Safety Management System

ISSUE No.: 01
Issue Date: 13 August 2021

For Training Purposes Only

 Course Objective:
• To provide the participants with the complete information to be
able to understand the Safety Policy and Objectives, SMS
Responsibility, Risk Management, Safety Promotion,
Emergency Preparedness and response, Documentation
Management and Safety Assurance and Internal Evaluation.

For Training Purposes Only 2

I. Overview

For Training Purposes Only 3

 PCAR Basis
• PCAR 1.5 states that AOC, ATO, AMO and International –
General Aviation Operators shall implement a safety management
system acceptable to the authority that as a minimum:
• Identifies safety Hazards;
• Ensures the implementation of remedial action necessary to maintain agreed
safety performance; and
• Aims at a continuous improvement of the overall performance of the safety
management system
• The SMS shall clearly define lines of safety accountability throughout the
organization

For Training Purposes Only 4

What is Safety?

“Safety is the state in which the risk of harm to persons or

property is reduced to, and maintained at or below, an
acceptable level through a continuing process of hazard
identification and risk management”

For Training Purposes Only 5

Safety Management System

For Training Purposes Only 6

What is the Fundamental Objective of a
Business Organization?

To achieve its
production
objectives!

For Training Purposes Only 7

For Training Purposes Only 8
Safety Management System
• Infuses safety into all parts of the system
• People
• Tools
• Procedures
• Materials
• Equipment
• Software
• To maintain the balance of production and
protection
For Training Purposes Only 9
What could happen if we disregard safety nets?

• It can cause accidents that can result

to:
• Damage to Equipment or to the Aircraft
• Loss of Profit
• Injury
• Loss of Lives
For Training Purposes Only 10
 Ramp Damage Has Big Price
Tag For Airlines
Aileron & Tab Assembly $183,545
Outboard Flap Assembly
$255,845

Parts prices only

Elevator
Inboard Flap
Assembly
Assembly $224,872
$264,708
Cargo Door $58,327

Main Entry Door

$171,220
L.E. Slat Assembly
$52,863
Radome $19,712

Wingtip Assembly $28,872

TAT Probe Side cowl
$6,583 $161,407
AOA Vane Pitot Static Probe Inlet Cowl $329,203 8
$4,300 $5,157 Inlet Cowl Segment $5,151

For Training Purposes Only 11

Safety Management Strategies

For Training Purposes Only 12

Traditional Approach in Preventing
Accidents
• Focus on outcomes (causes)
• Unsafe acts by operational personnel
• Attach blame/punish for failures to “perform safely”
• Address identified safety concern exclusively
• Identifies: WHAT? WHO?
WHO?
• But not always discloses:

WHY HOW

For Training Purposes Only 13

Safety culture
• An outcome, not a process
• The introduction of safety management concepts lays the
foundation upon which to build a safety culture

• Safety culture cannot be “mandated” or “designed”, it evolves.

• It is generated “top-down”

For Training Purposes Only 14

For Training Purposes Only 15
II. Component of Safety
Management System

For Training Purposes Only 16

What are the components of SMS?

For Training Purposes Only 17

Policy
• The safety management system
must define policies, procedures,
and organizational structures to
accomplish their goals.
• Policy establishes the structure
of the SMS

For Training Purposes Only 18

Safety Risk Management
• A formal system of hazard
identification, analysis and
risk management is
essential in controlling risk
to acceptable levels.

For Training Purposes Only 19

Safety Promotion
• The organization must
promote safety as a core
value with practices that
support a positive safety
culture.

