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Performing Internal Audits. SMS CONFIRMATION OF CONFORMITY. What SMS Standard?. For Flight Ops- ICAO/FAA framework. For MRO’s, manufacturers-OHSAS/ISO IS-BAO is not an SMS standard, it is a flight department management standard that requires an SMS. Do we have to have third-party audits?.
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Performing Internal Audits SMS CONFIRMATION OF CONFORMITY
What SMS Standard? • For Flight Ops- ICAO/FAA framework. • For MRO’s, manufacturers-OHSAS/ISO • IS-BAO is not an SMS standard, it is a flight department management standard that requires an SMS.
Do we have to have third-party audits? • NO. Unless you are pursuing the IS-BAO, ACSF, ISO, OHSAS standard you will not be required to have third party audits. • You will eventually want to obtain a Confirmation of Conformity declaration which is performed by a party not associated with the company. That declaration simply states you conform to the ICAO/FAA standard.
How Do We Perform Internal Audits and How Often? • Your SMS Coordinator will perform internal audits following the FAA’s SMS Assurance Guide. That 40 page audit should be performed at least once per year. • Smaller internal audits should be performed quarterly using the FAA’s Bottom Line Assessment checklist.
Finding Non-Conformities • What happens when we find something wrong? • The IEP will use “continuous monitoring” as well as other tools to keep a close eye on the operational aspects and conformity of SMS. • When an individual sees a problem, called a non-conformity, they generate a form called a “Corrective Action Request” or CAR.
The C.A.R. is sent to the SMS Coordinator who will act on it. Depending on the seriousness of the NC, the SMSC may take immediate action or wait until the next safety committee meets. • Most C.A.R.’s require a cost/benefit analysis to determine what can and should be done.
In-Between Audits? • Audits are detailed examinations of the system and require time. Once the SMS is implemented, establish a schedule to perform various types of audits. • The Full FAA SMS Assurance Guide should be performed at a minimum of once per annum. • The smaller FAA Bottom Line Assessment should be performed quarterly. • A monthly review of the program is useful following a set of guidelines you establish.
Who Can Audit? • You can select anyone within or external to your organization to perform internal audits. The individual should have a broad working knowledge of flight and maintenance operations, be detailed oriented and be able to be critical in their analysis of the dept. • They must be free to make recommendations without fear of reprisal or intimidation. The point of the internal audit is to “Continuously Improve” the operation.
Documentation? • There currently are no mandatory audits required for flight departments other than the usual compliance with regulatory agencies. • If you are pursuing IS-BAO registration, you will be audited at least once a year by them. • Use the checklist provided with your program to perform internal audits. • The Safety Committee will review the findings of the internal audit, make changes as needed. Retain the audit findings for future reference.
Internal Evaluation Program • The IEP is at the heart of the SMS and utilizes: • Continuous Monitoring-(Surveillance) • Internal Audits, inspections, evals • Collecting Data-(equip & operational events) • Analysis of data • Develop and implement corrective action • Follow-up and feedback
Safety Committee & Mgmt Review • The Safety Committee will meet monthly to review the program, analyze data, correct non-conformities, make recommendations to top management. • The management review process will meet as required to act on the safety committee’s recommendations and findings.
