IS-BAO Audit Forms 2016

Transcription

1 IS-BAO Audit Forms IS-BAO Audit Forms 2016 Operator: Address: Date: Evaluation Objective: Stage One Stage Two Stage Three Suite 16.33, 999 University Street Montreal, Quebec, H3C 5J9, Canada Tel Fax: i

2 IS-BAO Audit Report Form IBAC Decision Date: Stage: Validity Period: AUDIT DATE NO. OF DAYS ON SITE OPERATOR NAME & ADDRESS Telephone OPERATOR CONTACT NAME & POSITION IBAC member association from which the operator purchased their copy of the IS-BAO: Is it the current edition? Yes No AUDIT SCOPE Full System Follow-up/Partial SMS STAGE One Two Three If partial, elements covered: ` Auditor / Audit Team Leader Contact Information Members and Telephone Audit Results and IS-BAO Registration Recommendation Full ity Minor Non-ity Major Non-ity Stage 1 SMS is documented, approved, resourced, and being implemented. Stage 2 Stage 3 SMS is functioning and results are being measured; Safety risks are effectively managed; Safety management activities are appropriately targeted. Stage 2 performance, plus SMS is sustained and supported by an on-going improvement process; Safety management activities are fully integrated into the operator s business; and a positive safety culture is being sustained. Stage 3 Cultural Attributes are observed as being in practice. (See Guidance) 1-Year Registration (Provisional) 2-Year Registration 3-Year Registration (Stage 3 only) IS-BAO Auditor Signature / Date Operator Representative Signature / Date 2

3 IS-BAO Audit Report Form Summary of Audit Including Overall Assessment of the Appropriateness and Effectiveness of the Operator s SMS and Other Management System Controls Type of Operations Conducted Non-commercial Commercial Aircraft Management Companies (Comply with IBAC Policy Auditing Mgt Co) Other please specify Total Number of Aircraft Operated Total Number of Personnel Total Number of Fixed-Wing Total Number of Rotor-Wing Types of Aircraft Operated Home Operating Base Additional Operating Bases List of Persons Interviewed and Position or Job Title (Interview a representative sample of line and management personnel) Additional Information 3

4 IS-BAO Audit Report Form Management Company Profile [Must be completed for Aircraft Management Companies] Management Company Central Operations: 1. Has the company established a management structure, oversight methodology and procedures that will accommodate the needs of all of their clients? 2. Are the required accountabilities and responsibilities inclusive of all client operations clearly stated within the company operations manual, SMS and emergency response plan? 3. Is there an effective internal evaluation program to ensure that all IS-BAO policies, standards and procedures are being performed adequately by all personnel? Management Contract: 1. Does the management contract clearly define the roles and accountabilities of each party and require compliance with stated procedures and provisions. 2. How is the SMS managed at the management company and within each of the client locations? How is the SMS integrated between the management company and its clients? Accommodating New Clients: 1. When a new client is received, what provisions are made to ensure that any new personnel are aware of the IS-BAO related systems, process and procedures? This will include indoctrination, training and verification of required knowledge. Multiple Bases: 1. Are there methods for monitoring performance and conformance of all operating bases? 2. How does the management company ensure that all operations are in compliance with applicable State of registry regulations and in conformance with IS-BAO standards and procedures? 3. Are actions taken to rectify deficiencies noted during the internal evaluation process and conduct post implementation reviews? Sampling Personnel at a minimum of 10% of the management company clients should be interviewed to ensure adequate knowledge of and conformance with IS-BAO standards. If multiple bases are involved, these interviews should be conducted at the main base and no less than one satellite base. Management companies with clients at more than 4 satellites should have interviews performed with clients at following number of bases: 4-8 satellites 2 bases; more than 8 satellites -- 3 bases. If you have a recommendation to improve the IS-BAO Program please input via this online form IS-BAO Improvement Form 4

5 Chapter 3: Safety Management System 3.2 Safety Policy and Objectives 3.2.1a 3.2.1b Management Commitment and Responsibility SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks) Is there a safety policy that: S1. Reflects management s commitment to safety? S2. Includes a clear statement about providing necessary resources? S3. Includes safety reporting procedures? S4. Clearly indicate which types of behaviours are unacceptable related to the organization s aviation activities and include the circumstances under which disciplinary action would not apply? S5. Is signed by the Accountable Executive (AE)? S6. Is communicated, with visible endorsement, throughout the organization? S7. Is periodically reviewed to ensure it remains relevant and appropriate to the organization? [Provide the date of the most recent signature of the AE] APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks) A1. Is the safety policy relevant to the scope and complexity of the organization s operations? A2. Is everyone aware of the safety policy? EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed) E1. Is the safety policy reinforced by day-to-day decisions? [explain how] E2. Is everyone committed to enhancing safety performance? [explain how] Safety Accountabilities SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks) Has the organization: S1. Identified the accountable executive who, irrespective of other functions, has ultimate accountability for the safety performance of the organization? S2. Clearly defined safety responsibilities throughout the organization, including a direct responsibility for safety on the part of senior management? S3. Identified the responsibilities of all members of the organization with respect to the safety 5

