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The Ongoing SMS

PRESENTED BY:

Joseph N Briggs - VP Aviation, C&S Wholesale Grocers Inc.

Schedulers & Dispatchers Conference | New Orleans, LA | January 14-17, 2014

Thursday, January 16, 2014 | 1515-1645

Safety Management System

2

C&S’s Aviation Service’s Team, Keene, NH - (KEEN)

C&S Wholesale Grocers


• What is a Safety Management System?

• How Does an SMS work?

• Who is C&S Aviation Services?

• How do we use our SMS?

• What tools do we use to assist our SMS?

• How we have identified & mitigated a hazardous trip.

• Summary

3

Outline


4

What is a SMS?


An SMS is a strategy to identify hazards

or potential hazards and a process to

mitigate the risk or lower the threat of the

known hazard.

5

What is an SMS?


Situation;

Your car has a bald tire and you plan on driving it on a trip this

coming weekend.

What are our options?

6

Simplified everyday example


You recognize the tire on your car has minimal tread.

Options – Cancel trip,

Drive with the tire

Replace the tire

You replace the tire and take the weekend trip, everything works out

perfectly.

7

Simplified Example


• Identified a potential Hazard? Bald Tire on your car

• Analyzed the safety hazard? Potentially High Risk

• Determine options/solution? Have tire Replaced

• Implementation - Replace tire

• End Result - Proactively Eliminated that Hazard

8

Dissect this Simplified Example


9

C&S Jet over cloud deck

Smooth Sailing

C&S Wholesale Grocers Inc.

• In 1918 C&S was established when 2 men bought a small warehouse and began making grocery deliveries to small stores in Worchester, Massachusetts.

• Nine decades later, what started as a small warehouse and a handful of employees has become the largest grocery wholesaler in the U.S., yet we are still family-owned and –operated.

• Currently, C&S serves about 4,300 stores from more than 50 locations in 14 states

• Among our customers are many of America's best known companies, including Stop & Shop, Giant, A&P, Ralphs, Safeway, Target and many others.

10

Who is C&S?

Who is C&S Wholesale Grocers

• C&S started utilizing Charter flights in the 1990’s and bought its first aircraft, a Beech Jet 400A, in 1997.

• In 2011 C&S flew 1600 hours with 3 Jets moving more than 4000 passengers throughout the U.S. and beyond.

• We have our own hangar, fuel farm and are fully staffed with Pilots, Aircraft Technicians and Flight Schedulers.

• We have had an active Safety Management System since 2007, became IS-BAO certified in 2010 and awarded IS-BAO Second Stage in 2013.

11

C&S’s Aviation History


• Safety is our culture and everyone is involved with the SMS

• Safety Officer, Point of contact, Coordinator, Documentation

• Safety Committee - Pilots, Aircraft Technicians & Scheduler

• Safety Meetings, quarterly and when necessary

• Facility Safety inspections

• Yearly Operational Risk Assessment

• Trip Risk Analysis

• Hazard Reports

• Safety Manual for documentation

12

C&S Aviation Services

Safety Management System at C&S

• Proactive approach to Safety

• Actively identifying hazards

• Managing Risk, by implementing solutions

• Documentation and communication

• Continuous review and monitoring

• Everyone onboard, involved and eyes open

13

SMS, what’s it all about?

Safety Management at C&S Grocers

14

C&S’s Aviation Service's Hangar

Is the SMS working?

Safety Management at C&S Grocers

• Modifications that have been made in the interest of safety.

– Tailored Aircraft movement procedures, minimizing the potential of

aircraft damage

– Added rubber walk ways, to prevent falls on potentially slippery

hangar floor

– Added Static Wick Covers to aircraft, to avoid potential eye injury

– A variety of SOP & FOM changes as a function of Hazard Reports

– Added night runway sweeps, to minimize wildlife dangers

– Added an aircraft Change Over procedure, to increase awareness

– 1st year we had 63 items identified that we analyzed and mitigated

15

Is the SMS working?


