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 operators 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 30 th , 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 30 th , 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 o 2. Introduction o 3. Safety management Systems o 4. Emergency Response Plan o 5. Security o 6. Company Manuals o 7. Organization and Personnel Requirements o 8. Training and Proficiency o 9. Occupational Safety and Health o 10. Environmental Management o 11. Transportation of Dangerous Goods o 12. Fatigue Management o 13. Flight Operations o 14. Aircraft Equipment Requirements o 15. Aircraft Maintenance Requirements o
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 There is a SMS manual that includes all items required 1a in IS-BA 3.2.1.e.1. (3.1.5.1) . Note: The SMS manual may be in the form of stand- DR alone documents or may be integrated with other organizational documents maintained by the organization. S There is a process to regularly review the SMS manual 1b and update it where appropriate. (3.1.5.1) DR . S There is a process for the development and 1c maintenance of SMS operational records as part of the DR . SMS documentation. (3.1.5.2) Stage 2 Protocols (applicable to Stage 2 and 3 audits) S There is evidence that pertinent parts of the SMS 2a manual are available to personnel according to their EI . role. (3.1.5.1 and 6.2) S There is documented evidence that the SMS manual is 2b being reviewed and updated as appropriate. (3.1.5.1) EI . S Records pertaining to all SMS outputs are available. 2c (3.1.5.2) EI . S The SMS procedures reflect relevant coordination or 2d integration with external customer or subcontractor EI . organizations where applicable. (3.1.5.1.c) Stage 3 Protocols (applicable to Stage 3 audits only) S The SMS documentation demonstrates how the 3a organization identifies opportunities for continuous EI . improvement.
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 observations, 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 on 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 organizations ; 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 of 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.
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