The “Why” and The “Why” and “What” of “What” of

Safety Safety Management Management

SystemsSystems

The “Why” and The “Why” and “What” of “What” of

Safety Safety Management Management

SystemsSystems

Presented by Captain Rick ClarkePresented by Captain Rick Clarke

Director, Director, SMSSMS Project Project

Air Line Pilots AssociationAir Line Pilots Association

Presented by Captain Rick ClarkePresented by Captain Rick Clarke

Director, Director, SMSSMS Project Project

Air Line Pilots AssociationAir Line Pilots Association

The Issue of The Issue of SafetySafetyThe Issue of The Issue of SafetySafety

What do we understand?What do we understand?• The record is a good oneThe record is a good one

• Air transportation will Air transportation will continue to growcontinue to grow

• The Air Transportation The Air Transportation System is outgrowing the System is outgrowing the capabilities of the current capabilities of the current aviation safety systemaviation safety system

Safety Efforts are ChangingSafety Efforts are ChangingSafety Efforts are ChangingSafety Efforts are Changing

What is Driving this?What is Driving this?• Financial stress for Air Financial stress for Air

Carriers and Carriers and RegulatorsRegulators

• A Tangle of A Tangle of Regulations, Regulations, Standards, Annexes, Standards, Annexes, Policies and Policies and ProceduresProcedures

• Lessons LearnedLessons Learned

The Issue of The Issue of FocusFocusThe Issue of The Issue of FocusFocus

What does ALPA What does ALPA want for the want for the Industry?Industry?

• Safe and Efficient Safe and Efficient Air Carrier ServiceAir Carrier Service

• Effective and Effective and Strong Air CarriersStrong Air Carriers

Two WaysTwo Ways to Look at Safety to Look at Safety

Two WaysTwo Ways to Look at Safety to Look at Safety

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

The Traditional Way – The Traditional Way – “Regulatory Safety”“Regulatory Safety”

The Traditional Way – The Traditional Way – “Regulatory Safety”“Regulatory Safety”

Design, manufacture and operations of Design, manufacture and operations of aircraft must comply with regulations…aircraft must comply with regulations…

……but you can’t write a regulation to but you can’t write a regulation to address every potential hazard…address every potential hazard…

……so, the goal becomes compliance with so, the goal becomes compliance with existing rules … ignoring other hazardsexisting rules … ignoring other hazards

Regulatory Safety Has Regulatory Safety Has LimitsLimits

Regulatory Safety Has Regulatory Safety Has LimitsLimits

Regulatory Regulatory safety is safety is

“Reactive”“Reactive”

Regulatory Regulatory safety is safety is

“Reactive”“Reactive”

What is the Regulator’s Duty?What is the Regulator’s Duty?What is the Regulator’s Duty?What is the Regulator’s Duty?

It is It is NOTNOT safety safety achievementachievement

It It ISIS safety oversight safety oversight

What is the Airline’s Duty?What is the Airline’s Duty?What is the Airline’s Duty?What is the Airline’s Duty?

• Safety Safety achievement is achievement is the responsibility the responsibility of the airlineof the airline

Regulators’ diminishing resources are best Regulators’ diminishing resources are best applied in applied in assisting / enablingassisting / enabling airline safety airline safety managementmanagement

Safety via the Safety via the ProactiveProactive Way Way

““Safety Management Safety Management Systems”Systems”

Safety via the Safety via the ProactiveProactive Way Way

““Safety Management Safety Management Systems”Systems”

A systematic and continuous A systematic and continuous ManagementManagement process based on process based on

proactive identification of proactive identification of HazardsHazards, and , and analyses of their analyses of their RiskRisk..

SMSSMS comes from System comes from System SafetySafety

SMSSMS comes from System comes from System SafetySafety

“Cradle to Grave” Concept“Cradle to Grave” Concept

Adapted to Adapted to Ongoing Ongoing

OrganizationsOrganizations

Adapted to Adapted to Ongoing Ongoing

OrganizationsOrganizations

SMSSMS ….. …..

Is an Is an OperatorOperator based based systemsystem

Integrates Integrates EmployeeEmployee expertiseexpertise

Interfaces with Interfaces with RegulatorsRegulators’’ oversight oversight systemssystems

RegulatorRegulatorEmployeeEmployee

OperatorOperator

SMSSMS is the toolboxis the toolboxSMSSMS is the toolboxis the toolbox

• Management Management toolstools

• System Safety System Safety toolstools

• Safety Safety Information toolsInformation tools

Three “Hallmarks” ofThree “Hallmarks” of SMSSMS

The airline uses and maintains a robust Risk

Management system

The airline uses and maintains a robust Risk

Management system

The airline has a non-punitive safety reporting system for all

the employees

The airline has a non-punitive safety reporting system for all

the employees

The CEO establishes the policy and sets the SMS

into motion

The CEO establishes the policy and sets the SMS

into motion

SMSSMS isis……SMSSMS isis……

… … a top-down program a top-down program startingstarting with the with the “Accountable Executive”“Accountable Executive”

SMSSMS…emphasizes …emphasizes Risk ManagementRisk Management

SMSSMS…emphasizes …emphasizes Risk ManagementRisk Management

……It integrates safety It integrates safety with with Line Line ManagementManagement