16

C&S’s Scheduling office

First Line of Defense


• Schedulers & Dispatchers

• When scheduling and building trips,

Are you part of the SMS process?

What are you looking for?

What hazards can you manage while building the trip?

17



• Trip length

• Duty Day

• Number of legs in a day

• Number of Executives on a flight

• Rest periods

• Time zone crossings

• Airports, Runway length & width, Approaches and their facilities

• Forecast Weather conditions

• And much more………..

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• Using the schedulers expertise, creativity & knowledge

Trips are built to produce successful results

Each flight request has different risks

Putting the pieces of the puzzle together

Completing your Due Diligence

Schedulers build trips to meet requirements & restrictions

Continuous loop, reviewing for changes and new risks

…

….

As the flight nears, the Risk Analysis now comes into play.

19


Safety Management System CRITERIA POINTS LEG LEG LEG

CREW DUTY DAY LENGTH >14hrs 3

NUMBER OF LEGS IN DUTY DAY >5 2

CREW CONSECUTIVE FLYING DAYS >4 2

TRIP FLYING TIME >10hrs 2

CIRCADIAN RHYTHM VARIED OR DISRUPTED YES 2

POP UP TRIP <5 hrs 1

OPERATION TIME (night) 2200-0600 2

ONE CONTRACT PILOT USED YES 1

FROZEN PRECIPITATION YES 2

LANDING VISIBILITY <1/2 mile 1

TAKEOFF VISIBILITY <1/4 mile 1

HEAVY PRECIP. @ DEPT. OR DEST. YES 1

THUNDERSTORMS DEPT. OR DEST. YES 1

SURFACE WINDS DEPT. OR DEST. >25 kts 2

GREATER THAN MOD. TURB YES 1

CROSSWINDS >20 2

WINTER OPS. YES 1

AIRCRAFT REQUIRES DEICING YES 1

BRAKING ACTION < GOOD 2

DEPRT. DEST. AIRPORT ELEVATION >5000 1

NIGHT CIRCLING APP. REQUIRED YES 2

CONGESTED AIRSPACE YES 1

RUNWAY LENGTH <5000 2

FIRST FLIGHT AFTER MAINT. YES 1

MEL ITEMS YES 1

PIC LOW MINS CAPT. YES 2

SIC DOES NOT HAVE TYPE YES 1

FIRST TIME @ DEST FOR BOTH PILOTS YES 1

GENERAL PROBLEMS YES 1

TOTAL

20

Tools – Risk Analysis


• Example of Hazardous trip;

• KEEN – KPNE – KBED – KEEN

• Leg 1 1600 – 1700

• Leg 2 2130 – 2230 WX – Snow, Gusty Winds, Low Vis

• Leg 3 2300 – 2330

• KBED – runway 11/29 closed, 22 kt crosswind for 05/23, 5100’

• FC – Vis <1/2 in Hvy Snow, + Mod Turb, Wind Gusts +25

21

Risk Analysis


22

New Hampshire – Winter night

Potential Hazards?


23

CRITERIA POINTS LEG LEG LEG

2







OPERATION TIME (night) 2200-0600 2 2


FROZEN PRECIPITATION YES 2 2

LANDING VISIBILITY <1/2 mile 1 1


HEAVY PRECIP. @ DEPT. OR DEST. YES 1 1


SURFACE WINDS DEPT. OR DEST. >25 kts 2 2

GREATER THAN MOD. TURB YES 1 1

CROSSWINDS >20 2 2

WINTER OPS. YES 1 1

AIRCRAFT REQUIRES DEICING YES 1 1

BRAKING ACTION < GOOD 2 2



CONGESTED AIRSPACE YES 1 1



MEL ITEMS YES 1




GENERAL PROBLEMS YES 1 1

TOTAL 17

If total score is greater than or equal to 15. Need VP of Flight Operations approval.

