SAMPLE-Company Operations Manual with integrated (EEC) 3922/91 Annex III EU OPS1 for VFR A to A/B Air Operators in Switzerland

Transcription

1 SAMPLE-Company Operations Manual with integrated (EEC) 3922/91 Annex III EU OPS1 for VFR A to A/B Air Operators in Switzerland Issue 1, Effective Date: /65

2 OM A Tables Record of Revision (RoR) Issue/ Revision Number Effective Date Entered by Date Record of Temporary Revision (RoTR) Temporary Revision Number Effective Date Entered by Date Validity Cancellation Removed by Date List of Effective Pages (LEP) Page Number Issue/ Revision Number Effective Date Issue 1, Effective Date: /65

3 OM A Tables Table of Contents OM-A GENERAL/BASIC ADMINISTRATION AND CONTROL OF OPERATIONS MANUAL Introduction This Operations Manual is divided as follows: Area of Operation Operations Specification Terms and definitions: System of amendment and revision Responsibility Responsibility of content, issue and revision Responsibility of Operations Manual holder Form of revision Temporary revisions Highlighting of Changes Acceptance / Approvals of revisions Annotation of page layout Distribution of manuals Operator s declaration ORGANISATION AND RESPONSIBILITIES Organisational structure Organigram Nominated postholders Responsibilities and duties The main responsibilities and duties are: Individual responsibilities and duties of postholders: Accountable Manager (AM) Post Holder Flight Operations (FO) Post Holder Crew Training (CT) Post Holder Ground Operations (GO) Continuing Airworthiness Manager (CAM) Flight Safety Manager (FSM) Safety Manager (SM) Quality Manager (QM) Safety Review Board Safety Action Group Authority, duties and responsibilities of the commander Duties and responsibilities of crew members other than the commander 19 2 OPERATIONAL CONTROL AND SUPERVISION Supervision of the operation by the operator Air operators certificate Licence and qualification validity Competence of operations personnel Control, analysis and storage of records, flight documents, additional information and data System of promulgation of additional operational instructions and information Accident prevention and flight safety program Operational control Powers of the Authority Issue 1, Effective Date: /65

4 OM A Tables 3 SAFETY & QUALITY MANAGEMENT SYSTEM Safety and Quality Policy, Organization and Documentation Safety and Quality Policy Relevant external Standards Quality Objectives (Policy Deployment) Safety & Quality Management Organisation & Accountabilities Organisation Purpose of the Safety & Quality Management System SQMS-Documentation Overview over the Sample-Company.' Safety & Quality Management System Introduction to Safety & Risk Management Relation between Safety Management System and Q-Systems in Aviation Mitigation / Reduction of Risks Paradigm Change Reactive Safety Management Pro-active Safety Management Predictive Safety Management CREW COMPOSITION Crew Composition Designation of the commander Flight crew incapacitation Operation of more than one type QUALIFICATION REQUIREMENTS General Flight crew Cabin crew Training, checking and supervision personnel Other operations personnel CREW HEALTH PRECAUTIONS Crew health precautions Alcohol and other intoxicating liquor Narcotics, Drugs, Sleeping tablets, Pharmaceutical preparations Immunisation Deep diving Blood donation Meal precautions prior to and during flight Sleep and rest Surgical operations FLIGHT TIME LIMITATIONS Flight and duty time limitations and rest requirements General Operators Responsibilities Authority of the pilot Flight and Duty Hour Limitations Duty Hour Limitations Block Hour Limitations Maximum Daily Flight Duty Period (FDP) Rest time Recording Issue 1, Effective Date: /65

5 OM A Tables Recording of Duty, Flight Duty and Rest Periods by the Operator Recording of Duty, Flight Duty and Rest Periods by the Pilot Exceedances of flight and duty time limitations and/or reductions of rest periods OPERATING PROCEDURES Flight preparation instructions Minimum flight altitudes Criteria and responsibilities for the authorisation of the use of aerodromes General Aerodrome Categorisation Alternate criteria Methods for establishing aerodrome operating minima Take-Off Landing En-route operating minima Presentation and application of aerodrome and en-route operating minima Interpretation of meteorological information Determination of the quantities of fuel and oil A to A flights A to B flights Mass and centre of gravity Definitions Methods, procedures and responsibilities for preparation and acceptance of mass and centre of gravity calculations The policy for using either standard and/or actual masses The method for determining the applicable passenger, baggage and cargo mass The applicable passenger and baggage masses for various types of operations and aeroplane type Mass and balance documentation Last minute changes procedures Specific gravity of fuel and oil Seating policy/procedures ATS flight plan Operational flight plan A to A operations A to B operations Operator s aeroplane technical log List of documents, forms and additional information to be carried on board Ground handling instructions Fuelling procedures Aeroplane, passengers and cargo handling procedures related to safety Procedures for the refusal of embarkation De-icing and anti-icing on the ground Flight procedures VFR/IFR policy Issue 1, Effective Date: /65

