1. Presented to: COSCAP-SA 19 th Steering Committee Meeting Presented by: Cathy VanAssche, FAA Flight Standards Service Date: 26-28 January 2010 Federal Aviation Administration The United States State Safety Programme

2. Federal Aviation Administration 2 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 What was the largest flying boat ever to fly?

3. Federal Aviation Administration 3 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 ICAO: States safety programme An integrated set of regulations and activities aimed at improving safety. A management system for management of safety by the State Includes SMS requirements for aviation service providers The AVSSMS is the U.S. safety programme –Applying SMS principles to FAA activities –Regulations, standards, policy –Oversight

4. Federal Aviation Administration 4 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 Two audience groups –States –Service providers Three distinct requirements –State safety programme (SSP) Acceptable level of safety (ALoS) –Safety management System (SMS) Safety performance of the SMS –Management accountability ICAO safety management requirements – The big picture

5. Federal Aviation Administration 5 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 A systematic approach to managing safety, including the necessary organizational structures, accountabilities, policies and procedures. Service providers are responsible for establishing an SMS. States are responsible, under the SSP, for the acceptance and oversight of service providers SMS. What is an SMS?

6. Federal Aviation Administration 6 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 ICAO Annex 6 From 1 January, 2009, States shall require, as part of their safety programme, that an operator implement a safety management system acceptable to the State of the Operator… The U.S. has filed a difference with ICAO Currently, there are no FAA authorized procedures to accept or approve Service Providers SMSs

7. Federal Aviation Administration 7 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 The bridge SSPSSP State Service providers Service providers SMSSMS

8. Federal Aviation Administration 8 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 SSP – SMS relationship Protection Production State Safety Programme (SSP) State Safety Programme (SSP) Organizations Safety Management system (SMS) Organizations Safety Management system (SMS) Organizations Safety Management system (SMS) Organizations Safety Management system (SMS) Objective: Establish acceptable level of safety (ALoS) for civil aviation Objective: Safety policy and objectives Safety risk management Objective: Support production goals and customer satisfaction Safety assurance Safety promotion Safety assurance Safety promotion State Services provider Acceptance Compliance oversight Acceptance Compliance oversight Performance-based oversight Performance-based oversight

9. Federal Aviation Administration 9 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 Oversight and SMS FAAs Safety Management (Oversight) (SAS) Technical Program Requirements Systems Subsystems Elements DA PA FAA Oversight Program Management SRMSRM SASA CertC.O.S. Surveillance ProductionProtection Operational Process Operators Safety Management System Public: Users

10. Federal Aviation Administration 10 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 ICAO and FAA SMS Framework Elements: 3.1 Safety Performance Monitoring & Measurement Process 3.1.1 Continuous monitoring Process 3.1.2 Internal audits by operational depts. Process 3.1.3 Internal evaluation Process 3.1.4 External auditing of the SMS Process 3.1.5 Investigation Process 3.1.6 Employee reporting and feedback syst. Process 3.1.7 Analysis of data Process 3.1.8 System assessment Process 3.1.9 Preventive/corrective action Process 3.1.10 Management review 3.2 Management of Change 3.3 Continual Improvement Elements: 2.1 Hazard identification and analysis Process 2.1.1 System and task analysis Process 2.1.2 Hazard identification 2.2 Risk assessment and control Process 2.2.1 Analyze safety risk Process 2.2.2 Assess safety risk Process 2.2.3 Control safety risk Elements: 1.1 Safety Policy 1.2 Management Commitment & Accountabilities 1.3 Key Safety Personnel 1.4 Emergency Preparedness and Response 1.5 SMS Documentation and Records Elements: 4.1 Competencies and Training Process 4.1.1 Personnel requirements Process 4.1.2 Training 4.2 Communication and Awareness Safety Promotion (Culture) Safety Risk Managemen t Policy (Structure) Safety Assurance

11. Federal Aviation Administration 11 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 ASA Aircraft Certification Flight Standards Safety Risk Management Aerospace Medicine Air Traffic Safety Oversight ARM AAI AQS NAS Safety Assurance Safety Assurance AVS-1 AVSSMS Safety Policy Safety Risk Management Safety Assurance Safety Risk Management Safety Assurance Safety Risk Management Safety Assurance SMS Components Aircraft Designers/ Manufacturers Air Operators/ Service Providers Air Traffic Organization Airmen, Air Traffic Controllers Integrated Safety Decisions

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13. Federal Aviation Administration 13 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 SMS Voluntary Implementation: Pilot Projects Trial Project activities commenced in 2007 Voluntary SMS development AFS combined effort Objectives are to Develop: –Implementation strategies, –Oversight interfaces, and –Gain experience for FAA and Service Providers

14. Federal Aviation Administration 14 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 SMS Implementation Process 0 Orientation & Commitment 2 Reactive Processes 3 Proactive Processes 4 Continuous Improvement 1 Planning & Organization

15. Federal Aviation Administration 15 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 AVSSMS Implementation Approach

