You are on page 1of 14

AIR CAR AIRLINES PVT LTD ACAPL/SMS-A/01

SAFETY MANAGEMENT SYSTEM MANUAL


Hazard Identification and Risk Assessment

8. Hazard Identification and Risk Assessment

8.1 Hazard identification


For the purpose of aviation safety risk management, the term hazard should be
focused on those conditions which could cause or contribute to unsafe operation
of aircraft or aviation safety-related equipment, products and services.
Hazards exist at all levels in the organization and are detectable through use of
reporting systems, inspections or audits. Mishaps may occur when hazards
interact with certain triggering factors. As a result, hazards should be identified
before they lead to accidents, incidents or other safety-related occurrences. An
important mechanism for proactive hazard identification is a voluntary
hazard/incident reporting system. Information collected through such reporting
systems may be supplemented by observations or findings recorded during
routine site inspections or organization audits.
Hazards can also be identified from the review or study of investigation reports,
especially those hazards which are deemed to be indirect contributing factors
and which may not have been adequately addressed by corrective actions
resulting from the investigation process. Thus, a systematic procedure to review
accident/incident investigation reports for outstanding hazards is a good
mechanism to enhance an organization’s hazard identification system.

Hazards may be categorized according to their source or location. Objective


prioritization of hazards may require categorizations according to the
severity/likelihood of their projected consequences. This will facilitate the
prioritization of risk mitigation strategies so as to use limited resources in the
most effective manner.

8.1.1 Hazard identification methodologies - The three methodologies for identifying


hazards are:

a) Reactive. This methodology involves analysis of past outcomes or events.


Hazards are identified through investigation of safety occurrences. Incidents
and accidents are clear indicators of system deficiencies and therefore can be
used to determine the hazards that either contributed to the event or are latent.

b) Proactive. This methodology involves analysis of existing or real-time


situations, which is the primary job of the safety assurance function with its
audits, evaluations, employee reporting, and associated analysis and
assessment processes. This involves actively seeking hazards in the existing
processes.

c) Predictive. This methodology involves data gathering in order to identify


possible negative future outcomes or events, analyzing system processes and

Issue 02, Revision 00, Prepared By: Page 1 of 14


Dated: 24th April 2017 Dated: 24th April 2017 K.C Dutta (OM)
AIR CAR AIRLINES PVT LTD ACAPL/SMS-A/01
SAFETY MANAGEMENT SYSTEM MANUAL
Hazard Identification and Risk Assessment

the environment to identify potential future hazards and initiating mitigating


actions.
8.1.2 Reporting of hazards, events or safety concerns
All employees have a responsibility to report what they consider a hazard or
unsafe situation, as well as accidents and incidents. Employee input is essential
for the success of the reporting system. A safety reporting system is worthless if
no one uses it.
A reporting form is included as Appendix 1 to this chapter.
8.1.3 Collection and storage of safety data
Safety data is collected, organized, and stored by the Safety Manager. The type of
safety data to be collected may include:
a) accident investigation data;
b) mandatory incident investigation data;
c) voluntary reporting data;
d) continuing airworthiness reporting data;
e) operational performance monitoring data;
f) safety risk assessment data;
g) data from audit findings/reports;
h) data from safety studies/reviews; and
Given the importance of data quality, the data used to support safety risk
management and safety assurance processes is assessed using the following
criteria:
a) Validity. Data collected are acceptable as per established criteria for their
intended use.
b) Completeness. No relevant data are missing.
c) Consistency. The extent to which measurement of a given parameter is
consistent can be reproduced and avoids error.
d) Accessibility. Data are readily available for analysis.
e) Timeliness. Data are relevant to the time period of interest and available
promptly.
f) Security. Data are protected from inadvertent or malicious alteration.
g) Accuracy. Data are error-free.
By considering these seven criteria for data quality, safety data analyses will
generate the most accurate information possible to be used in support of
strategic decision making.