For Training Purposes Only 20

For Training Purposes Only 21
SRM and SA Workflow

For Training Purposes Only 22

III. Safety Policy and Objective

For Training Purposes Only 23

SMS Policy
• Establishes management commitment and objectives
– what management wants
• Sets up framework of organizational structures,
accountabilities, plans, procedures, and controls to
meet objectives

For Training Purposes Only 24

Management Responsibility
• Managers should manage safety in the same way
that they manage other areas of the business
• Safety Management involves judgment, assessing
priorities, and making decisions – like all
management decision making

For Training Purposes Only 25

 Objectives of the Policy Component
Top Management will:
• Implement an integrated, comprehensive SMS for
entire organization
• Define a safety policy and set safety objectives
• Define roles, responsibilities, and authorities
throughout the organization
• Appoint a member of management to
implement and maintain the SMS
For Training Purposes Only 26
 Other responsibilities
• Emergency Response
• Develop and implement procedures to respond to
accidents and incidents
• Control of Documents and Records
• Have a clearly defined document maintenance
process
• Implement and maintain a safety management plan

For Training Purposes Only 27

Safety Policy Requirements
• Commitment to:
• Implement an SMS
• Continually improve safety
• Manage safety Risk
• Comply with statutory & regulatory requirements
• Establish clear standards of acceptable behavior
• Documented
• Communicated
• Periodically reviewed
For Training Purposes Only 28
Accountability Defined
Accountability = Obligation or willingness to
account for
one’s actions

For Training Purposes Only 29

 Accountability vs. Liability
• SMS promotes an environment that stimulates open
reporting
• This includes and active involvement of all personnel,
starting with top management in safety problem-solving
• Barring negligence or deliberate disregard for safety,
SMS does not promote blame for error

For Training Purposes Only 30

 System Attributes
• Processes must have safety requirements built into their design.
Responsibility: accountable for quality of activities
Authority: power to accomplish required activities
Procedures: clear instructions for members of the organization
Controls: supervisory controls on processes to ensure activities produce
the correct outputs
Process Measures: measurement of both processes & their products
Interfaces: Recognizing interrelationships between individuals and
organizations within the company as well as with contractors, vendors,
customers, and other organizations

For Training Purposes Only 31

SMS Documentation
• System documentation conveys management
expectations and work instructions to employees
• May be a stand-alone manual or integrated into
existing documentation systems

For Training Purposes Only 32

IV. Safety Risk Management
Component

For Training Purposes Only 33

Overview
• Safety management systems provide a
systematic way to control risk and to provide
assurance that those risk controls are effective.

• Safety Risk Management is a formal system of

hazard identification, analysis and risk
management essential in controlling risk to
acceptable levels. For Training Purposes Only 34
Levels of Risk Management
• Process Risk Management
• Policy (What)
• Procedure (How)
• Controls
• Operational Risk Management
• Operational Control (Flight/Task/Mission)
• Crew/Team (Real time decision making)

For Training Purposes Only 35

Flow of Safety Risk
Management

For Training Purposes Only 36

For Training Purposes Only 37
 Typical Workplace Conditions
• Equipment: Human-Machine Interface,
Facilities
• Operators: Individual performance
• Crew/team performance
• Organizational culture
• Company/regulator factors

For Training Purposes Only 38

 Process (System) Attributes
• Responsibility
• Authority
• Procedures
• Controls
• Process Measures
• Interfaces

For Training Purposes Only 39

Conditions Related to Error
• Time pressure
• Procedures and documentation
• Teamwork/documentation
• Shift turnovers/crew briefings
• Group norms
• Fatigue management (shifts/circadian
problems)
For Training Purposes 40
Only
Conditions Related to Error
• Lack of System Knowledge
• Equipment/facilities
• Human-machine interface (e.g. design for
maintainability)

For Training Purposes 41

Only
Hazard Identification
A hazard is any real or potential condition…
that can result in injury, illness, or death to people;
damage to, or loss of, a system (hardware or software),
equipment, or property;
and/or damage to the
operating environment.

For Training Purposes Only 42

For Training Purposes Only 43
 Risk Analysis
▪ Important to distinguish between:
▪ Hazard – a condition
▪ Consequence – result
▪ Risk – likelihood & severity of the consequence

▪ Analyzing risk involves the consideration of both the

likelihood and the severity of any adverse
consequences.
For Training Purposes Only 44
For Training Purposes Only 45
Risk Analysis

For Training Purposes Only 46

Risk Assessment
Risk assessment
determines the level of
risk to use in making a
bottom line decision.

