State safety policy, objectives and resources
Liberty University
AVIA 409 - Safety Management Systems
Professor: Andrew Walton
2022
The State safety policy, objectives, and resources component defines how the U.S. will
manage safety throughout its aviation system. This includes the determination of
responsibilities and accountabilities of the different State organizations related to the SSP, as
well as the determination of the broad safety objectives to be achieved by the SSP.
The State safety policy and objectives provide management and personnel explicit policies,
directions, procedures, management controls, documentation, and corrective action processes
that keep the safety management efforts of the State’s civil aviation authority, and other State
organizations, on track. This enables the U.S. to provide safety leadership in an increasingly
complex and continuously changing air transportation system. The U.S. safety objectives are as
follows:
Ensure that the U.S. safety system as a whole works effectively and that key players are
working together in the interests of safety.
Ensure U.S. safety regulatory and investigatory agencies remain world leading and have the
skills and capabilities to maintain safety.
Build on today’s proactive accident prevention programs by adopting new tools and metrics
to further anticipate potential sources of risk, to identify and mitigate accident precursors and
contributors, and strategically manage safety resources for maximum safety improvement in
a cost-effective manner.
Build on safety management principles to proactively address emerging safety risk by using
consistent, data-informed approaches to make smarter, system-level, risk-based decisions
throughout U.S. aviation agencies, with industry, and with global stakeholders.
Collaborate with domestic and international stakeholders to encourage cooperation for the
open reporting of safety concerns and improved information sharing.
Increase safety and efficiency by taking advantage of the growing availability of safety data
and the development of additional analytical capabilities to systematically integrate the
management of safety risk into decision making.
Focus safety management activities toward higher risk areas and refine safety oversight
models to prioritize safety inspection efforts based on risk.
Collaborate with the international aviation community to achieve smarter regulation for
safety and cost-effective measures to achieve sustainable aviation.
The FAA reports annually on achieving specific measures and targets related to the
aforementioned objectives in FAA Performance and Accountability Reports.4 The following
policy statement1F 5 captures the U.S. commitment to the industry and to the international
community on how it will approach the management of safety to achieve these objectives.
State Safety Program Policy Statement
The FAA promotes and regulates the safety of aviation in the U.S. The FAA is committed to
developing, implementing, and consistently improving strategies and processes so that U.S. civil
aviation achieves the highest practicable level of safety. To this end the FAA will:
Set national standards that meet or exceed ICAO standards, recommended practices, and
procedures, except where different standards are necessary in the U.S. for specific
operational purposes;
Adopt a data-informed and performance-based approach in safety regulation and
industry oversight activities where appropriate;
Identify safety trends within the aviation industry and adopt a risk-based approach to
address areas of greater safety concern or need;
Monitor and measure the safety performance of the aviation system continuously
through U.S. aggregate safety indicators and service providers’ safety performance
indicators, as well as the result of performance-based and compliance-oriented oversight
activities;
Collaborate and consult with the aviation industry to address safety matters and
continuously enhance aviation safety;
Promote good safety practices and a positive organizational safety culture within industry
and U.S. organizations based on sound safety management principles;
Encourage safety information collection, analysis, and exchange amongst all relevant
industry organizations and service providers, with the intent that such information is to be
used for safety management purposes only;
Prioritize sufficient financial and human resources for safety management and oversight;
and Hire and equip staff with proper skills and expertise to discharge their safety
oversight and management responsibilities competently.
The NTSB assures compliance with U.S. obligations under ICAO Annex 13 (Aircraft Accident
and Incident Investigation). The NTSB is committed to independently investigating every civil
aviation accident in the U.S. and issuing safety recommendations aimed at preventing future
accidents. To this end, the NTSB will:
Collaborate with the aviation industry to address safety matters and continuously
enhance aviation safety;
Promote good safety practices and a positive organizational safety culture within the
industry based on sound safety management principles;
Prioritize sufficient financial and human resources for accident and incident
investigations; and
Equip staff with proper skills and expertise to discharge their accident and incident
investigation responsibilities competently.
