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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
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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
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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
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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)
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Why SMS?
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– Our record is a good one.
– Why Change?
What we understand:
Safety in aviation
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Attributed to Dr. Malcolm Sparrow
Things that are illegal
Things that cause harm
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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
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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
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“A systematic approach to managing safety, including the necessary
organizational structures, accountabilities, policies and procedures”.
Safety Management SystemsSafety Management Systems
ICAO Doc 9859
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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
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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
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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
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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
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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
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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
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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
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Case for SMS&
Safety Fundamentals
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What is your company’s #1 objective?
Achieve its production objectives!
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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”
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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
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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
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Organizational Culture
Psychological
BehavioralSystem/Environment
•Industry Norms•Business Relations•Markets
•Laws/Regulations•Industry Standards
Professional NormsNational CultureValues
Practices
Performance
Decision-making
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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.
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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
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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