1.1_SMSM_20150 9 Originally published September 2015 Uncontrolled copy when downloaded 1  Safety Management System Overview  Section 1  1.1 Overview  1.1.1 About the SMS Manual  1.1.2 Establishment and Continuous Support of the ATO SMS  1.1.3 SMS Continuous Improvement 1.1.3.1 Measuring NAS-Wide ATO Safety Performance  As part of the effort to support the FAA Strategic Initiatives, and to help the FAA achieve the  Next Level of Safety, the ATO has developed the System Risk Event Rate as a measure of its  safety performance. The System Risk Event Rate metric, a 12-month rolling rate that compares  the number of high-risk losses of standard separation to the number of total losses of  separation, is based on Risk Analysis Events. Risk Analysis Events are losses of standard  separation in which less than two-thirds of the required separation is maintained. Risk Analysis  Events are identified and assessed as part of the Risk Analysis Process, which considers  causal factors and pilot and controller performance when assessing the severity and  repeatability of the event(s) that occurred. Through the Risk Analysis Process, Risk Analysis  Events replace the long-standing measures of safety performance in the ATO, allowing  relationships to be drawn between events and potential causes. From performance of individual  facilities up to the NAS-wide system level, the Risk Analysis Process helps focus ATO safety  The SMS is the framework that the ATO uses to measure and help ensure the safety of its  operations. In an evolving NAS, it is necessary to continuously seek improvement in ATO  processes and policies that support ATO safety efforts and, by extension, support the SMS. The ATO and external organizations conduct audits and assessments to measure and  determine compliance with the policies and procedures used to manage safety in the NAS. By  assessing SMS maturity, the ATO is able to identify gaps in SMS performance, opportunities for  improvement, and areas in which to focus new policy development.  Safety , the principal consideration of all ATO activities, is defined as the state in which the risk  of harm to persons or property damage is acceptable. Managing and ensuring the safety of  operations using the SMS has long been a focus of air navigation service providers worldwide,  with the International Civil Aviation Organization having provided the guiding principles and the  mandate for member organizations to have an SMS. The ATO’s SMS efforts support the FAA  safety mission, which emphasizes continuous improvement of safety and the integration of  safety management activities across FAA organizations, programs, and Lines of Business. Efforts to develop and implement complex, integrated Next Generation Air Transportation  System systems to improve the safety and efficiency of air travel in the United States make  clear the relevance of the SMS.  This SMS Manual informs ATO employees and contractors about the goal of the ATO SMS,  describes the interrelationship among the four components of the SMS, and instructs readers on  the process of identifying safety hazards and mitigating risk in the National Airspace System  (NAS). Use this document and its complements, such as the Safety Risk Management  Guidance for System Acquisitions, ATO Safety Guidance documents, and other FAA safety  documents, to carry out the safety mission of the FAA and requirements of the SMS.  The Safety Management System (SMS) is a formalized and proactive approach to system  safety. It directly supports the mission of the Federal Aviation Administration (FAA), which is “to  provide the safest, most efficient aerospace system in the world.” The Air Traffic Organization  (ATO)  SMS  is an integrated collection of principles, policies, processes, procedures, and  programs used to identify, analyze, assess, manage, and monitor safety risk in the provision of  air traffic management and communication, navigation, and surveillance services.