2009 SMS Pilot Project (SMSPP) Analysis - FAA

Executive Summary
The purpose of the pilot project was to work collaboratively with a group of design and
manufacturing (D&M) organizations to develop a common understanding of Safety Management
Systems (SMS) and their application within a D&M environment. The pilot project would
provide experience and information to guide future FAA rulemaking decisions regarding
application of SMS to D&M organizations.
In October 2009, the Aircraft Certification Service (AIR) chartered a team to conduct an SMS
pilot project and to develop appropriate SMS materials in support of the project. The team
consisted of representatives from AIR engineering and manufacturing inspection offices and
included contractors experienced in aviation, engineering, manufacturing, and SMS. This team
was called the Manufacturers Safety Management System (MSMS) team and was chartered to
research various SMS documents/papers/literature from academia, industry, and international
regulatory agencies, such as International Civil Aviation Organization (ICAO). The team also
received input from members of the 2009 AVS-supported SMS Aviation Rulemaking Committee
(ARC).
The MSMS team created an SMS framework along with guidance and tools to align with ICAO
SMS recommendations. Subsequent revisions were made to the D&M SMS framework to
improve alignment with the part 5 Notice for Proposed Rulemaking (NPRM). Tracking tools
were developed to gather pilot project information and data. Many aspects of the SMS
framework, guidance material, and assessment tools were validated by the MSMS team through
feedback from participating companies.
Eleven companies representing the breadth of organizations that AIR oversees participated in the
pilot project. These organizations varied in terms of size, the products they created, and the type
of approvals they held. The companies were at various levels of SMS maturity at the end of
2012.
Two primary recommendations are: (1) Any FAA rulemaking decisions involving application of
SMS to D&M organizations should align with ICAO requirements, (2) Future oversight models
should be predicated on performance of the D&M organization instead of conducting specific
SMS and certificate management oversight.
Some key areas of learning from the project are:
• Industry organizations vary widely in their understanding of SMS objectives and how to
implement SMS with existing processes and procedures. The pilot project provided the
FAA and industry with a unique opportunity to develop a stronger common
understanding of SMS knowledge.
• The pilot project was an important activity to undertake. Consideration should be given to
how pilot projects could be used in the future in other areas to help advance a more
common understanding across industry and in advance of key industry and agency
decisions.
0