Iata operational safety_audit_(iosa)


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Iata operational safety_audit_(iosa)

  1. 1. IATA Operational Safety Audit (IOSA) Marketing Division Briefing Jeddah 22/02/2005 Presented by Capt. Abdulhameed Alghamdi GM Corporate Safety ICSC chairman
  2. 2. Remainder <ul><li>Greetings. </li></ul><ul><li>Presentation Materials (safety.sv.net/iosa). </li></ul><ul><li>Q&A. </li></ul><ul><li>Smoking. </li></ul><ul><li>Mobil Phone. </li></ul><ul><li>Emergency Exits </li></ul><ul><li>Coffee Break. </li></ul>
  3. 3. Background <ul><li>The airline industry is subject to ever increasing numbers of inspections, reviews and audits. </li></ul><ul><li>These often overlap in intent and content. </li></ul><ul><li>They have a wide variability of standards (up to now). </li></ul><ul><li>The industry needs to standardise, harmonise and rationalise these processes. </li></ul>
  4. 4. Foreword <ul><li>IOSA is being developed as part of the IATA Safety Strategy 2000+. </li></ul><ul><li>Since 2001, in an intensive effort with the world’s leading airlines and other industry entities IATA Operational Safety Audit Program was developed. </li></ul><ul><li>The official launch date for IOSA is 1 July 2003. </li></ul>
  5. 5. What is IOSA? Section 1
  6. 6. <ul><li>IOSA Programme is an internationally recognised and accepted evaluation system </li></ul><ul><li>It is designed to assess the operational management and control systems of an airline </li></ul><ul><li>It uses internationally recognised quality audit principles </li></ul><ul><li>It is designed so that audits are conducted in a standardised and consistent manner </li></ul>The IOSA Concept
  7. 7. <ul><li>IOSA Programme has quality and integrity. </li></ul><ul><li>Airlines and regulators can accept IOSA reports. </li></ul><ul><li>Achieves cost-efficiency through reduction in audit redundancy by Audit Sharing. </li></ul>The IOSA Concept
  8. 8. <ul><li>To provide a standardised and cost-effective audit programme based on: </li></ul><ul><ul><li>Internationally recognised standards </li></ul></ul><ul><ul><li>A structured system of audit sharing </li></ul></ul><ul><ul><li>Helping improve operational safety </li></ul></ul><ul><ul><li>Reducing the number of separate audits required </li></ul></ul>IOSA Goal
  9. 9. IOSA Original Intent <ul><li>One: </li></ul><ul><li>Introducing a single, agreed, common airline audit standard. </li></ul><ul><li>Two: </li></ul><ul><li>Safety of airline operations remains the highest industry priority. </li></ul>
  10. 10. Do We need IOSA ?
  11. 11. Accidents are the tip of the iceberg Fatal accidents Serious incidents Minor incidents 1 30 300 Safety Actions Operational Challenges Heinrich’s Safety Pyramid
  12. 12. Total reported safety related events 2000-2004
  13. 13. SCC Work Process
  14. 14. Total A/C Ground Damage by Cause 2001-2004 11 169 89 63
  15. 15. Total categorized reported safety related events 2000-2004 496 537 1305 91 376 506 123
  16. 16. The Domino Theory <ul><li>Underling Basic Immediate Safety Consequences </li></ul><ul><li>Cause Cause Cause Defenses </li></ul><ul><li>(Management) (System) (Individual) (Filter) (Result) </li></ul><ul><li>Latent Error Latent Error * Active Error * Countermeasures - Accident </li></ul><ul><li> - Incident </li></ul>
  17. 17. Threat and Error Management (TEM) Threats Threat Mgmt Error Mgmt Errors Outcome Contributing Factors Contributing Factors
  18. 18. Commitment <ul><li>All IATA member airlines have committed to seek registration as an IOSA Operator </li></ul><ul><li>by January 1, 2006. </li></ul>
  19. 19. IOSA Operational Standards <ul><li>IOSA Audit standards only; not regulations. </li></ul><ul><li>Include requirements from global authorities such as ICAO, JAA, FAA, etc. </li></ul><ul><li>Include selected QMS and SMS principles. </li></ul>
  20. 20. <ul><li>IOSA will complement, But will not replace the ICAO Universal Safety Oversight Audit Program. </li></ul>
  21. 21. STATES Airlines
  22. 22. Without IOSA Audit: Audit Audit Audit Audit Audit Audit Audit Audit Audit Airline A Airline B Airline C Airline Z Airline Y Airline X
