Status on Safety Federal Aviation MtStManagement … · MtStManagement Systems in Aviation ......

Federal AviationAdministration

Status on Safety M t S tManagement Systems in Aviation

Presented to: Modification and Replacement Parts Association (MARPA)( )

Presented by: Tony Fazio, Director, Office of Accident Investigation and Prevention, AVP-1

Date: October 29, 2010

Purpose of Briefing• Provide information regarding FAA SMS efforts

– Describe the drivers for change – SMS Overview– FAA SMS Program

SMS R l t D l t– SMS Regulatory Development– SMS Rulemaking ARC

International Collaboration– International Collaboration

1Federal AviationAdministration

Why SMS? And why now?


Why are We Adopting SMS?• Aviation system is changing rapidly

– New technologies– New business models– New business models – Expanded environmental impact concerns

• Repetitive, recurrent common cause accidents essentially eliminatedessentially eliminated– Emerging threats are low frequency, hard to detect– Need to move from reactive to proactive and prognostic

• Increase in system demand*Increase in system demand – The number, types and complexity of airplanes– The amount of flights and passengers

• Continues evolution in application of system safetyContinues evolution in application of system safety concepts in the aviation system

*FAA Aerospace Forecast Fiscal Years 2006–2017; JPDO NextGen Integrated Plan


FAA Aerospace Forecast Fiscal Years 2006 2017; JPDO NextGen Integrated Plan

Air Carrier Fatality Rates/TargetsFatalities per 100 Million Persons on Board

FY 10 Year to Date Fatalities 2FY 10 Year-to-Date Fatalities - 2Fatality Threshold - 62As of August 31, 2010

80

90

FY Fatalities/100M

60

70

FY Fatalities/100M

FY 97-06 Baseline

Target - Achieve 50% Reduction By 2025

30

40

50

8.9 8.9 8.48.7 8.110

20

30

0.30.40.4 6.74.4

0

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SMS Defined


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]management of safety. [FAA Order VS 8000.367]

A systemic approach to managing safety, including theA systemic approach to managing safety, including the necessary organizational structures, accountabilities, policies and procedures. [ICAO Doc. 9859]


The Four SMS Components

Establishes senior management's commitment to continually

Evaluates the continued effectiveness of implemented risk

Safety Policy Safety Assurance (SA)

co e o co ua yimprove safety; defines the methods, processes, and organizational structure

e ec e ess o p e e ed scontrol strategies; supports

the identification of new hazardsPolicorganizational structure

needed to meet safety goals

new hazardsy

Includes training

SRM SA

Safety Promotion

Safety Risk Management (SRM) Safety Promotion

Determines the need for, and adequacy of, new or revised risk controls based

Includes training,communication, and

other actions to create a positive safety culture within all

Safety Promotion


on the assessment of acceptable risk

positive safety culture within all levels of the workforce

Potential SMS Benefits• Systematic way to manage a company• Integration

– Reduce duplication– Balance potentially conflicting objectives

Eliminate potentially conflicting responsibilities and– Eliminate potentially conflicting responsibilities and relationships

• Early intervention– Reduction in property damage– Lower personnel accident/injury rates

Decreased regulatory audit findings– Decreased regulatory audit findings• Reduction in insurance premiums


FAA SMS Overview


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.

I i i i• Initiatives– Develop and implement agency-wide SMS guidance.– Design and implement SMS for the delivery of air traffic

servicesservices.– Design and implement SMS for safety regulations and

certification.– Design and implement SMS for airport regulation and

certification.


FAA SMS

A FAA SMS Committee has been established to support the development of FAA’s SMSp

– 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 AirportsAviation Safety

Airports

Air Traffic Commercial Space


FAA Aviation Safety (AVS) SMS• Next step in the application of system safety principles

into the oversight system• Provides a comprehensive systemic and consistent• Provides a comprehensive, systemic, and consistent

approach supporting:– The identification of systemic issues– Proactive approach to safety risk management and the determinationProactive 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 AVS services/officesD i i d ll ti i b d f t• Decisions and resource allocation is based on safety risk

• SMS provides a means to identify safety goals and bj tiobjectives


FAA Aviation Safety (AVS) SMS

FAA Aviation Safety SMS Program OfficeSupports the development and implementation of an– Supports the development and implementation of an integrated SMS for FAA Aviation Safety

– Manages the plan, technical products, and overall progress i th i l t ti f th FAA A i ti S f tin the implementation of the FAA Aviation Safety

– Ensures implementation of the service/office safety management systems are coordinated and accomplished in g y pa timely manner

– Encourages commonality in the implementation of the constituent product/service provider SMS requirementsconstituent product/service provider SMS requirements

– Obtains and shares lessons learned– Harmonize and collaborate with the international community


y

SMS Regulatory Development


ICAOSafety Management SARPs for Service Providers

Annex Intended Audience Denomination Date Applicable pp11 Air traffic services

providers Safety Management

Programme Nov, 2001

14 Certified Aerodromes Safety Management Nov 200114 Certified Aerodromes Safety Management Programme

Nov, 2001

2005 – Harmonization of Safety Management SARPs 6, 11 and 14 A/C Operators & AMOs SMS Jan, 2009