6 3.2.1c 3.2.1d performance of the SMS? S4. Communicated safety responsibilities throughout the organization? S5. Defined the levels of management with authority to make decisions regarding safety risk tolerability? APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks) A1. Does the AE accept his/her ultimate accountability for the safety performance of the organization? EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed) E1. Are the resources available to manage risks effectively? E2. Does the AE review and ensure safety risks are reduced to a level ALARP? Appointment of Key Safety Personnel SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks) S1.Does the SMS documentation include an appointment of a safety manager? APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks) A1. Is the safety manager properly [Describe the SM s training program] trained? EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed) E1. Are safety management activities formally recorded and analysed? Coordination of ERP SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks) S1.Does the SMS documentation include an ERP that is properly coordinated with the emergency response plans of those organizations it must interface with during the provision of its services? APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks) A1.Is the ERP regularly reviewed? A2.Is the ERP regularly tested and updated? A3.Does the ERP address likely emergency scenarios including coordination with other organisations as appropriate? EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed) E1. Is the ERP regularly tested? E2. Are lessons learned from testing used to improve the ERP? 6

7 3.2.1e SMS Documentation SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks) S1. Does the SMS documentation include an SMS implementation plan, formally endorsed by the organization, which defines the organization s approach to the management of safety in a manner that meets the organization s safety objectives? (Stage 1 only); APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks) A1. Is the SMS documentation readily available to ALL personnel? EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed) E1. Is there evidence that the SMS documentation is regularly reviewed and updated? E2. Does the documentation provide evidence that safety objectives are being met? Safety Risk Management 3.2.2a Hazard Identification SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks) S1. Is there a formal process to ensure hazards are identified and documented? Note: A safety-risk profile (SRP) or similar document is the foundation for the SMS and is updated periodically. See SMS Guidance Manual Section 9.2, in the SMS Toolkit. S2. Is the hazard identification process based on a combination of reactive, proactive and predictive methods of safety data collection? APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks) A1. Is there a reporting system to capture errors, hazards and near misses that is simple to use and accessible to all personnel? A2. Are hazards/risks from External reports/sources reviewed? EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed) E1. Are hazards, errors, near misses, and audit findings reported from all areas of the organization? E2. Are employees confident they can report apparent safety deficiencies without retribution? 7

8 3.2.2b E3. Are there periodic reviews of risk analysis records? Risk Assessment and Mitigation SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks) S1. Is there a formal process to manage safety risks that includes: i. Analysis? ii. Assessment? iii. Control? APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks) A1. Does the AE and management team have visibility of medium and high risks and their controls? A2. Does the Ops Manual contain controls derived as a result of the risk assessment and mitigation process? EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed) E1. Do training programs highlight safety critical issues identified in the hazard risk analysis process? Safety Assurance 3.2.3a Safety Performance Monitoring and Measurement SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks) S1. Is there a process and/or procedure to validate the effectiveness of the safety risk controls? S2. Does the organization have a process to establish safety performance indicators (SPI s) and targets? Note: SPIs are different from goals. See presentation at this link for information on SPIs & Targets, APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks) A1. Has the organisation developed [Provide examples for evidence] a series of safety performance indicators that are appropriate to the type of operation? A2. Are safety indicators supported by measurable data that can be analysed for trends? A3. Do SPIs include lowerconsequence indicators? (see IS- BAO Appendix A) EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed) E1. Does SPI safety data trend [Provide examples for evidence] toward safety targets? E2. Is there a documented record of analysing safety data trends related to SPIs and making 8

9 3.2.3b informed decisions from this data? Management of Change (Definition of Change management - A formal process to manage changes within an organization in a systematic manner, so that changes which may impact identified hazards and risk mitigation strategies are accounted for, before the implementation of such changes) SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks) S1. Does the organization have a process to identify changes which may affect the level of safety risks associated with its operation? S2. Does the organization identify and manage the safety risks that may arise from those changes? APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks) A1. Are all stakeholders involved in major changes in the organization? A2. Are changes to critical documents communicated throughout the organization? EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed) E1. Does the organisation use the SMS to proactively assess all major changes to the organisation and its operations such as new aircraft, hangars or personnel? E2. Is there evidence that documents, manuals, checklists have been updated in a timely manner? 3.2.3c Continuous Improvement SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks) S1. Is there a process or procedure to ensure continuous improvement of the SMS? APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks) A1. Is there an internal audit program and a follow-up procedure to address audit findings? A2. Is the internal audit program comprehensive and does it include a review of training records for all personnel? EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed) E1. Is there evidence of improvements to policies, procedures, and/or processes based on internal audit findings? Safety Promotion a Training and Education SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks) 9

