DEFINITIONS - SMS

1. Accident. An occurrence associated with the operation of an aircraft that takes place between the time any person boards the aircraft with the intention of flight and all such persons have disembarked, and in which any person suffers death or serious injury, or in which the aircraft receives substantial damage.
2. Analysis. The conversion of data into information, to identify measures that predict safety related problems to allow risk-management decisionmaking, by the identification of trends, deficiencies and root causes. This involves the processes of identifying a question or issue to be addressed, modeling the issue, investigating model results, interpreting the results, and possibly making a recommendation. Analysis typically involves using scientific or mathematical methods for evaluation.
3. Assessment. The process of measuring or judging the value or level of something.
4.  Attributes. System Attributes, are inherent characteristics of a system that apply to an effective SMS. While the six system attributes were first applied with Air Transportation Oversight System (ATOS) fielding, there are differences when applied to SMS, as discussed below: 

(1) Responsibility. Who is accountable for management and overall quality of the process (planning, organizing, directing, controlling) and its ultimate accomplishment. 
(2) Authority. Who can direct, control, or change the process, as well as who can make key decisions such as risk acceptance. This attribute also includes the concept of empowerment. 
(3) Procedures. ISO-9001-2000 defines “procedure” as “a specified way to carry out an activity or a process” – procedures translate the what in goals and objectives into how in practical activities (things people do). Procedures are simply documented activities to accomplish processes, e.g., a way to perform a process. The organization should specify their own procedures for accomplishing processes in the context of their unique operational environment, organizational structure, and management objectives. 
(4) Controls. Controls are elements of the system, including hardware, software, special procedures, or procedural steps, and supervisory practices designed to keep processes on track to achieve their intended results. Organizational process controls are typically defined in terms of special procedures, supervisory and management practices, and processes. Many controls are inherent features of the FAA SMS Framework. Practices such as continuous monitoring, internal audits, internal evaluations, and management reviews (all parts of the Safety Assurance (SA) component) are identified as controls within the design expectations. Additionally, other practices such as documentation, process reviews, and data tracking are identified as controls within specific elements and processes. 
(5) Process Measures. Ways to provide feedback to responsible parties that required actions are taking place, required outputs are being produced, and expected outcomes are being achieved. A basic principle of SA is that fundamental processes be measured so that 

1. management decisions can be data-driven. The general expectations for Component 1, policy, specify that SMS outputs be measured and analyzed. These measurements and analyses are accomplished in Component 3, SA. Outputs of each process should, therefore, be identified during component 3 activities. For example, these outputs should be the subjects of continuous monitoring, internal audits, and internal evaluation. 

(6) Interfaces. This aspect includes examining such things as lines of authority between departments, lines of communication between employees, consistency of procedures, and clearly delineating lines of responsibility between organizations, work units, and employees. Interfaces are the inputs and outputs of a process. 