6 OM A Tables Use of Air Traffic Service (ATS) Navigation procedures Altimeter setting procedures Altitude alerting system procedures Ground proximity warning system/terrain avoidance warning system Policy and procedures for the use of TCAS/ACAS Policy and procedures for in-flight fuel management Adverse and potentially hazardous atmospheric conditions Wake turbulence Crew members at their stations Use of safety belts for crew and passengers Admission to flight deck Use of vacant crew seats Incapacitation of crew members Cabin safety requirements Passenger briefing procedures Procedures for aeroplanes operated whenever required cosmic or solar radiation detection equipment is carried Policy on the use of autopilot and auto throttle All weather operations ETOPS Use of the minimum equipment list Unserviceabilities MEL Non revenue flights Passenger Carrying Flights Non-Passenger Flights Private Flights Aerial Work Oxygen requirements Conditions under which oxygen must be provided and used The oxygen supply requirements DANGEROUS GOODS AND WEAPONS Information, instructions and general guidance on the transport of dangerous goods including: Operator s policy on the transport of dangerous goods Guidance on the requirements for acceptance, labelling, handling, stowage and segregation of dangerous goods Special notification requirements in the event of an accident or occurrence when dangerous goods are being carried Procedures for responding to emergency situations involving dangerous goods Duties of all personnel involved as per OPS Instructions on the carriage of the operator s employees The conditions under which weapons, munitions of war and sporting weapons may be carried SECURITY Security instructions and guidance of a non-confidential nature which must include the authority and responsibilities of operations personnel A description of preventative security measures and training Issue 1, Effective Date: /65

7 OM A Tables 11 HANDLING, NOTIFYING AND REPORTING OCCURENCES General Objective List of examples of reportable occurrences Area Flight Operations Passengers Aeroplane technical Air Navigation Services, Facilities and Ground Services Air Traffic Incident Reporting (ATIR) Incident, serious incident and accident Incident Serious incident Accident Serious injury Assignment for flight after occurrence Incident reporting procedure RULES OF THE AIR LEASING Philosophy Responsibility and Restrictions Terminology Leasing of Aeroplanes between Community Operators Wet lease-out All leases except wet lease-out Leasing of Aeroplanes between Sample-Company and any Entity other than a Community Operator Dry lease-in Dry lease-out Wet lease-in Wet lease-out Leasing of aeroplanes at short notice: Sample-Company policies (preferred leasing partners, link to quality system (audits/inspections) Appendices Issue 1, Effective Date: /65

8 OM A ADMINISTRATION AND CONTROL OF OPERATIONS MANUAL 0 OM-A GENERAL/BASIC 0 ADMINISTRATION AND CONTROL OF OPERATIONS MANUAL 0.1 Introduction The Operations Manual of Sample-Company complies with the regulation (EEC) 3922/91 Annex III, thereafter called EU-OPS1, and with the terms and conditions of the Air Operator s Certification (AOC) and respective specifications. The Operations Manual is for the use and guidance of all operations personnel, who are to ensure that all commercial flights are planned and executed in accordance with its policies and requirements. All its rules and regulations shall always be adhered to by the relevant personnel. During any situation not covered in this Operations Manual or in any emergency situation the personnel shall not be prevented from using their best judgment This Operations Manual is divided as follows: Part A: General/basic This part comprises all non type-related operational policies, instructions and procedures needed for a safe operation. Part B: Aeroplane operating matters This part comprises all type-related instructions and procedures needed for a safe operation. It takes account of any differences between types, variants or individual aeroplanes used. Mainly the AFM/POH is used as Part B. Additional information is prescribed considering the local and/or geographical circumstances in the area of operation. Part C: Route and aerodrome instructions and information This part comprises all instructions and information needed for the area of operation. For the time being Sample-Company uses the official AIP and/or VFR Jeppesen as OM-C. Part D: Training This part comprises the training program of all operational personnel assigned to management or flight duties within Sample-Company. For the time being Sample-Company uses the already existing and approved training part of the old FOM as OM-D Area of Operation The area of operation is defined and authorised between 35 North to 72 North and 010 West to 037 East Operations Specification A to A Operations and A to B Operations Non-scheduled Passengers and Cargo VFR Day only This manual is prepared for single-engine operations only Terms and definitions: The meanings of words are as follows: Shall, must, has to, is to, and verbs used in present indicative form such as does, perform, etc., are used in an imperative, compulsory, mandatory sense. Should is used in a sense of strong recommendation. Issue 1, Effective Date: /65

9 OM A ADMINISTRATION AND CONTROL OF OPERATIONS MANUAL 0 May, might are used in a permissive sense to state the authority or permission to do the mentioned act. Must not, may not or no crew member may mean that nobody is authorized or permitted to do the act. Includes means includes but is not limited to. He, his, him, himself, are used for both male and female Adequate facility A to A operations A to B operations Block-off Block-on Block time Duty Duty period Flight duty period (FDP) Local day Local night Night Reporting time Unforeseen circumstances Facilities, other than on an aircraft, which are adequate for pilots to take a break. The facility is at least equipped with comfortable seating possibilities for all crew members, is separated from the public and other working stations, is ventilated, isolated from heavy noise and gives the crew the possibility to relax and accordingly adapt clothing. The facility is located in an acceptable distance to a rest room. Take-off and landing are made at the same place. Take-off and landing are made at different places. The time when an aircraft is moving from its parking position for the purpose of taking off The time after flight, when an aircraft comes to a stop on the parking position and all engines are shut down. The time between an aircraft first moving from its parking place for the purpose of taking off until it comes to rest on the designated parking position and all engines or propellers are stopped. Any task that a pilot is required to carry out associated with the business of Sample-Company or any work for third parties for which remuneration is being received. A period which starts when a pilot is required by the operator to report for duty and ends 30 minutes after block on of last flight. If the duty was not connected to a flight duty period, it ends after finalizing work for the operator. A Flight Duty Period (FDP) is any time during which a person operates in an aircraft as a member of its crew. The FDP starts when the pilot is required by the operator to report for a flight or a series of flights; it finishes at block-on of the last flight on which he/she is an operating pilot. A 24 hour period commencing at 00:00 local time. A period of 8 hours falling between 22:00 hours and 08:00 hours local time. The hours between the end of evening civil twilight and the beginning of morning civil twilight or such other period between sunset and sunrise, as may be prescribed by the appropriate authority. Time at which the pilot starts the preparation of a flight or series of flights. Reporting time shall be at least one hour prior planned time of departure. All duty performed after reporting time and before flight are considered flight duty period. Circumstances of technical, meteorological or operational difficulties which become obvious after the crew has reported for a flight duty period, excluding reactional consequences of economic nature. Issue 1, Effective Date: /65