Risk Analysis


• Identified a Potentially Hazardous Trip

• Manage Risk, By implementing solutions

Recap - Pockets of Weather, snow, low vis, gusty winds

Runway closures, cross winds,

• What can we suggest or change, to lower the risk of this trip?

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Risk Analysis


• Cancel Trip

• Change Timing, Delay or Go out earlier

• Change Destination for better weather, considering -

Runway conditions, braking action, usable length

Forecasted wind direction vs. Runway

Visibility improvements

Airport facilities, major airport vs. small airport

And other variables

• We were able to change destination and overnight aircraft

25

Solutions -


26

CRITERIA POINTS LEG LEG LEG

2







OPERATION TIME (night) 2200-0600 2 2


FROZEN PRECIPITATION YES 2 2

LANDING VISIBILITY <1/2 mile 1


HEAVY PRECIP. @ DEPT. OR DEST. YES 1


SURFACE WINDS DEPT. OR DEST. >25 kts 2 2

GREATER THAN MOD. TURB YES 1 1

CROSSWINDS >20 2

WINTER OPS. YES 1 1

AIRCRAFT REQUIRES DEICING YES 1

BRAKING ACTION < GOOD 2



CONGESTED AIRSPACE YES 1



MEL ITEMS YES 1




GENERAL PROBLEMS YES 1 1

TOTAL 9

If total score is greater than or equal to 15. Need VP of Flight Operations approval.

Risk Analysis

Safety Management Systems

• Everyone in the organization is involved with the SMS

• Schedulers & Dispatchers are the first line of Defense

• A continuous loop from start to finish

• Actively identifying Hazards

• Managing Risk, by implementing solutions

• Continuous review and monitoring

• The Safety Management System becomes part of you culture

27

Summary


28

Summer morning, Keene NH

Have a Safe Flight

SMS for Schedulers and

Dispatchers

PRESENTED BY:

Casey Pelletiere



Basic Principles of Safety

• SMS is proactive and predictive,

seeking out problems before they

become accident causal factors

• SMS strives for continual

improvement by constantly identifying

and managing risk and measure

performance

• To be effective SMS requires

participation from all employees

• SMS does not seek to place blame

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Safety Management – A Perspective Focused on Improvement

How can these risks be mitigated?

SMS

31

It is not just the crew on the aircraft

It involves the ENTIRE flight

department not just the pilots

S&D roles are watching out for the

ENTIRE department and

company

Scheduler & Dispatcher’s role in SMS

• Advised a client duty day limitations or determined a

crew change is needed on a trip to make it happen

• Evaluated an airport

• Came up with a back-up plan

• Advised a customer that a particular catering out of a

location may not be wise due to culture and/or

heating/cooling limitations

How many times have you…?

32


• Taken a concern to the Chief Pilot or Director

regarding a trip

• Reviewed training documents or are responsible for

scheduling and monitoring training programs

• Are part of your department’s Safety Committee

How many times have you…?

33


• You are the first line of communication and many

times are working SMS without even knowing it

• You might have experience and knowledge of an

airport/location and the crew assigned have never

traveled to that you can share

Daily SMS use:

34


• As the information hub you might be the first to

discover a gap in communication

• You might be responsible for the manuals in your

department or training

• You are working to solve problems with what the

customer wants to accomplish and what is within your

company policies

Daily SMS use:

35

MOST IMPORTANT IS

YOUR

ATTITUDE TOWARD

SMS

36

Something to think about

“Every corporate aviation department or fractional ownership company or any other player in the industry believes it has a safety culture. I suspect most, if being truthful, are skeptical that they could be more safety conscious than they already are. All formal programs, processes or regulations developed to improve the safety culture are highly superficial and can be easily undermined by the failure of individuals…to accept the basic premise that we could be more safe. In his view, these programs fail because people see them as a waste of time. That distinguishes you from virtually no other industry or company that I’m aware of that has been interested in trying to modify its culture. But I believe there is hope that lies not in company or industry-wide structures or processes, but at the level the individual. The true impact of culture is the effect it has between the ears of its individuals, how it shapes what they think, say and, most important, what they do.”

