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ATCV Collection of
SMS Tools
Gap Analysis, Hazard Identification & Risk Analysis &
Assessment Tools
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ATC
V's PDF chart listing dozens of various SMS
Software, Tools & Resources with descriptions,
links (some free)
There are many aviation SMS resources
(rules, regulations, teaching tools) on our other
ATCV web pages. In our research
we have found various tools to help implement SMS.
Many are free and geared more to smaller
aviation entities that must work within small budgets
which restrict them to using paper based tools and
forms. This page is geared for those 'hands-on'
tools. Even if you don't implement SMS now,
you can start the change by looking at your business
culture. Inviting reports, company-wide involvement
and policy which promotes the company's focus of
not only making a profit, providing jobs, but a
primary goal of safety for not only their clients,
but their employees.
Some of the following documents, while not
originated by ATC Vantage (ATCV), have been reformatted
by ATCV into Excel 2007, Word 2007, and interactive
PDF forms that can be reused, modified for individual
aviation businesses. We only ask that references
to ATCV be recognized, given credit for, and linked
back to atcvantage.com. (note: we use Word & Excel
2007 (docx & xlsx extension) re: small file size and
extra security -
download free Office File Converters & Viewers)
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ATC Vantage
Tools/Templates
SMS Software
Resource Guide
- lists, describes and links to dozens of vendors
and free Risk Analysis Tools
Ishikawa ("Fishbone") Diagram (right facing) - Hazard
Identification Tool (interactive form)
Ishikawa ("Fishbone") Diagram (left facing) - Hazard
Identification Tool (interactive form)
Fault Tree Analysis -Hazard Identification Tool
(interactive form)
System Description for Airports (ICAO)
PDF documents - creating free PDF documents, editing,
how-to's
FAR (Federal Aviation Regulations) CFR Part # Listings
FAA
AC120-92A (8/12/2010)
Risk Matrix Assessment Samples
- ATCV developed/reformatted into Word/Excel samples
FAA
System Safety Handbook
(chapters combined by ATC Vantage)
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Hazard Identification (ID)
Tools - Ishikawa (aka "Fishbone") diagram
Ishikawa ("Fishbone") Diagram (right facing) -(interactive
form)
Ishikawa ("Fishbone") Diagram (left facing) - (interactive
form)
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Risk Analysis/Management/Assessment tools:
Bow-Tie Model
(Cause & Effect)
FLOW
CHART PROGRAMS:
SmartDraw
Microsoft Visio
FlowChart.com
BowTie XP
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Risk Analysis/Management/Assessment tools:
Fault Tree Analysis
Fault Tree Analysis -Hazard Identification Tool
Microsoft Visio
SmartDraw
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5 Why's
There are two primary techniques used to perform 5
Whys: the fishbone (or Ishikawa) diagram and a
tabular format.
These tools allow for analysis to be branched in
order to provide multiple root causes. This is one
of the most important aspects in the 5 Why approach
- the real root cause should point toward a process
that is not working well or does not exist.
Untrained facilitators will often observe that
answers seem to point towards classical answers such
as not enough time, not enough investments, or not
enough manpower. These answers may sometimes be true
but in most cases they lead to answers out of our
control. Therefore, instead of asking the question
why?, ask why did the process fail? A key phrase to
keep in mind in any 5 Why exercise is "people do not
fail, processes do". Start with a question (ie. why
did the car not start) and drill down with:
1. Why? - The battery is dead. (first why)
2. Why? - The alternator is not functioning. (second
why)
3. Why? - The alternator belt has broken. (third
why)
4. Why? - The alternator belt was well beyond its
useful service life and not replaced. (fourth why)
5. Why? - The vehicle was not maintained according
to the recommended service schedule. (fifth why, a
root cause)
6. Why? - Replacement parts are not available
because of the extreme age of the vehicle. (sixth
why, optional footnote)
Start maintaining the vehicle according to the
recommended service schedule. (possible 5th Why
solution)
Purchase a different vehicle that is maintainable.
