1. Airborne Law Enforcement Association FAA FAAST Conference Kansas City, Missouri Safety Management System -------------------------------------------------------- Keith Johnson Safety Program Manager

2. The topic of the day Whose job is it?

3. IHSS  Safety is most important  Need to collect data – Collect flight hours – Collect Serious Incident Information – Expedite Accident Reporting  Increased training – Scaled check-rides based upon experience  Reduce accidents by 80% over 10-years  Focus on leadership  Non-punitive reporting  Accountability  Accidents can be eliminated

4. “SAFETY” Management  It holds the key to our future  It affects everything we do (SMS)  Every accident affects everyone

5. ACCIDENT ELIMINATION  Must be proactive – Reached plateau – Pilots focus on flying aircraft – Two person crews – Focus on risk management  Adverse Trends – Identify and eliminate adverse trends – Incidents - Investigate & disseminate findings – Factory emergency procedures training  Don’t reinvent the wheel  No new causes of accidents  Copy successful organizations  Accreditation  Flying to higher standard

6. “It’s insane to think that doing the same thing over & over will have a different result.” Why do we continue to make the same mistakes?

7. IHST SMS Industry Working Group  Don Arendt, PhD – FAA SMS Program Mgr.  Gordon Dupont – CEO System Safety  J. Heffernan – HAI Director of Safety  David Huntzinger PhD – AeroSSQQ  Peter Gardiner PhD. – CEO So. Cal. Safety Inst.  Denise Uhlin – Bristow Group  Keith Johnson – ALEA Safety Program Manager

8. Why is having an SMS important? 1. Widely recognized as best practice 2. Reduces number of accidents 3. Reduces costs 4. Reduces probability of occurrences 5. Reduces severity of occurrences 6. Reduces exposure to risk 7. Increases likelihood of completing the mission

9. IHST SMS DELIVERABLES  SMS Toolkit & Exemplars  SMS Mentoring Program  SMS Promotion – 30 Safety Industry-wide articles on SMS – SMS PPT on IHST website – 21 Industry-wide SMS presentations  Computer SMS Training Program  Return on Investment Training  Testified at NTSB HEMS hearing  Meetings with NTSB on accident investigation

10. SMS Process  Need “sense of urgency” at top of every organization – ICAO, FAA, IHST, HAI, ALEA, AAMS, Operators – Everyone is in the same boat  Create the “Guiding Coalition” - IHST  Develop a Vision and Strategy  Communicate Change Vision  Broad-Based Action – SAFETY, TRAINING, MAINTENANCE INFRASTRUCTURE  Consolidate gains to produce more change  Anchor new approaches in the Culture

11. Phase-1 SMS  Safety & Quality Policy  Safety Planning  Organization Structure & Responsibilities  Compliance with legal & other requirements  Develop procedures & controls  Safety Promotion  Safety Culture  Communication & Awareness  Competence  Training

12. PHASE-2 SMS  Emergency Preparedness & Response  Documentation & Records Management  Safety Risk Management  Identify Hazards  Analyze, assess & control Safety Risk

13. Safety Assurance & Internal Evaluation  Information Acquisition  Analysis of data  System Assessment  Preventive/corrective action  Management Reviews

14. Safety Promotion  Safety Culture  Personnel requirements (competence)  Training  Recognition & Awards  Safety Bulletins, posters, hazard reports  Feedback  Lessons learned  Meetings and events

16. RISK MANAGEMENT Mission Mission Standards Standards Training Training Equipment Equipment Supervision Supervision Assessment Assessment Accountability Accountability Open reportingOpen reporting Feedback Feedback Just CultureJust Culture

17. JUDGMENT & ACTION ERRORS  Failure to manage known risks  Mission urgency & risk taking – Will to succeed  Flight profile unsafe – Crew Qualifications – Aircraft Suitability – Mission Requirements – Environment  Judgment errors committed  Failure to follow procedures  Poor CRM  Poor Aircraft Control – Over confidence – Loss of situational awareness

