SASO Concepts: SMS & SAS

Safety Management Systems (SMS)

A Safety Management System (SMS) is a collection of processes for identifying hazards, evaluating risks associated with hazards, and implementing safety actions to mitigate or remove those hazards. Implementing an SMS will create a positive culture of prevention that actively promotes safety in all business activities. There are four components to an SMS:

• Policy establishes senior management's commitment to continually improve safety, and defines the methods and processes, and organizational structure, needed to meet safety goals
• Safety Risk Management includes the definition of the system of interest, identification of hazards and the analysis and assessment of associated risk, as well as the development and implementation of appropriate risk control strategies
• Safety Assurance evaluates the continued effectiveness of implemented risk control strategies and supports the identification of new hazards throughout the system life cycle
• Safety Promotion includes actions to create a positive safety culture within all levels of the workforce, characterized by an adequate knowledge base, competency, tools, communications, training, decision-making and information sharing

The International Civil Aviation Organization (ICAO) is revising its standards and recommended practices regarding implementing Safety Management Systems (SMSs) for civil aviation authorities in all its member states. Over the next four years, Flight Standards (AFS) will prepare to implement the AFS Safety Assurance System (SAS), which will be the first step towards meeting ICAO's SMS mandates. To support Flight Standards (AFS) employees through this cultural shift, the System Approach for Safety Oversight (SASO) Program Office has established change management and communications strategies for FAA’s transition to SMS.

AFS Safety Assurance System (SAS)

As described above, one of the components of SMS is safety assurance. The AFS Safety Assurance System (SAS) is FAA’s approach to implementing this SMS component throughout Flight Standards oversight activities.Flight Standards’ (AFS) Safety Assurance System (SAS) refers to the combination of people, processes, and technology that will constitute AFS’s safety assurance capability. Based on the capability, configuration, and effectiveness of a certificate holder’s systems, the SAS will help FAA adapt how oversight is conducted. This new approach will allow FAA to focus its attention on areas in the aviation system presenting the highest degree of risk. The SAS will also provide necessary decision-support tools that will help the workforce execute safety oversight processes.

This combination of people, processes, and technology not only seeks to increase safety, but also aims to assure that Flight Standards and certificate holders both meet their separate responsibilities in accordance with 49 USC and FAA policy. The implementation of the AFS SAS helps fulfill Flight Standards mission elements in the areas of certification, surveillance, and resolution of safety concerns.

The SASO Program Office is using four work streams to design and implement the AFS Safety Assurance System (SAS):

• Business Process Re-engineering to re-design current oversight processes and fill the gaps in these processes with system safety principles
• Systems Alignment to ensure that tools and technology are designed in support of these oversight processes
• Enterprise Architecture to integrate the tools and processes into the Aviation Safety (AVS)-wide enterprise management
• Change Management to ensure that business process changes are facilitated by the transfer of knowledge, skills, tools, processes, systems, and methods for all stakeholders involved in the changes