Although the FAA Administrator is the Responsible Executive who represents the U.S.
regarding commitments made in the name of the U.S., this U.S. SSP document is signed by
both the FAA Administrator and the NTSB Chairperson and represents the U.S. SSP policy. The
FAA and NTSB will communicate this policy, with visible endorsement, throughout the FAA and
the NTSB, and will conduct periodic reviews to ensure it remains relevant and appropriate to
the U.S. aviation system.
1.1 Primary Aviation Legislation
A national aviation safety legislative framework and specific regulations define how the U.S.
conducts the oversight and management of aviation safety in the U.S. As such, legislation and
regulations are safety risk controls. The safety legislative framework and specific regulations are
periodically reviewed to ensure they remain relevant and appropriate to the U.S.
1.1.1 United States Legislative System
U.S. federal government agencies, including the FAA, are under the auspices of the executive
branch, but receive statutory authority to issue regulations from laws enacted by the legislative
branch (U.S. Congress). An agency may not take action that goes beyond its statutory authority.
The Administrative Procedure Act (APA),2F 6 enacted June 11, 1946, requires agencies to
inform
the public of organization, procedures, and rules; and allow for public participation in the
rulemaking process. Thus, agencies must follow an open, public process when issuing rules
consistent with their statutory authority. Generally, prior to issuing a final rule, the APA
requires agencies to publish a notice of proposed
rulemaking in the Federal Register describing the proposed rulemaking7 and inviting public
comment on the proposal.3 F 8 After the comment period closes and the agency has reviewed
and
considered comments received, the agency may issue a final rule. A final rule must describe the
basis and purpose of the rule and be published in the Federal Register. In limited circumstances,
the APA allows agencies to forgo the notice and comment process prior to issuing a final rule
when there is good cause to do so. The "good cause" exception in the APA allows agencies to
forgo public notice and comment prior to issuing a rule when notice and comment would be
impracticable, unnecessary, or contrary to the public interest.
1.1.2 United States Aviation Legislation
Aviation statutory authorities in the U.S. are set forth primarily in Title 49 of the United States
Code. The U.S. Congress periodically reauthorizes aviation programs providing authority for
appropriations over a several year period. Reauthorization legislation also generally creates
new aviation programs and amends existing programs to create efficiencies, reduce waste, and
improve aviation safety and capacity. The reauthorization process helps to ensure stable
funding for the national aviation system and ensures that executive branch agencies are
accountable for continuous assessment and improvement in carrying out aviation programs.
Below is a brief history of aviation legislation in the U.S.
The Federal Aviation Act of 19587F 10 created the independent Federal Aviation Agency
and
transferred the functions of the Civil Aeronautics Authority to this new agency. The Act
empowered the Federal Aviation Agency to oversee and regulate safety of civil aviation and to
provide for the safe and efficient use of the U.S. airspace by both military and civilian aircraft.
The Act transferred safety rulemaking to the new Federal Aviation Agency and gave the Federal
Aviation Agency sole responsibility for a common civil-military system of air navigation and air
traffic control (ATC).
In 1966, with the Department of Transportation Act, Congress authorized the creation of a
cabinet department that would combine major Federal transportation responsibilities into a
single department to develop and carry out comprehensive transportation policies and
programs
across all transportation modes.8F
11 This new Department of Transportation (DOT) began
operations on April 1, 1967. On that day, the Federal Aviation Agency became one of several
modal organizations within DOT and received a new name, the Federal Aviation Administration.
