Module 3

SMS Framework
 SMS Course Outline

Module Z
Module 6 SMS
SMS Implementation Course
Summary

Module 5
Module 4
Safety Risk
Hazard
Assessment and
Identification
Mitigation

Module 2
Module A Module 1 Introduction to Module 3
SMS Course Basic Safety Safety SMS Framework
Introduction Concepts Management

SMS v1.0 May 2024

PPT 3.2
 End-of-Module Objective

In the classroom, having completed this module delivery, the

Condition participants will be able to:

discuss the SMS Framework, its components and elements

Performance and its relevance to the implementation of a safety
management system across various aviation organizations

in accordance with ICAO Annex 19 (Safety Management),

Standards ICAO Document 9859 Safety Management Manual, and Civil
Aviation Regulation – Safety Management.

SMS v1.0 May 2024

PPT 3.3
 Intermediate Objective

1 Describe the what and why of an SMS Framework

2 Discuss the 4 components and 12 elements of the SMS Framework

SMS v1.0 May 2024

PPT 3.4
Module Outline

SMS Framework Component 1:

Safety Policy and Objectives
SMS Framework Component 2:
Safety Risk Management
SMS Framework Component 3:
Safety Assurance
SMS Framework Component 4:
Safety Promotion
 SMS Framework: The Why and What

• Facilitates interactions and interconnect the safety

processes across the aviation system
• Promotes common acceptance and reduces the
unnecessary duplication of effort

Service providers do not work in isolation.

SMS v1.0 May 2024

PPT 3.6
 SMS Framework: The Why and What

• Comprises four components subdivided into elements

➢ Safety policy and objectives
➢ Safety risk management
➢ Safety assurance
➢ Safety promotion
• Promotes a standardized approach across all organizations
that have implemented an SMS
➢ Supports development and use of common methods and tools,
language and taxonomy needed for comparison, sharing and
understanding

SMS v1.0 May 2024

PPT 3.7
 SMS Framework Component 1
A. Safety Policy and Objectives
• Management commitment and responsibility
• Safety accountabilities
• Appointment of key safety personnel
• Coordination of emergency response planning
• SMS documentation
B. Safety Risk Management
• Hazard identification
• Safety risk assessment and mitigation
C. Safety Assurance
• Safety performance monitoring and
measurement
• The management of change
• Continuous improvement of the SMS
D. Safety Promotion
• Training and education
• Safety communication

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PPT 3.8
 Safety Policy and Objectives

• Focuses on how the organization creates the

right environment for an effective SMS
• Includes safety policy and objectives that sets
out senior management’s commitment
regarding safety and organizational structure
to support that commitment.
• Created to provide a frame of reference for the
SMS by outlining the principles, processes and
methods of the organization’s SMS to achieve
the desired safety outcomes

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PPT 3.9
 Safety Policy and Objectives

• Encompasses the following elements

1.1 Management commitment and responsibility
1.2 Safety accountabilities
1.3 Appointment of key safety personnel
1.4 Coordination of emergency response planning
1.5 SMS documentation

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PPT 3.10
 Safety Policy and Objectives

First element under

State safety policy and
objectives and should
be included within the
safety policy

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PPT 3.11
 Management Commitment
To reflect the organization’s commitment on
Safety, the safety policy should include a
commitment to:
• Promote and to maintain a positive safety
culture within the organization
• Continuously improve the level of safety
performance
• Comply with all applicable regulatory
requirements
• Provide the necessary resources to deliver a
safe product or service
• Ensure safety is a primary responsibility of all
managers
• Ensure that the safety policy is understood,
implemented and maintained at all levels

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PPT 3.12/13
 Management Commitment
These are high level
statements that communicate
the organization’s safety
priorities.

The safety objectives

highlight what the
organization intends to
achieve and should
address its most significant
safety risks.

The safety policy and safety

objectives must be periodically
reviewed to ensure they remain
relevant and appropriate.
SMS v1.0 May 2024
PPT 3.14
 Management Commitment
Sample Safety Policy

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PPT 3.15
 Safety Accountability and Responsibilities
RESPONSIBLE FOR: AUTHORITY OVER:
To address the second • ensuring • safe operation of the
appropriate actions organization
element of safety are taken to address • make decisions on

policy and objectives, safety issues and

safety risks;
behalf of the
organization

the organization has to • responding to

accidents and
including decisions
1.2 – Safety accountability and
related to financial
identify an incidents. Responsibilities
and human
resources
accountable
executive who has
ultimate authority over
the safe operation of
the organization.

