1. IS-BAO 2018 Standard Differences
October 2018

2. Why are we here today?
The IS-BAO 2018 Standard’s structure is significantly different from previous editions.
This training will highlight these differences and orient the auditors to the new processes and procedures.
The 2018 Standard may now be used for registration audits and will become mandatory for use on audits after June 30th, 2019.

3. Chapter Numbers
In order to better align the IS-BAO and IS-BAH programme’s common core SMS, the 2018 Standard has had the chapters renumbered as follows:
1. Purpose of the Standard
2. Introduction
3. Safety management Systems
4. Emergency Response Plan
5. Security
6. Company Manuals
7. Organization and Personnel Requirements
8. Training and Proficiency
9. Occupational Safety and Health
10. Environmental Management
11. Transportation of Dangerous Goods
12. Fatigue Management
13. Flight Operations
14. Aircraft Equipment Requirements
15. Aircraft Maintenance Requirements

4. Conducting the SMS Evaluation – APM 5.6
Soundness, Appropriateness and Effectiveness have been changed to Stage 1, Stage 2 and Stage 3.
When conducting a Stage 1 evaluation, answer the Stage 1 (S1) Protocol questions which are designed to evaluate whether the required processes and procedures are established.
When conducting a Stage 2 evaluation, answer the Stage 1 (S1) and Stage 2 (S2) Protocol questions which are designed to focus on the evidence that these processes and procedures are effective.
When conducting a Stage 3 evaluation, answer the Stage 1 (S1), Stage 2 (S2) and Stage 3 (S3) Protocol questions which are designed to address maturity indicators associated with the Standard.

5. Stage 1, Stage 2 & Stage 3 Protocols
3.1.5
SMS Documentation
Stage 1 Protocols (applicable to Stage 1, 2 and 3 audits)
S1a.
There is a SMS manual that includes all items required in IS-BA e.1. ( ) Note: The SMS manual may be in the form of stand-alone documents or may be integrated with other organizational documents maintained by the organization. DR
S1b.
There is a process to regularly review the SMS manual and update it where appropriate. ( )
S1c.
There is a process for the development and maintenance of SMS operational records as part of the SMS documentation. ( )
Stage 2 Protocols (applicable to Stage 2 and 3 audits)
S2a.
There is evidence that pertinent parts of the SMS manual are available to personnel according to their role. ( and 6.2) EI
S2b.
There is documented evidence that the SMS manual is being reviewed and updated as appropriate. ( )
S2c.
Records pertaining to all SMS outputs are available. ( )
S2d.
The SMS procedures reflect relevant coordination or integration with external customer or subcontractor organizations where applicable. ( c)
Stage 3 Protocols (applicable to Stage 3 audits only)
S3a.
The SMS documentation demonstrates how the organization identifies opportunities for continuous improvement.

6. SMS Stage 3 Evaluation – APM 5.6.3
The auditor shall use the Stage 3 (S3) Protocol Questions, along with interviews and observations, to determine the organization’s status in terms of safety cultural attributes.
Nonconformities related to these Protocol questions will not result in a finding but will be used by the auditor and IBAC as information to determine whether the organization’s safety cultural attributes are in line with those expected of a Stage 3 organization.

7. Safety Cultural Aspects of a Stage 3 Organization – APM 5.6.3
A Stage 3 organization is expected to have the following characteristics:
Widespread employee commitment to and involvement with improving safety performance, including visible leadership by top management;
A sustained desire for improved safety performance through focusing on established organizational objectives by measuring safety indicators with targets over a period of time;
A consistent effort seeks the causes of deficiencies, rather than allocation of blame;
Effective communication of safety information within and outside the organization, including safety performance trends;
A deeply held commitment to the benefits of continuous evaluation and improvement;

8. Safety Cultural Aspects of a Stage 3 Organization – APM 5.6.3
Stage 3 organization characteristics (continued)
Managerial awareness of the issues that adversely impact the organization’s safety culture;
Primary indicators that include safety, that do not focus only on cost or financial targets, and that are actively measured;
Adequate allocation of financial and other resources for safety management;
Initiatives to learn from the safety performance of external organizations; and
Safety performance measures that include those of effectiveness of safety activities and processes, rather than just the results of these activities.

9. Safety Cultural Aspects of a Stage 3 Organization – APM 5.6.3
Stage 3 organization characteristics (continued)
The ongoing improvement process should include regular evaluation of the safety management activities in relation to established SMS objectives as well as the evaluation of risk controls. It also shall include a formal process to identify the causes and implications of substandard performance and eliminate or mitigate such causes.

10. SMS Stage 3 Evaluation – APM 5.6.3
It is acceptable to have some Stage 3 Protocol questions assessed as “No.”
The operator can still attain Stage 3 registration without 100% conformity to the Stage 3 Protocol questions.
It is a judgement based upon the holistic cultural assessment of the organization by the auditor and IBAC.
The auditor is encouraged to provide realistic assessment of Stage 3 Protocol questions rather than pushing for 100% “Yes” answers. This is to assist the operator by identifying areas of opportunity for improvement to the SMS.

