3 Why are We Adopting SMS? Aviation system is changing rapidly New technologiesNew business modelsExpanded environmental impact concernsRepetitive, recurrent common cause accidents essentially eliminatedEmerging threats are low frequency, hard to detectNeed to move from reactive to proactive and prognosticIncrease in system demand*The number, types and complexity of airplanesThe amount of flights and passengersContinues evolution in application of system safety concepts in the aviation system*FAA Aerospace Forecast Fiscal Years 2006–2017; JPDO NextGen Integrated Plan
4 ICAO State Safety Programme (SSP) States shall establish a SSP, in order to achieve an acceptable level of safety (ALoS) in civil aviationThe acceptable level of safety (ALoS) to be achieved shall be established by the State
5 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.InitiativesDevelop 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.55
7 SMS DefinitionsThe 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 ]A systemic approach to managing safety, including the necessary organizational structures, accountabilities, policies and procedures. [ICAO Doc. 9859]7
8 The Four SMS Components Safety PolicySafety Assurance (SA)Establishes senior management's commitment to continually improve safety; defines the methods, processes, and organizational structure needed to meet safety goalsEvaluates the continued effectiveness of implemented risk control strategies; supports the identification of new hazardsSRMPolic ySASafety PromotionSafety Risk Management (SRM)Safety PromotionIncludes training, communication, and other actions to create a positive safety culture within all levels of the workforceDetermines the need for, and adequacy of, new or revised risk controls based on the assessment of acceptable risk
10 FAA SMS Aviation Safety Airports Commercial Space Air Traffic A FAA SMS Committee has been established to support the development of FAA’s SMSThis committee is responsible for providing advice and guidance for the responsible organizations implementing SMSFAA Lines of Business currently implementing an SMS are:Aviation SafetyAirportsAir TrafficCommercial Space10
11 Rationale for FAA SMSNext step in the application of system safety principles into the oversight systemsProvides a comprehensive, systemic, and consistent approach supporting:The identification of systemic issuesProactive 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 incidentHigher degree of integration among FAA internal organizationsDecisions and resource allocation is based on safety riskSMS provides a means to identify safety goals and objectives
12 FAA Aviation Safety Organization Aviation Safety Organization (AVS) ApproachIncorporate SMS into our internal FAA Aviation Safety processes first and study requirements for industryEstablish requirementsFAA Aviation Safety SMS Requirements Order contains both FAA Aviation Safety and industry requirementsFAA Aviation Safety SMS Program OfficeSupports the development and implementation of an integrated SMS for FAA Aviation SafetyManages the plan, technical products, and overall progress in the implementation of the FAA Aviation Safety SMSEnsures implementation of the service/office safety management systems are coordinated and accomplished in a timely mannerEncourages commonality in the implementation of the constituent product/service provider SMS requirementsLeads the FAA SMS effortsObtains and shares lessons learnedHarmonize and collaborate with the international community
13 FAA Office of AirportsPublished Advisory Circular AC 150/ – Introduction to SMS for Airport OperatorsInitiated two pilot studies in cooperation with airports holding an operating certificateIntends to apply the concepts of SMS to internal operationsIn accordance with FAA SMS standardsWill 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.
14 FAA Air Traffic Organization SMS Directorate established to achieve implementation goalThree major documents that support the implementation of ATO SMSATO Order JO , Air Traffic Organization Safety Management System: Establishes policy and requirements for the ATO SMSSMS Implementation Plan: Lays out the activities/tasks for full implementationATO SMS Manual: Provides specific guidance on how to implement the SMS27,900 ATO Employees Trained in SMSApproved SMS certificate (March 2010)
16 Alignment across lines of business SMS VisionCert Holder SMSIndustryFAAAviation SafetySMSAviationSafetySMSAir TrafficAirportsCommercialSpaceFAA SMSAlignment across lines of businessFAA 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.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.Certificate holders will implement their own SMSs to manage the risk in their operations.
17 FAA SMS Industry Outreach FAA Flight Standards Service SMS Pilot ProjectsVoluntary participation, initiated in April 2007Includes multiple 14 CFR Parts 121, 135 and 145 participantsPhased approach to implementationProvides guidance for SMS development through Advisory CircularFAA Airports has initiated two pilot studies in cooperation with airports holding an operating certificateSince 2007, over 30 airports with varying levels of operations have participated in these studiesRange from the development of a SMS Manual and Implementation Plan to Proof-of-Concept studiesFAA Aircraft Certification Service is planning to implement pilot projects for manufacturersEstablished Aviation Safety SMS Aviation Rulemaking Committee (ARC) to obtain industry input on requirements and guidance for industry SMS implementation1717
18 SMS Rulemaking Status Aviation Safety Airports Potential applicability to airlines, approved maintenance organizations, design and manufacturing organizations, and flight training organizationsRulemaking Vision: Publish final rule in the form of one [new] SMS Code of Federal Regulations (CFR) PartAviation Rulemaking Committee (ARC) StatusARC Working Groups established for Design & Manufacturing, Operations & Training, and MaintenanceAdvanced Notice for Proposed Rulemaking (ANPRM) published in July 2009Recommendations based on the ANPRM inputs will be forwarded to the FAA soonFAA AVS will determine next steps based on ARC recommendations and further analysisAirportsIn 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 AVS SMS International Collaboration Lead the safety management harmonization efforts internationally:Collaborate on common topics of interestShare lessons learnedEncourage the progression of a harmonized SMSHarmonization with international organizations such as ICAO and civil aviation authorities that have implemented or are implementing SMSSM International Collaboration GroupTo promote a common understanding of SMS and SSP principles and requirements, facilitating their application across the international aviation communityIncludes ANAC (Brazil), CAA of UK, CASA (Australia), DGAC (France), EASA, FAA AVS, FOCA (Switzerland), ICAO and TCCA (Canada).Share products with the aviation communityFuture activities may include other civil aviation authorities that are implementing safety management systems
21 SM International Collaboration Group AgreementsSupport a phased approach to implementation (with stages); staggered implementation across the systemUse ICAO framework as the foundationContinue with this forum and work collaboratively on agreed topics of interestWorkgroupsDocumentation – Share and/or develop: best practices, guidance and tools, safety behavior assessment tools, training material and promotion materialMeasurements – 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 thresholdsStandardization – Develop standard hazard taxonomy, compare international SMS terminology, and study the possibility of data sharingProposed - SMS for Design & Manufacturing Organizations
22 Next Steps Continue design and implementation strategy including System designSafety data integration and analysisDevelop communication and training strategiesContinue rulemaking strategyObtain and share lesson learnedContinue outreach to industry and collaboration civil aviation authorities
23 REFERENCES FAA Order 8000.369 FAA SMS Guidance FAA Order VS AVS SMS Requirements OrderAC , Introduction to Safety Management Systems for Air OperatorsFAA Flight Standards Service SMS Program OfficeSMS FrameworkSMS Assurance GuideSMS Implementation GuideICAO Document 9859, Safety Management Manual (SMM)ALPA, Background and Fundamentals of the Safety Management System (SMS) for AirlinesFAA AVS SMS website
24 CONTACT INFORMATIONPaula MartinezManager, Safety Management and Research Planning DivisionFederal Aviation AdministrationAviation Safety Organization800 Independence Ave, SW - Suite 835Washington, DC(202)Amer M. YounossiExternal SMS Lead(202)
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