The Department of Transportation Act also transferred the Civil Aeronautics Board's accident
investigation function to the new NTSB.9F
12 With the passage of the Airport and Airway Development Act of 1970, the FAA was
placed in
charge of a new airport aid program funded by a special aviation trust fund and was made
responsible for safety certification of airports served by air carriers.1 0 F
13 The Hazardous Materials Transportation Act, 49 USC 5101 et seq., grants the DOT
authority to
regulate the transportation of dangerous goods by all modes. While the Pipeline and Hazardous
Materials Safety Administration (PHMSA) has authority to promulgate the dangerous goods
regulations for all transportation modes, the FAA has authority to oversee compliance with
these
regulations by certificated entities and shippers of dangerous goods via aircraft. Aviation
legislation was recodified in 1994, with the enactment of Pub. L. 103-272 (July 5, 1994). This
action, in part, superseded the Federal Aviation Act of 1958.
In April 2000, the President signed into law the Wendell H. Ford Aviation Investment and
Reform Act for the 21st Century, which contained a provision mandating the appointment of a
chief operating officer for the ATO.11F 14 In December 2000, with Executive Order (EO) 13180,
Air
Traffic Performance-Based Organization, the President directed the FAA to create a
performance-based organization that focused on further improving the provision of air traffic
services in ways that increase efficiency, take better advantage of new technologies, accelerate
modernization efforts, and respond effectively to the needs of the traveling public, while
enhancing the safety, security, and efficiency of the U.S. air transportation system.
The tragic events of September 11, 2001, radically changed the FAA. On November 19, 2001,
the President signed the Aviation and Transportation Security Act, which among other
provisions, established a new agency responsible for aviation security within DOT—the
Transportation Security Administration (TSA).
12F 15 FAA remained responsible for aviation security
until February 13, 2002, when TSA took over those responsibilities. The November 2002,
passage of the Homeland Security Act1 3 F 16 moved TSA into the new Department of
Homeland
Security (DHS) on March 1, 2003. The Vision 100—Century of Aviation Reauthorization Act,
signed into law in December 2003, endorsed the concept of a Next Generation Air
Transportation System (NextGen).1 4 F 17 The following month, the DOT Secretary announced
plans for a new, multi-year, multi-agency effort to develop an air transportation system for the
year 2025 and beyond. The Secretary
subsequently established a Joint Planning and Development Office (JPDO) at the FAA
composed of representatives from FAA, National Aeronautics and Space Administration
(NASA), the Departments of Transportation, Defense, Homeland Security, and Commerce, and
the White House Office of Science and Technology Policy to create and carry out an integrated
plan for NextGen. On December 15, 2004, DOT unveiled the Integrated Plan for the Next
Generation Air Transportation System, which laid out goals, objectives, and requirements
necessary to create the NextGen system.
In August 2010, Congress passed the Airline Safety and FAA Extension Act, which directed
the
FAA through legislation to change requirements to improve pilot rest requirements, establish
better processes for managing safety risk, and advance voluntary safety programs.
On February 14, 2012, the President signed the FAA Modernization and Reform Act of
2012,16F which modernized the nation's aviation system. The law provided $63.4 billion in FAA
funding
over four years, including about $11 billion toward the modernization of the ATC system. The
law set the stage for major advancements in the aviation industry, and improved airline safety
and set the course for a more efficient U.S. air transportation system. The FAA Extension,
Safety, and Security Act of 2016 included important safety and security additions, including the
development of a cybersecurity framework to reduce cybersecurity risks to the NAS, a pilot
project to detect and mitigate unauthorized operation of unmanned aircraft around airports
and other critical infrastructure, as well as changes to the hiring process for air traffic
controllers.
References
20 FAA Extension, Safety, and Security Act of 2016:
https://www.congress.gov/114/plaws/publ190/PLAW-114publ190.pdf. Accessed
February 22, 2021.
21 Additional information on 14 CFR can be found on the U.S. Government Printing Office
website:
https://www.govinfo.gov/app/details/CFR-2004-title14-vol1. Accessed February 22, 2021.
22 Dangerous Goods regulations can be found in 49 CFR parts 100-185:
http://www.ecfr.gov/cgi-bin/text-idx?SID=1d6ba49dd2173fcde628f46ee295ddc1&tpl=/
ecfrbrowse/Title49/49tab_02.tpl. Accessed February 22, 2021.