(possible 6th Why solution)
While the 5 Whys is a powerful tool for engineers or
technically-savvy individuals to help get to the
true causes of problems, it has been criticized by
Teruyuki Minoura, former managing director of global
purchasing for Toyota, as being too basic a tool to
analyze root causes to the depth that is needed to
ensure that they are fixed.[4] Reasons for this
criticism include:Tendency for investigators to stop
at symptoms rather than going on to lower-level root
causes.
Inability to go beyond the investigator's current
knowledge - cannot find causes that they do not
already know.
Lack of support to help the investigator ask the
right "why" questions.Results are not repeatable -
different people using 5 Whys come up with different
causes for the same problem.Tendency to isolate a
single root cause, whereas each question could
elicit many different root causes.These can be
significant problems when the method is applied
through deduction only. On-the-spot verification of
the answer to the current "why" question before
proceeding to the next is recommended to avoid these
issues.
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Flowcharts,
Mindmaps
(organizational charts, flowcharts,
note-taking, running meetings, presentations, event
planning
FreeMind
XMind $40 per year (and will run on Macs)
MindManager 9 (+$300)
https://www.mindjet.com/
SimpleMind (iPad & iPhone - free & upgrade $3)
Thinking Space (for AndroiD)
MindBerry (for Blackberry)
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Risk Matrix Tools
Aviation Operational Risk Assessments from Fire & Aviation
Management
Risk Assessment Matrix (great details)
Risk Assessment Matrix simple, effective (used
in Oil & Gas industry)
Risk Assessment Matrix (based on AC120-92A)
Risk Assessment Matrix (based on MIL-STD-882D)
RiFAA
System Safety Handbook, Apx. B, Comparative Risk
Assessment (CRA) Form
Matrix Tool -FAA AC120-92A
US Air Force Pamphlet 90-902 Operational Risk Management
(ORM) Guidelines & Tools - Has
examples of various charts, tools... how to
hazard ID, assmt. & analysis; implement risk
controls, evaluation.
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Pre-Departure
Pre-Departure Risk Assessment Tool - Sample (Excel 2007
format)
Pre-Departure "Flight Risk Awareness Tool" - from
FAA InFO 07015 in Word 2007 format
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Gap Analysis Tools
FAA Preliminary Gap Analysis AC - rev. 3 (Excel format)
FAA Detailed Gap Analysis AC - rev. 3 (Excel
format)
FAA Preliminary Gap Analysis MRO - rev. 3
(Excel format)
FAAetailed Gap Analysis MRO - rev. 3
(Excel format)
Example Applications of Analytical Tools for Airline
Flight Safety (flight Safety, GAIN)
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Reporting/Information/Tools
ASRS -
Aviation Safety Reporting System (ASRS) paper-based
forms & internet based
ASRS - Aviation Safety Reporting System
AOPA Air Safety Foundations Accident Database -
generates a list of accidents
AC 145-xxx (pg. 19) Evaluation
Program Audit tools produced
by the
Medallion Foundation to be a good foundation for their
organization's safety
assurance processes.
Data Reporting/Tracking software. Most are
online subscription-based programs; some provide online
SMS training which we do not recommend except for "reoccurring
training". Training directly demonstrates the
corporate culture to not only your employees but the
customers. Hands-on in-person training reinforces
the corporate policy and culture that safety is important
and that resources are allocated to SMS with no shortcuts.
Hands on training always brings increased knowledge
that is only gained by human interaction.
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SMS Software
ATCV recommends
SMS
Pro for a complete, easy to use and flexible SMS
software program, which can be tailored to your
organization. It is designed specifically
for the aviation industry; is very price
competitive; customer service is great; and is
flexible. SMS Pro is
free for organizations with 10 or less
employees.
ATC Vantage's PDF chart listing dozens of various
SMS Software Tools & Resources with descriptions,
links (some free)
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