Federal Aviation Administration The Human Factors Components of

Federal Aviation Administration 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

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) The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Federal Aviation 1 Administration 1 of 24

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) The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Federal Aviation 2 Administration 2 of 24

Monitor and feedback loop Safety Promotion Formal process to assess & manage risk Safety Assurance Clearly stated goals for SMS Risk Management Safety Policy SAFETY MANAGEMENT SYSTEM INTEGRATION Actions to reinforce a positive safety culture CULTURE & VALUES The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Federal Aviation 3 Administration 3 of 24

Pieces to the SMS Risk Mgmt. Policy Assurance Promotion The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Federal Aviation 4 Administration 4 of 24

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) The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Federal Aviation 5 Administration 5 of 24

SMS Policy and Human Factors • Sincere integration of HF and SMS Activity Policy • 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 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Federal Aviation 6 Administration 6 of 24

Risk Management and Human Factors Describe System Identify Hazards Analyze Risk Assess Risk Control Risk • Establish event report system Risk Management • Include written discipline policy • Establish event data analysis system • Identify challenges, correct them, monitor them • HF personnel have been promoting this for 20 years! The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Federal Aviation 7 Administration 7 of 24

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 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Federal Aviation 8 Administration 8 of 24

Safety Promotion and Human Factors • Cultivate the safety culture • Promote SMS in HF Activities Safety Promotion • Promote HF in SMS • Safety is people and process oriented • Use event reporting to promote communication up and down the company The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Federal Aviation 9 Administration 9 of 24

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) The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Federal Aviation 10 10 of 24 Administration

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 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Federal Aviation 11 11 of 24 Administration

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. The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Federal Aviation 12 12 of 24 Administration

Respondent Country and Experience 54 Countries 414 Total Respondents (66% response rate) 200 Organizations (Estimated based on 66%) Experience: 65% > 20 yrs. maintenance experience The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Federal Aviation 13 13 of 24 Administration

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 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 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 14 14 of 24 Administration

What type of Maintenance Organization? The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Federal Aviation 15 15 of 24 Administration

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. The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Federal Aviation 16 16 of 24 Administration

2 Reference Manuals www. hfskyway. com The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Federal Aviation 17 17 of 24 Administration

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 The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Federal Aviation 18 18 of 24 Administration

A Training Tool for FAA Inspectors (Time permitting) The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Federal Aviation 19 19 of 24 Administration

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

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) The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Federal Aviation 21 21 of 24 Administration

Future Challenges (1 of 2) • Continued outreach & regulatory cooperation • Creation of Mx audit tools • Address issues of HF on new technologies • Multi-faceted approaches to studying maintenance fatigue The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Federal Aviation 22 22 of 24 Administration

Future Challenges (2 of 2) • Extending HF attention to Airport Operations. • Support and capitalize on voluntary reporting system data • Measurement of HF initiatives The Complexity of Aviation Safety Management: Putting Ideas into Practice Hong Kong October 16 – 17, 2007 Federal Aviation 23 23 of 24 Administration

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