SMS

Question 0

ICAO Safety Definition?

Answer 0

State in which the risk of harm to persons or property is reduced to, and maintained below, an acceptable level through a continuous process of hazard identification and risk management.

Question 1

What is safety?

Answer 1

Process of hazard identification and risk management

Question 2

What were the two goals of original accident investigation?

Answer 2

1. Exclusively identify immediate safety concern.

2. Determine what, who, when, then assign blame and punish

Question 3

What was the drawback to the outdated accident investigation policy?

Answer 3

No in depth analysis of why or how

Question 4

Quick and dirty root cause analysis?

Answer 4

5 Whys

Why, why, why, why, and why

Question 5

Regarding safety culture, from least to most desirable, what are the three original types of organizations according according to Wesrum?

Answer 5

1. Pathological
2. Bureaucratic
3. Generative

Question 6

What are characteristics of pathological org.?

Answer 6

• Shoot the messenger
• Hide info.
• Cover up failure
• Crush new ideas
• Shirk responsibility
• No employee / employer bridging

Question 7

What are characteristics of a bureaucratic org.?

Answer 7

• Very structured processes
• Lack of flexibility
• Excessive paperwork and meetings
• Sometimes effective

Question 8

What are characteristics of a generative organization?

Answer 8

• Actively seek info.
• Shared responsibility
• Welcome new ideas
• Continuous eval.
• Employee / employer bridging rewarded

Question 9

What is the formal name and characteristics of the James Reason’s “Swiss cheese model”?

Answer 9

Organizational Failure Model shows where multiple failures within various levels of an org. align to allow an accident.

Question 10

The two root causes of an organizational accident are:

Answer 10

1. Corp. safety culture

2. Corp. decision making

Question 11

The two components of an org. accident are:

Answer 11

1. Active Failures

2. Latent Failures

Question 12

An active failure has an __________, ___________ effect.

Answer 12

immediate, adverse

Question 13

Latent conditions are ___________ or ____________ which are placed in the system by decisions or actions made some distance from the operation. Further, they may remain ____________ for a long time until a ____________ mechanism breaches a system’s defenses.

Answer 13

situations / conditions / dormant / triggering

Question 14

What are the three factors of a safety issue?

Answer 14

1. Technical Factors
2. Human Factors
3. Org. Factors

Question 15

What are the four pillars of SMS?

Answer 15

1. Safety Policy
2. Safety Promotion
3. Safety Risk Mgt.
4. Safety Assurance

Question 16

In SMS, what is upper management responsible for establishing?

Answer 16

The org’s. safety policy

Question 17

What are the three aspects of safety promotion?

Answer 17

1. Comm.
2. Training
3. Culture

Question 18

What model describes how a whole operational system interacts, and where a mismatch between two aspects can lead to problems?

Answer 18

SCHELLD Model

Note: SWA does not use C.

Question 19

How is each component of the SCHELLD Model described?

Answer 19

S - Software (prcdres of design)
C - Culture (corp / Nat'l interactions)
H - Hardware (eqpmt / tools / tech)
E - Environs in which work performed
L - Liveware - Human aspects of work
L - Liveware - Human work interactions
D - Data from various sources

Note: SWA does not use C.

Question 20

What is the one overarching goal of SMS?

Answer 20

Allocate resources against risk.

Question 21

What are some non textbook ways of assessing SMS effectiveness?

Answer 21

• Did SMS feedback cause budgeted money to be spent differently than planned?

Audit Questions:

1. What is the likely cause of your next serious incident or accident?
2. How do you know that?
3. What are you doing about that?
4. Is it working?

Question 22

Define “just culture”

Answer 22

Atmosphere in which people are encouraged, even rewarded, for providing essential safety related information, but in which there are clear lines drawn between acceptable and unacceptable behavior such as willful or gross negligence.

Question 23

Safety Risk Mgmt processes must be retained for how long?

Answer 23

As long as relevant to the operation.

Question 24

Safety Assurance records must be retained a minimum of how long?

Answer 24

5 years

Question 25

Are individual SMS training records required? If so, for how long must they be retained?

Answer 25

Yes For as long as the person is employed by certificate holder.

Question 26

How long must a record of all safety communication be retained?

Answer 26

A minimum of 24 consecutive calendar months.

Question 27

Regarding safety cultures, the evolutionary model developed in cooperation with Westrum, is made up of what five levels (include brief descriptions)? Scale progresses through increasing trust and informed levels.

Answer 27

Pathological - who cares as long as we're not caught! Reactive - safety's important; we do a lot every time we have an accident Calculative - we have systems in place to manage all hazards Proactive - we work on the problems we still find Generative - safety is how we do business round here!

Question 28

Define Safety Risk Mgmt.

Answer 28

Decision-making process for identifying hazards and mitigating risk

Question 29

Define Safety Policy.

Answer 29

Where upper mgmt sets objectives/standards, assigns responsibilities, and how commitment to safety performance conveyed to employees.

Question 30

Define Safety Assurance

Answer 30

Provides necessary processes to give confidence that your system is meeting your org' safety objectives and that your risk controls (mitigations) developed under SRM are working.

Question 31

Safety promotion consists of?

Answer 31

Ensures employees have a solid foundation regarding safety responsibilities, org. policies/expectations, reporting policies, and risk controls

Question 32

Describe the level of mgmt that conducts the SRM process.

Answer 32

Operational mgrs that understand the operation and have authority to make risk decisions related to aviation safety.

Question 33

The five steps to the SRM process consist of:

Answer 33

1. System Description (analysis) 2. Hazard Identification 3. Risk Analysis (potential outcome) 4. Risk Assessment (matrix that combines likely worst outcome with probability) 5. Risk Control

Question 34

Safety Assurance processes consist of:

Answer 34

1. System Ops/Monitoring 2. Data Acquisition & Process 3. Data Analysis 4. System Assessment 5. Preventive/Corrective Action

Question 35

Safety Risk Mgmt (SRM) processes are conducted when: 1. 2. 3.

Answer 35

1. Implementing or revising systems 2. Developing or revising operational procedures 3. ID of new hazards or ineffective risk controls

Question 36

As a component of the Certificate Holder Evaluation Program (CHEP), SAS is replacing the Air Transportation Oversight System (ATOS). SAS stands for _______ _______ ________.

Answer 36

Safety Assurance System Note: Found in FSIM Manual 8900.1, Volume 10.

Question 37

The six SAS Safety Attributes that are incumbent on the Operator in meeting regulatory obligations are:

Answer 37

1. Responsibility 2. Authority 3. Procedures 4. Controls 5. Process Measures 6. Interfaces (RAPCPI)

Question 38

The acronym "TEAM" refers to what four broad categories of controls that may be applied to risk?

Answer 38

Transfer Eliminate Accept Mitigate