December 14, 2010

Presented by:

MICHAEL L. DWORKINMICHAEL L. DWORKIN and ASSOCIATES

465 CALIFORNIA STREET, SUITE 210SAN FRANCISCO, CALIFORNIA

Telephone: 1-415-421-2500FAX: 1-415-421-2560

www.avialex.com

Copyright 2010. Michael L. Dworkin. All rights reserved

--Now, What Do We Do?

Traditional Aviation Mishap Inquiry

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?

What SMS does:

Instead of waiting for a mishap (or regulatory violation) to occur, SMS addresses these areas of inquiry beforehand, i.e.:-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?

In essence, every employee becomes a “QA Manager”

Regulatory Basis for SMS

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.

SMS: 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 do this:

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:

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: IS-BAO (International Standard for Business Aircraft Operations); Air Charter Safety Foundation (ACSF) Registration; Argus rating; Wyvern registration.

Not Just for Air Carriers

Business and Corporate Aircraft Operators; Repair Stations; Airports (airfield and ramp areas); FAA Air Traffic Organization.

Caveats:

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;

Attorney-client privilege; Criminal Proceedings

49 U.S.C. 46301, et seq.18 U.S.C. 1001