ASI Safety Management Systems 3 — Questions and Answers
Question 1: Under FAA Advisory Circular AC 120-92B, how many components make up an SMS framework?
- Two
- Three
- Four (Correct answer)
- Five
Correct answer: Four
AC 120-92B defines four SMS components: Safety Policy, Safety Risk Management, Safety Assurance, and Safety Promotion.
Question 2: A certificate holder's SMS reveals that front-line employees rarely report safety concerns due to fear of punishment. Which element needs immediate strengthening?
- Risk matrix calibration
- Non-punitive reporting culture (Correct answer)
- Regulatory compliance audits
- Emergency response procedures
Correct answer: Non-punitive reporting culture
A non-punitive reporting environment is essential to SMS; without it, employees withhold safety information that could prevent accidents.
Question 3: Which ICAO document provides the foundational international standards upon which FAA SMS regulations are based?
- ICAO Annex 1
- ICAO Annex 6
- ICAO Annex 19 (Correct answer)
- ICAO Annex 14
Correct answer: ICAO Annex 19
ICAO Annex 19 (Safety Management) consolidates all SMS-related standards and recommended practices for aviation service providers.
Question 4: When assessing risk in an SMS, 'severity' refers to:
- How often a hazard is expected to occur
- The worst credible consequence if a hazard results in an accident (Correct answer)
- The number of employees exposed to a hazard
- The cost of implementing a safety control
Correct answer: The worst credible consequence if a hazard results in an accident
Severity is one axis of a risk matrix and describes the potential worst-case outcome — injury, fatality, or damage — if the hazard materializes.
Question 5: In an SMS safety case, what must be demonstrated to justify accepting residual risk?
- That the risk was identified before the accident
- That the risk is As Low As Reasonably Practicable (ALARP) (Correct answer)
- That no additional budget is available for mitigation
- That employees have been notified of the hazard
Correct answer: That the risk is As Low As Reasonably Practicable (ALARP)
Residual risk — risk remaining after controls are applied — must be shown to be ALARP, meaning further reduction would be disproportionately costly relative to the benefit.
Question 6: What is the purpose of an SMS 'accountable executive'?
- To conduct daily ramp inspections
- To serve as the final authority responsible for safety performance of the organization (Correct answer)
- To complete all safety risk assessments personally
- To interface with external auditors on administrative matters only
Correct answer: To serve as the final authority responsible for safety performance of the organization
The accountable executive has ultimate authority and responsibility for the implementation and performance of the SMS, including resource allocation.
Question 7: An ASI observes that a repair station updates its SMS documentation only after an accident occurs. This indicates a failure of which SMS principle?
- Reactive safety management
- Proactive hazard identification (Correct answer)
- Post-incident documentation
- Regulatory compliance reporting
Correct answer: Proactive hazard identification
SMS requires proactive hazard identification before accidents occur; waiting for an accident to trigger documentation is a reactive approach inconsistent with SMS principles.
ASI Safety Management Systems 3
Under FAA Advisory Circular AC 120-92B, how many components make up an SMS framework?