TRAINING AUDITS AND SMS

Copyright Safety Operating Systems 2008

TRAINING AUDITS AND SMSTRAINING AUDITS AND SMS

By: Captain Jack Casey, FRAeSBy: Captain Jack Casey, FRAeS

Chief Operating OfficerChief Operating Officer

Safety Operating Systems, LLCSafety Operating Systems, LLC


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Managing SafetyManaging Safety

• Safety Management Systems– ICAOICAO– IATAIATA

• IOSAIOSA

– TCTC– FAAFAA– CAA UK CAA UK


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Safety Management SystemSafety 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


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AC 120-92AC 120-92


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AC 120-92AC 120-92

A NPRM requiring SMS is expected in 2008


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AC 120-92AC 120-92

SMS and business considerations are compatible not competitive


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AC 120-92AC 120-92

SMS concentrates on process


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ICAO Annex 6 RequirementsICAO Annex 6 Requirements• “…a safety management system acceptable to

the State of the Operator that, as a minimum:– identifiesidentifies safety safety hazardshazards;;

– ensures that ensures that remedial actionremedial action necessary to maintain necessary to maintain an acceptable level of safety is implemented; andan acceptable level of safety is implemented; and

– provides for provides for continuous monitoringcontinuous monitoring and and regular regular assessmentassessment of the safety level achieved.” of the safety level achieved.”

– ……and, aims to make continuous improvement to the and, aims to make continuous improvement to the overall level of safety (proposed amendment)overall level of safety (proposed amendment)


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Annex 6 requirements (cont.)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.”


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IATAIATA

(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


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AuditingAuditing

• Internal– InterdepartmentalInterdepartmental– Regular IntervalRegular Interval– VendorVendor

• Are they maintaining North American Airlines standards?Are they maintaining North American Airlines standards?

• External– DODDOD– IOSAIOSA– ATOSATOS– SOS SOS


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IOSAIOSA

• ORG - Organization• FLT - Flight• DSP - Dispatch• CAB - Cabin• MNT - Maintenance• SEC - Security• GRH - Ground Handling• CGO - Cargo


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Auditing Helps Maintain StandardsAuditing Helps Maintain Standards

• Good audits can help maintain good standards

• Good standards help maintain good safety


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Safety CultureSafety 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


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• Philosophy– What we think about it

• Policy– What we do

• Procedure– How we do it

• Practice – Doing it


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What is the culture of the airline that loaded this?


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Likelihood vs. SeverityLikelihood vs. Severity

AC 120-92


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How likely is the risk to occur?

How severe is the risk?


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Not likely but severe


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Document and ImplementDocument and Implement

• Documented and implemented– Written and accomplished

• Documented not implemented– Written but not accomplished

• Implemented not documented– Accomplished but not written


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Advantages to SMS and Advantages to SMS and TRAININGTRAINING

• 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


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Change In FAA OversightChange In FAA Oversight

• More internal checking/auditing required

• Canadian model

• Commitment to SMS by last and acting Administrators

• EASA


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SummarySummary

• 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


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SummarySummary

• Risks must be managed

• Managing risks is difficult– Balance mitigations Balance mitigations – EffectivenessEffectiveness– CostCost


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SummarySummary

• Losses are much more expensive than the direct cost


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SummarySummary

• 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.


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Questions/Comments?Questions/Comments?


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Operational Training & Safety Solutions

TRAINING AUDITS AND SMS

Documents

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