10 OM A ADMINISTRATION AND CONTROL OF OPERATIONS MANUAL System of amendment and revision The following system of amendment and revision applies to the entire Operations Manual System except where other official Manuals (AIP, VFR Manual, Jeppesen, AFM, ) are used. Amendment and revision are considered the same. Revision means a partial change to the Operations Manual and is numbered in sequence. When major changes need to be made, a new edition will be made. As the case may be required, revisions may be carried out as: Standard revision regularly and permanently performed changes on specific subjects in parts, chapters and/or subchapters; Temporary Revision time limited changes or amendments, published additionally to the revision in effect. Temporary Revisions are to be cancelled upon time limit or if not longer valid, appropriate or applicable; Urgent Revision when immediate amendments or revisions are required in the interest of safety, they may be published and applied immediately, provided that any approval required has been applied for and the FOCA is supplied with the intended revision. Immediate revisions may be published time limited as Temporary Revision or Standard Revision Responsibility Responsibility of content, issue and revision The following personnel are responsible for the contents and the issuance of the different parts of the OM: OM Part S&QM PFO PCT CAM OM A OM A Quality Management System OM B OM C OM D CAME Responsibility of Operations Manual holder Every Operations Manual holder is responsible for keeping his Operations Manual up to date, for entering the revisions correctly and for making sure that only the current version is in operation. On completion of every revision, each Operations Manual holder must sign and date the change in the Record of Revision Form of revision With the exception of Temporary Revisions, all revisions will be published in the form of printed, replacement of single pages. Handwritten amendments and revisions are not permitted except in situations requiring immediate amendment or revision in the interest of safety Temporary revisions Temporary revisions are printed on yellow paper. The start and end date of the temporary revision is printed on the lower left-hand corner Highlighting of Changes Any change to previous version will be marked by a vertical line on the border of the page, next to the text. The change indicators will be withdrawn in the next revision of that page Acceptance / Approvals of revisions The Federal Office of Civil Aviation (FOCA) must be supplied with all intended revisions including those of temporary and urgent nature. When the revision Issue 1, Effective Date: /65

11 OM A ADMINISTRATION AND CONTROL OF OPERATIONS MANUAL 0 concerns any part of the Operations Manual, which requires approval or acceptance, this approval /acceptance must be obtained before the amendment or revision becomes effective and is distributed Annotation of page layout The pages of the Operations Manual of Sample-Company are layout as follows: Page header: Left corner: OM X In the middle: Title of the Chapter Right corner: Number of the Chapter Page footer: Left corner: Revision Status and Effective Date Right corner: page number Distribution of manuals The Postholder Flight Operations, or delegated person, provides the following Operations Manual distribution: Place OM A OM B OM C OM D MEL CAME FOCA Office Library Aeroplane Subcontracted Maintenance Accountable Manager Safety & Quality Manager Postholder Flight Operations Postholder Crew Training Postholder Ground Operations Continuous Airworthiness Manager Flight Crew Member 0.3 Operator s declaration We, the undersigned, declare that the Operations Manual (OM) System, comprising parts A, B, C, D and associated extracts (if applicable) has been established and will be maintained in full compliance with the provisions of COUNCIL REGULATION (EEC) 3922/91 ANNEX III (EU-OPS). the OM-System complies with the terms and conditions of the company s Air Operator Certificate. we are responsible for the content of the OM and confirm that besides COUNCIL REGULATION (EEC) 3922/91 (and JAR-FCL, where applicable) all relevant national rules and regulations as well as ICAO standards and procedures are reflected in the different chapters. we know and understand the content and meaning of the OM and will perform our duties in full accordance with it. the detailed knowledge of the relevant content is mandatory to all flying, ground and managing personnel concerned and we undertake to ensure that they comply with the instructions given in the OM. we are aware of the fact, that the FOCA does not approve/accept the OM as such, but only specific parts thereof, as shown on the respective compliance list. The responsibility for the completeness and the correctness of the OM remains therefore solely with the Operator. Issue 1, Effective Date: /65

12 OM A ADMINISTRATION AND CONTROL OF OPERATIONS MANUAL 0 Accountable Manager Name: Signature: Post Holder Flight Operations Name: Signature: Post Holder Crew Training Name: Signature: Continuing Airworthiness Manager Name: Signature: Post Holder Ground Operations Name: Signature: Flight Safety Manager Name: Signature: Safety & Quality Manager Name: Signature: Date and Place Issue 1, Effective Date: /65

13 OM A ORGANISATION AND RESPONSIBILITIES 1 1 ORGANISATION AND RESPONSIBILITIES 1.1 Organisational structure Organigram Accountable Manager Name Safety & Quality Manager Name Postholder Flight Operations Name Postholder Ground Operations Name Postholder Crew Training Name Continuing Airworthiness Manager Name 1.2 Nominated postholders Sample-Company has nominated the following postholders according to EU-OPS1 and they are accepted by FOCA: Accountable Manager (AM) Name Contact Flight Operations (FO) Name Contact Crew Training (CT) Name Contact Continuing Airworthiness Manager (CAM) Name Contact Ground Operations (GO) Name Contact Flight Safety Manager (FSM) Name Contact Safety & Quality Manager (S&QM) Name Contact 1.3 Responsibilities and duties The main responsibilities and duties are: Determination of the flight safety policy Allocation of responsibilities and duties and issuing instructions to individuals, sufficient for implementation of Sample-Company policy and the maintenance of safety standards Monitoring of flight safety standards, also by means of inspections Issue 1, Effective Date: /65

