The United States
State Safety
Programme
Presented to: COSCAP-SA 19th Steering
Committee Meeting
Presented by: Cathy VanAssche, FAA Flight
Standards Service
Date: 26-28 January 2010
Federal Aviation
Administration
What was the largest flying boat ever
to fly?
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
2
ICAO: State’s “safety programme”
• An integrated set of regulations and
activities aimed at improving safety.
• A management system for
management of safety by the State
• Includes SMS requirements for
aviation service providers
• The AVSSMS is the U.S. safety programme
– Applying SMS principles to FAA activities
– Regulations, standards, policy
– Oversight
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
3
ICAO safety management
requirements – The big picture
• Two audience groups
– States
– Service providers
• Three distinct requirements
– State safety programme (SSP)
• Acceptable level of safety (ALoS)
– Safety management System
(SMS)
• Safety performance of the SMS
– Management accountability
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
4
What is an SMS?
• A systematic approach to
managing safety, including
the necessary organizational
structures, accountabilities,
policies and procedures.
• Service providers are
responsible for establishing an
SMS.
• States are responsible, under
the SSP, for the acceptance
and oversight of service
providers’ SMS.
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
5
ICAO Annex 6
• “From 1 January, 2009,
States shall require, as part
of their safety programme,
that an operator implement
a safety management
system acceptable to the
State of the Operator…”
• The U.S. has filed a
difference with ICAO
• Currently, there are no FAA
authorized procedures to
accept or approve Service
Providers’ SMS’s
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
6
The bridge
Service
providers
State
SSP
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
SMS
Federal Aviation
Administration
7
SSP – SMS relationship
Production
Protection
Performance-based
oversight
Organization’s
Safety
Management
system (SMS)
Organization’s
Safety
Management
system (SMS)
Safety assurance
Safety promotion
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Objective:
Support
production
goals and
customer
satisfaction
Federal Aviation
Administration
Services provider
Objective:
Safety policy
and
objectives
Safety risk
management
State
Objective:
State
Establish
acceptable
Safety
level of
Programme
safety (ALoS)
(SSP)
for civil
aviation
Acceptance
Compliance
oversight
8
Oversight and SMS
FAA
Oversight Program
Management
DA
PA
Protection
FAA’s Safety
Management
(Oversight)
(SAS)
Production
Technical Program Requirements
•Systems
•Subsystems
•Elements
Surveillance
S
R
M
Cert
S
A
Operator’s Safety
Management
System
Operational
Process
Public:
Users
C.O.S.
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
9
ICAO and FAA SMS Framework
Policy
(Structure)
Safety Risk
Managemen
t
Safety
Assurance
Elements:
3.1 Safety Performance Monitoring & Measurement
•Elements:
Process 3.1.1 Continuous monitoring
•2.1
Process
Internal audits
operational depts.
Hazard3.1.2
identification
andby
analysis
Elements:
• 1.1Process
3.1.3
Internal
evaluation
Process
2.1.1
System
and task analysis
Safety
Policy
•
Process 3.1.4 External auditing of the SMS
Process 2.1.2
Hazard identification
1.2
Management
Commitment
& Accountabilities
Elements:
•
Process 3.1.5 Investigation
2.2
assessment
and Training
control
1.3Risk
Key
Safety Personnel
Competencies
and
• 4.1
Process
3.1.6 Employee
reporting and feedback syst.
Process
Analyze
risk
Emergency
Preparedness
and
Response
Process
4.1.1
Personnel
requirements
• 1.4Process
3.1.72.2.1
Analysis
of datasafety
Process
Assess
safety
risk
SMS
Documentation
and
Records
• 1.5Process
3.1.82.2.2
System
assessment
Process
4.1.2
Training
• 4.2
Process
3.1.92.2.3
Preventive/corrective
Process
Control
safety action
risk
Communication
and Awareness
•
Safety Promotion
(Culture)
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Process 3.1.10 Management review
3.2 Management of Change
3.3 Continual Improvement
Federal Aviation
Administration
10
AVS-1
AVSSMS
Safety Policy
SMS Components
AAI
AQS
ARM
ASA
NAS Safety Assurance
Aircraft Certification
Safety Risk
Management
Safety
Assurance
Safety
Assurance
Airmen, Air Traffic
Controllers
Aircraft
Designers/
Manufacturers
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Safety Risk
Management
Integrated
Safety
Decisions
Aerospace Medicine
Safety Risk
Management
Flight Standards
Safety
Assurance
Air Traffic Safety Oversight
Safety Risk
Management
Air Operators/
Service Providers
Safety
Assurance
Air Traffic
Organization
Federal Aviation
Administration
11
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
12
SMS Voluntary Implementation: Pilot
Projects
• Trial Project activities commenced in 2007
• Voluntary SMS development
• AFS combined effort
• Objectives are to Develop:
– Implementation strategies,
– Oversight interfaces, and
– Gain experience for FAA and Service Providers
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
13
SMS Implementation Process
4
3
2
1
0
Proactive
Processes
Reactive
Processes
Planning &
Organization
Orientation &
Commitment
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Continuous
Improvement
Federal Aviation
Administration
14
AVSSMS Implementation Approach
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
15
SMS Rulemaking
• One rule for all types of service providers
• Aviation Rulemaking Committee (ARC)
– Associations representing industry
– Working groups from service providers
• Advance Notice of Proposed Rulemaking
