Faa Sms Briefing to Icao Hscl 2010 v21

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Transcript of Faa Sms Briefing to Icao Hscl 2010 v21

FAA - Safety Management Systems

Federal Aviation Administration

Presented to: Presented by:

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


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

Federal Aviation Administration


ICAOSafety Management SARPs for Service ProvidersAnnex 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 SARPs6, 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

Federal Aviation Administration


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


SMS Overview

Federal Aviation Administration


SMS DefinitionsThe 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


The Four SMS ComponentsSafety 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)



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 SMSA 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 SpaceFederal 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


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 communityFederal 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


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


SMS and the Aviation Industry

Federal Aviation Administration


SMS VisionFAA Aviation Air Traffic Airports Safety Safety Aviation SMS SMS SMS SMS Alignment across lines of businessFAA SMS IndustryCert 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.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 implementationFederal Aviation Administration


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