Auditor/Operator Responsibilities. Audit Success IS-BAO Registration

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2 IS-BAO Review Areas of Emphasis - Maintenance Auditor/Operator Responsibilities Conduct of Audit Audit Success IS-BAO Registration

3 Voluntary International Aviation Safety Program Designed to improve aviation safety through the proactive use of standardized quality processes IS-BAO entails routine collection and analysis of digital flight data generated during aircraft operations

4 Document Key Safety-Related Processes & Procedures Assign Process Ownership Determine Points to Measure Effectiveness

5 Determine What Indicates Success. Could Be A Combination of: Quantitative Data Qualitative Data Measure and Analyze Trends Continuous Improvement

6 Chapters 1 and 2 are introductory in nature and cover the purpose of the standard and an introduction to the standard Chapters 3 thru 15 Standards and Recommended Practices Need to Know Everything else supports the IS-BAO IAM, GCOM, IG, SMS Toolkit

7 1.0: Purpose of the Standard 2.0: Introduction 3.0: Safety Management Systems 4.0: Organization and Personnel Requirements 5.0: Training and Proficiency 6.0: Flight Operations 7.0: Operations in International Airspace 8.0: Aircraft Equipment Requirements

8 9.0: Aircraft Maintenance Requirements 10.0: Company Operations Manual 11.0: Emergency Response Plan 12.0: Environmental Management 13.0: Occupational Health and Safety 14.0: Transportation of Dangerous Goods 15.0: Security

9 [Standard contains the word shall ] (Recommended Practice contains the word should ] An operator shall designate a pilot-in-command for each flight and, where the crew includes two pilots, a second-in-command Does the operator include provisions in maintenance agreements to ensure that maintenance personnel do not carry out maintenance work when they are fatigued? (Recommended Practice) N RECOMMENDED PRACTICE

10 3.2.1.b Safety Accountabilities Organization Shall Identify: Accountable Executive (AE) (SMS Toolkit Selection of the AEX ) ICAO SMM (Section ) CEO Chairperson of the Board Partner Proprietor

11 3.2.1.b Safety Accountabilities Organization Shall Identify: Accountabilities of all members regarding safety performance Management levels with authority to make decisions regarding safety-risk tolerability

12 Internal Evaluation Program Internal Evaluation Program is essential for Safety Assurance Perform Annually Download from IBAC Website

13 Ensure manuals conform to IS-BAO Ensure organization performs according to their manuals Utilize cross-functional teams Do not evaluate your own functional area

14 IS-BAO Maintenance Standards Chapter 6 Flight Operations Chapter 9 Maintenance

15 6.20: Maintenance Check Flights Recommended Practice Maintenance Check Flights present unique safety risks to the operator and must be managed effectively. Ensure flight crew and maintenance personnel are properly trained to conduct such operations.

16 6.20: Maintenance Check Flights Recommended Practice 6.20 Maintenance Check Flights Are there procedures to effectively manage the risks associated with Maintenance Check Flights? (Recommended Practice) Y GMM CH 4.3 Guidance regarding Maintenance Check Flights can be found in IBAC s Safety Management Library

17 9.1.2: Continuing Airworthiness Management Organisation (CAMO) Oversight (2014) Note 1: It is the owner's / lessee's / operator's (as applicable) responsibility to take all appropriate actions to ensure adequate oversight of the contracted CAMO for the continued airworthiness of its aircraft/fleet. Note 2: The CAMO oversight process should be integrated into the compliance monitoring system required by ISBAO

18 9.1.4(b): Elementary Work or Preventive Maintenance / Servicing Identify standards to be used Typically Aircraft Manufacturer Include procedures to ensure appropriate data & info are used Include details of the methods used to record the maintenance

19 9.1.4(b): Elementary Work or Preventive Maintenance / Servicing 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? 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? Y Y The A/C are maintained IAW the manufactures maintenance programs, and the applicable FAA Regulations. The A/C is also maintained IAW the manufactures recommended continual structural integrity program GMM CH 4 Manufacturer s Recommended Maintenance Program (MRMP) plus ICAs and regulatory requirements.

20 9.1.4(c): Identify the program approved by the State of Registry c. Has the operator identified a maintenance schedule/ programme authorized by the State of Registry? Y FOM 8.3. Maintenance Schedules Bombardier approved phase inspection and maintenance scheduling. Last updated 06/14. c. Has the operator identified a maintenance schedule/ programme authorized by the State of Registry? Y c. Manufacturer s FAA approved maintenance schedule. FOM reminds of required awareness of possible schedule changes as operational profile changes.

