Generic SMS Regulatory Framework

• aircraft operators;

• aircraft maintenance organisations;

• air navigation services providers;

• aiport operators.

• training organisations,
• aircraft manufacturers.
IOSA
IATA Operational Safety Audit Program
Fundamentals & Derivatives

Safety and Flight Operations - IATA Brazil

20th March 2014
About IATA
 IATA (International Air Transport Association) is an international organization
that supports global commerce related to the aviation industry.
 Founded in 1945, has 240 member airlines representing 84% of the
world air traffic.
 Our Mission is to represent, lead and serve the industry.
 Our Vision is to deliver standards and solutions in order to ensure a
successful and safe air transport worldwide.
“Safety is the number one
priority in the aviation industry”.
Tony Tyler (IATA’s CEO)
Global Aviation Data Management
IATA Operational Safety Audit Program
 Global Aviation Safety audit program managed and
controlled by IATA.
 Audit standards include ICAO safety and security
provisions and industry best practices from ICAO
Annexes 1, 2, 6, 8, 17, 18 and 19.
 Available to all commercial passenger & cargo
airlines,
regardless of IATA membership status.

9
IOSA Program – Purpose
 Improve worldwide airline safety levels.
 Reduce the number of audits in airline industry.

As consequence…facilitates Code Sharing agreements!

1
0
IOSA Program – History
 Program development was initiated in 2001.
 After two years, IOSA was launched with first IOSA Audit conducted in July
2003.

Some Highlights Since Introduction

 Upgrade of Standards to include all cargo operations and passenger flights
without cabin crew.
 In 2010, upgrade of Standards to incorporate all elements of SMS contained in
the ICAO Framework for SMS.

Next Level  Enhanced IOSA

1
1
 Statistics - IOSA Registered Airlines
Displayed online to public (www.iata.org/iosa), recognizes operators that meet IOSA standards

CIS
North America
Europe 25
41 China & North Asia
144
26
Middle East & North Africa
36
Latin America & the Caribbean Asia-Pacific
45 Africa 44
25

Accidents Update: As at 31 August 2009 8 Issued 1 September 2009

8
Apr 2010
August 2013 Accidents Update: As at 30
Statistics – IOSA Program/ Audit Status
3500
30 August 2013

3000

3520
2500
Audits Saved

2000
Completed Audits
Registrations
1500
Members
Registered 1637
1000

500 388

0 238
Sep-03 Jan-04 Jan-05 Jan-06 Jan-07 Jan-08 Jan-09 Jan-10 Jan-11 Jan-12 Aug-13

13
 Accident Statistics – IOSA vs. Non-IOSA

Accidents Update: As of 30 June 2013

14
Accident Statistics – World Carriers

30 June 2013

11
Where does IOSA
fit?
ICAO FAA / EASA Regulatory oversight
 Fully complementary  Accepted by FAA under  Not intended to replace
o
t USOAP DOT/FAA Code-share Regulatory Oversight
 Recognized for safety Safety Guidelines  Can most definitely
benefits at ICAO 35th  Incorporated to as complement it
Assembly and ICAO Safety an AMC to EU OPS for  Some states
conference  Code-Share ae
r mandating
 Memorandum of Cooperation arrangements IOSA:
on data sharing between IOSA -
and USOAP Turkey, Chile, Madagascar,
Mexico, Brazil, Costa
Rica, Panama

16
 IOSA Quality Certifications
 ISO-CEN Certifications
 ISO 9001 certification since 2005.
 CEN certification since 2010.
 Program Quality Goals
 IOSA Management in accordance with recognized quality
principles.
 Consistency and standardization of all audits conducted under
IOSA.
 Customer satisfaction for all IOSA program users and
stakeholders.
 Continual improvement of IOSA.

17
Documentation System
 IOSA Standards Manual (ISM) (Edition 7)

 IOSA Program Manual (IPM) (Edition 5)

 IATA Reference Manual (IRM) (Edition 4)

 Procedures and Guidance for Airlines (Edition

1)

 IOSA Audit Handbook (IAH) (Edition 5)

All manuals strictly controlled by IATA and the first four

are available at www.iata.org/iosa

18
 IOSA Standards Manual (ISM)
 Approximately 1000 ISARPs in Edition 7.

 ISM content & ongoing revisions

maintained and updated by permanent
taskforces made up of experts in airline
operational safety and security

 Meets or exceed ICAO operational safety

requirements

 Incorporates all elements of the

ICAO- mandated SMS framework
(Annex 19).
 Conformity with all Edition 6 SMS
provisions
will result in a “baseline” SMS
19
IOSA STANDARDS and RECOMMENDED
PRACTICES (ISARPs)
Standards Recommended Practices

 Identified by a “shall”  Identified by a “should”.

 Must be in conformity to  Conformity
close the audit. Recommended, but optional.
 May be left to the next audit.
IOSA STANDARDS and RECOMMENDED
PRACTICES (ISARPs)
Standard Example – Flight Operations
IOSA STANDARDS and RECOMMENDED
PRACTICES (ISARPs)
Recommended Practice Example – Flight Operations
IOSA Program Manual (IPM)
 Contains standards that govern all
aspects of the IOSA Program.

