FLIGHT OPERATIONS DEPARTMENT

Commercial Air Transport Operators

Safety Management System Manual (SMM) Compliance List

Operator use only DGCA use only

PART-OPS REQUIREMENTS
Manual Reference U UD Remarks
MANAGEMENT SYSTEM
The operator shall establish, implement and maintain a management system that includes:
(a) (1) Clearly defined lines of responsibility and accountability throughout the operator, including a
direct safety accountability of the accountable manager;
(a) (2) A description of the overall philosophies and principles of the operator with regard to safety,
referred to as the safety policy;
(a) (3) The identification of aviation safety hazards entailed by the activities of the operator, their
evaluation and the management of associated risks, including taking actions to mitigate the risk
and verify their effectiveness;
(a) (4) Maintaining personnel trained and competent to perform their tasks;
ORO.GEN.200
(a) (5) Documentation of all management system key processes, including a process for making
personnel aware of their responsibilities and the procedure for amending this documentation;
(a) (6) A function to monitor compliance of the operator with the relevant requirements. Compliance
monitoring shall include a feedback system of findings to the accountable manager to ensure
effective implementation of corrective actions as necessary; and
(a) (7) Any additional requirements that are prescribed in the relevant Subparts of this Annex or other
applicable Annexes.
(b) The management system shall correspond to the size of the operator and the nature and
complexity of its activities, taking into account the hazards and associated risks inherent in these
activities.
MANAGEMENT SYSTEM - NON-COMPLEX OPERATORS - GENERAL
(a) Safety risk management may be performed using hazard checklists or similar risk management
tools or processes, which are integrated into the activities of the operator.
(b) The operator should manage safety risks related to a change. The management of change should
be a documented process to identify external and internal change that may have an adverse effect
on safety. It should make use of the operator’s existing hazard identification, risk assessment and
mitigation processes.

(c) The operator should identify a person who fulfils the role of safety manager and who is
responsible for coordinating the safety management system. This person may be the accountable
manager or a person with an operational role within the operator.
AMC1 ORO.GEN.200(a)(1);
(2);(3);(5) (d) Within the operator, responsibilities should be identified for hazard identification, risk
assessment and mitigation.
(e) The safety policy should include a commitment to improve towards the highest safety standards,
comply with all applicable legal requirements, meet all applicable standards, consider best
practices and provide appropriate resources.
(f) The operator should, in cooperation with other stakeholders, develop, coordinate and maintain
an emergency response plan (ERP) that ensures orderly and safe transition from normal to
emergency operations and return to normal operations. The ERP should provide the actions to be
taken by the operator or specified individuals in an emergency and reflect the size, nature and
complexity of the activities performed by the operator.

Doküman No: SHGM.UOD.51859319.FR.60 Revizyon No - Tarihi : 00 – 00/00/0000 1/6

 FLIGHT OPERATIONS DEPARTMENT
Commercial Air Transport Operators
Safety Management System Manual (SMM) Compliance List

