Simplified Hazard Management by Tony Cramp, Shell Oil - IHST
Simplified Hazard Management by Tony Cramp, Shell Oil - IHST
Simplified Hazard Management by Tony Cramp, Shell Oil - IHST
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<strong>Shell</strong> Aircraft International<br />
Our GOAL is your SAFETY<br />
A <strong>Simplified</strong> Process for <strong>Hazard</strong><br />
<strong>Management</strong><br />
<strong>Tony</strong> <strong>Cramp</strong><br />
<strong>Shell</strong> Aircraft International
Scope<br />
• Not a presentation about or justifying SMS.<br />
• Not an academic review of hazard management.<br />
• It is a distillation of observed best practice.
Scope<br />
• Identify the interactions of <strong>Hazard</strong> <strong>Management</strong> within the<br />
SMS.<br />
• Detail the procedural steps of the <strong>Hazard</strong> <strong>Management</strong><br />
process.<br />
• Suggest documentation requirements.<br />
• Emphasise how to keep the process live and delivering real<br />
benefit to the organisation.
References<br />
“<strong>Hazard</strong> identification and safety risk management Safety Risk are <strong>Management</strong><br />
the core processes involved in the management of<br />
“A formal safety. system They are of hazard neither identification new, nor have and they management been developed is fundamental as a consequence in controlling of recent an acceptable interest in level safety of risk.<br />
A well-designed “Risk management risk management is a proactive system activity describes that management operational looks the processes risks associated across with department identified and hazards organizational<br />
“Safety boundaries, and, in and risk particular, assists identifies management. safety in selecting key management hazards A formal actions and system measures to systems maintain of hazard (SMS). them, an appropriate identification methodically <strong>Hazard</strong> identification level and assesses of safety and risk, when safety management and faced risk implements management with these is essential controls are to in<br />
controlling risk to acceptable levels. The safety risk mitigate management hazards.” dogmatic risk.” component of the SMS is based upon the system<br />
components safety process that underlie model the that overarching is used the concept system of system safety training safety. This course is an that all-encompassing, is taught at the FAA engineering-based<br />
Academy.”<br />
approach that contributes to system design and which was developed more that forty years ago.”
<strong>Hazard</strong>/Risk <strong>Management</strong> Process<br />
SCOPE OF ACTIVITY<br />
MANAGEMENT<br />
OF CHANGE<br />
PROCESS<br />
IDENTIFY AND RECORD<br />
HAZARDS<br />
PROCESS NEW HAZARDS<br />
RISK ANALYSIS<br />
SAFETY<br />
REPOPTING &<br />
INVESTIGATION<br />
PROCESS LINKED<br />
DIRECTLY TO THE<br />
SAFETY CASE.<br />
INTERNAL AUDIT TO CONFIRM<br />
IMPLEMENTATION & EFFECTIVENESS<br />
OF CONTROLS<br />
IDENTIFY CONTROLS<br />
FOR SPECIFIC HAZARDS<br />
VALIDATE EXISTING<br />
CONTROLS OR DEVELOP NEW<br />
CONTROLS<br />
CONTROL EXISTS<br />
NEW CONTROL REQD<br />
REFERENCE<br />
CONTROLS AND<br />
RESPONSIBLE<br />
POSTS<br />
CONTROL<br />
DEVELOPED<br />
REMEDIA<br />
L ACTION<br />
PLAN<br />
SAFETY<br />
REPORTING &<br />
INVESTIGATION<br />
QA SYSTEM<br />
– UPDATE<br />
CHECKLIST<br />
S<br />
MANAGEMEN<br />
T REVIEW
SMS ELEMENTS & RELATIONSHIPS<br />
LEADERSHI<br />
P<br />
RESOURCES<br />
POLICY,<br />
OBJECTIVES &<br />
KPI’S<br />
COMMUNICATION<br />
(TO WORKFORCE)<br />
PROCEDURES<br />
MANAGEMEN<br />
T OF CHANGE<br />
PROCESS<br />
SAFETY<br />
REPORTING &<br />
INVESTIGATIO<br />
N<br />
HAZARD & RISK<br />
MANAGEMENT.<br />
(SAFETY CASE)<br />
REGULAR<br />
SENIOR<br />
MANAGEMENT<br />
REVIEW &<br />
ACTIVE<br />
INVOLVEMENT<br />
QUALITY<br />
ASSURANCE
SMS ELEMENTS & RELATIONSHIPS<br />
LEADERSHI<br />
P<br />
RESOURCES<br />
POLICY,<br />
OBJECTIVES &<br />
KPI’S<br />
COMMUNICATION<br />
(TO WORKFORCE)<br />
PROCEDURES<br />
MANAGEMEN<br />
T OF CHANGE<br />
PROCESS<br />
SAFETY<br />
REPORTING &<br />
INVESTIGATIO<br />
N<br />
HAZARD & RISK<br />
MANAGEMENT.<br />
(SAFETY CASE)<br />
REGULAR<br />
SENIOR<br />
MANAGEMENT<br />
REVIEW &<br />
ACTIVE<br />
INVOLVEMENT<br />
QUALITY<br />
ASSURANCE
Wasted effort alert<br />
Keep it manageable<br />
and if necessary<br />
start small
<strong>Hazard</strong>/Risk <strong>Management</strong> Process<br />
SCOPE OF ACTIVITY
Step 1 - Define the scope<br />
• Determine what range of activities, locations or aircraft the process will cover.<br />
‣ Smaller operators – May cover the whole operation.<br />
‣ Larger operators – May split the process <strong>by</strong><br />
Location/base<br />
Aircraft type<br />
Operational role (e.g. offshore, HEMS, heliski-ing)<br />
• Start where you feel the greatest risk or exposure lies within your operation.<br />
‣ <strong>Hazard</strong> or incident reports may give the indication.<br />
‣ Staff and managers normally know what their risk areas are.<br />
‣ This may also be influenced <strong>by</strong> customers and regulators!
<strong>Hazard</strong>/Risk <strong>Management</strong> Process<br />
SCOPE OF ACTIVITY<br />
IDENTIFY AND RECORD<br />
HAZARDS
Step 2 – Identify & Record <strong>Hazard</strong>s<br />
• This stage should be a continuous process.<br />
• Definition of a <strong>Hazard</strong> can cause debate amongst learned safety professionals.<br />
‣ Generic hazards – Wind, IMC, aircraft components.<br />
‣ Specific hazards – Crosswind exceeding limits, inadvertent entry into IMC, incorrectly<br />
fitted aircraft components.<br />
‣ <strong>Hazard</strong>ous consequences – loss of control, disorientation, aircraft system failure.<br />
• While you can list each definition/level in your hazard register, recommend focus<br />
on specific hazards at this stage.
Step 2 – Identify & Record <strong>Hazard</strong>s<br />
Where to start?
