IAT Course V6

IOSA Workshop

Session 3 - ISM and ISARPs

Topics covered

IOSA Documentation System

ISM Definitions and Terms

ORG repeated provisions

Overview of other IOSA disciplines

Module objectives

At the end of this module you will be able to:

1.Understand the IOSA Documentation

system

2.Get familiar with the IOSA Standards

Manual (ISM), its terms and general

provisions

IOSA Documentation

System

Documentation System IOSA Standards Manual (ISM): provides the operational standards,

recommended practices, associated guidance material and other

supporting information necessary for an operator to successfully

prepare for an Audit.

IOSA Program Manual (IPM) : provides the basis for program

standardization, which ensures that each audit is conducted in a

consistent manner.

IOSA Audit Handbook, (IAH) part 1, 2 and 3 and Airline: Provide

detailed guidance to the auditor for all of the operational activities.

IATA Reference Manual (IRM) : defines the abbreviations and

terms that are associated with the standards and recommended

practices.

Q5 Manual: Provides the auditor all of the operational information to

use the Audit software.

Documentation SystemConflicting Information

Manuals within the IOSA documentation system are not

revised concurrently, thus creating a possibility of

conflicting information in different manuals.

In case of conflicting information in different IOSA

manuals, the information contained in the manual with

the most recent revision date will be deemed valid.

IOSA Standard Manual

(ISM)

ISM Purpose

The IOSA Standards Manual (ISM) to provide the

Operational standards, recommended practices,

associated guidance material and other supporting

Information necessary for an Operator to successfully

prepare for an Audit.

ISM Structure Introduction

Section 1, Organization and Management System (ORG)

Section 2, Flight Operations (FLT)

Section 3, Operational Control and Flight Dispatch (DSP)

Section 4, Aircraft Engineering and Maintenance (MNT)

Section 5, Cabin Operations (CAB)

Section 6, Ground Handling Operations (GRH)

Section 7, Cargo Operations (CGO)

Section 8, Security Management (SEC)

Sources for IOSA Standards and

Recommended Practices (ISARPs)

The safety and security requirements published in the

ICAO Annexes are the primary source for specifications

contained the ISARPs.

Safety and security requirements in the ICAO Annexes

used as the basis for ISARPs are those that are

applicable either directly or indirectly to the air operator.

IOSA Program Manual

(IPM)

IPM Contents 0. Introduction

1. IOSA Program management

2. AO Accreditation

3. Auditor qualification

4. Auditor training

5. ETO accreditation

6. The Operator’s responsibilities for IOSA registration

7. IOSA registration

8. Audit Program

9. IOSA Audit Report (IAR)

10. Audit sharing

11. Dispute Resolution

IPM applicability This IOSA Program Manual (IPM) contains standards that govern

all aspects of the IOSA Program for the purpose of achieving a

standardized and consistent audit product.

Standards in this manual are applicable primarily to:

1. Accredited Audit Organizations (AOs), that will conduct

audits under IOSA;

2.Operators that will be audited under IOSA;

3. Endorsed Training Organizations (ETOs), that will provide

IOSA Auditor Training; and

4. International Air Transport Association (IATA), who are the

stewards of the IOSA Program.

IOSA Auditor Handbook

(IAH)

IAH Purpose

The IAH serves as the primary source for the procedures and

guidance material to the auditors to achieve the highest level of

standardization in terms of audit conduct and the application of

the IOSA Program Standards.

The IAH is under continuous review and change in order to

ensure it reflects the latest information in terms of operational

issues, audit techniques and Program changes.

Contents of the IAH Sections

The IAT course presentations try to mirror the flow of the

IOSA audit.

The contents of the most important parts of the IAH are

developed in the following sessions.

This session provides an overview of the IAH.

Q5 Auditee Manual (Auditee)

Guidance for auditee how to work

with Q5

(only Corrective Action Records are

available to Auditee)

Guidance for, and completion of:

- Root Causes;

- Planned Corrective Actions; and

- Final Corrective Actions.

ISM Definitions and

Terms

Standards: « SHALL » Must - Mandatory

Example: ORG 1.2.1 - The Operator shall have a corporate policy that commits the organisation to continual improvment of the management system

Recommended Practices:

« SHOULD » Optional – Recommended

Example: ORG 3.1.1 - The Operator should have a corporate policy that supports implementation of a non-punitive reporting system .....