14 OM A ORGANISATION AND RESPONSIBILITIES 1 Recording and analysis of any deviations from Sample-Company standards and ensuring corrective action Evaluating the safety record of Sample-Company in order to avoid the development of undesirable trends All conduct periodically a data evaluation as input to the management evaluation process according the provisions set in the quality system Promoting corporate culture for safety and quality Individual responsibilities and duties of post holders: Accountable Manager (AM) Responsible for the overall management of the company Responsible for the establishment and deployment of a formal written Safety & Quality Policy Statement Assures a safe operation and a proper maintenance of the aeroplanes in compliance with the valid standards and has the overall supervision of all Flight Operations Ensures sufficient funding and infrastructure for the entire operation & maintenance activities Has the overall responsibility of the safety & quality system including the frequency, format and structure of the internal management evaluation activities Assures a full cooperation with FOCA Is responsible to define and maintain a company culture, philosophy and safety culture Ensures/monitors/checks that each Postholder is fulfilling his duties and responsibilities including in regards to quality The ultimate responsibility and supervision as well as renewal of the Continuous Airworthiness Maintenance Organisation Approval (CAMO), Air Operator Certificate (AOC) and Operating Licence (OL). He has the corporate authority for ensuring that all operations and maintenance activities can be financed and carried out to the standard required by the Authority, and any additional requirements defined by the operator. He has the ultimate responsibility to provide the necessary resources for the implementation of corrective actions. He promotes corporate culture for safety and quality Post Holder Flight Operations (FO) Ensures and is responsible that the operation is carried out according to the valid legal rules and regulations such as EU-OPS 1, JAR-FCL 1 and national regulations and observes changes, amendments and/or revisions in national and/or international air legislation Ensures and is responsible for the safe operation of aeroplanes Manages, supports and is in charge of the pilots as superior and is responsible for their standard of performance Is responsible for the supervision of the licenses, medicals and ratings of all employed pilots. Is responsible for the compilation and content of the Operations Manual Part A, B and C Supervises and ensures that crewmembers apply procedures, performance and flight safety standards in accordance with the OM. In case of ineffectiveness and/or non-compliance takes corrective action. Development and implementation of standard operating procedures Issue 1, Effective Date: /65

15 OM A ORGANISATION AND RESPONSIBILITIES 1 Ensures sufficient crew available for the scope of operation by developing planning guidelines and compilation in coordination with Ground Operations, controls the pilots schedules on a regular basis Is responsible for the crew scheduling, in compliance with the Duty Time Limitations Informs the AM about irregularities and occurrences of personnel and operative matters Organises the recruitment of new pilots and is member of the selection board Is responsible for the coordination and the regulatory reporting (in time) to the authorities within his field of competence (approvals, occurrence reporting). Sets the training objectives, compiles the annual qualification and administers the confidential pilot files, thus ensures the compliance with the regulations of FOCA/EU-OPS Feedback to the Postholder Crew Training regarding standard of performance, qualification and competence Defines together with the AM the intended routes and aerodromes to be serviced, and is responsible for the safe implementation Periodical data evaluation Designs a feed-back-system including closed loop principles and processes Post Holder Crew Training (CT) Establishes the Training and Checking Programme according the training goals set by the postholder flight operations and in compliance with EU-OPS, JAR-FCL 1 and national regulations Responsible for procedures and administrative matters concerning training and checking Analyses and verifies training records for completeness and correctness Collection and storage of training records, files and documents Plans, organises, monitors and schedules training and checking in accordance with OM D Periodical data evaluation Is responsible for the compilation and content of the Operations Manual Part D Ensures adequate qualifications Ensures the use of adequately qualified training devices Selection and supervision of training and checking personnel Assesses and analyses the feedback from training and checking. If operations personnel do not achieve or maintain the required standard of performance, he performs immediate corrective action, either in crew re-training or adjustment of training and checking program and/or re-evaluation of procedures. Monitors the effectiveness of corrective action taken. Monitors services and standards of the subcontracted training and checking Post Holder Ground Operations (GO) Periodical data evaluation Responsibility for the content of ground handling documents Responsible for storage and checks of flight related documents and files and other documentation Ensures that difficulties encountered in ground handling processes are solved and dealt through corrective actions Continuing Airworthiness Manager (CAM) Issue 1, Effective Date: /65

16 OM A ORGANISATION AND RESPONSIBILITIES 1 Establishment of continuing airworthiness management contract in cooperation with the owner/operator. Establishment of an Aircraft Technical Log. Establishment of a Continuing Airworthiness Management Exposition (CAME), monitoring and amending the CAME and submission to FOCA for approval. Establishment and development of continuing airworthiness policy, including the approval of the maintenance Program s as required by M.A.302. Presenting on behalf of the owner/operator aircraft maintenance Programs and its amendments to FOCA for approval and provide a copy of the Programs to the owner. Analysis of the effectiveness of the Maintenance Program as required by M.A.708(b) & Appendix 1 to AMC M.A.302. Ensuring that the Quality System required by M.A.712 is effective in its application and any follow up actions required to address findings. Ensuring that owner s/operator s technical records are kept as required by M.A.305 and in accordance to part 1.3 of this CAME. Ensuring the validity of ARC. Presenting the continuing airworthiness records to FOCA on request. Ensuring work planning and follow up Ensuring technical follow up Ensuring that modifications and repairs (changes) are carried out to an approved standard Review of Airworthiness Directive status and ensure embodiment Non mandatory modification embodiment policy Ensuring that line and base maintenance is contracted whenever necessary Reporting any occurrences (according national law) to register NAA, EASA and the aircraft manufacturers. This includes both operational occurrences and occurrences related to maintenance findings, which fall outside the mandatory scheme. Ensuring that all defects discovered during scheduled maintenance or reported are corrected by an appropriately approved maintenance organisation. Ensuring that the aircraft is taken to an approved maintenance organisation whenever necessary, or that maintenance is carried out by authorised persons To coordinate scheduled maintenance, the application or airworthiness directives, the replacement of service life limited parts and component inspection to ensure the work is carried out properly. Ensuring that the mass and balance statement reflects the status of the aircraft. Initiate the airworthiness review or perform the airworthiness review to issue an ARC or send the recommendation to the responsible register NAA. Ensure that the Certificate of Airworthiness for each aeroplane operated/managed remains valid in respect to the expiry date specified on the ARC Flight Safety Manager (FSM) Is responsible for establishing and maintaining the flight safety programme Control, amendment and revision of the OM A 2.3 Accident Prevention and Flight Safety Programme To achieve and maintain risk awareness of all operations personnel involved in operation Issue 1, Effective Date: /65

