SAFETY MANAGEMENT

SYSTEM
SMS is a DGCA & ICAO requirement & must be
implemented & maintained by PHL at all times.

Identify hazards & mitigate (eradicate the hazards or

reduce the severity or likelihood of the associated
risks) so as to remove the very possibility of an
accident, incident or harm to persons or of property.
SAFETY & QUALITY POLICY
EVERY ORGANIZATION HAS ITS OWN
SAFETY & QUALITY POLICY STATEMENT
SAFETY CULTURE – NO COMPROMISE
HUMAN FACTORS – NO COMPROMISE
QUALITY – NO COMPROMISE
ENCOURAGE PROFESSIONAL &
PERSONAL DEVELOPMENT
ECONOMIC SAFETY (SAFETY
CONSIDERATION)
 OBJECTIVES OF SAFETY POLICY
 To recognize safety as a prime consideration at all times
 To maintain safety st&ards & practices throughout the
organization as specified in the maintenance data, associated
technical literature & as per safety placards displayed
 To provide safety awareness training for management for
management & staff
 To comply with all the current regulatory requirements
 To encourage a culture of open reporting of all issues related
to safety
 To encourage application of human factors principles
 OBJECTIVES OF QUALITY POLICY
To establish a quality system to meet airworthiness st&ards
To recognize that compliance with procedures, st&ard practices,
quality system & regulations is the primary motive of all
employees
To encourage application of Human Factors Principles
To recognize the need for all personal to co-operate with internal
& regulatory audits
To recognize an open system for reporting errors & for suggesting
procedural/system improvements
To use quality materials, tools & equipment
To always use current & updated technical literature
To engage appropriately qualified, competent & trained personnel
for the organization
 What is SMS?
 A systematic approach to managing safety, including the
necessary organizational structures, accountabilities,
policies & procedures. (Reference ICAO Doc 9859)
 ICAO Annex 19 - Safety Management - Rule 29D of
Aircraft Rules 1937 & CAR Section 1 Series C Part I
- Establishment of a Safety Management System (SMS)
 Safety management systems (SMS) help organisations
identify safety risks before they become bigger
problems. Civil Aviation Requirements require the
aviation industry to put safety management systems in
place as an extra layer of protection to help save lives.
 What is State Safety Programme
(SSP)? 
An integrated set of regulations & activities aimed
at improving safety. (Reference ICAO Doc 9859)

INDIA SAFETY POLICY

INDIA SAFETY PLAN

MAKING INDIA SAFE

 Elements of SMS is
Systematic – SMS activities are in
accordance with a pre-determined plan &
applied in a constant manner throughout the
organization.
Pro-active & Predictive – an approach that
emphasizes hazard identification & risk
control & mitigation, before events that affect
safety occur.
Explicit – all safety management activities
are documented & visible.
 SMS DEFINITIONS
 Safety – means the state in which the risk of harm to
persons or of property damage is reduced to & maintained
at or below an acceptable level safety through a continuing
process of hazard identification & risk management.
 Acceptable Level of Safety – is the minimum degree of
safety that must be assured by a system in actual practice.
 Hazard – is any situation or condition that has potential to
cause damage or injury.
 Risks – are the potential adverse consequences of a hazard,
& are assessed in terms of their severity & likelihood.
 SMS DEFINITIONS (continued...)
Mitigation – measures or controls put in place to
either eradicate the hazard or reduce the severity or
likelihood of the associated risk.
Proactive – is a safety management system process
aimed at identifying hazards before they precipitate
an occurrence.
Reactive – preventive action taken after events that
affect safety occur & usually as a result of accident
incident cause analysis.
Predictive – a proactive approach based upon
prediction of the possibility of a risk that could occur
 4 SMS COMPONENTS &
THEIR ELEMENTS
Safety Safety Risk
Policies & Management
Objectives

Safety Safety
Assurance Promotion
 Safety Policies & Objectives
Management commitment &
responsibilities
Appointment of key safety personnel
Safety accountabilities of managers
Coordination of Emergency Response
Plan
SMS documentation
 Safety Risk Management
Hazard Identification process
Safety Risk assessment & mitigation
 Safety Assurance
Safetyperformance monitoring &
measurement
The management of change
Continuous improvement of the SMS
 Safety Promotion
Training & education
Safety commitment
 Continuously
Seek Continuous Implement
Monitor &
Improvement in Remedial Action
Assess Safety Identify Safety
the overall to Maintain
Performance of Hazards
performance of the Safety
Organization
the SMS Performance
SMS IMPLEMENTATION
 SMS REGULATORY DOCUMENTS
APPLICABLE
CAR Section 1 Series C Part 1 –
Establishment of Safety Management System
ICAO Doc. 9859 AN/474 Second Edition –
2009 – Safety Management Manual
CAR Section 8 Series O Part II – Operation
of General Aviation Aeroplanes
Aircraft Rule 29D
State Safety Program India 2010 on
dgca.nic.in
 Questions
What is the name of the SMS Controlling
Document?
 Safety Management System Manual
(SMSM)
What will/should it contain?

