1. Federal Aviation Administration 1 Presented to: Southern Region (NRC) Date: 13 May 2008 Safety Management Systems SMS: Moving forward in System Safety

2. Introducing SMS Federal Aviation Administration 2 2 System Safety "The application of special technical and managerial skills in a systematic, forward looking manner to identify and control hazards throughout the life cycle of a project, program, or activity" (Roland & Moriarty, 1990)"The application of special technical and managerial skills in a systematic, forward looking manner to identify and control hazards throughout the life cycle of a project, program, or activity" (Roland & Moriarty, 1990) Traditional approach concentrates on technicalTraditional approach concentrates on technicalelements SMS adds emphasis on management elementsSMS adds emphasis on management elements

3. Introducing SMS Federal Aviation Administration 3 3 State’s safety programme Definition (ICAO): An integrated set of regulations and activities aimed at improving safety.

4. Introducing SMS Federal Aviation Administration 4 4 The Bridge Civil Aviation Authority (FAA) Civil Aviation Authority (FAA) Service Providers SMS Service Providers SMS State’s safety programme

5. Introducing SMS Federal Aviation Administration 5 5 A systemic approach to managing safety, including the necessary organizational structures, accountabilities, policies and procedures. “SMS”“SMS” Safety Management Systems ICAO Definition ICAO Doc. 9859, Sec. 1.4.2

6. Introducing SMS Federal Aviation Administration 6 6 Is safety management the same thing as quality management? Absolutely maybe…

7. Introducing SMS Federal Aviation Administration 7 7 SMS or QMS? Quality Management System (QMS) requirements are based on customer requirements for products & servicesQuality Management System (QMS) requirements are based on customer requirements for products & services Requirements for protective systems such as Safety Management Systems (SMS) are based on objective determination of riskRequirements for protective systems such as Safety Management Systems (SMS) are based on objective determination of risk Both types of systems assure consistency of meeting requirementsBoth types of systems assure consistency of meeting requirements

8. Introducing SMS Federal Aviation Administration 8 8 Is ATOS the same as SMS? ATOS: An Oversight System used to fulfill FAA safety responsibilitiesATOS: An Oversight System used to fulfill FAA safety responsibilities SMS: A Management System used to fulfill operator safety responsibilitiesSMS: A Management System used to fulfill operator safety responsibilities

9. Introducing SMS Federal Aviation Administration 9 9 ICAO Compliance Annex 6, 11, 14: Current: 1 January, 2009Annex 6, 11, 14: Current: 1 January, 2009 Expected: 19 November 2009 Expected: 19 November 2009 Annex 1, 8: Expected: 18 November 2010Annex 1, 8: Expected: 18 November 2010 States shall establish a safety programme, in order to achieve an acceptable level of safety in:States shall establish a safety programme, in order to achieve an acceptable level of safety in: The operation of aircraftThe operation of aircraft The maintenance of aircraftThe maintenance of aircraft The provision of air traffic servicesThe provision of air traffic services Aerodrome operationsAerodrome operations

10. Introducing SMS Federal Aviation Administration 10 Current Primary References ICAO Doc 9859: SMMICAO Doc 9859: SMM AVS SMS Order VS 8000.1AVS SMS Order VS 8000.1 US FAA AC 120-92 (Operators)US FAA AC 120-92 (Operators) US FAA AC 159/5200-37 (Airports)US FAA AC 159/5200-37 (Airports) US FAA AC 145-XX (Draft – AMOs)US FAA AC 145-XX (Draft – AMOs)

11. Introducing SMS Federal Aviation Administration 11 SMS Rulemaking Comprehensive rulemaking project recently initiatedComprehensive rulemaking project recently initiated Replaces original project for part 121Replaces original project for part 121 ARC is likelyARC is likely Project will be managed at AVS levelProject will be managed at AVS level Rulemaking team currently being organizedRulemaking team currently being organized Plan to use previous work on SMS standardsPlan to use previous work on SMS standards

12. Introducing SMS Federal Aviation Administration 12 SMS: The Movie

13. Introducing SMS Federal Aviation Administration 13 Backup: SMS-Oversight Relationships

14. Introducing SMS Federal Aviation Administration 14 Safety Programme: Oversight & SMS FAA’s Safety Management (Oversight) System Air Carrier Technical Program Requirements Systems Subsystems Elements DA PA FAA (ATOS) Oversight Program Management (8 Modules) SRMSRM SASA CertC.O.S. Surveillance ProductionProtection Operational Process Operator’s Safety Management System Public: Users