Iata operational safety_audit_(iosa)

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"Our goal is to seek and maintain registration as an IOSA Operator Airlines"

IATA Operational Safety Audit(IOSA)

Marketing Division Briefing Jeddah 22/02/2005

Presented by Capt. Abdulhameed Alghamdi GM Corporate SafetyICSC chairman

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Remainder

• Greetings.

• Presentation Materials (safety.sv.net/iosa).

• Q&A.

• Smoking.

• Mobil Phone.

• Emergency Exits

• Coffee Break.

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Background• The airline industry is subject to ever

increasing numbers of inspections, reviews and audits.

• These often overlap in intent and content.• They have a wide variability of standards

(up to now).• The industry needs to standardise,

harmonise and rationalise these processes.

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Foreword

IOSA is being developed as part of the IATA Safety Strategy 2000+.

Since 2001, in an intensive effort with the world’s leading airlines and other industry entities IATA Operational Safety Audit Program was developed.

The official launch date for IOSA is 1 July 2003.

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What is IOSA?

Section 1

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• IOSA Programme is an internationally recognised and accepted evaluation system

• It is designed to assess the operational management and control systems of an airline

• It uses internationally recognised quality audit principles

• It is designed so that audits are conducted in a standardised and consistent manner

The IOSA Concept

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• IOSA Programme has quality and integrity.

• Airlines and regulators can accept IOSA reports.

• Achieves cost-efficiency through reduction in audit redundancy by Audit Sharing.

The IOSA Concept

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• To provide a standardised and cost-effective audit programme based on:

–Internationally recognised standards

–A structured system of audit sharing

–Helping improve operational safety

–Reducing the number of separate audits required

IOSA Goal

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IOSA Original Intent

One:

Introducing a single, agreed, common airline audit standard.

Two:

Safety of airline operations remains the highest industry priority.

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Do We need IOSA

?

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Accidents are the tip of the iceberg

Fatal accidents

Serious incidents

Minor incidents

1

30

300

Safety Actions

Operational ChallengesOperational Challenges Heinrich’s Safety Pyramid

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Total reported safety related events2000-2004

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SCC Work ProcessSCC Work Process

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Total A/C Ground Damage by Cause 2001-2004

11169

89

63

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Total categorized reported safety related events 2000-2004

496537

1305 91

376

506123

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The Domino Theory

Underling Basic Immediate Safety Consequences

Cause Cause Cause Defenses

(Management) (System) (Individual) (Filter) (Result)

• Latent Error Latent Error * Active Error * Countermeasures - Accident

- Incident

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Threat and Error Management (TEM)

Threats

Threat Mgmt

ErrorMgmt

Errors

Outcome

Contributing Factors

Contributing Factors

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Commitment

All IATA member airlines have committed to seek registration as an IOSA Operator

by January 1, 2006.

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IOSA Operational Standards

• IOSA Audit standards only; not regulations.

• Include requirements from global authorities

such as ICAO, JAA, FAA, etc.

• Include selected QMS and SMS principles.

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IOSA will complement, But will not replace the ICAO

Universal Safety Oversight Audit Program.

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STATESSTATES

AirlinesAirlines

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Without IOSA Audit:

Airline A

Airline B

Airline C

Airline Z

Airline Y

Airline X

Audit

Audit

AuditAudit

Audit

Audit

Audit

Audit

Audit

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With IOSA Audit:

SystemIOSA

Airline C

Airline Z

Airline X

Airline YAirline A

Airline B

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IOSA Benefits

Section 2

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Financial Benefits

• IOSA can replace current multiple code-sharing audits.

• Reduces the number of auditor resources used to conduct audits.

• Reduces the number of Auditee resources needed to interface with auditor teams.

• Reduces time required to complete code-sharing processes.

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Quality Benefits

• Standardisation of audit depth and quality.

• Standardisation of audit results.

• IOSA registration is a clear statement of an airline’s operational integrity and its ability to manage associated risks.

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IOSA Principle

Section 3

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IOSA Principles

• IOSA determines whether required standards

are documented and implemented.

• An IOSA Audit is not a pass/fail process

rather than it is a corrective process.