 Provisions are applicable primarily to:

 IATA
 Airlines
 Audit Organisations (AOs)
 Operators
 Endorsed Training Organisations
(ETOs)

23
IATA Reference Manual (IRM)
 Defines abbreviations and terms that
are
associated with provisions in:
 IOSA Standards Manual (ISM)
 ISAGO Standards Manual
(GOSM)
 IOSA Program Manual (IPM)
 ISAGO Program Manual
(GOPM)

24
IOSA Audit Handbook (IAH)
 Contains:
 Procedures, guidance for audits
 Audit techniques
 Procedures for compiling the
report
 Use of Program Options
 Used by AOs, IOSA Auditors and the
audit process under IOSA

25
Procedures and Guidance for Airlines (PGM)
 Contains:
 Procedures, guidance for audits
 Audit techniques
 Completion of the Conformance
Report
 Use of Auditor Actions
 Used operators for internal
assessment of the ISARPs.

26
Audit Organizations
 8 Independent Audit organizations accredited by IATA.

 AOs select, employ and ensure that auditors meet all IPM standards.

 AO performance evaluated under the IOSA QA program & key

performance requirements (KPRs).

 Annual Re-accreditation of AOs based on performance measurement of

audit output, onsite evaluations and reviews.

27
IOSA Auditors
Selection, Training, Approval, Qualifications
 Selection: by AOs as per IPM standards(IOSA Program Manua)

 Pre-requisites: experience, qualifications are defined in the

IPM, ORG, FLT, DSP, MNT auditors must meet special prerequisites.

 Training: provided by training organizations endorsed and approved by IATA.

 Qualifications: maintained via annual recurrent training and

biennial performance evaluations.

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IOSA Audit Report
 Official record of the IOSA
audit, produced by the AO to IPM
standards.

 Subjected to rigorous quality control

by the AO & IATA before finalization.

29
IOSA Audit Report
 Owned by the operator.

 IATA is the custodian of all reports.

 Access to interested parties only with

operator approval. (and per non-
disclosure agreement)

30
IOSA Audit Process
 Operators limited to two consecutive audits from the same AO.

 5 auditors on-site for 5 days, conformity requires ISARP to be

fully documented and implemented.

 IOSA registration is valid for, and renewed every 2 years.

On-site audit start On-site audit end Registration Expiration

Opening meeting; Closing meeting; Operator on IOSA Audit expires if
process, logistics findings and Registry when not all
reviewed observations presented all findings findings
to operator closed closed

5 Days 12 Months
Planning Follow-up: Corrective Action, Verification
Audit Conduct
31
IOSA SMS Principles
 Fundamental safety management concepts
incorporated since Edition 3 of the ISM in
2010.

 IATA has integrated all elements of ICAO

SMS framework into IOSA.

 Requirements in the ORG Section

 e.g. accountability, management review, policy,

planning, communication, resources, quality
management and processes and emergency
response
Key Components and Principles of
IOSA SMS
 Conservative phased approach adopted for the introduction of SMS, in
line with ICAO recommended implementation plan.

 Existing (QA and other) provisions designated as SMS standards.

 New SMS provisions are designated as Recommended Practices.

 Layout of Linked SMS ISARPs

 ORG 3.1.1 ~ Reactive & Proactive safety data data collection and analysis
 ORG 3.1.2 ~ Safety risk assessment and mitigation program
 ORG 3.1.3 ~ Operational safety
reporting system (a “shall”)
 ORG 3.1.4 ~ Confidential safety reporting system
 ORG 3.2.1 ~ Setting performance measures
ISM Edition 3, October 2010
 IOSA SMS Strategy
 IOSA ISM Ed 3 incorporates all elements of
the
ICAO SMS Framework.

 IOSA SMS standards will continue to

evolve reflecting any ICAO changes – four
stages of upgrading to standards, complete
in 2016.

 Mirroring the ICAO recommendation of a

five year SMS implementation plan.

 An operator that meets all IOSA SMS

standards and recommended practices will
be considered as having a baseline SMS
in place.
 IOSA SMS Status to Date
 Observations
 Many Operators do not have effective SMS programs in place
(40%).
 Many States do not have SMS Programs (SSPs)
 Brazil has implemented (SGSO) since 2010.

 Challenges for Operators

 Reluctant to implement an SMS program with no SSP.
 Interpretation of SMS ISARPs.

 Challenges for Audit Organizations

 Interpretation of SMS provisions critical.
 On-going guidance and training for auditing of upgraded SMS
ISARPs.
Enhanced IOSA
Background
 Enhanced IOSA as response to industry’s feedback.
 Program change to focus on the implementation aspect of Standards and
ensure continuous conformity.
 Implementation in a transitioned approach until September 2015.
 Enhanced IOSA will be applicable to all renewal audits.

