2009 SMS Pilot Project (SMSPP) Analysis - FAA
2009 SMS Pilot Project (SMSPP) Analysis - FAA
2009 SMS Pilot Project (SMSPP) Analysis - FAA
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The <strong>FAA</strong> has not yet defined the details of how to oversee the D&M organizations’ <strong>SMS</strong>, and<br />
this is a critical future task for AIR-150 and the Part 21/<strong>SMS</strong> Aviation Rulemaking Committee<br />
(ARC). However, the M<strong>SMS</strong> team recommends that defining oversight of an <strong>SMS</strong> should not<br />
contain specific or detailed instructions, but incorporated into the oversight of an organization as<br />
a whole. <strong>SMS</strong> is not intended to be a stand-alone process, but part of a company’s everyday<br />
business process. Additionally, <strong>SMS</strong> is performance-based; therefore, it will take time for the<br />
<strong>SMS</strong> results to be realized. Establishing oversight of <strong>SMS</strong> includes auditing for compliance.<br />
However, this method will be phased out as the <strong>FAA</strong> moves toward performance-based<br />
oversight.<br />
3-6 Three Options for <strong>FAA</strong> Rules and Actions with Varying Levels<br />
of <strong>SMS</strong> Scalability and Applicability<br />
The M<strong>SMS</strong> team discussed the following options regarding applicability of a future <strong>SMS</strong><br />
regulation to D&M organizations. The team also discussed the possibility of scaling certain<br />
aspects of <strong>SMS</strong> standards to accommodate the different sizes and complexities of D&M<br />
organizations.<br />
Scalability must allow for small organizations to tailor their <strong>SMS</strong> procedures and processes to<br />
the complexity and criticality of their products. The <strong>FAA</strong> already has experience in approving<br />
production approval holder’s quality systems that are scaled to the size and complexity of the<br />
company and criticality of their products.<br />
The M<strong>SMS</strong> team recommends the first of the three following considerations as the most<br />
desired option for applicability. Our main objective is to align <strong>FAA</strong> actions with the ICAO<br />
standard.<br />
M<strong>SMS</strong> Team’s Recommendation and Consideration 1: Aligning with ICAO Requirements<br />
for aircraft manufacturers (TC and PC Holders) Only<br />
Applicability of any future <strong>SMS</strong> rule involving D&M organizations would directly align with<br />
ICAO requirements. For example, the <strong>SMS</strong> rule would apply to aircraft manufacturers only as<br />
ICAO currently recommends. ICAO is currently discussing the possibility of expanding the<br />
applicability to include engines, and possibly propellers. If ICAO includes those two areas in an<br />
updated requirement, then the <strong>FAA</strong> should align with those requirements to minimize disparity<br />
in how the individual authorities oversee the implementation of <strong>SMS</strong> standards.<br />
If the <strong>FAA</strong> decides to apply <strong>SMS</strong> only to aircraft (and possibly engines and propeller)<br />
manufacturers as currently proposed by ICAO, then all aspects of the proposed part 5 would be<br />
applicable, with the exception of any requirement(s) specifically addressing part 121 operations.<br />
These could be listed as exclusions in part 21 requirements.<br />
If the cost benefit analysis does not support a rule for all applicants, holders of design and<br />
production certificates, and approvals for those that fall within the hazard definition, then the<br />
<strong>FAA</strong> should only apply an <strong>SMS</strong> rule to those types of companies identified by ICAO. Limiting<br />
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