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PPT 3.16
 Safety Accountability and Responsibilities
Accountable executive
• Define the specific safety accountabilities
of all members of the management team
clarifies their role in the SMS and how
they can contribute towards a positive
safety culture
• Often delegate some safety management
responsibilities and tasks to the senior
management team and other key safety
personnel except:
• Assuring safety policies are
appropriate and communicated
• Assuring necessary allocation of
resources –financing, personnel,
training, acquisition, etc.
• Setting of the acceptable risk limits
and resourcing of necessary controls

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PPT 3.16
 Safety Accountability and Responsibilities

Accountability is
not the same as
responsibility.

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PPT 3.17
 Safety Accountability and Responsibilities

The authority to make

decisions regarding safety
risk tolerability should be
defined.
The authority may be
assigned to an individual
role, a management
position or at a safety
committee level.

SMS v1.0 May 2024

PPT 3.18
 Safety Accountability and Responsibilities
This element also
includes the need to
document and
communicate safety
accountability,
responsibilities and
authorities throughout
the organization, and
defining the safety roles
within the SMS of the
organization.

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PPT 3.19
 Safety Accountability and Responsibilities
This element also
includes the need to
document and
communicate safety
accountability,
responsibilities and
authorities throughout
the organization, and
defining the safety roles
within the SMS of the
organization.

SMS v1.0 May 2024

PPT 3.19
 Safety Accountability and Responsibilities
This element also
includes the need to
document and
communicate safety Authorities: Authority to make safety risk tolerability
accountability, decisions should be commensurate with the manager’s
responsibilities and general decision-making level of authority, and their
authority to allocate resources. A lower level manager
authorities throughout (or management group) may be authorized to make
the organization, and tolerability decisions up to a certain level. Risk levels that
defining the safety roles exceed the manager’s authority must be escalated to a
higher management level, with greater authority, for
within the SMS of the
consideration.
organization.

SMS v1.0 May 2024

PPT 3.19
 Appointment of Key Safety Personnel
Safety Manager:
The Accountable
• Responsible to the
Executive should ensure
accountable executive for
that there is an
the performance of the
appropriate SMS and for the delivery
organizational structure of safety services to the
to manage and operate other departments in the
the SMS. organization
• Advises the accountable
The appointment of a executive and line
competent person or managers on safety
persons fulfilling the role management matters
of safety manager is key • Coordinates and
to the effective communicates safety
implementation and issues to both internal and
functioning of the SMS. external stakeholders

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PPT 3.20
 Appointment of Key Safety Personnel

In the context of this element,

service providers should
establish appropriate safety
committee that support the
SMS functions across the
organization.

This includes determining who

should be involved in the
safety committee and the
frequency of meetings.

SMS v1.0 May 2024

PPT 3.21
 Appointment of Key Safety Personnel
Highest Level Safety Committee:
• Committee (i.e. Safety Review Board) through which the safety
manager can assess the effectiveness of any mitigation strategies
• Strategic and deals with high-level issues related to policies, resource
allocation and organizational performance monitoring
• May include accountable executive and senior management with the
following functions:
➢ Monitors the effectiveness of the SMS;
➢ Monitors that any necessary risk control action is taken in a timely manner;
➢ Monitors safety performance against the organization’s safety
management processes which support the declared organization priority
of safety management; and
➢ Promotion of safety across the organization

SMS v1.0 May 2024

PPT 3.22
 Appointment of Key Safety Personnel
Supporting Safety Committee:
• Committee (i.e. safety action group) which coordinates
implementation of safety strategies throughout the organization
• Tactical entities that deal with specific implementation issues as per
safety review board directions
• Normally composed of managers and frontline personnel with the
following functions:
➢ Oversees operational performance and ensures appropriate safety risk
management activities are done;
➢ Reviews available safety data and identifies implementation of risk control
strategies and ensures employee feedback;
➢ Assesses safety impact related to operational changes
➢ Coordinates timely implementation of any risk control actions
➢ Reviews effectiveness of risk controls

SMS v1.0 May 2024

PPT 3.23
 Coordination of Emergency Response Planning
Applies only to service
providers required to establish
and maintain an emergency
response plan (ERP).