21 9.1.4(d): Procedure to ensure tasks are completed on-time d. Is there a detailed description of the procedure used to ensure that any maintenance tasks required by the maintenance schedule/ programme, an airworthiness directive, or any task required for the rectification of a defect is completed within the time constraints specified in national regulations? Y Required task are tracked with the CAMP tracking program. Flight times are entered into the program at the completion of each flight.

22 9.1.4(d): Procedure to ensure tasks are completed on-time d. Is there a detailed description of the procedure used to ensure that any maintenance tasks required by the maintenance schedule/ programme, an airworthiness directive, or any task required for the rectification of a defect is completed within the time constraints specified in national regulations? Y FOM section 6 The Aviation Maintenance Manager reviews all new and revised ADs upon receipt to determine if they are applicable. Details of applicable ADs and all directives pertaining to the aircraft make and model are entered in the appropriate airframe, engine, or component technical record. The Aviation Maintenance Manager determines the date, flight time, or operating cycles when the actions specified in the directive must be taken. If the required actions are due before the next scheduled maintenance activity, the necessary entries are recorded in the Aircraft Logbook.

23 9.1.4(f): Parts, Materials, and Tools: Procedures to ensure only the following are used Parts and materials that meet both: Regulatory requirements, and Manufacturer s specifications

24 9.1.4(f): Parts, Materials, and Tools: f. Are there procedures to ensure that only parts and materials that meet regulatory requirements and manufacturer s specifications are used in the performance of maintenance, elementary work/preventive maintenance or servicing, including any details respecting part-pooling arrangements that have been entered into? Y Incoming parts are reviewed, inspected and tagged per GAMA procedures.

25 9.1.4(g): Properly Calibrated Tools Procedures to ensure that properly calibrated tools are used in the performance of: Maintenance Elementary work Preventative maintenance Servicing

26 9.1.4(g): Properly Calibrated Tools g. Are there procedures to ensure that properly calibrated tools are used in the performance of maintenance, elementary work/preventive maintenance or servicing? Y FOM Only properly calibrated tools are used in the performance of elementary work and preventative maintenance. Tool calibrations are tracked using FlightDocs.

27 9.1.4(j): Aircraft Weight Procedure to ensure BEW is maintained & documented

28 9.1.4(j): Aircraft Weight j. Is there a procedure to ensure that the Basic Empty Weight (BEW) of an aircraft is maintained, current and properly documented? Y The aircraft weighing procedures are described in GMM Sec 7 all and are contained in the weight & balance manual.

29 9.1.4(k): Flight Permits k. Is there a process to obtain a Special Flight Permit or Special Flight Authorization? Y FOM The Aviation Maintenance Manager is responsible for all applications made to the FAA for aircraft flight authorizations, and is authorized to make any required declarations for this purpose on behalf of the company.

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31 l. Are there procedures for a tool control programme designed to ensure tools, supplies, and test equipment are accounted for following maintenance performed on an aircraft? N The Operator does not have a procedure to account for tools and test equipment following maintenance performed on an aircraft. l. Are there procedures for a tool control programme designed to ensure tools, supplies, and test equipment are accounted for following maintenance performed on an aircraft? Y.FOM A technician other than the one performing maintenance on an aircraft does a Close Up Inspection to ensure all tools and materials have been removed. When a technician works alone, they are required to check off a tool inventory list and supply list the tools and materials used to perform the required maintenance. At the end of the maintenance task they are required to account for all tools and materials.

32 Required for Maintenance Personnel Shall have all the elements described in 6.13

33 m. Is there a description of the fatigue management system? (See section 6.13 for requirements) Y Fatigue countermeasures are defined in the FOM. Duty time shall not exceed 12 hours. m. Is there a description of the fatigue management system? (See section 6.13 for requirements) Y When traveling as Flight Engineers, mechanics follow crew duty/rest procedures. Working in the hangar shifts are normally 8 hours not to exceed 12.

34 9.1.4(n): Working Alone (2014) Procedures to manage the risks associated with maintenance personnel working alone

35 9.1.4(n): Working Alone (2014) n. Are there procedures to manage the risks associated with maintenance personnel working alone? Y The DOM and the mechanic in the next hanger help each other on high risk jobs such as: Critical systems, equipment/ parts removal, new task, high pressure systems (oxygen, tire and hydraulic systems) and help from the pilots as needed. The Dir. of Aviation has an A&P IA certificate. n. Are there procedures to manage the risks associated with maintenance personnel working alone? Y FOM Another employee is on call as a notified employee to communicate at predetermined times with the technician working alone.