(Note: the should is always in italics )

Mandatory Observations

The AO must perform the Mandatory Observations (MOs)

Use of the IOSA Observation checklists is recommended

IPM reports the MOs in:

Tables 8.1 : report description and applicability per each

discipline's section

Table 8.2: reports operational notes (General and

discipline specific

The Observation checklists are published in IOSA Website

and Extranet (word files)

Interim Corrective Action (ICA)

If an AO is considering the use ICA, IATA must be

contacted for review and approval.

Specific conditions, limits, precautions and procedures

apply.

CARs must be completed according to the specific

procedure.

Parallel Conformity Option –PCO

There have been occasions when the Industry could not

conform to certain technical and operational

specifications, due to unforeseen technical, logistical or

other factors

A PCO is provided for selected ISARPs to allow an

Operator to achieve conformity by optional means with

an expiry date.

Active Implementation – AI

Active Implementation permits an Operator to be in

conformity with a designated ISARP based on active

execution of an acceptable Implementation Action Plan

(IAP)

The acceptance of an IAP must be based in risk analysis

to avoid unacceptable operational risk

Notes and symbols - 1

Before the ISARP:

<PA> : ISARP applicable only to passenger flights

operations with a cabin crew in the passenger cabin

<AC> : ISARP applicable only to cargo flights operations.

: ORG ISARP is repeated almost verbatim in one or more of the other 7 sections of the ISM.

: ISARP is also contained in ORG Section and has been repeated almost verbatim

Notes and symbols - 2

Located after the ISARP:

[SMS] the provision specifies one or more of the elements

of a safety management system (SMS)

(GM) indicates existence of associated guidance material

Guidance Material (GM)

Information that supplements or clarifies the meaning or intent of an ISARP.

Provides additional detail to enable auditors to understand what is required.

Audit specifications are contained only in the ISARPs, never in the GM – a nonconformity cannot be recorded based on information in the GM.

POLICY

PROGRAM

PROCESS

PROCEDURE

“A specified method of

carrying out a process”How to Seal

Aircraft Doors

“A planned course of action

that is implemented in a

controlled manner”

Overnight Securing of

Aircraft

“An organised set of processes

directed toward a common

purpose, goal, or objective”

Security

Manual

“The stated intentions and

direction of a company”

“ABC Airlines follows the highest

national and international

security standards”

IOSA Elements – Example of a Security Manual

ORG

Repeated Provisions

ORG Provisions repeated in other Disciplines

26 Key ORG ISARPs (and additional SMS provisions) are

repeated in the other 7 disciplines.

These ISARPs are essentially the same specification,

repeated across the other IOSA disciplines.

Provide fundamental assessment of overall organization and

management structure for each of the 26 specifications.

Identified by a triangle pointing right ►for the ORG provisions,

and by a triangle pointing left ◄ for the other disciplines

FLT ◄

SEC ◄MNT ◄

ORG "►"

DSP ◄

CAB ◄

GRH ◄

CGO ◄

Key Examples:

> Management continuity

> Quality Assurance Program

> Monitoring of external service

providers

Repeated ORG provisions

Functional Continuity vs. Silo System

FLT DSP MNT CAB GRH CGO SEC

A group of independent or fragmented units

Departments may function well

Intra-communication well established

But lacking continuity or corporate-wide, inter-departmental communication

Repeated ISARPs: “House of ORG”

SEC

CGO

GRH

CAB

MNT

DSP

FLT

“Repeated ISARPs“

ORG 1.4.1

“Communication System”

(corporate level)

FLT 1.4.1

“Communication System”

(departmental level)

GRH 1.3.1

„Communication System“

(departmental level)

Functional continuity ensures the entire organisation works as a system.

