Young Executive of the Year Award, 2011-ACI Asia-Pacific Region

Problems and Solutions in the Implementation

Of
Safety Management System

Ashok Kumar Sengupta

Associate Manager, Airside Operations
Rajiv Gandhi International Airport,
Shamshabad,
Hyderabad,
India

1 
 
 Table of Contents

Page

1. Introduction 3-4

2. Scope 5

3. Benefits of SMS 6

4. Implementation of SMS 7 - 11

5 Problems & Solutions in the implementation of SMS 12-13

6. Bibliography 14

2 
 
 Problems and Solutions in the Implementation
of
Safety Management System

INTRODUCTION

The essence of understanding safety management system (SMS) is not just in defining it but effectively
implementing it. In today’s scenario of rapidly expanding aviation activity, ‘Safety’ is interpreted with an underline
and in bold letters. The importance of safety in aviation is emphasized by strong initiatives by ICAO, ACI and state
regulators in a multi pronged effort. The implementation does come with its own problems and limitations. In this
research paper, the endeavor has been to address these problems and suggest viable solutions to implement SMS
effectively.

According to ICAO Safety Management Manual Doc 9859, safety is defined as:

“Safety is the state in which the risk 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 risk management”

With the advent of advanced technology available today within the aviation industry, it is now generally accepted
that most aviation accidents result due to human error. It would be easy to conclude that these errors indicate
carelessness or incompetence on the job, but that would not be accurate. Investigation brings out the fact that the
human factor is the weakest link in a chain that leads to an accident. These accidents can be prevented by not merely
changing people but adopting well defined Safety Management System.

While SMS has some limitations in preventing all incidents and accidents, it does provide an approach that has
already resulted in numerous improvements to aviation safety which can further be improved with consensus efforts
of all stakeholders. It encourages proactive behavior that can help prevent mishaps that might have otherwise
occurred. Many airlines and airports already have elements of SMS incorporated into their current organizational
safety system.

SMS establishes processes to improve communication about these risks and establish control mechanisms to
minimize them. This approach will subsequently improve an organization’s overall level of safety.
Safety management systems (SMS) help organizations identify safety risks before they become bigger problems.
Civil Aviation Requirements require the aviation industry to put safety management systems in place as an extra
layer of protection to help save lives and property.

3 
 
Aviation safety has been built upon the reactive analysis of past accidents and the introduction of corrective actions
to prevent the recurrence of those events. Using a comprehensive safety approach, evaluated several ways to
improve both Airside and landside aspects of safety.

A global shift in airport management began in 1987 when the British Airports Authority was privatized. As airports
continued to evolve from public utilities to businesses concerned with making a profit, the International Civil
Aviation Organization (ICAO) took steps to promote safety management as a prerequisite for a sustainable aviation
business.

In 2000, the ICAO Air Navigation Commission commenced the process to amend Annex 14, Volume I, Aerodrome
Design and Operations. New airport licensing and certification requirements called for the development and
implementation of a safety management system. To address the lack of guidance material concerning SMS at
airports, ICAO subsequently issued Standards and Recommended Practices (SARPs) for airport safety management
systems.

The following three ICAO references contain information pertaining to airport SMS:

• Annex 14, Aerodromes, Volume I, Aerodrome Design and Operations, July 2009, Section 1.4, Certification
of Aerodromes; Section 1.5, Safety Management

• Document 9774, Manual on Certification of Aerodromes, First Edition, 2001

• Safety Management Manual (SMM) Doc. 9859, First edition, 2006, Chapter 18, Aerodrome Operations

The SMS requirements in Volume I of Annex 14 became applicable in November 2005.

