SMS Databases

With Part 5 SMS mandates on the horizon for US Part 135 certificate holders and 91.147 LOA holders, numerous SMS service providers are peddling their solutions to smaller operators. Virtually all of these providers offer a web-based SMS database in which SMS policies, reports, and records of safety risk management (SRM), safety assurance (SA), and safety promotion (SP) are retained. And while many organizations now have a Safety Management System SMS in place, they vary considerably in terms of employee acceptance, effectiveness, and ease of use.

SMS was envisioned as a “data-driven approach to safety”. In essence, this means we collect and analyze data, identify hazards and latent conditions, assess risk, and implement risk controls in order to prevent accidents. Some organizations collect data from inexpensive employee reporting programs and internal audits. Others are investing in Flight Data Monitoring (FDM, aka FOQA) systems to collect data on flight profiles and deviations from standard operating procedures.  And while employee reporting and FDM can both contribute to overall safety efforts as part of a comprehensive SMS, the data must still be analyzed, risk-assessed, and processed into meaningful risk controls and corrective actions.

SMS uses a quality management approach to managing safety. It requires, among other things, monitoring of daily activities and identifying hazards through system analysis. It also requires us to manage change, deliver and track training, and conduct internal audits, external provider audits, internal evaluations, and management reviews. A method is needed for employees to report hazards, errors, and events, and procedures must be established to manage risk and follow up to ensure that implemented risk controls remain effective. Clearly, this is no easy task and requires more than an SMS Manual and some paper forms to do the job right.

So what do we do with our data? How do we address the many latent conditions that we know exist within our organizations in a manner that is both proactive and predictive, as SMS doctrine teaches us? And how can we make the whole safety risk management process efficient and effective? Fortunately, modern technology provides us with the SMS database. The ubiquitous Excel® spreadsheet is but one example of a tool that is great for recording and organizing data, but falls short of addressing the many requirements of SMS. It also does not provide a repository to keep our SMS data and records organized and accessible. Some companies use SharePoint® to organize and share access to their SMS records, but in this author’s opinion, there are much easier and better solutions available.

When developing your SMS or selecting a database/web app from an SMS service provider, make sure the system can be sized and scoped to your operation and the types of operations you conduct. Also consider whether your database will be hosted by a third party or reside on your company-owned servers. Costs of hardware, space, and IT resources must also be considered, in addition to the software itself. In any case, much of your safety risk data will be sensitive and confidential. Physical security, access devices, firewalls, intrusion protection/detection, secure transmission, backup, and storage should all be considered. Your provider should have documented policies in place to address these concerns.

Regarding employee reporting, how will employees connect? Effective reporting should be accessible and easy. Will you offer ASAP? An easy ASRS link? Anonymous reporting options? How will managers be notified when a report is received? And most importantly, how will the data from employee reports be processed in accordance with your SMS standard (such as 14CFR Part 5 for US operators)?

Then consider the following database attributes:

• Levels of authority should be established for database administration, password assignment, and access (including restricted access for regulators).
• Will the database provide user-defined values and data entry options that permit its use for managing other issues, such as quality management, security, occupational health, and environmental protection?
• How will interfaces between managers be handled regarding investigation, risk acceptance, and corrective actions?
• Will your database provide for the assignment of responsibilities for investigation, risk acceptance, corrective actions, and communication of lessons learned?
• Your SMS database should also include controls to ensure data integrity and the proper completion of all assigned risk management responsibilities, including follow-ups.

SMS Safety Management System is all about continuous improvement. And because SMS uses a quality management approach, there’s no reason why your database shouldn’t work to improve quality throughout your organization. In addition to managing incidents, accidents, near-accidents and identified hazards, your database should be able to help you track and manage a variety of other user-defined issues, such as scheduling problems, reliability of equipment, errors and quality escapes in maintenance, communications difficulties, security breeches, EPA violations, quality or supply problems with vendors, OSHA reportable injuries, and other processes for which improvement is desired.

An effective SMS database should also support trend analysis. Trend reports allow managers to target specific types of events, equipment, mission types, etc., over time, and look for contributing factors that may be a recurring theme. By accurately determining the root causes of these associated events, risk controls and corrective actions can be implemented that make effective use of our limited safety management resources.

We’ve come a long way with cell phones, computers, and the internet to help us communicate and manage information. The innate complexities of SMS demand that we use these tools to our advantage. An effective SMS database should go beyond collecting and sharing data to address the many elements of safety risk management and improve the quality of other processes throughout our organizations.

Paul Salerno is President of Omni Air Group, a leading developer of Safety Management Systems for industry. For more information, visit OAG online at www.omniairgroup.com

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