The Human Factors Components of a Safety Management System: The US Perspective

1. Federal Aviation Administration The Human Factors Components of a Safety Management System: The US Perspective Dr. William B. Johnson Chief Scientific & Technical Advisor for Human Factors in A/C Maintenance Systems The Complexity of Aviation Safety Management: Putting Ideas into Practice – International Conference Hong Kong October 16 – 17, 2007

2. Agenda Obligatory SMS Flow Carts Fitting Human Factors Activities to the SMS Puzzle Selected Current FAA Human Factors Activities Future International Human Factors Challenges Discussion (Time Permitting)

3. Agenda Obligatory SMS Flow Carts Fitting Human Factors Activities to the SMS Puzzle Selected Current FAA Human Factors Activities Future International Human Factors Challenges Discussion (Time Permitting)

4. SAFETY MANAGEMENT SYSTEM INTEGRATION Clearly stated goals for SMS Formal process to assess & manage risk Monitor and feedback loop Actions to reinforce a positive safety culture Safety Policy Safety Promotion Safety Assurance Risk Management CULTURE & VALUES

5. Pieces to the SMS Risk Mgmt. Policy Assurance Promotion

6. Agenda Obligatory SMS Flow Carts Fitting Human Factors Activities to the SMS Puzzle Selected Current FAA Human Factors Activities Future International Human Factors Challenges Discussion(Time Permitting)

7. SMS Policy and Human Factors • Sincere integration of HF and SMS Activity • SMS policy, process, and plans must explicitly address HF issues Policy • Describe, in detail, how: • HF personnel will serve in SMS planning • The process for collecting and using HF data • How HF data will be assessed for risk • How HF performance change will be assessed • How HF will be promoted with other SMS initiatives

8. Describe System Identify Hazards Analyze Risk Assess Risk Control Risk Risk Management and Human Factors Risk Management • Establish event report system • Include written discipline policy • Establish event data analysis system • Identify challenges, correct them, monitor them • HF personnel have been promoting this for 20 years!

9. Safety Assurance and Human Factors Safety Assurance • Let event report be the basis for assurance • Consider LOSA for maintenance • Implement HF Auditing system • Incorporate HF Training into assurance loop

10. Safety Promotion and Human Factors • Cultivate the safety culture • Promote SMS in HF Activities • Promote HF in SMS • Safety is people and process oriented • Use event reporting to promote communication up and down the company Safety Promotion

11. Agenda Obligatory SMS Flow Carts Fitting Human Factors Activities to the SMS Puzzle Selected Current FAA Human Factors Activities Future International Human Factors Challenges Discussion (Time permitting)

12. Selected FAA Activities • International Survey of HF • Completion of 2 Operator’s Manuals for HF • Maintenance • Airport Services • Aviation Safety Action Program Support • Action on HF Rulemaking • Training Initiatives for Aviation Safety Inspectors

13. Survey Goals and Methods • Purpose: Assess international status of maintenance HF • Look at: HF programs, fatigue management, error management, and training. • Comparison: Compare by regulators, Does it make a difference if there is a rule? • Distribution: Online survey (80 items) to 630 addresses.

14. 54 Countries 414 Total Respondents (66% response rate) 200 Organizations (Estimated based on 66%) Experience: 65% > 20 yrs. maintenance experience Respondent Country and Experience

15. Responding Countries Peru 1 Philippines 4 Poland 1 Portugal 2 Romania 1 Singapore 12 Slovenia 1 South Africa 5 Spain 8 Sweden 4 Switzerland 4 Taiwan 9 Thailand 1 Turkey 1 United Arab Emirates 3 United Kingdom 29 United States160 Venezuela 3 Greece 10 Greenland 1 Guatemala 2 Hong Kong 6 Hungary 1 Ireland 2 Italy 1 Japan 3 Korea 2 Kuwait 1 Luxembourg 1 Malaysia 6 Malta 1 Mexico 4 Netherlands 2 New Zealand 3 Norway 12 Panama 4 Argentina 4 Australia 19 Austria 1 Bahrain 1 Belgium 3 Bolivia 3 Brazil 3 Canada 36 Chile 3 China 3 Columbia 3 Cyprus 1 Denmark 1 Ecuador 1 El Salvador 1 Finland 1 France 3 Germany 6

16. What type of Maintenance Organization?

17. Summary Findings • Worker safety, flight safety, regulatory compliance are important motivators when implementing an HF program • Transport Canada and EASA countries have the most robust programs. • Strong regulations promote strong HF programs. • Fatigue issues are perceived to be important but little action. • When companies have programs they are similar. • Companies record event data but do not use it enough.

18. 2 Reference Manuals www.hfskyway.com

19. Selected FAA Activities • International Survey of HF • Completion of 2 Operator’s Manuals for HF • Maintenance • Airport Services • Aviation Safety Action Program (ASAP) • Action on HF Rulemaking • Training Initiatives for Aviation Safety Inspectors

20. A Training Tool for FAA Inspectors (Time permitting)

21. Movie Human Factors Spectacles

22. Agenda Obligatory SMS Flow Carts Fitting Human Factors Activities to the SMS Puzzle Selected Current FAA Human Factors Activities Future International Human Factors Challenges Discussion (Time Permitting)

23. Future Challenges (1 of 2) • Continued outreach & regulatory cooperation • Creation of Mx audit tools • Address issues of HF on new technologies • Multi-faceted approaches to studying maintenance fatigue

24. Future Challenges (2 of 2) • Extending HF attention to Airport Operations. • Support and capitalize on voluntary reporting system data • Measurement of HF initiatives

25. Summary Obligatory SMS Flow Carts Fitting Human Factors Activities to the SMS Puzzle Selected Current FAA Human Factors Activities Future International Human Factors Challenges Discussion (Time Permitting) Thank you