1. The flow of information in an SMS environment
South Pacific Aviation “Safety Management Systems” Symposium

2. South Pacific Aviation “Safety Management Systems” Symposium
The Underpinnings
Safety Management Systems are predicated on useful data and information being collected, analysed /assessed, and used to make decisions
Data and information provide the “fuel” for the tools use by all participants to manage risks
The same data and information used by operators is used by regulators ­ information flows both ways
Safety management systems need good, accurate and consistent data and information to work well
The data and information needs to be generated from the place where activity takes place
The business systems used by operators, etc., need to assess and analyse the data, thus using data and information in decision making
the data and information used by the operator “rolls-up” , being passed on eventually to regulators
South Pacific Aviation “Safety Management Systems” Symposium

3. South Pacific Aviation “Safety Management Systems” Symposium
Cont...
The Civil Aviation Act contains powers and functions that compel and encourage the collection and use of information (s26, s72, s73, s74, etc)
Civil Aviation Rules (e.g., Part 12) reflect the requirements of the Act
the Civil Aviation Act has requirements within it, which compel operators to provide data and information on accidents and incidents, or any other matter than may negatively impact upon civil aviation safety
the information required by the Act is essentially the same as the information an operator will need in order to make good management decisions with respect to the risks within their operation
it might sound trite, but Safety Management Systems are good for business ­ effective SMS’s can result in reduced costs of business (e.g., ACC premium reductions, insurance premium reductions, etc)
South Pacific Aviation “Safety Management Systems” Symposium

4. South Pacific Aviation “Safety Management Systems” Symposium
Information Flow
Data and information “flowing” through the system already happens — it isn’t a new idea
SMS will require about the same amount and type of information as is recorded and used now
The flow of information is key to managing risks within the system — according to the role we each have
the flow of data and information under SMS is essentially the same as that that happens now. Records are kept, reports are made, and information “flows” to the relevant organisations. The key under SMS is how an operator uses the same data and information to make decisions within their organisation, and about the risks that they identify, and then showing that actions have been taken accordingly. In many respects, SMS formalises the actions that may happen now, informally.
the type and quantity of data and information needed to make an SMS work is the same as that that ought to be used now. SMS ought not to increase the ‘burden’ that might be felt by operators – the disciplines in terms of records, etc, should ease the burden an operator feels. Simply put, SMS is about using good management systems and practice.
the information demands, regardless of whether we’re an operator, individual, or regulator are essentially the same. The way in which the information is used is also similar, in that all use the information to identify, and to put steps/actions in place to mitigate those risks – management of risk.
The role of the regulator means that it considers system risks with respect to all of civil aviation, as well as the risks an operator might pose in the context of CA Rules, and the CA Act. In comparison, an operator needs to think about the risks faced in the context of their operation. Both sets of considerations, use the same basic data and information to (1) assess risks; (2) define and implement actions to mitigate risks; and (3) determine whether the actions have been successful.
South Pacific Aviation “Safety Management Systems” Symposium

5. How does CAA use information now?
CAA uses information to understand safety risk, and to then:
Identify where risks sit within the system
Design actions which mitigate those risks
Implement those actions
Measure whether the actions have the desired effect
South Pacific Aviation “Safety Management Systems” Symposium

6. South Pacific Aviation “Safety Management Systems” Symposium
Cont...
Examples:
Risk profiles for an operator
Systemic studies (e.g., the Agricultural Aircraft Safety Review)
Identifying safety failures (e.g., rotor blades)
Rules and regulatory change (e.g., changes to the law with respect to the sale of hand held lasers)
Advice back to operators
South Pacific Aviation “Safety Management Systems” Symposium

7. Principles that Guide CAA
data and information is used to identify risks and to identify or select ways to mitigate those risks;
data and information helps the CAA determine responses to risks that are proportionate to the nature of the risk or risks;
data and information enable the CAA to determine the extent to which the measures or steps it takes to mitigate civil aviation safety risks have been successful;
These principles are contained in the CAA’s “Collection and Use of Safety Information Policy”. The principles guide the judgements the CAA needs to make. The same principles can be applied in the context of an individual operation, and can be summarised as:
Identify a risk or an issue;
Determine an action (or actions) to mitigate, that is (are) appropriate to the nature of the risk (aka as exercising judgement)
Monitor to determine whether the action taken has worked
South Pacific Aviation “Safety Management Systems” Symposium

8. South Pacific Aviation “Safety Management Systems” Symposium
Cont...
data and information enables the CAA to learn how it might change the steps it adopts in order to achieve improvements in safety performance;
data and information is managed in a way that encourages participants in the civil aviation system to fulfil their mandatory reporting requirements, and to voluntarily disclose other pertinent data and information as is appropriate.
Learn what works and what doesn’t
Recognise that difficult issues need to be confronted, sometimes in ways that people easily accept, and other times in ways that people find more difficult.
South Pacific Aviation “Safety Management Systems” Symposium

9. Resistance is futile, you will be assimilated!
South Pacific Aviation “Safety Management Systems” Symposium