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SMS for Small Operators. Focus on Safety Risk Management & Safety Assurance. The following is an excerpt from FAA Administrator, Randy Babbitt’s speech , Shared Vision for Safety Conference, Jun 2, 2010 (San Diego).

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Sms for small operators

SMS for Small Operators

Focus onSafety Risk Management & Safety Assurance


Sms for small operators

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.”


Sms for small operators

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.


Sms for small operators

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.


Sms for small operators

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


Sms for small operators

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.”


Sms for small operators

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.


Sms for small operators

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…?


Sms for small operators

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,……


Sms for small operators

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………


Sms for small operators

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.


Sms for small operators

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


Sms for small operators

Risk Assessment

In your judgment………

Risk is unacceptable

Alpine Air, Inc


Sms for small operators

So….

How much time have you invested so far?

5 minutes?

10 minutes?

Alpine Air, Inc


Sms for small operators

Have you done anything you have never done before?

Alpine Air, Inc


Sms for small operators

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


Sms for small operators

SRM

Alpine Air, Inc

And you write………

System – Flying area

Hazard – Unmarked power line

Analysis – High risk

Assessment – Risk unacceptable

Controls – Identified


Sms for small operators

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


Sms for small operators

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…?


Sms for small operators

SA

Alpine Air, Inc

  • And you write………

  • Safety Assurance:

  • Collision risk in flying area

  • Controls identified


Sms for small operators

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…?


Sms for small operators

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


Sms for small operators

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


Sms for small operators

Alpine Air, Inc

  • And you write………

  • Safety Assurance:

  • System - Collision risk to flight

  • Assurance methods:

  • Continuous monitoring

  • Internal audit


Sms for small operators

Alpine Air, Inc

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


Sms for small operators

…… 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


Sms for small operators

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]


Sms for small operators

Now….

How much time have you invested?

Alpine Air, Inc

How about money?

Resources?


Sms for small operators

And, we’re still looking for ……..

Alpine Air, Inc


Sms for small operators

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.


Sms for small operators

You have confidence…

Alpine Air, Inc

Assessment–controls continue to be effective in mitigating risk.


Sms for small operators

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 ?


Sms for small operators

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


Sms for small operators

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…..


Sms for small operators

Got some!

Alpine Air, Inc

Safety Policy & Objectives


Sms for small operators

That would be YOU!

Alpine Air, Inc

  • Management Commitment & Key Personnel


Sms for small operators

Emergency Preparedness

Documentation / Records

Alpine Air, Inc


Sms for small operators

“Hey! Let’s be careful out there”

Safety Promotion

You do that….

Training

Communication


Sms for small operators

Safety Management System& The Small Operator

- REMEMBER -

It is the knowledge of the processes that counts!


Sms for small operators

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

[email protected]


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