10 3.2.4b S1. Has the organization developed and maintained safety training programmes that ensure that all personnel are competent to perform their SMS duties? S2. Is the scope of the SMS training appropriate to each individual s involvement in the SMS? [Describe SMS training for SM, Management, Line Personnel] APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks) A1. Does SMS training include human and organisational factors with the intent of reducing human error? EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed) E1. Is there evidence that all personnel involved in SMS operations have undergone appropriate SMS training? E2. Are executives, managers, and staff capable of performing their roles to proactively manage safety? Safety Communication SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks) Has the organization developed and maintained a formal means of safety communication that: S1. Conveys safety-critical information? S2. Explains why particular safety actions are taken? S3. Explains why safety procedures are introduced or changed? APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks) A1. Are significant events and [Describe how] investigation outcomes from internal and external sources communicated to all personnel? EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed) E1. Does evidence indicate that all personnel are aware of the SMS, safety critical information, and their role in respect of aviation safety? E2. Is there consistent feedback to encourage the future participation of employees? 3.3 Compliance Monitoring Has the operator established and maintained a system for identifying applicable regulations, standards, approvals, exemptions and demonstrated compliance with them? 10

11 (See IG for methods to ensure compliance) 3.4 Flight Data Analysis Has the organization established a flight data analysis programme (Recommended Practice) Note: The FDA program should be an integral part of the operator s SMS. For information on implementing a FDA program go to Comments, Observations, and Recommendations Analysis of /Findings 11

12 Chapter 4: Organization and Personnel s 4.1 Organization and Personnel Does the operator have an organization structure that clearly defines qualifications, duties, authorities & accountabilities of the: a. Manager of the operation; b. Person responsible for managing the flying operations; and c. A person responsible for aircraft maintenance? Where the organization has more than one operating base, has the organization structure addressed the exercise of management of the above responsibilities at all locations? 4.2 Aircraft Crew Member Duties and Responsibilities Does the operator have a procedure to ensure that the minimum number of flight crew as specified in the aircraft flight manual or other document associated with the C of A, and the minimum numbers of cabin crew members, as required by State of Registry regulations, are assigned? Does the operator have procedure for designation of a pilot-in-command and other aircraft crew positions? Have the duties and responsibilities of the PIC been specified and do they meet section of the IS-BAO? Have the duties and responsibilities of the SIC, if required, been specified? (See IS-BAO for Details) Have the duties and responsibilities of the cabin crew and other crew members assigned on-board duties specified? 12

13 4.3 Crew Member Qualifications a. Are there procedures to ensure that all flight crew members: i) hold the licence, medical certificate and ratings (including radiotelephony licence unless it is included in the pilot licence) required by national regulations, ii) meets all recency requirements of the national regulations, iii) meets the licence, medical and rating requirements specified in ICAO Annex 1 when operations are conducted outside of the national airspace of the State of issue of the flight crew licence, iv) has fulfilled the requirements of the operator's ground and flight training programme referred to in sections 5.1, 5.2, 5.3 and 5.4, v) have successfully completed the proficiency requirements specified in section 5.5 for that type of aircraft, and vi) can demonstrate the capability to speak and understand the language used for aeronautical radiotelephony communications as specified in ICAO Annex A b. Are there procedures to ensure that each cabin crew member has fulfilled the requirements of the national regulations and the operator's ground and flight training programme referred to in sections 5.1, 5.2 and 5.3, and recommended in section 5.4? c. Are there procedures to ensure that each crew member or task specialist, other than a flight crew member or a cabin crew member, has fulfilled the requirements of the operator's ground and flight training programme referred to in section 5.1? Where it is the operator s practice to fly two crew aeroplanes from the left seat, has the operator established right seat landing and take-off recency and training requirements? (Recommended Practice) 13

14 4.3.2.H Where it is the operator s practice to fly two crew helicopters from the right seat, has the operator established left seat landing and take-off recency and training requirements? (Recommended Practice) 4.4 Maintenance Personnel Qualifications Do the maintenance personnel hold the licences and ratings required by the State of the Operator or State of Registry of the aircraft? 4.5 Other Personnel Are duties, authorities and responsibilities for other personnel involved in the operation described within the operations manual? 4.6 Use of Psychoactive Substances Is there a policy to ensure that personnel do not undertake safety related duties while under the influence of any psychoactive substance which might render them unable to safely and properly exercise their licence privileges or carry out their safety related duties? (Recommended Practice) Do policies also address any problematic use of substances? (Recommended Practice) 4.7 Mobile Phones & PEDs Do policies provide guidance on the use of mobile phones and PED for all personnel, including critical phases of flight and ground operations, operating vehicles, and maintenance work? (Recommended Practice) 4.8 Reserved 4.9 Supplemental Lift/Additional Air Transport Capacity Does the operator have a process to ensure that any operator contracted for additional air transport capacity is qualified and competent to perform operations safely and effectively? (Recommended Practice) Comments, Observations, and Recommendations 14