Step 2 – Identify & Record <strong>Hazard</strong>s<br />
Recordable occurrences<br />
Brainstorming<br />
QA findings<br />
Networking, blogs<br />
Accident reports for own role<br />
Accidents reports for<br />
own A/C types<br />
Safety reporting system<br />
Safety Observation Process<br />
Industry Bodies/committees/forums<br />
Flight Data Monitoring<br />
Incident investigations<br />
Information exchange<br />
Accident reports for own<br />
region/country/location<br />
Training feedback<br />
Trend analysis<br />
Generic <strong>Hazard</strong> Lists
Step 2 – Identify & Record <strong>Hazard</strong>s<br />
Recordable occurrences<br />
Brainstorming<br />
QA findings<br />
Networking, blogs<br />
Accident reports for own role<br />
Accidents reports for<br />
own A/C types<br />
Safety reporting system<br />
Safety Observation Process<br />
Industry Bodies/committees/forums<br />
Flight Data Monitoring<br />
Incident investigations<br />
Information exchange<br />
Accident reports for own<br />
region/country/location<br />
Training feedback<br />
Trend analysis<br />
Generic <strong>Hazard</strong> Lists
Step 2 – Identify & Record <strong>Hazard</strong>s
Step 2 – Identify & Record <strong>Hazard</strong>s<br />
External Information sources:<br />
• State Accident Investigation bodies report data bases<br />
NTSB<br />
AAIB<br />
Transport Canada<br />
BEA<br />
• Flight safety Foundation “Basic Aviation Risk Standard – Resource sector”<br />
Gives both generic and role specific hazards and lists a number of possible controls for each<br />
hazard.<br />
Identified hazards should be recorded in a <strong>Hazard</strong> Register<br />
‣ Various formats.<br />
‣ Web based, excel tables, access data bases, hand written!
<strong>Hazard</strong> Register<br />
• Minimum Content<br />
‣<strong>Hazard</strong><br />
‣RAM Score<br />
‣Controls<br />
‣Control references to procedure manuals (Ops,<br />
Maintenance, Training etc)<br />
‣Responsible person – control owner
Basic <strong>Hazard</strong> Register example<br />
Task<br />
Description<br />
/Location<br />
<strong>Hazard</strong> Description:<br />
Reference No.<br />
Date last reviewed<br />
RAM Score<br />
Initial<br />
Current<br />
Controls Reference Owner Status
Basic <strong>Hazard</strong> Register example<br />
Task<br />
Description<br />
/Location<br />
Onshore seismic support<br />
Reference No. Date last reviewed<br />
<strong>Hazard</strong> Description: Inadvertent entry to IMC<br />
HS - 017 Sept 09<br />
RAM Score<br />
Initial<br />
Current<br />
Controls Reference Owner Status
<strong>Hazard</strong>/Risk <strong>Management</strong> Process<br />
SCOPE OF ACTIVITY<br />
IDENTIFY AND RECORD<br />
HAZARDS<br />
RISK ANALYSIS
Step 3 – Risk Analysis<br />
• Having identified hazards, assess the level of risk associated with each to:<br />
‣ Determine if further action is required<br />
‣ Prioritise where effort needs to be directed first<br />
• Use a Risk Assessment Matrix (RAM) to give an objective score to a subjective<br />
topic<br />
‣ This enables standardisation across the organisation.<br />
‣ It reduces dispute and argument<br />
‣ Gives a very visual and clear indication of risk for management review.<br />
Red is difficult to ignore and loosens budget strings.
Typical RAM<br />
• Too vague and open to different interpretation.<br />
• Detailed definition required for likelihood and severity.
Detailed RAM<br />
• Detailed definition of Likelihood.<br />
• More detail can be added to consequences i.e. actual $ values to asset levels.<br />
• Consequences should be applied as the actual consequences that happened in<br />
previous cases of the event.
Detailed RAM<br />
Inadvertent Entry to IMC hazard example.<br />
• This company had a fatal CFIT following inadvertent IMC entry 3 years ago.<br />
• Within the country there were 4 CFIT on VFR aircraft in last 12 months, 2 fatal,<br />
with 8 fatalities.
Basic <strong>Hazard</strong> Register example<br />
Task<br />
Description<br />
/Location<br />
Onshore seismic support<br />
Reference No. Date last reviewed<br />
<strong>Hazard</strong> Description: Inadvertent entry to IMC<br />
HS - 017 Sept 09<br />
Initial<br />
RAM Score<br />
Current<br />
Controls Reference Owner Status
Basic <strong>Hazard</strong> Register example<br />
Task<br />
Description<br />
/Location<br />
Onshore seismic support<br />
Reference No. Date last reviewed<br />
<strong>Hazard</strong> Description: Inadvertent entry to IMC<br />
HS - 017 Sept 09<br />
Initial<br />
RAM Score<br />
Current<br />
Controls Reference Owner Status
<strong>Hazard</strong>/Risk <strong>Management</strong> Process<br />
SCOPE OF ACTIVITY<br />
IDENTIFY AND RECORD<br />
HAZARDS<br />
RISK ANALYSIS<br />
IDENTIFY CONTROLS<br />
FOR SPECIFIC HAZARDS
Step 4 – Identify controls for specific hazards<br />
• A number of methods for identifying controls<br />
‣ Brainstorming<br />
‣ Bow Tie analysis<br />
‣ Tripod (Investigation tool, but can be reverse engineered)<br />
• Regardless of method, this step requires that appropriate controls are identified<br />
to manage each hazard to ALARP<br />
‣ The higher the risk, the more effective the controls have to be and potentially more<br />
layers of controls required.
ALARP – As Low As Reasonably Practicable<br />
What does that mean?<br />
How far should you go in developing controls?<br />
ALARP is a trade off between:<br />
The cost/effort/ operational impact of implementing the<br />
control<br />
Vs<br />
The safety benefit realised from the control<br />
While it is proportional, continue.<br />
When it gets disproportional, stop.
Step 4 – Identify controls for specific hazards<br />
• A number of methods for identifying controls<br />
‣ Brainstorming<br />
‣ Bow Tie analysis<br />
‣ Tripod (Investigation tool, but can be reverse engineered)<br />
• Regardless of method, this step requires that appropriate controls are identified<br />
to manage each hazard to ALARP<br />
‣ The higher the risk, the more effective the controls have to be and potentially more<br />
layers of controls required.<br />
Quote from ICAO SMS Manual<br />
“The most effective mitigations are hard mitigations. Because hard mitigations<br />
are often expensive, organizations frequently resort to soft mitigations (such as<br />
training). In such cases, the organization is more often than not relinquishing to<br />
subordinates responsibility for safety risk management.”
Step 4 – Identify controls for specific hazards<br />
Wasted effort alert<br />
• Don’t just use this as an exercise to justify existing procedures and controls.<br />
‣ You will have added no benefit from the process.<br />
• Try and look at the hazard isolated from financial and resource constraints in the<br />
first place.<br />
‣ “Blue sky thinking”<br />
‣ Impractical controls can be discounted later in the process<br />
• Use a range of personnel from within the company at this stage.<br />
‣ Line pilots and mechanics as well as supervisors and safety staff.<br />
• Look outside your own organisation at how others in the broader aviation<br />
industry have managed this hazard.<br />
‣ Especially those areas with better safety records e.g. airlines, offshore.<br />
‣ Can those controls be replicated at a local level?