37
 Enhanced IOSA
Four Pillars
 Focus on implementation of the following four pillars.

Focus on Reliability of
Continuous
Implementation Airline’s Quality Auditing
Conformity with
of IOSA Assurance Standardization
IOSA
Standards
Standards
Functions

38
Enhanced IOSA Elements
1. Focus on Implementation
 Onsite, Audit Organization (AO) will assess a selection of ISARPs
based on an IATA-controlled “Selective Standards Application” (SSA).

 SSA will free time which the AO will use to assess implementation of
ISARPs more deeply.

 Linking of mandatory observations with specific ISARPs will

reinforce the assessment of implementation

39
Enhanced IOSA Elements
2. Continuous Conformity
 Operator will conduct internal audits against ISARPs under
quality assurance program in 24-month period between two renewal
audits.

 After 24-months period operator will submit a Conformance Report

(CR) to
AO as a record of assessment activities.

 CR will be a “live document” that is continually updated to reflect the

current status of conformity.

40
Enhanced IOSA Elements
3. Reliability of Quality Assurance
 Operator will strengthen its quality assurance through continuous
internal assessments.

 AO will validate internal auditing which will form part of the

assessment of the operator’s QA program.

 Online training modules addressing airline internal auditors.

41
Enhanced IOSA Elements
4. Auditing Standardization
 Global level of standardization of airline internal QA auditing through use
of:

 Use of Auditor Actions.

 Standardized online training for all airline internal auditors.

42
 Auditor Actions Example
CAB 2.1.7 If the Operator conducts passenger flights with cabin crew, the Operator
shall ensure cabin crew training courses include testing or evaluation by written, oral or
practical means to satisfy requirements for cabin crew members to demonstrate
adequate knowledge, competency and proficiency to perform duties, execute procedures
and operate emergency and lifesaving equipment.

Auditor Action Steps (to establish documented and implemented)

Identified/Assessed policy/requirement for testing/evaluation in training
courses for cabin crew members.
Interviewed responsible manager(s) in cabin operations
Examined curricula/syllabi of training courses for cabin crew training instructors.
Examined testing/evaluation records of selected cabin crew members.
Other Actions (Specify)

43
IATA Support for Enhanced IOSA
Other Elements

 Conduct of airline Workshops in all IATA regions.

 Conduct of regulator Seminars (web based or in-

loco).

44
Enhanced IOSA
Benefits for Operators
 Increased reliability of QA Program.

 Improved auditing skills.

 Continuous conformity with ISARPs and ICAO

SARPs.

 Individual support from IATA from 2013.

 Pioneering the industry.

45
Enhanced IOSA
Benefits for Regulators

 Standardized self-assessment of operators against ISARPs.

 Increased continuity of conformity with ISARPs.

 Transparent auditing procedures and techniques.

 Focus on the assessment of implementation by Audit

Organization.

46
IOSA – Registered Airlines Brazil (2013)
Findings Observations
Airline 1 10 5
Airline 2 1 21
Airline 3 0 7
Airline 4 14 21
Airline 5 0 8
Airline 6 1 6

Average for Brazil 4.3 11.3

Global IOSA Average 9.6 19

47
IATA Standards Safety Assessment
Program (ISSA)

48
Background
ISSA will strive to meet the following objectives
 Make the proven safety benefits of IOSA available to a wider segment
of the industry (General Aviation, Air Taxi, Regional, VIP transport,etc..).

 Provide an voluntary, affordable safety analysis tool for Operators not

covered by IOSA or existing safety audit programs.

 Provide a structured means of assessing the phased implementation of

SMS.

49
ISSA Audit and Program Standards
Audit Standards derived directly from all IOSA disciplines
 Emphasis on “Organization and Management”.

 Approximately 230 Standards and Recommended Practices.

 Verification of both documentation and implementation required.

 Program Management standards contained in ISSA Program Manual.

 Revisions/updates to Standards will be in alignment with the IOSA update

processes.

50
ISSA Audit Scope
Eligible Excluded
 Commercial or  Aircraft with single, reciprocating
government passenger engines.
and/or cargo operations.
 Single pilot operations.
 Aircraft with one or
more turbine powered  Helicopters.
and/or multiple
reciprocating engines.  Seaplanes.

 Two-pilot operations.  Any operator who is currently

on the IOSA Registry.

51
ISSA – Conduct of Audits
 Initial Audit, followed by biennial renewal audits, audit follow-up and
registration period in alignment with IOSA

 Audit conducted by two Auditors for two days (four man-days on-site,
subject to verification during beta-test phase)

 Use of IOSA accredited auditors qualified and current in the ORG, FLT and
MNT IOSA disciplines.

 Use of Q5 AIMs, the software platform currently used for IOSA.

52
ISSA Summary
 IATA will operate and govern all aspects of the program.
 Will not be linked, associated or conditional on IATA Membership.
 Will be priced to suit the intended market.
 Will be promoted and marketed separately and maintain a clear distinction
from
IOSA.
 Will begin with 3 – 5 beta-test audits in the first half of 2014.
 On line by 2015.

DO YOU WANT TO GO FOR IT ?

53
“Represent, lead
and serve the
industry.”

José Alexandre.T.G. Fregnani

Assistant Director – Safety & Flight Operations
IATA Brazil
[email protected]
Tel: +55 11 2187 4236