15 Analysis of /Findings 15

16 Chapter 5: Training and Proficiency 5.1 Training Programs Does the operator have a training programme that ensures that personnel are trained and competent to perform their assigned duties? Is the training program included or referenced, in the company operations manual? a. Flight Crew Members: Does the ground and flight training programme include: (i). Initial and annual aircraft type and systems training including emergency and abnormal procedures related to the aircraft category and type? (ii) Initial and every two years thereafter: A. Aircraft Surface Contamination Training? B. Dangerous Goods Training? (iii) Upgrade training program? (iv) Periodic first aid training for operators that do not use cabin crew. (Recommended Practice) b. Cabin Crew Members: Does the training program include: (i) initial and annual aircraft specific cabin systems training? (ii) Initial and every two years thereafter: A. First aid training; B. Aircraft surface contamination training, and C. Dangerous goods training? c. Is there an initial and recurrent training program for other crew members: (i.e. loadmasters, stewards, HEMS medical teams, observers, etc.)? d. Is there an initial and recurrent training for schedulers or dispatchers? e. Does the organization s training program include all the elements required to ensure a safe operation? 16

17 5.1.4 Does the operator prohibit simulated emergency or abnormal situations in flight with passengers on board? Does the operator use flight simulators for training? (Recommended Practice) Maintenance Personnel Training a. Has the operator established a training programme that ensures that the organization s maintenance personnel have the competencies appropriate to the level of maintenance performed? b. Is the training course outline referenced in the company operations manual? c. Does the training programme include: i. operator policies and procedures; ii. computer skills and software applications used by the organization; iii. interpersonal skills; iv. human factors; v. leadership and teamwork; vi. HAZMAT; vii. MEL procedures; viii. safety procedures, and ix. safety risk management. (Recommended Practice) d. Do persons who hold maintenance release authority undertake recurrent training at least every 2 years on aircraft for which they exercise that authority? (Recommended Practice) 5.2 Crew Resource Management/Human Factors Training The operator's training program shall ensure that all aircraft crew members are trained in CRM principles Have ALL personnel received CRM or Human Factors training and do recurrent training programs include instruction in these subjects? (Recommended Practice) Have all personnel received recurrent CRM and/or HF training at least every 24 months? (Recommended Practice) 17

18 5.3 Emergency and Safety Procedures Training a. Is emergency procedures training for each type of aircraft provided for all aircraft crew members and does it include instruction on the location and operation of all emergency equipment? b. Does the initial and recurrent training programme include training to competency for all emergency and life-saving equipment installed, as well as drills in the emergency evacuation of aircraft? c. Are emergency procedures recurrent training accomplished at least every 24 months? Is there a programme to provide emergency procedures training to passengers that fly frequently? (Recommended Practice) Reserved 5.3.3H Is helicopter underwater escape training (HUET) provided to personnel involved in over water helicopter operations in hostile environmental conditions? (Recommended Practice) 5.4 High Altitude Training Have flight crew members received high altitude training for aircraft operated above 10,000 feet? Are high altitude training items that are pertinent to the aircraft type covered during initial aircraft type training? (Recommended Practice) 5.5 Proficiency Certification a. Is there a process to ensure that all aircraft crew members meet national proficiency requirements? b. Is there a process to ensure that all crew member training courses meet the training objectives required by the national civil aviation authority? Has the proficiency of flight crew members been certified at the conclusion of initial type training and on a recurrent basis as required by the national civil aviation authority? 18

19 5.5.3 Are pilot proficiency checks conducted by: a. an approved national civil aviation pilot examiner, b. a company check pilot approved or designated, by the State civil aviation authority, c. a pilot examiner that holds approval authority from an ICAO Contracting State, or d. the Chief Pilot/Operations Manager? 5.6 Training and Qualification Records Does the operator have a system to record licensing, training and qualifications information for each person who is required to receive training and does it meet the IS-BAO requirements? Are records retained for the required period? Does the operator maintain training records for ALL personnel in the organization? Comments, Observations, and Recommendations Analysis of /Findings 19