Step 4 – Identify controls for specific hazards<br />
• Each control needs to meet the following criteria:<br />
‣ Effective<br />
‣ Cost/benefit<br />
‣ Practical<br />
‣ Acceptable<br />
‣ Enforceable<br />
‣ Durable<br />
‣ Doesn’t create new hazards
Basic <strong>Hazard</strong> Register example<br />
Task<br />
Description<br />
/Location<br />
Onshore seismic support<br />
Reference No. Date last reviewed<br />
<strong>Hazard</strong> Description: Inadvertent entry to IMC<br />
HS - 017 Sept 09<br />
Initial<br />
RAM Score<br />
Current<br />
Controls Reference Owner Status
Basic <strong>Hazard</strong> Register example<br />
Task<br />
Description<br />
/Location<br />
Onshore seismic support<br />
Reference No. Date last reviewed<br />
<strong>Hazard</strong> Description: Inadvertent entry to IMC<br />
HS - 017 Sept 09<br />
Initial<br />
RAM Score<br />
Current<br />
Controls Reference Owner Status<br />
Minimum company weather limits for VFR operations<br />
Accurate daily forecasts available for operation<br />
Weather limits agreed with client<br />
Enhanced Operational Controls in place to respond to changes in weather.
Basic <strong>Hazard</strong> Register example<br />
Task<br />
Description<br />
/Location<br />
Onshore seismic support<br />
Reference No. Date last reviewed<br />
<strong>Hazard</strong> Description: Inadvertent entry to IMC<br />
HS - 017 Sept 09<br />
Initial<br />
RAM Score<br />
Current<br />
Controls Reference Owner Status<br />
Minimum company weather limits for VFR operations<br />
Accurate daily forecasts available for operation<br />
Weather limits agreed with client<br />
Enhanced Operational Controls in place to respond to changes in weather.<br />
Aircraft equipped for IFR flight (Designate minimum avionic equipment)<br />
Pilots instrument rated<br />
Annual inadvertant IFR flight check to ensure currency and competence.<br />
Min 30 min<br />
Inadvertant IFR procedures trained and checked during annual simulator<br />
training.<br />
All aircraft equipped with TAWS
Basic <strong>Hazard</strong> Register example<br />
Task<br />
Description<br />
/Location<br />
Onshore seismic support<br />
Reference No. Date last reviewed<br />
<strong>Hazard</strong> Description: Inadvertent entry to IMC<br />
HS - 017 Sept 09<br />
Initial<br />
RAM Score<br />
Current<br />
Controls Reference Owner Status<br />
Minimum company weather limits for VFR operations<br />
Accurate daily forecasts available for operation<br />
Weather limits agreed with client<br />
Enhanced Operational Controls in place to respond to changes in weather.<br />
Aircraft equipped for IFR flight (Designate minimum avionic equipment)<br />
Pilots instrument rated<br />
Annual inadvertant IFR flight check to ensure currency and competence.<br />
Min 30 min<br />
Inadvertant IFR procedures trained and checked during annual simulator<br />
training.<br />
All aircraft equipped with TAWS<br />
All aircraft equipped with satellite flight tracking<br />
Emergency response plan in place & exercised annually with client
<strong>Hazard</strong>/Risk <strong>Management</strong> Process<br />
SCOPE OF ACTIVITY<br />
IDENTIFY AND RECORD<br />
HAZARDS<br />
RISK ANALYSIS<br />
IDENTIFY CONTROLS<br />
FOR SPECIFIC HAZARDS<br />
CONTROL EXISTS<br />
REFERENCE<br />
CONTROLS AND<br />
RESPONSIBLE<br />
POSTS
Basic <strong>Hazard</strong> Register example<br />
Task<br />
Description<br />
/Location<br />
Onshore seismic support<br />
Reference No. Date last reviewed<br />
<strong>Hazard</strong> Description: Inadvertent entry to IMC<br />
HS - 017 Sept 09<br />
Initial<br />
RAM Score<br />
Current<br />
Controls Reference Owner Status<br />
Minimum company weather limits for VFR operations<br />
Accurate daily forecasts available for operation<br />
Weather limits agreed with client<br />
Enhanced Operational Controls in place to respond to changes in weather.<br />
Aircraft equipped for IFR flight (Designate minimum avionic equipment)<br />
Pilots instrument rated<br />
Annual inadvertant IFR flight check to ensure currency and competence.<br />
Min 30 min<br />
Inadvertant IFR procedures trained and checked during annual simulator<br />
training.<br />
All aircraft equipped with TAWS<br />
All aircraft equipped with satellite flight tracking<br />
Emergency response plan in place & exercised annually with client
Basic <strong>Hazard</strong> Register example<br />
Task<br />
Description<br />
/Location<br />
Onshore seismic support<br />
Reference No. Date last reviewed<br />
<strong>Hazard</strong> Description: Inadvertent entry to IMC<br />
HS - 017 Sept 09<br />
Initial<br />
RAM Score<br />
Current<br />
Controls Reference Owner Status<br />
Minimum company weather limits for VFR operations Ops Man 4.2.3 Chief Pilot In force<br />
Accurate daily forecasts available for operation Ops Man 4.2.4 Chief Pilot In force<br />
Weather limits agreed with client<br />
Enhanced Operational Controls in place to respond to changes in weather.<br />
Standard contract<br />
clause 9.2<br />
Director Operations<br />
Aircraft equipped for IFR flight (Designate minimum avionic equipment) Ops Man 8.3.1 Director of<br />
Maintenance<br />
In force<br />
In force<br />
Pilots instrument rated Ops Man 3.4 Chief Pilot In force<br />
Annual inadvertent IFR flight check to ensure currency and competence.<br />
Min 30 min<br />
Training Man 6.4 Chief Pilot In force<br />
Inadvertent IFR procedures trained and checked during annual simulator<br />
training.<br />
All aircraft equipped with TAWS<br />
All aircraft equipped with satellite flight tracking Ops Man 8.3.4 Director of<br />
Maintenance<br />
In force<br />
Emergency response plan in place & exercised annually with client<br />
ERP 5.6 and<br />
Standard contract<br />
clause 10.1<br />
Head of Safety &<br />
QA<br />
In force
<strong>Hazard</strong>/Risk <strong>Management</strong> Process<br />
SCOPE OF ACTIVITY<br />
IDENTIFY AND RECORD<br />
HAZARDS<br />
RISK ANALYSIS<br />
IDENTIFY CONTROLS<br />
FOR SPECIFIC HAZARDS<br />
CONTROL EXISTS<br />
NEW CONTROL REQD<br />
REFERENCE<br />
CONTROLS AND<br />
RESPONSIBLE<br />
POSTS<br />
REMEDIA<br />
L ACTION<br />
PLAN
Step 6 – Remedial Action Plan<br />
• Ideally an organisation should have just one remedial action plan, containing all<br />
the actions arising from the hazard management process, safety reporting, QA<br />
audits etc.<br />
• This presents senior management with one complete overview and allows<br />
departmental requirements to be compared and addressed on a priority basis<br />
using the RAM score.<br />
‣ For larger global organisations, local plans may be required.<br />
• Remedial action plans can be recorded on simple excel sheets or in complex<br />
integrated databases such as Qpulse or Impact Safety.<br />
• The <strong>Hazard</strong> Register should reflect the status of the remedial action plan.