17 OM A ORGANISATION AND RESPONSIBILITIES 1 Analysis data including hazard identification arising from the occurrence reporting system as described in OM A 11 Handling, notifying and reporting occurrences including the analyses of the anonym reporting system Collects and promulgates information involving accidents, incidents and occurrences and reassures that knowledge of relevant occurrences is disseminated that other persons and organizations may learn from and prevent them Establishes proposal and monitors corrective actions resulting from the accident prevention and flight safety programme Establishes periodical data evaluation Safety Manager (SM) see also Quality Manager He is the responsible and focal point for the development, administration and maintenance of the effective SMS: He has direct access to the Accountable Manager and relevant managing staff. He establishes, implements, maintains and further develops the SQMS on behalf of the Accountable Manager He facilitates hazard identification and safety risk analysis and management He monitors the implementation and effectiveness of corrective and preventive actions He provides periodic data evaluation reports on the organisations safety and safety performance as an input to the management evaluation. He maintains records and safety documentation He plans and organises staff safety training He advices and assists the respective post holders on safety matters He oversees hazard identification systems He is authorized to conduct safety audits of any aspect of the operation. He is involved in occurrence / accident investigations He monitors safety concerns in the aviation industry and their perceived impact in the organization s operations aimed at service delivery He coordinates and communicates (on behalf of the Accountable Executive) on safety issues within the organization, as well as with the National Authority, external agencies, contractors and stakeholders as appropriate He promotes corporate culture for safety and quality Quality Manager (QM) see also Safety Manager He verifies by monitoring activity in the fields of flight operations, maintenance, crew training and ground operations, that the standards required by the Authority, and any additional requirements defined by the operator, are adequate and being carried out under the supervision of the relevant nominated Postholder. For this purpose he plans and ensures the implementation of the quality assurance activities (compliance monitoring): He has direct access to the Accountable Manager and to all parts of the operator s and, as necessary, any sub-contractor s organisation. Schedules, organises, delegates and monitors the audits Ensures that all audits properly documented, analyzed, distributed and stored Proposes action according found concerns or findings and recommended solutions Issue 1, Effective Date: /65

18 OM A ORGANISATION AND RESPONSIBILITIES 1 Ensures that auditors used do not have any day-to-day involvement in the area to be audited He monitors the implementation and completion of corrective action. He provides management with an independent assessment of corrective action, implementation and completion. He evaluates the effectiveness of corrective action through the follow-up process. He conducts periodically a data evaluation as an input to the management evaluation Is responsible for the revisions of the OM A 3 Quality System Ensures that personnel are trained in the relevant quality assurance activities. Note: it is a matter of fact that the two sources of requirements (EU-OPS 1 and ICAO SMM) are not (yet) harmonised. According to EU-OPS 1 the Q-Manager maintains a Quality Assurance Programme to ensure safe operation and airworthy aircrafts. In other words he is the Safety Assurance Manager or the compliance manager! As a conclusion it would be possible to combine the functions of Safety Manager and Quality Manager, if the function holder has specific know-how on both Safety & Risk Management and Quality Management especially Quality Assurance. This statement is confirmed by NPA a - Authority and Organisation Requirements - Explanatory Note & Appendices: The Agency would like to emphasise that the quality system concept, as known under the JAA system and in existing EASA Parts, is integrated as a compliance monitoring system becoming an element of the management system of an organisation. The management of this compliance monitoring system, including its programme, is part of the responsibilities of the safety manager. A special emphasis has to be set on harmonising the responsibilities stated in Safety Manager and Quality Manager if the functions are assigned to two different persons. In this document the term Safety & Quality Manager is used. It is the operator s decision to assign these functions to one or two persons Safety Review Board The Safety review board is a high level committee that considers strategic safety functions. It is chaired by the accountable manager and be composed of the nominated Post holders and the Safety & Quality Manager. The safety review board should monitor: safety performance against the safety policy and objectives the effectiveness of the SMS implementation plan; and the effectiveness of the safety supervision of contracted operations It ensures that appropriate resources are allocated to achieve the established safety performance and gives strategic direction to the safety action group Safety Action Group The safety action group reports to and take strategic direction from the safety review board. It comprises of managers, supervisors and staff from operational areas. The members are: Safety & Quality Manager (Chairman) relevant functions to be listed The safety action group must: oversee operational safety resolve identified risks assess the impact on safety of operational changes Issue 1, Effective Date: /65

