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The “Why” and “What” of Safety Management Systems
The “Why” and “What” of Safety Management Systems
Presented to: TCPM ConferencePresented to: TCPM ConferenceTCPM Conference
By:
Date:
Federal Aviation Administration
Rick Clarke (AFS-220)
March 26, 2008
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Federal AviationAdministration 2
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
The True and Straight WordThe True and Straight Word
“Delegation is not Derogation.”N. Sabatini, 2007
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Federal AviationAdministration 3
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
The Issue of SafetyThe Issue of Safety
What do we understand?– The record is a good one
– Air transportation will continue to grow
– The Air Transportation System is outgrowing the capabilities of the current aviation safety system
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Federal AviationAdministration 4
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
The Issue of FocusThe Issue of Focus
What does the FAA want for the Industry?
• A Safe and Efficient Air Transportation system
• Effective and Strong Aviation providers
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Federal AviationAdministration 5
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
Forecast GrowthForecast Growth
• Total mainline air carrier and regional enplanements are forecast to increase from 738.6 million in 2005 to 1.07 billion in 2017, an average annual rate of 3.1 percentan average annual rate of 3.1 percent.
2007 FAA Inspectors = ~3,100
2017 FAA Inspectors = 4,300?
2007 FAA Inspectors = ~3,1002007 FAA Inspectors = ~3,100
2017 FAA Inspectors = 4,300?2017 FAA Inspectors = 4,300?
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Federal AviationAdministration 6
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
Safety Efforts are ChangingSafety Efforts are Changing
What is Driving this?
– Financial stress for Air Carriers, Aviation Providers and Regulators
– A Tangle of Regulations, Standards, Annexes, Policies and Procedures
– Lessons Learned
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Federal AviationAdministration 7
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
The International PictureThe International Picture
Annex 11 Annex 11 -- Air Traffic Air Traffic Services Services Annex 14 Annex 14 -- AerodromesAerodromesAnnex 6 Annex 6 -- Operation of Operation of AircraftAircraftAnnex 8 Annex 8 -- Maintenance of Maintenance of AircraftAircraft
ICAO safety management requirementsICAO safety management requirements
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Federal AviationAdministration 8
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
An Industry Answer?An Industry Answer?ICAO, FAA, overseas Regulators, Air Carriers, ALPA, IATA, IBAC
Launching a common idea and a new approach:
Launching a commoncommon idea and a new approach:
SMSSMSSMS
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Federal AviationAdministration 9
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
Two Waysto Look at Safety
Two Waysto Look at Safety
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Federal AviationAdministration 10
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
A foundation of rules …to improve standards of … behavior, practice and of operating…the level of which is governed by societal, cultural, philosophical factors, legal systems, technological progress and experience.
The Traditional Way –“Regulatory Safety”
The Traditional Way The Traditional Way ––““Regulatory SafetyRegulatory Safety””
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Federal AviationAdministration 11
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
Regulatory safety is
“Reactive”
Regulatory Regulatory safety issafety is
““ReactiveReactive””
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Federal AviationAdministration 12
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
• e.g., Design, manufacture and operations of aircraft must comply with regulations…
• …BUT you can’t write a regulation to address every potential hazard…
• …SO, the goal becomes compliance with existing rules … ignoring other hazards
Regulatory Safety Has Limits
Regulatory Safety Has Regulatory Safety Has LimitsLimits
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Federal AviationAdministration 13
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
Safety Management Systems
Safety Management Safety Management SystemsSystems
Safety … the Proactive WaySafety Safety …… the the ProactiveProactive WayWay
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Federal AviationAdministration 14
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
“SMS”““SMSSMS””
A systematic and continuousManagement process based on proactive identification of Hazards, and analyses of their Risk.
A systematic and continuousA systematic and continuousManagementManagement process based on process based on proactive identification ofproactive identification of HazardsHazards, and , and analyses of theiranalyses of their RiskRisk..
