Aviation Risk and Safety Management: Methods and Applications in Aviation Organizations PDF
Preview Aviation Risk and Safety Management: Methods and Applications in Aviation Organizations
Management for Professionals Roland Müller · Andreas Wittmer Christopher Drax Editors Aviation Risk and Safety Management Methods and Applications in Aviation Organizations Management for Professionals Forfurthervolumes: http://www.springer.com/series/10101 ThiSisaFMBlankPage Roland Mu¨ller (cid:129) Andreas Wittmer (cid:129) Christopher Drax Editors Aviation Risk and Safety Management Methods and Applications in Aviation Organizations Editors RolandMu¨ller ChristopherDrax AndreasWittmer P3aviation CenterforAviationCompetence P3Group UniversityofSt.Gallen Lorsch St.Gallen Germany Switzerland ISSN2192-8096 ISSN2192-810X(electronic) ISBN978-3-319-02779-1 ISBN978-3-319-02780-7(eBook) DOI10.1007/978-3-319-02780-7 SpringerChamHeidelbergNewYorkDordrechtLondon LibraryofCongressControlNumber:2014936180 #SpringerInternationalPublishingSwitzerland2014 Thisworkissubjecttocopyright.AllrightsarereservedbythePublisher,whetherthewholeorpart of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation,broadcasting,reproductiononmicrofilmsorinanyotherphysicalway,andtransmissionor informationstorageandretrieval,electronicadaptation,computersoftware,orbysimilarordissimilar methodologynowknownorhereafterdeveloped.Exemptedfromthislegalreservationarebriefexcerpts inconnectionwithreviewsorscholarlyanalysisormaterialsuppliedspecificallyforthepurposeofbeing enteredandexecutedonacomputersystem,forexclusiveusebythepurchaserofthework.Duplication ofthispublicationorpartsthereofispermittedonlyundertheprovisionsoftheCopyrightLawofthe Publisher’s location, in its current version, and permission for use must always be obtained from Springer.PermissionsforusemaybeobtainedthroughRightsLinkattheCopyrightClearanceCenter. ViolationsareliabletoprosecutionundertherespectiveCopyrightLaw. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publicationdoesnotimply,evenintheabsenceofaspecificstatement,thatsuchnamesareexempt fromtherelevantprotectivelawsandregulationsandthereforefreeforgeneraluse. While the advice and information in this book are believed to be true and accurate at the date of publication,neithertheauthorsnortheeditorsnorthepublishercanacceptanylegalresponsibilityfor anyerrorsoromissionsthatmaybemade.Thepublishermakesnowarranty,expressorimplied,with respecttothematerialcontainedherein. Printedonacid-freepaper SpringerispartofSpringerScience+BusinessMedia(www.springer.com) Preface Thisbookclosesagapasthereisnoliteraturecurrentlyincirculationthatspecifi- cally addresses risk management issues in the aviation industry. The aim of this book is to show the theoretical background and implementation phases of a multifaceted risk management system, to gain a gradation for smaller operators who do not have the complexity of large operators for whom the system was initially developed. This approach illustrates the leeway available to adapt pro- cessesandrevealstheinterfacesbetweenriskmanagementandsafetymanagement. The book describes how to approach corporate risk management, with reasonable effort,appropriatetothesizeandcomplexityofthespecificoperator.Itprovidesan ideaofwhatthekeyconsiderationsareandhowtoeffectivelyoperatesuchasystem with the various interfaces. Furthermore, it provides an indication about the time investment needed in the set-up and the continuous process of corporate risk managementfromacostandbenefitperspective.Specifically,asafetymanagement system(SMS),fatigueriskmanagementandairtrafficcontrolrisksareprovidedas specificpracticalcasesofriskmanagement. An empirical study shows the level of implementation of corporate risk man- agementintheaviationindustryinpractice.Basedonthecomparisonoftheoryand practice, and the knowledge provided by the empirical study, different checklists and samples for the optimization of risk management are provided. Documents illustratingriskpolicy,thejobdescriptionofariskmanager,aquestionnaireforan SMSgapanalysis,emergencydirectorchecklist,masterrisklist,hazardreporting procedure,airsafety report,safetymanager evaluation sheet, SWANS report, etc. are provided in appendices for the particular chapters. Furthermore, a time/cost table for the