viewed by hovering

• ver the hyperlink in the right hand margin of the spreadsheet.

Ref. Item Requirement Req. Elem Conform (Y/N/NA)

• Doc. & Ref.

Number Evidence of Implementation or

• f Non-Conformities

Pending Assessment

OTAR Operator Appendix - Applicable to operators using the IS-BAO for regulatory compliance with the UK OTARs OT 1 General OT 1.1 Has the operator established a policy stating that the

• perator and its personnel shall allow a person

authorised by the Governor of the Territory to board the aircraft unless in the opinion of the PIC, it is unsafe to do so? DR

View OTAR 91.25

OT 1.2 a. Has the operator established a policy stating that the

• perator shall produce any documentation relating to

aircraft operations and the safety of aircraft in flight when requested to do so by an authorised person? DR

View OTAR 91.30

b. Does that policy also state that the PIC shall produce to an authorised person, within a reasonable time, the required documentation to be carried in flight when requested? DR OT 1.3 Does the operator have a policy and procedures to ensure that, when required for an aircraft registered in the Territory, information for the preparation and execution of a flight; reports; flight crew records; cabin crew records; records for other operational personnel; and, other specified records, shall be stored for the periods prescribed in Appendix 1 to 91.1265? DR EI

View OTAR 91.1265

Configuring the Protocols

Your organization can custom configure the Protocols for the type of operations that your organization conducts including whether or not there are Overseas Territories registered aircraft included in the audit.

• Configuring the Protocols on the Initial Questionnaire will

enter N/A automatically for organizations that do not have Overseas Territories registered aircraft.

• This also works for automatically entering N/A for operators

that don’t operate helicopters and other commonly N/A items.

Configuring the Protocols

14 Single-pilot operations? No 15 International operations? Yes 16 Operations over international (non-sovereign) airspaces? Yes 17 Operations above 10,000ft? Yes 18 Overwater helicopter operations in hostile environment conditions? No 19 Operations in airspaces where CNS requirements exist (such as PBN, HLA, RVSM, CPDLC or ADS B/C)? Yes 20 CAT II and/or III operations? Yes 21 Transportation of Dangerous Goods? No 22 Extended Diversion Time Operations (EDTO)? Note: EDTO are also referred to as ETOPS in some documents No 23 Any type of Electronic Flight Bags (EFB)? Yes 24 Does the operator have aircraft registered in the OTAR region for which they use the IS-BAO for regulatory compliance with the UK OTAR Regulations ? No Configure IS-BAO Protocols according to the answers above Does the operator perform: Does the operator have authority for or otherwise perform/use: Note: To clear all applicability configuration, leave all fields above blank and click the hyperlink at cell C41 below. Use of IS-BAO for regulatory compliance

Configuring the Protocols

This is how it looks when you configure the Protocols after indicating that your organization does not have any aircraft registered with the British Overseas Territories.

Ref. Item Requirement Req. Elem Conform (Y/N/NA)

• Doc. & Ref.

Number Evidence of Implementation or

• f Non-Conformities

OTAR Operator Appendix - Applicable to operators using the IS-BAO for regulatory compliance with the UK OTARs OT 1 General OT 1.1 Has the operator established a policy stating that the

• perator and its personnel shall allow a person

authorised by the Governor of the Territory to board the aircraft unless in the opinion of the PIC, it is unsafe to do so? DR N/A The operator does not use the IS- BAO for regulatory compliance with the OTARs. OT 1.2 a. Has the operator established a policy stating that the

• perator shall produce any documentation relating to

aircraft operations and the safety of aircraft in flight when requested to do so by an authorised person? DR N/A The operator does not use the IS- BAO for regulatory compliance with the OTARs. b. Does that policy also state that the PIC shall produce to an authorised person, within a reasonable time, the required documentation to be carried in flight when requested? DR N/A The operator does not use the IS- BAO for regulatory compliance with the OTARs. OT 1.3 Does the operator have a policy and procedures to ensure that, when required for an aircraft registered in the Territory, information for the preparation and execution of a flight; reports; flight crew records; cabin crew records; records for other operational personnel; and, other specified records, shall be stored for the periods prescribed in Appendix 1 to 91.1265? DR EI N/A The operator does not use the IS- BAO for regulatory compliance with the OTARs.

IS-BAO Registration

• Fundamentals of IS-BAO

Workshop Requirements

• Starting July 1, 2019
• A representative from

your organization is required to attend Fundamentals of IS- BAO workshop within the 48 months preceding the registration audit.

• Prior to July 1, 2019, it

is strongly encouraged.

Contact Us

• Ben Walsh, IS-BAO Program Director
• bwalsh@ibac.org, +1 (850) 525-9990
• Jason Starke, Operations Manager
• jstarke@ibac.org, +1 (832) 538-9107
• Brenda Pizano, Administration
• bpizano@ibac.org , +1 (514) 954-6198
• Daniel Devraignes, Audit Manager
• ddevraignes@ibac.org, +55 11 97104.2160
• Stephane De Wolf, EU Operations Specialist
• sdewolf@ibac.org,+32 477 890849
• Yvonne Marinus, Auditor Accreditation Manager
• ymarinus@ibac.org, +1 (650) 302-8306

Questions