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Federal AviationAdministration 15
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
SMS comes from System Safety
SMS comes from System Safety
“Cradle to Grave” Concept“Cradle to Grave” Concept
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Federal AviationAdministration 16
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
Adapted to Ongoing Organizations
Adapted to Ongoing Organizations
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Federal AviationAdministration 17
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
SMS is about…SMS is about…“Process”
instead of“Events”
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Federal AviationAdministration 18
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
The “Usual” Focus on EventsThe “Usual” Focus on Events
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Federal AviationAdministration 19
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
Changing Focus to ProcessesChanging Focus to Processes
Root Causes
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Federal AviationAdministration 20
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
SMS …..
• Is an Operator based system
• Integrates Employeeexpertise
• Interfaces with Regulators’ oversight systems RegulatorRegulatorEmployeeEmployee
OperatorOperator
SMSSMSSMS
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Federal AviationAdministration 21
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
SMS is the toolbox for…SMS is the toolbox for…
•• Policies & Policies & Management PracticesManagement Practices
•• Risk Management Risk Management processesprocesses
•• Safety Assurance Safety Assurance processesprocesses
•• Safety promotion Safety promotion practicespractices
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Federal AviationAdministration 22
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
What is the Regulator’s Duty?What is the Regulator’s Duty?
• It is NOT safety achievement …or “management”
• It IS safety “oversight”
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Federal AviationAdministration 23
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
What is the Operator’s Duty?What is the Operator’s Duty?
• Safety achievementis the responsibility of the “provider”
• Safety achievementis the responsibility of the “provider”
The FAAThe FAA’’s resources are best applied in s resources are best applied in assisting / enablingassisting / enabling safety management by safety management by the business or operationthe business or operation
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Federal AviationAdministration 24
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
Role of the OperatorRole of the Operator
• Operators must meet the regulatory requirements to obtain and hold a Certificate
• Operators must maintain the “highest level of safety in the public interest.”
A SMS gives the operator’s management a structured system to meet their legal and regulatory requirements…as part of managing the business.
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Federal AviationAdministration 25
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
SMS for “Operators” is…SMS for “Operators” is…… a top-down program starting
with “Top Management”It is part of the Business
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Federal AviationAdministration 26
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
Repeat the ProcessRepeat the Process
Lessons Learned – Improve Process
Lessons Learned
Measure PerformanceMeasure Performance
Implement Hazard ControlsImplement Solutions
Identify Hazards / Non-Compliance
Identify Non-Compliance
SRA Processes:Business Processes:
Requirements -Requirements -
Policies -Policies -
Safety Goals -Corporate Goals -
Vision -Vision -
Mission -Mission -
The Safety ApproachThe Safety ApproachThe Business ApproachThe Business Approach
Parallel Approaches in Business and SMSParallel Approaches in Business and SMSSMS
” SMSSMS is the link between
the two similar approaches to
“business”
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Federal AviationAdministration 27
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
ICAO Annex 6 requirementsICAO Annex 6 requirements
“An accepted safety management system shall clearly define lines of safetyaccountability throughout the operator’s organization, including a direct accountability for safety on the part of senior management.”
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Federal AviationAdministration 28
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
An Operator with a SMS…An Operator with a SMS…
Organizes:
Policy, Procedure, and Practice
Management Systems and Communications
Organizes:
Policy, Procedure, and Practice
Management Systems and Communications
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Federal AviationAdministration 29
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
A SMS Organization…A SMS Organization…Develops a “Just Culture” or
“Safety Culture” to:Develops a “Just Culture” or
“Safety Culture” to:
Capture the operational knowledge and experience of the employees
Involve the employees in the safety achievement process
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Federal AviationAdministration 30
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
SMS is a “System” that Integrates …SMS is a “System” that Integrates …
Policy/OrganizationPolicy/OrganizationPolicy/Organization
Risk ManagementRisk ManagementRisk Management
Safety AssuranceSafety AssuranceSafety Assurance
Safety PromotionSafety PromotionSafety Promotion
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Federal AviationAdministration 31
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
SMS…emphasizes Risk ManagementSMS…emphasizes Risk Management
…It integrates safety with Line Management
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Federal AviationAdministration 32
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
In Business and SMSIn Business and SMSSMS
““RiskRisk”” is is manageablemanageable, , but what is but what is
it?it?