ERP
Affected Service Providers
• Written action plan to be taken by the organization following an should ensure:
aviation-related emergency
• Ensure that there is an orderly and efficient transition from • Proper coordination of ERP
normal to emergency operations • Continuation of operations
• Overall objective is to save lives, the safe continuation of
operations and the return to normal operations ASAP • Return to normal operations

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PPT 3.24
 SMS Documentation
• Establishment and maintenance of SMS documentation assist
performance and success of the SMS.
• It is important to consider the size and complexity of the organization.
• There should be explicit guidelines for records management:
handling, storage, retrieval and preservation.

SMS v1.0 May 2024

PPT 3.25
 SMS Documentation
SMS Manual

• Describes the organization’s SMS policies, processes and procedures

• Facilitates the organization’s internal administration, communication and
maintenance of the SMS to help personnel understand
• Written to reflect the day to day safety management activities in a way that is
easily understood
• Serves as the organization’s SMS communication to the relevant authority for
acceptance, assessment and monitoring of the SMS
• May be a stand-alone document or integrated with other organizational
documents maintained by the service provider

H3.1
SMS v1.0 May 2024
PPT 3.26
 SMS Documentation
SMS Operational Records

• Outputs of the SMS processes and procedures such as safety risk management and
safety assurance activities
• Should be stored and retained in line with existing retention periods.
• Compilation and maintenance of these records is another aspect of SMS documentation
• Typically includes:
➢ Hazards register and hazard/safety reports
➢ Safety performance indicators and related charts
➢ Completed risk assessments
➢ SMS internal review or audit records
➢ SMS meeting minutes
➢ SMS implementation plan

SMS v1.0 May 2024

PPT 3.27
 Knowledge Check

Q: Which of the following are elements of the “Safety policy and objectives”
component of the SMS framework?

Management commitment
The management of change
Safety accountability and responsibilities
Appointment of key safety personnel
Coordination of emergency response planning
SMS documentation ?
SMS v1.0 May 2024
PPT 3.28
 SMS Framework Component 2
A. Safety Policy and Objectives
• Management commitment and responsibility
• Safety accountabilities
• Appointment of key safety personnel
• Coordination of emergency response planning
• SMS documentation
B. Safety Risk Management
• Hazard identification
• Safety risk assessment and mitigation
C. Safety Assurance
• Safety performance monitoring and
measurement
• The management of change
• Continuous improvement of the SMS
D. Safety Promotion
• Training and education
• Safety communication

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PPT 3.29
 Safety Risk Management

• the process of anticipating potential risks

of activities and ensuring these risks are
managed
• Encompasses the following elements
2.1 Hazard identification
2.2 Safety risk assessment and mitigation

Refer to Annex 19 for more information

SMS v1.0 May 2024

PPT 3.30
 Understanding Hazards and Consequences

SMS v1.0 May 2024

PPT 3.31
 Understanding Hazards and Consequences

A consequence is an outcome that

can be triggered by a hazard.

Unsafe Event is the stage in the escalation

of an accident scenario where the accident
will occur, unless an active recovery
measure is available and is successfully
used.
A hazard focuses on conditions (or
objects) which may cause or
contribute to an unsafe event or
ultimate consequence.

SMS v1.0 May 2024

PPT 3.32
 Understanding Hazards and Consequences

By first defining the hazard clearly, one can then

project the likely consequence or outcome.

Consequences can be multi-layered, involving an

intermediate unsafe event before the ultimate
consequence (e.g., accident).

Since hazards can trigger undesirable consequences, they should be

identified and effectively mitigated.

SMS v1.0 May 2024

PPT 3.33
 Hazard Identification

Safety data is a defined

set of facts or set of
safety values collected
from various aviation
related sources, which
is used to maintain or
improve safety.

SMS v1.0 May 2024

PPT 3.34
 Hazard Identification
Safety data is collected from proactive and reactive safety-related activities
including but not limited to:

Accident or incident investigations

Safety reporting

Continuing airworthiness reporting

Operational performance monitoring

Inspections, audits, surveys

Safety studies and reviews

SMS v1.0 May 2024

PPT 3.35
 Hazard Identification
Safety data is collected from proactive and reactive safety-related activities
including but not limited to:

Accident investigation is an essential process Accurate and timely reporting of relevant

that deploys when safety defenses, barriers, information related to hazards, incidents or
checks and counterbalances in the system have accidents is a fundamental activity of safety
failed. Apart from establishing findings and root management. A workplace in which personnel have
causes, investigation exercises also uncover been trained and are constantly encouraged to
hazards. In today’s proactive safety management report their errors and experiences is a prerequisite
environment, there is an important and for effective safety reporting. For effective
necessary integration between an implementation of SSP and SMSs, States and
accident/incident investigation process and an Service Providers should consider an integrated
organization’s hazard reporting/identification approach for the collection, processing and analysis
process. of safety data and safety information.