  23. 23. With IOSA Audit: System IOSA Airline C Airline Z Airline X Airline Y Airline A Airline B
  24. 24. IOSA Benefits Section 2
  25. 25. Financial Benefits <ul><li>IOSA can replace current multiple code-sharing audits. </li></ul><ul><li>Reduces the number of auditor resources used to conduct audits. </li></ul><ul><li>Reduces the number of Auditee resources needed to interface with auditor teams. </li></ul><ul><li>Reduces time required to complete code-sharing processes. </li></ul>
  26. 26. Quality Benefits <ul><li>Standardisation of audit depth and quality. </li></ul><ul><li>Standardisation of audit results. </li></ul><ul><li>IOSA registration is a clear statement of an airline’s operational integrity and its ability to manage associated risks. </li></ul>
  27. 27. IOSA Principle Section 3
  28. 28. IOSA Principles <ul><li>IOSA determines whether required standards are documented and implemented. </li></ul><ul><li>An IOSA Audit is not a pass/fail process rather than it is a corrective process. </li></ul><ul><li>IOSA provides room for individual company culture and operational procedures. </li></ul>
  29. 29. How is compliance confirmed? <ul><li>IOSA uses formalised standard checklists. </li></ul><ul><li>Checklists contain IOSA Standards ( ‘ shall ’ items) and Recommended Practices ( ‘ should ’ items). </li></ul><ul><li>Every required process must be documented. </li></ul><ul><li>Every required process must be implemented. </li></ul><ul><li>This achieves Conformity. </li></ul>
  30. 30. IOSA Structure Section 4
  31. 31. Principal IOSA Entities <ul><li>IATA </li></ul><ul><ul><li>Develops standards. </li></ul></ul><ul><ul><li>Keeper of IOSA Registry. </li></ul></ul><ul><ul><li>Accreditation of Audit Organisations (AO) and Endorsed Training Organisations (ETO). </li></ul></ul><ul><ul><li>Quality oversight of total IOSA Programme. </li></ul></ul>
  32. 32. Principal IOSA Entities <ul><li>Audit Organisations (AO) </li></ul><ul><ul><li>Accredited by IATA. </li></ul></ul><ul><ul><li>Conduct IOSA audits: </li></ul></ul><ul><ul><ul><li>Raise and monitor closure of Findings. </li></ul></ul></ul><ul><ul><ul><li>Complete IOSA Audit Report (IAR). </li></ul></ul></ul><ul><ul><li>Quality oversight of auditor performance. </li></ul></ul><ul><ul><li>Approval of IOSA Auditors. </li></ul></ul><ul><ul><li>Auditor recurrent training and continued approval. </li></ul></ul>
  33. 33. Principal IOSA Entities <ul><li>Endorsed Training Organisations (ETO) </li></ul><ul><ul><li>Accredited by IATA. </li></ul></ul><ul><ul><li>Conduct IOSA auditor training. </li></ul></ul><ul><li>IOSA Oversight Committee (IOC). </li></ul><ul><ul><li>Oversight of and guidance to IOSA Programme. </li></ul></ul><ul><ul><li>Comprises 25 airlines, 10 regulators plus observers. </li></ul></ul>
  34. 34. IOSA Relationships IOSA Oversight Committee Audit Organisation Endorsed Training Organisation IOSA Programme Airline Audit Training Accreditation Accreditation
  35. 35. IOSA Documentation Section 5
  36. 36. Manuals <ul><li>IOSA Standards Manual (ISM): </li></ul><ul><ul><li>Part 1 – IOSA Standards and Recommended Practices (ISARPs). </li></ul></ul><ul><ul><li>Part 2 – IOSA Guidance Material (IGM). </li></ul></ul><ul><li>IOSA Checklists: </li></ul><ul><ul><li>The checklists used by IOSA auditors to accomplish audits in accordance with ISM. </li></ul></ul>
  37. 37. Manuals <ul><li>IOSA Programme Manual (IPM): </li></ul><ul><ul><li>Contains the standards that govern the total IOSA Programme. </li></ul></ul><ul><ul><li>Applicable to AO (auditors), Operators (auditees) and IATA. </li></ul></ul><ul><li>IOSA Auditor Handbook (IAH): </li></ul><ul><ul><li>Guidance material for IOSA auditors. </li></ul></ul>
  38. 38. SVA Preparation Section 6
  39. 39. Operator Preparation <ul><li>Obtain ISM and Checklists from ICSC website (safety.sv.net/iosa) and distribute to heads of operational sections. </li></ul><ul><li>Review ISARPs against the operator’s current operational policies and procedures. </li></ul><ul><ul><li>Standards “shall”, Recommended Practices “should”. </li></ul></ul><ul><li>Carry out Gap Analysis using Checklists by requesting AO to accomplish a pre-audit, or by undertaking internally. </li></ul>