Issue 02, Revision 00, Prepared By: Page 2 of 14


Dated: 24th April 2017 Dated: 24th April 2017 K.C Dutta (OM)
AIR CAR AIRLINES PVT LTD ACAPL/SMS-A/01
SAFETY MANAGEMENT SYSTEM MANUAL
Hazard Identification and Risk Assessment

8.1.4 Analysis of the safety data


After collecting safety data through various sources, organizations should then
perform the necessary analysis to identify hazards and control their potential
consequences. Among other purposes, the analysis may be used to:
a) Assist in deciding what additional facts are needed;
b) Ascertain latent factors underlying safety deficiencies;
c) Assist in reaching valid conclusions; and
d) Monitor and measure safety trends or performance.
The following safety analysis methods may be used:
a) Statistical analysis. This method can be used to assess the significance of
perceived safety trends often depicted in graphical presentations of analysis
results. While statistical analysis may yield powerful information regarding
the significance of certain trends, data quality and analytical methods must be
carefully considered to avoid reaching erroneous conclusions.
b) Trend analysis. By monitoring trends in safety data, predictions may be
made about future events. Trends may be indicative of emerging hazards.
c) Normative comparisons. Sufficient data may not be available to provide a
factual basis against which to compare the circumstances of potential events.
In such cases, it may be necessary to sample real-world experience under
similar operating conditions.
d) Simulation and testing. In some cases, hazards may become evident
through simulation as well as laboratory testing to validate the safety
implications of existing or new types of operations, equipment or procedures.
e) Expert panel. The views of peers and specialists can be useful in evaluating
the diverse nature of hazards related to a particular unsafe condition. A
multidisciplinary team formed to evaluate evidence of an unsafe condition can
assist in identifying the best course of corrective action.
f) Cost-benefit analysis. The acceptance of recommended safety risk control
measures may be dependent on credible cost-benefit analysis. The costs of
implementing the proposed measures are weighed against the expected
benefits over time. Cost-benefit analysis may suggest that accepting the
consequences of the safety risk is tolerable considering the time, effort and
cost necessary to implement corrective action.
8.1.5 Distribution of the safety information distilled from the safety data
The safety manager is responsible for the distribution of related safety
information to the managers of departments. The distribution of safety
information by the safety manager is the first step in the safety risk management
process. This information must be used by departments to mitigate safety risks,
which inevitably requires the allocation of resources. The necessary resources
should be readily available to the department managers for this purpose.

Issue 02, Revision 00, Prepared By: Page 3 of 14


Dated: 24th April 2017 Dated: 24th April 2017 K.C Dutta (OM)
AIR CAR AIRLINES PVT LTD ACAPL/SMS-A/01
SAFETY MANAGEMENT SYSTEM MANUAL
Hazard Identification and Risk Assessment

8.2 Safety Risk Assessment and Mitigation


The safety risks of the consequences of each hazard identified through the
hazard identification processes shall be analyzed in terms of probability and
severity of occurrence, and assessed for their tolerability.
8.2.1 Definition of Safety Risk
Safety risk is the projected likelihood and severity of the consequence or outcome from
an existing hazard or situation. While the outcome may be an accident, an intermediate
unsafe event/consequence may be identified as the most credible outcome.
8.2.2 Safety Risk Probability
The process of controlling safety risks starts by assessing the probability that the
consequences of hazards will materialize during aviation activities performed by
the organization. Safety risk probability is defined as the likelihood or frequency
that a safety consequence or outcome might occur. The determination of
likelihood can be aided by questions such as:
a) Is there a history of occurrences similar to the one under consideration, or
is this an isolated occurrence?
b) What other equipment or components of the same type might have similar
defects?
c) How many personnel are following, or are subject to, the procedures in
question?
d) What percentage of the time is the suspect equipment or the questionable
procedure in use?
e) To what extent are there organizational, managerial or regulatory
implications that might reflect larger threats to public safety?
Any factors underlying these questions will help in assessing the likelihood that a
hazard may exist, taking into consideration all potentially valid scenarios. The
determination of likelihood can then be used to assist in determining safety risk
probability.
Figure 8-1below presents the safety risk probability table. The table includes five
categories to denote the probability related to an unsafe event or condition, the
description of each category, and an assignment of a value to each category.

