FAA - Safety Management Systems

1. FAA - Safety Management Systems Presented to: ICAO High Level Safety Conference Presented by: Amer Younossi FAA, Aviation Safety Date: March 29, 2010

2. 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

3. Why SMS? And why now?

4. 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 NextGen Integrated Plan

5. ICAO 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

6. 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.

7. SMS Overview

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

9. The Four SMS Components Policy SRM SA Safety Promotion Safety Policy Safety Assurance (SA) Establishes senior management's commitment to continually improve safety; defines the methods, processes, and organizational structure needed to meet safety goals Evaluates the continued effectiveness of implemented risk control strategies; supports the identification of new hazards Safety Risk Management (SRM) Safety Promotion Includes training, communication, and other actions to create a positive safety culture within all levels of the workforce Determines the need for, and adequacy of, new or revised risk controls based on the assessment of acceptable risk

10. FAA SMS Overview

11. 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: FAA SMS Airports Aviation Safety Commercial Space Air Traffic

12. 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

13. FAA Aviation Safety Organization • Aviation Safety Organization (AVS) Approach • Incorporate SMS into our internal FAA Aviation Safety processesfirst 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

14. 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.

15. 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)

16. SMS and the Aviation Industry

17. Industry FAA SMS Cert Holder SMS Cert Holder SMS Aviation Safety SMS Air Traffic SMS Airports SMS Commercial Space SMS Alignment across lines of business Cert Holder SMS Cert Holder SMS SMS Vision FAA Aviation Safety SMS FAA Aviation Safety will implement SMS, which will incorporate SMS principles into FAA Aviation Safety operations and the processes, procedures, tools, etc. used to oversee industry. Certificate holders will implement their own SMSs to manage the risk in their operations. The FAA Aviation Safety SMS and industry organization SMSs will be aligned to share data/information, results of safety risk analyses, etc. to more effectively and efficiently provide assurance of the safety of the operations.

18. 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

19. 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

20. International Collaboration

21. 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

22. 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

23. 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

24. 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/

25. 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