AVS Safety Management System

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AVS Safety Management System

• AVSSMS The U.S. Safety Programme

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ICAO States safety programme

• Definition
• An integrated set of regulations and activities
  aimed at improving safety.

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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
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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

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What SMS is not and what it is
What it isnt
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
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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

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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

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SMS Components and Relationships

• Applying Risk Management
• Assuring Safety Risk Controls
• Oversight of Design and Performance of Systems
• The 3 Rs Roles, Responsibilities, and
  Relationships FAA and Service Providers

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SMS Concepts Assurance

• Assurance something that gives confidence1
• Quality assurance ... focused on providing
  confidence that quality requirements are being
  met2
• Likewise, Safety Assurance relates to safety
  requirements

1 Blacks Law Dictionary 2 ISO 9000-2000
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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

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SMS Components (Four Pillars)
Safety Promotion (Culture)
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Design
Performance
SRM
SA
System Analysis (Design)
System Operation
Action Problem Resolution
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Oversight and SMS
FAA Oversight Program Management
Production
Protection

• Technical Program Requirements
• Systems
• Subsystems
• Elements

Surveillance
Cert
C.O.S.
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National Aviation System Level
Service Provider/Organizational Level
2
Individual (Airman/Aircraft) Level
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Policy QMS
FAA SRM(S)
Regs./Policy
2
FAA SA
CH SRM
FAA SA
FAA SP
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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

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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

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U.S. FAA SMS Framework

• The first version of the FAAs 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

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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

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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

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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

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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

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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

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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

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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

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Documents Guidance

• SMS Guidebooks
• SMS Validation Process (FAA Draft Notice)

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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

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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

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SMS Implementation
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SMS Implementation Process
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SMS Pilot Projects
Phase 2 Experience
Phase 1 Readiness
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Organizations
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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

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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

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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

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Safety Management Focus Group (SMFG)

• Voluntary implementation users group
• Provides a two-way communications mechanism
  between SMS PMO and participants in voluntary
  implementation
• Provides a forum for knowledge sharing among
  participants

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Carelessness and overconfidence are more
dangerous than deliberately accepted riskWilbur
Wright, 1901

• Contact
• Don Arendt, Ph.D.
• [phone]
• don.arendt_at_faa.gov