SMS Fundamentals

1. Federal Aviation Administration SMS Fundamentals

2. SMS Components (“Pillars”) Safety Promotion Policy Safety Assurance Safety Risk Management

3. Safety Risk Management (SRM) and Safety Assurance (SA) Workflow Description & Context Hazard Ident Data Acquisition & Process Specific Information Risk Analysis Analysis Analysis Risk Assmt System Assmt (C.O.S.) Assessment Risk Control Corrective Action SRM SA System Analysis (Design) System Monitoring Action: Problem Resolution Design Performance

4. SRM SA • Understand: • Objectives • System • Environment • Monitor/ Measure: • Risk Controls Decision Making • Develop: • Risk Controls • Confidence: • Risk Controls Design Performance

5. DA FAA’s Safety Management (Oversight) (SAS) PA Public: Users S R M S A Operator’s Safety Management System Operational Process Oversight and SMS FAA Oversight Program Management Protection Production • Technical Program Requirements • Systems • Subsystems • Elements Surveillance Cert C.O.S.

6. DA DA (SAI) PA S R M S A PA(EPI) Oversight and SMS FAA Oversight Program Management SAS (Future) Cert C.O.S.

7. Policy (Structure) Safety Assurance Safety Risk Management Safety Promotion (Culture) Safety Management System Provides a systematic way to: • Identify hazards and control risk • Provide assurance that risk controls are effective

8. Policy (Structure) Risk Management Safety Assurance Safety Promotion Federal Aviation Administration SMS Details: Policy Component

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.

10. Top Management Involvement Top management* stimulates a healthy safety environment • Visible, personal involvement of top management • Setting safety goals and objectives as policy • Allocation of resources to meet safety goals • Clear communication (*Top management includes accountable executive or accountable manager)

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

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.

13. Typical Duties of Technical Management • Hazard identification • Safety risk assessment • Assuring the effectiveness of safety risk controls

14. Typical Duties of Management Representative (DOS) • Facilitating hazard identification • Safety risk analysis • Monitoring the effectiveness of safety risk controls

15. Safety Policy Requirements:

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