Document
OAS-43 (4/18)
Department of the Interior
Accident Prevention Bulletin
No. DOI APB 23-01 February 9, 2023 Page 1 of 4 Subject : Safety Management Systems (SMS) Area of Concern: SMS In Flight Operations Distribution: All Aviation Operations.
Discussion: Many of you may have heard about Safety Management Systems or “SMS” without any context as to what it is or how it works. This has created some anxiety and may be perceived as “more useless paperwork” that will be required. The intent of this Accident Prevention Bulletin is to reduce that anxiety because you may already be doing it!
Safety Management Systems have become the standard for aviation operations. It is the formal, top-down, organization-wide approach to managing safety risk and assuring the effectiveness of safety risk controls. SMS addresses the organization's role in safety by including requirements that will positively impact the organization and by enhancing the safety culture encompassing leadership, management, and employees. Whether you realize it or not, all bureau aviation programs already possess some basic tenants of SMS.
The four components of SMS are Safety Policy, Safety Risk Management, Safety Assurance, and Safety Promotion.
Safety Policy. It may seem like there is an abundance of policy. However, it is the critical first piece that lays out “what” we are going to do and “how” we are going to do it. It’s critically important that the policy is relevant and up to date, as outdated policy can be just as hazardous as no policy at all. Federal Management Regulation 102-33 (Management of Government Aircraft) prescribes basic requirements for all federal agencies that use aircraft.
The Departmental Manual (DM) provides the over-arching Departmental (parent) policy that also prescribes for each bureau to develop subordinate policies and procedures that are more directly applicable to their respective type(s) of operations. Bureau policies may prescribe even more detailed policies at the regional or unit level.
All Departmental Aviation Operations: Department Manual (DM Series 112, 350-353) Operational Procedures Memorandum (OPM) No. DOI APB 23-01 February 9, 2023 Page 2 of 4 Bureau Aviation Operations: BIA - BIA National Aviation Plan BLM - 9400 Aviation Management, National Aviation Plan BOEM - BOEM National Aviation Management Plan BOR - National Aviation Management Plan BSEE - BSEE National Aviation Management Plan FWS - 330 FW 3-5 Aviation Management Program NPS - Aviation Management Reference Manual (RM)-60 OSMRE - National Aviation Management Plan USGS - USGS National Aviation Management Plan Safety Risk Management. The purpose of risk management is to identify hazards and to manage and reduce the risks associated with the hazards. Risk management and safety assurance are interconnected must be actively managed to ensure their success. Examples of risk management include: • Operational Risk Assessments • Project Aviation Safety Plans • Flight Risk Assessments Safety Assurance. Audits, reviews, program evaluations are all examples of safety assurance. Safety assurance tells you whether you are “walking the walk” or just “talking the talk”. It also serves as an important means to measure the effectiveness of respective policies and procedures within any given area and eliminates guesswork in making improvements.
Platitudes on safety do nothing if actions don’t reflect policy.
The following are best practices from the Aviation Program Evaluations conducted by OAS: • Utilization of tiered management plans as a means of ensuring National, Regional/State and Local Aviation Management Plans are consistent.
• ALSE inspection and tracking program in place, facilitating consistent compliance with ALSE Handbook requirements.
• M-3 training included in consolidated management meetings to ensure Line Managers and Supervisors meet OPM-04 requirements.
No. DOI APB 23-01 February 9, 2023 Page 3 of 4 • Aviation Mishap Response Plans exercised at a minimum of annually to prepare personnel and improve response.
• Aviation Managers and Procurement Specialists proactive communication regarding end-product contracts to ensure OPM-35 compliance.
Safety Promotion. Safety promotion includes training, communication, personnel and organization awards, and other actions to create a positive safety culture within all levels of the workforce. Everyone has a role in promoting safety.
Following are just a few examples of Safety Promotion: OAS Publications: • Interagency Safety Alerts • Interagency Accident Prevention Publications • Interagency Lessons Learned • Annual Aviation Safety Summary Aviation Safety Awards (Airwards) • Safe Flying Award • Inflight Action Award • Significant Contribution to Aviation Safety • Departmental [Secretary’s] Award For Outstanding Contribution to Aviation Safety SMS Development Tools and Programs The following are just a few organizations that offer SMS accreditation. Accreditation is the external recognition of adherence to a set of expanded standards to perform an activity or hold a certain status – in this case, safety standards as determined by the accrediting entity (IS-BAO, FAA, HAI, etc.). Third party auditing is required to ensure compliance with respective accreditation standards with the ultimate goal of providing operators with the foundation for safe operating practices, enhanced professionalism, economic efficiency, and overall greater mission effectiveness.
Federal Aviation Administration (FAA) / SMS Voluntary Program (SMSVP) / Procedures and requirements for non-14 CFR part 121 Air Operators and Air Agencies who would like to voluntarily implement an SMS. / More info: https://www.faa.gov/about/initiatives/gasafetyoutreach/smsvp International Standard for Business Aircraft Operations (IS-BAO) / Stage 1/2/3 SMS Accreditation / Meeting a recommended code of best practices designed to help flight departments worldwide achieve high levels of safety and professionalism. / More info: https://nbaa.org/flight-department-administration/sms/is-bao/ No. DOI APB 23-01 February 9, 2023 Page 4 of 4 Helicopter Association International (HAI) / HAI SMS Program / HAI SMS Program services allow users to verify their compliance with current and future international and domestic regulations./ More info: https://rotor.org/resources/sms-program/ The following diagram shows the relationship between the four SMS components and existing Department of the Interior (DOI) policies, programs, and practices.
• Federal Management Regulations 102 -33 So hopefully, if you hear “we are doing SMS”, you can be assured that it is not a new program that will impose an undue hardship, but rather an effort to improve operational effectiveness, quality, and safety within the existing framework.
/s/ Keith C. Raley Keith C. Raley Chief, Aviation Safety, Training, Program Evaluation, and Quality Management DOI, Office of Aviation Services