Manual on Certification of Aerodromes

This document outlines SMS requirements and stipulates the following:

• Implementation of SMS is essential for the certification of aerodrome operators

• SMS is an integral part of the Aerodrome Operations Manual

The SMS elements identified for inclusion in the Aerodrome Operations Manual are:

• Safety policy

• Structure of the organization

• Individual and group responsibilities for safety issues

• Setting of safety performance targets

• Internal safety audit and review systems

4 
 
 Scope

The study on “Problems and Solutions in the Implementation of Safety Management System” has a wider
scope of aviation safety with respect to safe operations of airlines, airports and related agencies. Ultimately the
safe operations leads to a safe environment free from any hazard or risks for all associated with aviation and
airports, be it employees, passengers, stake holders or any other agencies associated with it.
Also the study has the scope for an airport to adopt various innovative measures to initiate safety related issues
for safe and secure operations. An aerodrome SMS can only provide a means of controlling those hazards which
originate within the aerodrome system, or in which some element of the aerodrome system could be a
contributory factor.
Understanding the conditions that create hazards to safety at aerodromes is vital to effective safety management
Safety at aerodromes requires much the same approach to safety management as that required for safe flight
operations.

A safety management system shall include:

• a safety policy and commitment by the management on which the system is based;

• a process for setting goals for the improvement of aviation safety and for measuring the attainment of those
goals;

• a process for identifying hazards to aviation safety and for evaluating and managing the associated risks;

• a process for ensuring that personnel are trained and competent to perform their duties;

• a process for the internal reporting and analyzing of hazards, incidents and accidents and for taking
corrective actions to prevent their recurrence;

• a document containing all safety management system processes and a process for making personnel aware
of their responsibilities with respect to them;

• a quality assurance program;

• a process for conducting periodic reviews or audits of the safety management system; and

• any additional requirements for the safety management system that are prescribed from time to time.

Most Important

• The safety management system shall be accepted by DGCA or the Civil Aviation Authority of the country/
state.

5 
 
 SMS includes several key system safety principles as shown below:

• Management commitment to safety

Because the attitudes and actions of management can significantly influence the entire staff, it is therefore
critical that these leaders commit to the success of an SMS implementation.
• Proactive identification of hazards
Early identification and reporting of hazards can save a significant amount of time and resources down the
road.
• Actions taken to manage risks
A system must be in place to determine logical approaches to counteract known risks to safe operation.
• Evaluation of safety actions
An ongoing evaluation of the impacts of risk management actions is necessary to determine if further
remedial activities are required.

Benefits of SMS

The ultimate goal of SMS is increased safety—in particular, fewer accidents and injuries. Moreover,
increasing a system’s level of safety leads to reduced material losses and enhances productivity. This
makes the case that safety is good for business/or any organization.

The following are some of the benefits of an airport SMS as identified:

• Achieving safer airport operations and compliance with regulations—SMS serves as an efficient means of
dealing with regulators and legal systems
• Enhancing the ability to anticipate and address safety issues before they lead to an incident or accident

• Reducing the number and severity of collisions by focusing attention on safety needs that will result in a
higher payback

• Allowing the airport to prioritize issues that are most appropriate for its size and goals

• Maximizing the effect of safety investments by ensuring that the highest priority needs are identified

• Emphasizing process management and continuous improvement

• Promoting a collaborative, stakeholder-focused approach to develop sound safety practices

• Building a safety culture by increasing airport staff awareness of safety and risk

• Increased sense of responsibility among the employees contributing to development of a robust incident
assessment and management system.

6 
 
 Some further benefits include:

• Reduction of the direct and indirect costs of accidents

Fines, repair costs, damage claims, and increased insurance premiums etc.are a few of the potential
Consequences of an airport mishap.
• Improved employee morale and productivity
Promoting communication between management and the rest of the organization prevents
disenfranchisement and lifts morale.
• Compliance with legal responsibilities for safety
Airport certification requirements compliance of a number of safety processes and standards that can be
included in an organization’s SMS.
• Avoiding incident investigation costs and operational disruptions
Improved communication and risk mitigation will prevent many accidents from ever occurring.

Implementation of SMS in Aviation Sector

Following points are to be considered for Implementation of SMS.

• Document Control
Documentation is a key area to record any change in procedures. It allows every one to know what is going
on and have a record that everyone has received the required information. Proper documentation is the key
to enhance safety management system.

