The Human Factors Components of a Safety Management System: The US Perspective Dr. William B. Johnson Chief Scientific & Technical Advisor for Human Factors in A/C Maintenance Systems The Complexity of Aviation Safety Management: Putting Ideas into Practice – International Conference Hong Kong October 16 – 17, 2007 Federal Aviation Administration

Federal Aviation Administration 1 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, Agenda Obligatory SMS Flow Carts Fitting Human Factors Activities to the SMS Puzzle Selected Current FAA Human Factors Activities Future International Human Factors Challenges Discussion (Time Permitting)

Federal Aviation Administration 2 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, Agenda Obligatory SMS Flow Carts Fitting Human Factors Activities to the SMS Puzzle Selected Current FAA Human Factors Activities Future International Human Factors Challenges Discussion (Time Permitting)

Federal Aviation Administration 3 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, Safety Policy Risk Management Safety Assurance Safety Promotion Formal process to assess & manage risk CULTURE & VALUES INTEGRATION SAFETY MANAGEMENT SYSTEM Clearly stated goals for SMS Monitor and feedback loop Actions to reinforce a positive safety culture

Federal Aviation Administration 4 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, Pieces to the SMS Policy Risk Mgmt. Assurance Promotion

Federal Aviation Administration 5 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, Agenda Obligatory SMS Flow Carts Fitting Human Factors Activities to the SMS Puzzle Selected Current FAA Human Factors Activities Future International Human Factors Challenges Discussion (Time Permitting)

Federal Aviation Administration 6 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, SMS Policy and Human Factors Policy Sincere integration of HF and SMS Activity SMS policy, process, and plans must explicitly address HF issues Describe, in detail, how: HF personnel will serve in SMS planning The process for collecting and using HF data How HF data will be assessed for risk How HF performance change will be assessed How HF will be promoted with other SMS initiatives

Federal Aviation Administration 7 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, Risk Management and Human Factors Risk Management Describe System Identify Hazards Analyze Risk Assess Risk Control Risk Establish event report system Include written discipline policy Establish event data analysis system Identify challenges, correct them, monitor them HF personnel have been promoting this for 20 years!

Federal Aviation Administration 8 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, Safety Assurance and Human Factors Safety Assurance Let event report be the basis for assurance Consider LOSA for maintenance Implement HF Auditing system Incorporate HF Training into assurance loop

Federal Aviation Administration 9 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, Safety Promotion and Human Factors Safety Promotion Cultivate the safety culture Promote SMS in HF Activities Promote HF in SMS Safety is people and process oriented Use event reporting to promote communication up and down the company

Federal Aviation Administration 10 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, Agenda Obligatory SMS Flow Carts Fitting Human Factors Activities to the SMS Puzzle Selected Current FAA Human Factors Activities Future International Human Factors Challenges Discussion (Time permitting)

Federal Aviation Administration 11 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, Selected FAA Activities International Survey of HF Completion of 2 Operator’s Manuals for HF Maintenance Airport Services Aviation Safety Action Program Support Action on HF Rulemaking Training Initiatives for Aviation Safety Inspectors

Federal Aviation Administration 12 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, Survey Goals and Methods Purpose: Assess international status of maintenance HF Look at: HF programs, fatigue management, error management, and training. Comparison: Compare by regulators, Does it make a difference if there is a rule? Distribution: Online survey (80 items) to 630 addresses.

Federal Aviation Administration 13 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, Respondent Country and Experience 54 Countries 414 Total Respondents (66% response rate) 200 Organizations (Estimated based on 66%) Experience: 65% > 20 yrs. maintenance experience

Federal Aviation Administration 14 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, Responding Countries Argentina 4 Australia 19 Austria 1 Bahrain 1 Belgium 3 Bolivia 3 Brazil 3 Canada 36 Chile 3 China 3 Columbia 3 Cyprus 1 Denmark 1 Ecuador 1 El Salvador 1 Finland 1 France 3 Germany 6 Greece 10 Greenland 1 Guatemala 2 Hong Kong 6 Hungary 1 Ireland 2 Italy 1 Japan 3 Korea 2 Kuwait 1 Luxembourg 1 Malaysia 6 Malta 1 Mexico 4 Netherlands 2 New Zealand 3 Norway 12 Panama 4 Peru 1 Philippines 4 Poland 1 Portugal 2 Romania 1 Singapore 12 Slovenia 1 South Africa 5 Spain 8 Sweden 4 Switzerland 4 Taiwan 9 Thailand 1 Turkey 1 United Arab Emirates 3 United Kingdom 29 United States 160 Venezuela 3

Federal Aviation Administration 15 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, What type of Maintenance Organization?

Federal Aviation Administration 16 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, Summary Findings Worker safety, flight safety, regulatory compliance are important motivators when implementing an HF program Transport Canada and EASA countries have the most robust programs. Strong regulations promote strong HF programs. Fatigue issues are perceived to be important but little action. When companies have programs they are similar. Companies record event data but do not use it enough.

Federal Aviation Administration 17 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, Reference Manuals

Federal Aviation Administration 18 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, Selected FAA Activities International Survey of HF Completion of 2 Operator’s Manuals for HF Maintenance Airport Services Aviation Safety Action Program (ASAP) Action on HF Rulemaking Training Initiatives for Aviation Safety Inspectors

Federal Aviation Administration 19 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, A Training Tool for FAA Inspectors (Time permitting)

Federal Aviation Administration 20 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Human Factors Spectacles Movie

Federal Aviation Administration 21 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, Agenda Obligatory SMS Flow Carts Fitting Human Factors Activities to the SMS Puzzle Selected Current FAA Human Factors Activities Future International Human Factors Challenges Discussion (Time Permitting)

Federal Aviation Administration 22 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, Continued outreach & regulatory cooperation Creation of Mx audit tools Address issues of HF on new technologies Multi-faceted approaches to studying maintenance fatigue Future Challenges (1 of 2)

Federal Aviation Administration 23 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, Extending HF attention to Airport Operations. Support and capitalize on voluntary reporting system data Measurement of HF initiatives Future Challenges (2 of 2)

Federal Aviation Administration 24 of 24 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, Summary Obligatory SMS Flow Carts Fitting Human Factors Activities to the SMS Puzzle Selected Current FAA Human Factors Activities Future International Human Factors Challenges Discussion (Time Permitting) Thank you