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Safety Management Systems for Design and Manufacturing (D


Federal Aviation Administration Safety Management Systems for Design and Manufacturing (D&M) Organizations Pilot Project Executive Summary MSMS Team – PowerPoint PPT presentation

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Title: Safety Management Systems for Design and Manufacturing (D

Federal Aviation Administration
Safety Management Systems for Design and
Manufacturing (DM) Organizations
Pilot Project Executive Summary
MSMS Team FAA Aircraft Certification Service
Executive Summary Topics
  • The Need for SMS
  • SMS Background
  • ICAO and FAA linkage
  • Internal vs. External SMS
  • Part 5 Rulemaking
  • SMS Components
  • DM SMS Pilot Project Overview
  • Communications with the FAA

The Need for SMS
  • SMS has the potential to provide an order of
    magnitude reduction in the accident rate.
  • The accident rate in the US is at an all time low
    (2010 Air Carrier rate 0.3/100 million
  • US air traffic is expected to double over the
    next 15 years
  • Without this sort of change the number of annual
    accidents may double as well.

World-wide average 31 multi-engine a/c
The Need for SMS (contd)
  • International acceptability of products may be
    predicated on the implementation of SMS.
  • ICAO has defined the necessity for implementation
    of SMS
  • Many countries are already requiring SMS to be
  • SMS has the potential to reduce the cost of
    remedial action within a design or production
    system that will save valuable resources.

SMS Requirements Hierarchy
ICAO and FAA Linkage
ICAO State Safety Program (SSP)
  • Annex 8
  • Safety Management Manual (ICAO Doc 9859)
  • Order 8000.369 FAA SMS Guidance
  • Order VS8000.367 AVS SMS Requirements
  • Part 5 SMS rulemaking

FAA Office of Aviation Safety (AVS)
AVS Lines of Business
DM SMS Framework DM SMS Pilot Project Guide
FAA Aircraft Certification Service (AIR)
Future - regulations and associated policies
SMS for D M Organizations
What is FAAs internal SMS?
  • FAA will implement an SMS comprised of aligned
    SMSs in
  • Aviation Safety (AVS)
  • Air Traffic Organization (ATO)
  • Airports (ARP)
  • Commercial Space Transportation (AST).

DM SMS relation to FAAs internal SMS?
AVS is incorporating SMS principles and tools
into the processes and procedures used to oversee
Certificate holders across industry (e.g.
operators, airports, DMs) will implement their
own SMS to manage the risk in their operations.
DM SMS relation to FAAs internal SMS? (contd)
The AVSSMS and industry 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.
  • Public Law 111-216, section 215 (August 1, 2010)
    directed FAA to issue a proposed SMS rule for
    Part 121 operators within 90 days
  • Part 5 Notice issued Nov 5, 2010
  • The preamble is important to understand context
    of the rule

RULEMAKING.The Administrator of the Federal
Aviation Administration shall conduct a
rulemaking proceeding to require all part 121 air
carriers to implement a safety management
system. (b) MATTERS TO CONSIDER.In conducting
the rulemaking under subsection (a), the
Administrator shall consider, at a
minimum, including each of the following as a
part of the safety management system (1) An
aviation safety action program. (2) A flight
operational quality assurance program. (3) A line
operations safety audit. (4) An advanced
qualification program. (c) DEADLINES.The
Administrator shall issue (1) not later than 90
days after the date of enactment of this Act, a
notice of proposed rulemaking under
subsection (a) and (2) not later than 24 months
after the date of enactment of this Act, a final
rule under subsection (a). (d) SAFETY MANAGEMENT
SYSTEM DEFINED.In this section, the term
safety management system means the program
established by the Federal Aviation Administration
Enact a final rule within 24 months
What does Part 5 Propose?
Administration 14 CFR Parts 5 and 119 Docket No.
FAA20090671 Notice No. 1015 RIN
2120AJ86 Safety Management Systems for Part 121
Certificate Holders AGENCY Federal
Aviation Administration (FAA), Department
of Transportation (DOT). ACTION Notice of
proposed rulemaking (NPRM)
  • Requires Part 121 operators
  • Develop and implement SMS
  • Submit their SMS implementation plan within 6
    months of the effective date of a final rule.
  • Full implementation within 3 years
  • New 121 applicants must implement SMS prior to
    beginning Operations
  • Public comment period closed Mar 7, 2011

ANPRM for SMS was rescinded on March 17, 2011 to
update the docket (ANPRM comment review and
corresponding ARC report was used to develop Part
5 ). FAA continues to consider potential
rulemaking for Part 21 and others per the
original ANPRM.
What does Part 5 Propose? (contd)
  • Key Points of Emphasis
  • International harmonization
  • Scalability and flexibility
  • SMS rule is not a substitute for existing
    regulatory compliance
  • Documentation and recordkeeping are to be kept as
    long as relevant to operation.