Written by Robert Carraway

37

Flight Risk Assessment

Tools (FRAT)

PRESENTED BY:

Rick Malczynski, CAM

ISBAOAudits.com



Goals

• Introduce Risk Assessment and specifically Flight Risk

Assessment

• SMS and Flight Risk Assessment Tool

• Observed evolution and participation in risk assessment

• Available Tools and observations of success

• FRAT examples

• Key components and trends of “winners.”

39

The Traditional Risk Analysis Process

The International Business Aviation Council (IBAC) defines Risk Analysis as a “…simple tool to help make good decisions. It is used so that the chance of loss of life in a business aviation operation is minimized.” IBAC goes on to state that to conduct a Risk Analysis the following steps are required:

• Identify accident scenarios

• Identify the associated hazards

• Determine the severity and likelihood

• Decide how to manage the hazard and associated risks

• Document the process and the decisions arising from the analysis

40

IS-BAO 2013

“Every flight has hazards and some level of risk associated with it. It

is critical that operators and pilots are able to differentiate, in

advance, between a low risk flight and a high risk flight, and then

establish a review process and develop risk mitigation strategies to

address flights throughout that range. A risk assessment tool should

allow operators and pilots to see the risk profile of a flight in its

planning stages. Each operator should determine an acceptable

level of risk for its flights based on the type of operation,

environment, aircraft used, crew training, and overall operating

experience. When the risk for a flight exceeds the acceptable level,

the hazards associated with that risk should be further evaluated

and the risk reduced. A higher risk flight should not be operated if

the hazards cannot be mitigated to an acceptable level.”

41

FAA InFO 07015

Who says so?

42

Back in the Day……

43

No smoking eight hours before flight and no drinking within fifty feet of the aircraft…….

Fifty-five years later; are we any better at

recognizing and mitigating risks?

44

Flight Risk Assessment Tool (InFO 07015)

Date: Departure:

Release/Trip #: Destination:

Tail #: Risk Value Flight Value

Pilot Qualifications and Experience

1 Captain with less than 200 hours in type 5

2 First Officer with less than 200 hours in type 5

3 Single Pilot Flight 5

4 Captain with less than 100 hours last 90 days 3

5 First Officer with less than 100 hours last 90 days 3

6 Duty day greater than 12 hours 4

7 Flight time (Greater than 8 hours in the duty day) 4

8 Crew Rest (Less than 10 hours prior to the duty day) 5

Total Factor Score - Section 1

Operating Environment

9 VOR/GPS/LOC/ADF (Best approach available w/o vertical

guidance)

3

10 Circling approach (best available approach) 4

11 No published approaches 4

12 Mountainous airport 5

13 Control tower not operational at ETA or ETD 3

14 Uncontrolled airport 5

15 Alternate airport not selected 4

16 Elevation of primary airport greater than 5000 ft. MSL) 3

17 Wet runway 3

18 Contaminated runway 3

19 Winter operation 3

20 Twilight operation 2

21 Night operation 5

22 Stopping distance greater than 80% of available runway 5

23 Repositioning flight (no passengers or cargo) 5

24 Pop up trip (Less than 4 hours crew notice) 3

25 International operation 2

26 No weather reporting at destination 5

27 Thunderstorms at departure and/or destination 4

28 Severe turbulence 5

29 Ceiling & visibility at destination less than 500 ft. / 2 sm 3

30 Heavy rain at departure and/or destination 5

31 Frozen precipitation at departure and/or destination 3

32 Icing (moderate-severe) 5

33 Surface winds greater than 30 knots 4

34 Crosswinds greater than 15 knots 4

35 Runway braking action less than good 5


Equipment .