Parallel Approaches in Business andParallel Approaches in Business and SMSSMSThe Business The Business

ApproachApproach

SMSSMS is the link is the link between the two between the two

similar similar approaches to approaches to

“business”“business”

The Safety ApproachThe Safety Approach

Mission - Mission - Mission - Mission -

Vision - Vision - Vision - Vision -

Corporate Goals - Corporate Goals - Safety Goals - Safety Goals -

Policies - Policies - Policies - Policies -

Requirements - Requirements - Requirements - Requirements -

Business Processes:Business Processes: SRASRA Processes: Processes:

Identify Non-ComplianceIdentify Non-Compliance Identify Hazards / Non-Identify Hazards / Non-ComplianceCompliance

Implement SolutionsImplement Solutions Implement Hazard ControlsImplement Hazard Controls

Measure PerformanceMeasure Performance Measure PerformanceMeasure Performance

Lessons LearnedLessons Learned Lessons Learned – Improve Lessons Learned – Improve ProcessProcess

Repeat the ProcessRepeat the Process Repeat the ProcessRepeat the Process

A A SMSSMS Company… Company…A A SMSSMS Company… Company…

Organizes:Organizes:

Policy, Procedure, and Policy, Procedure, and PracticePractice

Management Systems Management Systems and Communications and Communications

Organizes:Organizes:

Policy, Procedure, and Policy, Procedure, and PracticePractice

Management Systems Management Systems and Communications and Communications

A A SMSSMS Company… Company…A A SMSSMS Company… Company…

Adopts Risk Management Practices to:Adopts Risk Management Practices to:

• Adapt to ChangeAdapt to Change

• Manage Resource Manage Resource ApplicationApplication

• Understand the Understand the pitfalls of the operating pitfalls of the operating environmentenvironment

A A SMSSMS Company… Company…

Develops a “Just Develops a “Just Culture” or “Safety Culture” or “Safety Culture” to:Culture” to:

Develops a “Just Develops a “Just Culture” or “Safety Culture” or “Safety Culture” to:Culture” to:

Capture the operational knowledge and experience of the employees

Involve the employees in the safety achievement process

What’s in a “Just Culture?”What’s in a “Just Culture?”

• The immediate response is to The immediate response is to find “what happened,” not find “what happened,” not “who to blame and punish”“who to blame and punish”

• Acceptance that more can be Acceptance that more can be learned through full reporting learned through full reporting and detailed investigationand detailed investigation

• Partnership in identifying Partnership in identifying hazards and root causeshazards and root causes

SMSSMS is about… is about…““ProcessProcess” ”

instead ofinstead of

““EventsEvents””

Focusing on “Events”

Focusing on “Processes”

Root Causes

In Business and SMSSMS

““Risk” manageable, but what Risk” manageable, but what is it?is it?

““Risk”Risk”““Risk”Risk”

The consequence of a hazard, measured The consequence of a hazard, measured in terms of in terms of ProbabilityProbability and and SeveritySeverity

Risk Assessment MatrixRisk Assessment Matrix

PROBABILITY

54321

543211

1086422

15129633

201612844

2520151055SEVERITY

IdentifyHazards

AnalyzeHazard(s)

AssessRisk

ManageRisk

EvaluateHazardControls

ModifyProcess

Risk Management Risk Management is….is….

Risk Management Risk Management is….is….

….a continuous process

….a closed loop process

….cross discipline

….a continuous process

….a closed loop process

….cross discipline

New Info?

Tracking?

SMSSMS is a “System” that is a “System” that Integrates …Integrates …

SMSSMS is a “System” that is a “System” that Integrates …Integrates …

OrganizationOrganizationOrganizationOrganization

Risk Risk ManagementManagement

Risk Risk ManagementManagement

Safety Safety InformationInformation

Safety Safety InformationInformation

Keep This In Mind…Keep This In Mind…Keep This In Mind…Keep This In Mind…

ManagementManagement tools tools

Risk ManagementRisk Management toolstools

Safety InformationSafety Information tools tools

ManagementManagement tools tools

Risk ManagementRisk Management toolstools

Safety InformationSafety Information tools tools

SMSSMS is the toolbox for…is the toolbox for…

The Issue of The Issue of SafetySafetyThe Issue of The Issue of SafetySafety

• Current safety Current safety approaches can’t approaches can’t keep up with aviation keep up with aviation growthgrowth

• We need a new We need a new approach to the approach to the problemproblem

• Current safety Current safety approaches can’t approaches can’t keep up with aviation keep up with aviation growthgrowth

• We need a new We need a new approach to the approach to the problemproblem

The Industry’s AnswerThe Industry’s AnswerThe Industry’s AnswerThe Industry’s AnswerALPA, Regulators, Air Carriers, ICAO, IATA, ALPA, Regulators, Air Carriers, ICAO, IATA,

IBACIBAC

Launching a common idea and a new approach:

SMSSMS

Access the Manual…Access the Manual…Access the Manual…Access the Manual…

The EndA product from the ALPA Safety Management System

(SMS) Project