United States Approach to SMS Implementation

Transcription

1 United States Approach to SMS Implementation Presented to: NATA Don Arendt, FAA Flight Standards Service Date: June, 2009

2 What SMS is not and what it is What it isn t: A substitute for compliance A substitute for oversight A replacement for system safety A requirement for a new department What it is: Compliance is integral to safety management An effective interface for safety management SMS completes the systems approach A set of decision making processes for senior and line management 2

3 ICAO: State s safety programme Definition: An integrated set of regulations and activities aimed at improving safety. Includes SMS requirements for aviation service providers The AVSSMS is the U.S. safety programme Regulations, standards, policy Oversight Assurance 3

4 ICAO Annex 6 From 1 January, 2009, States shall require, as part of their safety programme, that an operator implement a safety management system acceptable to the State The U.S. has filed a difference with ICAO Currently, there are no FAA authorized procedures to accept of approve SMS s 4

5 SMS Components ( Pillars ) Policy Safety Risk Management Safety Assurance Safety Promotion 5

6 SMS Concepts Applying Risk Management Assuring Safety Risk Controls Oversight of Design and Performance of Systems Design Assessment Performance Assessment 6

7 SMS Concepts: Risk Management Understanding the system and environment Identifying hazardous conditions Assessing risk Applying risk controls 7

8 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 safety requirements 1 Black s Law Dictionary 2 ISO

9 The 3 R s : FAA s Safety Management (Oversight) (SAS) FAA Roles, Responsibilities and Relationships Operator s Safety Management System (External SMS) Operational Process Service Provider 9

10 SMS Rulemaking One rule for all types of service providers Aviation Rulemaking Committee (ARC) Associations representing industry Working groups from service providers Advance Notice of Proposed Rulemaking (ANPRM) Initial solicitation for information comment from public No proposed rulemaking language To be issued later this year 10

11 SMS Voluntary Implementation: Pilot Projects Pilot Project activities commenced in 2007 Voluntary SMS development AFS combined effort Objectives are to Develop: Implementation strategies, Oversight interfaces, and Gain experience for FAA and Service Providers 11

12 SMS Guidance and Tools ICAO Doc 9859: Safety Management Manual (SMM) FAA Order : FAA SMS Guidance VS : AVS Requirements Document SMS Standard: AC Appendix 1 Voluntary Implementation Guidance 12

13 ICAO and FAA SMS Framework Safety Risk Management Policy (Structure) Safety Promotion (Culture) Safety Assurance Elements: 3.1 Safety Performance Monitoring & Measurement Elements: Process Continuous monitoring 2.1 Elements: Process Hazard identification Internal audits and by analysis operational depts. 1.1 Safety Process Policy Internal System evaluation and task analysis Process External auditing of the SMS 1.2 Elements: Management Process Commitment Hazard identification & Accountabilities Process Investigation Risk Key Process Competencies assessment Safety Personnel Employee and reporting Training control and feedback syst. 1.4 Process Emergency Process Process Analysis Preparedness Analyze Personnel of datasafety and requirements risk Response 1.5 Process SMS Process Process Documentation System Assess Training assessment and safety Records risk 4.2 Process Communication Preventive/corrective Control and Awareness safety action risk Process Management review 3.2 Management of Change 3.3 Continual Improvement 13

14 AFS SMS Program Office (PO) Authorized by Order FS1100.1A: 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 14

15 Carelessness and overconfidence are more dangerous than deliberately accepted risk Wilbur Wright, 1901 Contact: Don Arendt, Ph.D. (703) (LL) (703) (Cell) Wilbur Wright gliding, 1901 Photographs: Library of Congress 15