SMS for Small Operators

1. SMS for Small Operators Focus onSafety Risk Management & Safety Assurance

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

3. The following presentation is an example of how a Safety Management System could be applied at a small aviation service provider. We will focus on Safety Risk Management (SRM) and Safety Assurance (SA). It is not the only method.

4. Two Important Points 1) Knowledge of the SRM and SAprocesses is what is IMPORTANT – the method of documentation is not. 2) There is nothing new in SRM or SA. What is new is organizing SRM & SA into a Management System called SMS.

5. Let’s say that you own a small helicopter operation in Southern California. You’re based at Montgomery Field, San Diego 2 Helicopters 4 Pilots, including yourself 2 Staff at base 2 Crew Chiefs’ You have a functioning SMS Alpine Air, Inc

6. One day one of your pilots walks into your office and says: “Boss, I was flying over Alpine just now and I saw a new SDG&E power line across Harbison Canyon.” Alpine Air, Inc “The worst part is there are no visibility markers on the new line.”

7. What just happened? You’ve just started your SRM process. Alpine Air, Inc What can you say about your SMS so far? You have an effective employee reporting & feedback system.

8. SRM SA System Description System Operation Hazard Ident Data Acquisition & Process Risk Analysis Analysis (C.O.S.) Risk Assmt System Assmt Risk Control Corrective Action Where are you in the SRM process? System description– You determine that it is an operational flight issue. What’s next…?

9. Hazard Identification – What can hurt us ? Alpine Air, Inc You ask: Where is the new line ? How big is it ? How far off the ground ? Etc., etc,……

10. SRM System – Operational flying area Hazard – Unmarked power line in Harbinson Canyon Alpine Air, Inc I need to document this, but I can’t even spell compatur ..…conputor ……so I open my trusty SRM notebookand I write………

11. Alpine Air, Inc Risk Analysis - Collect data & information You call SDG&E: -How big is the new line ? – ½ inch -When will visibility devices be installed ? • 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.

12. Risk Analysis(Still collecting data) -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

13. Risk Assessment In your judgment……… Risk is unacceptable Alpine Air, Inc

14. So…. How much time have you invested so far? 5 minutes? 10 minutes? Alpine Air, Inc

15. Have you done anything you have never done before? Alpine Air, Inc

16. Mark area map New Power Line Alpine Air, Inc Risk controls - What can you do about it ? • Night & weathermission restrictions • Notice on dispatch • Pilot reading file • Bulletin board • E-mail

17. SRM Alpine Air, Inc And you write……… System – Flying area Hazard – Unmarked power line Analysis – High risk Assessment – Risk unacceptable Controls – Identified

18. Hazard Ident Data Acquisition & Process Risk Analysis Analysis (C.O.S.) Risk Assmt System Assmt Risk Control Corrective Action SRM SA Are you done? System Description System Operation No, we need to consider: - Residual risk - Substitute risk • How ? • Talk to employees • Brain storm • Notes to self • Call SDG&E weekly • Call FSDO weekly

19. Hazard Ident Data Acquisition & Process Risk Analysis Analysis (C.O.S.) Risk Assmt System Assmt Risk Control Corrective Action SRM SA Now are you done ? System Description System Operation Yes What’s next…?

20. SA Alpine Air, Inc • And you write……… • Safety Assurance: • Collision risk in flying area • Controls identified

21. SRM SA System Description System Operation Hazard Ident Data Acquisition & Process Risk Analysis Analysis (C.O.S.) Risk Assmt System Assmt Risk Control Corrective Action System operation – Collision risk to flight Modify policy / activities to put risk controls into operation What’s next…?

22. Which method/s can you use to assure risk controls work and remain effective ? Alpine Air, Inc Data Acquisition & Process – Monitor the controls • Continuous monitoring • Internal Audit • Evaluation • External audit • Investigate • Employee report

23. 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

24. Alpine Air, Inc • And you write……… • Safety Assurance: • System - Collision risk to flight • Assurance methods: • Continuous monitoring • Internal audit

25. Alpine Air, Inc Data Acquisition – Periodically monitor and keep notes (data).

26. …… ALSO ……… Safety plan review - OK Canyon wire review - OK Other risk controls - OK SA Alpine Air, Inc Analysis:(Review data - monthly w / bills) Financial data - OK 401K reviews - OK Health packages - OK Taxes – Paid Maintenance review - OK Operational control review - OK

27. SA Alpine Air, Inc And you write……… Safety Assurance: System - Collision risk to flight Monitor / audit Log entry [date] Log entry [date] Log entry [date]

28. Now…. How much time have you invested? Alpine Air, Inc How about money? Resources?

29. And, we’re still looking for …….. Alpine Air, Inc

30. SA Alpine Air, Inc Analysis – You review log entries, review notes, observations, etc. Assessment – You find: No indications that your power line controls are not working.

31. You have confidence… Alpine Air, Inc Assessment–controls continue to be effective in mitigating risk.

32. SRM SA System Description System Operation Hazard Ident Data Acquisition & Process Risk Analysis Analysis (C.O.S.) The HAPPY Loop You keep monitoring Risk Assmt System Assmt Risk Control Corrective Action Are you done yet ? No What’s next ?

33. SRM SA System Description System Operation Hazard Ident Data Acquisition & Process Risk Analysis Analysis (C.O.S.) Risk Assmt System Assmt Risk Control Corrective Action When does the process end ? When SDG&E buries the power line Hazard removed

34. You may ask – That’s fine for SRM and SA, what about the other two pillars (Components) of SMS ? • Safety Policy • Safety Promotion Let’s take a look…..

35. Got some! Alpine Air, Inc Safety Policy & Objectives

36. That would be YOU! Alpine Air, Inc • Management Commitment & Key Personnel

37. Emergency Preparedness Documentation / Records Alpine Air, Inc

38. “Hey! Let’s be careful out there” Safety Promotion You do that…. Training Communication

39. Safety Management System& The Small Operator - REMEMBER - It is the knowledge of the processes that counts!

40. Wilbur Wright gliding, 1901 Photographs: Library of Congress “Carelessness and overconfidence are more dangerous than deliberately accepted risk”Wilbur Wright, 1901 Contact: SMS Program Office Manager Don Arendt, Ph.D. (703) 661-0516 don.arendt@faa.gov