International Business Aviation Council (IBAC)

IS-BAO Audit Procedures Manual / International Business Aviation Council (IBAC)

IS-BAO Audit Forms2015

Operator:
Address:
Date:
Evaluation Objective: / Stage One
Stage Two
Stage Three

International Business Aviation Council (IBAC)

Suite 16.33, 999 University Street

Montreal, Quebec, H3C 5J9, Canada

Tel 1-514-954-6198 Fax: 1-514-954-6161

IS-BAO Audit Report Form / International Business Aviation Council (IBAC)

8.1 Audit Report Form

IBAC Decision / Date: / Stage: / Validity Period:
Audit Date / No. of Days on Site
Operator Name & Address
Telephone
e-mail
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 / Email and Telephone
Audit Results and IS-BAO Registration Recommendation
Full Conformity / Minor Non-Conformity / Major Non-Conformity
Stage 1 / SMS is documented, approved, resourced, and being implemented.
Stage 2 / SMS is functioning and results are being measured; Safety risks are effectively managed;
Safety management activities are appropriately targeted.
Stage 3 / 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.Applicable Performance Indicators are observed as being effective. (See APM 5.8.3)
1-Year Registration (Provisional)
2-Year Registration
3-Year Registration (Stage 3 only)
IS-BAO Auditor Signature / Date / Operator Representative Signature / Date
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)
Recommendations to improve or clarify the IS-BAO Standards and Audit Procedures Manual
Please input via this online form: IS-BAO Improvement Form
Additional Information

January 1, 2015

IS-BAO Audit Protocols / International Business Aviation Council (IBAC)
ref. / Requirement / Conform / N/A / References / Comments/ Evidence of Non-Conformities
Y / N
3 Safety Management System
3.2 / Safety Policy and Objectives
3.2.1a / 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 and dated 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?
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?
E2. Is everyone committed to enhancing safety performance?
E3. Is there visible evidence of management demonstrating by example?
3.2.1b / Safety Accountabilities
SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks)
Has the organization:
S1. Identified the AE who has ultimate responsibility and accountability for the implementation and maintenance of the SMS?
S2. Established defined lines of safety accountability throughout the organization, including a direct accountability for safety on the part of senior management?
S3. Identified the accountabilities of all members of the organization with respect to the safety performance of the SMS?
S4.Documented safety responsibilities, accountabilities and authorities and communicated these 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. Do the AE’s terms of reference indicate his/her ultimate responsibility for the SMS?
A2. Are there clear lines of safety accountabilities throughout the organisation?
EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed)
E1. Are the resources available to manage risks effectively?
E2. Does everyone know their role in the SMS and participate accordingly?
3.2.1c / Appointment of Key Safety Personnel
SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks)
S1.Does the SMS documentationinclude an appointment of a safety manager?
APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks)
A1. Is the safety manager properly trained?
EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed)
E1. Are the results of safety management activities formally recorded and analysed?
3.2.1d / 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 tested, updated and addresses all possible or likely emergency/crisis scenarios including coordination with other organisations as appropriate?
EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed)
E1. Is there a procedure appropriate to the size, nature and complexity of the organization with periodic review of the ERP to ensure its continuing relevance and effectiveness?
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);
S2. Does the organization’s SMS documentation describe:
i. Safety policy and objectives;
ii. SMS requirements?
iii. SMS processes and procedures;
iv. Accountabilities, responsibilities and authorities for processes and procedures; and
v. SMS outputs?
S3. Does the organization have an SMS manual? (may be part of the operations manual)
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?
3.2.2 / 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?
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. Is there a procedure to review hazards/risks from external reports?
EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed)
E1. Are hazards, errors, near misses, and audit findings being identified and reported throughout the organization?
E2. Are employees confident they can report apparent safety deficiencies without retribution?
E3. Are both internal and external information used to update the safety risk profile?
E4. Is there a procedure for periodic review of existing risk analysis records?
3.2.2b / 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. Do training programs highlight safety critical issues identified in the safety risk profile?
A3. Does the Ops Manual contain mitigation described in the safety risk profile?
EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed)
E1. Does the organisation use its risk management results to develop best practices?
E2. Is the information indicating the need to change respected, valued, validated, and used?
E3. Is there consistent feedback to encourage the future participation of managers and employees?
E4. Is the Operations Manual consistently employed by operational managers and staff?
E5. Does mitigation take into account Human Factors and Organizational Factors?
3.2.3 / 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. Has the organization established safety performance indicators (SPI’s) and targets?
Note: For examples of SPIs & Targets, see Measuring Safety Performance and Stage 3 SPIs
APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks)
A1. Has the organisation developed a series of safety performance indicators that are appropriate to the type of operation?
A2. Are safety indicators and targets specific, measurable, agreed to, relevant and time-based?
A3. Is the information from occurrences analyzed and where appropriate, used to upgrade policies and procedures?
A4. Are priorities regularly reviewed, reassessed and, if required, reassigned to address safety issues?
EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed)
E1. Are safety targets being achieved?
E2. Is there a means to measure and monitor trends and take appropriate action when necessary?
E3. Have the controls for the safety risks been evaluated?
E4. Are the results from internal audits used to measure safety performance?
3.2.3b / Management of Change
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 and to identify and manage the safety risks that may arise from those changes?
APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks)
A1. Are stakeholders involved in the change management process?
A2. Are there procedures for managing the revisions of documents, manuals, and checklists?
A3. 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. Do staff members always use up-to-date documents, manuals, checklists, and/or procedures?
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/assessment process and a follow-up procedure to address audit findings?
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?
3.2.4 / Safety Promotion
3.2.4.a / Training and Education
SOUND (Documented, Trained, Foundation in Place to Effectively Manage Risks)
S1. Has the organization developed and maintained safety training programmes that ensure that personnel are competent to perform their SMS duties?
S2. Is the scope of the safety training appropriate to each individual’s involvement in the SMS?
APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks)
A1. Does training include human and organisational factors with the intent of reducing human error?
A2. Does technical training (i.e. pilot, maintenance, dispatch/scheduling, etc.) reinforce SMS principles (i.e. human factors, organizational factors, risk assessments, risk management, etc.)?
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?
3.2.4b / 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. Ensures personnel are aware of the SMS to a degree commensurate with their positions?
S2. Conveys safety-critical information?
S3. Explains why particular safety actions are taken?
S4. Explains why safety procedures are introduced or changed?
APPROPRIATE (Properly Targeted, Well-Designed to Effectively Manage Risks)
A1. Are significant events and investigation outcomes from internal and external sources communicated to all personnel?
EFFECTIVE (Measured, Desired Results Being Achieved, Risks are Effectively Managed)
E1. Is there evidence that all personnel are aware of the SMS, safety critical information, and their role in respect of aviation safety?
3.3 / Compliance Monitoring
3.3.1 / Has the operator established and maintained a system for identifying applicable regulations, standards, approvals, exemptions and demonstrated compliance with them?
(See IG for methods to ensure compliance)
3.4 / Flight Data Analysis
3.4.1 / Has the organization established a flight data analysis programme (Recommended Practice)
Comments, Observations, and Recommendations
Analysis of Non-Conformities/Findings
Element / 4 Organization and Personnel Requirements
4.1 Organization and Personnel
4.1.1 / Does the operator have an organization structure that clearly defines qualifications, duties, authorities & accountabilities of the:

Manager of the operation;

Person responsible for managing the flying operations; and

A person responsible for aircraft maintenance?

4.1.2 / 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
4.2.1 / 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?
4.2.2 / Does the operator have procedure for designation of a pilot-in-command and other aircraft crew positions?
4.2.3 / Have the duties and responsibilities of the PIC been specified and do they meet section 4.2.3 of the IS-BAO?
4.2.4 / Have the duties and responsibilities of the SIC, if required, been specified?
(See IS-BA for Details)
4.2.5 / Have the duties and responsibilities of the cabin crew and other crew members assigned on-board duties specified?
4.3 Crew Member Qualifications
4.3.1 / 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 1.
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?
4.3.2.A / 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)
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
4.4.1 / 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
4.5.1 / Are duties, authorities and responsibilities for other personnel involved in the operation described within the operations manual?
4.6 Use of Psychoactive Substances
4.6.1 / 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)
4.6.2 / Do policies also address any problematic use of substances? (Recommended Practice)
4.7 Mobile Phones & PEDs
4.7.1 / 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 Fatigue Management
4.8.1 / Is there a program to assess and manage the inherent risks associated fatigue for ALL personnel and does it include all the elements as described in Section 6.13?
(Recommended Practice)
4.9 Supplemental Lift/Additional Air Transport Capacity
4.9.1 / 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
Analysis of Non-Conformities/Findings
Element / 5 Training and Proficiency
5.1 Training Programs
5.1.1 / Does the operator have a training programme that ensures that personnel are trained and competent to perform their assigned duties?
5.1.2 / Is the training program included or referenced, in the company operations manual?
5.1.3 / 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:

Aircraft Surface Contamination Training?

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:
(i) Does the initial and annual training include:

Aircraft specific cabin systems?

Safety Procedures Training (see Section 5.3.2)

(ii) Initial and every two years thereafter:

First aid training;

Aircraft surface contamination training, and

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?
5.1.4 / Does the operator prohibit simulated emergency or abnormal situations in flight with passengers on board?
5.1.5 / Does the operator use flight simulators for training? (Recommended Practice)
5.1.6 / 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 both initial and recurrent training appropriate to the aircraft group, type or system and the related procedures for which a maintenance release is to be signed?
d.Does the training programme include other subjects [See Section 5.1.6d items (i) – (ix)]?
(Recommended Practice)
e.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
5.2.1 / Have all aircraft crew members received appropriate CRM training and do they understand and apply these principles?
5.2.2 / Have ALL personnel received CRM or Human Factors training and do recurrent training programs include instruction in these subjects? (Recommended Practice)
5.2.3 / Have all personnel received recurrent CRM and/or HF training at least every 24 months?
(Recommended Practice)
5.3 Emergency and Safety Procedures Training
5.3.1 /

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?

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?

Are emergency procedures recurrent training accomplished at least every 24 months?

5.3.2 / Is there a programme to provide emergency procedures training to passengers that fly frequently? (Recommended Practice)
5.3.3 / 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
5.4.1 / Have flight crew members received high altitude training for aircraft operated above 10,000 feet?
5.4.2 / Is pertinent aircraft type specific high altitude training conducted? (Recommended Practice)
5.5 Proficiency Certification
5.5.1 /

Is there a process to ensure that all aircraft crew members meet national proficiency requirements?

Is there a process to ensure that all crew member training courses meet the training objectives required by the national civil aviation authority?

5.5.2 / 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?
5.6 Training and Qualification Records
5.6.1 / 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?
5.6.2 / Are records retained for the required period?
5.6.3 / Does the operator maintain training records for ALL personnel in the organization?
Comments, Observations, and Recommendations
Analysis of Non-Conformities/Findings