• IOSA provides room for individual company

culture and operational procedures.

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How is compliance confirmed?

• IOSA uses formalised standard checklists.• Checklists contain IOSA Standards (‘shall’

items) and Recommended Practices (‘should’ items).

• Every required process must be documented. • Every required process must be implemented.• This achieves Conformity.

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IOSA Structure

Section 4

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Principal IOSA Entities

• IATA– Develops standards.

– Keeper of IOSA Registry.

– Accreditation of Audit Organisations (AO) and Endorsed Training Organisations (ETO).

– Quality oversight of total IOSA Programme.

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• Audit Organisations (AO)– Accredited by IATA.– Conduct IOSA audits:

• Raise and monitor closure of Findings.• Complete IOSA Audit Report (IAR).

– Quality oversight of auditor performance.– Approval of IOSA Auditors.– Auditor recurrent training and continued

approval.

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• Endorsed Training Organisations (ETO)– Accredited by IATA.– Conduct IOSA auditor training.

• IOSA Oversight Committee (IOC).– Oversight of and guidance to IOSA

Programme.– Comprises 25 airlines, 10 regulators plus

observers.

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IOSA Relationships

IOSAOversight Committee

IOSAOversight Committee

AuditOrganisation

AuditOrganisation

EndorsedTraining

Organisation

EndorsedTraining

Organisation

IOSAProgramme

Airline

Audit

Training

AccreditationAccreditation

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IOSA Documentation

Section 5

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Manuals

• IOSA Standards Manual (ISM):– Part 1 – IOSA Standards and

Recommended Practices (ISARPs).– Part 2 – IOSA Guidance Material (IGM).

• IOSA Checklists:– The checklists used by IOSA auditors to

accomplish audits in accordance with ISM.

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Manuals

• IOSA Programme Manual (IPM):– Contains the standards that govern the total

IOSA Programme.– Applicable to AO (auditors), Operators

(auditees) and IATA.

• IOSA Auditor Handbook (IAH):– Guidance material for IOSA auditors.

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SVA Preparation

Section 6

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Operator Preparation

• Obtain ISM and Checklists from ICSC website (safety.sv.net/iosa) and distribute to heads of operational sections.

• Review ISARPs against the operator’s current operational policies and procedures.– Standards “shall”, Recommended Practices

“should”.• Carry out Gap Analysis using Checklists by

requesting AO to accomplish a pre-audit, or by undertaking internally.

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Recommended Action Plan1. An IOSA steering committee shall be

formed from the following departments.- Safety & Security- Flight Operations - Royal & VIP Flights- Technical Service - Materials Management- Operations Control Center- In flight Services- Passenger Sales & Services - Passenger Customer Services- Cargo Sales Service- Catering - Human Resources- Finance- Legal Affairs- Information Technology- Corporate Services

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Recommended Action Plan Cont’d

2. The Executive Communication Meeting (ECM) shall appoint a steering committee Chairman not less than a GM level, who will be charged to oversee all present and future IOSA requirement, coordinate with individual VPs and report progress directly to the ECM.

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ECMECMECMECM

GM Corporate SafetyGM Corporate SafetyGM Corporate SafetyGM Corporate Safety

ICS

C M

embe

rsIC

SC

Mem

bers

ICS

C M

embe

rsIC

SC

Mem

bers

Safety Spl. ICSC Cord.

GM. Tech. Quality Assurance

GM. A/P Services Programs

GM Pax Sales & SVCS, Africa

AGM Budget Performance Ctrl

Snr. Mgr. Royal admin & Sup

Snr Mgr. Regional IFS OOK

Snr. Mgr. Organization Studies

Mgr. FLT OPS STD POL & Proc

Mgr. CGO SVCS Support

MGR Catering

Snr. Spl/ MATS MGMT Q.A

Legal Advisor

Spl. OPS Control

Information tecnolegy Corporate Training

ICSC Organizational Chart

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23 November 2004

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3. Each concerned VP Shall appoint an IOSA team from his area of responsibility to initiate and oversee the IOSA audit requirements within his Department under his directives, Such requirements will include “the pre-audit preparations, self assessment, and fault correction).