  40. 40. Recommended Action Plan <ul><li>An IOSA steering committee shall be formed from the following departments. </li></ul><ul><li>- Safety & Security </li></ul><ul><li>- Flight Operations </li></ul><ul><li>- Royal & VIP Flights </li></ul><ul><li>- Technical Service </li></ul><ul><li>- Materials Management </li></ul><ul><li>- Operations Control Center </li></ul><ul><li>- In flight Services </li></ul><ul><li>- Passenger Sales & Services </li></ul><ul><li>- Passenger Customer Services </li></ul><ul><li>- Cargo Sales Service </li></ul><ul><li>- Catering </li></ul><ul><li>- Human Resources </li></ul><ul><li>- Finance </li></ul><ul><li>- Legal Affairs </li></ul><ul><li>- Information Technology </li></ul><ul><li>- Corporate Services </li></ul>
  41. 41. Recommended Action Plan Cont’d <ul><li>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. </li></ul>
  42. 42. ECM GM Corporate Safety ICSC Members 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
  43. 43. 23 November 2004
  44. 44. Recommended Action Plan Cont’d <ul><li>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). </li></ul>
  45. 45. Safety & Security Division Team VP Safety & Security AGM Ground Safety Chief Safety & Security Snr. Mgr. Regional safety MGR. Environmental MGR. Facilities Safety MGR. Technical Safety AGM Flight Safety GM Corporate Safety GM Aviation Security GM. Facility Security GM Corporate Safety/ICSC Member Mgr security investigation and support svcs (act) MGR. Support Facilities MGR. in kingdom Security coordination AGM Support facility in king dom station AGM Aviation Security Snr. Mgr. Aviation Security Systems MGR. Aviation Security MGR. Aviation & Stations Security Coordination “A ” MGR. Aviation Security Investigation
  46. 46. Recommended Action Plan Cont’d <ul><li>Each concerned VP shall be responsible to determine the scope and time span of his area of responsibility Preparation for the IOSA audit. </li></ul><ul><li>Projected divisional action plan shall be submitted through the divisional team leader to the Chairman of the IOSA steering committee. </li></ul>
  47. 47. Divisional IOSA Implementation Support Legal Affairs Support Finance 15/04/2005 Human Resources 15/03/2005 Catering 01/04/2005 Cargo Sales Service 28/04/2005 Passenger Customer Services 28/02/2005 Passenger Sales & Services 28/03/2005 In flight Services 28/03/2005 Operations Control Center 28/02/2005 Materials Management 15/03/2005 Technical Service 31/3/2005 Royal Flights Operations 14/03/2005 Flight Operations 28/ 02/ 2005 Safety & Security Target Date Division
  48. 48. ICSC Action Plan Phases Preparation Title 23 NOV2004 30 APR 2005 One Target Date Phase No.
  49. 49. Recommended Action Plan Cont’d <ul><li>6. The IOSA chairman shall Conduct initial meeting to: </li></ul><ul><ul><ul><li>Introduce the IOSA program. </li></ul></ul></ul><ul><ul><ul><li>Distribute and introduce the IOSA manual. </li></ul></ul></ul><ul><ul><ul><li>Explain the required implementation process. </li></ul></ul></ul><ul><ul><ul><li>Propos the projected corporate IOSA implementation action plan. </li></ul></ul></ul>
  50. 50. Recommended Action Plan Cont’d <ul><li>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. </li></ul><ul><ul><ul><ul><li>If the audit agreement is signed prior to 31 DEC 2004 (the $15,000 IATA registration fees will be waived). </li></ul></ul></ul></ul><ul><ul><ul><ul><li>If Audit agreement signed prior to DEC 2004 the airlines has until Jun 2005 to conclude the audit. </li></ul></ul></ul></ul><ul><li>Report the progress to the ECC. </li></ul>
  51. 51. ICSC ITEMS Yes ICSC Members Other Departments Preparation Process Experience 4.4 Yes ICSC Members Division Actions 4.3 Yes ICSC RS WG Ramp Safety Working Progress (RSWP) 4.2 Yes ICSC IIS WG Internal Information Shearing Working Group Progress (IISWG). 4.1 Yes ICSC Members SH&E Year 2000audit Report 3.3 Yes ICSC Members Determining The Need For The ICSC Members IOSA Training Course 1.5 Yes ICSC Members Schedule The Pre-audit Visit 1.4 Yes ICSC Chairman Sign The Audit Agreement 1.3 Yes ICSC Members Determining The Audit Organization 1.2 Conformity Responsibility Summary ICSC ITEMS No.
