Presented By: Federal Aviation Administration Flight Standard Service SMS Program Office Federal...

Presented By: Federal Aviation Administration

Flight Standard Service

SMS Program Office

Federal AviationAdministrationSMS for Small

Operators

Focus on

Safety Risk Management &

Safety Assurance

Federal AviationAdministration

SL-2

The following is an excerpt from The following is an excerpt from FAA Administrator, FAA Administrator, Randy Babbitt’s speechRandy Babbitt’s speech, Shared Vision for Safety , Shared Vision for Safety

Conference, Jun 2, 2010 (San Diego)Conference, Jun 2, 2010 (San Diego)

“I know that there are those who complain that they’re too small for SMS. Or that it’s too costly. Or that they don’t have time. One by one: no one and no company is too small for SMS. The cost of SMS is far less than the cost of an accident.

Saying that you don’t have time for SMS is the functional equivalent of saying that you don’t have time for safety. At its essence, SMS forms a real triangle of safety. You identify the problem, you analyze it, you come up with a solution, you train to the solution, and then you check how you’re doing.”


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The following presentation is an The following presentation is an exampleexample of how of how a Safety Management System could be a Safety Management System could be

applied at a applied at a small aviation service providersmall aviation service provider..

We will focus on We will focus on Safety Risk ManagementSafety Risk Management ( (SRMSRM) ) and and Safety AssuranceSafety Assurance ( (SASA).).

It is It is notnot the only method. the only method.


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Two Important PointsTwo Important Points

1)1) Knowledge Knowledge of the of the SRMSRM and and SASA processesprocesses is is what is what is IMPORTANTIMPORTANT – the method of – the method of

documentation is not.documentation is not.

2) There is 2) There is nothing newnothing new in SRM or SA. in SRM or SA.

What is What is newnew is is organizingorganizing SRM & SA into a SRM & SA into a Management SystemManagement System called SMS. called SMS.


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Let’s say that you own a Let’s say that you own a small helicoptersmall helicopter operation in Southern California.operation in Southern California.

You’re based at Montgomery Field, San DiegoYou’re based at Montgomery Field, San Diego

22 Helicopters Helicopters

44 Pilots, including yourself Pilots, including yourself

2 2 Staff at baseStaff at base

22 Crew Chiefs’ Crew Chiefs’

You have a functioning SMSYou have a functioning SMS

Alpine Air, Inc


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One day one of your pilots walks into your office One day one of your pilots walks into your office and says:and says:

““Boss, I was flying over Alpine just now and I saw a Boss, I was flying over Alpine just now and I saw a newnew SDG&E SDG&E power linepower line across Harbison across Harbison Canyon.”Canyon.”

Alpine Air, Inc

““The worst part is there are no The worst part is there are no visibility markersvisibility markers on the new on the new line.”line.”


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What just happened?What just happened?

Alpine Air, Inc

You have an effective You have an effective employee reporting & employee reporting & feedback system.feedback system.

What can you say about What can you say about your SMS so far?your SMS so far?

You’ve just started your You’ve just started your SRM process.SRM process.


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SystemDescription

SystemOperation

HazardIdent

RiskControl

RiskAssmt

RiskAnalysis

Analysis(C.O.S.)

DataAcquisition& Process

CorrectiveAction

SystemAssmt

SRM SA

System descriptionSystem description – – You determine that You determine that it is an operational it is an operational flight issue.flight issue.

Where are you in the Where are you in the SRM process?SRM process?

What’s next…?What’s next…?


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Hazard Identification Hazard Identification – – What can hurt us ?What can hurt us ?

Alpine Air, Inc

You ask:You ask:

Where is the new line ?Where is the new line ?

How big is it ?How big is it ?

How far off the ground ?How far off the ground ?