20 Chapter 6: Flight Operations 6.1 Standard Operation Procedures a. Does the operator have a SOP for each aircraft operated with two or more crew members? b. Does the operator have a SOP for single pilot aircraft? Has the operator ensured that all crew members are trained in use of the SOP and that it is used? Is a copy of the SOP issued to each aircraft crewmember? Is a copy of the SOP carried on-board the aircraft when it is operated more than 25 nm from home base? 6.2 Flight Planning and Pre-Flight s a. Does the operator have a requirement and procedures for the PIC to be familiar with the available information appropriate for the flight and to ensure that the facilities and services are adequate for the safe operation of the aircraft? b. Does the operator have a requirement and procedures for the PIC to: i. be familiar with all available meteorological information, and ii. plan an alternative course of action for the eventuality that the flight cannot be completed because of weather conditions? Does the operator ensure that a flight to be conducted in accordance with VFR shall not be commenced unless current meteorological reports or a combination of current reports and forecasts indicate that the meteorological conditions along the route or that part of the route to be flown under VFR will, at the appropriate time, be such as to enable compliance with these rules? a. Does the operator have a procedure to ensure that a flight shall not be commenced unless the available information indicates that conditions, at the aerodrome or heliport of intended landing or at least one destination alternate will, at the estimated time of arrival, be at or above the aerodrome or heliport, operating minima? 20

21 6.2.4A 6.2.5A b. Does the operator have a procedure to ensure that a take-off alternate aerodrome/heliport is selected and specified in the flight plan if the weather conditions at the aerodrome/heliport of departure are at or below the applicable operating minima or it would not be possible to return to the point of departure for other reasons? c. Is there a procedure to ensure that the weather conditions for the departure alternate, at the estimated time of use, will be at or above the applicable operating minima for that operation? a. Does the operator have a procedure to ensure that at least one destination alternate aerodrome or heliport, shall be selected and specified in the flight plan, with the following exceptions: i. The approach at the destination can be flown under VMC ii. The destination is isolated and no alternate is available (See IS- BAO b) b. Does the operator have a procedure to ensure that at least one destination alternate aerodrome is selected and specified in the flight plan if the destination aerodrome has only one usable runway with an operational instrument approach procedure at the estimated time of use? (Recommended Practice) a. Does the operator have policies and procedures to ensure that the aeroplane carries sufficient fuel to safely complete each flight and land with the planned final reserve fuel? b. Does the operator have a process to ensure the computed final reserve fuel meets both the state of registry and state of operations requirements taking into account possible more conservative values of the applicable requirements specified in ICAO Annex 6 Part II or Annex 6 Part III? 21

22 6.2.5H c. Does the operator determine one final reserve fuel value for each aeroplane type and variant in their fleet rounded up to an easily recalled figure? (Recommended Practice) d. Is there a policy to ensure that the amount of usable fuel remaining on board is not less than the fuel required to proceed to an aerodrome where a safe landing can be made with the planned final reserve fuel remaining upon landing? e. Is there a policy to ensure the pilotin-command advise ATC of a minimum fuel state by declaring MINIMUM FUEL when, having committed to land at a specific aerodrome, the pilot calculates that any change to the existing clearance to that aerodrome may result in landing with less than planned final reserve fuel? f. Is there policy to ensure that the pilot-in-command declare a situation of fuel emergency, when the calculated usable fuel predicted to be available upon landing at the nearest aerodrome where a safe landing can be made is less than the planned final fuel reserve? Does the operator have a procedure to ensure that a helicopter carries sufficient fuel and oil to safely complete the flight and land with adequate reserves? (See IS-BAO H for more detail) Does the operator have a procedure to ensure that a flight is not commenced unless a sufficient quantity of stored breathing oxygen is carried to supply all crew members and passengers in accordance with the national regulations of the State of Registry? 6.2.7A Has the operator developed operational and maintenance procedures for extended diversion time operations (EDTO)? EDTO are described in ICAO Annex 6 Part 1, Section 4.7. (Recommended Practice) Does the operator have requirements that meet the aircraft performance standards of this section? 22

23 6.2.9 Does the operator have requirements that meet the standards prescribed for refuelling with passengers on board, if permitted? Does the operator have procedures to ensure that an aircraft does not take off or attempt to take off, that has frost, ice, or snow adhering to any critical surface? 6.3 Operational Control Does the operator s operations manual contain an operational control system that at least consists of a pilot self-dispatch system that: a. identifies the person responsible for release of the flight; b. specifies flight planning requirements; and c. specifies when the pilot must advise the operator of the aircraft s departure and arrival and the associated procedures? Does the operational control system include procedures for ensuring that: a. all operating requirements specified in the COM have been met; b. the aircraft is operated within weight/mass and balance limits; c. the names of persons on board the aircraft are recorded or otherwise know by the operator; and d. SAR authorities are notified on a timely basis should an aircraft be overdue? Does the operational control system also include procedures for ensuring that the pilot-in-command has access to appropriate information concerning the search and rescue services in the area over which the aircraft will be flown? (Recommended Practice) 6.4 Weather Minima Does the operator have procedures to ensure the weather minima used for IFR departures and approaches are those specified in the instrument approach procedures approved for use by the operator? a. Does the operator have procedures in their operations manual for the determination of take-off minima from runways or heliports where no take-off minima are specified? b. Does it include a risk analysis? 23