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VP Safety & VP Safety & SecuritySecurity

VP Safety & VP Safety & SecuritySecurity

AGM Ground SafetyAGM Ground SafetyAGM Ground SafetyAGM Ground Safety

Chief Safety & SecurityChief Safety & SecurityChief Safety & SecurityChief Safety & Security

Snr. Mgr. Regional safetySnr. Mgr. Regional safetySnr. Mgr. Regional safetySnr. Mgr. Regional safety

MGR. EnvironmentalMGR. EnvironmentalMGR. EnvironmentalMGR. Environmental

MGR. Facilities SafetyMGR. Facilities SafetyMGR. Facilities SafetyMGR. Facilities Safety

MGR. Technical SafetyMGR. Technical SafetyMGR. Technical SafetyMGR. Technical Safety

AGM Flight SafetyAGM Flight SafetyAGM Flight SafetyAGM Flight Safety

GM Corporate SafetyGM Corporate SafetyGM Corporate SafetyGM Corporate SafetyGM Aviation SecurityGM Aviation SecurityGM Aviation SecurityGM Aviation Security GM. Facility SecurityGM. Facility SecurityGM. Facility SecurityGM. Facility Security

GM Corporate Safety/ICSC MemberGM Corporate Safety/ICSC MemberGM Corporate Safety/ICSC MemberGM Corporate Safety/ICSC Member

Mgr security investigation Mgr security investigation and support svcs (act)and support svcs (act)Mgr security investigation Mgr security investigation and support svcs (act)and support svcs (act)

MGR. Support FacilitiesMGR. Support FacilitiesMGR. Support FacilitiesMGR. Support Facilities

MGR. in kingdom MGR. in kingdom Security coordinationSecurity coordination

MGR. in kingdom MGR. in kingdom Security coordinationSecurity coordination

AGM Support facility in AGM Support facility in king dom stationking dom station

AGM Support facility in AGM Support facility in king dom stationking dom station

AGM Aviation SecurityAGM Aviation SecurityAGM Aviation SecurityAGM Aviation Security

Snr. Mgr. Aviation Snr. Mgr. Aviation Security SystemsSecurity Systems

Snr. Mgr. Aviation Snr. Mgr. Aviation Security SystemsSecurity Systems

MGR. Aviation SecurityMGR. Aviation SecurityMGR. Aviation SecurityMGR. Aviation Security

MGR. Aviation & Stations MGR. Aviation & Stations Security Coordination “ASecurity Coordination “A””MGR. Aviation & Stations MGR. Aviation & Stations Security Coordination “ASecurity Coordination “A””

MGR. Aviation Security MGR. Aviation Security InvestigationInvestigation

MGR. Aviation Security MGR. Aviation Security InvestigationInvestigation

Safety & Security Division Team

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4. Each concerned VP shall be responsible to determine the scope and time span of his area of responsibility Preparation for the IOSA audit.

5. Projected divisional action plan shall be submitted through the divisional team leader to the Chairman of the IOSA steering committee.

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Divisional IOSA Implementation

Safety & Security 28/ 02/ 2005

Flight Operations 14/03/2005

Royal Flights Operations 31/3/2005

Technical Service 15/03/2005

Materials Management 28/02/2005

Operations Control Center 28/03/2005

In flight Services 28/03/2005

Passenger Sales & Services 28/02/2005

Passenger Customer Services 28/04/2005

Cargo Sales Service 01/04/2005

Catering 15/03/2005

Human Resources 15/04/2005

Finance Support

Legal Affairs Support

Division Target Date

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Phase No. Title Target Date

One Preparation23 NOV2004 30 APR 2005

ICSC Action Plan Phases

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6. The IOSA chairman shall Conduct initial meeting to:

- Introduce the IOSA program.- Distribute and introduce the IOSA

manual.- Explain the required implementation

process.- Propos the projected corporate IOSA

implementation action plan.

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7. Upon receiving the divisional projected action plan, the chairman will finalize the corporate action plan and obtain the ECC approval to conclude the IOSA audit agreement.

- If the audit agreement is signed prior to 31 DEC 2004 (the $15,000 IATA registration fees will be waived).