Issue 02, Revision 00, Prepared By: Page 4 of 14


Dated: 24th April 2017 Dated: 24th April 2017 K.C Dutta (OM)
AIR CAR AIRLINES PVT LTD ACAPL/SMS-A/01
SAFETY MANAGEMENT SYSTEM MANUAL
Hazard Identification and Risk Assessment

Figure 8-1 Safety Risk Probability Table

8.2.3 Safety Risk Severity


Once the probability assessment has been completed, the next step is to assess
the safety risk severity, taking into account the potential consequences related to
the hazard. Safety risk severity is defined as the extent of harm that might
reasonably occur as a consequence or outcome of the identified hazard. The
severity assessment can be based upon:
a) Fatalities/injury. How many lives may be lost (employees, passengers,
bystanders and the general public)?
b) Damage. What is the likely extent of aircraft, property or equipment
damage?
The severity assessment should consider all possible consequences related to an
unsafe condition or object, taking into account the worst foreseeable situation.
Figure 8-2 presents the safety risk severity table. It includes five categories to
denote the level of severity, the description of each category, and the assignment
of a value to each category.

Issue 02, Revision 00, Prepared By: Page 5 of 14


Dated: 24th April 2017 Dated: 24th April 2017 K.C Dutta (OM)
AIR CAR AIRLINES PVT LTD ACAPL/SMS-A/01
SAFETY MANAGEMENT SYSTEM MANUAL
Hazard Identification and Risk Assessment

Figure 8-2 TheSafety Risk Severity Table

8.2.4 Safety Risk Assessment Matrix


The safety risk probability and severity assessment process can be used to derive
a safety risk index. The index created through the methodology described above
consists of an alphanumeric designator, indicating the combined results of the
probability and severity assessments. The respective severity/probability
combinations are presented in the safety risk assessment matrix in Figure 8-3.

Issue 02, Revision 00, Prepared By: Page 6 of 14


Dated: 24th April 2017 Dated: 24th April 2017 K.C Dutta (OM)
AIR CAR AIRLINES PVT LTD ACAPL/SMS-A/01
SAFETY MANAGEMENT SYSTEM MANUAL
Hazard Identification and Risk Assessment

Figure 8-3. The Safety Risk Assessment Matrix


8.2.5 Safety Risk Tolerability
After obtaining the indices in the safety risk assessment matrix, the result is used
determine safety risk tolerability table below:

8.2.6 Safety Risk Management


Figure 8-4 presents the safety risk management process in its entirety. The
process starts with the identification of hazards and their potential
consequences. The safety risks are then assessed in terms of probability and
severity, to define the level of safety risk (safety risk index). If the assessed safety
Issue 02, Revision 00, Prepared By: Page 7 of 14
Dated: 24th April 2017 Dated: 24th April 2017 K.C Dutta (OM)
AIR CAR AIRLINES PVT LTD ACAPL/SMS-A/01
SAFETY MANAGEMENT SYSTEM MANUAL
Hazard Identification and Risk Assessment

risks are deemed to be tolerable, appropriate action is taken and the operation
continues. The completed hazard identification and safety risk assessment and
mitigation process is documented and approved by the Accountable Manager or
the Safety Manager as appropriate and forms part of the safety information
management system.