1. Audit. Scheduled, formal reviews and verifications that evaluate whether an organization has complied with policy, standards, and/or contract requirements. An audit starts with the management and operations of the organization and then moves to the organization’s activities and products/services.
2.   Internal Audit. An audit conducted by, or on behalf of, the organization being audited, e.g., the flight training department audits the flight training department. 
3. External Audit. An audit conducted by an entity outside of the organization being audited, e.g., the flight operations department audits the flight training department. 
4. Aviation Service Provider. Refer to definition for organization below. service provider is interchangeable with the terms service provider and organization within this document. 
5. Aviation System. The functional operation or production system used by an organization to produce an aviation product or service. 
6. Complete. Nothing has been omitted and what is stated is essential and appropriate to the level of detail. 
7. Competency. An observable, measurable set [pattern] of skills, knowledge, abilities,  behaviors, and other characteristics that an individual needs to perform work roles of occupational functions successfully. Competencies are typically required at different levels of proficiency depending on the work roles or occupational function. Competencies can help ensure that individual and team performances align with the organization’s mission and strategic direction.
8.  Conformity. Fulfilling or complying with a requirement (refer to ISO 9001-2000); this includes but is not limited to complying with Federal aviation regulations. It also includes complying with company requirements, requirements of operator developed risk controls, or operator policies and procedures. 
9. Continuous Monitoring. Uninterrupted (constant) watchfulness (checks, audits, etc) over a system. 
10. Corrective Action. Action to eliminate (remove) or mitigate (lessen) the cause or reduce the effects of a detected nonconformity or other undesirable (unwanted) situation. 
11. Correct. Accurate without ambiguity or error in its attributes. 
12. Documentation. Information or meaningful data and its supporting medium (e.g., paper, electronic, etc.). In this context, documentation is different from records because documentation is the written description of policies, processes, procedures, objectives, requirements, authorities, responsibilities, or work instructions; where as records are the evidence of results achieved or activities performed. 
13. Evaluation. An independent review of company policies, procedures, and systems . If accomplished by the company itself, the evaluation should be done by a person or organization in the company other than the one performing the function being evaluated. The evaluation process builds on the concepts of auditing and inspection. An evaluation is an anticipatory process designed to identify and correct potential problems before they happen. An evaluation is synonymous with the term systems audit. 
14. Function. A function consists of specific or discreet actions required by a system to achieve an objective (e.g. an operation that a system must perform in order to accomplish its mission, such as a maintenance action required to restore a system to operation). Such actions may be accomplished through the use of equipment, personnel, facilities, firmware, software, or a combination thereof. In a broader sense, the term function refers to what is expected to be incorporated into each system rather than how the system accomplishes its objective. This makes for a more performance-based system and allows for a broad range of techniques to be used to accomplish the performance objectives. This, in turn, maximizes scalability while preserving standardization of results across the aviation organization communities.
15.  Hazard. Any existing or potential condition that can lead to injury, illness, or death; damage to or loss of a system, equipment, or property; or damage to the environment (environmental issues are not within the scope of the SMS). A hazard is a condition that might cause (is a prerequisite to) an accident or incident.
16.  Incident. An occurrence other than an accident, associated with the operation of an aircraft, which affects or could affect the safety of operations.
17.  Lessons Learned. Knowledge or understanding gained by experience, which may be positive, such as a successful test or mission, or negative, such as a mishap or failure. Lessons learned should be developed from information obtained from inside and outside of the organization and/or industry. 
18. Likelihood. The estimated probability or frequency, in quantitative or qualitative terms, of an occurrence related to the hazard.
19.  Line Management. The management structure that operates (controls, supervises, etc) the operational activities and processes of the aviation system. 
20. Nonconformity. Non-fulfillment of a requirement (refer to ISO 9000-2000). This could include but is not limited to, noncompliance with  regulations, company requirements, requirements of operator-developed risk controls or operator-specified policies and procedures.
21.  Objective. The desired state or performance target of a process. Usually it is the final state of a process and contains the results and outputs used to obtain the desired state or performance target.
22.  Operational Life Cycle. Period of time from implementation of a product/service until it is no longer in use.
23.  Organization. Within the context of this document, the term organization refers to any organization providing aviation services. The term includes certificated and non-certificated aviation organizations, aviation service providers, air carriers, airlines, maintenance repair organizations, air taxi operators, corporate flight departments, repair stations, pilot schools, approved training organizations that are exposed to safety risks during the provision of their services.
