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Federal Aviation Administration FAA - Safety Management Systems Presented to: ICAO High Level Safety Conference Presented by:Amer Younossi FAA, Aviation.

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Presentation on theme: "Federal Aviation Administration FAA - Safety Management Systems Presented to: ICAO High Level Safety Conference Presented by:Amer Younossi FAA, Aviation."— Presentation transcript:

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

2 1 Federal Aviation Administration 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 2 Federal Aviation Administration Why SMS? And why now?

4 3 Federal Aviation Administration 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 4 Federal Aviation Administration 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 5 Federal Aviation Administration 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 6 Federal Aviation Administration SMS Overview

8 7 Federal Aviation Administration 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 ] A systemic approach to managing safety, including the necessary organizational structures, accountabilities, policies and procedures. [ICAO Doc. 9859] SMS Definitions

9 8 Federal Aviation Administration Establishes senior management's commitment to continually improve safety; defines the methods, processes, and organizational structure needed to meet safety goals Determines the need for, and adequacy of, new or revised risk controls based on the assessment of acceptable risk Includes training, communication, and other actions to create a positive safety culture within all levels of the workforce Evaluates the continued effectiveness of implemented risk control strategies; supports the identification of new hazards The Four SMS Components SRM Polic y SA Safety Promotion Safety Policy Safety Risk Management (SRM) Safety Assurance (SA) Safety Promotion

10 9 Federal Aviation Administration FAA SMS Overview

11 10 Federal Aviation Administration A FAA SMS Committee has been established to support the development of FAAs 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 Aviation Safety Air Traffic Airports Commercial Space

12 11 Federal Aviation Administration 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 12 Federal Aviation Administration FAA Aviation Safety Organization Aviation Safety Organization (AVS) Approach –Incorporate SMS into our internal FAA Aviation Safety processes first 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 13 Federal Aviation Administration FAA Office of Airports Published Advisory Circular AC 150/ – 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 14 Federal Aviation Administration FAA Air Traffic Organization SMS Directorate established to achieve implementation goal Three major documents that support the implementation of ATO SMS ATO Order JO , 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 15 Federal Aviation Administration SMS and the Aviation Industry

17 16 Federal Aviation Administration Aviation Safety SMS Air Traffic SMS Airports SMS Commercial Space SMS FAA SMS Alignment across lines of business 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. Cert Holde r SMS Industry Cert Holde r SMS 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 17 Federal Aviation Administration 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 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 18 Federal Aviation Administration 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.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 19 Federal Aviation Administration International Collaboration

21 20 Federal Aviation Administration 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 21 Federal Aviation Administration 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 22 Federal Aviation Administration 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 23 Federal Aviation Administration REFERENCES FAA Order FAA SMS Guidance FAA Order VS AVS SMS Requirements Order AC , 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

25 24 Federal Aviation Administration 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 (202) Amer M. Younossi External SMS Lead Federal Aviation Administration Aviation Safety Organization 800 Independence Ave, SW - Suite 835 Washington, DC (202)

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