Isolated vs. Systemic Findings

isolated non

conformity in

GRH onlySEC

CGO

GRH

CAB

MNT

DSP

FLT

GRH 1.3.1

„Communication System“

(departmental level)

A single non conformity in one of the sections (eg. GRH) will not be

considered to have an effect on conformity at corporate(ORG) level

Isolated vs. Systemic Findings

GRH 1.3.1

„Communication System“

(departmental level)

CGO 1.3.1

„Communication System“

(departmental level) SEC

CGO

GRH

CAB

MNT

DSP

FLT

Results in a

finding in ORG

Multiple nonconformities in other disciplines will confirm deficiencies at

corporate (ORG) level

Overview of the other

IOSA Disciplines

General structure of the ISMBesides ORG, the ISARPs for the other operational

disciplines are organized into 7 sections in the ISM: FLT, DSP, MNT, CAB, GRH, CGO & SEC

ISARPs are supported by Guidance Material (GM) and Tables, which contain additional information .

General structure of ISM (Cont’d)

1. ORG – Organization & Management System – 75 ISARPs

2. FLT – Flight Operations – 295 ISARPs

3. DSP – Operational Control and Flight Dispatch- . 115 ISARPs

4. MNT – Aircraft Engineering & Maintenance. - 98 ISARPs

5. CAB – Cabin Operations – 123 ISARPs

6. GRH – Ground Handling Operations. - 98 ISARPs

7. CGO – Cargo Operations. 69 ISARPs

8. SEC – Operational Security . 66 ISARPs

IOSA Audit Scope

General structure of ISM (Cont’d)

All 7 disciplines follow this framework and layout:Chapter 1 - Management and Control

Chapter 2 - Training and Qualification (*)

Chapter 3 - Line Operations (*)

Chapter 4 - Additional provisions specific to discipline

Chapter 1. Management and Control

Chapter 1 contains many commonalities between the 7

sections:

The 26 « Repeated ISARPs » per discipline

copied verbatim from ORG 1 (Management &

Control) and ORG 2 (Documentation & Records)

Sub-sections follow the same order

Similar ISARPs generally have the same number.

Chapter 1. Management and Control (Cont’d)

There are specific differences between sections,

under the following headings:

Organizations and structures

Operational personnel responsibilities and qualifications

Provision of human resources

Communication and access of personnel to information

Operational policies

Ops Manual and specific manuals, structure and content

Chapter 2. Training & Qualification

Details of training programs for operational personnel in each

ISM section are specified under the following headings:

Training Organization & Management

Training Manual

Resources, facilities and training aids

Instructors/Examiners training and qualifications

Program continuous improvement

Training syllabi elements

Special Qualifications

Chapter 2. Training & Qualification

Training specifications follow ICAO SARPs and the main FAA

and EU OPS requirements.

All the following training programs are included:

Crew qualification (flight and cabin)

CRM, Human Factors

Training program for flight operations officers (FOO)

Dangerous Goods Training.

Advanced Qualification program (AQP) for flight crew

Chapter 3. Line Operations

Each section contains details of processes, procedures,

instructions and policies related to line operations activities.

Includes shared ISARPs e.g.: De-anti icing, ETOPS, cabin-

flight deck coordination, fuel program, Dangerous Goods

training.

All ICAO Annex 6 SARPs, primary FAA, EU OPS

requirements and recent /current industry best practices are

integrated in the ISARPs.

Chapter 3. Line Operations (Cont’d)

Topics addressed in the FLT Section :

Common Language

Personnel responsibilities, qualifications, hiring

Scheduling , flight & duty time limitations

Flight Preparation

Fuel, Weight/Mass and Balance, Flight Plans

Aircraft Preflight and Airworthiness

Ground Handling

Airspace Rules, In-flight Operations

Flight deck policy and procedures

Flight Deck, Passenger Cabin, Supernumerary Compartment Coordination

Non-Normal and Emergency Operations

Reporting Requirements

Chapter 3. Line Operations (Cont’d)

FLT 3.10.2 If the Operator is authorized to conduct certain portions of a

commercial flight under VFR, the Operator shall have a policy and procedures

that:

i) Specify the type of flight plan to be filed with the appropriate ATS unit;

ii) Specify how an IFR Clearance is to be obtained (departures) and/or cancelled

(arrivals);

iii) Require current meteorological reports or a combination of current reports and

forecasts to indicate that meteorological conditions along the portion of the flight to

be flown under the visual flight rules will, at the appropriate time, be such as to

render compliance with these rules possible. (GM)

Chapter 3. Line Operations (Cont’d)

FLT 3.10.3 The Operator shall have guidance that addresses the use of standard

radio phraseology when communicating with ATC. Such guidance shall include, as a

minimum,instructions for:

i) Clearance acceptance and read-back;

ii) Use of call sign.

