Establishment of SMS

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Establishment of SMS
2016
Presentation By
Pramod Kumar Niranjan (GHIAL – Safety)
13th
September, 2016

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Introduction
ICAO in its Annexes requires ‘States to, as part of
their safety programme, have the service providers/
organizations engaged in commercial operations,
maintenance of aircraft, aerodrome operations,
provision of air traffic services, design organizations,
training to implement a safety management system
which is acceptable to the State’.

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Reference Documents:
 ICAO Doc. 9859 3rdEdition–2013
 DGCA Civil Aviation Requirements (CAR) Section-1, Serie
 GHIAL Safety Management System (SMS) Version – 2

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Safety is defined as…
“It is the state in which the possibility of harm to persons or
of property damage is reduced to, and maintained at or
below, an acceptable level through a continuing process of
hazard identification and safety risk management.”
Ref: ICAO Doc. 9859
Safety…?

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Safety Management System…?
Safety Management System is defined as…
A systematic approach to managing safety, including the necessary
organizational structures, accountabilities, policies and procedures. (ICAO
Doc. 9859)
Service providers are responsible for establishing an SMS.
States are responsible of the acceptance and oversight for service
provider’s SMS….
The SMS shall correspond to the size, nature and complexity of the
operations, activities, hazards and risk associated with the operations.

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Applicability:
CAR Section 1, Series C, Part I applies to an applicant
for or a holder of the following approvals/ permits/
license :
An approval issued to a maintenance organization
for the maintenance of aircraft engaged in scheduled /
non-scheduled operations;
An air operator permit issued in accordance with
Rule 134;
An Aerodrome license;
An air traffic services providers.

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A SMS shall be accepted by DGCA With key elements:
Safety Policy
Management Commitment and Leadership
Safety Risk and Change Management
Safety Assurance
Safety Promotion
Documentation

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General Requirements – Safety Policy & Objectives
The safety policy shall include the responsibilities of
management and employees with respect to the safety
performance of the SMS. The safety policy shall be
communicated to all the employees. The safety policy shall be
reviewed periodically to ensure it remains relevant and
appropriate to the organization.
An organization shall establish safety objectives for the SMS.
The safety objectives should be linked to the safety performance
indicators, safety performance targets and action plans of the
service provider’s SMS.

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The safety policy shall also include:
 A commitment to review the safety management
system to determine its effectiveness for continual
improvement in the level of safety;
 Procedures for reporting of a hazard, incidents and
accidents;
 Procedures for collection of data relating to a
hazard, incidents and accidents, its analysis and ;
 The conditions under which disciplinary action would
not be applicable following hazard reporting by
employees.

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SHELL Model:
The SHELL Model is a conceptual tool used to analyze the interaction of
multiple system components. The SHELL Model contains the following four
components:
Software (S): procedures, training, support, etc.;
Hardware (H): machines and equipment;
Environment (E): the working environment in which the rest of the L-H-S
system must function; and
Live ware (L): humans in the workplace.

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Accountable Executive: The Accountable Executive
shall be a single, identifiable person who, irrespective of
other functions, shall have ultimate responsibility and
accountability, on behalf of the organization, for the
implementation and maintenance of the SMS.
(Ref: ICAO Doc. 9859)
The accountable executive would be the final authority
over operations and shall have full control over the
required human resources and financial resources of an
organization.

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Safety Manager:
Safety Manager shall be the individual and focal point
responsible for the implementation and maintenance of
an effective SMS. He shall ensure safety promotion
throughout the organization.
Safety Manager shall report to the Accountable
Executive on the performance of SMS and on any need
for improvement.

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Emergency Response Plan (ERP):
An organization as part of the safety management
system prepare its ERP and ensure that the ERP is
properly coordinated with the ERPs of those
organizations it must interface with during the provision
of its services.

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Documentation:
An organization shall develop and maintain SMS
documentation to describe:
Safety policy and objectives
SMS requirements
SMS processes and procedures
Accountabilities, responsibilities, and authorities for
processes and procedures; and
SMS outputs

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Gap analysis:
A gap analysis is a process that an organization use to
determine what steps or elements are missing in from a
desirable state of existence.
To complete a gap analysis:
Identify the safety arrangements and structures that
may already exist in its organization; and
Determine additional safety arrangements required to
implement and maintain the organization’s SMS.

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SMS Manual:
As part of the SMS documentation, an organization
shall develop and maintain a safety management
systems manual (SMSM), to communicate the
organization’s approach to safety throughout the
organization. The SMS Manual shall document all
aspects of the SMS.

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Safety Risk Management:
An organization shall develop and maintain Safety Data
Collection and Processing Systems (SDCPS) that
provide for the identification of hazards and the
analysis, assessment and mitigation of safety risks. It
shall include reactive, proactive and predictive methods
of safety data collection.

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Hazard Identification:
The hazard identification process shall include the
following steps:
Reporting of hazards, events or safety concerns;
Collection and storage of safety data;
Analysis of the safety data; and
Distribution of the safety information distilled from
the safety data.

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Safety Risk Assessment & Mitigation:
 An organization shall develop and maintain a formal
process that ensures analysis, assessment and control
of the safety risks.
 Safety risks of the consequences of identified hazard
shall be analyzed in terms of probability and severity
of occurrence, and assessed for their tolerability.
 The organization shall define safety controls for each
safety risk assessed as tolerable.

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Safety Performance Monitoring and Measurement :
An organization shall verify the safety performance in reference to the
safety performance indicators and safety performance targets of the
SMS, and to validate the effectiveness of safety risk controls. A safety
performance monitoring and measurement shall include:
Hazard reporting systems,
Safety audits,
Safety surveys,
Safety reviews,
Safety studies, and
Internal safety investigations.
Note: The hazard reporting procedures shall set out the conditions
under which disciplinary/administrative action shall not apply.

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Continuous improvement of the SMS shall include:
 Proactive and reactive evaluations of facilities,
equipment, documentation and procedures, to verify
the effectiveness of strategies for control of safety
risks; and
 Proactive evaluation of the individual’s performance,
to verify the fulfillment of safety responsibilities.

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Safety Promotion:
Organization shall develop and maintain formal safety
promotion activities to create an environment where the
safety objectives of the organization can be achieved.
Following are the means of safety promotions:
Safety Trainings,
Safety Communications.

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Safety Training:
An organization shall, as part of its safety promotion
activities, develop and maintain a safety training
program that ensures that personnel are trained and
competent to perform their SMS duties.
Scope: Safety training shall be appropriate to the
individual’s involvement in the SMS.

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Safety Communications:
Safety communication as part of its safety promotion
activity, develop and maintain formal means for safety
communication, to:
Ensure that all staff are fully aware of the SMS;
Convey safety-critical information;
Explain why particular safety actions are taken;
Explain why safety procedures are introduced or
changed; and
Convey generic safety information.

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Continue…
Formal means of safety communication shall
include:
Safety policies and procedures,
Newsletters,
Bulletins; and
Website.

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