36 9.1.6: Defect Reporting and Rectification Control Procedures for: Defect Tracking Failures Failures Failures Failures in past 30 in past 60 in past 90 in past Item days days days 120 days Psi Controller VOR Transponder Wx Radar #2 Radio Recording Aircraft Defects Tracking Recurring Defects

37 9.1.6: Defect Reporting and a. Recording aircraft defects? Y Defects are recorded in the Aircraft Discrepancy Log as described in GMM 3.4.0, and thru b. Ensuring that defects are rectified in accordance with regulatory requirements and manufacturer s specifications? c. Detecting defects that recur and identifying those defects as recurring defects? d. Scheduling, within the permitted period of deferral, the rectification of defects whose repair has been deferred? Y Y Y Defects are rectified iaw the relevant aircraft maintenance manuals and FARs as documented in GMM 3.4.0, and thru Recurring defects are monitored in the CAS program as documented in GMM Sec 11 (CAS program) Defect deferral procedures are described in GMM 3.4.7, (MEL Management Program).

38 9.1.7: Technical Dispatch Instructions Written Procedures to Ensure: Airworthy Aircraft Aircraft are Ready and Capable for Intended Use MEL Procedures are Followed Release Meets State of Registry Regulations Maintenance Release is Completed and Signed

39 9.1.7: Technical Dispatch Instructions a. Are there procedures that ensure the aircraft are: i. Maintained in an airworthy condition, Y Manufactures maintenance program i. Appropriately equipped, configured and maintained for the intended use, and iii. Maintained in accordance with the authorized maintenance program; b. Are there procedures to ensure that all MEL requirements are met? c. Are there procedures to ensure adherence to State of Registry regulations and standards? d. Are there procedures to ensure a maintenance release has been completed following maintenance? Y Y Y Y Y Responsibility of the DOM, the Dir. Of Aviation and PIC Responsibility of the DOM and the Dir. of Aviation MEL deferral procedures are defined in the FOM and meet the IS-BAO Standard The log maintenance release is documented by the Director of Maintenance s signature under Flight Release on the IAS LLC Flight Log Manifest.

40 9.1.9: Records The Following Records Shall be Kept: Total Time in Service (Aircraft and Life limited components) Status of Compliance with Airworthiness Information Details of Modifications and Repairs Time in Service Since Last Overhaul (applicable components) Status of Compliance with Maintenance Program Proof of Maintenance Release Requirements Being Met

41 9.1.11: Clarified (2014) If turbojet-engined OR takeoff mass >5700 kg OR engaged in commercial operations: a. Observe Human Factors principles b. Include Continuing structural integrity programme * c. Include Condition monitoring & reliability programme * * If State of Registry Requires

42 9.1.11: Clarified (2014) For an operator of turbojet-engined aeroplanes OR those with a maximum take-off mass > 5700 kg OR any aircraft engaged in commercial operations, does the maintenance program: a. Observe Human Factors principles according to the State of Registry s guidance material? Y FOM, Chapter s 10.3, Maintenance Personnel Working Standards, Maintenance Personnel Fatigue Countermeasures, 10.27, Working Alone Procedures policies, page 10-9 and human factors warnings published with each OEM s maintenance manual documentation. b. Include, if applicable, a continuing structural integrity programme? c. Include, when applicable and approved by the State of Registry, condition monitoring and reliability programme descriptions for aircraft systems, components and power plants? Y N/A Structural integrity is inspected/maintained using their current maintenance publication, Chapter 5, guidance published by Falcon, as specified within the FOM, Chapter 10.6 Maintenance Programs policies, page Although there is currently no formal Falcon condition monitoring program for aircraft being operated, the company submits monthly engine and APU performance data downloads to the respective manufacturers. Additionally, SOAP sampling is conducted as required by each engine manufacture.

43 Procedures in operations manual pertaining to maintenance away from base (9.2.2) Provisions in agreements to ensure that personnel don t carry out work when fatigued Don t worry, I can fix it.

44 Procedures in operations manual pertaining to maintenance away from base (9.2.2) Provisions in agreements to ensure that personnel don t carry out work when fatigued Has the operator included provisions in the company operations manual for flight crew to obtain maintenance services when away from home base? Y The selection of any qualified Maintenance Technician or AMO to perform the maintenance is at the discretion of the PIC. It is confirmed that they hold a certificate / license appropriate to the work to be done and that all the specific scope and limitations of the work to be done are covered under the work order. If there is any doubt, they seek the advice of the Aviation Maintenance Manager.

