FAA Safety Management Systems Presented to ICAO High

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 – – – Describe the drivers for change SMS Overview FAA SMS and the Aviation Industry International Collaboration Federal Aviation Administration 1

Why SMS? And why now? Federal Aviation Administration 2

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 Next. Gen Integrated Plan Federal Aviation Administration 3

ICAO State Safety Programme (SSP) § States shall establish a SSP, in order to achieve an acceptable level of safety (ALo. S) in civil aviation § The acceptable level of safety (ALo. S) to be achieved shall be established by the State Federal Aviation Administration 4

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 5

SMS Overview Federal Aviation Administration 6

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 7

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 organizational structure new hazards Policy needed to meet safety goals Safety Risk Management (SRM) SRM Determines the need for, and adequacy of, new or revised risk controls based on the assessment of acceptable risk SA Safety Promotion Includes training, communication, and other actions to create a positive safety culture within all levels of the workforce Federal Aviation Administration 8

FAA SMS Overview Federal Aviation Administration 9

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: Aviatio n Safety Air Traffic Airport s Comme rcial Space Federal Aviation Administration 10

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 11

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 12

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 13

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 14

SMS and the Aviation Industry Federal Aviation Administration 15

SMS Vision FAA SMS FAA Aviation Air Traffic Airports Safety Aviation Safety SMS SMS Alignment across lines of business Industry Cert Commercial Holde Space r SMS 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 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 efficiently procedures, tools, etc. used to effectively risk in their operations. provide assurance operations. oversee industry. of the safety of the Federal Aviation Administration 16

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 Federal Aviation Administration 17

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 Federal Aviation Administration 18

International Collaboration Federal Aviation Administration 19

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 20

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 21

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 22

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/ Federal Aviation Administration 23

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 24