  52. 52. Airline IATA AO IOSA Audit Agreement Audit Agreement
  53. 53. IOSA Audit Process Section 7
  54. 54. IOSA Audit Process <ul><li>The fundamental IOSA Principle is: </li></ul><ul><li>1. Document clearly all processes that operator uses to comply with every required IOSA Standard (and Recommended Practice). </li></ul><ul><li>2. Implement all documented processes fully. </li></ul><ul><li>3. Accomplish each process exactly as documented consistently. </li></ul><ul><li>Remember the principle as: </li></ul><ul><ul><li>“ Say (document) what you do”. </li></ul></ul><ul><ul><li>“ Do what you say you do - every time”. </li></ul></ul>
  55. 55. <ul><li>This does not stop an operator from modifying processes. </li></ul><ul><li>BUT </li></ul><ul><li>1. Ensure process manual and physical process changes occur concurrently. </li></ul><ul><li>2. Ensure staff fully briefed/trained in revised process but do not commence use of modified process until amended documentation issued. </li></ul>IOSA Audit Process
  56. 56. <ul><li>Rectify every Finding ( shall item) found by the Gap Analysis. </li></ul><ul><li>Consider appropriate action for any Observations ( should item) found by the Gap Analysis. </li></ul><ul><li>Contact AO and schedule formal IOSA audit. </li></ul>IOSA Audit Process
  57. 57. <ul><li>ORG Shall's Items </li></ul><ul><li>Press up </li></ul>Shall Items Filling
  58. 58. <ul><li>Policy & Procedures (P&P). </li></ul><ul><li>Quality Manuals (QM). </li></ul><ul><li>Saudi Arabian Airlines Safety Manual (SAASM). </li></ul><ul><li>Corporate Emergency Response Manual (CERM). </li></ul><ul><li>Aviation Security Manual (ASM). </li></ul><ul><li>Station Emergency Local Plan (SELP). </li></ul>Station required Documents
  59. 59. SAASM
  60. 60. CSQM
  61. 61. ICSC Action Plan Phases Implementation Title 01 MAY 2005 Two Target Date Phase No.
  62. 62. Phase Two Implementation <ul><li>Pending for implementation of phase one items based in the following: </li></ul><ul><li>- Self assessment conducted, </li></ul><ul><li>- Fault correction. </li></ul><ul><li>- All ISM findings are closed. </li></ul><ul><li>- Schedule Formal IOSA Audit. </li></ul><ul><li> On-site audit Scheduled to by conducted by SH&E </li></ul><ul><li>on May 2005 </li></ul>
  63. 63. IOSA Program: Prerequisites for IOSA auditors <ul><li>IATA Operational Safety Audits (IOSA) are conducted by accredited Audit Organizations (AO). </li></ul>AS OF MAY 2004 IATA has appointed six Audit Organizations
  64. 64. On-Site Audit <ul><li>Typically conducted with up to six (6) certified IOSA Auditors. </li></ul><ul><li>Additional trainees and/or IATA observer may attend. </li></ul><ul><li>Generally takes five (5) working days. </li></ul><ul><li>Opening Meeting, daily Management Briefings, preliminary IOSA Audit Report at Closing Meeting. </li></ul>
  65. 65. AO Audit Process <ul><li>AO Audit Team preparation & logistics planning </li></ul><ul><li>Conduct Audit: </li></ul><ul><ul><li>Formal Opening Meeting. </li></ul></ul><ul><ul><li>Follow checklists, gather evidence. </li></ul></ul><ul><ul><li>Accomplish Operational Assessments. </li></ul></ul><ul><ul><li>Raise findings and/or observations, as appropriate and advise auditee. </li></ul></ul><ul><ul><li>Formal Closing Meeting. </li></ul></ul>
  66. 66. AO Audit Process <ul><li>Lead Auditor documents and provides to auditee, all Findings and Observations presented at Closing Meeting (in draft only). </li></ul><ul><li>IOSA Interim Audit report (IIAR) provided to auditee within 15 business days. </li></ul><ul><li>IIAR includes Corrective Action Record (CAR) documenting all Findings and Observations from the audit. </li></ul>
