Federal Aviation

Administration

SMS
Fundamentals

Federal Aviation SL-1

Administration
SMS Components (“Pillars”)

Policy

Safety Risk Safety

Management Assurance

Safety Promotion

Federal Aviation SL-2

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

SRM SA
Description
System
Analysis
System & Context
Monitoring
(Design)

Data Specific
Hazard
Acquisition
Ident
& Process Information

Risk
Analysis Analysis
Analysis

Risk System
Assmt
Assessment
Assmt (C.O.S.)

Action:
Risk Corrective
Control Action
Problem
Resolution
Federal Aviation SL-3
Administration
Design Performance
 SRM SA
Understand: Monitor/
•Objectives Measure:
•Risk
•System
Controls
•Environment

Decision
Making

Develop: Confidence:
•Risk •Risk
Controls Controls
Federal Aviation SL-4
Administration
Design Performance
Oversight and SMS
FAA
Oversight Program Protection Production
Management
Technical Program Requirements
FAA’s Safety •Systems
Management •Subsystems
DA PA (Oversight) •Elements
(SAS)

Surveillance

S
S Operator’s Safety Public:
R
A Management Operational Users
M System Process

Cert C.O.S.

Federal Aviation SL-5

Administration
Oversight and SMS
FAA
Oversight Program
Management

DA PA DA (SAI)

SAS
(Future)
S
S
R
A
M

PA(EPI)
Cert C.O.S.

Federal Aviation SL-6

Administration
Safety Management System
Provides a systematic way to:
1. Identify hazards and control risk
2. Provide assurance that risk controls are effective

Policy
(Structure)

Safety Risk Safety

Management Assurance

Safety Promotion
(Culture)

Federal Aviation SL-7

Administration
 Federal Aviation
Administration

SMS Details:
Policy
Component
Policy
(Structure)

Risk Safety
Management Assurance

Safety
Promotion

Federal Aviation SL-8

Administration
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 Aviation SL-9

Administration
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)

Federal Aviation SL-10

Administration
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 Aviation SL-11

Administration
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 Aviation SL-12

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

Federal Aviation SL-13

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

Federal Aviation SL-14

Administration
Safety Policy Requirements:

Federal Aviation SL-15

Administration
SMS Documentation

• System documentation conveys

management expectations and work
instructions to employees
• May be a stand-alone manual or
integrated into existing documentation
systems

Federal Aviation SL-16

Administration