FAA - Safety
Management Systems
Presented to:
ICAO High Level Safety Conference
Presented by:
Amer Younossi
FAA, Aviation Safety
Date:
March 29, 2010
Federal Aviation
Administration
Purpose of Briefing
• Provide information regarding FAA SMS efforts
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Describe the drivers for change
SMS Overview
FAA SMS
SMS and the Aviation Industry
International Collaboration
Federal Aviation
Administration
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Why SMS? And why now?
Federal Aviation
Administration
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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 2006–2017; JPDO NextGen Integrated Plan
Federal Aviation
Administration
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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
Date Applicable
Nov, 2001
Nov, 2001
2005 – Harmonization of Safety Management SARPs
6, 11 and 14
A/C Operators & AMOs
SMS
Jan, 2009
2008 – 2nd Harmonization of Safety Management SARPs
1
8
1, 6, 11, 14
Training Organizations
Manufacturers
SMS
SMS
SMS Framework
Nov, 2010
Nov, 2013
Nov, 2010
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
Federal Aviation
Administration
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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.
Federal Aviation
Administration
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SMS Overview
Federal Aviation
Administration
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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]
Federal Aviation
Administration
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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
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Administration
FAA SMS Overview
Federal Aviation
Administration
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FAA SMS
A FAA SMS Committee has been established to support
the development of FAA’s 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
Airports
Air Traffic
Commercial
Space
Federal Aviation
Administration
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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
Federal Aviation
Administration
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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
Federal Aviation
Administration
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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.
Federal Aviation
Administration
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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)
Federal Aviation
Administration
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SMS and the Aviation Industry
Federal Aviation
Administration
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SMS Vision
FAA SMS
FAA
Aviation
Air Traffic
Airports
Safety
Aviation
Safety
SMS
SMS
SMS
SMS
Alignment across lines of business
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 will
The FAA
organization
into
FAA Aviation
Aviation Safety
Safety SMS and industry
implement results
their own
SMSs will be
aligned
to share data/information,
of
operations
and
the processes,
SMSs toand
manage
the
safety risk analyses,
etc.
to more
effectively
efficiently
procedures,
tools, etc.
used
to
risk
in their operations.
provide assurance
operations.
oversee
industry. of the safety of the
Federal Aviation
Administration
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FAA SMS Industry Outreach
• FAA Flight Standards Service SMS Pilot Projects
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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
Federal Aviation
Administration
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SMS Rulemaking Status
•
Aviation Safety
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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
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•
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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
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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
Federal Aviation
Administration
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International Collaboration
Federal Aviation
Administration
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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
Federal Aviation
Administration
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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
Federal Aviation
Administration
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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
Federal Aviation
Administration
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REFERENCES
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FAA Order 8000.369 FAA SMS Guidance
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FAA Order VS 8000.367 AVS SMS Requirements Order
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AC 120-92, Introduction to Safety Management Systems for Air Operators
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FAA Flight Standards Service SMS Program Office
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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/
Federal Aviation
Administration
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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
Federal Aviation
Administration
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