FAA - Safety Management Systems

Federal Aviation Administration

Presented to: Presented by:

ICAO High Level Safety Conference Amer Younossi FAA, Aviation Safety March 29, 2010

Date:

Purpose of Briefing
Provide information regarding FAA SMS efforts
Describe the drivers for change SMS Overview FAA SMS SMS and the Aviation Industry International Collaboration

Federal Aviation Administration

Why SMS? And why now?

Federal Aviation Administration

Why are We Adopting SMS?

Aviation system is changing rapidly
New technologies New business models Expanded environmental impact concerns

Repetitive, recurrent common cause accidents essentially eliminated

Emerging threats are low frequency, hard to detect Need to move from reactive to proactive and prognostic

Increase in system demand*

The number, types and complexity of airplanes The amount of flights and passengers

Continues evolution in application of system safety concepts in the aviation system

*FAA Aerospace Forecast Fiscal Years 20062017; JPDO NextGen Integrated Plan

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ICAO
Safety Management SARPs for Service Providers
Annex 11 14 Intended Audience Air traffic services providers Certified Aerodromes Denomination Safety Management Programme Safety Management Programme SMS SMS SMS SMS Framework Date Applicable Nov, 2001 Nov, 2001

2005 Harmonization of Safety Management SARPs

6, 11 and 14 1 8 1, 6, 11, 14 A/C Operators & AMOs Training Organizations Manufacturers Jan, 2009 Nov, 2010 Nov, 2013 Nov, 2010

2008 2nd Harmonization of Safety Management SARPs

State Safety Programme (SSP)

 States shall establish a SSP, in order to achieve an acceptable level of safety (ALoS) in civil aviation  The acceptable level of safety (ALoS) to be achieved shall be established by the State

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FAA Flight Plan

Performance Target In FY 2010, implement SMS in the Air Traffic Organization, Office of Aviation Safety, and Office of Airports. In FY 2012, implement SMS policy in all appropriate FAA organizations. Initiatives
Develop and implement agency-wide SMS guidance. Design and implement SMS for the delivery of air traffic services. Design and implement SMS for safety regulations and certification. Design and implement SMS for airport regulation and certification.

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SMS Overview

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SMS Definitions
The formal, top-down business-like approach to managing safety risk. It includes systematic procedures, practices, and policies for the management of safety. [FAA Order VS 8000.367] A systemic approach to managing safety, including the necessary organizational structures, accountabilities, policies and procedures. [ICAO Doc. 9859]

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The Four SMS Components

Safety Policy Safety Assurance (SA)
Establishes senior management's Evaluates the continued commitment to continually effectiveness of implemented risk improve safety; defines the control strategies; supports methods, processes, and the identification of Polic organizational structure new hazards y needed to meet safety goals

Safety Risk Management (SRM)

SRM

SA

Safety Promotion

Includes training, Determines the need for, Safety Promotion communication, and and adequacy of, new other actions to create a or revised risk controls based on positive safety culture within all the assessment of acceptable levels of the workforce Federal Aviation risk 8 Administration

FAA SMS Overview

Federal Aviation Administration

FAA SMS
A FAA SMS Committee has been established to support the development of FAAs SMS
This committee is responsible for providing advice and guidance for the responsible organizations implementing SMS

FAA Lines of Business currently implementing an SMS are:

Aviation Safety Air Traffic

Airports Commercial Space

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Rationale for FAA SMS

Next step in the application of system safety principles into the oversight systems Provides a comprehensive, systemic, and consistent approach supporting:
The identification of systemic issues Proactive approach to safety risk management and the determination of the need for a rule based on risk rather than in reaction to an accident of incident Higher degree of integration among FAA internal organizations

Decisions and resource allocation is based on safety risk SMS provides a means to identify safety goals and objectives

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FAA Aviation Safety Organization

Aviation Safety Organization (AVS) Approach
Incorporate SMS into our internal FAA Aviation Safety processes first and study requirements for industry Establish requirements
FAA Aviation Safety SMS Requirements Order contains both FAA Aviation Safety and industry requirements

FAA Aviation Safety SMS Program Office

Supports the development and implementation of an integrated SMS for FAA Aviation Safety Manages the plan, technical products, and overall progress in the implementation of the FAA Aviation Safety SMS Ensures implementation of the service/office safety management systems are coordinated and accomplished in a timely manner Encourages commonality in the implementation of the constituent product/service provider SMS requirements Leads the FAA SMS efforts Obtains and shares lessons learned Harmonize and collaborate with the international community
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FAA Office of Airports

Published Advisory Circular AC 150/5200-37 Introduction to SMS for Airport Operators Initiated two pilot studies in cooperation with airports holding an operating certificate Intends to apply the concepts of SMS to internal operations
In accordance with FAA SMS standards Will develop internal orders, manuals, and advisory guidance to infuse the components of SMS into areas of oversight to include rulemaking, policy management, strategic planning, and other oversight activities.