24 6.4.3 Does the operator have a policy not to use operating minima lower than those which may be established for that aerodrome or heliport by the State in which it is located, except with the specific approval of that State? Does the operator have a policy not to continue towards the aerodrome or heliport of intended landing unless the latest available meteorological information indicates that conditions at that aerodrome or heliport, or at least one destination alternate aerodrome or heliport, will, at the estimated time of arrival, be at or above the specified aerodrome operating minima? a. Does the operator ensure that: Unless permitted by both the State of Registry and State of Operation, an instrument approach is not continued below 300 m (1000 ft) above the aerodrome elevation or into the final approach segment unless the reported visibility or controlling RVR is at or above the aerodrome operating minima? b. Does the operator ensure that if after entering the final approach segment or after descending below 300 m (1000 ft.) above the aerodrome/heliport elevation the reported visibility or controlling RVR falls below the specified minimum, the approach may be continued to DA/H or MDA/H. In any case, an aircraft shall not continue its approach-to-land beyond a point at which the limits of the aerodrome/heliport operating minima would be infringed? Reserved Does the operator have a policy and procedures for operating in known or expected icing conditions appropriate to the aircraft icing certification and equipment? 6.4.8H Do the operators of helicopters have VFR weather limits for both day and night operations that take into account the nature of the operations 24

25 being conducted and the operating environment? 6.5 All Weather Operations Does the operator have procedures that prohibit conducting an instrument approach or departures below standard Category I weather minima unless all equipment, training and operating requirements and regulatory requirements have been met? If the operator has authority to conduct CAT II & III ops are: a. there approved Category II or III operating procedures in the company operations manual, b. the flight crew trained and certified to conduct Category II or III instrument approaches, c. the aircraft equipped and approved for Category II or III operations? 6.6 CNS s Is there a process to ensure that prior to operations in airspace where specific CNS requirements exist such as Performance Based Navigation (PBN) Specifications, Minimum Navigation Performance Specification (MNPS), Reduced Vertical Separation Minimums (RVSM), Controller Pilot Data Link Communication (CPDLC), or Automatic Dependent Surveillance (ADS) B/C: a. the aircraft and operator has been authorized by the State of Registry and, if required, the State of Operations; b. the aircraft meets the aircraft system, and operational requirements for the operations concerned; and c. continuing RVSM height monitoring requirements have been met a. Are there procedures to ensure that Flight crews engaged in operations in airspace where specific CNS requirements apply (i.e. PBN, RVSM, MNPS, CPDLC, ADS) are authorized by an appropriate manager? 25

26 b. Are there procedures to ensure that each flight crew member authorized to conduct operations under this section complete training in the subject areas as required by the specific State authorizations and as necessary to ensure competency in operations in such airspace? c. Are such authorizations included in the pilot training records? 6.7 Aircraft Operating s Does the operator have a process for identifying and complying with all aircraft operating rules that the operator is subject to, as required by the civil aviation authority of the State of Registry and the States in whose airspace the operations are being conducted? 6.8 Noise Certification Is there documentary proof from the State of Registry attesting noise certification of the aircraft, carried on board the aircraft when such a document has been issued? Does the operator have procedures to ensure that aircraft adhere to published noise abatement procedures consistent with safety? 6.9 Aircraft Airworthiness An operator shall ensure that aircraft are operated in accordance with their certificate of airworthiness and any limitation thereof Use of Oxygen Does the operator have procedures to ensure that when an aircraft is operated at cabin-pressure-altitudes above 10,000 ft. (700 hpa) but not exceeding 13,000 ft. (620 hpa) each crew member shall wear an oxygen mask and use supplemental oxygen for any part of the flight at those cabin pressure altitudes that is more than 30 minutes in duration? Where an aircraft is operated at cabin-pressure-altitudes above 13,000 ft. (620 hpa) does each person on board the aircraft wear an oxygen mask and use supplemental oxygen for the duration of the flight at those altitudes? 26

27 Does the pilot at the flight controls of an aircraft use an oxygen mask if the aircraft is not equipped with quickdonning oxygen masks, and it is operated at or above FL 250? Does the operator have procedures for the pilot at the controls to use an oxygen mask when the aircraft is operated above FL 410, or if one pilot leaves the flight deck for any reason above FL 350? (Recommended Practice) 6.11 Passenger Safety Briefing Does the operator have procedures as applicable for the type of operation, to ensure that passenger safety briefings are given for normal operations and do they include all of the items listed in Section of the IS-BAO? (See IS-BAO for details) Are there procedures to modify briefings as appropriate for frequent passengers or mission needs? Are there procedures to provide individual briefings for special circumstances, i.e. passenger limitations? Are there procedures to ensure that, in the event of an emergency, where circumstances permit, all passengers are given an emergency briefing covering the following items: a. safety belts or safety/shoulder harnesses; b. seat backs, seats and tables c. carry-on baggage d. passenger safety briefing cards e. brace position (when to assume, how long to remain) and considerations for side facing seats f. evacuation procedures g. if applicable, life preservers; flotation devices and life rafts; and h. if applicable, evacuation procedures for an occupant of a child restraint system? 27