2008 – 2nd Harmonization of Safety Management SARPs 1 Training Organizations SMS Nov 20101 Training Organizations SMS Nov, 20108 Manufacturers SMS Nov, 2013

1, 6, 11, 14 SMS Framework Nov, 2010


FAA AVS 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– Phased approach to implementation– Provides guidance for SMS development through Advisory Circular

120-92

E t bli h d A i ti S f t SMS A i ti R l ki• Established Aviation Safety SMS Aviation Rulemaking Committee (ARC) to obtain industry input on requirements and guidance for industry SMS implementation

• FAA Aircraft Certification Service pilot projects for manufacturers


SMS Aviation Rulemaking Committee (ARC) OverviewCommittee (ARC) Overview


SMS Rulemaking StatusAviation Rulemaking Committee (ARC) Status

– Charter signed by Acting FAA Administrator in g y gFebruary 2009

– First ARC meeting held on February 23, 2009 & continues to meet regularlycontinues to meet regularly

– ARC Working Groups established• Design & Manufacturing

Operations & Training• Operations & Training• Maintenance

• Advanced Notice for Proposed Rulemaking gpublished in Federal Register July 23, 2009 closed for comments on October 21, 2009


ARC Issues/Recommendations

Issue ARC RecommendationData Protection Protect data from FOIA & discoveryInternational Acceptance ICAO framework; est. int’l acceptanceRecognize Existing Systems Leverage existing rather than all newRecognize Existing Reqs Leverage existing rather than all newScalable and Flexible Regs must fit broad range of orgsImpact on Small Business Must not unduly burden small orgsMultiple Certificate Holders One SMS to cover all certificatesOversight Consistency FAA must consistently apply reqsAlternatives to Rule Research alternatives to rule


ARC Issues/Recommendationstcont.

Issue ARC RecommendationRequirements Flowdown No flowdown to suppliersLevel of Detail Use ICAO; 8000.367 too detailedGuidance Material Need detailed, sector-specific guidance , p gCost Information Task ARC to collect cost dataExisting Regulatory Standards SMS does not change standardsApplicability Add 91K to list in ANPRMApplicability Add 91K to list in ANPRMPhased-Promulgation 2 NPRMs (part 21 separate NPRM)Phased-Impl. (system) Part 121/119 followed by othersPhased-Impl (individual) Use AFS integration levelsPhased-Impl. (individual) Use AFS integration levels


SMS ARC Recommended Rulemaking StructureStructure

Fractional Operations

MaintenancePilot Schools and Training Centers High Level

R lRule

OperationsDesign and Manufacturing


Public Law 111-216• Conduct rulemaking to require all part 121 air carriers

to implement a safety management system (SMS)to implement a safety management system (SMS)• Consider including the following as a part of the SMS:

– An aviation safety action program– A flight operational quality assurance program– A line operations safety audit– An advanced qualification programad a ced qua cat o p og a

• Issuance Deadlines:– Notice of Proposed Rulemaking (NPRM) within 90 days

(10/29/10)(10/29/10)– Final Rule within 24 months (7/30/12)


FAA Office of Airports• Published Notice of Proposed Rulemaking (NPRM) –

Safety Management System for Certificated AirportsSafety Management System for Certificated Airports –Ref: FAA Docket Number FAA-2010-0997 (Oct 7, 2010)

• Published Advisory Circular (AC) 150/5200-37 –Introduction to SMS for Airports Operators


AIR Safety Management System• Manufacturers’ Safety Management System

(MSMS)( )

– Build upon the concepts and recommendations p pdeveloped by its predecessors applicant SMS and Certified Design Organization (CDO)D l M f t SMS i t i t– Develop Manufacturer SMS requirements in support of ICAO’s requirements


AIR Safety Management System• AIR MSMS Pilot Project:

– Led by a team within the Aircraft Certification ServiceService

– Involve a limited number of manufacturers (participants) on a volunteer basisI l FAA l i fi ld ffi ith i ht– Involve FAA personnel in field offices with oversight responsibility for the participants

– Teams will evaluate/assess draft processes and ptools for SMS at a manufacturer (both design and production)Information obtained during the pilot project will help– Information obtained during the pilot project will help identify applicability and implementation strategies

– Begins 1st quarter calendar year 2011


g q y

International Collaboration


AVS SMS International Collaboration• Lead the safety management harmonization efforts internationally:• 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 equ e e ts, ac tat g t e app cat o ac oss t e te at o a a at ocommunity

– Includes ANAC (Brazil), CAA of UK, CASA (Australia), CAA of New Zealand, DGAC (France), EASA, FAA AVS, FOCA (Switzerland), ICAO and TCCA (C d )(Canada).

– Future activities may include other civil aviation authorities that are implementing safety management systems


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 th d l f tti t ti di f t t (SSPmethodology 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 sharingP d SMS f D i & M f t i O i ti– Proposed – SMS for Design & Manufacturing Organizations

– Proposed – ICAO Working Paper – Developing Equivalence in SMS Implementation, Acceptance, Performance Measurements and Oversight


Next Steps• Continue design and implementation strategy including

• System designy g

• Safety data integration and analysis

• Develop communication and training strategies• Develop communication and training strategies

• Continue rulemaking strategy

O• Obtain and share lesson learned

• Continue outreach to industry and collaboration civil aviation authoritiesaviation authorities


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