SMS v1.0 May 2024

38
PPT 3.0
 Hazard Identification
Safety data is collected from proactive and reactive safety-related activities
including but not limited to:

Air operators, organizations responsible for type Analysis of recorded flight data parameters is
design and maintenance organizations should not only useful for accident investigations but
report to their airworthiness authority, all faults, also for better understanding of safe flight
malfunctions, defects and other occurrences operations. Analysis of de-identified data could
which cause or might cause adverse effects on assist in the proactive identification of safety
the continuing airworthiness of the aircraft. hazards before an incident or accident occurred.
These reports contain information which Flight data analysis (FDA) has thereby provided
provides intelligence needed to assess defects, management with another tool for proactively
institute early corrective action and thus assist in identifying safety hazards, and controlling and
accident prevention. mitigating the associated risks.

SMS v1.0 May 2024

PPT 3.35
 Hazard Identification
Safety data is collected from proactive and reactive safety-related activities
including but not limited to:

There should be mechanisms to ensure that the Safety studies are analyses used to gain an understanding
identification of hazards and the management of of broad safety issues or those of a global nature.
safety risks by service provider follow established Individual service providers may find that these global
regulatory controls (requirements, specific operating recommendations improve safety performance in the
regulations and implementation policies). These context of their aviation activities.
mechanisms include inspections, audits and surveys to Safety reviews are a fundamental component of change
ensure that regulatory safety risk controls are management. They are conducted during the introduction
appropriately integrated into the service provider’s of new technologies, new procedures or systemic changes
SMS, that they are being practiced as designed, and that affect aviation operations. They ensure that safety
that the regulatory controls have the intended effect performance is maintained at appropriate levels during
on safety risks. periods of change.

SMS v1.0 May 2024

PPT 3.35
 Hazard Identification and Methodologies
The reactive
The proactive
methodology involves
methodology involves
analysis of past
existing or real-time
primary job of the safety
Proactive outcomes or events.
Hazards can be
assurance function with
identified during the
its audits, inspections,
investigation of safety
surveys and associated
occurrences. Incidents
follow-up mechanisms,
and accidents are
This involves active
possible indicators of
seeking of operational
system deficiencies and
situations which is the
therefore can be used to
hazards (apart from non
Reactive determine the hazards
conformances) in the
that either directly
existing operational
contributed to the event
processes.
or were latent.
SMS v1.0 May 2024
PPT 3.36
 Safety Risk Assessment and Mitigation

SMS v1.0 May 2024

PPT 3.37
 Safety Risk Assessment Process
1. Identify potential consequences of each hazard

SMS v1.0 May 2024

PPT 3.38
 Safety Risk Assessment Process
2. For each consequence determine the safety risk probability

SMS v1.0 May 2024

PPT 3.39
 Safety Risk Assessment Process
2. For each consequence determine the safety risk probability

SMS v1.0 May 2024

PPT 3.39
 Safety Risk Assessment Process
3. For each consequence determine the safety risk severity

Safety risk severity is defined as the extent of harm that

might reasonably occur as a consequence or outcome
of identified hazard.

SMS v1.0 May 2024

PPT 3.40
 Safety Risk Assessment Process
3. For each consequence determine the safety risk severity

SMS v1.0 May 2024

PPT 3.40
 Safety Risk Assessment Process
4. Determine safety risk index using a matrix or other tool

The safety risk

probability and
severity
assessment
process can be
used to derive a
safety risk index.

SMS v1.0 May 2024

PPT 3.41
 Safety Risk Assessment Process
5. Determine safety risk tolerability
Safety Risk Index Range Safety Risk
Recommended Action
Description
Take immediate action to mitigate the risk or stop the activity.
Perform priority safety risk mitigation to ensure additional or
5A, 5B, 5C, 4A, 4B, 3A INTOLERABLE enhanced preventative controls are in place to bring down the
safety risk index to tolerable.

5D, 5E, 4C, 4D, 4E, 3B, 3C, Can be tolerated based on the safety risk mitigation. It may require
3D, 2A, 2B, 2C, 1A
TOLERABLE management decision to accept the risk.

3E, 2D, 2E, 1B, 1C, 1D, 1E ACCEPTABLE Acceptable as is. No further safety risk mitigation required.