FLT 3.11.17 The Operator shall have a policy and procedures that define a sterile

flight deck during critical phases of flight, to include:

i) A protocol for intra-flight deck communication;

ii) If the Operator conducts passenger flights with cabin crew, a protocol for

communication between the flight crew and cabin crew;

iii) The mandatory use of headsets and boom microphones for communication with

ATC;

iv) A restriction of flight crew activities to essential operational matters.

Chapter 3. Line Operations (Cont’d)

FLT 3.11.18 The Operator shall have a task sharing policy and

guidance that defines and addresses the division of duties

related to flight crew member operational tasks, to include, as a

minimum:

i) The use of checklists;

ii) PNF/PF duties for all phases of flight;

iii) PNF/PF actions during manual and automatic flight. (GM)

Chapter 3. Line Operations (Cont’d)

FLT 3.11.20 The Operator shall have a policy and procedures that require flight crew

members to crosscheck and confirm critical actions, to include:

i) Aircraft configuration changes (landing gear, wing flaps, speedbrakes);

ii) Altimeter bug and airspeed bug settings, as applicable;

iii) Altimeter subscale settings;

iv) Altitude (window) selections;

v) Transfer of control of the aircraft;

vi) Changes to the Automated Flight System (AFS)/Flight Management System (FMS)

and radio navigation aids during the departure and or approach phases of flight;

vii) Weight/mass and balance calculations and associated AFS/FMS entries;

viii) Performance calculations or inputs, including AFS/FMS entries.

Chapter 3. Line Operations (Cont’d)

Topics addressed in the DSP Section :

Coordination with flight crew

Personnel responsibilities, qualifications, selection, hiring

Flight Preparation

Flight Planning

Fuel, Weight/Mass and Balance, Flight Plans, Load Control

Flight Monitoring

Non-Normal and Emergency Operations

Reporting Requirements

Chapter 3. Line Operations (Cont’d)

Topics addressed in the CAB Section :

• Common Language

• Flight deck Coordination

• Qualifications & requirements

• Flight Preparation and Aircraft Preflight

• In-flight Operations

• Emergency Operations

• Reporting Requirements

Chapter 3. Line Operations (Cont’d)

Topics addressed in Chapter 2 of the MNT Section:

Maintenance Planning

Parts Installation

Deferred Maintenance

Continuing Airworthiness

Repairs and Modifications

Defect Recording and Control

ETOPS

Aircraft

Electronic Navigation Data Management

Reduced Vertical Separation Minima (RVSM)

Reporting to the Authority

Chapter 3. Line Operations (Cont’d)

Topics addressed in the GRH and CGO Sections:

Personnel Responsibilities and Qualifications

Icing Conditions

Fuel, Weight/Mass and Balance, Load Control

Passenger and Baggage Handling

Airside Operations. Aircraft Loading, Ground Support Equipment

General & Special Cargo, Dangerous Goods, Live Animals and

Perishables

Unit Load Device

Combi Aircraft Operations

Emergency Operations

Reporting Requirements

Chapter 3. Line Operations (Cont’d)

Topics addressed in the SEC Section :

Security Operations

Access Control

Aircraft Security

Carriage of Weapons

Passengers, Supernumeraries, Cargo Attendants and Cabin Baggage

Special Category Passengers

Hold Baggage

Cargo and Mail

In-flight, Catering and Other Supplies

General Protection

Chapter 4. Additional specifications

Detailed specifications which relate to a particular operational

activity, such as:

Engineering

Specific systems and equipment

Special activities (fueling, de-anti icing)

Special requirements (fuel & oil, oxygen, …)

Chapter 4. Additional specifications (Cont’d)

Example

FLT 4: Operations Engineering Specifications

• 4.1 - Aircraft Performance

• 4.2 - Navigation and Facilities

• 4.3 - Aircraft Systems and Equipment Specifications

• 4.4 - Cargo Compartment Systems and Equipment Requirements

• 4.5 - Flight Deck Security Equipment Requirements

Module summary

The IOSA documentation is structured and

controlled; it is built for a fair and

transparent audit

The ISM contains many provisions that

allow flexibility to the operators

A number of provisions are inter-linked, to

capture the overall functioning of the

operator

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Questions ?