SMS, Human Factors and FRMS – A Perspective Capt. Dan Maurino RAeS HF Group Conference on Building Fatigue into Safety Systems Crawley, 30 October 2012

o Aviation Human Factors and SMS Seminar o SMS Workshop and SMS Manual Development o SMS II and SMS Audit o Safety Risk Assessment Compliance Workshop o Basic Introduction to SMS o Risk Monitoring and Safety Compliance o SMS Principles and Evaluation o SMS Principles and SMS Theory and Application o Bow Tie Risk Management o... SMS – An Expanding Training Market

o What will SMS do for your operation o Provide fastest path to regulatory compliance o Handle large number of SMS findings in the most effective way o Deliver immediate risk identification, root-cause analyses and unequaled risk assessment that includes financial risk assessment o Allow SMS managers to see the overall safety situation and undetected trends o Provide an immediate ROI by reducing material and financial losses o... SMS – A Typical Product

o “SMS is the continuing evolution of risk management” o “A well structured SMS will be well placed to identify o Unstable approaches o Adherence to SOPs o Weight and balance problems o Frequency and location of EGPWS alerts o Computation of required takeoff and landing distances o...” o “SMS must become part of an organizational culture. This can be hard.” SMS – Quotable quotes

Managing Safety vs. Preventing Accidents Safety programmes Bird strike Runway safety CRM Language proficiency.... Data Operational Financial HR Legal Quality... Strategic decisions SMS

o Management systems – Support strategic [data- based] decisions o SMS – Management system that supports strategic safety decisions by service providers o Execution programmes – Actual means to implement strategic safety decisions o SMS [data based] decisions are implemented through safety programmes o Bird strike o Runway safety o CRM o...

 Safety policy and objectives 1.1 – Management commitment and responsibility 1.2 – Safety accountabilities 1.3 – Appointment of key safety personnel 1.4 – Coordination of emergency response planning 1.5 – SMS documentation  Safety risk management 2.1 – Hazard identification 2.2 – Safety risk assessment and mitigation  Safety assurance 3.1 – Safety performance monitoring and measurement 3.2 – The management of change 3.3 – Continuous improvement of the SMS  Safety promotion 4.1 – Training and education 4.2 – Safety communication

Safety Management Safety Risk Management Safety Assurance Safety Management – Dogmatic Foundations

o Objectives o Identification and initial control of safety deficiencies and hazards in the operational environment o Implementation of initial strategies for the control of safety deficiencies and hazards in the operational environment o SRM looks into the future Safety Risk Management (SRM) – What is wrong?

Safety Risk Management (SRM) Safety programmes Bird strike Runway safety CRM Language proficiency.... Data Operational Financial HR Legal Quality... Strategic decisions SMS

Safety Management Safety Risk Management Safety Assurance Safety Management – Dogmatic Foundations

o Objectives o Validation that mitigation activities for safety deficiencies and hazards work as expected o Implementation of additional mitigation activities for safety deficiencies and hazards o SA controls the present Safety Assurance (SA) – Does it work?

Safety Assurance (SA) Safety programmes Bird strike Runway safety CRM Language proficiency.... Data Operational Financial HR Legal Quality... Strategic decisions SMS

Safety Risk Management Hazard identification Safety risk assessment Mitigation strategies Planning Safety Assurance Safety performance monitoring Operational changes Further mitigation strategies Operation The Uniqueness of Managing Safety

Managing Safety – The Big Picture Safety Management Hazard identification Safety Risk Evaluation … … Safety Performance Monitoring Safety Assurance Safety Risk Management Safety Reporting Programmes Flight Data Analysis …. Audits and Surveys SMS

 Safety policy and objectives 1.1 – Management commitment and responsibility 1.2 – Safety accountabilities 1.3 – Appointment of key safety personnel 1.4 – Coordination of emergency response planning 1.5 – SMS documentation  Safety risk management 2.1 – Hazard identification 2.2 – Safety risk assessment and mitigation  Safety assurance 3.1 – Safety performance monitoring and measurement 3.2 – The management of change 3.3 – Continuous improvement of the SMS  Safety promotion 4.1 – Training and education 4.2 – Safety communication SMS Audits Results 2011 (74 audits) o SMS training (64%) o SMS Manual (38%) o Safety Policy (24%) o Safety Committee (20%) o ERP documentation (30%) o Hazard reporting & tracking (9%)