24.  Outputs. The product or end result of an SMS process, which is able to be recorded, monitored, measured, and analyzed. Outputs are the minimum expectation for the product of each process area and the input for the next process area in succession. Each of the outputs of a process should have a method of measurement specified by the organization. Measures need not be quantitative where this is not practical; however, some method of providing objective evidence of the attainment of the expected output is necessary.
25.  Oversight. A function performed by regulator that ensures that an aviation organization complies with and uses safety-related standards, requirements, regulations, and associated procedures. Safety oversight also works to assure that the acceptable level of safety risk is not exceeded in the air transportation system. 
26. Preventive Action. Preemptive action to eliminate or mitigate the potential cause or reduce the future effects of an identified or anticipated nonconformity or other undesirable situation.
27.  Procedure. Specified ways to carry out operational activities that translate the what (objectives) into how (practical activities).
28.  Process. A set of interrelated or interacting activities that transform inputs into outputs.
29.  Process Measures. Refer to definition for process measures under the attributes definition, above, i.e., a means of providing feedback to responsible parties that required actions are taking place, required outputs are being produced, and expected outcomes are being achieved. 
30. Product/Service. Anything that is offered or can be purchased that might satisfy a want or need in the air transportation system.
31.  Records. Evidence of results achieved or activities performed.
32.  Residual Safety Risk. The safety risk that exists after mitigation has been accomplished or all controls have been implemented or exhausted and verified. Only verified controls can be used for assessing residual safety risk.
33.  Risk. The composite of predicted severity (how bad) and likelihood (how probable) of the potential effect of a hazard in its worst credible (reasonable or believable) system state. The terms risk and safety risk are interchangeable for the purposes of this document.
34.  Risk Control. Steps taken to eliminate (remove) hazards or to mitigate (lessen) their effects by reducing the severity and/or likelihood of risk associated with those hazards.
35.  Safety Assurance (SA). A formal management process within the SMS that systematically provides confidence that an organization’s products/services meet or exceed safety requirements.
36.  Safety Culture. The product of individual and group values, attitudes, competencies, and patterns of behavior that determine the commitment to, and the style and proficiency of, the organization’s management of safety. Organizations with a positive safety culture are characterized by communications founded on mutual trust, by shared perceptions of the importance of safety and by confidence in the efficacy of preventive measures.
37.  Safety Management System (SMS). The formal, top-down business-like approach to managing safety risk. It includes systematic procedures, practices, and policies for the management of safety.
38.  Safety Objective. A goal or desirable outcome related to safety. Generally based on the organization’s safety policy, and specified for relevant functions and levels in the organization. Safety objectives are typically measurable.
39.  Safety Planning. Part of safety management focused on setting safety objectives and specifying needed operational processes and related resources to fulfill these objectives.
40.  Safety Risk. The composite of predicted severity (how bad) and likelihood (how probable) of the potential effect of a hazard in its worst credible (reasonable or believable) system state. The terms safety risk and risk are interchangeable for the purposes of this document.
41. Safety Risk Control. A characteristic of a system that reduces or mitigates (lessens) the potential undesirable effects of a hazard. Controls may include process design, equipment modification, work procedures, training or protective devices. Safety risk controls must be written in requirements language, measurable, and monitored to ensure effectiveness.
42.  Safety Risk Management (SRM). A formal process within the SMS that describes the system, identifies the hazards, assesses the risk, analyzes the risk, and controls the risk. The SRM process is embedded in the processes used to provide the product/service; it is not a separate/distinct process.
43. Safety Promotion. A combination of safety culture, training, and data sharing activities that support the implementation and operation of an SMS in an organization. Safety promotion expectations are provided in this SMS Framework, Component 4.0.
44.  Separate Aviation Maintenance Organizations. Are independent maintenance organizations such as, but not limited to, certificated repair stations, non-certificated repair facilities, and separate maintenance organizations. 
45. Service Provider. (Refer to definition for Organization above). The term service provider is interchangeable with the terms aviation service provider and organization within this document.
46.  Severity. The degree of loss or harm resulting from a hazard. 
47. Substitute Risk. A risk unintentionally created as a consequence of safety risk control(s). 
48. System. An integrated set of constituent elements that are combined in an operational or support environment to accomplish a defined objective. These elements include people, hardware, software, firmware, information, procedures, facilities, services, and other support facets.
49.  Top Management. The person or group of people who direct and control an  organization. Top management translates the policy into goals, objectives and strategies, and projects a shared-vision of the future. It makes decisions that affect everyone in the organization, and is held entirely responsible for the success or failure of the enterprise.  

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