  67. 67. AO Audit Process <ul><li>AO and Auditee agree on an acceptable Corrective Action Plan (CAP) within 30 days of Closing Meeting. </li></ul><ul><li>AO follows up to ensure all corrective actions implemented in accordance with CAP. </li></ul><ul><li>AO closes each Finding once acceptable corrective action implemented by Auditee and verified by AO. </li></ul><ul><li>AO closes audit once ALL Findings are closed. </li></ul><ul><li>AO creates IOSA Audit Report (IAR). </li></ul>
  68. 68. 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
  69. 69. 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)
  70. 70. Audit Findings Follow-Up <ul><li>Airline establishes Corrective Action Plan for Audit Findings. </li></ul><ul><li>Audit Organization verifies implementation. </li></ul>
  71. 71. Findings Section 9
  72. 72. IOSA Global Acceptance <ul><li>Gaining great momentum: </li></ul><ul><ul><li>46 audits completed. </li></ul></ul><ul><ul><li>Additional 30 signed audit contracts in hand. </li></ul></ul><ul><ul><li>Target of 100 new audits in 2005. </li></ul></ul>
  73. 73. Which airlines are on the IOSA Registry already? <ul><li>-Adria Airways -Lufthansa Cityline </li></ul><ul><li>-Air India -Maersk Air </li></ul><ul><li>-All Nippon Airways -Privat Air GmbH </li></ul><ul><li>-Austrian Airlines -Qatar Airways </li></ul><ul><li>-Blue 1 -SAS Airlines </li></ul><ul><li>-Chautauqua Airways -Shanghai Airlines </li></ul><ul><li>-Croatia Airlines -Singapore Airlines </li></ul><ul><li>-EgyptAir -US Airways </li></ul><ul><li>-Korean Air Lines -Xiamen Airlines </li></ul><ul><li>-Lufthansa </li></ul>
  74. 74. QA Statistics from review of Audit Reports 750 210 980 27 Total 194 100 410 11 Jun 2004 16 10 76 3 Mar 2004 221 39 180 5 Dec. 2003 319 61 314 8 Apr. 2003 Not Applicable Observations Findings Number of Reports Version of SIM
  75. 75. QA Statistics The Number Of Findings In Each Section As a % Of 27 Reports Finding
  76. 76. QA Statistics The Number Of Observation In Each Section As a % Of 27 Reports Observing
  77. 77. IAR and IOSA Registration Section 8
  78. 78. IAR <ul><li>The IAR is the official record of the IOSA audit. </li></ul><ul><li>The IAR is completed by the AO within 15 business days after Audit Closure and submitted to IATA. </li></ul><ul><li>IATA is custodian of all IAR and the AO retains a copy for two years. </li></ul><ul><li>The IAR is the sole and exclusive property of the auditee. </li></ul>
  79. 79. IOSA Registry <ul><li>Once IAR received, IATA formally adds the auditee to the IOSA Registry. </li></ul><ul><li>The auditee is retained on the registry for two years by which time a new IOSA audit will be accomplished. </li></ul>
  80. 80. IOSA Registration Process <ul><li>Registration </li></ul>IATA IOSA Register IAR Audit Organization IOSA Audit Report Audited Airline
  81. 81. Audit Sharing <ul><li>A primary purpose of IOSA auditing is to allow audit sharing to eliminate redundancy of audits. </li></ul><ul><li>An interested party makes a written request with specific reasons to IATA for access to the IAR of the auditee. </li></ul><ul><li>IATA provides the IAR only after the auditee has authorised access. </li></ul>
  82. 82. Auditee 1) Request for Access 4) Access Provided 2) Notification of Request 3) IF Access Authorized Access to the IOSA Audit Report Interested Party Airline IATA IOSA Database
  83. 83. ICSC Action Plan Phases Maintaining Title Pending Three Target Date Phase No.
  84. 84. Phase Three Maintaining <ul><li>Maintaining / Monitoring the Audit processes and the readiness for Re- Audit </li></ul><ul><li>by: </li></ul><ul><li>- Internal Audit Department every </li></ul><ul><li>12 months. </li></ul><ul><li>- By Outside Audit Organization every </li></ul><ul><li>24 months. </li></ul>
  85. 85. Conclusion <ul><li>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. </li></ul>
  86. 86. Thank You ?