SMS v1.0 May 2024

PPT 3.42
 Knowledge Check

Q: Safety risk is described as:

a. The predicted probability and severity of the consequences or

outcomes of a hazard
b. The projected likelihood and severity of a risk
c. The predicted probability and severity of the hazard
d. The projected likelihood of a hazard

?
SMS v1.0 May 2024
PPT 3.43
 Safety Risk Mitigation Strategies
A risk mitigation strategy may involve one of the approaches as
avoidance, reduction or segregation; or it may include multiple
approaches. It is important to consider the full range of possible
control measures to find an optimal solution.

SMS v1.0 May 2024

PPT 3.44
 Safety Risk Mitigation Strategies

SMS v1.0 May 2024

PPT 3.45
 Risk Evaluation Method: Bowtie Model

Bowtie is a risk evaluation

method that can be used to
analyze and demonstrate
causal relationship in high
risk scenarios.

The method takes its name

from the shape of the
diagram that you create
that looks like a man’s
bowtie.
SMS v1.0 May 2024
PPT 3.46
 1. What is the hazard?
3. What safety event could 6. How do we recover if the event occurs? How can
release the hazard? the potential outcome likelihood or consequence
severity of the outcome be limited?
Barrier Hazard

Potential
Safety Event 1
Outcome

Undesirable Potential
Safety Event 2 Event Outcome

Potential
Safety Event 3
Outcome
Mitigation
5. How do we avoid the undesirable
event? How do we keep control on the 2. What happens when 4. How can the accident scenario
hazard? hazard control is lost? develop?
What are the potential outcomes?
 Safety Risk Management Documentation

• Safety risk management activities

should be documented, including
any assumptions underlying the
probability and severity
assessment, decisions made, and
any safety risk mitigation actions
taken.
• Maintaining a register of identified
hazards minimizes the likelihood
that the organization will lose sight
of its known hazards.

SMS v1.0 May 2024

PPT 3.48
 Risk Mitigation and CBA

Cost benefit or cost-effectiveness is normally carried out during the

safety risk mitigation activities. It is commonly associated with a
higher level management protocol, such as a regulatory impact
assessment or business expansion project.
However, there may be situations where a risk assessment may be
at a significantly high level or have a significant financial impact.
In such situations, a supplementary CBA or cost-effectiveness
process to support the risk assessment may be warranted.

This is to ensure that the cost-effectiveness analysis or justification

of recommended risk control actions has taken into consideration
the associated financial implications.

SMS v1.0 May 2024

PPT 3.49
 Knowledge Check

Q: Describe the three basic risk mitigation strategies.

?
SMS v1.0 May 2024
PPT 3.50
 SMS Framework Component 3
A. Safety Policy and Objectives
• Management commitment and responsibility
• Safety accountabilities
• Appointment of key safety personnel
• Coordination of emergency response planning
• SMS documentation
B. Safety Risk Management
• Hazard identification
• Safety risk assessment and mitigation
C. Safety Assurance
• Safety performance monitoring and
measurement
• The management of change
• Continuous improvement of the SMS
D. Safety Promotion
• Training and education
• Safety communication

SMS v1.0 May 2024

PPT 3.51
 Safety Assurance

• Assesses the effectiveness of the SMS,

including the effectiveness of the safety risk
controls
• Consists of processes and activities undertaken
to determine whether the SMS is operating
according to expectations and requirements
• Encompasses the following elements
3.1 Safety performance monitoring and
measurement
3.2 The management of change
3.3 Continuous improvement of the SMS

SMS v1.0 May 2024

PPT 3.52
 Safety Assurance

• Should provide confidence that risks are

being managed and controlled to
acceptable levels
• Ensures appropriate actions have been
taken, that internal process are effective
and that safety objectives are met
• Continuous monitoring and testing of
internal SMS processes, operating
environment to detect changes or
deviations which may introduce
emerging safety risks or degradation of
existing risk controls

SMS v1.0 May 2024

PPT 3.53
 Safety Performance Monitoring and Measurement

The first element in this component

is for the organization to develop
and maintain means to verify the
safety performance of the
organization and to validate the
effectiveness of safety risk controls

SMS v1.0 May 2024

PPT 3.54
 Safety Performance Monitoring and Measurement

Safety performance monitoring is

conducted through the collection of
data and information from a variety
of resources typically available to an
organization.
Using this safety data for safety
performance monitoring and
measurement is essential to
generating the information
necessary for safety risk decision-
making.
SMS v1.0 May 2024
PPT 3.55
 Safety Performance Monitoring and Measurement

