Aviation Safety Management

  Presentation SMS Framework                         Component 1.0 Safety Policy and Objectives  Element 1.1 Safety Policy Element 1.2 Management Commitment and Safety Accountabilitie s Element 1.3 Key Safety Personnel Element 1.4 Emergency Preparedness and Response Element 1.5 SMS Documentation and Records                        Component 2.0 Safety Risk Management (SRM) Element 2.1 Hazard Identification and Analysis Process 2.1.1 System Description and Task Analysis Process 2.1.2 Identify Hazards Element 2.2 Risk Assessment and Control Process 2.2.1 Analyze Safety Risk Process 2.2.2 Assess Safety Risk Process 2.2.3 Control/Mitigate Safety Risk                          Component 3.0 Safety Assurance Element 3.1 Safety Performance Monitoring and Measurement Process 3.1.1 Continuous Monitoring Process 3.1.2 Internal Audits by Operational Departments Process 3.1.3 Internal Evaluation Process 3.1.4 External Auditing of the SMS Process 3.1.5 Investigation Process 3.

Performance Objective.  develop, document, deliver, and regularly e valuate training necessary to meet competency requirements. Design Expectations. (1) Training needed to meet competency requirements of 4.1.1b(1) will be developed for       those individuals in the positions identified in Element 1.2b(3) and 1.3. (2) Training development will consider scope, content, and frequency of training required       to maintain competency for those individuals in the positions identified in Element                  1.2b(3)  and 1.3. (3) Employees will receive training commensurate with their:      (a) Position level within the organization,       (b) Impact on the safety of the organization’s products or services. (4) To ensure training currency, training will be periodically:      (a) Reviewed and     (b) Updated. Competencies and Training : There are process expectations in the Safety Promotion component (4.0) of the FAA SMS Framework to ensure employees, throughout the organi

                Performance Objective . Top management will communicate the outputs of its SMS to  its employees, and will provide its oversight organization access to SMS outputs in accordance  with established agreements and disclosure programs.                Design Expectations .     (1) The organization will communicate safety critical outputs of the SMS,                                        rationale   behind  controls, preventative or corrective actions and insure awareness of                  SMS  objectives to its  employees.     (2) The organization will provide its oversight organization access to the outputs of the SMS.     (3) The organization’s SMS will be able to inter-operate with other organization’s SMSs           to cooperatively manage issues of mutual concern.               Communication and Awareness. Top Management should communicate the outputs of its SMS to its employees, and should provide its oversight organization access to SMS outputs in accorda

       (a) Performance Objective . The organization will document competency requirements for those positions identified in Element 1.2b(3) and 1.3 and ensure those requirements are met.        (b) Design Expectations.  (1) The organization will determine and document competency requirements for those            positions identified in Element 1.2b(3) and 1.3.  (2) The organization will ensure that those individuals in the positions identified in  Element                1.2b(3) and 1.3, meet the Process 4.1.1b(1) competency requirements. Element 1.2b(3)    Aviation safety-related positions, responsibilities, and authorities will be                                               (a) Defined,                                               (b) Documented, and                                               (c) Communicated throughout the organization. Element 1.3 Key safety Personnel  Process 4.1.1b(1) competency requirements :  The organization will determine and document competenc

            (a) Performance Objective. The organization will ensure that personnel are trained and competent to perform the SMS duties. The scope of safety training will be commensurate with  the individual’s involvement in the SMS.             (b) Design Expectations. The organization will implement processes to accomplish the  expectations for Processes 4.1.1 thru 4.1.2. Processes 4.1.1 Personal Expectation  Processes 4.1.2 Training Competencies and Training : There are process expectations in the Safety Promotion component (4.0) of the  SMS Framework to ensure employees, throughout the organization, are trained and competent on their safety-related job functions. Additionally, it is important for all employees to know how to report safety concerns and know that it is their responsibility to do so.

           Performance Objective . Top management will promote the growth of a positive safety  culture and communicate it throughout the organization.          General Design Expectations. (1) Top management will promote the growth of a positive safety culture by:                (a) Publication of senior management’s stated commitment to safety to all employees;                (b) Visibly demonstrating their commitment to the SMS;                (c) Communicating the safety responsibilities for the organization’s personnel;                (d) Clearly and regularly communicating safety policy, goals, objectives, standards,                    and performance to all organizational employees;                (e) Creating an effective employee reporting and feedback system that provides                     confidentiality;                (f) Using a safety information system that provides an accessible, efficient means to  retrieve safety information; and               (g) Makin

                   Performance Objective. The organization will develop and maintain a process to  identify he causes of sub-standard safety performance, determine the implications of substandard  safety performance, and eliminate or mitigate such causes.                   Design Expectations.y         (1) The organization will continuously improve SMS and safety risk control effectiveness through the use of the safety and quality policies, objectives, audit and evaluation results, analysis of data, corrective and preventive actions, and management reviews.       (2) The organization will develop safety lessons learned.                    (a) Lessons learned information will be used to promote continuous improvement of  safety.                   (b) The organization will communicate information on safety lessons learned  throughout the                organization.                   Continuous Improvement :  The organization must continuously improve the effectiveness of the S