16. Federal Aviation Administration 16 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 SMS Rulemaking One rule for all types of service providers Aviation Rulemaking Committee (ARC) –Associations representing industry –Working groups from service providers Advance Notice of Proposed Rulemaking (ANPRM) –Initial solicitation for information comment from public –No proposed rulemaking language –To be issued later this year

17. Federal Aviation Administration 17 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 AFS SMS Program Office (PO) Authorized by Order FS1100.1A: –AFS SMS Policy –Focal point for SMS rulemaking –Oversight and coordination of voluntary SMS implementation and testing –Integration with oversight systems –Policy, guidance, and tool development –Training and outreach development and coordination

18. Federal Aviation Administration 18 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 Safety Management System Focus Group (SMSFG) Voluntary implementation users group Provides a two-way communications mechanism between SMS PO and participants in voluntary implementation Provides a forum for knowledge sharing among participants

19. Federal Aviation Administration 19 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 System safety isnt a new concept 2001: System Safety Course offered at Academy 2002: SASO established 2006: ICAO Annex 6 2007: SMS Pilot Projects started 2008: ATOS 1.2 – based on 8900.1 – employed for oversight of all 14 CFR Part 121 operators 2009: Design of SAS begins (October 2008 - FY09) 2013: Target date for AFS SAS implementation in 14 CFR Parts 121, 135, 145 1970: Accident Prevention Program and Accident Prevention Specialist position created (evolved to Safety Program Manager) 1980s: NPG / PTRS – standardizing the inspection process 1995: SPAS – providing data and analysis for management of oversight 1996: System Safety initiatives begun due to ValuJet accident 1998: ATOS – applying system safety to aviation oversight of select 14 CFR Part 121 operators

20. Federal Aviation Administration 20 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 SMS Guidance and Tools ICAO Doc 9859: Safety Management Manual (SMM) FAA Order 8000.369: FAA SMS Guidance Order VS 8000.367: AVS Requirements Document SMS Standard: AC 120-92 Appendix 1 Voluntary Implementation Guidance (Multiple Docs)

21. Federal Aviation Administration 21 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 AFS SPOT Briefing Recipients In-Person –Reached 142 offices with 126 briefings –Reached 3300+ employees 2800+ field employees 500+ HQ employees WBT –Reached almost 700 employees

22. Federal Aviation Administration 22 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 What is the AFS SAS? The Safety Assurance System is the people, processes, and technology that provide confidence that air carriers and air agencies operate safely and manage safety to the highest degree possible in the public interest - System Approach for Safety Oversight (SASO) Requirements Document SAS will be the oversight system for 14 CFR Parts 121, 135, and 145

23. Federal Aviation Administration 23 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 What is the purpose of the SAS? Help fulfill the AFS vision / mission elements –To be recognized and respected as the world leader on system safety through regulation and certification –To promote safety through certification, surveillance, and the resolution of safety concerns Implement AFSs safety assurance function of the AVSSMS Adapt oversight and target resources to areas of highest risk (i.e., scalability) Provide system safety-based oversight to 14 CFR Parts 121, 135, and 145

24. Federal Aviation Administration 24 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 SAS timeline Nov. 2008 Sept. 2009 2013 Design of the AFS SAS begun AFS SAS Workgroups are in progress to determine: Who, when, and in what sequence oversight functions will be conducted Future data collection tools (DCTs) How oversight will be scaled to accommodate differences in certificate holder configurations AFS SAS Workgroups are in progress to determine: Who, when, and in what sequence oversight functions will be conducted Future data collection tools (DCTs) How oversight will be scaled to accommodate differences in certificate holder configurations AFS SAS Implementation into 14 CFR Parts 121, 135, 145 Develop SAS training Develop SAS automation Continue Safety Promotion Develop SAS training Develop SAS automation Continue Safety Promotion

25. Federal Aviation Administration 25 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 AVSSMS Website http://www.faa.gov/about/initiatives/sms Supports safety promotion activities FAA Order VS 8000.370 and 2010 Flight Plan Target Development – –Content determined by S/O reps –Umbrella information on AVS SMS –Repository for guidance material and experience

26. Federal Aviation Administration 26 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 Website Content SMS Explained –Basis –Theory –Components –Quality and Safety Management –Regulation and SMS –Misconceptions Reference Library –Policy and Requirements –Training –Links Voluntary Implementation –AFS –Aircraft Certification –Air Traffic –Airports FAQs –Background –Implementation –Validation and Assessment –Training and Communication Specifics by Aviation Industry Type –Air Operators, MROs, and Training Organizations –Design and Manufacturing Organizations –Airports –Air Traffic –The Regulator

27. Federal Aviation Administration 27 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 FAA Website Home Page

28. Federal Aviation Administration 28 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 FAA Website Reference Library

29. Federal Aviation Administration 29 COSCAP-SA 19 th Steering Committee Meeting 26-28 January 2010 FAA Website Educational Page

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