Basic <strong>Hazard</strong> Register example<br />
Task<br />
Description<br />
/Location<br />
Onshore seismic support<br />
Reference No. Date last reviewed<br />
<strong>Hazard</strong> Description: Inadvertent entry to IMC<br />
HS - 017 Sept 09<br />
Initial<br />
RAM Score<br />
Current<br />
Controls Reference Owner Status<br />
Minimum company weather limits for VFR operations Ops Man 4.2.3 Chief Pilot In force<br />
Accurate daily forecasts available for operation Ops Man 4.2.4 Chief Pilot In force<br />
Weather limits agreed with client<br />
Enhanced Operational Controls in place to respond to changes in weather.<br />
Standard contract<br />
clause 9.2<br />
Director Operations<br />
Aircraft equipped for IFR flight (Designate minimum avionic equipment) Ops Man 8.3.1 Director of<br />
Maintenance<br />
In force<br />
In force<br />
Pilots instrument rated Ops Man 3.4 Chief Pilot In force<br />
Annual inadvertent IFR flight check to ensure currency and competence.<br />
Min 30 min<br />
Training Man 6.4 Chief Pilot In force<br />
Inadvertent IFR procedures trained and checked during annual simulator<br />
training.<br />
All aircraft equipped with TAWS<br />
All aircraft equipped with satellite flight tracking Ops Man 8.3.4 Director of<br />
Maintenance<br />
In force<br />
Emergency response plan in place & exercised annually with client<br />
ERP 5.6 and<br />
Standard contract<br />
clause 10.1<br />
Head of Safety &<br />
QA<br />
In force
Task<br />
Description<br />
/Location<br />
Basic <strong>Hazard</strong> Register example<br />
Onshore seismic support<br />
Reference No. Date last reviewed<br />
<strong>Hazard</strong> Description: Inadvertent entry to IMC<br />
HS - 017 Sept 09<br />
Initial<br />
RAM Score<br />
Current<br />
Controls Reference Owner Status<br />
Minimum company weather limits for VFR operations Ops Man 4.2.3 Chief Pilot In force<br />
Accurate daily forecasts available for operation Ops Man 4.2.4 Chief Pilot In force<br />
Weather limits agreed with client<br />
Standard contract<br />
clause 9.2<br />
Director Operations<br />
In force<br />
Enhanced Operational Controls in place to respond to changes in weather. RAP Item 16 Director Operations Due 31 Jun 10<br />
Aircraft equipped for IFR flight (Designate minimum avionic equipment) Ops Man 8.3.1 Director of<br />
Maintenance<br />
In force<br />
Pilots instrument rated Ops Man 3.4 Chief Pilot In force<br />
Annual inadvertent IFR flight check to ensure currency and competence.<br />
Min 30 min<br />
Training Man 6.4 Chief Pilot In force<br />
Inadvertent IFR procedures trained and checked during annual simulator<br />
training.<br />
RAP Item 23 Chief Pilot Awaiting<br />
availability of<br />
sim for type<br />
All aircraft equipped with TAWS RAP Item 15 Director of<br />
Maintenance<br />
All aircraft equipped with satellite flight tracking Ops Man 8.3.4 Director of<br />
Maintenance<br />
Emergency response plan in place & exercised annually with client<br />
ERP 5.6 and<br />
Standard contract<br />
clause 10.1<br />
Head of Safety &<br />
QA<br />
Due complete<br />
Apr 2011<br />
In force<br />
In force
Step 6 – Remedial Action Plan<br />
• Having completed and referenced the RAP, the current risk score for that hazard<br />
can be re-assessed, taking into account the mitigations and controls that the<br />
company has in place.
Task<br />
Description<br />
/Location<br />
Basic <strong>Hazard</strong> Register example<br />
Onshore seismic support<br />
Reference No. Date last reviewed<br />
<strong>Hazard</strong> Description: Inadvertent entry to IMC<br />
HS - 017 Sept 09<br />
Initial<br />
RAM Score<br />
Current<br />
Controls Reference Owner Status<br />
Minimum company weather limits for VFR operations Ops Man 4.2.3 Chief Pilot In force<br />
Accurate daily forecasts available for operation Ops Man 4.2.4 Chief Pilot In force<br />
Weather limits agreed with client<br />
Standard contract<br />
clause 9.2<br />
Director Operations<br />
In force<br />
Enhanced Operational Controls in place to respond to changes in weather. RAP Item 16 Director Operations Due 31 Jun 10<br />
Aircraft equipped for IFR flight (Designate minimum avionic equipment) Ops Man 8.3.1 Director of<br />
Maintenance<br />
In force<br />
Pilots instrument rated Ops Man 3.4 Chief Pilot In force<br />
Annual inadvertent IFR flight check to ensure currency and competence.<br />
Min 30 min<br />
Training Man 6.4 Chief Pilot In force<br />
Inadvertent IFR procedures trained and checked during annual simulator<br />
training.<br />
RAP Item 23 Chief Pilot Awaiting<br />
availability of<br />
sim for type<br />
All aircraft equipped with TAWS RAP Item 15 Director of<br />
Maintenance<br />
All aircraft equipped with satellite flight tracking Ops Man 8.3.4 Director of<br />
Maintenance<br />
Emergency response plan in place & exercised annually with client<br />
ERP 5.6 and<br />
Standard contract<br />
clause 10.1<br />
Head of Safety &<br />
QA<br />
Due complete<br />
Apr 2011<br />
In force<br />
In force
Task<br />
Description<br />
/Location<br />
Basic <strong>Hazard</strong> Register example<br />
Onshore seismic support<br />
Reference No. Date last reviewed<br />
<strong>Hazard</strong> Description: Inadvertent entry to IMC<br />
Operator assessed that until<br />
Sim training, TAWS and the<br />
EOC were in place, risk<br />
remained medium<br />
HS - 017 Sept 09<br />
Initial<br />
RAM Score<br />
Current<br />
Controls Reference Owner Status<br />
Minimum company weather limits for VFR operations Ops Man 4.2.3 Chief Pilot In force<br />
Accurate daily forecasts available for operation Ops Man 4.2.4 Chief Pilot In force<br />
Weather limits agreed with client<br />
Standard contract<br />
clause 9.2<br />
Director Operations<br />
In force<br />
Enhanced Operational Controls in place to respond to changes in weather. RAP Item 16 Director Operations Due 31 Jun 10<br />
Aircraft equipped for IFR flight (Designate minimum avionic equipment) Ops Man 8.3.1 Director of<br />
Maintenance<br />
In force<br />
Pilots instrument rated Ops Man 3.4 Chief Pilot In force<br />
Annual inadvertent IFR flight check to ensure currency and competence.<br />
Min 30 min<br />
Training Man 6.4 Chief Pilot In force<br />
Inadvertent IFR procedures trained and checked during annual simulator<br />
training.<br />
RAP Item 23 Chief Pilot Awaiting<br />
availability of<br />
sim for type<br />
All aircraft equipped with TAWS RAP Item 15 Director of<br />
Maintenance<br />
All aircraft equipped with satellite flight tracking Ops Man 8.3.4 Director of<br />
Maintenance<br />
Emergency response plan in place & exercised annually with client<br />
ERP 5.6 and<br />
Standard contract<br />
clause 10.1<br />
Head of Safety &<br />
QA<br />
Due complete<br />
Apr 2011<br />
In force<br />
In force
<strong>Hazard</strong>/Risk <strong>Management</strong> Process<br />
SCOPE OF ACTIVITY<br />
IDENTIFY AND RECORD<br />
HAZARDS<br />
RISK ANALYSIS<br />
IDENTIFY CONTROLS<br />
FOR SPECIFIC HAZARDS<br />
CONTROL EXISTS<br />
NEW CONTROL REQD<br />
REFERENCE<br />
CONTROLS AND<br />
RESPONSIBLE<br />
POSTS<br />
CONTROL<br />
DEVELOPED<br />
REMEDIA<br />
L ACTION<br />
PLAN
Step 7 – Interface with QA system<br />
Wasted effort alert<br />
Your QA system needs to know what your <strong>Hazard</strong><br />
<strong>Management</strong> Process has developed.
