Tag Archives: SMS

Critical Aspects of an Effective Safety Management System

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In the Aviation Industry, organization is crucial to FAA compliance. In the past, when tracking information regarding safety issues such as incident documentation, event response, and follow-up procedures, the most common method to capturing this critical information had been through paper and pen.

However, a new alternative has been surfacing. Recently, more and more airports are moving towards an online system to automate their safety management process. For airports, these systems allow them to proactively address safety issues, document and avoid potential hazards, and improve their incident response procedures.

There are 3 key attributes crucial to a Safety Management System (SMS) Solution.

Data Sharing and Documentation

Airports understand that incident documentation is critical to gaining operational insights which can help in the prevention of accidents and incidents. One of the key benefits of using software to manage SMS is the ability to provide various stakeholders with the ability to document safety information anywhere through the use of mobile devices. Airport stakeholders now have the capability to report safety issues, attach images to reports, and alert airport personnel regarding safety events, straight from the field. Not only can they submit reports more efficiently, but the information can be easily distributed and shared to relevant stakeholders. SMS solutions offer automated alerting capabilities that will automatically alert designated personnel of any safety events that have been reported.  

Using transaction logs to track development of a report or event provides clarity and organization to a system. From start to finish, transaction logs document the entire progress of a form, enabling the user to view any revisions, additions, or amendments that have occurred.

Configurability

Using a configurable reporting system allows for ease of adaptation to changing events. Reports, submissions, and incidents are always developing, so keeping up with the associated documentation can be challenging. Configurable reporting systems provide a simple solution to this by offering user friendly forms that can adapt to the various changes airports face.

One way to permit dynamic access to the system is by using customizable rules and privileges. In having the ability to create specialized privileges, different access levels can be assigned to users that help divide labor and create a more organized safety management environment.

Queryable Data and Trend Analytics

Having queryable data makes trend analysis easy. By using a queryable system, critical details of an event such as description, causes, and severity can be searched by keywords or phrases that detect the similarities in various safety events. Additionally, this data can be visualized by specific fields to help provide a holistic representation of trends. These trends can be downloaded and shared to bring attention to important events.

Conclusion

As the aviation industry is transitioning to increased digitization, airports are starting to see the benefits that intuitive online solutions provide. These solutions allow a more efficient data gathering process, provide the flexibility to adapt with a constantly evolving airport, and revolutionize the safety management process for the better.

 

 

SMS – The Time is Now

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The aviation industry was buzzing this week with the news of the released guidelines for SMS implementation from the FAA. This Supplemental Notice of Proposed Rulemaking (SNPRM) provided clarifications, guidelines, and a timeline to what will be coming soon in SMS implementation.

The FAA has proposed that an SMS be “developed, implemented, maintained, and adhered to” at all certificated small, medium, and large hub airports, all airports with a port of entry or international designation, and airports with over 100,000 total annual operations. According to the FAA, this accounts for 268 airports operating in the United States, covering over 98% of all U.S. passenger enplanements.

It is no secret that the FAA has been planning to implement SMS requirements for some time. In fact, the first proposed rulemaking on SMS was released in October 2010. Since then, many adjustments have been made and several pilot programs have been conducted. These efforts and studies, along with industry feedback, have led the FAA to their current proposal. Many airports – including Cat X airports such as Denver International – have already implemented an SMS program to stay ahead of these forthcoming regulations.

But what exactly will an SMS need to accomplish for an airport? In short, an SMS should operate as “a management system for integrating safety activities into normal day-to-day business practices.” The four components of SMS; safety policy, safety risk management, safety assurance, and safety promotion must be addressed and integrated throughout the airport’s organization by an SMS program. In turn, this will allow airport personnel to identify and mitigate hazards and risks before they cause incidents or accidents, and plan everyday operations in a manner that enhances safety.

For airport executives, the time to act on this news is now. The FAA making significant strides toward implementing this SMS requirement. It is imperative that airport executives begin to look into these requirements and begin planning how their airports will comply with them.

To view the referenced SNPRM, click here.

Staying ahead of the Regulatory Curve with SMS

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Nearly everyone working in the aviation industry is aware of the FAA’s promotion of Safety Management Systems. These new systems provide a way to improve one of the most major concerns of airports – safety.

Better known by their acronym SMS, these systems provide a systemic approach to managing all sides of safety at an airport. The FAA has done pilot projects to test and measure the effectiveness and implementation of SMS. With this in mind, the FAA seems ready to make SMS a regulatory requirement for Part 139 airports in the near future to further improve safety.