- Read CAR Section 1 Series C Part 1

When will we start making the SMSM?

- After DGCA specifies the form & manner of

the manual as mentioned in Rule 29D
 The Importance of Reporting Safety
Events
Everyone leans from his/her own experience
Everyone leans from the experience of others
If occurrences are not reported by those
involved then they cannot be examined by the
organization & lessons cannot be learnt
If occurrences are not reported, examined &
their findings, recommendations & lessons
widely disseminated, then the organization as
a whole will not learn.
The Benefits of Reporting Safety Events
Identifies potential weakness in the system
Identifies error prone weakness in the
system
Identifies gaps in Training
Identifies problems in Procedures &
Practices
Enables the organization to learn from free
lessons learned in the aftermath of an
incident
The Benefits of Reporting Safety Events
(continued...)
Identifies the contextual conditions within
which incidents take place
Helps management and staff to mitigate
against the reoccurrence of incidents
Overall safety improvement in the
organization
From a higher level these information are
shared among aviation circles to make air
travel safer
 Why Are People So Reluctant To Report?

Because of:
Retaliation – People are scared that the
management will take an attitude “evil for evil”
& penalize the reporter in some form
Self-incrimination – People are scared that the
management will accuse them guilty of crime or
wrongful act
Embarrassment – People are ashamed to report
Apathy – People do not report an account of lack
of interest, why should I bother attitude
 The SMS Guarantee – No Penal Action
For Reporting
The SMS Policy (signed by the Accountable
Manager)
Reference – CAR Section -1 Series C Part 1 &
ICAO Doc 9859
Voluntary Reporting System

Reference – DGCA’s AIC 8 of 2011

The State Safety Programme, 2010
Voluntary Reporting of Incidents

Reference – DGCA’s Advisory Circular 3 of 1976

 The Need For Reporting Safety Related
Issues
The main aim of SMS is to identify
hazards and mitigate to avoid the
possibility of an aircraft accident, incident,
damage to property or injury to personnel.
The function of SMS is to manage safety.
Effective safety reporting is a cornerstone
of the management of safety.
Who should report – All staff
Other Occurence Reporting Systems
The Occurence Reporting falls under 3
classes:
Mandatory Occurence Reporting (MOR)
Voluntary Reporting System
Internal Reporting System
 How you manage your hazards?
Question – How can your SMS show that it finds
current and possible safety hazards/ issues and
then issues and then assesses these?
Question – Also, how can it show that you are
creating and taking actions based on these?
Answer – One way is by making and keeping an
up to date hazards/issues log.

First you need to look at what you do and think

‘what are my hazards / issues?’ (what can cause
harm or damage?)
 Try the following:
Your near miss and incident reports
Your own internal reviews or talks with other employees or
people you deal with
Audits
Your safety meets discussions
Attending other safety meetings
Think about hazards / issues with changes in equipment,
contractors, operations, performance, innovations, scope,
size, rules and staff (note the changes of others around you
may also affect your business)
Others’ safety analysis
Others’ near misses and incidents from the web, news media,
investigations from around the world and aviation magazines
 Three R’s in hazards
Repeated Hazards
Residual Hazards
Replacement (Substitute Hazards)
 ty
Safe t
Even Risk Handling Process

Risk Reduction
Event Risk Classification

Urgent Action

Database Analysis

Risk Assessment of
`
Safety issues
`
`
 Risk events and their Probabilities &
relationships are defined Consequences of risk
Assess events are assessed
Probability &
Consequence

..
Consequences may
Identify include cost,
1. Risk 2. Risk I
Risks mpa schedule, technical
Identifi
cation Assessm ct performance impacts,
ent as well as capability
or functionality
impacts

..
Watch Assess
Reassess existing
risk events & Risk Listed Risk
identify new risk Tracking Risks Critically
events

