Transcript Document
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
• •
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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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
• •
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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