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Session 1
Enhanced IOSA*
History & Introduction

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Primary Goal

Improve Safety

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Background
Enhanced IOSA* as response to industrys feedback
Program change to focus on the implementation aspect of Standards and
ensure continuous conformity
Implementation in a transitioned approach until September 2015
Enhanced IOSA applicable to all renewal audits

The term Enhanced IOSA is no longer utilized by the Industry

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Enhanced IOSA

Priority
In June 2013, IATA Board of Governors mandated E-IOSA for all IOSA
Registered Airlines

IATA provides support for airlines in incorporating the IOSA assessment

process into internal QA programs

As of 1 September 2015, all IOSA Registered Airlines must have fully

incorporated Enhanced IOSA for their renewal audits

As of 1 September 2015, the Enhanced has been dropped and now it is

known simply again as IOSA.

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Four Pillars
Enhanced IOSA will facilitate the incorporation of four
pillars in airline operations:

Reliability of
Continuous Focus on
Airlines Quality Auditing
Conformity with Implementation of
Assurance Standardization
IOSA Standards IOSA Standards
Functions

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1. Continuous Conformity

The Operator will conduct internal audits against ISARPs under their
quality assurance program during the 24 month period between the two
renewal audits

Shortly before the recurrent audit (14 days), the operator will submit a
Conformance Report (CR) to the AO, as a record of internal assessments

The CR is a live document that is continually updated to reflect the

current status of conformity of the Operator

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2. Focus on Implementation

Through the CR, IOSA auditors will have additional information to confirm
implementation

Use of Auditor Actions will support the assessment of implementation

Mandatory observations will be linked with specific ISARPs

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3. Reliability of Quality Assurance

Operator will strengthen its quality assurance through continuous internal

assessments using the ISARPs

AO will validate the internal audit result as part of the assessment of the
operators QA program

Use of Auditor Actions will assist in checking implementation and increase

the reliability and standardization of self-assessments

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4. Auditing Standardization

Increased level of standardization of airline internal QA auditing through use of:

o Standardized online training for all airline internal auditors
o Standardized auditing techniques throughout all operators including use of
Auditor Actions

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CR Working Tools

IOSA Procedures & Guidance for Airlines Manual (now IOSA Audit
Handbook for Airlines, Ed. 3)

AO Procedures & Guidance Manual (now incorporated as Section 5 of IAH)

Workshops with regulators

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IATA Assistance and Support

Online information sessions for airline auditors

New IATAs training for airline auditors

Workshops in all IATA regions

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Benefits for Operators

Continuous conformity with ISARPs

Improved levels of implementation of IOSA, and consequently ICAO
requirements
Increased reliability of QA programs
Improved auditing skills

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Benefits for Regulators

Standardized self-assessments cover ICAO safety and security provisions

from ICAO Annexes 1, 2, 6, 8, 17, 18 and 19 and industry best practices
Increased continuity of conformity with ISARPs
Transparent and reliable auditing procedures and techniques
Increased focus on the assessment of implementation by Audit
Organizations

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Implementation Timelines
Develop and Final Program
Online Support Airlines
provide Airline Modifications
Information (Partnership for
Internal Audit
Sessions Quality)
Procedures

September 2015
2013 2014 Implementation

Publish ISM Conduct Enhanced Update

Edition 7 with IOSA Workshops for Online
upgraded SMS and Airlines and Information
QA Standards Regulators Sessions

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Questions?

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IOSA Process for Renewal Audits

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IOSA Process for Renewal Audits

Submission of
CR 14 days
before Audit

T-150 Registration
Days Renewal

Last
Renewal
Audit
Audit
Date

Internal Assessments Internal Assessments

in 24 months period in 24 months period

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Audit Organizations Responsibilities

AO reviews CR prior to Audit

During the Audit, IOSA Auditors will assess the CR contents using selection
of ISARPs

IOSA Auditors will try to understand, how the operator assessed the
ISARPs

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Audit Organizations Responsibilities

Audit Methodology for IOSA Audits by AOs will not change

Mandatory observations will be completed as usual

AO makes final assessment of ISARPs under IOSA Audit

If AO assesses ISARP as nonconformity, the conventional corrective action process

follows (close findings not later than 1 month prior to expiry date)

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Airlines Role

Train Internal Auditors to audit against ISARPs

Internally assess all ISARPs at least once in registration period (24 months)

Obtain signed declaration of respective Senior Manager

Produce and Submit Conformance Report to AO 1 month prior to IOSA

Renewal Audits

Make internal auditors available during IOSA Audit

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ISM Applicability for Internal Assessments

Submission of
CR 14 days
before Audit
Registration T-150 Registration
Audit
Expiry Days Expiry
Date

19 months 5 months

Latest ISM Edition has Latest ISM Edition

to be incorporated does not have to be
incorporated
Refer to ORG 3.4.6 Note

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IOSA Audit Handbook for Airlines

Published on www.iata.org/iosa

Outlines all relevant procedures and guidance for airlines to undergo E-

IOSA

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IOSA Audit Handbook for Airlines

1. IOSA Overview

2. Internal Audit Program Management

3. Audit Methodology

4. Conformance Report (CR)

5. Audit Procedures

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Assessing Organization and Management

Provides opportunity to identify weaknesses in organizational

management systems

Under E-IOSA, airlines required to audit against all ORG provisions

Auditing ORG is one of challenging tasks for airlines

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Assessing Outsourced Functions