Operator use only DGCA use only

PART-OPS REQUIREMENTS
Manual Reference U UD Remarks
MANAGEMENT SYSTEM - COMPLEX OPERATORS - ORGANISATION AND ACCOUNTABILITIES
The management system of an operator should encompass safety by including a safety manager and a safety
review board in the organisational structure.
(a) (1) The safety manager should act as the focal point and be responsible for the development,
administration and maintenance of an effective safety management system
The functions of the safety manager should be to:
(a) (2) (i) Facilitate hazard identifi cation, risk analysis and management;
(a) (2) (ii) Monitor the implementation of actions taken to mitigate risks, as listed in the safety action
plan;
(a) (2) (iii) Provide periodic reports on safety performance;
(a) (2) (iv) Ensure maintenance of safety management documentation;
(a) (2) (v) Ensure that there is safety management training available and that it meets acceptable
standards;
(a) (2) (vi) Provide advice on safety matters; and
AMC1 ORO.GEN.200(a)(1)
(a) (2) (vii) Ensure initiation and follow-up of internal occurrence / accident investigations.
(b) (1) The Safety review board should be a high level committee that considers matters of strategic
safety
in support of the accountable manager’s safety accountability.
(b) (2) The board should be chaired by the accountable manager and be composed of heads of functional
areas.
(b) (3) The safety review board should monitor:
(b) (3) (i) Safety performance against the safety policy and objectives;
(b) (3) (ii) That any safety action is taken in a timely manner; and
(b) (3) (iii) The eff ectiveness of the operator’s safety management processes.
(c) The safety review board should ensure that appropriate resources are allocated to achieve the
established safety performance.
(d) The safety manager or any other relevant person may attend, as appropriate, safety review board
meetings. He/she may communicate to the accountable manager all information, as necessary, to
allow decision making based on safety data.
MANAGEMENT SYSTEM - SAFETY MANAGER
(a) Depending on the size of the operator and the nature and complexity of its activities, the safety
manager may be assisted by additional safety personnel for the performance of all safety
GM1 ORO.GEN.200(a)(1) management related tasks.
(b) Regardless of the organisational set-up it is important that the safety manager remains the
unique focal point as regards the development, administration and maintenance of the operator’s
safety management system.
MANAGEMENT SYSTEM - COMPLEX OPERATORS - SAFETY ACTION GROUP
(a) A safety action group may be established as a standing group or as an ad-hoc group to assist or
act on behalf of the safety review board.
(b) More than one safety action group may be established depending on the scope of the task and
specific expertise required.
(c) The safety action group should report to and take strategic direction from the safety review board
and should be comprised of managers, supervisors and personnel from operational areas.
GM2 ORO.GEN.200(a)(1) (d) The safety action group should:
(d) (1) Monitor operational safety;
(d) (2) Resolve identified risks;
(d) (3) assess the impact on safety of operational changes; and
(d) (4) Ensure that safety actions are implemented within agreed timescales.
(e) The safety action group should review the effectiveness of previous safety recommendations and
safety promotion.

Doküman No: SHGM.UOD.51859319.FR.60 Revizyon No - Tarihi : 00 – 00/00/0000 2/6

 FLIGHT OPERATIONS DEPARTMENT
Commercial Air Transport Operators
Safety Management System Manual (SMM) Compliance List

Operator use only DGCA use only

PART-OPS REQUIREMENTS
Manual Reference U UD Remarks
MANAGEMENT SYSTEM - COMPLEX OPERATORS - SAFETY POLICY
(a) The safety policy should:
(a) (1) Be endorsed by the accountable manager;
(a) (2) Reflect organisational commitments regarding safety and its proactive and systematic
management;
(a) (3) Be communicated, with visible endorsement, throughout the operator; and
(a) (4) Include safety reporting principles.
(b) The safety policy should include a commitment:
(b) (1) To improve towards the highest safety standards;
AMC1 ORO.GEN.200(a)(2)
(b) (2) To comply with all applicable legislation, meet all applicable standards and consider best
practices;
(b) (3) To provide appropriate resources;
(b) (4) To enforce safety as one primary responsibility of all managers; and
(b) (5) Not to blame someone for reporting something which would not have been otherwise detected.
(c) Senior management should:
(c) (1) Continually promote the safety policy to all personnel and demonstrate their commitment to it;
(c) (2) Provide necessary human and financial resources for its implementation; and
(c) (3) Establish safety objectives and performance standards.
MANAGEMENT SYSTEM - SAFETY POLICY
The safety policy is the means whereby the operator states its intention to maintain and, where
practicable, improve safety levels in all its activities and to minimise its contribution to the risk of
GM1 ORO.GEN.200(a)(2) an aircraft accident as far as is reasonably practicable.
The safety policy should state that the purpose of safety reporting and internal investigations is
to improve safety, not to apportion blame to individuals.

MANAGEMENT SYSTEM - COMPLEX OPERATORS - SAFETY RISK MANAGEMENT

(a) Hazard identification processes
(a) (1) Reactive and proactive schemes for hazard identification should be the formal means of
collecting, recording, analysing, acting on and generating feedback about hazards and the
associated risks that affect the safety of the operational activities of the operator.
(a) (2) All reporting systems, including confidential reporting schemes, should include an effective
feedback process.
(b) Risk assessment and mitigation processes
(b) (1) A formal risk management process should be developed and maintained that ensures analysis (in
terms of likelihood and severity of occurrence), assessment (in terms of tolerability) and control
(in terms of mitigation) of risks to an acceptable level.
(b) (2) The levels of management who have the authority to make decisions regarding the tolerability of
safety risks, in accordance with (b)(1), should be specified.
(c) Internal safety investigation
(c) (1) The scope of internal safety investigations should extend beyond the scope of occurrences
required to be reported to the competent authority.