Verification of the safety

performance of the organization and
the validation of the effectiveness of
safety risk controls requires the use
of a combination of internal audits
and the establishment and
monitoring of safety performance
indicators (SPIs)

SMS v1.0 May 2024

PPT 3.56
 Safety Performance Monitoring and Measurement

Safety performance monitoring and measurement should be

conducted observing some basic principles. This requires the
organization to define:

Safety objectives Safety Performance Safety Performance

Indicators Targets

SMS v1.0 May 2024

PPT 3.57
 Safety Performance Indicators

The safety performance

of the organization is
verified with reference
to safety performance
indicators and safety
performance targets of
the SMS, which may be
agreed with State as
part of the State Safety
Program.
SMS v1.0 May 2024
PPT 3.58
 Safety Performance Indicators

By setting safety
performance indicators, an
organization is able to track
and compare its operational
safety performance against
a target and also measure
the performance of its SMS
The target is typically
expressed as a rate or
number reduction over a
period of time.
SMS v1.0 May 2024
PPT 3.59
 Safety Performance Indicators

For example, for an air SERVICE PROVIDERS

operator, it might Will gain a more complete and realistic picture of
the organization’s safety performance if SPIs and
address the number of SPTs encompass a wide spectrum of indicators. This
should include:
takeoff or landing tail • Low-probability/high-severity events (example:
strikes, unstabilized accidents and serious incidents);
• High-probability/low-severity events such as
approaches or runway uneventful operational events, non-conformance
incursions over a period reports, deviation; and,
• Process performance (example: training, system
of one year improvements and report processing).

SMS v1.0 May 2024

PPT 3.60
 Safety Performance Indicators

Achievement of the target (or objective)

would represent an improvement in the
safety performance.
Use of SPI is an effective method to
determine if desired safety outcomes
are being achieved, and to focus
attention on the safety performance of
the organization in managing safety
risks.

SMS v1.0 May 2024

PPT 3.61
 Safety Performance Indicators
The safety performance results might also contribute to the safety
performance of the State as developed by the State Safety Program. As
such, the Service Provider should consider what safety data and safety
information they have available and how reliable that information is in
establishing useful SPIs

SMS v1.0 May 2024

PPT 3.62
 Internal Audits

Internal audit process is used to:

• Assess the effectiveness of the
SMS
• Identify areas for potential
improvement of the SMS
• Ensure compliance with the
regulations
The main focus of the internal
auditing is on the policies, processes
and procedures that provide the risk
controls.

SMS v1.0 May 2024

PPT 3.63
 Internal Audits

To be most effective, internal audits are conducted by persons or

departments that are independent of the functions being audited.
• should provide the accountable executive, as well as senior
management with feedback on the status of:
a) compliance with regulations;
The main focus of the internal auditing is on the policies, processes and procedures that provide the
b) compliance with policies, risk processes
controls. and procedures;
c) the effectiveness of safety risk controls;
d) The effectiveness of corrective actions; and
e) The effectiveness of the SMS.

Refer to SMM 4th edition for more information.

SMS v1.0 May 2024

PPT 3.64
 Integration of Management Systems

A service provider should consider safety

management system as part of an integrated
management system that covers the SMS
and other business management systems
such as quality management systems,
security management systems, occupational
health and safety, fatigue risk management
systems and environmental systems.

This is done to decrease duplication and

exploit synergies by consolidating
management activities using one system.

SMS v1.0 May 2024

PPT 3.65
 Safety Information Resources
The development of and information on safety performance indicators is
usually based on analysis of data obtained from a variety of resources.

1. Reporting Systems
• comprise mandatory and voluntary reporting systems
• should be readily accessible, the benefits of which should be well-
promoted and feedback on mitigating actions in response to the report
should be provided
• can facilitate exchange of safety information.
2. Safety Studies
• Used to gain an understanding of broad safety issues or those of a global
nature

SMS v1.0 May 2024

PPT 3.66
 Safety Information Resources

The development of and information on safety performance indicators is

usually based on analysis of data obtained from a variety of resources.

3. Safety Reviews
• Typically conducted during the introduction of new technologies, procedures or
systemic changes that affect aviation operations
• ensure safety performance is maintained at appropriate levels during periods of
change
4. Safety Surveys
• examine procedures or processes related to a specific operation
• Involve the use of checklists, questionnaires and informal confidential interviews
• provide an inexpensive resource of significant safety information

SMS v1.0 May 2024

PPT 3.67
 Safety Information Resources

The development of and information on safety performance indicators is

usually based on analysis of data obtained from a variety of resources.