19 OM A ORGANISATION AND RESPONSIBILITIES 1 implement corrective action plans and ensures that corrective action is achieved within agreed timescales The safety action group must review the effectiveness of previous safety recommendations and safety promotion 1.4 Authority, duties and responsibilities of the commander The commander has the full authority over the flight, the aeroplane and all the passengers. His duty is the execution of a safe and efficient flight. His responsibility starts with the flight planning and ends with all the work after the flight. 1.5 Duties and responsibilities of crew members other than the commander n/a Issue 1, Effective Date: /65

20 OM A OPERATIONAL CONTROL AND SUPERVISION 2 2 OPERATIONAL CONTROL AND SUPERVISION The procedures and processes, within this chapter are defined and referenced to ensure standardisation, monitoring and supervision of every flight operation, company credentials and the qualifications of operations personnel. The overall system, procedures and processes are defined in the Operations Manual Part A, Chapter 2 Operational Control and Supervision, Chapter 3 Quality System and Chapter 11 Handling, Notifying and Reporting Occurrences. These standards must be followed and implemented to ensure that not only each flight, but all ensuing operations can be consistently and safely carried out. Where routine procedures fail, the traceability of all aspects of a flight operation must be ensured, as described in this and the above mentioned chapters, in order for corrective actions to be made and prevent any similar reoccurrence. The subjects of business steering, management and periodical evaluations of procedures and data are covered in the Operations Manual Part A, Chapter 3 Quality System. 2.1 Supervision of the operation by the operator Air operators certificate The ultimate responsibility to ensure the validity of the air operator approvals, certificates and permits run concurrently and that the renewal procedures are followed within the time limits determined by the Federal Office of Civil Aviation (FOCA), lies with the Accountable Manager. The application for renewal has to be sent to FOCA latest 3 months prior to the expiry date Licence and qualification validity The privileges of licences, ratings, authorisations and/or certificates must not be exercised unless they are valid. All duties are supervised by the accountable manager and the assigned post holders. Within Sample-Company the following system is established to ensure that all the required licence, ratings and qualifications are valid: Sample-Company s system Competence of operations personnel Operations personnel have to be capable of conducting safe, professional and economical flight operations. All management personnel must take responsibility for maintaining, monitoring and improving the competence of their direct reports. They must ensure that their direct reports are encouraged and trained to have up to date subject knowledge and proficient skills, so that each individual shall be motivated to retain interest in their profession and the company s welfare, by successfully implementing the operational philosophy and procedures, competently and completely. By continually assessing the competence of operations personnel, as described in the following table, improvements and corrective actions can be implemented to ensure that company target and goals are reached and maintained in accordance with company philosophy, policy and procedures. Responsible Person (Guarantor) Supervised Person Assessment Areas Frequency / Tool (Guarantee) Accountable Manager Issue 1, Effective Date: /65

21 OM A OPERATIONAL CONTROL AND SUPERVISION 2 Ground Operations Flight Operations Crew Training Maintenance System Postholder Flight Operations General Pilots Flight Safety Manager Postholder Crew Training Training Captain Flight/Class Rating Instructors Leadership and command abilities Motivation of direct reports Communication skills / language skills Maintenance of company philosophy and spirit maintained Judgement and decision making skills Subject knowledge in aviation and within their specific subject area Reliability in carrying out their specific duties and tasks Analysis and feedback during and from official meetings Performed audits and quality inspections as required by the quality system Motivation Attitude Loyalty Customer Service Team Co-operation Conscientiousness Reliability in carrying out their specific duties and tasks Enthusiasm Language skills Proficiency checks (OPC) Line checks Results of written exams Assembly and assessment of Feedback and Report forms, including any specific occurrence report Control / assessing of records and flight documents Discussions during briefings or meetings Assessment of Compilation Reports Standard and quality of corrective actions resulting from the Accident Prevention and Flight Safety Programme Quality of adverse trends and deficiencies identified and the severities thereof Teaching ability and methods Ability to deliver clear and concise information Briefing techniques Analysis of applicants errors, performance and results Ability to fill out precise forms and At the end of the year. During entry assessment documented by Assessment Form continuously 6 months 1 year, can be combined if flying season is less than 8 months Documentation TBD continuously At the end of the year. During entry assessment documented by Assessment Issue 1, Effective Date: /65

22 OM A OPERATIONAL CONTROL AND SUPERVISION 2 records, with precise and clear constructive comments Motivation of direct reports Communication / Language Skills Results of examinations and ability to remain objective Analysis and assessment of training feedback forms Form Control, analysis and storage of records, flight documents, additional information and data Documents, forms and reports are valuable tools for operational supervision, traceability and quality control. Concise and careful documentation of flight operations is essential to ensure efficient and effective operations, supervision and control, traceable and provable that they have been properly conducted. The control and analysis of these forms and records is constantly monitored by the relevant Postholder and by means of performed audits and quality inspections by the Quality Manager. Records and flight documentation shall be assessed, analysed and monitored regularly to ensure their correctness, completeness and accuracy. Any original information, or copies thereof, which concern the aeroplane, must be preserved for the required period and be accessible to the Federal Office of Civil Aviation (FOCA) and Quality Manager, even if Sample-Company ceases to be the operator of that particular aeroplane. System/methods/tools have to be defined by Sample-Company. 2.2 System of promulgation of additional operational instructions and information Changes at short notice shall be promulgated when ever possible in written form. If information has to be delivered orally, then a written confirmation shall be stored by the respective postholder. Tbd by Sample-Company. 2.3 Accident prevention and flight safety program The Accident Prevention and Flight Safety Programme is an independent monitoring of daily flight operations, to monitor adverse trends and is a tool to identify those occasions where routine procedures have failed and as a result enable corrective actions to be taken. It is not a programme designed to attribute blame, but to improve the level of flight safety. The aim of the Accident Prevention and Flight Safety Programme is to ensure that all operations personnel achieve and maintain risk awareness and prevent the occurrence of incidents and accidents, through detection, elimination, analysis and avoidance of potential hazards. Its aim is also to ensure that all the safety implications of each relevant incident or accident, and any similar previous occurrences, are assessed and disseminated, and as a result necessary action can be initiated, which thereby ensures that other persons and organisations may learn from them and prevent re-occurrence of a similar event. The Accident Prevention and Flight Safety Programme is proactive and all operations personnel are encouraged to communicate any information which may be important to the programme. If you have encountered an aviation situation which must be reported via the occurrence reporting system, as described in the Operations Manual Issue 1, Effective Date: /65