AMC1 ORO.GEN.200(a)(3)
Doküman No: SHGM.UOD.51859319.FR.60 Revizyon No - Tarihi : 00 – 00/00/0000 3/6
 FLIGHT OPERATIONS DEPARTMENT
Commercial Air Transport Operators
Safety Management System Manual (SMM) Compliance List

Operator use only DGCA use only

PART-OPS REQUIREMENTS
Manual Reference U UD Remarks
(d) Safety performance monitoring and measurement
(d) (1) Safety performance monitoring and measurement should be the process by which the safety
performance of the operator is verified in comparison to the safety policy and objectives.
(d) (2) This process should include:
(d) (2) (i) Safety reporting, addressing also the status of compliance with the applicable requirements;
(d) (2) (ii) Safety studies, that is, rather large analyses encompassing broad safety concerns;
(d) (2) (iii) Safety reviews including trends reviews, which would be conducted during introduction and
deployment of new technologies, change or implementation of procedures, or in situations of
structural change in operations;

AMC1 ORO.GEN.200(a)(3) (d) (2) (iv) Safety audits focussing on the integrity of the operator’s management system, and periodically
assessing the status of safety risk controls; and
(d) (2) (v) Safety surveys, examining particular elements or procedures of a specific operation, such as
problem areas or bottlenecks in daily operations, perceptions and opinions of operational
personnel and areas of dissent or confusion.
(e) The management of change
The operator should manage safety risks related to a change. The management of change should
be a documented process to identify external and internal change that may have an adverse effect
on safety. It should make use of the operator’s existing hazard identification, risk assessment and
mitigation processes.

(f) Continuous improvement

The operator should continuously seek to improve its safety performance. Continuous
improvement should be achieved through:
(f) (1) Proactive and reactive evaluations of facilities, equipment, documentation and procedures
through safety audits and surveys;
(f) (2) Proactive evaluation of individuals’ performance to verify the fulfilment of their safety
responsibilities; and
(f) (3) Reactive evaluations in order to verify the effectiveness of the system for control and mitigation
of risk.
(g) The emergency response plan (ERP)
(g) (1) An ERP should be established that provides the actions to be taken by the operator or specified
individuals in an emergency. The ERP should reflect the size, nature and complexity of the
activities performed by the operator.
(g) (2) The ERP should ensure:
(g) (2) (i) An orderly and safe transition from normal to emergency operations;
(g) (2) (ii) Safe continuation of operations or return to normal operations as soon as practicable; and
(g) (1) (iii) Coordination with the emergency response plans of other organisations, where appropriate.
MANAGEMENT SYSTEM - INTERNAL OCCURRENCE REPORTING SCHEME
(a) The overall purpose of the scheme is to use reported information to improve the level of safety
performance of the operator and not to attribute blame.
(b) The objectives of the scheme are to:
(b) (1) Enable an assessment to be made of the safety implications of each relevant incident and
accident, including previous similar occurrences, so that any necessary action can be initiated;
and
GM1 ORO.GEN.200(a)(3) (b) (2) Ensure that knowledge of relevant incidents and accidents is disseminated, so that other persons
and operators may learn from them.
(c) The scheme is an essential part of the overall monitoring function and it is complementary to the
normal day-to-day procedures and ‘control’ systems and is not intended to duplicate or
supersede any of them. The scheme is a tool to identify those instances where routine procedures
have failed.
(d) All occurrence reports judged reportable by the person submitting the report should be retained
as the significance of such reports may only become obvious at a later date.

Doküman No: SHGM.UOD.51859319.FR.60 Revizyon No - Tarihi : 00 – 00/00/0000 4/6

 FLIGHT OPERATIONS DEPARTMENT
Commercial Air Transport Operators
Safety Management System Manual (SMM) Compliance List