11. Stage 3 Audits and the Protocols
Comments on the Organization’s Safety Cultural Attributes – For Stage 3 Audits The auditor will use the box at the end of the Chapter 3 Protocols page in the spreadsheet to enter a summary of the holistic cultural assessment of the organization’s Safety Cultural Attributes that led to the auditor’s recommendation for or against the Stage 3 registration. Be sure to consider and comment upon the Stage 3 Cultural Attributes listed in APM

12. Comments on the Organization’s Safety Cultural Attributes – For Stage 3 Audits
3.6.1
Has the organization established and maintained a documented flight data analysis (FDA) programme as part of its SMS and does it include all the elements listed in IS-BAO 3.6.1? (3.6.1) (Recommended Practice)
DR EI
Comments on the Organization's Safety Cultural Attributes - For Stage 3 Audits
Comments, Observations, and Recommendations

13. Evidence of Implementation and Document Reference
The auditor will provide evidence of implementation and/or a document reference based upon the information in the Required Element box in column E of the Chapter 3 Protocols.
DR indicates that a document reference is required to be entered in column G.
EI indicates that evidence of implementation is required to be entered in column H.

14. Evidence of Implementation – APM 4.7.3
The Evidence of Implementation should not be completed by the Operator but by the auditor.
These comments must include comments on the methods used by the auditor to determine conformance, in terms of implementation, of the required policy/process/procedure during the onsite audit.
The auditor may complement such comments with a brief description of the policy/process/procedure implemented by the organization, or other comments and/or recommendations deemed appropriate by the auditor.

15. Document Reference and Evidence of Implementation
3.1.2
Safety Accountability and Responsibilities
Stage 1 Protocols (applicable to Stage 1, 2 and 3 audits)
S1a.
The organization has identified an Accountable Executive. ( a) DR
S1b.
Accountability for safety performance of the organization is documented in the Accountable Executive’s job description. ( a)
S1c.
The structure of the organization is documented so that lines of safety accountability are understood. ( b)
S1d.
The responsibilities of each position with respect to the safety performance of the organization are explicit. ( c)
S1e.
Safety responsibilities, accountabilities and authorities are documented and communicated throughout the organization. ( d)
S1f.
The levels of management with authority to make decisions regarding safety risk tolerability are defined. ( e) Note: Provide an indication of the person(s) who hold the authority to accept or reject risk based on the organization’s policy regarding safety risk tolerability.
DR EI

16. Review of Previous Audit Report
It is highly recommended that the auditor acquire a copy of the organization’s previous audit from the operator and review it prior to the audit. The auditor is expected to comment on the remediation of findings from the previous audit in the box provided on the Audit Summary page of the spreadsheet.

17. Review of Previous Audit Report
Review of Previous Audit Report
Previous Audit Report Reviewed Prior to / During the Audit:
Comments on Remediation of Findings from Previous Audit:

18. Significant Events Since Last Audit
The Auditor is expected to ask about and comment on any significant internal or external events that impacted the organization in the last 2 years. This is a good topic to be addressed in the opening meeting. Could include, among other things, events such as significant incidents or accidents, mergers, buy outs, management team changes, change of fleet or type of operations, change of home base of operations, etc.

19. Significant Events Since Last Audit
Please provide information on any significant internal or external events that impacted the organization in the last 2 years

20. Use of the OTAR Appendix
Auditors conducting audits on organizations that have aircraft registered with the British Overseas Territories that are voluntarily utilizing IS-BAO Registration as an alternate means of compliance with their regulatory requirements have to meet the requirements imposed on this type of audit by the OTARs.
All auditors on the audit team must hold the SRQ Credential.
Operator and auditor must also complete the OTAR Appendix in the protocols found after Chapter 15 in the spreadsheet in the 2017 Protocols version 3.0 and later or the 2018 Protocols.

21. Use of the OTAR Appendix
The applicable OTAR Regulations may be viewed by hovering over the hyperlink in the right hand margin of the spreadsheet.

22. Configuring the Protocols
The auditor can configure the Protocols for the operations conducted by the operator including whether or not there are Overseas Territories registered aircraft included in the audit.
Configuring the Protocols on the Initial Questionnaire will enter N/A automatically for operators that do not have Overseas Territories registered aircraft.
This also works for automatically entering N/A for operators that don’t operate helicopters and other commonly N/A items.

23. Configuring the Protocols

24. Configuring the Protocols
This is how it looks when you configure the Protocols after indicating that the organization being audited does not have any aircraft registered with the U.K. Overseas Territories.

25. IS-BAO Registration Fundamentals of IS-BAO Workshop Requirements
Starting July 1, 2019
A representative from the organization is required to attend Fundamentals of IS-BAO workshop within the 48 months preceding the registration audit.
Prior to July 1, 2019, it is strongly encouraged.

26. Contact Us Ben Walsh, IS-BAO Program Director
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Jason Starke, Operations Manager
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Brenda Pizano, Administration
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Daniel Devraignes, Audit Manager
Stephane De Wolf, EU Operations Specialist
Yvonne Marinus, Auditor Accreditation Manager
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27. Questions