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

Presented to: Transport Canada SMS Information Session By: Don Arendt, Ph.D. FAA Flight Standards Service Date: August 5, 2008

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ICAO: State’s 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

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AVS is applying SMS concepts to FAA oversight processes

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The AVSSMS will be the core of the U.S. “State Safety Programme”

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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 isn’t: A substitute for compliance What it is: Compliance is integral to safety management A substitute for oversight A replacement for system safety An effective interface for safety management 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 managerial and 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 AVSSMS

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SMS Purpose and Methods

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The purpose of a safety management system is to provide a systematic way to control risk and to provide assurance those risk controls are effective that

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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 Controls Safety Risk Oversight of Design Performance and of Systems The “ 3 R’s ”: Roles, Responsibilities, and Relationships – FAA and Service Providers

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SMS Concepts: Assurance

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Assurance: “something that gives confidence ” 1 Quality assurance: “... focused on providing confidence that quality requirements met” 2 are being

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Likewise, Safety Assurance relates to safety requirements

1 Black’s Law Dictionary 2 ISO 9000-2000 AVSSMS

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Oversight and Safety Assurance

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FAA uses risk assessment process to determine safety assurance objectives

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Design Assessments (SAIs) are used to determine the ability of organizational design to meet regulatory requirements and operator risk management objectives

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Performance Assessments (EPIs) are used to determine conformance to design requirements

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SMS Components (“Four Pillars”)

Policy: (Structure) Risk Mgmt.

Safety Assurance Safety Promotion: (Culture) AVSSMS

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

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Oversight and SMS

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

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

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1 2 FAA SA Regs./Policy FAA SRM( S ) DA PA SAS CH SRM S R M S A SMS FAA SA(

S

) Strategic Analysis Policy: QMS Public Users 3 AVSSMS FAA SA Education & Awareness of Risk (GA) Designee System Airmen & Aircraft 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 AVSSMS

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ICAO and FAA SMS Frameworks

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ICAO has recently published a set of frameworks for State safety programmes and for service providers

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It is organized around the four components of SMS

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U.S. FAA SMS requirements use a similar structure, with the same four components

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U.S. FAA SMS Framework

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The first version of the FAA’s standards was published in AC 120-92, Appendix 1

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AC based on JPDO/AVS draft standards

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Each element in the U.S. standard has an associated functional objective – a performance expectation of each process

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AVS is publishing a similar set of standards for both internal and external SMSs

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Component 1: Policy

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Element 1.1 Safety Policy

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Element 1.2 Management Commitment and Accountabilities

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Element 1.3 Key Safety Personnel

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Element 1.4 Emergency Preparedness and Response

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Element 1.5 SMS Documentation and Records

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Component 2: Risk Management

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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 AVSSMS

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Component 3: Safety Assurance

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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 AVSSMS

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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

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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 AVSSMS

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Documents: Implementation

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(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 AVSSMS

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Documents: Guidance

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SMS Guidebooks

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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

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Development and implementation of the components of SMS

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Integrating safety as a core business management function

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Integrating business units

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Making safety management a business benefit

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AVSSMS

SMS Implementation

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SMS Implementation Process

3 4 Proactive Processes Continuous Improvement 0 1 Planning & Organization Orientation & Commitment 2 Reactive Processes AVSSMS

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SMS Pilot Projects

AVSSMS Phase 2: Experience 0 4 Continuous Improvement 3 Proactive Processes 1 2 Planning & Organization Orientation & Commitment Reactive Processes Phase 1: Readiness

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AVSSMS

Organizations

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AFS SMS Program Office

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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 AVSSMS

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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

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All activities coordinated with appropriate certificate oversight offices

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MITRE Corporation Involvement

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MITRE is a Federally-Funded Research and Development Corporation (FFRDC)

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MITRE assists the AFS SMS PMO in:

– SMS Pilot Project (SMSPP) activities – Studies and analysis to support development of SMS implementation and oversight strategies AVSSMS

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Safety Management Focus Group (SMFG)

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Voluntary implementation user’s group

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Provides a two-way communications mechanism between SMS PMO and participants in voluntary implementation

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Provides a forum for knowledge sharing among participants

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“Carelessness and overconfidence are more dangerous than deliberately accepted risk”

Wilbur Wright, 1901

Contact: Don Arendt, Ph.D.

(703) 661-0516 [email protected]

Wilbur Wright gliding, 1901 Photographs: Library of Congress AVSSMS

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