For Training Purposes Only 47

Risk Control = Risk Mitigation
A major component of any safety system is
the defenses (controls) put in place to protect
people, property or the environment.

These defenses are used to reduce the

likelihood or severity of the consequences
associated with any given hazard or condition.

For Training Purposes Only 48

For Training Purposes Only 49
Risk Control = Risk Mitigation
A major component of any safety system is
the defenses (controls) put in place to protect
people, property or the environment.

These defenses are used to reduce the

likelihood or severity of the consequences
associated with any given hazard or condition.

For Training Purposes Only 50

For Training Purposes Only 51
V. Safety Assurance
Component

For Training Purposes Only 52

 Risk Control = Risk Mitigation
• Assurance: “something that gives confidence”

For Training Purposes Only 53

Safety Assurance Functions:
• Collect and analyze information to determine that
process requirements are continuously being met.

• Assess performance and effectiveness of risk

controls.
• Works in partnership with Risk Management.

For Training Purposes Only 54

S.A. is similar to Q.A.
• QA focuses on product conformity & customer
satisfaction on a continuous basis.

• SA ensures that risk controls, once designed and put to

place, perform in a way that continue to meet their safety
objectives.

• Integration of management systems may be beneficial.

For Training Purposes Only 55
“Once controls are in place, quality management
techniques can be used to provide a structured
process for ensuring that they achieve their intended
objectives and, where they fall short, to improve them.”

For Training Purposes Only 56

 System Operation
• Written documentation to describe:
Who, What, When, Where, Why, How
• The system operation includes:
Monitoring of risk controls during operations;
System description, including risk controls added during
SRM which form the basis for SA functions such as
audits and analysis.
For Training Purposes Only 57
For Training Purposes Only 58
For Training Purposes Only 59
For Training Purposes Only 60
 Internal Audits
• The day-to-day responsibility for safety management
rests with those who “own” the technical processes.
This is where:
• deficiencies in processes contribute to risk
• audits provide feedback to process owners
• direct supervisory control and resource allocation can
help to maintain effectiveness of risk controls

For Training Purposes Only 61

Internal Audits
• Performed by each department.
• Department Director/Manager is responsible.
• Regularly scheduled
• Include contractors & vendors
• Determine:
• Conformity with safety risk controls
• Performance of safety risk controls
• Performance to meet business objectives
• Deficiencies always get action!
For Training Purposes Only 62
External Audits
• Clients
• Third Party
Auditor
• Authority

For Training Purposes Only 63

 Safety investigations
• For continuity – put the event behind us
• To put losses behind
• To reassert trust and faith in the system
• To resume normal activities
• To fulfil political purposes
• For improved system reliability
• To learn about system vulnerability
• To develop strategies for change
• To prioritize investment of resources

For Training Purposes Only 64

Employee Reporting
• Employee safety reporting & feedback system is
required.
• Must provide confidentiality.
• Employees must be encouraged to use the system.
• Data may identify emerging hazards.
• Data must be included in analysis.

For Training Purposes Only 65

For Training Purposes Only 66
For Training Purposes Only 67
For Training Purposes Only 68
For Training Purposes Only 69
For Training Purposes Only 70
VI. Safety Promotion
Component

For Training Purposes Only 71

Safety promotion = a combination of:
• Safety Culture,
• Training and
• Knowledge Sharing
activities that support the implementation and operation of SMS
in an organization

Organizations must promote safety as a core value with

practices that support a positive safety culture.

For Training Purposes Only 72

For Training Purposes Only 73
For Training Purposes Only 74
For Training Purposes Only 75
For Training Purposes Only 76
For Training Purposes Only 77
QUESTIONS?

For Training Purposes Only 78

Examination
1. What is SMS?
2. What are the four pillars of SMS?
3. What is the difference between Safety Risk Management and Safety
Assurance?
4. Rate level of safety awareness from 1-10, Ten being the highest. Explain.

For Training Purposes Only 79