What does Part 5 Propose? (contd)
  • Other Important Points
  • Proposal aligns with core SMS
  • documentation
  • Cost-benefit identifies positive return for
  • Proposal introduces SMS terms and definitions
  • SMS is intended to be performance-based

Part 5 has been drafted with the intent that it
could be applied to D M organizations in the
Part 5 vs. DM SMS Framework
  • Why and how are they different?
  • FAA Rulemaking team and the MSMS Team started
    with the ICAO SMS framework and FAA Order
    VS8000.367 Appendix B
  • DM SMS framework designed to support pilot
    project objectives
  • DM SMS framework developed for DM organizations
  • Air Operator terminology vs. DM terminology
  • System definition and associated hazards
  • DM framework safety assurance component more
  • DM SMS Framework developed before Part 5
  • Part 5 may change as a result of public comment

Addressing Differences
  • Pilot Project feedback will help us develop
    appropriate FAA regulations and associated
    policies for DM organizations
  • We will reconcile any differences between the
    framework and the final version of Part 5
  • Interoperability
  • Standardization
  • Enforceability
  • Unique DM Attributes

The Four Components of SMS
Safety Assurance
Safety Risk Management
SMS is a management system and it applies to an
entire organization not just the specific design
and manufacturing elements of a company
The Four Components of SMS
  • Safety Policy Establishes senior managements
    commitment to continually improve safety defines
    the methods, processes, and organizational
    structure needed to meet safety goals.
  • Safety Risk Management Determines the need for,
    and adequacy of, new or revised risk controls
    based on the assessment of acceptable risk
    (applicable to products, processes and
    organizational decisions).
  • Safety Assurance Evaluates the continued
    effectiveness of implemented risk control
    strategies supports the identification of new
  • Safety Promotion Includes training,
    communication, and other actions to create a
    positive safety culture within all levels of the

DM SMS Pilot Project
Anticipated Pilot Project Duration and Launch
2013 beyond
Jan Jun 2011
Jul Dec 2011
Jan Dec 2012
Pratt Whitney Honeywell Co. No. 3 Co. No. 4 Co.
No. 5
Co. No. 6 Co. No. 7 Co. No. 8 Co. No. 9 Co. No.
10 Co. No. 11 Co. No. 12
Participants build and improve their SMS
Potential Rulemaking Activities
Participants Design Manufacturing Companies
representing a cross-section of the industry
(small, med, large, TSO/PMA, STC to TC/PC,
aircraft, engines, parts) FAA Involvement MSMS
Team and Local ACO/ECO and MIDO representatives
High-Level Concept and Purpose of Pilot Project
  • Concept To collaboratively work with Industry to
    develop a workable DM SMS
  • Purpose To collect input on potential rulemaking
    requirements, scalability, applicability,
    implementation assessment/oversight methods,
    tools and guidance as they relate to DM SMS.

High-Level List of Tasks Required During Pilot
Level 1 Approximately six months
Orientation Preliminary Gap Analysis
Detailed Gap Analysis
Develop Implementation Plan ID Safety Objectives
Develop Safety Policy
Levels 2 3 go through Level 2 and into Level
3 within 18 months
Document and Implement Companys SMS
Evaluate Progress to SMS Goals/Objectives
Conduct SRM and SA
Maintain Policy and Promote SMS
Level 4 Continuous Improvement
Preliminary Gap Analysis Tool
  • Purpose
  • Enables a company to take a quick snap shot of
    where they are in terms of SMS functionality
  • Facilitates dialogue between FAA and participants
  • Caution Preliminary Gap Analysis results may
    appear to show a large gap though the effort to
    close the gap may be small
  • Link to Preliminary Gap Analysis Tool

Responsibilities and Expectations
Participant FAA
Contribute adequate resources to accomplish pilot project tasks Complete detailed gap analysis within six months Execute implementation planning tasks within six months (exit Level 1) Implement SMS to achieve Level 3 within 18 months and maintain momentum Provide feedback to the FAA on how to achieve the expectations outlined in the FAA Framework Provide feedback on the approaches to assessing Participant SMSs, oversight processes, and other relevant areas of concern Actively participate in lessons learned and data collection processes in support of achieving SMS pilot project objectives. Conduct orientation sessions Provide final acceptance to exit each level Support Participant through gap analysis assessment process and implementation plan development Provide guidance and advice to the company on SMS implementation and best practices Collect lessons learned and other data to support achieving Pilot Project objectives Communicate the benefits of SMS internally to the FAA and externally to industry Establish forums to share best practices information among pilot project participants Actively participate in lessons learned and data collection processes in support of achieving SMS pilot project objectives.
Management Commitment and Resources
  • Identify an accountable executive to oversee the
    implementation and maintenance of the SMS
  • Executives commit to sponsoring and providing
    resources to implement and maintain SMS
  • Executives and management learn SMS concepts
  • Executives and management endorse SMS policy and
    define objectives
  • Executives and management promote SMS throughout
    the organization
  • Visibly endorse SMS
  • Personally involved in the SMS implementation
  • Communicate SMS implementation and benefits to
    the workforce.

Benefits of Participating in the Pilot Project
  • Opportunity to achieve safety benefit of SMS
  • Contribute to shaping of FAA regulations, orders
    and policy
  • Get a head start toward implementing SMS
  • At the forefront of influencing/shaping the
    larger international aviation DM community
  • Enables the local FAA office to support the
    participant and become knowledgeable of SMS
  • Providing for a more seamless integration of SMS
    into the Pilot Project Participants system.

FAA - Participant Communications
  • Interaction managed by Participant POC and FAAs
    Participant Management Team Lead
  • Anticipated meetings in Level 1
  • Scheduled and ad-hoc discussions to understand
    DM SMS Framework and Developmental Guidance
  • Important for us to work closely together in
    initial activities
  • Detailed Gap Analysis and Implementation Plan
    review meeting (Exit Level 1 discussion)
  • Information may be exchanged in-person and/or via
    email, phone and SharePoint site
  • FAA will ask for feedback on the SMS
    expectations, assessment process, and pilot
    project process

Key Executive Summary Takeaways
  • Need your commitment to apply the necessary
    resources to conduct the Pilot Project
  • Need to work collaboratively over the next 18
    months to support the pilot project
  • Looking for your input to shape the future of SMS

We look forward to working with you in Aircraft
Certifications DM SMS Pilot Project