However, this does not mean that airports should delay exploring SMS options or procuring a system of their own until the FAA releases their guidelines. There are many benefits to being ahead of the regulatory curve.

Airports of all sizes — including Category X airports like Denver International — have already seen the value of implementing SMS systems. By using an SMS to proactively detect and address safety concerns, these airports have sought to increase the efficiency of their safety personnel and improve their safety operations.

The market has readily responded to these developments in aviation. SMS has become a widespread and well-known product. With so many options available, airport administrators must be selective about the type of SMS they choose. Three key factors must always be at the forefront of every airport manager’s mind when selecting a system: specificity to airports, availability of data analytics, and the ability to customize.

Having an SMS that is specific to airports is crucial to the airport’s successful implementation and use of the SMS. A system taken from another industry for use in the aviation industry will not perform or even fit the needs of airports as well as one that is clearly designed for aviation. Therefore, airports must look for an SMS that has been designed and built with airports in mind as the primary users.

The presence of onboard data analytics within an SMS is a valuable feature for airports of all sizes. A great SMS will present clear and easily understandable analytics, displaying important data through everything from heat maps and bar graphs to pie charts and line graphs. Overall, the analytics should allow airport staff to quickly see the most pressing trends in regards to safety incidents and reports in order to allow the staff to react and improve areas that may need attention.

The capacity for customization is also a key component to consider when procuring an SMS. Those in the aviation industry know that every airport is different and has different needs. A specific SMS that may work for one airport may not meet the needs or match the processes of another airport. The ability for an airport manager to have an SMS customized to their airport becomes vital. Airport management can ensure that the company they are procuring from will be delivering a system that specifically fits their needs and matches their processes. This similarity enables a smooth transition process for the airport staff to an SMS. It also means the airport will not need to change their processes to fit an SMS — these systems should be adaptable to fit the airport, not the other way around.

With action from the FAA, many airports may be looking to procure a system within a short period of time. By procuring an SMS in the near future, airports can stay ahead of the regulatory curve and ensure they receive a robust, customizable SMS that fits their needs and noticeably improves safety at their airport.

Safety Management System Deficiencies

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Safety is paramount when it comes to aviation operations. The many regulations and systems make it the secure structure the aviation industry is now.

But the industry is still relatively young in regards to travel. Slowly it is changing from the ineffective reactive strategies of the past to the proactive planning of the future.

Argus Pros audits and examines many facets of the aviation industry, and one of their yearly releases examines Safety Management System (SMS) deficiencies. A total of 84 audits were done for the year of 2014, and Argus Pros found a number of areas with high deficiency probability within the realms of an SMS.

The three worst areas in terms of errors were the Internal Evaluation Programs (IEP), Risk Assessment, and Safety Management System Training. The three all had a deficiency probability above 67 percent, with IEP being the highest at 81 percent. The remaining areas of SMS almost all had a deficiency probability over 33 percent, with only five of the listed fifteen areas having below that.

For each deficiency, multiple solutions and strategies were put forward to help those who were lacking in the specific areas.

Argus Pros found a few ways to improve the Internal Evaluation Program. They suggest that all the processes involved be documented thoroughly, all auditors to be properly trained in their duties, and everything is operated following the Safety Management System manual.

The deficiencies in Risk Assessment can be remedied through the proper application of strategies when new changes are made to the company, environment, procedures or even the current level of risk, according to Argus Pros. In turn, organization policy may change or new procedures could be created due to Risk Assessment.

Safety Management System Training would ensure th¬at all employees are properly trained in how to use and utilize all the aspects of Safety Management Systems. Annual safety training for employees is necessary, according to Argus Pros. Training should include how to perform root cause analysis, the staff needs to be aware of how to investigate aircraft accidents, report, and track hazards and always perform risk assessment and analysis.

Training for such should be done right away and regularly, either in a class, through the Internet or another venue. This will ensure that everybody is trained to guideline and industry standards and are capable employees.

These numbers may seem frightening at first, but the fact that we know of the deficiencies will allow us to work towards a better future. A more structured safety system is also being pushed to the forefront with new rulings coming into effect, such as the ruling passed by the FAA requiring 14 CRF Part 121 air carriers to implement a Safety Management System under their rules and regulations.

These changes point towards an ultimately brighter and safer future of aviation as the systems mature into using proactive methods instead of reactive ones – ensuring that flights will be as safe as can be for all travellers throughout the year.

For more information, click here read the 2014 Safety Management System Audit results that Argus Pros released.

Part 121 Air Carriers will now need a Safety Management System

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This final ruling by the Federal Aviation Administration (FAA) requires all authorized Part 121 air carriers to create and put into place a safety management system (SMS).

