FAA Academy Int’l Training Federal Aviation Administration 1 2000 The MITRE Corporation. All...

2000 The MITRE Corporation. All rights reserved.

1FAA Academy Int’l Training Federal AviationAdministration 1

FAA AcademyFAA AcademyInternational TrainingInternational Training

Federal AviationAdministration

SafetySafetyManagementManagement

SystemsSystems SMS SMS ImplementationImplementation

& Tools& Tools



U.S. FAA SMS FrameworkU.S. FAA SMS Framework

• The first version of the FAA’s standards was published The first version of the FAA’s standards was published in AC 120-92, Appendix 1in AC 120-92, Appendix 1

• Each element in the U.S. standard has an associated Each element in the U.S. standard has an associated functional objective – a performance expectation of functional objective – a performance expectation of each processeach process

• AVS is publishing a similar set of standards for both AVS is publishing a similar set of standards for both internal and external SMSsinternal and external SMSs



Organization of the SMS StandardOrganization of the SMS Standard

SafetyRisk

Management(SRM) Cl. 5

SafetyPromotion(SP) Cl. 7

SafetyAssurance(SA) Cl. 6

PolicyCl. 4

Data

Analysis

Prev/CorrAction

•Audits•Invest.•Reports

Assmt

Comm

Training

RiskAnalysis

RiskAssmt

RiskControl

HazardIdent

SystemDescrip

MgmtStructure

ProcessControls

Procedures



SMS System ElementsSMS System Elements (“System 8”) (“System 8”)

8.1 Organizational Management8.1 Organizational Management (Policy)(Policy)

• 8.1.1 Organizational 8.1.1 Organizational ManagementManagement

• 8.1.2 Document & Records 8.1.2 Document & Records ManagementManagement

• 8.1.3 Emergency Response8.1.3 Emergency Response

8.2 Safety Risk Management8.2 Safety Risk Management• 8.2.1 System/Task Analysis8.2.1 System/Task Analysis• 8.2.2 Hazard Identification8.2.2 Hazard Identification• 8.2.3 Risk Analysis/ 8.2.3 Risk Analysis/

AssessmentAssessment• 8.2.4 Risk Control8.2.4 Risk Control

8.3 Safety Assurance8.3 Safety Assurance• 8.3.1 Information 8.3.1 Information

ManagementManagement• 8.3.2 System Analysis/8.3.2 System Analysis/• AssessmentAssessment• 8.3.3 Preventive/Corrective 8.3.3 Preventive/Corrective

ActionAction

8.4 Safety promotion8.4 Safety promotion• 8.4.1 Preventive/Corrective 8.4.1 Preventive/Corrective

ActionAction• 8.4.2 Process Qualification & 8.4.2 Process Qualification &

TrainingTraining



Methodology of SMS ImplementationMethodology of SMS Implementation

• Phased implementation: Phased implementation: a logical process for a logical process for building the SMSbuilding the SMS

• Management capability: Management capability: Each step in the Each step in the model will increase and strengthen model will increase and strengthen management capabilitymanagement capability

• Process based uponProcess based upon• ICAO recommendations and ICAO recommendations and • Capability Maturity Model (CMM) conceptsCapability Maturity Model (CMM) concepts



Who’s Involved in Implementation?Who’s Involved in Implementation?

• The OperatorThe Operator

• The Certificate Management Organization The Certificate Management Organization (CMO, FSDO, CHDO)(CMO, FSDO, CHDO)

• The Standardization and Assistance Team The Standardization and Assistance Team (SAT)(SAT)



SMSSMS Implementation ProcessImplementation Process

0Orientation &Commitment

2ReactiveProcesses

3ProactiveProcesses

4ContinuousImprovement

1Planning &Organization



Draft AC 120-XX ContentsDraft AC 120-XX Contents• Description of LevelsDescription of Levels

• Implementation ProcessImplementation Process

• Gap Analysis ToolGap Analysis ToolFunctional ObjectivesFunctional Objectives

Maturity RatingMaturity Rating

• Cross Reference to Detail Design Assessment Cross Reference to Detail Design Assessment Tools Tools

• Cross Reference to ICAO FrameworkCross Reference to ICAO Framework



Voluntary Implementation of SMSVoluntary Implementation of SMS

• Advisory Circular has been DraftedAdvisory Circular has been Drafted

• Process Based on AC 120-92Process Based on AC 120-92

• Interim Solution while rulemaking is ongoingInterim Solution while rulemaking is ongoing

• Award SystemAward System• Bronze:Bronze: Maturity Level 2: Risk Management Program Maturity Level 2: Risk Management Program• Silver:Silver: Maturity level 3: SMS (provisional) Maturity level 3: SMS (provisional)• Gold:Gold: Maturity Level 4: SMS Maturity Level 4: SMS



Gap AnalysisGap Analysis• Detailed briefing on the SMS standardDetailed briefing on the SMS standard

• Comparison between existing company Comparison between existing company systems and SMS requirementssystems and SMS requirements

• Summary gap analysis with SAT team supportSummary gap analysis with SAT team support

