1. Presented By: Federal Aviation Administration Flight Standard Service SMS Program Office Federal Aviation Administration SMS for Small Operators Focus on Safety Risk Management & Safety Assurance

2. Federal Aviation Administration SL-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. Federal Aviation Administration SL-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. Federal Aviation Administration SL-4 Two Important Points 1) Knowledge of the SRM and SA processes 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. Federal Aviation Administration SL-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. Federal Aviation Administration SL-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. Federal Aviation Administration SL-7 What just happened? Alpine Air, Inc You have an effective employee reporting & feedback system. What can you say about your SMS so far? You’ve just started your SRM process.

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

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

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

12. Federal Aviation Administration SL-12 -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 Risk Analysis ( Still collecting data)

13. Federal Aviation Administration SL-13 Risk Assessment In your judgment……… Risk is unacceptable Alpine Air, Inc

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

15. Federal Aviation Administration SL-15 Have you done anything you have never done before? Alpine Air, Inc

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

17. Federal Aviation Administration SL-17 Alpine Air, Inc And you write……… System – Flying area Hazard – Unmarked power line Analysis – High risk Assessment – Risk unacceptable Controls – Identified SRMSRM

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

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

20. Federal Aviation Administration SL-20 Alpine Air, Inc And you write……… Safety Assurance: Collision risk in flying areaCollision risk in flying area Controls identifiedControls identified SA

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

22. Federal Aviation Administration SL-22 1.Continuous monitoring 2.Internal Audit 3.Evaluation 4.External audit 5.Investigate 6.Employee report Alpine Air, Inc Which method/s can you use to assure risk controls work and remain effective ? Data Acquisition & Process – Monitor the controls

23. Federal Aviation Administration SL-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. Federal Aviation Administration SL-24 Alpine Air, Inc And you write……… Safety Assurance: System - Collision risk to flight Assurance methods: Continuous monitoringContinuous monitoring Internal auditInternal audit

25. Federal Aviation Administration SL-25 Alpine Air, Inc Data Acquisition – Periodically monitor and keep notes (data).

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

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

28. Federal Aviation Administration SL-28 Now…. How much time have you invested? Alpine Air, Inc How about money? Resources?

29. Federal Aviation Administration SL-29 And, we’re still looking for …….. Alpine Air, Inc

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

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

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

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

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

35. Federal Aviation Administration SL-35 Safety Policy & Objectives Alpine Air, Inc Got some!

36. Federal Aviation Administration SL-36 Management Commitment & Key Personnel Alpine Air, Inc That would be YOU!

37. Federal Aviation Administration SL-37 Alpine Air, Inc Documentation / Records Emergency Preparedness

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

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

40. Federal Aviation Administration SL-40 “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 Wilbur Wright gliding, 1901 Photographs: Library of Congress