The

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• The Why and What of Safety Management Systems

Presented by Captain Rick Clarke Director, SMS
Project Air Line Pilots Association
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The Issue of Safety

• What do we understand?
• The record is a good one
• Air transportation will continue to grow
• The Air Transportation System is outgrowing the
  capabilities of the current aviation safety system

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Safety Efforts are Changing

• What is Driving this?
• Financial stress for Air Carriers and Regulators
• A Tangle of Regulations, Standards, Annexes,
  Policies and Procedures
• Lessons Learned

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The Issue of Focus

• What does ALPA want for the Industry?
• Safe and Efficient Air Carrier Service
• Effective and Strong Air Carriers

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Two Ways to Look at Safety
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The Traditional Way Regulatory Safety

• A foundation of rules aimed to improve the
  standards of behavior, practice and of
  operatingthe level of which is governed by
  societal, cultural, philosophical factors, legal
  systems, technological progress and experience.

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Regulatory Safety Has Limits

• Design, manufacture and operations of aircraft
  must comply with regulations
• but you cant write a regulation to address
  every potential hazard
• so, the goal becomes compliance with existing
  rules ignoring other hazards

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Regulatory safety is Reactive
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What is the Regulators Duty?

• It is NOT safety achievement
• It IS safety oversight

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What is the Airlines Duty?

• Safety achievement is the responsibility of the
  airline

Regulators diminishing resources are best
applied in assisting / enabling airline safety
management
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• 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.
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SMS comes from System Safety
Cradle to Grave Concept
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Adapted to Ongoing Organizations
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SMS ..

• Is an Operator based system
• Integrates Employee expertise
• Interfaces with Regulators oversight systems

Operator
Regulator
Employee
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SMS is the toolbox

• Management tools
• System Safety tools
• Safety Information tools

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

• a top-down program starting with the
  Accountable Executive

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SMSemphasizes Risk Management

• It integrates safety with Line Management

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

• Organizes
• Policy, Procedure, and Practice
• Management Systems and Communications

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A SMS Company
Adopts Risk Management Practices to

• Adapt to Change
• Manage Resource Application
• Understand the pitfalls of the operating
  environment

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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
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Whats in a Just Culture?

• 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
• Partnership in identifying hazards and root causes

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SMS is about

• Process
• instead of
• Events

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Focusing on Events
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Focusing on Processes
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In Business and SMS
Risk manageable, but what is it?
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Risk

• The consequence of a hazard, measured in terms of
  Probability and Severity

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Risk Assessment Matrix
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Risk Management is.
New Info?
Tracking?
.a continuous process .a closed loop
process .cross discipline
SMS
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SMS is a System that Integrates
Organization
Risk Management
Safety Information
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Keep This In Mind
SMS is the toolbox for

• Management tools
• Risk Management tools
• Safety Information tools

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The Issue of Safety

• Current safety approaches cant keep up with
  aviation growth
• We need a new approach to the problem

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The Industrys Answer

• ALPA, Regulators, Air Carriers, ICAO, IATA, IBAC

SMS
Launching a common idea and a new approach
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Access the Manual
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The End
A product from the ALPA Safety Management System
(SMS) Project