The rule came into effect on March 9th, 2015 and requires Part 121 Air Carriers to begin the process of planning and implementing an SMS. Within six months of the date, air carriers will need to submit their implementation plan to the FAA; then within three years of the same date, have it operating.

The FAA put this ruling into place as part of a concerted effort to improve the safety of air transportation and change the industry’s reactive attitude towards safety into a proactive one.

According to the FAA, the commercial air carrier accident rate has decreased by a great amount in the United States over the past decade – but the FAA discovered a trend of what could have been preventable hazards and accidents. Spurred on by this, part 121 air carrier’s must submit an implementation plan within six months of the final ruling, and implement the SMS proposed by the end of this three-year period.

What goes into a Safety Management System?:

The Safety Management System must have the four major components: safety policy, safety risk management, safety assurance, and safety promotion. These four parts must be fulfilled in order to have a functioning and proper SMS.

Safety Policy requires the air carrier to define safety objectives and commit towards reaching them. It also calls for the designation of an accountable executive who is responsible for the safety performance and management of its operations. This executive and a sufficient management staff will be responsible for the organization, integration, implementation and maintenance of the safety management system.

The safety risk management component is fairly straightforward. It requires air carriers to develop a process of analyzing existing and potential systems, and identify hazards that might impact operations. Once they’re identified, the risk and the possibility is analyzed to determine if it’s an acceptable safety risk or not. If it is not, then methods of risk control must be implemented.

Safety assurance is the method through which “the air carrier will develop and implement processes to monitor the safety performance of its aviation operations,” according to the FAA. It is designed to be a way to monitor and audit operational processes, investigate incidents and accidents, and allow for confidential reporting of hazards and new safety improvements.

Safety promotion is the training of employees and managers to develop the tools needed to communicate necessary safety information. Involvement of employees is vital to the success of an air carrier’s safety management system. Employees must know their responsibilities and duties, and be trained in everything relevant to the safety performance of the air carrier. They must also be made aware of any information resulting from various safety management system analyzes.

The cost of implementing the rule is estimated to be $135.1 million dollars over ten years, but the benefits could be anywhere from $104.9 to $241.9 million dollars across the decade. The benefits depend heavily on the mitigation costs, but they are difficult to quantify.

The FAA has adopted the final rule with a number of minor modifications based on comments. Some of the important changes are as follows:

Scalability:

Scalability was addressed – though the rule was not limited as suggested. The FAA recognized the impact that the rule could make on small businesses. The FAA designed the requirements to be applicable to all air carriers, making sure that all sizes, scopes, complexities and types were covered. 14 CFR 5.3 was revised in order to fit these changes.

Scope:

A number of entities asserted that the rule was too broad and would reach beyond the Federal Aviation Administration’s oversight authority. Commenters suggested that the rule be revised in such a way to limit SMS to areas that would only directly affect aviation activities. The FAA took the comments into account and limited it as such.

The FAA acknowledged that some airports may only use their safety management systems on the narrow range where it is required, and others may expand it beyond that. If an air carrier decides to expand, the FAA will continue to only oversee SMS related activities in accordance with the provision.

Protection of Information under FOIA:

Sixteen organizations raised concerns about SMS data not being protected from disclosure under the Freedom of Information Act. The consequence would be that the Federal Aviation Administration’s oversight would be compromised because of the lack of data being submitted to them. Commenters said that the protection of data is vital to ensuring the free-flow of information with the FAA.

The FAA noted that there are already protections afforded to voluntarily submitted reports, data and such under Public Law 112-95 (the FAA Modernization and Reform Act of 2012) – as long as it has been produced or collected to develop and implement a safety management system.

Enforcement:

The FAA was asked to publish its plan for compliance and enforcement. The FAA stated that each SMS would be uniquely designed to meet the needs and wants of each air carrier. Determining compliance will depend on what is needed in each case – meaning discretion will be exercised in deciding how to enact enforcement.

The FAA also acknowledged that a fundamental concept of safety management system is for the air carriers to identify and correct their own noncompliance – which is not a new concept with FAA policy.

There are many more items that were discussed and addressed in the comments and by the FAA – so if these are of interest or affect you, read on in the full final ruling on the topic issued by the FAA here. (January 2015)

The Importance of Safety Management Systems at Airports

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Organization and consistency is a large part of having a well-oiled and functional Safety Management System in an airport. Without a consolidated way to gather and organize information, you are left with stacks of paper across many places – making it difficult to solve and prevent safety issues.