23 OM A OPERATIONAL CONTROL AND SUPERVISION 2 Part A, Chapter 11 Handling, Notifying and Reporting Occurrences, this information will be fed into the programme and if you find any articles which may be relevant or interesting they should be posted to the Flight Safety Manager, via his personal mailbox. The Accident Prevention and Flight Safety Programme may only function if relevant information is reported and communicated to all operations personnel. The appointed person responsible for managing the Accident Prevention and Flight Safety Programme is the Flight Safety Manager, who reports directly to the Postholder Flight Operations. Information Resources Source Frequency Occurrence Reports (incl. Anonymous Reports) As specified in the OM A, Chapter 11 Handling, Notifying and On receipt Official Accident / Incident Investigation Reports Reporting Occurrences BFU On issue of reports similar to the operated aeroplane and/or operation specifications Operational Directives FOCA On receipt Flight Data Acquisition Flight Data Monitoring Regular acc. To Maintenance Program Commercially published Newspapers, Internet, On a regular basis articles on safety Aviation Literature Safety related documents Safety Manager On receipt Airworthiness Directives (AD) All Operator Telefax (AOT) Aeroplane Manufacturer On receipt 2.4 Operational control Flights are sold on mainly two different manners. Either the customer makes a request by telephone or on written basis or presents himself directly at the counter desk. First of all, information is required: What are the customer needs, what is Sample- Company able to offer? So the counter desk clerk tries to fit the customer s request with the capability of Sample-Company. Either a voucher is sold and handed over to the customer, or the tickets are sold after determining the flight data (date, aeroplane, pilot). Tbd by Sample-Company Whenever the date is fixed, the aeroplane and a pilot have to be scheduled. The flight route is either a standard route, or has to be planned in detail by the pilot. In both cases, the pilot is responsible for proper data acquisition (flight preparation such as Meteo, Notam, Kosif, Fuel, Mass and Balance, Performance, Restrictions ). For performance calculations refer to OM-B, Chapter 2 and 4. The pilot is also responsible that all required documentation is carried on board (see ). When there is no ATS flight plan required for the flight, then a flight notification has to be deposited at the C-Office, Form to be designed by Sample-Company. The aeroplane is prepared for the flight by (Tbd by Sample-Company). The customers are then presented to the pilot, who accompanies them directly to the aeroplane. They are seated according his instructions and then they have to be properly briefed for the flight. The flight is fully executed at pilot s discretion. After landing, the pilot accompanies the customers at least outside of the airside area. Issue 1, Effective Date: /65

24 OM A OPERATIONAL CONTROL AND SUPERVISION 2 The pilot is then responsible that all the required postflight duties (documentation, aeroplane, Tbd by Sample-Company) are completed. 2.5 Powers of the Authority The competent aviation authority (FOCA), whilst performing their duties to supervise and inspect flight operations or maintenance activities has the power to inspect flight or maintenance activities in our company. Those members of the aviation authority must be granted access to all documents which are relevant to flight safety and maintenance. Whenever such an inspection, including visits of the offices, should be requested by a member of the authority, he shall be accompanied by a competent member of the flight operations or the maintenance department. Issue 1, Effective Date: /65

25 OM A SAFETY & QUALITY MANAGEMENT SYSTEM 3 3 SAFETY & QUALITY MANAGEMENT SYSTEM The relation between a Safety Management System and a Q-System is explained in It is recommended to establish a separate Safety & Quality Manual. Respective guidance material SQMS Basic Structure for Operators is provided on the FOCA webpage. If the Safety & Quality System is documented in such a separate Manual, the OM A chapter 3 nevertheless must consist at least of: (a) Safety & Quality policy; (b) A description of the organisation of the quality system; and (c) Allocation of duties and responsibilities. To facilitate the amendment of the Quality System the content of the following chapters 3.1 to 3.2 is identical to the first chapters of the separate S&Q-Manual The Safety & Quality Management System (SQMS) is defined in a separate SQMS- Manual. The following paragraphs provide a short overview over this SQMS. 3.1 Safety and Quality Policy, Organization and Documentation Safety and Quality Policy see AMC OPS (2.2) see ICAO SMM, Doc (2nd Ed./2009), chapter 8.4 Management Commitment and Responsibility see NPA c, OR.Gen.200 (1) Management System see NPA c, AMC to OR.Gen.200(a)(1) Management System Safety Policy see NPA c, AMC 1 to OR.GEN.200(b): Size, Nature and Complexity of the Activity See Hudson's Refined Just Culture Model (Origin: Shell "Hearts & Minds") see Reason's Decision Tree for Determining the Culpability of Unsafe Acts (Origin: Shell "Hearts & Minds") Describe the safety and quality policy. This policy must also express the commitment to the standards listed in Relevant external Standards and SQMS-Documentation. A safety policy must include a commitment to - achieve the highest safety standards - observe all applicable legal requirements and international standards and best effective practices - provide appropriate human and financial resources - enforce safety as one primary responsibility of all managers - ensure that the policy is understood, implemented and maintained at all levels. The policy should ensure the following five aspects of a positive culture: Issue 1, Effective Date: /65