Performance Objective . Top management will conduct regular reviews of the SMS to assess the performance and effectiveness of the organization’s operational processes and the  need for improvements. Design Expectations. (1) Top management will conduct regular reviews of the SMS, including: (a) The outputs of safety risk management   (b) The outputs of SA (Component 3.0 ), and (c) Lessons learned (Element 3.3b(2). (2) Management reviews will include assessing the performance and effectiveness of an o rganization’s process designs, the implications of such, and the need for improvements of: (a) Operational processes, and (b) The SMS. Management Review : Top management should conduct regular reviews of the SMS, including outputs of SRM, SA, and lessons learned.  Management reviews should include assessing the performance and effectiveness of an organization’s operational processes and the need for improvements

Performance Objective. To develop and maintain a process to  identify changes within the organization or its operational environment which may affect  established processes and services and to describe the arrangements to assure safety performance  before implementing changes. Design Expectations. (1) The following will not be implemented until the SRM process (Component 2.0) is accomplished:                   (a) New system designs,                   (b) Changes to existing system designs,                   (c) New operations/procedures, and                   (d) Modified operations/procedures. Management of Change : A management of change process should identify changes within the organization which may affect established processes, procedures, products, and services. Before implementing changes, a management of change process should describe the arrangements to ensure safety performance. The result of this process is the reduction in the safety risks resulting from c

Performance Objective . take corrective and preventive action to  eliminate the causes, or potential causes of nonconformance identified during analysis, to prevent  recurrence. Design Expectations. (1) To develop:       (a) Corrective actions for identified nonconformities with risk controls, and       (b) Preventive actions for identified potential nonconformities with risk controls. (2) Safety lessons learned will be considered in the development of:      (a) Corrective actions, and      (b) Preventive actions. (3) To take necessary corrective and preventive action based on the  findings of investigations. (4) prioritize and implement corrective and preventative action(s)  in a timely manner. (5) Records will be kept and maintained of the disposition and status of corrective and       preventive actions.

Performance Objective. The organization will perform an assessment of the safety performance and effectiveness of risk controls, conformance to SMS expectations as stated  herein, and the objectives of the safety policy. Design Expectations. (1) The organization will assess the performance and effectiveness of:                (a) Safety-related functions of operational processes against their objectives and  expectations, and                 (b) The SMS against its objectives and expectations. (2) System assessments will document results that indicate a finding of:               (a) Conformity with existing safety risk control(s)/SMS expectations(s)  (including regulatory requirements applicable to the SMS);               (b) Nonconformity with existing safety risk control(s)/SMS expectations(s) (including regulatory requirements applicable to the SMS); and               (c) New hazard(s) found. (3) The SRM process will be utilized if the assessment indicates:        

                        Performance Objective . The organization will analyze the data described in  Processes 3.1.1 through 3.1.6 to assess the performance and effectiveness of risk controls in the  organization’s operational processes and the SMS, and to identify root causes of  nonconformance’s and potential new hazards.                       Design Expectations. (1) The organization will analyze the data described in Processes 3.1.1 through 3.1.6 to demonstrate performance and effectiveness of:                 (a) Risk controls in the organization’s operational processes and                (b) The SMS. (2) Through data analysis, the organization will identify root causes of nonconformance and potential new hazards and evaluate where improvements can be made to the organizations:               (a) Operational processes and              (b) The SMS. Analysis and Assessment : Audits and other information gathering activities are useful to management only if the information

                (a) Performance Objective.        The organization will continuously monitor operational data, including products and services received from contractors, to identify hazards, measure the  effectiveness of safety risk controls, and assess system performance.                 (b) Design Expectations. (1) The organization will monitor operational data (e.g., duty logs, crew reports, work cards, process sheets, and reports from the employee safety feedback system specified in Process 3.1.6) to:             (a) Determine conformity to safety risk controls (described in Process 2.2.3);            (b) Measure the effectiveness of safety risk controls (described in Process 2.2.3);            (c) Assess SMS system performance; and            (d) Identify hazards. (2) The organization will monitor products and services received from subcontractors.                    Information for SA comes from a variety of sources, including continuous process monitoring of day-to

Performance Objective . The organization will establish and maintain a confidential  employee  safety reporting and feedback system. Data obtained from this system will be  monitored to identify emerging hazards and to assess performance of risk controls in the  operational systems. Design Expectations. (1) The organization will establish and maintain a confidential employee safety reporting   and        feedback system as in Component 4.0b(1)(e). (2) Employees will be encouraged to use the safety reporting and feedback system  without fear  of reprisal and to submit solutions/safety improvements where possible. (3) Data from the safety reporting and feedback system will be monitored to identify    emerging  hazards. (4) Data collected in the safety reporting and feedback system will be included in  analyses          described in Process 3.1.7. Safety Data Collection and Processing  System : CAR Section 1 Series C Para 10.1 Employee Reporting System :The  SMS Framework spe