- If Audit agreement signed prior to DEC 2004 the airlines has until Jun 2005 to conclude the audit.

8. Report the progress to the ECC.

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ICSC ITEMSICSC

ITEMS No.

Summary Responsibility Conformity

1.2 Determining The Audit Organization ICSC Members Yes

1.3 Sign The Audit Agreement ICSC Chairman Yes

1.4 Schedule The Pre-audit Visit ICSC Members Yes

1.5Determining The Need For The ICSC Members IOSA Training Course

ICSC Members Yes

3.3 SH&E Year 2000audit Report ICSC Members Yes

4.1Internal Information Shearing Working Group Progress (IISWG).

ICSC IIS WG Yes

4.2Ramp Safety Working Progress (RSWP)

ICSC RS WG Yes

4.3 Division Actions ICSC Members Yes

4.4Other Departments Preparation Process Experience

ICSC Members Yes

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Airline

IATA

AO

IOSA Audit Agreement

Audit Agreement

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IOSA Audit Process

Section 7

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IOSA Audit Process

The fundamental IOSA Principle is:1. Document clearly all processes that operator

uses to comply with every required IOSA Standard (and Recommended Practice).

2. Implement all documented processes fully.3. Accomplish each process exactly as

documented consistently.Remember the principle as:

– “Say (document) what you do”.– “Do what you say you do - every time”.

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• This does not stop an operator from modifying processes.

BUT

1. Ensure process manual and physical process changes occur concurrently.

2. Ensure staff fully briefed/trained in revised process but do not commence use of modified process until amended documentation issued.

IOSA Audit Process

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• Rectify every Finding (shall item) found by the Gap Analysis.

• Consider appropriate action for any Observations (should item) found by the Gap Analysis.

• Contact AO and schedule formal IOSA audit.

IOSA Audit Process

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ORG Shall's ItemsPress up

Shall Items Filling

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• Policy & Procedures (P&P).• Quality Manuals (QM).• Saudi Arabian Airlines Safety Manual

(SAASM).• Corporate Emergency Response Manual

(CERM).• Aviation Security Manual (ASM).• Station Emergency Local Plan (SELP).

Station required Documents

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SAASM

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INPUT OUTPUT

Controllers

“Internal” MP&P PSPM SAASM CSPM CSQM GEPM TP&P FOPM

“External” PCA/ FAA/CAA’s/IATA

AACO / ICAO/IOSA/ ISO ISASI/GOV REL REG

/MANF/GAIN/FSF

Safety Reports Confidential

Reporting System Investigation

Reports

Data Analysis

Safety Committees

Customer Complaints

Safety Seminars

SMS QMS Safety Performance

Measurement Prevention

ACC/INC. Reduction

Safety Culture Improvement

Management Processes

Plan

Goals and Objectives

Resources

Accident

Prevention Risk

Management Emergency Response

Safety Program

IOSA Audit &

Inspection

Corporate Safety Overall Process Map

Support Processes Flight Safety Ground Safety System Safety

Means Tools Equipments

Infrastructure Qualified Personnel

SCC ECC CSC

Coordination Organization

Accountability

Analytical Tools

CSQM

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Two Implementation 01 MAY 2005


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Phase Two Implementation

Pending for implementation of phase one items based in the following:

- Self assessment conducted,

- Fault correction.

- All ISM findings are closed.

- Schedule Formal IOSA Audit.

On-site audit Scheduled to by conducted by SH&E

on May 2005

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IOSA Program: Prerequisites for IOSA auditors

IATA Operational Safety Audits (IOSA) are conducted by accredited Audit

Organizations (AO).

AS OF MAY 2004

IATA has appointed sixAudit Organizations

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On-Site Audit

• Typically conducted with up to six (6) certified IOSA Auditors.

• Additional trainees and/or IATA observer may attend.

• Generally takes five (5) working days.

• Opening Meeting, daily Management Briefings, preliminary IOSA Audit Report at Closing Meeting.

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AO Audit Process

• AO Audit Team preparation & logistics planning

• Conduct Audit:– Formal Opening Meeting.– Follow checklists, gather evidence.– Accomplish Operational Assessments. – Raise findings and/or observations, as

appropriate and advise auditee.– Formal Closing Meeting.

