Table Of ContentManagement 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
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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
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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
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