Introduction to Safety Management Systems SMS

1
Introduction to Safety Management Systems (SMS)
135 Seminar
Elwyn Jordan, Aviation Safety Inspector
April 18 19, 2007
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SMS Definitions

• AOC Air Carrier Operating Certificate
• AMO Aviation Maintenance Organization
• ATO Aviation Training Organization
• ASAP - Aviation Safety Action Program
• FAA AVS FAA Aviation Safety Division
• FA Act FAA Aviation Act of 1958
• FOQA Flight Operational Quality Assurance
• ICAO International Civil Aviation Organization
• QMS ISO 9000 Quality Management System
• SASO Systems Approach to Safety Oversight
• SMS Safety Management System

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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

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A Managerial Approach ICAO view

• Safety should be approached in the same way as
  any other important objective through careful,
  effective management
• Safety management combines system safety and
  quality management (US Translation)
• Safety Risk Management
• Safety Assurance

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FAA Support of the SMS Concept

• U.S. Response to the Annex 6 proposal endorsed
  the SMS concept
• Prior U.S. implementation of system safety-based
  oversight systems
• ATOS
• SASO
• FAA (AVS) will also apply safety management
  concepts to oversight activities

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ICAO Annex 6 Requirements

• a safety management system acceptable to the
  State of the Operator that, as a minimum
• identifies safety hazards
• ensures that remedial action necessary to
  maintain an acceptable level of safety is
  implemented and
• provides for continuous monitoring and regular
  assessment of the safety level achieved.
• and, aims to make continuous improvement to the
  overall level of safety (proposed amendment)

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Annex 6 requirements (cont.)

• An accepted safety management system shall
  clearly define lines of safety accountability
  throughout the operators organization, including
  a direct accountability for safety on the part of
  senior management.

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Safety and Other Business Objectives

• Safety is not the primary objective of any
  business enterprisebusinesses exist to perform a
  mission and fulfill customer requirements
• Safety must be managed like, and in conjunction
  with, other business objectives
• An effective management system can help balance
• Safety (Prevent injury and damage)
• Quality (Prevent delivery of defective products
  services)
• Efficiency (Prevent waste)

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SMS or QMS? SMS QMS

• Quality Management System (QMS) requirements are
  based on customer requirements for products
  services
• Requirements for protective (risk management)
  systems such as Safety Management Systems (SMS)
  are based on objective determination of risk
• Both types of systems should assure consistency
  of meeting requirements

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Risk Acceptance

• Risk is inherent in aviation operations
• Aspects of the environment and operational
  activities determine risk
• Operator is responsible for risk management
  (Title 49 FA Act)
• A fundamental concept of risk management is
  acceptance of risk
• Risk management is fundamental to the SMS

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Role of the Regulator

• U.S. Legislation (Statutory Law) gives specific
  responsibilities and authority to the FAA and to
  operators
• FAA is responsible for
• Promulgating regulations and standards
• Issuing A.O.C.s to organizations who show the
  ability to meet regulatory requirements
• Providing for continuing operational safety
  through oversight functions

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Role of the Operator

• Operators must meet the regulatory requirements
  to obtain and hold an A.O.C.
• Operators must maintain the highest level of
  safety in the public interest.
• A Safety Management System gives the operators
  management a structured system to meet their
  legal and regulatory requirements

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FAA/Operator Relationship

• The FAA believes that a closer, more
  collaborative relationship with more sharing of
  information will lead to a more effective,
  efficient management of both FAA and operator
  safety responsibilities.

