We Just Bought SMS
--Now, What Do We Do?
Presented to:
LAWYER PILOTS BAR ASSOCIATION
Winter Meeting, 2011
by:
MICHAEL L. DWORKIN
MICHAEL L. DWORKIN and ASSOCIATES
465 CALIFORNIA STREET, SUITE 210
SAN FRANCISCO, CALIFORNIA
Telephone: 1-415-421-2500
FAX: 1-415-421-2560
www.avialex.com
Copyright 2011. Michael L. Dworkin. All rights reserved
Traditional Aviation Mishap Inquiry
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what happened?
has it happened before?
how did it happen?
who was/is responsible?
was everybody appropriately trained?
were people following prescribed instructions, procedures
and manuals?
were these instruction, procedures and manuals adequate?
were independent contractors involved? If so, were they
complying with their contracts and the instructions provided
to them?
were quality control procedures adequate?
how do we avoid recurrence?
SMS—The Basics
Four Simple (or not so Simple) Questions:
• What is going to cause the next
accident?
 How do we know?
 What are we doing about it?
 Is it working?
What SMS does:
Instead of waiting for a mishap (or regulatory violation) to
occur, SMS proactively addresses beforehand:
-what risks are we facing?
-are people appropriately trained and qualified?
-are instructions, procedures and manuals adequate?
-is there sufficient oversight of independent contractors?
-are quality control procedures adequate?
-what remedial measures must we take?
-what measures must we take to minimize foreseeable
risks?
-how do we continuously monitor and assess the
appropriateness and effectiveness of our safety
management activities?
And essentially makes every employee a “QA Manager”
Managing Compliance vs. Managing Risk
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Rules and regulations follow accidents—
they don’t precede them
Managing Risk requires:
• Acknowledgement and assessment of
risk
• Allocation of resources and attention
• Just Culture:
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Safety reporting is rewarded and not
punished; and
Willingness to go beyond minimum
compliance
Regulatory Basis for SMS
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ICAO: In 2006, ICAO required that all member
countries implement SMS for operators and
maintenance organizations. November 18, 2010
deadline has come and gone.
FAA: No current regulatory mandate for air
carriers or other operators. FAA NPRM
(November 5, 2010) to require FAR 121 air
carriers to implement SMS within 3 years.
Outside of US: Business aviation operators who
travel outside of the US are subject to another
country’s safety requirements. Bermuda and
several Caribbean countries require that business
operators have SMS or demonstrate that one is
being implemented for entry.
Examination of Each Aspect of Operations
-Flight operations;
-Maintenance and inspection;
-Dispatch/flight following;
-Cabin safety;
-Ground handling and servicing;
-Cargo (and hazmat) handling; and
-Training
and thoroughly evaluate potential risks associated with each,
retrospectively and prospectively.
See:
FAA Advisory Circular (AC) 120-92A
www.faa.gov/about/initiatives/sms
To achieve this:
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Corporate culture must be consistent with SMS
goals;
Lines of internal communication must be open;
Employees must be encouraged to report safety
concerns;
Management must provide environment
conducive to data sharing;
Employees must feel that they can trust
management to be responsive to reported
concerns, free of retaliation;
Company support of employees in defense of FAA
investigations/enforcement actions.
Don’t Purchase SMS and Put it on a Shelf.
SMS must be used in connection with other
programs:
FAA Programs:
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Voluntary Self Disclosure Reporting Program (AC 120-58);
Internal Evaluation Programs (AC120-59A);
Aviation Safety Action Plan (AC120-66);
Flight Operations Quality Assurance (AC120-82);
Continuing Analysis and Surveillance System (AC120-79);
FAA/NASA Aviation Safety Reporting Program (AC00-46D).
Other Programs:
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IS-BAO (International Standard for Business Aircraft Operations);
Air Charter Safety Foundation (ACSF) Registration;
Argus rating;
Wyvern registration.
Not Just for Air Carriers
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Business and Corporate Aircraft Operators;
Repair Stations;
Airports (airfield and ramp areas);
FAA Air Traffic Organization.
Caveats:
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Working relationship between certificate holder/operator and FAA
FSDO;
FAA disclosure of voluntarily provided information;
Courts: American Crash at Cali, Colombia; Comair Crash at
Lexington, KY;
Canada: First to impose SMS legal requirement, but no protection
of data;
In fact, the US is the only country which affords protection of
data;
Attorney-client privilege;
Can data and/or response to data become a liability?
Criminal Proceedings
• 49 U.S.C. 46301, et seq.
• 18 U.S.C. 1001