FRMS as per ICAO – SARPs o Annex 6, Part I Chapter 1 – Definitions o Fatigue Risk Management System (FRMS). A data-driven means of continuously monitoring and managing fatigue-related safety risks, based upon scientific principles and knowledge as well as operational experience that aims to ensure relevant personnel are performing at adequate levels of alertness

FRMS as per ICAO – SARPs o Annex 6, Part I, Chapter 4 – Flight Operations o The State of the Operator shall establish regulations for the purpose of managing fatigue. These regulations shall be based upon scientific principles and knowledge with the aim of ensuring that flight and cabin crew members are performing at an adequate level of alertness. Accordingly, the State of the Operator shall establish: a) regulations for flight time, flight duty period, duty period and rest period limitations; and b) where authorizing an operator to use a Fatigue Risk Management System (FRMS) to manage fatigue, FRMS regulations

FRMS as per ICAO – SARPs o Annex 6, Part I, Chapter 4 – Flight Operations o Different combinations of regulations allowed o Approval of variations to prescriptive fatigue management regulations, based on a risk assessment and providing a level of safety equivalent to, or better than prescriptive fatigue management regulations o [Approved] FRMS to provide a level of safety equivalent to, or better than, the prescriptive fatigue management regulations o [Operator] Establish maximum values for flight times and/or flight duty periods(s) and duty period(s), and minimum values for rest periods [adjustable on exceptional circumstances based on FRMS experience and fatigue-related data], acceptable to the State of the Operator

FRMS as per ICAO – SARPs o Annex 6, Part I, Chapter 4 – Flight Operations Recommendation – States should require that, where an operator has an FRMS, it is integrated with the operator’s SMS o Annex 6, Part I, Chapter 3 – General States shall require, as part of their State safety programme, that an operator implement a safety management system acceptable to the State of the Operator that, as a minimum... o Annex 6, Part I, Chapter 4 – Flight Operations The State of the Operator shall approve an operator’s FRMS before it may take the place of any or all of the prescriptive fatigue management regulations...

FRMS as per ICAO – SARPs

FRMS as per ICAO – Guidance Material o Fatigue Risk Management Systems Manual for Regulators (Doc 9966) o Regulatory context – FRMS SARPs, approval process & oversight o Scientific background – Scientific principles o Components of an FRMS o Appendixes – Glossary, evaluation forms, tools, procedures, etc.

o H azards and consequences o “fatigue hazards” o Hazard – Condition or object with the potential of causing injuries to personnel, damage to equipment or structures, loss of material, or reduction of ability to perform a prescribed function o H uman Factors vs. Human Performance o “…fatigue is a major Human Factors hazard…” o Human Factors principles. Principles which apply to aeronautical design, certification, training, operations and maintenance and which seek safe interface between the human and other system components by proper consideration to human performance o Human performance. Human capabilities and limitations which have an impact on the safety and efficiency of aeronautical operations

SMS, HF and FRM – A Pending Debate o Prescriptive & performance-based regulations o The FRMS framework and the “hoops” o FRMS, production and protection o Safety or scheduling? o Scientific knowledge on fatigue o The Flight Safety & Human Factors Programme experience o Operational experience o Parameters to be used – in the real world?

o FRMS as a package o Two-way application of FRMS data o Do all roads lead to Rome? o FRMS policy signed by the Accountable Executive o FRMS approval by authority o Equivalent level of safety – Valid evidence? o Continuous ‘red-line’ operation o Management systems o FRMS – Management system or execution programme?

An SMS is [ICAO definition]. The Training Management System (TMS) provides a systematic approach to managing the training component of an SMS From the pilot’s perspective, the TMS is an education system designed to develop necessary aviation skills including aircraft handling, airmanship, flight deck resource management, risk management, and decision making. It is delivered in a structured learning environment and includes a continuous improvement process aligned with that of the SMS WHAT DO YOU THINK? Is the above a valid statement?

Parting Thought – The Need for Informed Debate What is [in your organization] the problem for which FRMS is the solution?