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FAA Air Traffic Organization

SMS Directorate established to achieve implementation goal

Three major documents that support the implementation of ATO SMS

ATO Order JO 1000.37, Air Traffic Organization Safety Management System: Establishes policy and requirements for the ATO SMS SMS Implementation Plan: Lays out the activities/tasks for full implementation ATO SMS Manual: Provides specific guidance on how to implement the SMS

27,900 ATO Employees Trained in SMS Approved SMS certificate (March 2010)

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SMS and the Aviation Industry

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SMS Vision
FAA Aviation Air Traffic Airports Safety Safety Aviation SMS SMS SMS SMS Alignment across lines of business
FAA SMS Industry
Cert Cert Commercial Holde Holde Space r SMS r SMS SMS Cert Holde r SMS Cert Holde r SMS

FAA Aviation Safety will implement SMS, which will incorporate SMS principles Certificate holders The FAA Aviation Safety into FAA Aviation Safety SMS and industry organization will implement their own SMSs will and the processes, operationsbe aligned to share data/information, results of SMSs to manage the safety risk analyses, etc. to to procedures, tools, etc. usedmore effectively and efficiently risk in their operations. provide industry. oversee assurance of the safety of the operations.
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FAA SMS Industry Outreach

FAA Flight Standards Service SMS Pilot Projects
Voluntary participation, initiated in April 2007 Includes multiple 14 CFR Parts 121, 135 and 145 participants Phased approach to implementation Provides guidance for SMS development through Advisory Circular 120-92

FAA Airports has initiated two pilot studies in cooperation with airports holding an operating certificate
Since 2007, over 30 airports with varying levels of operations have participated in these studies Range from the development of a SMS Manual and Implementation Plan to Proof-of-Concept studies

FAA Aircraft Certification Service is planning to implement pilot projects for manufacturers Established Aviation Safety SMS Aviation Rulemaking Committee (ARC) to obtain industry input on requirements and guidance for industry SMS implementation
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SMS Rulemaking Status

Aviation Safety
Potential applicability to airlines, approved maintenance organizations, design and manufacturing organizations, and flight training organizations Rulemaking Vision: Publish final rule in the form of one [new] SMS Code of Federal Regulations (CFR) Part Aviation Rulemaking Committee (ARC) Status
ARC Working Groups established for Design & Manufacturing, Operations & Training, and Maintenance Advanced Notice for Proposed Rulemaking (ANPRM) published in July 2009 Recommendations based on the ANPRM inputs will be forwarded to the FAA soon

FAA AVS will determine next steps based on ARC recommendations and further analysis

Airports
In November 2005, ICAO amended Annex 14, Volume I (Aerodrome Design and Operations) to require member states to have certificated international airports establish an SMS. Intends to implement SMS at U.S. airports in a way that complements the requirements of 14 CFR Part 139, Certification of Airports. Considering the best way to introduce an SMS requirement to the more than 560 U.S. airports certificated under Part 139. Plans to issue a notice of proposed rulemaking (NPRM) about SMS and request public comment in late 2010

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International Collaboration

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AVS SMS International Collaboration

Lead the safety management harmonization efforts internationally:
Collaborate on common topics of interest Share lessons learned Encourage the progression of a harmonized SMS Harmonization with international organizations such as ICAO and civil aviation authorities that have implemented or are implementing SMS

SM International Collaboration Group

To promote a common understanding of SMS and SSP principles and requirements, facilitating their application across the international aviation community Includes ANAC (Brazil), CAA of UK, CASA (Australia), DGAC (France), EASA, FAA AVS, FOCA (Switzerland), ICAO and TCCA (Canada). Share products with the aviation community Future activities may include other civil aviation authorities that are implementing safety management systems

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SM International Collaboration Group

Agreements
Support a phased approach to implementation (with stages); staggered implementation across the system Use ICAO framework as the foundation Continue with this forum and work collaboratively on agreed topics of interest

Workgroups
Documentation Share and/or develop: best practices, guidance and tools, safety behavior assessment tools, training material and promotion material Measurements Develop a common understanding of the characteristics of the safety performance measurement systems; develop a common methodology for setting expectations regarding safety measurements (SSP and SMS); and develop a process for identifying risk thresholds Standardization Develop standard hazard taxonomy, compare international SMS terminology, and study the possibility of data sharing Proposed - SMS for Design & Manufacturing Organizations

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Next Steps
Continue design and implementation strategy including System design Safety data integration and analysis Develop communication and training strategies Continue rulemaking strategy Obtain and share lesson learned Continue outreach to industry and collaboration civil aviation authorities

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REFERENCES
FAA Order 8000.369 FAA SMS Guidance FAA Order VS 8000.367 AVS SMS Requirements Order AC 120-92, Introduction to Safety Management Systems for Air Operators FAA Flight Standards Service SMS Program Office
SMS Framework SMS Assurance Guide SMS Implementation Guide

ICAO Document 9859, Safety Management Manual (SMM) ALPA, Background and Fundamentals of the Safety Management System (SMS) for Airlines FAA AVS SMS website
http://www.faa.gov/about/initiatives/sms/

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CONTACT INFORMATION
Paula Martinez Manager, Safety Management and Research Planning Division Federal Aviation Administration Aviation Safety Organization 800 Independence Ave, SW - Suite 835 Washington, DC 20591 (202) 267-7602 paula.martinez@faa.gov Amer M. Younossi External SMS Lead Federal Aviation Administration Aviation Safety Organization 800 Independence Ave, SW - Suite 835 Washington, DC 20591 (202) 267-5164 amer.m.younossi@faa.gov

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