This is an issue easily solved by using technology as a solution to the cluttered, disorganized and potentially wasteful systems that rely on paper.

Dallas FW Airport’s Thoughts & Discoveries during their Pilot Study:
In the FAA’s report on the Airport SMS Pilot Study, Dallas/Fort Worth Airport (DFW) stated that SMS software integration early in the process is the key to success. They developed their own software in-house, and allowed the fields to be filled by staff and management.

DFW also had purchased laptops for field reporting, allowing reporters to include location information using the airport’s GIS technology.

Before the software approach to SMS, DFW reported incidents on paper and in loose forms as “free text” in a database – leading to documentation being stored in a varied of places. The old method was a “cumbersome, labor-intensive, and inconsistent reporting system” according to Julie Schreacke in the FAA’s Pilot Study November 2011 Roundtable Meeting Study.

Advantages of using software for SMS:
Using software as an SMS solution not only allows an airport to cleanly, efficiently and consistently having things reported and organized, but it turns SMS into a green and paperless process.

Having everything streamlined and reported in real time makes sure that issues can be taken care of as soon as possible, lessening the dangers and risks associated with untended problems.

ProDIGIQ’s Airport Safety Management System:
ProDIGIQ’s software solution to the problem, ProSMS, brings together SMS and other safety necessities, systems and modules in airport operations under a single, customizable sign-in portal. This allows easy gathering of information and global visibility across everybody involved in SMS at the airports with the product in action.

ProSMS has various modules, with access split and approved in whatever fashion is best for the airport. Events related to hazards, incidents, accidents and citations can be submitted for monitoring and recording.

There is an Investigation Module designed to allow personnel to record findings and discuss them by adding notes, images and more.

This collection of modules can be assigned to the various employees and staff that would need to access it, allowing everybody to be able to do their part without being confused by extra information that isn’t pertinent to their duties.

In the end, organized software systems are the best way to start and continue the process of implementing a SMS at an airport. Everything is kept in a central database; the information is visualized in many ways; employees and staff get access to only what they need; and it’s a great way to go green and get rid of lots of paper clutter.

Safety Management Systems – A History for Part 139 Airports

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Safety is an ever-important part of the modern world due to our reliance on technology, machinery and other infrastructure built into our cities and towns – This is no different for the aviation industry, given the possible dangers of working with large machinery, many people, and upkeep of various systems.

This is where the International Civil Aviation Organization comes in. They proposed the idea of a required Safety Management System that airport operators must put into action. The Federal Aviation Administration (FAA) initiated this as a pilot study in May of 2010 for Part 139 certified airports, and it has been worked on since.

The Safety Management System (SMS) is, at its center, a collection of methods and strategies to constantly improve and maintain safety measures in airports and airlines across the United States.

There are four parts that make up a safety management system: Safety Policy, Safety Risk Management, Safety Assurance and Safety Promotion. Safety Policy is the foundation for the system, outlining the methods and tools necessary to reach safety goals and outlines management responsibility and accountability.

Safety Risk Management is the heart of SMS. It is a set of rules and processes that are used to identify hazards before they become an issue, digest safety risks, and create strategies to keep dangers to a manageable low.

Safety Assurance is the process used to keep meeting safety standards and objectives, as well as constantly improving general safety. This encompasses everything from information gathering and analysis to putting into action preventative and corrective measures for when safety goals are not met.

The final, all-encompassing component of SMS is Safety Promotion. This is what fosters the environment in which safety can be achieved, and is necessary to keep the objectives and goals managed. Promoting a positive safety culture allows employees to understand the SMS in place, communicate effectively, competently manage their responsibilities, continuous training, and share information well.

The idea of a required safety management system first came into being in 2006, proposed by the International Civil Aviation Organization (ICAO). ICAO Annex 6, Part 1 directed all member states from January of 2009 and onward to have operators implement a safety management system.

Originally, SMS requirements were aimed at Part 121 Air Carriers. But in May of 2010, the FAA began a process to bring Part 139 airports under the same requirements for their airfield environments.

Fourteen airports participated in the pilot study, and all 14 applied for the Airport Improvement Program assistance, receiving a range of funds from $78,000 to $500,000.

Rulemaking by the FAA for Airport SMS is currently in the Supplemental Notice of Proposed Rulemaking (SNPRM) stage, meaning the rulemaking is still open to comments. The projected date for it to go to OMB is December 15, 2014, and is aimed to go through OMB Clearance by March 15, 2015. The end of the comment period is now aimed for May 20, 2015.

Time will tell what changes will be made for Part 139 Airports in regards to SMS requirements, and prepared airports will be a step ahead of the rest.