• Company performs detailed gap analysisCompany performs detailed gap analysis

Uses gap analysis tool from draft AC 120-XXUses gap analysis tool from draft AC 120-XX

Detail for analysis of SMS processes in 12 Design Detail for analysis of SMS processes in 12 Design Assessment ToolsAssessment Tools



Implementation PlanImplementation Plan

• Based on sequence in AC 120-XXBased on sequence in AC 120-XX

• Sequence can be varied to meet company and Sequence can be varied to meet company and CMT schedules and resourcesCMT schedules and resources

• Completed plan ends Level oneCompleted plan ends Level one



SMSSMS Pilot ProjectsPilot Projects

0Orientation &Commitment

2ReactiveProcesses

3ProactiveProcesses

4ContinuousImprovement

1Planning &Organization

Phase 1:

Readiness

Phase 2:

Experience



SMS Guidance and ToolsSMS Guidance and Tools

• SMS Standard: AC 120-92 Appendix 1SMS Standard: AC 120-92 Appendix 1• ISO 9001/14001 FormatISO 9001/14001 Format

• Gap Analysis/Audit Summary ToolGap Analysis/Audit Summary Tool• Based on specific objectives related to each subclause of the Based on specific objectives related to each subclause of the

standardstandard• Detailed assessment toolsDetailed assessment tools

• Format of ATOS SAIsFormat of ATOS SAIs• SMS GuidebooksSMS Guidebooks

• Format of ISO 9004Format of ISO 9004• AC 120-XX (Draft) Voluntary SMS ImplementationAC 120-XX (Draft) Voluntary SMS Implementation



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

Contact:Contact:

AFS SMS Program OfficeAFS SMS Program Office

Don Arendt, Ph.D., ManagerDon Arendt, Ph.D., Manager(703) 661-0516(703) 661-0516

(703)338-7746(703)338-7746

[email protected]@faa.gov

Wilbur Wright gliding, 1901Photographs: Library of Congress



Backup SlidesBackup Slides



Level Zero: Orientation and Level Zero: Orientation and CommitmentCommitment

• Outreach presentationsOutreach presentations

• Understanding what’s aheadUnderstanding what’s ahead

• Establishing the relationshipEstablishing the relationship

• Securing the commitment from top Securing the commitment from top managementmanagement



Level 1: Planning & OrganizationLevel 1: Planning & Organization Charting the Course Charting the Course

• The Gap Analysis: Evaluating existing The Gap Analysis: Evaluating existing processes, programs, and practices for safety processes, programs, and practices for safety managementmanagement

• The Implementation PlanThe Implementation Plan

• Organizing for ImplementationOrganizing for Implementation



Level 2: Reactive ProcessesLevel 2: Reactive Processes Basic Risk Management Basic Risk Management

• Setting up the Setting up the information infrastructureinformation infrastructure and processes and processes

• Going after known problems: Reactive Going after known problems: Reactive Hazard Hazard IdentificationIdentification

• Designing and implementing Designing and implementing risk controlsrisk controls

• DocumentationDocumentation

• TrainingTraining• General initial trainingGeneral initial training• Specialist trainingSpecialist training



Level 3: Proactive ProcessesLevel 3: Proactive Processes Looking Ahead Looking Ahead• System and task analysisSystem and task analysis of the operational of the operational

(production) systems(production) systems

• Proactive Hazard identificationProactive Hazard identification

• Updating:Updating:• the risk controlsthe risk controls• Updating the documentationUpdating the documentation• Additional specialist trainingAdditional specialist training



Level 4: Continuous ImprovementLevel 4: Continuous Improvement Continued Assurance Continued Assurance

• Mature safety assurance processMature safety assurance process• Analysis of dataAnalysis of data• System performance assessmentSystem performance assessment• Corrective/Preventive action: Maintaining the Corrective/Preventive action: Maintaining the

controlscontrols• Identifying new and emerging hazardsIdentifying new and emerging hazards

• Management Reviews: Formal involvementManagement Reviews: Formal involvement

• Documentation & Training as requiredDocumentation & Training as required



Level 4: Continuous ImprovementLevel 4: Continuous Improvement

• This is the final stage of maturity of the SMSThis is the final stage of maturity of the SMS

• Continuous improvement is based on:Continuous improvement is based on:• ContinuousContinuous risk management risk management, and, and• Continuous Continuous safety assurancesafety assurance



Summary Audit/Gap Analysis Tool Summary Audit/Gap Analysis Tool

No action = 0 Action

initiated=1

Implemented=2

Integrated=3Evaluated and Sustained=4

State of Art=5



Assessment ToolsAssessment Tools

• Utilizes ATOS SAI format

• Each has functional objective - expectations and outcomes

• Questions in the procedures section of each element are based on specific requirements in the standard

• Requirements evaluated using assessment scales that measure level of conformance with each requirement

0 – No action 1 – Action initiated2 – Implemented3 – Integrated4 – Evaluated and Sustained5 – State of Art



Example: Design Assessment ToolExample: Design Assessment Tool



Example: Design Assessment Tool: DetailExample: Design Assessment Tool: Detail

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