26 OM A SAFETY & QUALITY MANAGEMENT SYSTEM 3 Informed Culture Those who manage an operate the system have current knowledge about the human, technical, organisational and environmental factors that determine the safety of the system as a whole Just Culture An atmosphere of trust in which people are encouraged (even rewarded) for providing essential safety-related information, but in which they are also clear about where the line must be drawn between acceptable and unacceptable behavior Aspects of a positive Culture Learning Culture An organisation must possess the willingness and the competence to draw the right conclusions From its safety information system and the will to implement major reforms Reporting Culture An organisational climate in which people are prepared to report their errors and near-misses Flexible Culture A culture in which an organisation is able to reconfigure themselves in the face of high tempo operations or certain kinds of danger often shifting from the conventional hierarchical mode to a flatter mode based on: Reason (1997): The components of safety culture Relevant external Standards Sample-Company. complies with the following legal requirements EU-OPS 1 / JAR-OPS 3 JAR-FCL 1 / JAR-FCL 2 EASA Regulation No 2042/2003 Part-M ICAO Safety Management Manual Swiss Air Law FOCA Circular Advisories Quality Objectives (Policy Deployment) Define how the safety and quality policy is deployed within the company. Preferably this process should be combined with the business planning and steering process of the organisation, where the definition and communication of annual goals are part of it. The corporate commitment to safety from the highest organisational level is essential including the non punitive policy for disciplinary matters. To be effective, corporate goals should always be followed by an action plan (who, what, until when?). It is recommended to synchronise the goal setting with the management evaluation In December, the Accountable Manager fixes annual company goals and the budget based on the safety & quality policy and the yearly adjusted strategy.. The company goals are the basis for the agreement of individual goals during the yearly employee's talk in January.. Any kind of company specific standard of safety performance must respect the safety and quality policy statement. Issue 1, Effective Date: /65

27 OM A SAFETY & QUALITY MANAGEMENT SYSTEM Safety & Quality Management Organisation & Accountabilities see AMC-OPS (2.1, 2.2.2, 2.4) see EU-OPS (1), (2) see ICAO SMM, Doc (2nd Ed./2009), chapter 8.5 Safety Accountabilities & 8.6 Appointment of Key Safety Personnel see NPA c, OR.Gen.200 (3) Management System see NPA c, OR.Gen.210 (a)(b) Personnel Requirements see NPA c, AMC 1 and 2 to OR.Gen.200(a)(3) Organisation & Accountabilities see NPA c, AMC OR.Gen.200(a)(6) Management System see NPA c, GM to OR.GEN.200(a)(6) Organisation Manual - Content To avoid redundancies and contradictions, this chapter should refer to the relevant chapter in the Operations Manual. In small and very small organisations (see see AMC OPS (7.2) the post of the Accountable Manager and the Quality Manager may be combined (see AMC OPS (2.4.5) Organisation The company's organisational structure and the safety & quality system related roles, duties, responsibilities, accountabilities and authorities of managing staff such as Accountable Manager (AM) Nominated Postholder Flight Operations (PFO) Nominated Postholder Ground Operations (PGO) Nominated Postholder Crew Training (PCT) Continuing Airworthiness Manager (CAM) Flight Safety Manager (FSM) Safety Review Board (SRB) Safety Action Group (SAG) are specified in the Operations Manual Part A, chapter 1.1, 1.2 and Purpose of the Safety & Quality Management System See AMC OPS (2.3) The Safety & Quality Management System of Sample-Company ensures: a high awareness of the employees with regard to safety a systematic recording and analysis of any kind of feedback incl. occurrences and latent conditions pro-active gathering of safety relevant data re-active, pro-active and predictive analysis of hazards and assessment of their risks eradication, mitigation and maintenance of risks to or below acceptable levels monitors the compliance, implementation, effectiveness and efficiency of company specific and safety related policies, standards and procedures for flight and ground operations, training and the continuing airworthiness management of the aircrafts (as listed in chapter Relevant external Standards and SQMS-Documentation systematic implementation and monitoring of corrective actions ensures an evaluation of the overall effectiveness of the organisation to achieve stated objectives to ensure continuous improvement Issue 1, Effective Date: /65

28 OM A SAFETY & QUALITY MANAGEMENT SYSTEM SQMS-Documentation See NPA c, OR.Gen.200 (6) Management System Organisation Manual see AMC to NPA c, OR.Gen.200 (6) Organisation Manual - Content Sample-Company. set up the manuals listed below. The application and implementation of those documents contribute to ensure safe operation and airworthy aircrafts. Operations Manual A, B, C and D Continuing Airworthiness Management Exposition CAME Cabin Safety Procedure Manual Emergency & Accident Handling Manual The SQMS itself enables the company to predictively, proactively and reactively manage the risks and to ensure the compliance with and the appropriateness of the company specific manuals Overview over the Sample-Company.' Safety & Quality Management System Safety & Quality Policy Management Evaluation S&Q-Manager monitoring / oversight Objectives, Safety Indicators, Resources Corrective, preventive actions Analysing occurences & hazards Recording occurences & hazards Data Evaluation & Risk- Assessment Legal Legal Requirementments Operation // Maintenance Fulfilment of of legal legal requirements re- Incidents, accidents, non-conformities, non-compliances, irregularities & potential hazards Core Elements: Element of Responsible Explanation Reference SQMS Policy AM commitment to safety and quality SQMS ch. 1 & OM A ch. 3 Strategy AM rework of strategy based on SQMS ch. 1 Resources management evaluation and Annual Goals company environment definition of annual goals including measurable safety indicators Operations PH Flt Ops PH CT defining of internal safety standards OM A to D CAME & Issue 1, Effective Date: /65