Etc., etc,……Etc., etc,……


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I need to document this, but I I need to document this, but I can’t even spell compatur ..…can’t even spell compatur ..…conputor ……so I open my conputor ……so I open my trusty trusty SRM SRM notebooknotebook and I and I writewrite………………

Alpine Air, Inc

SRMSRMSystemSystem – –

Operational Operational flying areaflying area

HazardHazard – – Unmarked Unmarked power line in power line in Harbinson Harbinson CanyonCanyon


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You call SDG&E:

-How big is the new line ?

– ½ inch

-When will visibility devices be installed ?

Alpine Air, Inc

You call San Diego FSDO:

-Are you aware of the new power line ?

- Yes

-Can you encourage SDG&E to mitigate the hazard ?

- Yes…..but it will take time.

Risk Analysis - Collect data & information


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-Aircraft wire cutters ?

- Max Demonstrated - .419 inch

- Bad

-Helicopter + Power line ?

- Really Bad

-How often do we fly around Harbison Canyon?

- Lots

- Bad

-Severity ?

- Really Bad

-Likelihood ?

- High

Severity

Likelihood

LessMore

HigherLower

Acceptable

UnacceptableAcceptable with Mitigation

Severity

Likelihood

LessMore

HigherLower

Acceptable

UnacceptableAcceptable with Mitigation

Risk Analysis(Still collecting data)


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Risk AssessmentRisk Assessment

In your judgment………In your judgment………

Risk isRisk is unacceptable unacceptable

Alpine Air, Inc


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So….So….

How much time have you How much time have you invested so far?invested so far?

5 minutes?5 minutes?

10 minutes?10 minutes?

Alpine Air, Inc


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Have you done anything Have you done anything you have never done you have never done before?before?

Alpine Air, Inc


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Risk controls - What can you do about it ?

Alpine Air, Inc

New Power Line

Mark area map

- Night & weather mission restrictions

-

- Notice on dispatch

- Pilot reading file

- Bulletin board

- E-mail


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Alpine Air, Inc

And you write………And you write………System – System – Flying areaFlying area

Hazard – Hazard – Unmarked power lineUnmarked power line

Analysis – Analysis – High riskHigh risk

Assessment – Assessment – Risk unacceptableRisk unacceptable

Controls – Controls – IdentifiedIdentified

SRMSRMSRMSRM


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Are you done?Are you done?

No, we need to consider: No, we need to consider:

- Residual risk- Residual risk

- Substitute risk- Substitute risk

SystemDescription

SystemOperation

HazardIdent

RiskControl

RiskAssmt

RiskAnalysis

Analysis(C.O.S.)


CorrectiveAction

SystemAssmt

SRM SA

How ?How ?• Talk to employeesTalk to employees• Brain stormBrain storm• Notes to selfNotes to self

− Call SDG&E weeklyCall SDG&E weekly− Call FSDO weekly Call FSDO weekly


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SystemDescription

SystemOperation

HazardIdent

RiskControl

RiskAssmt

RiskAnalysis

Analysis(C.O.S.)


CorrectiveAction

SystemAssmt

SRM SA

Now are you done ?Now are you done ?

YesYes



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Alpine Air, Inc

And you write………And you write………

Safety Assurance:Safety Assurance:• Collision risk in flying Collision risk in flying

areaarea• Controls identifiedControls identified

SASA


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SystemDescription

SystemOperation

HazardIdent

RiskControl

RiskAssmt

RiskAnalysis

Analysis(C.O.S.)


CorrectiveAction

SystemAssmt

SRM SA

System operationSystem operation – – Collision risk to Collision risk to flightflight


Modify policy / Modify policy / activities to put risk activities to put risk controls into controls into operationoperation


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1. Continuous monitoring

2. Internal Audit

3. Evaluation

4. External audit

5. Investigate

6. Employee report

Alpine Air, Inc

Which method/s can you use to assure risk controls work and remain effective ?

