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AVS Safety Management System

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  1. AVS Safety Management System AVSSMS: The U.S. “Safety Programme”

  2. ICAO: State’ssafetyprogramme Definition: An integrated set of regulations and activities aimed at improving safety.

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

  4. The AVSSMS • AVS is applying SMS concepts to FAA oversight processes • The AVSSMS will be the core of the U.S. “State Safety Programme” • AVS has published: • SMS Doctrine: Order VS 8000.1 • SMS requirements: Order VS 8000.367

  5. What SMS is not and what it is… What it isn’t: What it is: Compliance is integral to safety management A substitute for compliance An effective interface for safety management A substitute for oversight A replacement for system safety SMS completes the systems approach A requirement for a new department A set of decision making processes for senior and line management

  6. 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) • Traditional approach concentrates on technical • SMS adds emphasis on management elements

  7. SMS Purpose and Methods • The purpose of a safety management system is to provide a systematic way to control risk and to provide assurance that those risk controls are effective • The SMS will give certificate holders a formal means of meeting statutory safety requirements (title 49) and the FAA a means of evaluating management capability

  8. SMS Components and Relationships • Applying Risk Management • Assuring Safety Risk Controls • Oversightof Design and Performance of Systems • The “3 R’s”: Roles, Responsibilities, and Relationships – FAA and Service Providers

  9. SMS Concepts: Assurance • Assurance: “something that gives confidence”1 • Quality assurance: “... focused on providing confidence that quality requirements are being met”2 • Likewise, Safety Assurance relates to safetyrequirements 1 Black’s Law Dictionary 2 ISO 9000-2000

  10. Oversight and Safety Assurance • FAA uses risk assessment process to determine safety assurance objectives • Design Assessments (SAIs) are used to determine the ability of organizational design to meet regulatory requirements and operator risk management objectives • Performance Assessments (EPIs) are used to determine conformance to design requirements

  11. Policy: (Structure) Risk Mgmt. Safety Assurance SMS Components (“Four Pillars”) Safety Promotion: (Culture)

  12. Description & Context Hazard Ident Data Acquisition & Process Specific Information Risk Analysis Analysis (RCA) Analysis Risk Assmt System Assmt Assessment Risk Control Corrective Action Design Performance SRM SA System Analysis (Design) System Operation Action: Problem Resolution

  13. DA FAA’s Safety Management (Oversight) System PA Public: Users S R M S A Operator’s Safety Management System Operational Process Oversight and SMS FAA Oversight Program Management Protection Production Technical Program Requirements • Systems • Subsystems • Elements Surveillance Cert C.O.S.

  14. 1 3 National Aviation System Level Service Provider/Organizational Level 2 Individual (Airman/Aircraft) Level

  15. Policy: QMS FAA SA(S) Strategic Analysis 1 SAS DA PA Public Users S R M S A SMS Education & Awareness of Risk (GA) 3 Designee System Airmen & Aircraft FAA SRM(S) Regs./Policy 2 FAA SA CH SRM FAA SA FAA SP

  16. SRM, Rulemaking, Design, and Compliance • FAA uses the SRM process to design regs, standards and policies • These form boundaries of acceptability for service providers • Service providers must design risk controls that: • Control hazards identified in regulations • Stay within boundaries of acceptance • Adapt to the context of their operations

  17. ICAO and FAA SMS Frameworks • ICAO has recently published a set of frameworks for State safety programmes and for service providers • It is organized around the four components of SMS • U.S. FAA SMS requirements use a similar structure, with the same four components

  18. U.S. FAA SMS Framework • The first version of the FAA’s standards was published in AC 120-92, Appendix 1 • AC based on JPDO/AVS draft standards • Each element in the U.S. standard has an associated functional objective – a performance expectation of each process • AVS is publishing a similar set of standards for both internal and external SMSs

  19. Component 1: Policy • Element 1.1 Safety Policy • Element 1.2 Management Commitment and Accountabilities • Element 1.3 Key Safety Personnel • Element 1.4 Emergency Preparedness and Response • Element 1.5 SMS Documentation and Records

  20. Component 2: Risk Management • Element 2.1 Hazard identification and analysis • Process 2.1.1 System and task analysis • Process 2.1.2 Hazard identification • Element 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

  21. Component 3: Safety Assurance • Element 3.1 Safety Performance Monitoring and Measurement • Process 3.1.1 Continuous monitoring • Process 3.1.2 Internal audits by operational departments • 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 system

  22. Safety Assurance (cont.) • 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 • Element 3.2 Management of Change • Element 3.3 Continual Improvement

  23. Component 4: Safety Promotion • Element 4.1 Competencies and Training • Process 4.1.1 Personnel requirements • Process 4.1.2 Training • Element 4.2 Communication and Awareness

  24. FAA SMS Documents: Requirements • Order VS 8000.1 Doctrine • High level philosophy and structure • Order VS 8000.367 Requirements • Functional internal/external requirements • AC 120-92 Service Provider Framework • Detailed/focused requirements • Being reformatted to match ICAO frameworks

  25. Documents: Implementation • (Draft) AC 120-XX Implementation • Four-phase plan • Similar to ICAO and TC strategies • Includes gap analysis and summary assessment tools • Data Collection Toolset • Similar to those used in ATOS for part 121 oversight • Simplified set being developed for small operators

  26. Documents: Guidance • SMS Guidebooks • SMS Validation Process (FAA Draft Notice)

  27. FAA Safety Management Challenge • Continue to upgrade the FAA Safety Assurance System • Integrate traditional elements of oversight into a comprehensive AVS SMS including: • Rulemaking and policy development • Safety Assurance practices across all areas of FAA oversight • Implementing Safety Management Systems in product/service providers’ organizations • Integrating SM functions within AVS and FAA

  28. Industry Safety Management Challenge • Development and implementation of the components of SMS • Integrating safety as a core business management function • Integrating business units • Making safety management a business benefit

  29. SMS Implementation

  30. 4 Continuous Improvement 3 Proactive Processes 2 Reactive Processes 1 Planning & Organization 0 Orientation & Commitment SMSImplementation Process

  31. 4 Continuous Improvement 3 Proactive Processes 2 Reactive Processes 1 Planning & Organization 0 Orientation & Commitment SMSPilot Projects Phase 2: Experience Phase 1: Readiness

  32. Organizations

  33. AFS SMS Program Office • Change to 1100.2 Order signed 4/17/08 • Office tasked with: • 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

  34. Standardization and Assistance Team • Under direction of AFS SMS PMO • Team members currently from: • SMS PMO • FAASTeam • HQ Policy Divisions • Standardization and Assistance to operators and CMTs in voluntary SMS projects • All activities coordinated with appropriate certificate oversight offices

  35. MITRE Corporation Involvement • MITRE is a Federally-Funded Research and Development Corporation (FFRDC) • MITRE assists the AFS SMS PMO in: • SMS Pilot Project (SMSPP) activities • Studies and analysis to support development of SMS implementation and oversight strategies

  36. Safety Management Focus Group (SMFG) • Voluntary implementation user’s group • Provides a two-way communications mechanism between SMS PMO and participants in voluntary implementation • Provides a forum for knowledge sharing among participants

  37. Wilbur Wright gliding, 1901 Photographs: Library of Congress “Carelessness and overconfidence are more dangerous than deliberately accepted risk”Wilbur Wright, 1901 Contact: Don Arendt, Ph.D. (703) 661-0516 don.arendt@faa.gov