<strong>Hazard</strong>/Risk <strong>Management</strong> Process<br />
SCOPE OF ACTIVITY<br />
IDENTIFY AND RECORD<br />
HAZARDS<br />
RISK ANALYSIS<br />
INTERNAL AUDIT TO CONFIRM<br />
IMPLEMENTATION & EFFECTIVENESS<br />
OF CONTROLS<br />
IDENTIFY CONTROLS<br />
FOR SPECIFIC HAZARDS<br />
CONTROL EXISTS<br />
NEW CONTROL REQD<br />
REFERENCE<br />
CONTROLS AND<br />
RESPONSIBLE<br />
POSTS<br />
CONTROL<br />
DEVELOPED<br />
REMEDIA<br />
L ACTION<br />
PLAN<br />
QA SYSTEM<br />
– UPDATE<br />
CHECKLIST<br />
S<br />
Having documented controls to manage hazards, some<br />
existing and some new, QA checklists must be updated to<br />
ensure that auditors assess those controls for compliance<br />
and effectiveness.<br />
Ineffective controls need to be reassessed at<br />
Step 4.
<strong>Hazard</strong>/Risk <strong>Management</strong> Process<br />
SCOPE OF ACTIVITY<br />
INTERNAL AUDIT TO CONFIRM<br />
IMPLEMENTATION & EFFECTIVENESS<br />
OF CONTROLS<br />
IDENTIFY AND RECORD<br />
HAZARDS<br />
RISK ANALYSIS<br />
IDENTIFY CONTROLS<br />
FOR SPECIFIC HAZARDS<br />
Steps 3 – 7 should now be<br />
repeated for each hazard<br />
identified in step 2.<br />
CONTROL EXISTS<br />
NEW CONTROL REQD<br />
REFERENCE<br />
CONTROLS AND<br />
RESPONSIBLE<br />
POSTS<br />
CONTROL<br />
DEVELOPED<br />
REMEDIA<br />
L ACTION<br />
PLAN<br />
QA SYSTEM<br />
– UPDATE<br />
CHECKLIST<br />
S
Wasted effort alert<br />
How to keep it a live process and prevent the hazard<br />
register from being a dusty book on the shelf, only<br />
brought out when auditors arrive.<br />
This process should also be saving money and<br />
attracting clients
Keeping it alive – Part I
<strong>Hazard</strong>/Risk <strong>Management</strong> Process<br />
SCOPE OF ACTIVITY<br />
IDENTIFY AND RECORD<br />
HAZARDS<br />
INTERNAL AUDIT TO CONFIRM<br />
IMPLEMENTATION & EFFECTIVENESS<br />
OF CONTROLS<br />
RISK ANALYSIS<br />
IDENTIFY CONTROLS<br />
FOR SPECIFIC HAZARDS<br />
SAFETY<br />
REPOPTING &<br />
INVESTIGATION<br />
PROCESS LINKED<br />
DIRECTLY TO THE<br />
HAZARD<br />
MANAGEMENT<br />
PROCESS.<br />
CONTROL EXISTS<br />
NEW CONTROL REQD<br />
REFERENCE<br />
CONTROLS AND<br />
RESPONSIBLE<br />
POSTS<br />
CONTROL<br />
DEVELOPED<br />
REMEDIA<br />
L ACTION<br />
PLAN<br />
SAFETY<br />
REPORTING &<br />
INVESTIGATION<br />
QA SYSTEM<br />
– UPDATE<br />
CHECKLIST<br />
S
Step 8 – Interface with Safety Reporting and<br />
Investigation<br />
• All company accident/incident/hazard/near miss report forms should have a step<br />
that requires the safety manager or investigator to refer to the hazard register as<br />
part of the investigation process.<br />
‣ Suggest this be for all Medium and High RAM assessed events.<br />
• If a new hazard is identified this should lead to Step 2 (Haz ID).<br />
• If the hazard has already been analysed and documented, the process should<br />
result in the existing controls being reviewed for effectiveness.<br />
‣ They may all have worked, thus preventing an accident.<br />
‣ Some may have proved ineffective though and the incident may have been too close,<br />
requiring additional controls.
Example<br />
<strong>Hazard</strong> report received that a pilot inadvertently entered IMC during seismic support<br />
tasking. After some maneuvering he was able to recover and regain VMC, but<br />
had some worried passengers.<br />
After interview with the pilot it appears he pressed on with the task, in deteriorating<br />
weather conditions, under client pressure to complete the last flight of the day.<br />
The client’s on site supervisor claims that he was unaware of the operators more<br />
restrictive weather limits.