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SMS/Oversight Relationships
Protection
Production
Objective Public Safety
Direct sampling (e.g. surveillance)
Objective Serve customer requirements
Outputs Products/ Services
Operators Safety Management System for Production
Objective Control safety risk
Inputs
Process
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Four Pillars of SMS
3. Policy (Structure)
1. Risk Mgmt.
2. Safety Assurance
4. Safety Promotion (Culture)
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The SMS Standard

• First FAA SMS standard was delivered on June 22,
  2006 in Advisory Circular AC 120-92.
• SMSs are currently voluntary in the United States
• The standard is organized around the four
  pillars
• The standard is based on an extensive review of
  existing SMSs around the world
• The format of the SMS standard is similar to that
  of the ISO standards

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SMS Processes
Policy Cl. 4
Safety Risk Management (SRM) Cl. 5
Safety Promotion (Culture) (SP) Cl. 7
Safety Assurance (SA) Cl. 6
Procedures
Process Controls
System Description
Data
Communication

• Audits
• Invest.
• Reports

Hazard Recognition
Analysis
Training
Risk Analysis
Assessment
Risk Assessment
Prevention Corrective Action
Risk Control
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Integration with Existing Programs

• Current SMS standard is aligned with existing FAA
  AC 120-59A Internal Evaluation Programs
• The standard is designed to be compatible with
  other voluntary programs such as ASAP and FOQA
• Future SMS development will establish commonality
  of oversight system and SMS practices and tools

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Examination of Existing Regulations

• FAA is evaluating current and anticipated
  conditions, and current regulations, standards,
  and policies to determine the need changes to the
  regulations
• The FAA will develop new guidance material and
  training courses throughout 2007-2008

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Rulemaking Effort

• Rulemaking Project Record (RPR) opened Sep/Oct
  2006
• Rulemaking Project Team assigned Dec 2006
• Proposed strategy
• Align regulations within ICAO
• Draft acceptance criteria (similar to present
  voluntary standard) in policy documents
• Set implementation milestones in regulatory
  language

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Proof of Concept

• A set of proof of concept trials will commence in
  2007
• These trials will consist of voluntary SMS
  development and interface with oversight systems
• The purpose is to gather data to be used in
  further development of guidance material, risk
  management and audit tools, and implementation
  strategies

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Proof of Concept (continued)

• Three projects are being conducted under a single
  Proof of Concept Master Plan
• Part 121 Commercial Aviation (AFS-900 Lead)
• General Aviation and Air Taxi (FAAST Lead)
• Maintenance Organizations (Joint Lead)
• Master Plan will be used by the Steering
  Committee to coordinate projects and
• Track lessons learned
• Coordinate Orientation and Outreach

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SMS Implementation

• Implementation should follow a phased approach
• The processes underlying the four pillars will be
  modularized
• Growth and increasing maturity will then be
  emphasized for each process and the system as a
  whole
• Maturity model similar to Capability Maturity
  Model (CMM) used in software and systems
  development and management

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SMS Maturation Process (Notional)
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Safety Management in AVS

• The Aviation Safety Division (AVS) intends to
  employ the four pillars of safety management in
  the oversight process.
• Consistent with ICAO managerial approach and
  safety program

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Critical Elements of Oversight (ICAO)

• Primary legislation
• Specific operating regulations
• State civil aviation system and safety oversight
  functions
• Tech personnel qualifications and training

• Tech guidance, tools, and provision of safety
  critical information
• Licensing, certification, authorization, and
  approval obligations
• Surveillance obligations
• Resolution of safety concerns

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Carelessness and overconfidence are more
dangerous than deliberately accepted riskWilbur
Wright, 1901
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1935 Federal Aviation Commission Study

• It seems to us in any case unreasonable to
  expect that governmental responsibility should
  extend to the provision of a minute and detailed
  inspection system in every operation. To
  superpose a governmental inspection on an
  operators own is to increase the costs and to
  encourage the manufacturer to transfer the
  responsibility to government by slacking off on
  his own supervision.

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1935 Federal Aviation Commission Study

• We believe that the aim should be to encourage
  operators to exert the largest possible measure
  of control over their own operation in the
  interest of their own reputation, and that where
  there is adequate evidence of a proper sense of
  responsibility and a proper control system the
  government is justified in relaxing its own
  supervision.