1. Copyright Safety Operating Systems 2008 TRAINING AUDITS AND SMS By: Captain Jack Casey, FRAeS Chief Operating Officer Safety Operating Systems, LLC

2. Copyright Safety Operating Systems 2008 2 Managing Safety Safety Management Systems –ICAO –IATA IOSAIOSA –TC –FAA –CAA UK

3. Copyright Safety Operating Systems 2008 3 Safety Management System The purpose of a safety management system is to provide a systematic way to control risk and to provide assurance that those risk controls are effective Introduction to Safety Management Systems April 18 & 19, 2007

4. Copyright Safety Operating Systems 2008 4 AC 120-92

5. Copyright Safety Operating Systems 2008 5 AC 120-92 A NPRM requiring SMS is expected in 2008

6. Copyright Safety Operating Systems 2008 6 AC 120-92 SMS and business considerations are compatible not competitive

7. Copyright Safety Operating Systems 2008 7 AC 120-92 SMS concentrates on process

8. Copyright Safety Operating Systems 2008 8 ICAO Annex 6 Requirements “…a safety management system acceptable to the State of the Operator that, as a minimum: –identifies safety hazards; –ensures that remedial action necessary to maintain an acceptable level of safety is implemented; and –provides for continuous monitoring and regular assessment of the safety level achieved.” –…and, aims to make continuous improvement to the overall level of safety (proposed amendment)

9. Copyright Safety Operating Systems 2008 9 Annex 6 requirements (cont.) “An accepted safety management system shall clearly define lines of safety accountability throughout the operator’s organization, including a direct accountability for safety on the part of senior management.”

10. Copyright Safety Operating Systems 2008 10 IATA (7) External Audits. External audits of the SMS may be conducted by the regulator (FAA), code-share partners, customer organizations, or other third parties selected by the operator. These audits not only provide a strong interface with the oversight system (SMS-O) but also a secondary assurance system. Organizations may elect to have third-party audits of their SMS from organizations such as the IATA or other consultant organizations. AC 120-92

11. Copyright Safety Operating Systems 2008 11 Auditing Internal –Interdepartmental –Regular Interval –Vendor Are they maintaining North American Airlines standards?Are they maintaining North American Airlines standards? External –DOD –IOSA –ATOS –SOS

12. Copyright Safety Operating Systems 2008 12 IOSA ORG - Organization FLT -Flight DSP -Dispatch CAB -Cabin MNT -Maintenance SEC -Security GRH -Ground Handling CGO -Cargo

13. Copyright Safety Operating Systems 2008 13 Auditing Helps Maintain Standards Good audits can help maintain good standards Good standards help maintain good safety

14. Copyright Safety Operating Systems 2008 14 Safety Culture Top management shall promote the growth of a positive safety culture through: 1) publication of senior management’s stated commitment to safety to all employees; 2) visible demonstration of their commitment to the SMS; 3) communication of the safety responsibilities for the organization’s personnel; 4) clear and regular communication of safety policy, goals, objectives, standards, and performance to all employees of the organization 5) an effective employee safety feedback system that provides confidentiality as is necessary; 6) use of a safety information system that provides an accessible efficient means to retrieve information; and 7) allocation of resources essential to implement and maintain the SMS. AC 120-92

15. Copyright Safety Operating Systems 2008 15 Safety Culture Philosophy – –What we think about it Policy – –What we do Procedure – –How we do it Practice – –Doing it

16. Copyright Safety Operating Systems 2008 16 Safety Culture What is the culture of the airline that loaded this?

17. Copyright Safety Operating Systems 2008 17 Likelihood vs. Severity AC 120-92

18. Copyright Safety Operating Systems 2008 18 Likelihood vs. Severity How likely is the risk to occur? How severe is the risk?

19. Copyright Safety Operating Systems 2008 19 Likelihood vs. Severity Not likely but severe

20. Copyright Safety Operating Systems 2008 20 Document and Implement Documented and implemented – –Written and accomplished Documented not implemented – –Written but not accomplished Implemented not documented – –Accomplished but not written

21. Copyright Safety Operating Systems 2008 21 Advantages to SMS and TRAINING A better running operation A safer operation A more efficient operation A more adaptive operation An operation more focused on the future than the past

22. Copyright Safety Operating Systems 2008

23. 23 Change In FAA Oversight More internal checking/auditing required Canadian model Commitment to SMS by last and acting Administrators EASA

24. Copyright Safety Operating Systems 2008 24 Summary Safety expectations are rising The industry has a very good safety record, however, it must get better Safety programs must make business sense – –Risk vs. reward – –Severity vs. likelihood

25. Copyright Safety Operating Systems 2008 25 Summary Risks must be managed Managing risks is difficult –Balance mitigations –Effectiveness –Cost

26. Copyright Safety Operating Systems 2008 26 Summary Losses are much more expensive than the direct cost

27. Copyright Safety Operating Systems 2008 27 Summary Good Emergency Response Plans are essential SMS is a very good proactive program to reduce risks Audits of Training are good proactive methods to increase Safety and efficiency.

28. Copyright Safety Operating Systems 2008 28 Questions/Comments?

29. Copyright Safety Operating Systems 2008 29 Operational Training & Safety Solutions