45 No person shall sign a maintenance release unless within the preceding 24 months (9.4.1): At least (6) months experience with aircraft: Inspection Servicing or Maintenance

46 No person shall sign a maintenance release unless within the preceding 24 months (9.4.1): At least (6) months experience with aircraft: Inspection, Servicing, or Maintenance Does the operator have a process to ensure that persons who hold maintenance release authority have had at least six months experience in the preceding 24 months? Y FOM, Chapter 10.16, Recency of Experience policy, Page 10-7.

47 Noise abatement procedures Ground operations, fueling, deicing/ anti-icing Disposal of waste materials and international garbage Facility construction and operations Fueling facilities Emissions trading

48 Workplace safety program Fire, first aid and sanitary requirements Safety/protective clothing, devices and equipment Employee safety information and training Machinery, tools and equipment HAZMAT procedures and training Recommend procedures for ANY person working alone (2014)

49 If the Operator Does NOT carry: Passenger training & notification Crewmember training each 2 years If the Operator Carries: Regulatory requirements Procedures/ Emergency procedures Training

50 IS-BAO audit is a systems audit higher level than a process audit Examines all critical programs, procedures, and processes Assesses how they are integrated to reduce risks to ALARP Silos Scheduling Ops SMS Mx Scheduling Maintenance Operations Training Safety Training

51 Conducting an Audit Reference the Standards and Record Results on Protocols a Safety Performance Monitoring and MeasurementStandard Protocol

52 Some IS-BAO Standards May be NA Y Y NA ABC Aviation does not utilize cabin crew.

53 Non-fulfillment of an IS-BAO requirement.

54 Does NOT constitute a significant risk to safety Isolated instance or error - Not Systemic Procedure correctly executed but not documented

55 Poses Significant Safety Risk Examples: Pilot Qualification Program does not meet CAA requirements Inadequate Process to ensure aircraft are airworthy Inadequate Process to ensure pilot checklists are updated

56 Minor or Major Cause-and-effect must be determined Criticality Must be determined (Indicates Risk Level) Findings require a remedial action plan

57 Shape Up Aviation NUMBER OF OPERATOR NAME NON-CONFORMITY CATEGORY 123 AIRPORT ROAD ADDRESS MYTOWN MINOR MAJOR X IS-BAO ELEMENT & REF. # CABIN BAGGAGE OPERATORS MANUAL OR PROCEDURE AND REFERENCE GOM 2.6 DETAILS OF FINDING The Operator does not have specific procedures to ensure that all baggage carried onto an aircraft and taken into the passenger cabin is adequately and securely stowed. CAUSE Not documented Management oversight. EFFECT Increased risk level if item not secured. CRITICALITY High

58 N ABC does not have a security program N N N N IS-BAO Guidance Material (GM) can help. It is one way, not the only way, to meet the Standard.

59 Notice the IG numbering scheme is similar to the Standard for ease of use.

60 Use SMS Tools to Meet Standards Hazard Identification Risk Analysis Safety-Risk Profile Risk Awareness Tools Other Tools In.doc or.pdf format

61 Conducted by an IBAC accredited auditor Negotiated between auditor & operator

62 Auditors have range of backgrounds and experience Choose one that understands your type of operation Auditor should not be put in a conflict of interest Auditors are listed on IBAC web site at

63 Provide auditor with documents Complete the audit protocols with references Brief staff and have people available for interviews Provide work space for auditor

64 Audit is Successful if no open Major Findings Audit Report and Protocols sent to IBAC for review

65 Stage I SMS: ALL Initial Registrants SMS Documented, Approved, Resourced, Being Implemented Stage II SMS: Baseline Performance SMS Functioning & Results Measured Safety Management Activities Appropriately Targeted Safety-Risks Effectively Managed Stage III SMS: Exceptional Performance SMS Sustained & Supported by Ongoing Improvement Process SMS Activities Fully Integrated into Operator s Business A Positive Safety Culture is Being Sustained

66 Sonnie Bates, IS-BAO Program Director (603) Larry Fletcher, Audit Manager (513) Bruce Mayes, Auditor Accreditation Manager (808) Jason Starke, Operations Manager (832) Paul Lessard, Administration (514) Follow us on Twitter and LinkedIn!

67 IS-BAO Introduction Review of 15 Elements Operator/Client Responsibilities Auditor Responsibilities

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