Data Acquisition & Process Data Acquisition & Process – Monitor the controls– Monitor the controls


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Alpine Air, Inc

Continuous Monitoring– Over flight of canyon on missions

– Periodic calls SDG&E / FSDO

Internal audit– Review of mission restrictions

– Review of dispatches

– Review Area Map / Reading file


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Alpine Air, Inc


Safety Assurance:Safety Assurance:System - Collision risk to flightSystem - Collision risk to flight

Assurance methods: Assurance methods:

• Continuous monitoringContinuous monitoring• Internal auditInternal audit


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Alpine Air, Inc

Data AcquisitionData Acquisition – – Periodically monitor and Periodically monitor and keep notes (data).keep notes (data).


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Analysis: (Review data - monthly w / bills)

Financial data - OK

401K reviews - OK

Health packages - OK

Taxes – Paid

Maintenance review - OK

Operational control review - OK

Alpine Air, Inc

…… ALSO ………

Safety plan review - OK

Canyon wire review - OK

Other risk controls - OK

SASA


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Alpine Air, Inc


Safety Assurance:Safety Assurance:SystemSystem - Collision risk to flight - Collision risk to flight

Monitor / auditMonitor / auditLog entry [date]Log entry [date]

Log entry [date]Log entry [date]

Log entry [date]Log entry [date]

SASA


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Now….Now….

How much time have you How much time have you invested?invested?

Alpine Air, Inc

How about money?

Resources?


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And, we’re still looking for ……..And, we’re still looking for ……..

Alpine Air, Inc


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Alpine Air, Inc

SASA

AnalysisAnalysis – –

You review log entries, You review log entries, review notes, review notes, observations, etc.observations, etc.

AssessmentAssessment – –

You find: You find: No indications No indications that your power line that your power line controls are not working.controls are not working.


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AssessmentAssessment –– controls controls continue to be continue to be effectiveeffective in in mitigating risk.mitigating risk.

Alpine Air, Inc

You have You have confidenceconfidence……


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SystemDescription

SystemOperation

HazardIdent

RiskControl

RiskAssmt

RiskAnalysis

Analysis(C.O.S.)


CorrectiveAction

SystemAssmt

SRM SA

Are you done yet ?Are you done yet ?

NoNo

What’s next ?What’s next ?

The HAPPY LoopThe HAPPY Loop

You keepYou keep monitoring monitoring


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SystemDescription

SystemOperation

HazardIdent

RiskControl

RiskAssmt

RiskAnalysis

Analysis(C.O.S.)


CorrectiveAction

SystemAssmt

SRM SA

When does the When does the process end ?process end ?

When SDG&E buries When SDG&E buries the power linethe power line

Hazard removedHazard removed


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You may ask – That’s fine for SRM and SA, what You may ask – That’s fine for SRM and SA, what about the other two pillars (Components) of about the other two pillars (Components) of SMS ?SMS ?

• Safety PolicySafety Policy

• Safety PromotionSafety Promotion

Let’s take a look…..Let’s take a look…..


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Safety Policy & ObjectivesSafety Policy & Objectives

Alpine Air, Inc

Got some!Got some!


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Management Management Commitment & Key Commitment & Key

PersonnelPersonnel

Alpine Air, Inc

That would be That would be YOU!YOU!


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Alpine Air, Inc

Documentation / RecordsDocumentation / Records

Emergency PreparednessEmergency Preparedness


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Safety PromotionSafety Promotion

““Hey! Let’s be Hey! Let’s be careful out there”careful out there”

You do that….You do that….

Training

Communication


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Safety Management System

&

The Small Operator

- REMEMBER -- REMEMBER -

It is the It is the knowledgeknowledge of the of the processes that counts!processes that counts!


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““Carelessness and overconfidence are more Carelessness and overconfidence are more dangerous than deliberately accepted risk”dangerous than deliberately accepted risk”Wilbur Wright, 1901Wilbur Wright, 1901

Contact: Contact: SMS Program Office ManagerSMS Program Office Manager

Don Arendt, Ph.D.Don Arendt, Ph.D.(703) 661-0516(703) 661-0516

[email protected]@faa.gov

Wilbur Wright gliding, 1901Photographs: Library of Congress

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