..
Decision-analytic
3. Risk rules applied to rank-
Prioritizat order identified risk
ion
4. Risk Analysis events from “most to
Mitigation least” critical
Risk Mitigation
Planning,
Implemen
tation, Risk events assessed as medium or
and progr high criticality might go into risk
ess
monitorin mitigation planning and
g implementation; low critical risks
might be tracked / monitored on a
watch list
 Hazard Identification –
Possible safety data sources
Safety Reporting Observing the operation
 Air safety Reports (ASR)  Line Operations Safety Audit
 Cabin Safety Reports (CSR) (LOSA)
 Maintenance Safety Reports  Line Operations Assessment
 Mandatory Occurrence Reports (MOR)
System (LOAS)
 Ground Safety Reports
 Confidential Reports
• Learning from your own
 Human Factors Reports
people
 Moderated sessions with groups
• Questionnaires/surveys
of internal experts
 Brainstorm new hazards or
• Recording
 Flight Data Monitoring
elaborate on known hazards
(=FDM=FDA=FOQA)
• External Information
• Safety and quality auditing  Conference & publications
 Other operators
 Safety Risk Analysis and Mitigation
Safety Risk Analysis
Analyze all identified hazards by completing the risk assessment.
Risk can be classified as below:
 Unacceptable: If the risk is unacceptable, major mitigation will be
necessary to reduce the severity of the consequences and/or the
likelihood of the occurrence associated with the hazard.
 Review: If the risk needs to be reviewed the severity of the
consequences or the probability of occurrence is of concern,
measures to mitigate the risk to as low as reasonably practical
should be sought.
 Acceptable: If the risk is acceptable the consequence is so unlikely
or not severe enough to be of concern; the risk is tolerable.
 Safety Risk Assessment
(Refer ICAO 9859)
 The process starts with the identification of hazards and their potential consequences. The safety
risks are then assessed in terms of probability and severity, to define the level of safety risk. If the
assessed safety risks are deemed to be intolerable, appropriate action is taken and the operation
continues. The completed hazard identification and safety risk assessment and mitigation process
is documented and approved as appropriate and forms part of the safety information management
system.
 If the safety risks are assessed as intolerable, the following questions become relevant:
a) Can the hazards and related safety risk(s) be eliminated? If the answer is no, the next question
is:
b) Can the safety risk(s) be mitigated? If the answer is no, related activities must be cancelled. If
the answer is yes, mitigation action as appropriate is taken and the next question is:
c) Do any residual safety risk exist? If the answer is yes, then the residual risks must be assessed
to determine their level of tolerability as well as whether they can be eliminated or mitigated as
necessary to ensure an acceptable level of safety performance.
Safety risk assessment involves an analysis of identified hazards that includes two components:
d) The severity of a safety outcome
e) The probability that it will occur
SEVERITY MEANING VALUE
Catastrophic - Equipment destroyed A
- Multiple deaths
Hazardous - A large reduction in safety margins, physical distress B
or a workload such that the operators cannot be relied
upon to perform their tasks accurately or completely
- Serious Injury
- Major equipment damage
Major - A significant reduction in safety margins, a C
reduction in the ability of the operators to cope with
adverse operating conditions as a result of an increase
in workload or as a result of conditions impairing
their efficiency
- Serious incident
- Injury to persons
Minor - Nuisance D
- Operating limitations
- Use of emergency procedures
- Minor incident
Negligible Few consequences E
 Measures of Risk Consequence and
Likelihood
LEVE DESCRIPTOR DESCRIPTION
L
1 Insignificant No injuries, low financial loss
2 Minor First aid treatment required, on-site release
immediately contained, medium financial loss
3 Moderate Medical treatment required, on-site release
contained with outside assistance, high financial
loss
4 Major Extensive injuries, loss of production capability,
off-site release with no detrimental effects, major
financial loss
5 Catastrophic Death, toxic release off-site with detrimental
effect, huge financial loss
 Likelihood
LEVE DESCRIPTOR DESCRIPTION
L
1 Certain Is expected to occur in most circumstances

2 Likely Will probably occur at some time

3 Possible Might occur at some time

4 Unlikely Could occur at some time

5 Rare May occur only in exceptional circumstances

Severity A
Catastrophic
B
Hazardous
C
Major
D
Minor
E
Negligible

Equipment Serious Serious Operating Little

destroyed / injury/ Major incident / limitations/ consequences
Probability Multiple
deaths
Equipment
damage
Injury to
persons
Minor
incident/
Operating
limitations

5 Has occurred 5A 5B 5C 5D 5E
Frequent frequently

4 Has occurred
infrequently
4A 4B 4C 4D 4E
Occasional

3 Has occurred 3A 3B 3C 3D 3E
Remote rarely

2 Not known to 2A 2B 2C 2D 2E
Improbable have occurred

1 Almost
inconceivable
1A 1B 1C 1D 1E
Extremely
improbable
 Risk Mitigation
If the level of risk falls into the unacceptable or review categories, mitigation
measures should be introduces to reduce the risk to an acceptable level.
Mitigation strategies could include eliminating the risk altogether or taking
measures to reduce the severity if the risk occurred or the likelihood of the risk
occurring.
Risks should be managed to be as low as reasonably practicable, which means that
the risk must be balanced against the time, cost and difficulty of taking measures
to reduce or eliminate the risk.
a) Avoidance – The activity is suspended either because the associated safety risks
are intolerable or deemed unacceptable viz-a-viz the associated benefits.
b) Reduction – Some safety risk exposure is accepted, although the severity or
probability associated with the risks are lessened, possibly by measures that
mitigate the related consequences.
c) Segregation of exposure – Action is taken to isolate the potential consequences
related to the hazard or the establish multiple layers of defences to protect
against them.