Task<br />
Description<br />
/Location<br />
Basic <strong>Hazard</strong> Register example<br />
Onshore seismic support<br />
Reference No. Date last reviewed<br />
<strong>Hazard</strong> Description: Inadvertent entry to IMC<br />
HS - 017 Sept 09<br />
Initial<br />
RAM Score<br />
Current<br />
Controls Reference Owner Status<br />
Minimum company weather limits for VFR operations Ops Man 4.2.3 Chief Pilot In force<br />
<br />
<br />
<br />
<br />
<br />
Accurate daily forecasts available for operation Ops Man 4.2.4 Chief Pilot In force<br />
Weather limits agreed with client<br />
Standard contract<br />
clause 9.2<br />
Director Operations<br />
In force<br />
Enhanced Operational Controls in place to respond to changes in weather. RAP Item 16 Director Operations Due 31 Jun 10<br />
Aircraft equipped for basic IFR flight (Designate minimum avionic<br />
equipment)<br />
Ops Man 8.3.1<br />
Director of<br />
Maintenance<br />
In force<br />
Pilots instrument rated Ops Man 3.4 Chief Pilot In force<br />
Annual inadvertent IFR flight check to ensure currency and competence.<br />
Min 30 min<br />
Inadvertent IFR procedures trained and checked during annual simulator<br />
training.<br />
Training Man 6.4 Chief Pilot In force<br />
RAP Item 23 Chief Pilot Awaiting<br />
availability of<br />
sim for type<br />
All aircraft equipped with TAWS RAP Item 15 Director of<br />
Maintenance<br />
All aircraft equipped with satellite flight tracking Ops Man 8.3.4 Director of<br />
Maintenance<br />
Emergency response plan in place & exercised annually with client<br />
ERP 5.6 and<br />
Standard contract<br />
clause 10.1<br />
Head of Safety &<br />
QA<br />
Due complete<br />
Apr 2011<br />
In force<br />
In force
Task<br />
Description<br />
/Location<br />
Basic <strong>Hazard</strong> Register example<br />
Onshore seismic support<br />
Reference No. Date last reviewed<br />
<strong>Hazard</strong> Description: Inadvertent entry to IMC<br />
HS - 017 Sept 09<br />
Initial<br />
RAM Score<br />
Current<br />
<br />
<br />
<br />
<br />
<br />
Controls Reference Owner Status<br />
Minimum company weather limits for VFR operations Ops Man 4.2.3 Chief Pilot In force<br />
Accurate daily forecasts available for operation Ops Man 4.2.4 Chief Pilot In force<br />
Weather limits agreed with client and communicated to site supervisor<br />
Standard contract<br />
clause 9.2<br />
Director Operations<br />
In force<br />
Enhanced Operational Controls in place to respond to changes in weather. RAP Item 16 Director Operations Due 31 Jun 10<br />
Aircraft equipped for basic IFR flight (Designate minimum avionic<br />
equipment)<br />
Ops Man 8.3.1<br />
Director of<br />
Maintenance<br />
In force<br />
Pilots instrument rated Ops Man 3.4 Chief Pilot In force<br />
Annual inadvertent IFR flight check to ensure currency and competence.<br />
Min 30 min<br />
Inadvertent IFR procedures trained and checked during annual simulator<br />
training.<br />
Training Man 6.4 Chief Pilot In force<br />
RAP Item 23 Chief Pilot Awaiting<br />
availability of<br />
sim for type<br />
All aircraft equipped with TAWS RAP Item 15 Director of<br />
Maintenance<br />
All aircraft equipped with satellite flight tracking Ops Man 8.3.4 Director of<br />
Maintenance<br />
Emergency response plan in place & exercised annually with client<br />
Amend contract<br />
requirements<br />
Accelerate<br />
introduction<br />
ERP 5.6 and<br />
Standard contract<br />
clause 10.1<br />
Head of Safety &<br />
QA<br />
Due complete<br />
Apr 2011<br />
In force<br />
In force
Task<br />
Description<br />
/Location<br />
Basic <strong>Hazard</strong> Register example<br />
Onshore seismic support<br />
Reference No. Date last reviewed<br />
<strong>Hazard</strong> Description: Inadvertent entry to IMC<br />
HS - 017 Sept 09<br />
Initial<br />
RAM Score<br />
Current<br />
Controls Reference Owner Status<br />
Minimum company weather limits for VFR operations Ops Man 4.2.3 Chief Pilot In force<br />
<br />
<br />
<br />
<br />
<br />
Accurate daily forecasts available for operation Ops Man 4.2.4 Chief Pilot In force<br />
Weather limits agreed with client and communicated to site supervisor<br />
Standard contract<br />
clause 9.2<br />
Director Operations<br />
In force<br />
Enhanced Operational Controls in place to respond to changes in weather. RAP Item 16 Director Operations Due 31 Jun 10<br />
Aircraft equipped for basic IFR flight (Designate minimum avionic<br />
equipment)<br />
Ops Man 8.3.1<br />
Director of<br />
Maintenance<br />
In force<br />
Pilots instrument rated Ops Man 3.4 Chief Pilot In force<br />
Annual inadvertent IFR flight check to ensure currency and competence.<br />
Min 30 min<br />
Wx limits and EOC requirements included in Pilot annual ground training<br />
syllabus<br />
Inadvertent IFR procedures trained and checked during annual simulator<br />
training.<br />
Training Man 6.4 Chief Pilot In force<br />
Training Man 6.12<br />
Chief Pilot<br />
RAP Item 23 Chief Pilot Awaiting<br />
availability of<br />
sim for type<br />
All aircraft equipped with TAWS RAP Item 15 Director of<br />
Maintenance<br />
All aircraft equipped with satellite flight tracking Ops Man 8.3.4 Director of<br />
Maintenance<br />
Emergency response plan in place & exercised annually with client<br />
Add and record<br />
a further control<br />
ERP 5.6 and<br />
Standard contract<br />
Head of Safety &<br />
QA<br />
Due complete<br />
Apr 2011<br />
In force<br />
In force
<strong>Hazard</strong>/Risk <strong>Management</strong> Process<br />
SCOPE OF ACTIVITY<br />
IDENTIFY AND RECORD<br />
HAZARDS<br />
PROCESS NEW HAZARDS<br />
INTERNAL AUDIT TO CONFIRM<br />
IMPLEMENTATION & EFFECTIVENESS<br />
OF CONTROLS<br />
RISK ANALYSIS<br />
IDENTIFY CONTROLS<br />
FOR SPECIFIC HAZARDS<br />
VALIDATE EXISTING<br />
CONTROLS OR DEVELOP NEW<br />
CONTROLS<br />
SAFETY<br />
REPOPTING &<br />
INVESTIGATION<br />
PROCESS LINKED<br />
DIRECTLY TO THE<br />
HAZARD<br />
MANAGEMENT<br />
PROCESS.<br />
CONTROL EXISTS<br />
NEW CONTROL REQD<br />
REFERENCE<br />
CONTROLS AND<br />
RESPONSIBLE<br />
POSTS<br />
CONTROL<br />
DEVELOPED<br />
REMEDIA<br />
L ACTION<br />
PLAN<br />
SAFETY<br />
REPORTING &<br />
INVESTIGATION<br />
QA SYSTEM<br />
– UPDATE<br />
CHECKLIST<br />
S
Keeping it alive – Part II
<strong>Hazard</strong>/Risk <strong>Management</strong> Process<br />
SCOPE OF ACTIVITY<br />
MANAGEMENT<br />
OF CHANGE<br />
PROCESS<br />
IDENTIFY AND RECORD<br />
HAZARDS<br />
PROCESS NEW HAZARDS<br />
INTERNAL AUDIT TO CONFIRM<br />
IMPLEMENTATION & EFFECTIVENESS<br />
OF CONTROLS<br />
RISK ANALYSIS<br />
IDENTIFY CONTROLS<br />
FOR SPECIFIC HAZARDS<br />
VALIDATE EXISTING<br />
CONTROLS OR DEVELOP NEW<br />
CONTROLS<br />
SAFETY<br />
REPOPTING &<br />
INVESTIGATION<br />
PROCESS LINKED<br />
DIRECTLY TO THE<br />
HAZARD<br />
MANAGEMENT<br />
PROCESS<br />
CONTROL EXISTS<br />
NEW CONTROL REQD<br />
REFERENCE<br />
CONTROLS AND<br />
RESPONSIBLE<br />
POSTS<br />
CONTROL<br />
DEVELOPED<br />
REMEDIA<br />
L ACTION<br />
PLAN<br />
SAFETY<br />
REPORTING &<br />
INVESTIGATION<br />
QA SYSTEM<br />
– UPDATE<br />
CHECKLIST<br />
S
Step 9 – <strong>Management</strong> of Change<br />
• Required element of the SMS<br />
• Process to include:<br />
‣ Review the relevant sections of the hazard register.<br />
‣ How does the change effect existing controls<br />
‣ What new hazards may be introduced.<br />
• New hazards should be run through the whole process.<br />
• What should prompt the MOC process…?