Figure 8-4The Safety Risk Management Process


If the safety risks are assessed as intolerable, the following questions become
relevant:
a) Can the hazards and related safety risk(s) be eliminated? If the answer is
yes, then action as appropriate is taken and documented. If the answer is no,
the next question is:
b) Can the safety risk(s) be mitigated? If the answer is no, related activities
must be cancelled. If the answer is yes, mitigation action as appropriate is
taken and the next question is:
c) Do any residual safety risks exist? If the answer is yes, then the residual risks
must be assessed to determine their level of tolerability as well as whether
they can be eliminated or mitigated as necessary to ensure an acceptable
level of safety performance.

Issue 02, Revision 00, Prepared By: Page 8 of 14


Dated: 24th April 2017 Dated: 24th April 2017 K.C Dutta (OM)
AIR CAR AIRLINES PVT LTD ACAPL/SMS-A/01
SAFETY MANAGEMENT SYSTEM MANUAL
Hazard Identification and Risk Assessment

After safety risks have been assessed, appropriate mitigation measures can be
implemented. Mitigation measures may include, modifications to existing
operating procedures, training programs or equipment. Additional alternatives
may include the introduction of new operating procedures, training programs,
technologies or supervisory controls. Almost invariably these alternatives will
involve deployment or re-deployment of the three traditional aviation safety
defenses — technology, training and regulation. A determination of any
unintended consequences, particularly the introduction of new hazards, should
be made prior to the implementation of any risk mitigation measures.
The three safety risk mitigation approaches include:
a) Avoidance. The activity is suspended either because the associated safety
risks are intolerable or deemed unacceptable compared to the benefits.
b) Reduction. Some safety risk exposure is accepted, although the severity or
probability associated with the risks are lessened, possibly by measures
that mitigate the related consequences.
c) Segregation of exposure. Action is taken to isolate the potential
consequences related to the hazard or to establish multiple layers of
defenses to protect against them.
A risk mitigation strategy may involve one of the approaches described above or
may include multiple approaches. It is important to consider the full range of
possible control measures to find an optimal solution. The effectiveness of each
alternative strategy must be evaluated before a decision can be taken. Each
proposed safety risk mitigation alternative should be examined from the
following perspectives:
a) Effectiveness. The extent to which the alternatives reduce or eliminate the
safety risks. Effectiveness can be determined in terms of the technical,
training and regulatory defenses that can reduce or eliminate safety risks.
b) Cost/benefit. The extent to which the perceived benefits of the mitigation
outweigh the costs.
c) Practicality. The extent to which mitigation can be implemented and how
appropriate it is in terms of available technology, financial and
administrative resources, legislation and regulations, political will, etc.
d) Acceptability. The extent to which the alternative is consistent with
stakeholder paradigms.
e) Enforceability. The extent to which compliance with new rules, regulations
or operating procedures can be monitored.
f) Durability. The extent to which the mitigation will be sustainable and
effective.

Issue 02, Revision 00, Prepared By: Page 9 of 14


Dated: 24th April 2017 Dated: 24th April 2017 K.C Dutta (OM)
AIR CAR AIRLINES PVT LTD ACAPL/SMS-A/01
SAFETY MANAGEMENT SYSTEM MANUAL
Hazard Identification and Risk Assessment

g) Residual safety risks. The degree of safety risk that remains subsequent to
the implementation of the initial mitigation and which may necessitate
additional risk control measures.
h) Unintended consequences. The introduction of new hazards and related
safety risks associated with the implementation of any mitigation
alternative.
Once the mitigation has been approved and implemented, any associated impact
on safety performance provides feedback to the safety assurance process. This is
necessary to ensure the integrity, efficiency and effectiveness of the defenses
under the new operational conditions.