implementation and continuous development of corporate risk man- agementisincluded. This book addresses all actors in the aviation industry, such as aviation companies, consultants, and educators. It provides the opportunity for all actors tobuildandoptimizetheirriskmanagementsystems/procedures.Forthestrategic management level, this publication makes clear why risk management has to be established as a culture in a company and must be fully supported by top management. Finallywewouldliketothankeveryonewhosupportedusduringtheprocessof writing this book, especially the authors Ernst Kohler, Stefan Becker and Heinz Wipf who provided additional content. Furthermore, many thanks go to Nicole v vi Preface Denkwhohelpedwithtranslationsandsupportedusadministratively,andtoDavid Robertswhosupporteduswiththefinalediting.Wearegratefulforallthesupport we have received and which helped to finalize this book that fills a void in the currentliterature. SanktGallen,Switzerland RolandMu¨ller Lorsch,Germany AndreasWittmer January2014 ChristopherDrax Abbreviations A/C Aircraft AEMS AirplaneEmergencyMedicalServices ALARP Aslowasreasonablepracticable AMC AcceptableMeansofCompliance AOC AirOperatorCertificate ArG Arbeitsgesetz Art. Artikel/Article BAZL Bundesamtfu¨rZivilluftfahrt BCMS BusinessContinuityManagementSystem BIA BusinessImpactAnalysis BoD BoardofDirectors CAA CivilAviationAuthority CEO ChiefExecutiveOfficer CFIT ControlledFlightintoTerrain CFO ChiefFinancialOfficer COSO CommitteeofSponsoringOrganizationsoftheTradewayCommission CRM CorporateRiskManagement CRM CrewResourceManagement CRO ChiefRiskOfficer CS CertificationSpecification DME DistanceMeasuringEquipment DOT DepartmentofTransportation EASA EuropeanAviationSafetyAgency EBITDA Earningsbeforeinterest,taxes,depreciationandamortization EC EuropeanConvention EEG Electroencephalogram ERM EnterpriseRiskManagement EU EuropeanUnion FAA FederalAviationAdministration FMEA FailureModeEffectsAnalysis FOCA FederalOfficeofCivilAviation FPM FellowPrograminManagement FRMS FatigueRiskManagementSystem vii viii Abbreviations GM GuidanceMaterial HAZID HazardIdentification HEMS HelicopterEmergencyMedicalServices HSG HochschuleSt.Gallen IBAC InternationalBusinessAviationCouncil ICAO InternationalCivilAviationAuthority ICS InternalControlSystem IFR InstrumentalFlightRules ISO InternationalOrganizationforStandardization JAA JointAviationAuthorities KSS KarolinskaSleepinessScale LFG Luftfahrtgesetz LFV Luftfahrtverordnung LOFT LineOrientedFlightTraining LVA Luftverkehrsabkommen MCTOM MaximumCertifiedTake-offMass MDA MinimumDescentAltitude MSAWS MinimumSafeAltitudeWarningSystem NPA NoticeofProposedAmendment OM OperationalManual OPS Operations Pax Passenger/s PF PilotFlying PNF PilotNotFlying QMS QualityManagementSystem QRA QuantitativeRiskAnalysis RIMS Risk&InsuranceManagementSociety RVOG Regierungs-undVerwaltungsorganisationsgesetz SAG SafetyActionGroup SARPS StandardsandRecommendedPractices SEC SecuritiesandExchangeCommission SMM SafetyManagementManual SMS SafetyManagementSystem SPS SamnPerelliScale SRB SafetyReviewBoard USD UnitedStatesDollar VAS-F VisualAnalogueScaletoEvaluateFatigueSeverity VFR VisualFlightRules VOR VeryHighFrequencyOmniDirectionalRadioRange WOCL WindowofCircadianLow Contents 1 ManagementSummary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 AndreasWittmer PartI Introduction 2 EssentialBasicsandLimitationsofSafetyandRiskManagement. . . 7 RolandMu¨llerandChristopherDrax PartII TheoreticalBackgroundofRiskandSafetyManagement 3 NecessityandDevelopmentofRiskManagement. . . . . . . . . . . . . . 21 RolandMu¨llerandChristopherDrax 4 InternalControlSystem(ICS). . . . . . . . . . . . . . . . . . . . . . . . . . . . 39 RolandMu¨llerandChristopherDrax 5 FundamentalsandStructureofSafetyManagementSystems inAviation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 RolandMu¨llerandChristopherDrax 6 CostsandBenefitsofRiskManagement. . . . . . . . . . . . . . . . . . . . . 57 AndreasWittmer 7 OperationalRiskManagementasanIntegratedPartofSafety ManagementSystems. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73 RolandMu¨llerandChristopherDrax 8 ManagementImplications. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77 RolandMu¨llerandChristopherDrax ix
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