5. Audits
• Provide an assessment of safety risk controls and related quality assurance
processes
• Intended to provide assurance of safety management functions, including
staffing, compliance with approved regulations, levels of competency and
training
6. Internal Safety Investigations
• Conducted for certain reportable safety events in accordance with internal
or regulatory requirements

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PPT 3.68
 The Management of Change
One of the most risky periods in aviation involves…

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PPT 3.69
 The Management of Change

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PPT 3.69
 The Management of Change
Therefore, it is important that organizations maintain a formal process to:

Identify changes within the Describe the arrangements to

organization which may affect establish a baseline safety
established processes and performance before
services implementing changes

Eliminate or modify safety risk

controls that are no longer
needed or effective due to
changes in the operational
environment

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PPT 3.70
 Safety Performance Indicators
Hazards introduced by change should be identified so and related safety
risks assessed and controlled as defined in the organization’s existing
hazard identification/risk management procedures.

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PPT 3.71
 The Management of Change

In more detail,
organizations
such as service
providers
experience
change when
there is:

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PPT 3.72
 The Management of Change

Service providers
should also consider
the impact of the
change on its staff.

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PPT 3.73
 The Management of Change
The change management process should include the following activities
to effectively implement:
• Determine the scope of changes and interfaces at State level
• Confirm that changes are aligned with relevant plans at the national,
regional and global levels
• Identify potential hazards associated consequences
• Conduct safety risk assessment associated to changes with impact at
State level
• Develop risk management strategy
• Obtain agreement on level of tolerable risk
• Approve an Implementation Plan to meet management strategy
• Develop means to verify the impact of the change

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PPT 3.74
 The Management of Change

• Incremental changes can

accumulate, requiring
amendments to the initial system
description.
• Change management
necessitates periodic reviews of
the system description and the
baseline analysis to determine
their continued validity.

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PPT 3.75
 The Management of Change
The organization’s management of change process should take into
account the following considerations:

Criticality:
• Consider not only the impact on the organization’s activities but the
impact on external organizations and the aviation system
Availability of subject matter experts:
• key stakeholders are involved in the change management activities
• may include individuals from external organizations
Availability of safety performance data and information:
• What data and information is available that can be used to help in the
analysis of the change?

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PPT 3.76
 Continuous Improvement of the SMS

The third element of

safety assurance is the
continuous improvement
of the SMS.
Continuous improvement
is measured through the
monitoring of an
organization’s safety
performance and is
related to the
effectiveness of the SMS.

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PPT 3.77
 Continuous Improvement of the SMS
The monitoring of safety performance and internal audit processes
contribute to the service provider’s ability to achieve continuous
improvement in safety performance.

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PPT 3.78
 Continuous Improvement of the SMS

Ongoing monitoring of
the SMS, its related
safety risk controls and
support systems
assures that the safety
management processes
are achieving their
objectives.

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PPT 3.79
 Continuous Improvement of the SMS
Service providers should strive to implement a variety of methods
to determine SMS effectiveness and this should not be based only
on safety performance indicators.

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PPT 3.80
 Continuous Improvement of the SMS
Determining SMS effectiveness requires methods to measure outputs as
well as outcomes of the processes, and assess the information gathered
through these activities
• Audits: internal and external audits
• Assessments: include assessments of safety culture and SMS
effectiveness
• Monitoring of occurrence: monitor recurrence of safety events
including accidents and incidents as well as errors and rule breaking
situations
• Safety surveys: staff surveys including cultural surveys provide useful
feedback on how engaged personnel are with the SMS

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PPT 3.80
 Continuous Improvement of the SMS
Determining SMS effectiveness requires methods to measure outputs as
well as outcomes of the processes, and assess the information gathered
through these activities
• Management reviews:
• an opportunity to look at all available safety performance information, overall
trends and whether safety objectives are being achieved
• May be carried out as a function of the highest level safety committee
• Evaluation of safety performed indicators and targets: looks at trends
and, where data is available, compare with other service providers,
State or global data
• Addressing lessons learnt: lessons learnt from safety reporting
system and investigations should be identified and used to improve
safety

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PPT 3.80
 Knowledge Check

Q: Select the elements belonging to the “Safety assurance”

component of the SMS framework.