(ANPRM)
– Initial solicitation for information comment from
public
– No proposed rulemaking language
– To be issued later this year
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
16
AFS SMS Program Office (PO)
Authorized by Order FS1100.1A:
– AFS SMS Policy
– Focal point for SMS rulemaking
– Oversight and coordination of voluntary SMS
implementation and testing
– Integration with oversight systems
– Policy, guidance, and tool development
– Training and outreach development and coordination
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
17
Safety Management System
Focus Group (SMSFG)
Voluntary implementation user’s group
• Provides a two-way communications
mechanism between SMS PO and
participants in voluntary implementation
• Provides a forum for knowledge sharing
among participants
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
18
System safety isn’t a new concept
1970: Accident Prevention Program
and Accident Prevention
Specialist position created
(evolved to Safety Program
Manager)
2001: System Safety Course offered
at Academy
2002: SASO established
2006: ICAO Annex 6
1980’s: NPG / PTRS – standardizing
the inspection process
2007: SMS Pilot Projects started
1995: SPAS – providing data and
analysis for management of
oversight
2008: ATOS 1.2 – based on 8900.1 –
employed for oversight of all 14
CFR Part 121 operators
1996: System Safety initiatives
begun due to ValuJet accident
2009: Design of SAS begins
(October 2008 - FY09)
1998: ATOS – applying system
safety to aviation oversight of
select 14 CFR Part 121 operators
2013: Target date for AFS SAS
implementation in 14 CFR Parts
121, 135, 145
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
19
SMS Guidance and Tools
•
•
•
•
•
ICAO Doc 9859: Safety Management Manual (SMM)
FAA Order 8000.369: FAA SMS Guidance
Order VS 8000.367: AVS Requirements Document
SMS Standard: AC 120-92 Appendix 1
Voluntary Implementation Guidance (Multiple Docs)
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
20
AFS SPOT Briefing Recipients
• In-Person
– Reached 142 offices with 126 briefings
– Reached 3300+ employees
• 2800+ field employees
• 500+ HQ employees
• WBT
– Reached almost
700 employees
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Percent of
Employees Reached
Reached
80%
Federal Aviation
Administration
Not
Reached
20%
21
What is the AFS SAS?
• The Safety Assurance System is the people,
processes, and technology that provide
confidence that air carriers and air agencies
operate safely and manage safety to the
highest degree possible in the public
interest
- System Approach for Safety Oversight (SASO)
Requirements Document
• SAS will be the oversight system for 14 CFR
Parts 121, 135, and 145
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
22
What is the purpose of the SAS?
• Help fulfill the AFS vision / mission elements
– To be recognized and respected as the world leader on system
safety through regulation and certification
– To promote safety through certification, surveillance, and the
resolution of safety concerns
• Implement AFS’s safety assurance function of the
AVSSMS
• Adapt oversight and target resources to areas of
highest risk (i.e., scalability)
• Provide system safety-based oversight to 14 CFR
Parts 121, 135, and 145
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
23
SAS timeline
AFS SAS Workgroups are in progress to determine:
• Who, when, and in what sequence oversight functions
will be conducted
• Future data collection tools (DCTs)
• How oversight will be scaled to accommodate
differences in certificate holder configurations
AFS SAS
Implementation
into 14 CFR
Parts 121, 135,
145
Nov. 2008
Sept. 2009
Design of the
AFS SAS
begun
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
2013
Develop SAS training
Develop SAS automation
Continue Safety Promotion
Federal Aviation
Administration
24
AVSSMS Website
• http://www.faa.gov/about/initiatives/sms
• Supports safety promotion activities FAA
Order VS 8000.370 and 2010 Flight Plan
Target
• Development –
– Content determined by S/O reps
– Umbrella information on AVS SMS
– Repository for guidance material and experience
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
25
Website Content
•
SMS Explained
– Basis
– Theory
– Components
– Quality and Safety
Management
– Regulation and SMS
– Misconceptions
•
Reference Library
– Policy and Requirements
– Training
– Links
•
Voluntary Implementation
– AFS
– Aircraft Certification
– Air Traffic
– Airports
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
•
FAQs
– Background
– Implementation
– Validation and Assessment
– Training and Communication
•
Specifics by Aviation Industry
Type
– Air Operators, MROs, and
Training Organizations
– Design and Manufacturing
Organizations
– Airports
– Air Traffic
– The Regulator
Federal Aviation
Administration
26
FAA Website Home Page
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
27
FAA Website Reference Library
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
28
FAA Website Educational Page
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
29
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
30
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
31
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
32
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
33
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
34
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
35
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
36
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
37
COSCAP-SA 19th Steering Committee Meeting
26-28 January 2010
Federal Aviation
Administration
38