28 Are there aircraft specific passenger safety briefing cards in all aircraft that at least cover: a. the location and operation of emergency exits; b. the location and use of the passenger oxygen system (when installed); c. the location of life jackets and life rafts(when on board); and d. the location of emergency equipment as required by State of Registry? 6.12 Use of Checklists a. Is there a checklist for each type of aircraft operated that covers normal, abnormal and emergency operations and is it available to crew members? b. Is the checklist consistent with the aircraft flight manual and any SOP? c. Does it have a date of issue that reflects this consistency? Does every crew member utilize these checklists in the performance of their assigned duties using the methods required by the operator? Does the operator ensure that flight crews comply with best practices for checklist execution? 6.13 Reserved 6.14 Travel Health Issues If the operator conducts international operations have they developed procedures for assessment of health risks at out of country destinations and for handling of passengers and crew should they be exposed to infectious disease or significant health risks? (Recommended Practice) 6.15 Seating s a. Are there procedures to ensure flight crew member seating requirements are met and do they include all of the items listed in Section of the IS-BAO? b. Are there procedures to ensure cabin crew member seating requirements are met and do they include all of the items listed in Section of the IS-BAO? 28

29 c. Are there procedures to ensure passenger seating requirements are met and do they include all of the items listed in Section of the IS-BAO? 6.16 Cabin Baggage Does the operator specify procedures to ensure that all baggage carried onto an aircraft and taken into the passenger cabin is adequately and securely stowed? 6.17 Microphones and Headsets Does the operator ensure that flight crew members utilise headsets and communicate through boom microphones to the maximum extent practical to ensure effective communications, and at all times during critical phases of flight? 6.18A Personnel Qualified to Taxi Aeroplane 6.18A Is there a procedure to ensure that an aeroplane is not taxied on the movement area of an aerodrome unless the person at the controls is an appropriately qualified pilot or: a. has been duly authorized by the operator; b. is fully competent to taxi the aeroplane; c. is qualified to use the radio if radio communications are required; and d. has received instruction from a competent person in respect of aerodrome layout, and where appropriate, information on routes, signs, marking, lights, ATC signals and instructions, phraseology and procedures, and is able to conform to the operational standards required for safe aeroplane movement at the aerodrome. 6.19H Helicopter Rotor Turning Under Power 6.19H a. Is there a procedure to ensure that the helicopter rotor shall not be turned under power for the purpose of flight without a qualified pilot at the controls? b. Does the operator provide appropriately specific training and procedures to be followed for all personnel, other than qualified pilots, who are likely to carry out the turning of a rotor under power for purposes other than flight? 29

30 6.20 Maintenance Check Flights Are there procedures to effectively manage the risks associated with Maintenance Check Flights? (Recommended Practice) 6.21 Piloting Competency in Key Safety Areas (Recommended Practice) Are there procedures and training requirements to ensure each pilot maintains competency in key safety areas such as: a) Manual Flying Skills b) Stabilized Approaches c) Runway Excursion Prevention d) Automation Management e) Upset Recovery 6.22 Stabilized Approach Has the operator defined stabilized approach criteria and required the flight crew to execute a go-around or missed-approach if the aircraft deviates outside these criteria? Has the operator established a policy to ensure flight crew utilize approaches with a constant glide path to landing to the maximum degree practical? (Recommended Practice) Comments, Observations, and Recommendations Analysis of /Findings 30

31 Chapter 7: International Operations 7.1 Sovereign and International Airspace a. Are there procedures to ensure that when operating in the sovereign airspace of a State other than the State of Registry, the flight crew identify and apply the most restrictive requirements regarding the State of Registry and the State where the operations are being conducted? b. Are there procedures to ensure that the rules in force relating to flight and manoeuvre of aircraft when operating outside the airspace of any sovereign state, i.e. oceanic or high seas, are in accordance with ICAO Annex 2, Rules of the Air? 7.2 Compliance Has the operator maintained a process to ensure that flight crews are familiar with and comply with the requirements, rules, regulations and procedures in international and the various sovereign airspaces in which they operate? Does the operator have procedures for discharging responsibility for disembarking passengers and crew members from the time they leave the aircraft until they are accepted for examination for entry into a State? 7.3 International Airspace Operations Qualifications a. Is there a process to ensure that flight crew members engaged in international operations are authorized by the chief pilot? b. Is there a process to ensure that each flight crew member completes training in the subject areas as required by the specific authorizations and as necessary to ensure competency in operations in such airspace? c. Is there a procedure to ensure such authorizations are included in the pilot training records? 31