Step 9 – <strong>Management</strong> of Change<br />
• The MOC process should be triggered and the hazard register should be<br />
formally reviewed ahead of the following occasions:<br />
‣ Introduction of new aircraft type<br />
‣ New contract/operation<br />
‣ Opening a new base<br />
‣ Major change in key personnel or organisation change<br />
‣ If none of the above occur, then every 2 years.<br />
• This wording can form the basis of the Change <strong>Management</strong> section in the SMS<br />
manual.<br />
• The TC SMS Guidelines call for a Safety Case to be developed as a minimum<br />
on the occasions listed above.
Step 9 – <strong>Management</strong> of Change<br />
• However – if you have a live, active and comprehensive <strong>Hazard</strong> <strong>Management</strong><br />
Process in place, this “Safety Case” could be limited to a 2-3 page document.<br />
• It would summarise:<br />
‣ What has changed<br />
‣ Which areas/departments have been affected<br />
‣ Which hazards have been reviewed or new hazards identified.<br />
‣ What actions have been taken to manage risk.
Suggested MOC Summary Doc/(”Safety Case”)<br />
Scope of Change Introduction of B 429 from Aug 2010 Ref # MOC 02/2010<br />
Accountable<br />
Manager<br />
Director of Operations J. C. Van Damm
Suggested MOC Summary Doc/(”Safety Case”)<br />
Scope of Change Introduction of B 429 from Aug 2010 Ref # MOC 02/2010<br />
Accountable<br />
Manager<br />
Director of Operations J. C. Van Damm<br />
Type of change Permanent Temporary: From ________ to __________
Suggested MOC Summary Doc/(”Safety Case”)<br />
Scope of Change Introduction of B 429 from Aug 2010 Ref # MOC 02/2010<br />
Accountable<br />
Manager<br />
Director of Operations J. C. Van Damm<br />
Type of change Permanent Temporary: From ________ to __________<br />
Department/location Responsible <strong>Hazard</strong> Register<br />
Reviewed/Updated<br />
Signature<br />
Maintenance Department<br />
Training Department<br />
Flight Operations<br />
Department<br />
Safety & Quality Department<br />
Edmonton Base<br />
Calgary Base<br />
Other departments<br />
could be added<br />
dependant on the<br />
type of change
Suggested MOC Summary Doc/(”Safety Case”)<br />
Scope of Change Introduction of B 429 from Aug 2010 Ref # MOC 02/2010<br />
Accountable<br />
Manager<br />
Director of Operations J. C. Van Damm<br />
Type of change Permanent Temporary: From ________ to __________<br />
Department/location Responsible <strong>Hazard</strong> Register<br />
Reviewed/Updated<br />
Signature<br />
Maintenance Department Dir Maintenance 13 Apr 2010<br />
Training Department Training Manager 1 Apr 2010<br />
Flight Operations<br />
Department<br />
Dir Operations 22 Mar 2010<br />
Safety & Quality Department Dir Safety & Quality 10 Apr 2010<br />
Edmonton Base Base Manager 5 Mar 2010<br />
Calgary Base Base Manger 15 Mar 2010<br />
Once a department<br />
has completed its<br />
Review of the hazard<br />
Register, the HOD<br />
will sign for completion
Suggested MOC Summary Doc/(”Safety Case”)<br />
Scope of Change Introduction of B 429 from Aug 2010 Ref # MOC 02/2010<br />
Accountable<br />
Manager<br />
Director of Operations J. C. Van Damm<br />
Type of change Permanent Temporary: From ________ to __________<br />
Department/location Responsible <strong>Hazard</strong> Register<br />
Reviewed/Updated<br />
Signature<br />
Maintenance Department Dir Maintenance 13 Apr 2010<br />
Training Department Training Manager 1 Apr 2010<br />
Flight Operations<br />
Dir Operations 22 Mar 2010<br />
Department<br />
Each department will have<br />
Safety & Quality Department Dir Safety & Quality<br />
developed a detailed action<br />
10 Apr<br />
list, for<br />
2010<br />
its own internal use.<br />
Edmonton Base Base Manager 5 Mar 2010<br />
Calgary Base Base Manger 15 Mar 2010<br />
Summary of Actions Arising Responsible Due Date & Signature<br />
Pilot and mechanic training syllabus developed and<br />
documented<br />
Factory training completed for Pilots and Maintenance<br />
Supervisors<br />
Training Manager 1 May 2010<br />
Training Manager 1 Aug 2010<br />
Maintenance work stands designed and manufactured Dir Maintenance 1 Jul 2010<br />
Additional Hangar space at Edmonton to be acquired or built Edm Base Manager 1 Jul 2010<br />
Maintenance documentation developed for B429. Maintenance QA Lead 1 Jul 2010
Suggested MOC Summary Doc/(”Safety Case”)<br />
Scope of Change Introduction of B 429 from Aug 2010 Ref # MOC 02/2010<br />
Accountable<br />
Manager<br />
Director of Operations J. C. Van Damm<br />
Type of change Permanent Temporary: From ________ to __________<br />
Department/location Responsible <strong>Hazard</strong> Register<br />
Reviewed/Updated<br />
Signature<br />
Maintenance Department Dir Maintenance 13 Apr 2010<br />
Training Department Training Manager 1 Apr 2010<br />
Flight Operations<br />
Department<br />
Dir Operations 22 Mar 2010<br />
Safety & Quality Department Dir Safety & Quality 10 Apr 2010<br />
Edmonton Base Base Manager 5 Mar 2010<br />
Calgary Base Base Manger 15 Mar 2010<br />
Summary of Actions Arising Responsible Due Date & Signature<br />
Pilot and mechanic training syllabus developed and<br />
documented<br />
Factory training completed for Pilots and Maintenance<br />
Supervisors<br />
Training Manager 1 May 2010<br />
Training Manager 1 Aug 2010<br />
Maintenance work stands designed and manufactured Dir Maintenance 1 Jul 2010<br />
Additional Hangar space at Edm acquired or built Edm Base Manager 1 Jul 2010<br />
Maintenance documentation developed for B429. Maintenance QA Lead 1 Jul 2010<br />
Statement of Completion/Fitness Accountable Manager Date & Signature<br />
MOC process for introduction of B429 completed . All appropriate<br />
sections of the hazard register reviewed and updated. Risk<br />
Director of Operations J.C. Van Damm 15 Jun 2010
Step 9 – <strong>Management</strong> of Change<br />
The same process could be applied to a new contract or<br />
operation and the MOC Summary could be presented to the<br />
client prior to the start of operations as part of their<br />
assurance that all hazards have been assessed and that<br />
risk is being managed to ALARP.
