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Aviation Safety: SMS Definition and Regulation – CASRAI

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Aviation safety defined from 14 CFR Part 5 and ICAO Annex 19: hazard versus risk, the four SMS components and State versus operator duties.
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Short answer: Aviation safety is the discipline of managing the risk of aircraft accidents and incidents. In current regulation it is organised as a safety management system (SMS) with four components: safety policy, safety risk management, safety assurance and safety promotion. ICAO sets the State-level framework in Annex 19, and the FAA applies an operator-level SMS rule in 14 CFR Part 5.
General information for researchers and safety staff. This is not a compliance opinion for any specific operator.
The regulatory text is more precise than most overviews. 14 CFR 5.3 defines a hazard as “a condition or an object that could foreseeably cause or contribute to an incident or aircraft accident”, and risk as “the composite of predicted severity and likelihood of the potential effect of a hazard.” A hazard is therefore a condition, while risk is a judgement about how severe and how likely its consequence would be. Aviation safety work is the systematic handling of both.
The same section defines the safety management system as “the formal, top-down, organization-wide approach to managing safety risk”. ICAO describes the State Safety Programme (SSP) as the foundation of a proactive safety strategy, implemented alongside service providers’ SMS.
Under 14 CFR 5.5 an SMS must contain at least four components, each with its own subpart of Part 5.
Section 5.5 also requires that the SMS be “appropriate to the size, scope, and complexity of the person’s organization”.
Two layers are often confused. A State manages safety nationally through its SSP, and service providers run an SMS inside their own organisations. The table compares the two instruments as described in the sources below.
Aerospace researchers and test organisations meet these terms in hazard analyses, safety cases and incident reporting. The vocabulary above gives a common baseline: describe the system, identify hazards, assess severity and likelihood, control the risk, then verify that the controls work. For voluntary reporting, see our guide to NASA’s Aviation Safety Reporting System; for the FAA’s research facility, see the FAA William J. Hughes Technical Center. Analysis methods that transfer include root cause analysis and the critical incident technique. For the wider field see what aerospace engineering is and human factors engineering.
It is the management of risk so that aircraft accidents and incidents are prevented, organised today through safety management systems and State safety programmes.
Safety policy, safety risk management, safety assurance and safety promotion (14 CFR 5.5).
Under 14 CFR 5.1: Part 119 certificate holders and applicants for Part 121 and Part 135 operations, air tour operators holding a 91.147 Letter of Authorization, and holders of both a type certificate and production certificate under Part 21, plus related licensee and applicant cases.
The ICAO Annex on safety management, first applicable on 14 November 2013, which consolidated safety management provisions from six earlier Annexes.
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