1. The “Why” and “What” of Safety Management Systems Presented by Captain Rick Clarke Director, SMS Project Air Line Pilots Association Presented by Captain Rick Clarke Director, SMS Project Air Line Pilots Association

2. The Issue of Safety What do we understand? The record is a good oneThe record is a good one Air transportation will continue to growAir transportation will continue to grow The Air Transportation System is outgrowing the capabilities of the current aviation safety systemThe Air Transportation System is outgrowing the capabilities of the current aviation safety system

3. Safety Efforts are Changing What is Driving this? Financial stress for Air Carriers and RegulatorsFinancial stress for Air Carriers and Regulators A Tangle of Regulations, Standards, Annexes, Policies and ProceduresA Tangle of Regulations, Standards, Annexes, Policies and Procedures Lessons LearnedLessons Learned

4. The Issue of Focus What does ALPA want for the Industry? Safe and Efficient Air Carrier ServiceSafe and Efficient Air Carrier Service Effective and Strong Air CarriersEffective and Strong Air Carriers

5. Two Ways to Look at Safety

6. A foundation of rules aimed to improve the standards of … behavior, practice and of operating…the level of which is governed by societal, cultural, philosophical factors, legal systems, technological progress and experience. The Traditional Way – “Regulatory Safety”

7. Design, manufacture and operations of aircraft must comply with regulations… Design, manufacture and operations of aircraft must comply with regulations… …but you can’t write a regulation to address every potential hazard… …but you can’t write a regulation to address every potential hazard… …so, the goal becomes compliance with existing rules … ignoring other hazards …so, the goal becomes compliance with existing rules … ignoring other hazards Regulatory Safety Has Limits

8. Regulatory safety is “Reactive”

9. What is the Regulator’s Duty? It is NOT safety achievement It is NOT safety achievement It IS safety oversight It IS safety oversight

10. What is the Airline’s Duty? Safety achievement is the responsibility of the airline Safety achievement is the responsibility of the airline Regulators’ diminishing resources are best applied in assisting / enabling airline safety management

11. Safety via the Proactive Way “Safety Management Systems” Safety via the Proactive Way “Safety Management Systems” A systematic and continuous Management process based on proactive identification of Hazards, and analyses of their Risk.

12. SMS comes from System Safety “Cradle to Grave” Concept

13. Adapted to Ongoing Organizations

14. SMS ….. Is an Operator based system Is an Operator based system Integrates Employee expertise Integrates Employee expertise Interfaces with Regulators’ oversight systems Interfaces with Regulators’ oversight systems Regulator Employee Operator

15. SMS is the toolbox Management tools Management tools System Safety tools System Safety tools Safety Information tools Safety Information tools

16. Three “Hallmarks” of SMS The airline uses and maintains a robust Risk Management system The airline has a non-punitive safety reporting system for all the employees The CEO establishes the policy and sets the SMS into motion

17. SMS is … … a top-down program starting with the “Accountable Executive”

18. SMS …emphasizes Risk Management …It integrates safety with Line Management

19. Parallel Approaches in Business and SMS The Business Approach SMS is the link between the two similar approaches to “business” The Safety Approach Mission - Vision - Corporate Goals - Safety Goals - Policies - Requirements - Business Processes: SRA Processes: Identify Non- Compliance Identify Hazards / Non- Compliance Implement Solutions Implement Hazard Controls Measure Performance Lessons Learned Lessons Learned – Improve Process Repeat the Process

20. A SMS Company… Organizes: Policy, Procedure, and Practice Management Systems and Communications Organizes: Policy, Procedure, and Practice Management Systems and Communications

21. A SMS Company… Adopts Risk Management Practices to: Adapt to Change Adapt to Change Manage Resource Application Manage Resource Application Understand the pitfalls of the operating environment Understand the pitfalls of the operating environment

22. A SMS Company… Develops a “Just Culture” or “Safety Culture” to: Capture the operational knowledge and experience of the employees Involve the employees in the safety achievement process

23. What’s in a “Just Culture?” The immediate response is to find “what happened,” not “who to blame and punish” The immediate response is to find “what happened,” not “who to blame and punish” Acceptance that more can be learned through full reporting and detailed investigation Acceptance that more can be learned through full reporting and detailed investigation Partnership in identifying hazards and root causes Partnership in identifying hazards and root causes

24. SMS is about… “Process” instead of “Events”

25. Focusing on “Events”

26. Focusing on “Processes” Root Causes

27. SMS In Business and SMS “Risk” manageable, but what is it?

28. “Risk”“Risk” The consequence of a hazard, measured in terms of Probability and Severity

29. Risk Assessment Matrix PROBABILITY 54321 543211 1086422 15129633 201612844 2520151055 SEVERITYSEVERITY

30. Identify Hazards Analyze Hazard(s) Assess Risk Manage Risk Evaluate Hazard Controls Modify Process Risk Management is…. ….a continuous process ….a closed loop process ….cross discipline ….a continuous process ….a closed loop process ….cross discipline New Info? Tracking?

31. SMS is a “System” that Integrates … OrganizationOrganization Risk Management Safety Information

32. Keep This In Mind… Management tools Management tools Risk Management tools Risk Management tools Safety Information tools Safety Information tools Management tools Management tools Risk Management tools Risk Management tools Safety Information tools Safety Information tools SMS is the toolbox for…

33. The Issue of Safety Current safety approaches can’t keep up with aviation growthCurrent safety approaches can’t keep up with aviation growth We need a new approach to the problemWe need a new approach to the problem Current safety approaches can’t keep up with aviation growthCurrent safety approaches can’t keep up with aviation growth We need a new approach to the problemWe need a new approach to the problem

34. The Industry’s Answer ALPA, Regulators, Air Carriers, ICAO, IATA, IBAC Launching a common idea and a new approach: SMS

35. Access the Manual…

36. The End A product from the ALPA Safety Management System ( SMS ) Project