32 7.4 Standard Operating Procedures For operations in international airspace involving performance based navigation: a. Does the operator have standard operating procedures for international airspace operations? b. Are flight crews trained in use of the international operations SOP? c. Are copies of the SOP carried on board the aircraft? 7.5 International Publications Library Do the flight crews have access to publications relevant to flight in international airspace? (Recommended Practice) Comments, Observations, and Recommendations Analysis of /Findings 32

33 Chapter 8: Aircraft Equipment s 8.1 General s a. Does the operator have a process to ensure that all aircraft are equipped in accordance with the applicable requirements specified in ICAO Annex 6 Part II or Annex 6 Part III? b. Does the operator have a process to ensure that all aircraft are equipped in accordance with the applicable requirements specified by the State of Registry? c. Does the operator have a process to ensure that all aircraft are equipped in accordance with the applicable requirements specified by the State and/or airspace where operations are conducted? Does the operator have a process to ensure that equipment required meets the technical specifications prescribed by the State of Registry? 8.2 Operational Information and Documents Is the following documentation and information (in written or electronic form) carried on board the aircraft and is the operational information accessible on the flight deck (with the exception of (m) for helicopters): a. pertinent aeronautical charts; b. pertinent enroute, terminal area, and instrument approach procedure charts; c. aircraft performance data; d. aircraft checklists; e. the operator s operations manual; f. SOP manual (where established) g. the aircraft flight manual; h. the aircraft minimum equipment list (MEL) if aircraft is being operated in accordance with a MEL; i. aircraft C of A or other flight authority and C of R; j. aircraft radio licence; k. insurance certificate; l. documentation required for the area of operation; m. interception procedures; and 33

34 n. for international commercial air transport operations, a certified true copy of the air operator certificate? 8.3 Emergency Equipment Information a. Does the operator have available for immediate communication to rescue coordination centres, lists containing information on the emergency and survival equipment carried on board the aeroplane? b. Does the information include, as applicable, the number, colour and type of life rafts and pyrotechnics, details of emergency medical supplies, water supplies and the type and frequencies of the emergency portable radio equipment? 8.4 GPWS/TAWS Data Management Does the operator have a process to ensure that the data base for the GPWS is current? 8.5 Flight Data Recorder (FDR) and Cockpit Voice Recorder (CVR) Does the operator have procedures to ensure, in the event an aircraft becomes involved in an accident or incident, the preservation of all related flight recorder records, and if necessary the associated flight recorders, and their retention in safe custody pending their disposition in accordance with ICAO Annex 13? Does the operator have procedures to ensure flight data and cockpit voice recorders shall not be switched off during flight time? Does the operator have procedures to protect CVR and FDR data from inappropriate use? (See Note in IS- BAO 8.5.3) 8.6 Minimum Equipment List (MEL) Where a master minimum equipment list is established for the aircraft used, has the operator devised an MEL approved by the State of Registry? a. Are flight crews and maintenance personnel trained in its use? b. Is a copy of the MEL carried on board the aircraft? 34

35 8.7 EFB Equipment Where portable EFBs are used on board an aircraft, has the operator ensured that they do not affect the performance of the aircraft systems, equipment or the ability to operate the aircraft? Does the operator: a. Assess the safety risk(s) associated with each EFB function; b. Establish the procedures for the use of, and training requirements for, the device and each EFB function; and c. Ensure that, in the event of an EFB failure, sufficient information is readily available to the flight crew for the flight to be conducted safely. Comments, Observations, and Recommendations Analysis of /Findings 35

36 Chapter 9: Aircraft Maintenance s 9.1 Maintenance Control System Does the operator, other than one to which applies, have a written control system contained in the company operations or maintenance manual that is appropriate to the type and number of aircraft operated and the manner in which the maintenance is conducted? If the operator has outsourced their maintenance control system to a maintenance organization certified by a NAA, does the operator: a. provide proper oversight to ensure the maintenance organization conforms to the standards and recommended practices of this chapter? and b. in areas where the maintenance organization does not conform, does the operator identify these gaps in their SMS? Reserved Does the maintenance control system documentation contain at least the following information: a. Where maintenance functions have been assigned: i. The position or title of the person to whom functions have been assigned? ii. A description of the functions and scope of work that have been assigned to each position, person or organization? iii. Where necessary for clarity, a chart depicting the distribution of functions and lines of authority (if not depicted in the organizational chart)? b. For elementary work or preventive maintenance and aircraft servicing: i. Identification of those standards or maintenance data (aircraft manufacturer s, CAA s or other) to be used? ii. The procedures to confirm that regulatory information and technical data appropriate to the work performed are used; 36