Presented to: COSCAP-SA 19 th Steering Committee Meeting Presented by: Cathy VanAssche, FAA Flight...

Presented to: COSCAP-SA 19th Steering Committee Meeting

Presented by: Cathy VanAssche, FAA Flight Standards Service

Date: 26-28 January 2010

Federal AviationAdministrationThe United States

State Safety Programme

Federal AviationAdministration

2COSCAP-SA 19th Steering Committee Meeting

26-28 January 2010

What was the largest flying boat ever to fly?



26-28 January 2010

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



26-28 January 2010

• 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

ICAO safety management requirements – The big picture



26-28 January 2010

• 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.

What is an SMS?



26-28 January 2010

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



26-28 January 2010

The bridge

SSPSSPSSPSSP

StateService

providers

SMSSMSSMSSMS



26-28 January 2010

SSP – SMS relationshipProtection Production

StateSafety

Programme (SSP)

Organization’sSafety

Management system (SMS)

Organization’sSafety

Management system (SMS)

Objective:Establishacceptablelevel of safety (ALoS) for civil aviation

Objective:Safety policyand objectivesSafety riskmanagement

Objective:Support productiongoals andcustomer satisfaction

Safety assuranceSafety promotion

StateServices provider

AcceptanceCompliance

oversight

Performance-based oversight



26-28 January 2010

Oversight and SMS

FAA’s Safety Management

(Oversight)(SAS)

Technical Program Requirements•Systems•Subsystems•ElementsDA PA

FAAOversight Program

Management

SRM

SA

Cert C.O.S.

Surveillance

ProductionProtection

Operational Process

Operator’s Safety Management

System

Public:Users



26-28 January 2010

ICAO and FAA SMS Framework

Elements:

3.1 Safety Performance Monitoring & Measurement• Process 3.1.1 Continuous monitoring• Process 3.1.2 Internal audits by operational depts.• Process 3.1.3 Internal evaluation• Process 3.1.4 External auditing of the SMS• Process 3.1.5 Investigation• Process 3.1.6 Employee reporting and feedback syst.• Process 3.1.7 Analysis of data• Process 3.1.8 System assessment• Process 3.1.9 Preventive/corrective action• Process 3.1.10 Management review

3.2 Management of Change

3.3 Continual Improvement

Elements:

2.1 Hazard identification and analysis

Process 2.1.1 System and task analysis

Process 2.1.2 Hazard identification

2.2 Risk assessment and control

Process 2.2.1 Analyze safety risk

Process 2.2.2 Assess safety risk

Process 2.2.3 Control safety risk

Elements:

1.1 Safety Policy

1.2 Management Commitment & Accountabilities

1.3 Key Safety Personnel

1.4 Emergency Preparedness and Response

1.5 SMS Documentation and Records

Elements:

4.1 Competencies and Training

Process 4.1.1 Personnel requirements

Process 4.1.2 Training

4.2 Communication and Awareness

Safety Promotion(Culture)

Safety Risk Management

Policy (Structure)

Safety Assurance



26-28 January 2010

ASA

Aircraft Certification Flight Standards


Aerospace Medicine Air Traffic Safety Oversight

ARMAAI AQS

NAS Safety Assurance

Safety Assurance

AVS-1

AVSSMS Safety Policy


Safety Assurance


Safety Assurance


Safety Assurance

SMS Components

Aircraft Designers/

Manufacturers

Air Operators/Service Providers Air Traffic

OrganizationAirmen, Air Traffic

Controllers

IntegratedSafety

Decisions



26-28 January 2010



26-28 January 2010

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



26-28 January 2010

SMSSMS Implementation ProcessImplementation Process

0Orientation &Commitment

2ReactiveProcesses

3ProactiveProcesses

4ContinuousImprovement

1Planning &Organization



26-28 January 2010

AVSSMS Implementation Approach



26-28 January 2010

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



26-28 January 2010

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



26-28 January 2010

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



26-28 January 2010

System safety isn’t a new concept

2001: System Safety Course offered at Academy

2002: SASO established

2006: ICAO Annex 6

2007: SMS Pilot Projects started

2008: ATOS 1.2 – based on 8900.1 – employed for oversight of all 14 CFR Part 121 operators

2009: Design of SAS begins (October 2008 - FY09)

2013: Target date for AFS SAS implementation in 14 CFR Parts 121, 135, 145

1970: Accident Prevention Program and Accident Prevention Specialist position created (evolved to Safety Program Manager)

1980’s: NPG / PTRS – standardizing the inspection process

1995: SPAS – providing data and analysis for management of oversight

1996: System Safety initiatives begun due to ValuJet accident

1998: ATOS – applying system safety to aviation oversight of select 14 CFR Part 121 operators



26-28 January 2010

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)



26-28 January 2010

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

Percent of Employees Reached

Not Reached

20%Reached80%



26-28 January 2010

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



26-28 January 2010

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



26-28 January 2010

SAS timeline

Nov. 2008

Sept. 2009 2013

Design of the AFS SAS

begun

Design of the AFS SAS

begun

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 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

AFS SAS Implementation

into 14 CFR Parts 121, 135,

145

Develop SAS trainingDevelop SAS automation

Continue Safety Promotion

Develop SAS trainingDevelop SAS automation

Continue Safety Promotion



26-28 January 2010

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



26-28 January 2010

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

• 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



26-28 January 2010

FAA Website Home Page



26-28 January 2010

FAA Website Reference Library



26-28 January 2010

FAA Website Educational Page



26-28 January 2010

Presented to: COSCAP-SA 19 th Steering Committee Meeting Presented by: Cathy VanAssche, FAA Flight...

Documents

Transcript of Presented to: COSCAP-SA 19 th Steering Committee Meeting Presented by: Cathy VanAssche, FAA Flight...