Federal Aviation

Administration
SMS Details:

Safety Assurance
Component
Policy
(Structure)

Risk Safety
Management Assurance

Safety
Promotion

Federal Aviation SL-1

Administration
 Objective of Safety Assurance
• Assurance:
“something that gives
confidence”1
• Safety Assurance:
“something that gives
confidence in safety
risk controls.”
1 Black’s Law Dictionary

Federal Aviation SL-2

Administration
Safety Assurance Functions:
• Collect and analyze information to
determine that process requirements are
continuously being met.
• Assess performance and effectiveness
of risk controls.
• Works in partnership with Safety Risk
Management (SRM).

AC 120-92

Federal Aviation SL-3

Administration
S.A. is similar to Q.A.

• QA focuses on product conformity & customer

satisfaction on a continuous basis.

• SA ensures that risk controls, once designed and

put to place, perform in a way that continue to
meet their safety objectives.

• Integration of management systems may be

beneficial.
AC 120-92

Federal Aviation SL-4

Administration
 System

System Monitoring Operation

Data
Acquisition
& Process

Written documentation to describe: Analysis

System

Who, What, When, Where, Why, How Assmt

Preventive/
Corrective
The system monitoring includes: Action

1) System description, including risk controls

added during SRM. This forms the basis for
SA functions such as audits and analysis.
2) Monitoring of risk controls during operations,
AC 120-92

Federal Aviation SL-5

Administration
 System

Data Acquisition and Processing Operation

Data
Acquisition
& Process

Types of Data Sources Analysis

System

1. Continuous Monitoring Assmt

Preventive/
2. Internal Audits Corrective
Action

3. Internal Evaluation
4. External Audits
5. Investigations
6. Employee Reporting Systems

SMS Framework Elements 3.1.1 through 3.1.6

Federal Aviation SL-6

Administration
Continuous Monitoring
System
Operation

Data
Acquisition
& Process
Where SRM and SA interface - risk controls
Analysis

Line managers of operational departments: System

Assmt

Preventive/

• Accomplish continuous monitoring of Corrective

Action

day-to-day activities & processes

• Have direct responsibility for process
control
• Must ensure that processes in their
areas function as designed.

Federal Aviation SL-7

Administration
Continuous Monitoring
- Operational Data Sources
• Flight dispatch records
• Flight schedules
• Financial data
• Crew schedules and records
• Warranty return reports
• Aircraft discrepancy reports
• Flight cancellation and delay
reports
Federal Aviation SL-8
Administration
Internal Audits
System
Operation

Data
Acquisition

The day-to-day responsibility for safety & Process

management rests with those who “own” the Analysis

technical processes. System

Assmt

Preventive/

This is where: Corrective

Action

• Deficiencies in processes contribute to

risk
• Audits provide feedback to process
owners
• Direct supervisory control and resource
allocation can help to maintain
effectiveness of risk controls

Federal Aviation SL-9

Administration
Internal Audit Design System
Operation

Data
Acquisition

• Performed by each department. & Process

Analysis

• Department Director/Manager is responsible.

System

• Regularly scheduled
Assmt

Preventive/
Corrective

• Include contractors & vendors Action

• Determine:
– Conformity with safety risk controls
– Performance of safety risk controls
– Performance to meet safety objectives
• Deficiencies always get action! AC 120-92

Federal Aviation SL-10

Administration
Internal Evaluation System
Operation

Data
Acquisition
& Process

• Performed by a functionally independent Analysis

person or organization (e.g. QA, Safety)

System
Assmt

• A process-oriented control function Preventive/

Corrective
Action

• Backs up the internal audit function

• Uses sampling to validate SA processes

Federal Aviation SL-11

Administration
External Audits System
Operation

Data
Acquisition
& Process

Analysis

Conducted by: System

Assmt

• Code-share partners Preventive/

Corrective
Action

• Industry organizations (e.g. C.A.S.E.)

• Third parties: consultants
• The regulator (FAA) = “Safety Oversight”

Federal Aviation SL-12

Administration
 System

Safety investigations Operation

Data
Acquisition
& Process

• Traditional Approach – put the event Analysis

behind us (everything is okay): System

Assmt

– To reassert trust and faith in the system (as is) Preventive/

Corrective
– To resume normal activities Action

– To fulfil political purposes

• SMS Approach - Improved system reliability:

– To learn about system vulnerability
– To develop strategies for change
– To prioritize investment of resources

Federal Aviation SL-13

Administration
Employee Reporting System
Operation

Data
Acquisition

• Employee safety reporting is required & & Process

Analysis
a feedback system is encouraged.
System

• Must provide confidentiality.

Assmt

Preventive/
Corrective
Action

• Employees must be encouraged to use

the system.
• Data may identify emerging hazards.
• Data must be included in analysis.
AC 120-92, App. 1

Federal Aviation SL-14

Administration
Types of analysis System
Operation

Data

• Against criteria/objectives
Acquisition
& Process

Analysis

• Compared to “norms”
System

• Patterns from multiple data points

Assmt

Preventive/
Corrective

• Trends over time

Action

– “Trends” is one of the most misused term in

analysis
– Must have stable, reliable measures at each
time sample for a valid trend

Federal Aviation SL-16

Administration
System Assessment System
Operation

• Are objectives being met? (“Happy loop”)

Data
Acquisition
& Process

• Risk controls failing due to: Analysis

– Lack of supervision System

Assmt

– Lack of resources Preventive/

Corrective
– Lack of training Action

– Poor job aids

• New Hazard/failed Risk Controls
(Redesign - back to SRM)
• Prioritize according to safety criticality
(triage)

Federal Aviation SL-17

Administration
Preventive/Corrective Actions
System
Operation

• Increased supervision Data

Acquisition
& Process

• Emphasized procedures Analysis

• Equipment maintenance System

Assmt

• Remedial training
Preventive/
Corrective
Action

• Schedule changes
• Personnel assignments
• Health and wellness

Federal Aviation SL-18

Administration
Management Review
Top management must conduct regular
reviews of the SMS, including:

• The outputs of SRM & SA

• Lessons learned

• Need for changes

Federal Aviation SL-19

Administration
Continuous Improvement
The organization shall continuously improve
the effectiveness of the SMS through:
• Safety and Quality Policies
• Safety Objectives
• Audit & Evaluations
• Analysis of Data
• Corrective and Preventive Actions
• Management Reviews AC 120-92

Federal Aviation SL-20

Administration
 SA Process Circle Diagram
Continuous Monitoring:
Design/Re-design Day to day, flight by flight
• Changes Job by job – supervise!
• Failures
Back to SRM Internal/External Audits:
Go out and look
Analysis,
Assessment, &
Decision Employee Reporting:
Listen the front line
Preventive/Corrective
Action:
Getting back on track Affirmed:
Expectations met Investigation:
Learn from error
Internal Evaluation

Federal Aviation SL-21

Administration