36 Special Flight Permit Operation (ferry permit) 3

37 MEL / CDL Items (items related to safety of flight) 2

45

IS-BAO SMS Tools

Other options to consider

46

- Similar FRAT, Joint participation in

completion

- Auto populated – ARINC, Fltplan.com, etc.

- EFB, iPad, iPhone Apps

- Innovation

Ameriprise FRAT

47

FLIGHT RISK ASSESSMENT FORM

Date:_________________________

Release / Trip:_______________________

Tail #______________________________

Departure:

_____________________

Destination:

_____________________

Risk Value Flight Value

1 Aircraft Considerations:

Landing Weight Limited By Runway Length Yes: 3 pts

Max Weight (Performance Limit) Takeoff Yes: 3 pts

Total Factor Score – Section 1

2 Airport Considerations:

Departure Airport Elevation >5000: 3pts

Departure Airport Uncontrolled Yes: 3 pts

Destination Airport Elevation >5000: 3pts

Destination Airport Uncontrolled Yes: 3 pts

No Approach Lighting System at Destination Airport Yes: 3 pts

Precision Approaches Available at Destination Airport No: 3 pts

Single Runway at Departure Airport Yes: 2 pts

Single Runway at Destination Airport Yes: 2 pts

Total Factor Score – Section 2

3 Crew Duty Considerations

Circadian Rhythm Varied or Disrupted Yes: 3 pts

Crew Duty Day Length >14:5pts

12-14:4pts

10-12: 3pts

8-10:2pts

<8:1 pt

More Than Five(5) Legs In The Day Yes: 5 pts


4 Enroute Considerations

Greater Than Scattered Thunderstorms Forecasted Yes: 3 pts

Moderate Icing Forecasted Yes: 2 pts


5 Environmental / Weather Considerations

Aircraft Requires Deicing Prior to Departure Yes: 3 pts

Arrival Alternate Required Yes: 4 pts

Crosswind Component at Departure Airport >20:4 pts

Crosswind Component at Destination Airport >20:4 pts

Departure Airport Ceiling <=200:4 pts

>500:2 pts

Low Level Windshear Advisories in Effect Yes: 3 pts

Tailwind Component at Destination Airport >5: 3 pts

Thunderstorms at Departure Airport Yes: 5 pts

Windshear Reported at Departure Airport Yes: 4 pts

Windshear Reported at Destination Airport Yes: 4 pts

First Time Destination for Both Pilots Yes: 3 pts

8 Security Considerations

Location is Considered High Risk Yes: 3 pts


9 Terrain

Departure Airport in Mountainous Terrain Yes: 3 pts

Destination Airport in Mountainous Terrain Yes: 3 pts


10 Time of Day

Operation Time During 2200

– 0600: 4 pts


11 Trip Considerations

Departure or Arrival Procedures Required Special

Authorization / Approval

Yes: 2 pts

First Flight After Maintenance Yes: 5 pts

Flight Requires Ferry Permit Yes: 3 pts

International Flight in Mexico or Caribbean Yes: 3 pts

International Flight in South America or Africa Yes: 4 pts

Maintenance Flight Yes: 3 pts

MEL Items That Affect Flight Yes: 3 pts

Metric Operations Yes: 4 pts

One Contract Pilot Used Yes: 2 pts

Pop Up Trip, < 5 hours Notices to Crew / Maintenance Yes: 3 pts

Positioning or Deadhead Leg Yes: 3 pts

QFE Operations Required Yes: 4 pts

TOTAL

1 – 40

LOW

41 – 60

MED

61- 168

HIGH

PRE-FLIGHT BRIEFING

I. Physiological

Is everyone rested, any stressors, ready to fly?

II. A/C Status

Work performed/Extra cargo onboard/Pending issues and resolutions.