<strong>Hazard</strong>/Risk <strong>Management</strong> Process<br />
SCOPE OF ACTIVITY<br />
MANAGEMENT<br />
OF CHANGE<br />
PROCESS<br />
IDENTIFY AND RECORD<br />
HAZARDS<br />
PROCESS NEW HAZARDS<br />
INTERNAL AUDIT TO CONFIRM<br />
IMPLEMENTATION & EFFECTIVENESS<br />
OF CONTROLS<br />
RISK ANALYSIS<br />
IDENTIFY CONTROLS<br />
FOR SPECIFIC HAZARDS<br />
VALIDATE EXISTING<br />
CONTROLS OR DEVELOP NEW<br />
CONTROLS<br />
SAFETY<br />
REPOPTING &<br />
INVESTIGATION<br />
PROCESS LINKED<br />
DIRECTLY TO THE<br />
HAZARD<br />
MANAGEMENT<br />
PROCESS<br />
CONTROL EXISTS<br />
NEW CONTROL REQD<br />
REFERENCE<br />
CONTROLS AND<br />
RESPONSIBLE<br />
POSTS<br />
CONTROL<br />
DEVELOPED<br />
REMEDIA<br />
L ACTION<br />
PLAN<br />
SAFETY<br />
REPORTING &<br />
INVESTIGATION<br />
QA SYSTEM<br />
– UPDATE<br />
CHECKLIST<br />
S
Keeping it alive – Part III
<strong>Hazard</strong>/Risk <strong>Management</strong> Process<br />
SCOPE OF ACTIVITY<br />
MANAGEMENT<br />
OF CHANGE<br />
PROCESS<br />
IDENTIFY AND RECORD<br />
HAZARDS<br />
PROCESS NEW HAZARDS<br />
RISK ANALYSIS<br />
SAFETY<br />
REPOPTING &<br />
INVESTIGATION<br />
PROCESS LINKED<br />
DIRECTLY TO THE<br />
SAFETY CASE.<br />
INTERNAL AUDIT TO CONFIRM<br />
IMPLEMENTATION & EFFECTIVENESS<br />
OF CONTROLS<br />
IDENTIFY CONTROLS<br />
FOR SPECIFIC HAZARDS<br />
VALIDATE EXISTING<br />
CONTROLS OR DEVELOP NEW<br />
CONTROLS<br />
CONTROL EXISTS<br />
NEW CONTROL REQD<br />
REFERENCE<br />
CONTROLS AND<br />
RESPONSIBLE<br />
POSTS<br />
CONTROL<br />
DEVELOPED<br />
REMEDIA<br />
L ACTION<br />
PLAN<br />
SAFETY<br />
REPORTING &<br />
INVESTIGATION<br />
QA SYSTEM<br />
– UPDATE<br />
CHECKLIST<br />
S<br />
MANAGEMEN<br />
T REVIEW
Step 10 – <strong>Management</strong> Review<br />
Wasted effort alert<br />
Unless your senior management supports, is actively involved<br />
in the process and uses the process as a management tool,<br />
it will be an academic exercise with limited impact on the<br />
business.<br />
Applied effectively the <strong>Hazard</strong> <strong>Management</strong> process can be a<br />
key factor in influencing the financial decisions within the<br />
company.
<strong>Hazard</strong>/Risk <strong>Management</strong> Process<br />
SCOPE OF ACTIVITY<br />
MANAGEMENT<br />
OF CHANGE<br />
PROCESS<br />
IDENTIFY AND RECORD<br />
HAZARDS<br />
PROCESS NEW HAZARDS<br />
RISK ANALYSIS<br />
SAFETY<br />
REPOPTING &<br />
INVESTIGATION<br />
PROCESS LINKED<br />
DIRECTLY TO THE<br />
SAFETY CASE.<br />
INTERNAL AUDIT TO CONFIRM<br />
IMPLEMENTATION & EFFECTIVENESS<br />
OF CONTROLS<br />
IDENTIFY CONTROLS<br />
FOR SPECIFIC HAZARDS<br />
VALIDATE EXISTING<br />
CONTROLS OR DEVELOP NEW<br />
CONTROLS<br />
CONTROL EXISTS<br />
NEW CONTROL REQD<br />
REFERENCE<br />
CONTROLS AND<br />
RESPONSIBLE<br />
POSTS<br />
CONTROL<br />
DEVELOPED<br />
REMEDIA<br />
L ACTION<br />
PLAN<br />
SAFETY<br />
REPORTING &<br />
INVESTIGATION<br />
QA SYSTEM<br />
– UPDATE<br />
CHECKLIST<br />
S<br />
MANAGEMEN<br />
T REVIEW<br />
Each of these steps in the process<br />
can be a separate agenda item<br />
at the regular Senior <strong>Management</strong><br />
Review meetings
<strong>Hazard</strong>/Risk <strong>Management</strong> Process<br />
SCOPE OF ACTIVITY<br />
MANAGEMENT<br />
OF CHANGE<br />
PROCESS<br />
IDENTIFY AND RECORD<br />
HAZARDS<br />
PROCESS NEW HAZARDS<br />
RISK ANALYSIS<br />
SAFETY<br />
REPOPTING &<br />
INVESTIGATION<br />
PROCESS LINKED<br />
DIRECTLY TO THE<br />
SAFETY CASE.<br />
INTERNAL AUDIT TO CONFIRM<br />
IMPLEMENTATION & EFFECTIVENESS<br />
OF CONTROLS<br />
IDENTIFY CONTROLS<br />
FOR SPECIFIC HAZARDS<br />
VALIDATE EXISTING<br />
CONTROLS OR DEVELOP NEW<br />
CONTROLS<br />
CONTROL EXISTS<br />
NEW CONTROL REQD<br />
REFERENCE<br />
CONTROLS AND<br />
RESPONSIBLE<br />
POSTS<br />
CONTROL<br />
DEVELOPED<br />
REMEDIA<br />
L ACTION<br />
PLAN<br />
SAFETY<br />
REPORTING &<br />
INVESTIGATION<br />
QA SYSTEM<br />
– UPDATE<br />
CHECKLIST<br />
S<br />
MANAGEMEN<br />
T REVIEW
Legal Footnote<br />
Does having this process documented open me to legal or<br />
regulatory action in the event of an accident?<br />
• Not having a <strong>Hazard</strong> <strong>Management</strong> Process and not having<br />
assessed the risks that others in the industry have, may well<br />
give you exposure.<br />
• A comprehensive, well documented <strong>Hazard</strong> <strong>Management</strong><br />
Process, even one that lists controls that have not yet<br />
reasonably been put in place for financial or other reasons,<br />
represents “Best Endeavour”, which is legally defensible.<br />
• Your hazard register and remedial action plan are not State<br />
“approved” documents, but internal management tools.
Summary<br />
• Keep it manageable and focus first on your known areas of<br />
risk.<br />
• Look outside your company for global industry best practice.<br />
• Assess the risks honestly and openly within your company.<br />
• Consider all reasonable controls.<br />
• Keep the process live and adding value.
Scope<br />
• Identify the interactions of <strong>Hazard</strong> <strong>Management</strong> within the<br />
SMS.<br />
• Detail the procedural steps of the <strong>Hazard</strong> <strong>Management</strong><br />
process.<br />
• Suggest documentation requirements.<br />
• Emphasise how to keep the process live and delivering real<br />
benefit to the organisation.
<strong>Shell</strong> Aircraft International<br />
Our GOAL is your SAFETY<br />
QUESTIONS
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