SAFETY RELATED WORDS DIFINITION

Accident – an unplanned event or series of events that results in death, injury, occupational illness, damage to or loss of equipment or property, or damage to the environment.

Analysis – the process 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.

Assessment – the process of measuring or judging the value or level of something.

Attributes – System Attributes, or the inherent characteristics of a system, are present in any well defined organization and apply to an effective SMS. While the six system attributes were first applied with Air Transportation Oversight System (ATOS) fielding, there are conceptual differences when applied to SMS, as discussed below:

• Responsibility and Authority:

• Responsibility: who is accountable for management and overall quality of the process (planning, organizing, directing, controlling) and its ultimate accomplishment.

• 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.

• 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.

• 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 SMS Framework. Practices such as continuous monitoring, internal audits, internal evaluations, and management reviews (all parts of the safety assurance 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.

• Process Measures – are 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 safety assurance is that fundamental processes be measured so that 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, Safety Assurance. 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.

• 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.

• Interfaces in Safety Risk Management and Safety Assurance - Safety Risk Management (SRM) and Safety Assurance (SA) are the key processes of the SMS. They are also highly interactive, especially in the input-output relationships between the activities in the processes. This is especially important where interfaces between processes involve interactions between different departments, contractors, etc. Assessments of these relationships should pay special attention to flow of authority, responsibility and communication, as well as procedures and documentation.

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.

• 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.
• External audit – an audit conducted by an entity outside of the organization being audited, e.g., the flight operations division audits the flight training department.

Aviation system – the functional operation or production system used by an organization to produce an aviation product or service (see System and Functional below).

Complete – nothing has been omitted and what is stated is essential and appropriate to the level of detail.

Conformity – fulfilling or complying with a requirement [ref. ISO 9001-2000]; this includes but is not limited to complying with Federal regulations. It also includes complying with company requirements, requirements of operator developed risk controls, or operator policies and procedures.

Continuous monitoring – uninterrupted (constant) watchfulness (checks, audits, etc) over a system.

Corrective action – action to eliminate (remove) or mitigate (lessen) the cause or reduce the effects of a detected nonconformity or other undesirable (unwanted) situation.

Correct – accurate without ambiguity or error in its attributes.

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.

Evaluation – an independent review of company policies, procedures, and systems [ref. AC 120-59A]. 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.”

Functional - The term “function” refers to “what” is expected to be incorporated into each process (e.g., human tasks, software, hardware, procedures, etc.) rather than “how” the function is accomplished by the system.  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.

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. A hazard is a condition that might cause (is a prerequisite to) an accident or incident.

Incident – a near-miss episode with minor consequences that could have resulted in greater loss. An unplanned event that could have resulted in an accident or did result in minor damage. An incident indicates that a hazard or hazardous condition exists, though it may not identify what that hazard or hazardous condition is.

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.

Likelihood – the estimated probability or frequency, in quantitative or qualitative terms, of an occurrence related to the hazard.

Line management – the management structure that operates (controls, supervises, etc) the operational activities and processes of the aviation system.

Nonconformity – non-fulfillment of a requirement (ref. ISO 9001-2000). This could include but is not limited to, noncompliance with Federal regulations, company requirements, requirements of operator-developed risk controls or operator-specified policies and procedures.

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.

Operational life cycle – period of time from implementation of a product/service until it is no longer in use.

Organization – indicates both certificated and non-certificated aviation organizations, aviation service providers, air carriers, airlines, maintenance repair organizations, air taxi operators, corporate flight departments, repair stations, and pilot schools.

Outputs – the product or end result of a 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. A table of SMS Process Outputs is at Figure 1, at the end of this definitions section.

Oversight – a function performed by a regulator (such as the FAA) that ensures that an aviation organization complies with and uses safety-related standards, requirements, regulations, and associated procedures. Safety oversight also ensures that the acceptable level of safety risk is not exceeded in the air transportation system.

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.

Procedure – a specified way to carry out an activity or a process.

Process – a set of interrelated or interacting activities that transform inputs into outputs.

Process Measures – refer to definition for Process Measures under the Attributes definition, above.

Product/service – anything that is offered or can be purchased that might satisfy a want or need in the air transportation system.

Records – evidence of results achieved or activities performed.

Residual safety risk – the safety risk that exists after all controls have been implemented or exhausted and verified. Only verified controls can be used for assessing residual safety risk.

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.

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.

Safety Assurance – a formal management process within the SMS that systematically provides confidence that an organization’s products/services meet or exceed safety requirements. A Safety Assurance flow diagram (Figure 2, found in section 5.4) includes the Framework element/process numbers and other notes to help the reader visualize the Framework in terms of a process flow (with interfaces), and understand the component/element/process expectations.

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.

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 (as described in this document it includes safety risk management, safety policy, safety assurance, and safety promotion).

• Product/service provider Safety Management System (SMS-P) – the SMS owned and operated by a product/service provider.
• Oversight Safety Management System (SMS-O) – the SMS owned and operated by an oversight entity.

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.

Safety planning – part of safety management focused on setting safety objectives and specifying needed operational processes and related resources to fulfill these objectives.

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.

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.

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. A process flow diagram of Safety Risk Management is presented in Figure 1, found in section 5.3.

Safety promotion – a combination of safety culture, training, and data sharing activities that support the implementation and operation of an SMS in an organization.

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. This does not include an air operator’s maintenance organization and is not intended to duplicate 1.0 B) 1) a) 3) of an air operator’s organization.

Severity – the degree of loss or harm resulting from a hazard.

Substitute risk – a risk unintentionally created as a consequence of safety risk control(s).

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.

System Attributes – refer to definition for Attributes, above.

Top Management - the person or group of people who direct and control an organization [ref. ISO 9000-2000 definition 3.2.7]. In many large organizations, this can be the CEO or the board of directors; in smaller organizations, this might be the owner of the company.