Issue 02, Revision 00, Prepared By: Page 10 of 14


Dated: 24th April 2017 Dated: 24th April 2017 K.C Dutta (OM)
AIR CAR AIRLINES PVT LTD ACAPL/SMS-A/01
SAFETY MANAGEMENT SYSTEM MANUAL
Hazard Identification and Risk Assessment

INTENTIONNALY LEFT BLANK

Issue 02, Revision 00, Prepared By: Page 11 of 14


Dated: 24th April 2017 Dated: 24th April 2017 K.C Dutta (OM)
AIR CAR AIRLINES PVT LTD ACAPL/SMS-A/01
SAFETY MANAGEMENT SYSTEM MANUAL
Hazard Identification and Risk Assessment

APPENDIX 1
Hazard and Incident Reporting Form
The information supplied in this form will only be used to promote safety. You may
choose not to provide your name. If you do provide your name, your name and position
will be removed before dissemination. An email reply will follow. Under no
circumstances will your identity be disclosed to any Company personnel, any other
organization, agency, or person without your express permission. When you have
completed Part A of the form, submit it to the Safety Manager— paper copy or email.
Name: _________________________________________Email:__________________________________________
Position:______________________________ [Only Safety Manager has access to name/position]
----------------------------------------------------------------------------------------------------------------------------------------------------
Report Number:___________________________ Date Received:______________________________________
PART A:
Please fully describe the Hazard or Incident.
Date of occurrence:__________________________________ Time: ___________________________________
Location: __________________________________________________________________________________________
Description:_______________________________________________________________________________________
_____________________________________________________________________________________________________
_____________________________________________________________________________________________________
_____________________________________________________________________________________________________
_____________________________________________________________________________________________________
_____________________________________________________________________________________________________

Suggest Solution: _________________________________________________________________________________


_____________________________________________________________________________________________________
_____________________________________________________________________________________________________
_____________________________________________________________________________________________________

In your opinion, what is the probability of a similar occurrence happening again?


Frequent Occasional Remote Improbable Exceptional
5 4 3 2 1

What do you consider could be the worst possible consequence(severity) if this


occurrence if it were to happen again?

Issue 02, Revision 00, Prepared By: Page 12 of 14


Dated: 24th April 2017 Dated: 24th April 2017 K.C Dutta (OM)
AIR CAR AIRLINES PVT LTD ACAPL/SMS-A/01
SAFETY MANAGEMENT SYSTEM MANUAL
Hazard Identification and Risk Assessment

Catastrophic Major Moderate Minor Insignificant


A B C D E
PART B:
Actions & Recommendations of the Safety Manager or Safety Committee

The report has been de-identified, entered into the safety database, and a response
emailed if necessary.
Signature:__________________________________________Date:__________________________________
_____________________________________________________________________________________________________
Rate the probability of the hazard recurring.
Frequent Occasional Remote Improbable Exceptional
5 4 3 2 1

Rate the worst-case consequences(severity).


Catastrophic Major Moderate Minor Insignificant
A B C D E

Risk Determination Matrix: __________________________________


Assessed Safety Risk: __________________________________________
Actions taken to ELIMINATE or CONTROL the hazard:
_____________________________________________________________________________________________________
_____________________________________________________________________________________________________
_____________________________________________________________________________________________________
_____________________________________________________________________________________________________
_____________________________________________________________________________________________________
_____________________________________________________________________________________________________

Resources Required (money, equipment, etc):____________________________________________


_____________________________________________________________________________________________________
Responsibility for action (who): _____________________________________________________________

Referred to__________________________________ _____for further action.


Signature:_____________________________________________Date:__________________________________
_____________________________________________________________________________________________________
Forwarded to the Safety Committee for review:
Signed:_________________________________________________Date:_________________________________
Appropriate feedback communicated to all appropriate personnel:

Issue 02, Revision 00, Prepared By: Page 13 of 14


Dated: 24th April 2017 Dated: 24th April 2017 K.C Dutta (OM)
AIR CAR AIRLINES PVT LTD ACAPL/SMS-A/01
SAFETY MANAGEMENT SYSTEM MANUAL
Hazard Identification and Risk Assessment

Signed:_____________________________________________Date:_____________________________________

Issue 02, Revision 00, Prepared By: Page 14 of 14


Dated: 24th April 2017 Dated: 24th April 2017 K.C Dutta (OM)