Requests for crew action during flight

Updates from manufacturer or vendors

Cold weather operations – hangar, de-ice, prist, water system

III. Operational

Pilots – designate pilot/copilot legs

ICCs – flight/FBO requirements

Schedule – aircraft/times/passengers/ground transportation

Route of Flight

-Weather/ NOTAMS

- Fuel required/loading

- Destinations – non-standard procedures, servicing, parking

- RNP-AR Approach/Procedures (Checklist)

Alternates

- Suitability, services

Gulfstream support plan/facilities

Risk Assessment checklist complete

Administrative

- Passports

- Visa

- Airline availability/schedules

IV. Other Concerns

What should everyone know?

Does anyone need help?

Does anyone need extra time?

Any questions?

POST-FLIGHT BRIEFING

I. Overall Conduct of Flight

a. Crew coordination

b. Hotels

c. Catering

d. FBO

e. Log RNP-AR Approaches

II. Maintenance Concerns

a. Flight Deck

b. Aircraft

c. Galley

III. Recommendations for Safer/Better Procedures

a. OHR Reports

b. Deviation Reports

c. Duty Day Extensions

IV. Concerns for Next Flight

Trip Dates: A/C Tail # Trip #

Trip Location:

Crew: Both Typed In A/C Extended Duty Day

Airport: Slots Permits Parking Restrictions Noise Curfews

Deicing Runway < 75 ft. Wide Special Use Airports No Jepp App Plates

Note:

OvrFlt Customs eApis Int'l Trash Note:

Flt Plans: Crew Other Note:

Passports: Crew Pass Visa Note:

Fuel:

FBO: Hours of Operation Note:

Transportation: Note:

Hotel: Note:

Catering: Needs to be ordered Note:

Runway < 5,000 ft.

PassCrew

Crew

ASIA

PCN

Pass

NA SA

Y N

GDC

12

ME PREU

Dispatch Release Complete Dispatch Release Form, Sign and leave with Scheduler PRIOR to Departure

Dispatch Checklist:

Items in Red Require PIC to complete Risk Analysis on Back of Form

12---

Ordered

Internat'l:

55 45 18

Reset Form

Security: Global Response Center Airport Hanger Note:

Airport: VFR IFR Controlled Uncontrolled Jepp Plates Special Procedures

Rwy Length/Width Grooved High Arpt Elevation W'x Reporting Lighted

Other: Charts EFB's Aircraft Inspection Currency Read File A/C Stock and Clean

MEL Operations Pilot Demo

Note:

Figure 7-9(a) DISPATCH RELEASE FORM / Rev. 4-09

CREW BRIEFING CHECKLIST

OVER

VFR MEL Operations Crew Qualifications Global Response Ctr

Rwy < 5,000 Ft Maintenance Pilot Demo Geographic Location

Rwy < 75 Ft Wide Language Parking

No Jepp Plates/NOS Crew Rest Hanger

High Apt. Elevation Extended Duty Day Airport

Uncontrolled/Twr Clsd Security Tape

Special Procedures Personal Issues Transportation

Special Use Airport Hotel

Restrictions

Weather Conditions

Contaminated RWY

Approach Aids

DISPATCHER

PIC DATE

Figure 7-9(b) DISPATCH RELEASE FORM / Rev. 4-09

**Please use the space below or additional paper mitigate the checked boxes**

PIC < 100 Hrs in Type

AIRPORTS TECHNICAL

FACTORS

HUMAN

FACTORS

SECURITY

RISK ANALYSISPlease check the items that apply and explain

Dispatch Release / Risk Mitigation FormItems in Red require the RA to be filled out.

49

Lessons Learned

50

- Not required (99.9999 percent of IS-BAO

registered operators do)

- Something is better than nothing

- Customization is key

- Cooperate and Graduate!

- Learn something….the easy way!

Share information…..“What is going to bite

us in the rear-end?”

51

Don’t get bit!

52

53

Rick Malczynski, CAM

ISBAOAudits.com

860.866.8650

[email protected]

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