Assessment of outsourced functions different than the one from AOs

Airlines must assess outsourced functions and their conformity with

ISARPs (auditing recommended)

The results of the assessments must be available as proof for AOs

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IOSA CR Provisions

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Quality Assurance Provisions

Quality Assurance ISARPs

ORG 3.4.1 [SMS] Quality Assurance Program
ORG 3.4.2 Appointed Manager
ORG 3.4.3 Process for Addressing Findings
ORG 3.4.4 [SMS] Management Review of Significant Issues
ORG 3.4.5 [SMS] Means for Disseminating Information
ORG 3.4.6 Auditing ISARPs
ORG 3.4.7 Production of Conformance Report (CR)
ORG 3.4.8 CR Specifications
ORG 3.4.10 Auditing Planning Process and Resources

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Quality Assurance Provisions

Quality Assurance ISARPs

ORG 3.4.11 Audit Plan Specifications
ORG 3.4.12 Auditor Qualification and Independence
ORG 3.4.13 Auditor Qualification for Auditing ISARPs
ORG 3.4.14 QA Electronic Database

ORG 3.5.1 Measurable Specifications in the Contracts or

Agreements with External Service Providers
ORG 3.5.2 Monitor External Service Providers
ORG 3.5.3 Auditing External Service Providers
ORG 3.5.4 Monitor Wet Lease Operation

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IOSA CR Provisions

ORG 3.4.6 If the Operator is currently on the IOSA Registry, the Operator
shall ensure the quality assurance program as specified in ORG 3.4.1
provides for the auditing of the IOSA Standards and Recommended
Practices (ISARPs) a minimum of once during the IOSA registration period.
For internal audits of the ISARPs, the Operator shall have processes that
ensure:
(i) The effective edition of the IOSA Standards Manual (ISM) is utilized;
(ii) Auditor Actions are accomplished by auditors. (GM)

Note: If a new edition of the ISM becomes effective during the first 19
months of the Operator's 24-month IOSA registration period, the Operator
shall take into account all changes that might require additional auditing
(e.g. new or significantly revised ISARPs).

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IOSA CR Provisions

ORG 3.4.7 If the Operator is currently on the IOSA Registry, the Operator shall
have a process for the production of a Conformance Report (CR) that is
certified by the accountable executive (or designated senior management
official) as containing accurate information related to the audit of all ISARPs as
is specified in ORG 3.4.6. The CR shall be submitted in the English language
and include the following:
(i) Completed and signed Declaration of Internal Assessment Completion;
(ii) Record of Internal Auditors;
(iii) Operational Profile;
(iv) List of Document References. (GM)

Note: The IOSA Operator shall submit the completed CR and any
accompanying documents to the Audit Organization (AO) no less than 14 days
prior to the start date of the registration renewal audit. Changes to the CR that
occur after submission to the AO do not require a re-submission of the CR.

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IOSA CR Provisions
ORG 3.4.8 If the Operator is currently on the IOSA Registry, the Operator shall
ensure the Conformance Report produced in accordance with ORG 3.4.7 also
contains information that is specific to the audit of each individual IOSA standard
and recommended practice, to include:
(i) The alpha-numeric identifier;
(ii) Appropriate documentation reference(s) (from the Operator's documentation
system);
(iii) Auditor name(s);
(iv) Audit date(s);
(v) The list of Auditor Actions accomplished by the auditor(s) to assess
implementation;
(vi) If applicable, a description of non-conformance(s) and:
(a) The root cause(s) of non-conformance(s);
(b) The corrective action(s) implemented to address non-conformance(s).
(vii) If applicable, a description of non-applicability (N/A);
(viii) The current status of conformance (documented and implemented). (GM)

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Note: At the option of the Operator, items iii), iv), v) and, as applicable, vi)
may be replaced in the CR with accurate reference(s) to the location(s)
where all such information may be found, either in the Operator's
electronic database as specified in ORG 3.4.14 or in controlled procedural
documents that are defined in audit processes as specified in ORG 3.4.6.

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IOSA CR Provisions

ORG 3.4.13 The Operator shall have a training and qualification program for
auditors that conduct auditing under the quality assurance program as
specified in ORG 3.4.1. Such program shall ensure auditors:
(i) Have the knowledge, skills and work experience needed to effectively
assess areas of the management system and operations that will be audited;
(ii) Maintain an appropriate level of current audit experience;
(iii) Complete initial and continuing auditor training that provides the
knowledge and understanding necessary to effectively conduct audits against:
(a) Applicable regulations and standards;
(b) If the Operator is currently on the IOSA Registry, the ISARPs.
(iv) Are evaluated on a periodic basis. (GM)

Note: Sub-specification iii) b) is applicable to auditors that may be assigned to

conduct internal auditing against the ISARPs.

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IOSA CR Provisions

ORG 3.4.14 The Operator shall have an electronic database to ensure the
effective management of information and data associated with audits
conducted under the quality assurance program. Such database shall
include:
(i) Information and data derived from audits of the management system,
and operations and maintenance functions, as specified in ORG 3.4.1;
(ii) Information that is specific to the audit of each individual IOSA
standard and recommended practice as specified in ORG 3.4.8. (GM)
An operator may conform to ORG 3.4.14 i) through Active
Implementation as long as the implementation Action Plan (IAP) projects
conformance on or before 1 September 2018.

Note: A fully completed IATA Conformance Report Template may be

considered as a database equivalent for the purpose of conforming to item
ii) of this standard.

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Questions?

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