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AO Audit Process

• Lead Auditor documents and provides to auditee, all Findings and Observations presented at Closing Meeting (in draft only).

• IOSA Interim Audit report (IIAR) provided to auditee within 15 business days.

• IIAR includes Corrective Action Record (CAR) documenting all Findings and Observations from the audit.

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AO Audit Process• AO and Auditee agree on an acceptable

Corrective Action Plan (CAP) within 30 days of Closing Meeting.

• AO follows up to ensure all corrective actions implemented in accordance with CAP.

• AO closes each Finding once acceptable corrective action implemented by Auditee and verified by AO.

• AO closes audit once ALL Findings are closed.• AO creates IOSA Audit Report (IAR).

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Possible Audit Results

no action required

result in written recommendations

require corrective action

assures IOSA registry

do not affect IOSA registry

must be closed prior to IOSA registry

Conformity

Observations

Findings

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IOSA Audit Process Timelines

Initial IOSA Registration

Date

On-site Audit(5 days)

Closing Meeting

All Findings Closed

Audit Expires if not all Findings

closed

within a maximume of 12 months

IOSA Registration

Renewal

IOSA Registration Period(24 months)

(30 days)

Agreeing upon Corrective Action

Plan (CAP)

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Audit Findings Follow-Up

1. Airline establishes Corrective Action Plan for Audit Findings.

2. Audit Organization verifies implementation.

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Findings

Section 9

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IOSA Global Acceptance

• Gaining great momentum:– 46 audits completed.– Additional 30 signed audit contracts in

hand.– Target of 100 new audits in 2005.

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Which airlines are on the IOSA Registry already?

-Adria Airways -Lufthansa Cityline-Air India -Maersk Air-All Nippon Airways -Privat Air GmbH-Austrian Airlines -Qatar Airways-Blue 1 -SAS Airlines-Chautauqua Airways -Shanghai Airlines-Croatia Airlines -Singapore Airlines-EgyptAir -US Airways -Korean Air Lines -Xiamen Airlines-Lufthansa

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QA Statistics from review of Audit Reports

Version of SIMNumber of

ReportsFindings Observations Not Applicable

Apr. 2003 8 314 61 319

Dec. 2003 5 180 39 221

Mar 2004 3 76 10 16

Jun 2004 11 410 100 194

Total 27 980 210 750

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QA Statistics

The Number Of Findings In Each Section As a % Of 27 Reports Finding

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QA Statistics

The Number Of Observation In Each Section As a % Of 27 Reports Observing

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IAR and IOSA Registration

Section 8

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IAR

• The IAR is the official record of the IOSA audit.• The IAR is completed by the AO within 15

business days after Audit Closure and submitted to IATA.

• IATA is custodian of all IAR and the AO retains a copy for two years.

• The IAR is the sole and exclusive property of the auditee.

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IOSA Registry

• Once IAR received, IATA formally adds the auditee to the IOSA Registry.

• The auditee is retained on the registry for two years by which time a new IOSA audit will be accomplished.

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IOSA Registration Process

Registration

IATAIOSARegister

IAR

IAR

AuditOrganization

IOSA Audit Report

AuditedAirline

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Audit Sharing

• A primary purpose of IOSA auditing is to allow audit sharing to eliminate redundancy of audits.

• An interested party makes a written request with specific reasons to IATA for access to the IAR of the auditee.

• IATA provides the IAR only after the auditee has authorised access.

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Auditee

1) Request for Access

4) Access Provided

2) Notification of Request 3) IF Access Authorized

Access to the IOSA Audit Report

InterestedParty

Airline

IATA

IOSADatabase

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Three Maintaining Pending


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Phase Three Maintaining Maintaining / Monitoring the Audit processes and the readiness for Re- Audit

by:

- Internal Audit Department every

12 months.

- By Outside Audit Organization every

24 months.

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Conclusion

The Top Management are committed and giving full support for IOSA registry, know it is the

responsibility of the Lower Managements and their

Employees to realize that commitment.

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Thank YouThank You

??