18. What Does Having an SMS Give?  We will now concentrate on describing the three key processes generically  Once you understand these, the rest becomes more readily apparent  But first some more definitions…

19. Safety Culture  The essential human component of organizations  You are rated, you are trained, but are you COMFORTABLE?  Consists of values, beliefs, norms, legends rituals, mission goals, performance measures and a sense of responsibility to its employees, customers and the community.  You cannot turn SAFETY on & off

20. Positive Safety Culture  Generated from top down (set the stage)  Words & actions  Safety in decision-making  Safety as a core value  I.D. its activities as high risk & high consequence  Trust permeates the organization  Trust is essential ingredient in safety management  Employees supported making decisions in the interest of safety

21. Positive Safety Culture  Hazards & risks actively sought  No shooting the messenger  Everyone vigilant about activities  People trained to recognize & respond  When I.D. Investigate and mitigate  Responsibility for safety is shared  High performance standards established and monitored (technology)

22. Safety Management Training Requirements  Safety orientation for all new personnel  Document competency requirements  Document training requirements  Have regularly scheduled safety meetings  Key personnel educated on safety management best practices

23. TRAINING  Training is the only substitute for experience  SMS training is mandatory  What are the consequences of lack of training? – Lack of knowledge & skill – Poor decision making – Accidents – Incidents – Loss of support and funding & elimination of the organization

24. JHSAT STUDY RESULTS Three themes came from JHSAT study: 1. Better training 2. Better Operational Oversight 3. Implementation Safety Management System

25. Results of full year 2000 dataset

27. Introduction to the Toolkit  Contains SMS guidance material  Sample SMS Manual  Provides a foundation for implementing SMS  IHST needs feedback  Compliant FAA AC 120-92

28. Just Culture  A ‘blame culture’ undermines open reporting  A ‘no-blame culture can undermine accountability & responsibility  Defines clear lines of what is and is not acceptable behaviour  If other personnel could make the same error occasionally then we must change the controls not discipline the personnel – Holding people accountable through a disciplinary process is only relevant for: Gross negligence Persistent sub-standard performance Wilful recklessness

29. Just Culture Process

30. Performance Based SMS  Rather than specify an organizational configuration or architecture, the SMS Toolkit deals with “SMS Attributes.”  These attributes describe the performance of a successful SMS.  Meeting the performance standard is what is critical… the configuration or architecture is dependent on the size and scope of the operation.

31. The Attributes of an SMS 1) Safety Policy 2) SMS Management Plan 3) Safety Promotion 4) Document and Data Information Management 5) Hazard Identification and Risk Management 6) Occurrence and Hazard Reporting 7) Occurrence Investigation and Analysis 8) Safety Assurance Oversight Programs 9) Safety Management Training Requirements 10) Management of Changes 11) Emergency Preparedness and Response 12) Performance Measurement and Continuous Improvement

32. Promotion of SMS  Safety must be a core value – Procedures, practices, training & allocation of resources  Mechanics – Websites – ALEA, HAI, AAMS, PHPA, TOPS, ICAO, AHS, FAA, Transport Canada  Benefits – Reduced costs by eliminating accidents – Insurance and performance based discounts

33. REWARDING SAFE BEHAVIOR  Timeliness – ASAP  Recipient – Focus on individuals  Presentation – Public presentation  Personalize – Name on the award  Possession – Keep and display  Value - $ not important

34. Success Solutions  Reinforced bad behavior breeds continued bad behavior  Rationalization of the gravity of the situation seems to lessen the risk in our minds, but in reality does not  Habitual rule breaking is often condoned by management when they look the other way  Does complacency play a role in this issue?

35. FINAL THOUGHTS  Can achieve our objective  Industry is mobilized  Only one chance to achieve objective  Requires everyone’s commitment