a. Safety risk assessment and mitigation

b. Safety performance monitoring and measurement
c. The management of change
d. Continuous improvement of the SMS
e. All of the above
?
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PPT 3.81
 SMS Framework Component 3
A. Safety Policy and Objectives
• Management commitment and responsibility
• Safety accountabilities
• Appointment of key safety personnel
• Coordination of emergency response planning
• SMS documentation
B. Safety Risk Management
• Hazard identification
• Safety risk assessment and mitigation
C. Safety Assurance
• Safety performance monitoring and
measurement
• The management of change
• Continuous improvement of the SMS
D. Safety Promotion
• Training and education
• Safety communication

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PPT 3.82
 Safety Promotion

• Encourages a positive safety culture and helps

to enable achievement of the service provider’s
safety objectives
• Achieved through the combination of technical
competence that is continually enhanced
through training and education, effective
communications and information sharing
• Encompasses the following elements
4.1 Training and education
4.2 Safety communication

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PPT 3.83
 Safety Promotion
Senior management
provides the safety
leadership to
promote the safety
culture throughout
an organization.

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PPT 3.84
 Safety Promotion

Effective safety management can

not be achieved solely by
mandate or strict adherence to
policies and procedures.
Safety promotion affects both
individual and organizational
behavior and supplements the
organization’s policies,
procedures and processes,
providing a value system that
supports safety efforts.

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PPT 3.85
 Safety Promotion

Processes and procedures that

facilitate effective two way
communication throughout all
levels of the organization should be
established and implemented.

This should include clear strategic

direction from the top and enabling
of “bottom-up” communication
encouraging open and constructive
feedback from operational
personnel.

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PPT 3.86
 Safety Promotion: Training and Education

The training procedures should specify initial and recurrent safety training
standards for: • The scope of the
safety training has to
be appropriate to
each individual’s
• Develop and maintain a safety training involvement.
Organization programme
• The amount of safety
s have to • Ensure personnel are trained and
competent to perform the SMS duties training should also
be appropriate to the
• Operational perManagers and Supervisors
• Senior managers individual’s
•
•
The accountable executive
sonnel
responsibility in the
SMS.

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PPT 3.87
 Safety Promotion: Training and Education

The SMS training documentation should be developed and maintained.

The documentation should specify responsibilities for development of:

• Training content and

scheduling A training file
• Training record
management
should be developed for
• Training requirement for each employee, including
each area of activity management.

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PPT 3.88
 Safety Training Program

The safety manager is

responsible for ensuring
that a suitable safety
training program is in place.

The safety training program

includes provision of
appropriate safety
information relevant to
specific safety issues
encountered by the
organization.

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PPT 3.89
 Safety Training Program

The safety training

program should include
initial and recurrent
training requirements to
maintain competencies.

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PPT 3.90
 Safety Training Program

Personnel involved in the

organization’s safety committees

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PPT 3.91
 Safety Training Program

• Service Provider should identify the SMS duties of personnel

• Ensure each individual receives training aligned with their
involvement with the SMS
• The safety training program should specify the content of
safety training for:
➢ Accountable executive
➢ Senior managers
➢ Managers and supervisors
➢ Operational personnel
➢ Support staff

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PPT 3.91
 Safety Training Program

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PPT 3.92
 Safety Communication
The success of the SMS will depend upon its visibility.

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PPT 3.93
 Safety Communication
The service provider should
communicate the
organization’s SMS objectives
and procedures to all
appropriate personnel.

There should be a
communication strategy that
enables safety communication
to be delivered by the most
appropriate method based on
the individual’s role and need COMMON SAFETY COMMUNICATION
STRATEGIES
to receive safety related
information
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PPT 3.94
 Safety Communication

Safety communication aims to:

• Ensure that all personnel are fully aware of the SMS

• Convey safety-critical information
• Raise awareness of new risk controls and corrective
actions
• Provide information regarding new or amended safety
procedures
• Promote a positive safety culture and encourage
personnel to identify and report hazards
• Provide feedback to personnel submitting safety reports
on what actions have been taken to address any concerns
identified.

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PPT 3.95
 Communication Network

However, there is not a method

that fits all organizations.

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PPT 3.96
 Communication Network

The safety risk management documentation is also a very

important source of safety knowledge which provides
material for safety training and communication.

Lessons learnt from the safety reporting system and safety

investigations may be a good source of information for
organization’s safety communication activities.

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PPT 3.97
 Your Questions

?
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PPT 3.98
Summary
The following topics SMS Framework Component 1:
were covered in this Safety Policy and Objectives
module:
SMS Framework Component 2:
Safety Risk Management
SMS Framework Component 3:
Safety Assurance
SMS Framework Component 4:
Safety Promotion
THANK YOU