Performance Objective. The organization will establish procedures to collect data and investigate incidents, accidents, and instances of potential regulatory noncompliance to identify  potential new hazards or risk control failures. Design Expectations. (1) The organization will collect data on:       (a) Incidents,       (b) Accidents, and       (c) Potential regulatory non-compliance. (2) The organization will establish procedures to:      (a) Investigate accidents,      (b) Investigate incidents, and      (c) Investigate instances of potential regulatory non-compliance. Investigations  Investigation of safety occurrences should have the objective of identifying systemic safety deficiencies (poor system design, failed controls, failed preventative/corrective actions, etc.) rather than assigning blame. It is not as important to identify who did it as it is to learn why it happened.  System resilience can be much more effectively reinforced by removing systemic deficienci

Performance Objective . The organization will include the results of assessments  performed by oversight  and other organizations  in its analysis of  data.   Design Expectations : The organization will include the results of oversight organization assessments, and other external audit results, in the analyses conducted as described in Process 3.1.7. External Audits :  External audits of the SMS may be conducted by the regulator (DGCA), code-share partners, customer organizations, or other third parties selected by the operator. These audits not only provide a strong interface with the Safety Oversight System (SAS) but also a secondary assurance system. Organizations may elect to have third-party audits of their SMS from organizations such as IATA or other consultant organizations. It is not the intent of an SMS to require the arrangement or purchase of external audits, especially by small operators. However, if external audits are conducted of the organization, the data collect

                  (a) Performance Objective . The organization will conduct internal evaluations of the SMS  and operational processes at planned intervals, to determine that the SMS conforms to its  objectives and expectations.                  (b) Design Expectations.         (1) The organization will conduct internal evaluations of the operational processes and the SMS at planned intervals to determine that the SMS conforms to objectives and expectations  (Note: SMS output measurement is a primary control under Component 1.0b(3)(c) and (4)(e)).         (2) Planning of the evaluation program will take into account:                               (a) Safety criticality of the processes being evaluated, and                               (b) The results of previous evaluations.         (3) The organization will define:                               (a) Evaluations, including:                                                      1. Criteria,                                    

                           (a) Performance Objective. The organization will perform regularly scheduled internal  audits of its operational processes, including those performed by contractors, to verify safety  performance and evaluate the effectiveness of safety risk controls.                            (b) Design Expectations.        (1) Line management of operational departments will conduct regular internal audits of             safety-related functions of the organization’s operational processes (production system).        (2) Line management will ensure that regular audits are conducted to:              (a) Determine conformity with safety risk controls, and              (b) Assess performance of safety risk controls.        (3) Planning of the audits program will take into account:             (a) Safety criticality of the processes to be audited, and             (b) The results of previous audits.       (4) The organization will define:            (a) Audits, includ

Performance Objective -  develop and maintain a means to  monitor, measure, and verify the safety performance of the organization, and to validate the  effectiveness of safety risks controls. Design Expectations -  implement processes to accomplish the  expectations for Processes 3.1.1 thru 3.1.8 Processes 3.1.1   Processes 3.1.2 Processes 3.1.3 Processes 3.1.4 Processes 3.1.5 Processes 3.1.6 Processes 3.1.7 Processes 3.1.8 PROCESS 3.1.1 CONTINUOUS MONITORING. Performance Objective . The organization will continuously monitor operational data, including products and services received from contractors, to identify hazards, measure the  effectiveness of safety risk controls, and assess system performance. Design Expectations.         1.monitor operational data (e.g., duty logs, crew reports, work c ards, process sheets, and reports from the employee safety feedback system  to:                   (a) Determine conformity to safety risk controls                    (b) Meas

Performance Objective .  monitor, measure, and evaluate the  performance and effectiveness of risk controls. General Design Expectations          (1)  monitor systems and operations to:                      (a) Identify new hazards,                      (b) Measure the effectiveness of safety risk controls,                      (c) Ensure compliance with regulatory requirements ,                       (d) Ensure the SA function is based upon a comprehensive system.          (2) collect the data necessary to demonstrate the effectiveness of its:                     (a) Operational processes, and                     (b) The SMS Safety Management System  Overview Safety Management System Framework

Performance Objective . The organization will design and implement a risk control for each identified hazard for which there is an unacceptable risk, to reduce risk to acceptable levels. The potential for residual risk and substitute risk will be analyzed before implementing any risk  controls. Design Expectations. (1) Safety control/mitigation plans will be defined for each hazard with unacceptable  risk. (2) Safety risk controls will be:               (a) Clearly described,               (b) Evaluated to ensure that the expectations have been met,               (c) Ready to be used in their intended operational environment, and documented. (3) Substitute risk will be evaluated when creating safety risk controls/mitigations. Controlling Risk.  Process 2.2.3) After hazards and risk are fully understood from the preceding steps, risk controls must be designed and implemented. These may be additional or changed procedures, new supervisory controls, addition of organizational h