Aviation Safety Management

       Performance Objective .  determine and analyze the severity and  likelihood of potential events associated with identified hazards, and will identify risk factors  associated with unacceptable levels of severity or likelihood.       Design Expectations. (1) Safety risk analysis process will include:       (a) Existing safety risk controls,       (b) Triggering mechanisms, and       (c) Safety risk of reasonably likely outcomes from the existence of a hazard.             1. Likelihood, and             2. Severity.           Risk Analysis and Assessment. Process 2.2.1 and 2.2.2. The risk analysis and risk assessment components of the  SMS Framework use a conventional breakdown of risk by its two components:       likelihood of occurrence of an injurious mishap and  ...

Performance Objective . The organization will analyze its systems, operations, and operational environment to gain an understanding of critical design and performance factors,  processes,   and activities to identify hazards. Design Expectations. (1) System descriptions and task analysis will be developed to the level of detail  necessary to: (a) Identify hazards, (b) Develop operational procedures, and (c) Develop and implement risk controls.

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 Train...

       (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,             ...

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 . 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 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 orga...

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 Process...

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 h...

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 o...

                  (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                 ...

                           (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 perform...

  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...

 Performance Objective .  assess risk associated with each id entified hazard and define risk acceptance procedures and levels of management that can make  safety risk acceptance decisions. Design Expectations . Each hazard will be assessed for its safety risk acceptability using the safety risk acceptance process 

       Performance Objective . The organization will identify and document the hazards in its operations that are likely to cause death, serious physical harm, or damage to equipment or  property in sufficient detail to determine associated level of risk and risk acceptability.       While it is recognized that identification of every conceivable hazard is impractical, organizations are expected to  exercise due diligence in identifying and controlling significant and reasonably foreseeable hazards related to their  operations.         Risk likelihood and severity may be expressed in quantitative or qualitative terms.           Design Expectations. (1) Hazards will be:       (a) Identified for the entire scope of the system, as defined in the system  description       (b) Documented. (2) Hazard information will be:       (a) Tracked, and...

Performance Objective . The organization will develop and maintain a process that  ensures that hazards in operations are identified. Hazards will be identified from the analysis of  critical design and performance factors, processes, and activities in sufficient detail to determine  associated level of risk and risk acceptability. Design Expectations. The organization will implement processes to accomplish the  objectives and expectations for Processes 2.1.1 System description and task analysis and  process  2.1.2. Identify hazard  PROCESS 2.1.1 SYSTEM DESCRIPTION AND TASK ANALYSIS. Performance Objective . The organization will analyze its systems, operations, and  operational environment to gain an understanding of critical design and performance factors, processes, and activities to identify hazards. Design Expectations.  System descriptions and task analysis will be developed to the level of detail  necessary to:   ...