Federal AviationAdministration SL-1

SMS Fundamentals

Federal AviationAdministration

Federal AviationAdministration SL-2

Safety Promotion

SMS Components (“Pillars”)

Safety Risk Management

Policy

Safety Assurance

Federal AviationAdministration SL-3

SystemAnalysis(Design)

SystemMonitoring

HazardIdent

RiskControl

RiskAssmt

RiskAnalysis

Analysis(C.O.S.)

DataAcquisition& Process

CorrectiveAction

SystemAssmt

SRM SA

Action: Problem

Resolution

Design Performance

Assessment

Analysis

SpecificInformation

Description& Context

Safety Risk Management (SRM) and Safety Assurance (SA) Workflow

Federal AviationAdministration SL-4

SRMSRM SASA

Design Performance

Understand:

•Objectives

•System

•Environment

Develop:

•Risk Controls

Monitor/ Measure:

•Risk Controls

Decision Making

Confidence:

•Risk Controls

Federal AviationAdministration SL-5

Oversight and SMS

FAA’s Safety Management

(Oversight)(SAS)

Technical Program Requirements•Systems•Subsystems•ElementsDA PA

FAAOversight Program

Management

SRM

SA

Cert C.O.S.

Surveillance

ProductionProtection

Operational Process

Operator’s Safety Management

System

Public:Users

Federal AviationAdministration SL-6

DA PA

Oversight and SMSFAA

Oversight ProgramManagement

SRM

SA

Cert C.O.S.

DA (SAI)

PA(EPI)

SAS(Future)

Federal AviationAdministration SL-7

Safety Management System

1. Identify hazards and control risk2. Provide assurance that risk controls are effective

Provides a systematic way to:

Safety Promotion(Culture)

Safety Risk Management

Policy (Structure)

Safety Assurance

Federal AviationAdministration SL-8

Policy Component

Federal AviationAdministration

SMS Details:

Policy (Structure)

Risk Management

Safety Assurance

Safety Promotion

Federal AviationAdministration SL-9

SMS Policy

• Establishes management commitment and objectives – what the management wants.

• Sets up a framework of organizational structures, accountabilities, plans, procedures, and controls to meet the objectives.

Federal AviationAdministration SL-10

Top Management Involvement

• Visible, personal involvement of top management

• Setting safety goals and objectives as policy • Allocation of resources to meet safety goals • Clear communication

Top management* stimulates a healthy safety environment

(*Top management includes accountable executive or accountable manager)

Federal AviationAdministration SL-11

Management Responsibility• Managers should manage safety in the same

way that they manage other areas of the business

• Safety management involves judgment, assessing priorities, and making decisions – like all management decision making

Federal AviationAdministration SL-12

Management Requirements• (119.65(a)): “…sufficient qualified

management and technical personnel to ensure the highest degree of safety in its operations.”

• 119.65(d)(3): [shall] “…discharge their duties to meet applicable legal requirements and to maintain safe operations.”

• The SMS provides a structured system of processes to meet these requirements.

Federal AviationAdministration SL-13

Typical Duties of Technical Management• Hazard identification

• Safety risk assessment

• Assuring the effectiveness of safety risk controls

Federal AviationAdministration SL-14

Typical Duties of Management Representative (DOS)• Facilitating hazard identification

• Safety risk analysis

• Monitoring the effectiveness of safety risk controls

Federal AviationAdministration SL-15

Safety Policy Requirements:

Federal AviationAdministration SL-16

SMS Documentation

• System documentation conveys management expectations and work instructions to employees

• May be a stand-alone manual or integrated into existing documentation systems