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Federal AviationAdministration 33
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
A SMS Organization…A SMS Organization…
Adopts Risk Management Practices to:Adopts Risk Management Practices to:
• Adapt to Change
• Manage Resource Application
• Understand the pitfalls of the operating environment
• Adapt to ChangeAdapt to Change
•• Manage Resource Manage Resource ApplicationApplication
•• Understand the Understand the pitfalls of the operating pitfalls of the operating environmentenvironment
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Federal AviationAdministration 34
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
Some Necessary…..Some Necessary…..
……Definitions…………DefinitionsDefinitions
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Federal AviationAdministration 35
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
“Hazard”“Hazard”
“An event, condition or circumstance, which can lead to an unacceptable loss.”
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Federal AviationAdministration 36
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
“Risk”“Risk”The assessed potential for adverse consequences
resulting from a hazard, measured in terms of Probability and Severity
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Federal AviationAdministration 37
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
A Risk Assessment MatrixA Risk Assessment Matrix
PROBABILITY
54321
543211
1086422
15129633
201612844
2520151055SEVERITY
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Federal AviationAdministration 38
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
Risk Management is….
Risk Management Risk Management isis……..
….a continuous process
….a closed loop process
….cross discipline
….a continuous process
….a closed loop process
….cross discipline
IdentifyHazards
AnalyzeHazard(s)
AssessRisk
ManageRisk
EvaluateHazardControls
ModifyProcess
New Info?
Tracking?
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Federal AviationAdministration 39
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
Industry & FAA SMS ImplementationIndustry & FAA SMS Implementation
• Follows a phased approach• The processes underlying the
four pillars are modularized• “Growth” or “increasing
maturity” is emphasized for the system as a whole and its internal processes
• Follows a phased approach• The processes underlying the
four pillars are modularized• “Growth” or “increasing
maturity” is emphasized for the system as a whole and its internal processes
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Federal AviationAdministration 40
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
4
0
1
2
3
Orientation &Commitment
ReactiveProcesses
Proactive/PredictiveProcesses
ContinuousImprovement
Planning &Organization
TheThe SMSSMS Maturity StepsMaturity Steps““GrowingGrowing”” SMSSMS””
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Federal AviationAdministration 41
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
VS 8000.1 & AC 120-92VS 8000.1 & AC 120-92
FAA (AVS) is applying safety management concepts to oversight activities
FAA (AVS) is applying safety management concepts to oversight activities
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Federal AviationAdministration 42
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
Outputs areProducts /Services
Objective: Serve customer requirements
Objective: Manage safety
actions as part of “business”processes
ProcessInputsOperator’s Safety
Management System
(SMS-Provider)
Protection Production
FAA’s Safety Management
System(SMS-Oversight)
Objective:Public Safety
Direct sampling(e.g. surveillance)
SMS & Oversight RelationshipsSMS & Oversight Relationships
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Federal AviationAdministration 43
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
SMS RulemakingSMS Rulemaking
• Rulemaking Project opened Oct 2006• Rulemaking strategy:
– Align regulations with ICAO SARP– Draft acceptance criteria (similar to present
voluntary standard) in policy documents– Set implementation milestones in regulatory
language
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Federal AviationAdministration 44
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
Problems and SolutionProblems and Solution
– Current safety approaches can’t keep up with aviation growth
– We need a new approach to our safety management and oversight problems
– Current safety approaches can’t keep up with aviation growth
– We need a new approach to our safety management and oversight problems
SMSSMS
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Federal AviationAdministration 45
The “Why” and “What” of Safety Management SystemsMarch 26, 2008
The Beginning
The The BeginningBeginning
SMSSMSSMS