Operator use only DGCA use only

PART-OPS REQUIREMENTS
Manual Reference U UD Remarks
MANAGEMENT SYSTEM -
RISK MANAGEMENT OF FLIGHT OPERATIONS WITH KNOWN OR FORECAST VOLCANIC ASH
GM2 ORO.GEN.200(a)(3) CONTAMINATION
See relevant items [a] through [g ]
MANAGEMENT SYSTEM - SAFETY RISK ASSESSMENT – RISK REGISTER
GM4 ORO.GEN.200(a)(3) The results of the assessment of the potential adverse consequences or outcome of each hazard
may be recorded by the operator in a risk register
MANAGEMENT SYSTEM - TRAINING AND COMMUNICATION ON SAFETY
(a) Training
(a) (1) All personnel should receive safety training as appropriate for their safety responsibilities.
(a) (2) Adequate records of all safety training provided should be kept.
(b) Communication
(b) (1) The operator should establish communication about safety matters that:
AMC1 ORO.GEN.200(a)(4) (b) (1) (i) Ensures that all personnel are aware of the safety management activities as appropriate for their
safety responsibilities;
(b) (1) (ii) Conveys safety critical information, especially relating to assessed risks and analysed hazards;
(b) (1) (iii) Explains why particular actions are taken; and
(b) (1) (iv) Explains why safety procedures are introduced or changed.
(b) (2) Regular meetings with personnel where information, actions and procedures are discussed may
be used to communicate safety matters.
MANAGEMENT SYSTEM - TRAINING AND COMMUNICATION ON SAFETY
GM1 ORO.GEN.200(a)(4) The safety training programme may consist of self-instruction via the media (newsletters, flight
safety magazines), classroom training, e-learning or similar training provided by training service
providers.
MANAGEMENT SYSTEM DOCUMENTATION - GENERAL
(a) The operator’s management system documentation should at least include the following
information:
(a) (1) A statement signed by the accountable manager to confirm that the operator will continuously
work in accordance with the applicable requirements and the operator’s documentation as
required by this Annex;
(a) (2) The operator's scope of activities;
(a) (3) The titles and names of persons referred to in ORO.GEN.210 (a) and (b);
AMC1 ORO.GEN.200(a)(5)
(a) (4) An operator chart showing the lines of responsibility between the persons referred to in
ORO.GEN.210;
(a) (5) A general description and location of the facilities referred to in ORO.GEN.215;
(a) (6) Procedures specifying how the operator ensures compliance with the applicable requirements;
(a) (7) The amendment procedure for the operator’s management system documentation.
(b) The operator’s management system documentation may be included in a separate manual or in
(one of) the manual(s) as required by the applicable subpart(s). A cross-reference should be
included.

Doküman No: SHGM.UOD.51859319.FR.60 Revizyon No - Tarihi : 00 – 00/00/0000 5/6

 FLIGHT OPERATIONS DEPARTMENT
Commercial Air Transport Operators
Safety Management System Manual (SMM) Compliance List

Operator use only DGCA use only

PART-OPS REQUIREMENTS
Manual Reference U UD Remarks
MANAGEMENT SYSTEM - COMPLEX OPERATORS – SAFETY MANAGEMENT MANUAL
(a) The safety management manual (SMM) should be the key instrument for communicating the
approach to safety for the whole of the operator. The SMM should document all aspects of safety
management, including the safety policy, objectives, procedures and individual safety
responsibilities.

(b) The contents of the safety management manual should include all of the following:
(b) (1) Scope of the safety management system;
(b) (2) Safety policy and objectives;
(b) (3) Safety accountability of the accountable manager;
AMC2 ORO.GEN.200(a)(5) (b) (4) Safety responsibilities of key safety personnel;
(b) (5) Documentation control procedures;
(b) (6) Hazard identification and risk management schemes;
(b) (7) Safety action planning;
(b) (8) Safety performance monitoring;
(b) (9) Incident investigation and reporting;
(b) (10) Emergency response planning;
(b) (11) Management of change (including organisational changes with regard to safety responsibilities);
(b) (12) Safety promotion.
(c) The SMM may be contained in (one of) the manual(s) of the operator.
MANAGEMENT SYSTEM DOCUMENTATION - GENERAL
(a) It is not required to duplicate information in several manuals. The information may be contained
in any of the operator manuals (e.g. operations manual, training manual), which may also be
combined.
GM1 ORO.GEN.200(a)(5)
(b) The operator may also choose to document some of the information required to be documented
in separate documents (e.g. procedures). In this case, it should ensure that manuals contain
adequate references to any document kept separately. Any such documents are then to be
considered an integral part of the operator’s management system documentation.

Doküman No: SHGM.UOD.51859319.FR.60 Revizyon No - Tarihi : 00 – 00/00/0000 6/6