Safety Management Systems (SMS) Fundamentals: Basics

Federal AviationAdministration

SL-1

Federal AviationAdministrationSafety Management

System (SMS)Fundamentals

The Core Processes, Elements and Components of a Robust SMS

Presented By: Flight Standards

Version Date: Apr 1, 2012


SL-2

Subjects Covered:• Why SMS?

• Case for SMS & Safety Fundamentals

• SMS Fundamentals – Overview

• SMS Details:

• Policy Component

• Safety Risk Management Component

• Safety Assurance Component

• Safety Promotion Component

• SMS Guidance, Tools and Implementation Overview


SL-3

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


SL-4

SMS• Management System

• Only service provider can manage

SMS, ATOS/NPG, SAS and QMS

Does SMS = QMS?

• Same principles but different objectives

• QMS Objective– Management driven– Customer satisfaction

• SMS Objective – Management driven– Aviation safety focused

ATOS/NPG• Oversight System

• Used to meet regulator

responsibilities

SAS• Safety Assurance System

• FAA Future State System Safety

Oversight across 14 CFR parts

(121, 135, 145)


SL-5

Why SMS?



SL-6

– Our record is a good one.

– Why Change?

What we understand:

Safety in aviation


SL-7

Attributed to Dr. Malcolm Sparrow

Things that are illegal

Things that cause harm


SL-8

What is safety?• Freedom from harm (Dictionary)

• Safety is not equivalent to risk free (U.S. Supreme Court, 1980)

• “Risk management” is a more practical term than “safety.” (Jerome Lederer ,1928)

• “Carelessness and overconfidence are more dangerous than deliberately accepted risk”. (Wilbur Wright, 1901)

• Practical safety is risk managementrisk management


SL-9

Definition of Safety

“Safety is the state in which the risk of harm to persons or property is reduced to, and

maintained at or below, an acceptable level through a continuing process of hazard

identification and risk management”

ICAO Doc 9859


SL-10

“A systematic approach to managing safety, including the necessary

organizational structures, accountabilities, policies and procedures”.

Safety Management SystemsSafety Management Systems

ICAO Doc 9859


SL-11

SMS Purpose and Methods

Provides:– A systematic way to identify and control risk. – Assurance that risk controls remain effective.– A formal means of meeting Statutory

requirements (Title 14) – The FAA a means of evaluating an

organization’s safety management capability


SL-12

System Safety

• "The application of special technical and managerial 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


SL-13

ICAO Annex 6, Part I, International Commercial Air Transport

• “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 of the Operator…”

• FAA filed a difference with ICAO

• Currently no FAA procedures to approve or accept an SMS


SL-14

ICAO Annex 6, Part 1 (Amendment 33)

Amendment 33 “… which will become applicable 18 November 2010”

Note - The framework for a Safety Management System is contained in Appendix 7.

• 1. Safety policy and objectives• 2. Safety risk management• 3. Safety assurance• 4. Safety promotion

Applies to International Commercial Air Transport only


SL-15

ICAO Annex 6, Part II, International General Aviation Section 3

Large Reciprocating and Turbo Prop airplanes, and all aircraft with one or more turbo jet engines (Over 5700kg [12566#] or Jet)

• 3.3.2.1 “An operator shall establish and maintain a safety management system that is appropriate to the size and complexity of the operation.”

• 3.3.2.2 “Recommendation – …SMS Minimum:”– ID Hazards, assess risk– Develop & imp remedial action [to]

acceptable level of safety– Monitor & assess SM activities


SL-16

AVS FAA Aviation Safety Office Safety Program = AVS SMS

• Order 8000.369; FAA SMS Guidance• Order VS8000.367; AVS SMS Requirements

ICAO State Safety

Programme (SSP)

• Annex 6• ICAO Doc 9859, SMM

AVS LOB’s AFS Flight Standards

• Order 8000.368 FS Service Oversight • AC 120-92A; SMS for Avn. Svc. Providers• AFS Developmental Guidance

Service Providers SMS • Safety Management System


SL-17

Clarifying the “3 R’s”

Roles, Responsibilities and Relationships:

FAA’s Safety Management

(Oversight)(SAS)

Operators Operational Processes

Operator’s Safety Management

System(External SMS)

• FAA

• Service Providers

Services Provided


SL-18

Case for SMS&

Safety Fundamentals



SL-19

What is your company’s #1 objective?

Achieve its production objectives!


SL-20

Protection and Production

• Safety Requirements– Title 49 USC 44702 “…the duty of an air carrier

to provide service at the highest level of safety in the public interest”

• Economic Authority– [Proposed operation must be] “…consistent

with public convenience and necessity”– [Company must be] “…fit, willing and able to

provide the service proposed”


SL-21

Safety Management System

• Infuses safety into all parts of the system– People – Tools– Procedures– Materials– Equipment– Software

• To maintain the balance of production and protection

Management levels

Protection Production


SL-22

Annual fatal accident rate(accidents per million departures)

50

40

30

20

10

059 60 62 64 66 68 70 72 74 76 78 80 82 84 86 88 90 92 94 96 98 00 02 04 06 07

Year

U.S. and Canadian Operators Accident Rate by YearFatal Accidents-Commercial Jet Fleet – 1959 Through 2007

Adapted from Boeing (2008)

1949 British Comet

1954 Boeing

… Technical Factors

Human Factors

Organizational Factors


SL-23

Organizational Culture

Psychological

BehavioralSystem/Environment

•Industry Norms•Business Relations•Markets

•Laws/Regulations•Industry Standards

Professional NormsNational CultureValues

Practices

Performance

Decision-making


SL-24

Management and employees understanding hazards & risks

Informed Decision Making

AC 120-92

Learning: The company learns from mistakes. Staff are updated on safety issues by management.

Just: Employees must know what is acceptable & unacceptable behavior.

Reporting: All personnel freely share critical safety information.

Flexible: Organizational willingness to change.


SL-25

To Support a Sound Safety Culture:1. Senior management commitment

2. Senior management visibility

3. Safety accountability framework

4. Safety policy, goals, objectives, standards, and performance

5. Resource commitment

6. Effective employee safety reporting system

7. Safety information system


SL-26

Safety Management Strategies

Reactive(Past)

Responds to events that have

already happened, such as

incidents and accidents

Proactive(Present)

Actively identifies hazards

through the analysis of the organization’s

processes

Predictive(Future)

Analyzes system

processes and environment to

identify potential future problems

SMS

Education

Safety Management Systems (SMS) Fundamentals: Basics