• Audits by Self and third party

It is essential to audit, review and revalidate procedures and all methodologies on a regular basis to ensure
that they are current and effective. The self audit can be on real time basis which can be the platform for
external / third party audit.

• SMS training at executive level.

People at this level to be well briefed about the importance and consequences of well defined Safety
Management System in the organization. They are to be properly advised and trained in all aspects of
implementation process of Safety Management System.

7 
 
 Approaches to SMS Implementation

SMS Implementation has posed a very big challenging task for any Airport Operator. A range of
implementation styles have been undertaken by the airports practicing SMS today. This variety is due in
part to the extent of customization required to suit the airport size and safety experience. Although most
airports are new to this concept of SMS as outlined here, many have considerable experience with related
system safety processes in place. These airports may require a less time-consuming transition.
Implementation approaches can be grouped into one of the following categories:

• Evolutionary style

In this approach, an airport implements SMS principles over a period of several years. Over the course of
this time, the safety culture gradually becomes in grained in employees’ attitudes and actions by means of
their experience and work culture. Every employee is briefed again and again by the safety teams dedicated
/ departments to create safety awareness among them.

• Phased methodology

This approach uses dates and milestones to implement the various aspects of SMS. It allows time to address
any issues that arise before advancing to the next stage. Here phase wise implementation of SMS takes
place.

• “Fast Track” adoption

This style implements SMS at a relatively rapid pace. Although this approach may bring the airport into
compliance with SMS regulations, it may not result in a sufficiently fundamental change in safety practices
and attitudes. An aggressive employee training program will be required to achieve this sort of quick
transition.

Steps to Implement Aviation Safety Management Systems

Gain Senior Management Commitment

Regardless of size, complexity and type of operation, senior management must:

• Demonstrate commitment to aviation safety and the Aviation Safety Management System.
• Set the safety standards and policies for flight operations.
• Encourage participation in aviation safety management.
• Allocate sufficient resources to the Aviation Safety Management System.
• Facilitate the flow of safety information.

8 
 
 Checklist

• Senior management involved in – and committed to – Aviation Safety Management System.

• Senior management approved organization’s aviation safety policy and flight operating safety standards.
• Aviation safety policy and standards are communicated to all, with visible endorsement by senior
management.
• Appropriate resources are allocated to support the Aviation Safety Management System.
• Senior management has established appropriate reporting chain for safety issues.
• Senior management actively encourages participation in the Aviation Safety Management System.

Appoint Safety Officer Managing Aviation Safety Management System

Aviation safety officer is responsible for:

• Maintenance, review and revision of aviation safety management program.

• Providing timely advice and assistance on safety matters to managers and staff at all levels.
• Maintaining an appropriate aviation reporting system to identify flight-related hazards.
• Monitoring progress of aviation safety reports and ensuring flight hazards are addressed in timely manner.
• Providing feedback about ongoing aviation safety issues.
• Reporting flight-related incidents and accidents as required by legislation.
• Distributing relevant and up-to-date aviation safety information to flight staff and management.
• Identifying aviation safety training requirements.

Checklist

• Aviation safety officer has been appointed

• Aviation safety officer has open line of communication with the Chief Executive Officer
• Roles and responsibilities of aviation safety officer are clearly defined and documented and Management
understand the roles of aviation safety officer

Set Aviation Safety Policies & Objectives

• Aviation safety policies set out what we are trying to achieve through our Aviation Safety Management
System.
• Aviation safety policies outline methods and processes the organization will use to achieve desired flight
safety outcomes.
• Aviation safety policies are a tangible indication that senior management is committed to aviation safety,
and expects high safety performance from flight staff and managers and all employees

9 
 
 Effective aviation safety policies are a commitment to action. They must

• Contain general intentions of management, the approach and objectives of the organization.
• Cover the arrangements for implementing the aviation safety policy.
• Become the criteria upon which the organization bases its actions.
• Align with other operational policies, and are designed to secure commitment and involvement from all
staff/ employees.

Aviation safety policy statement should clearly state:

• Senior management’s commitment to Aviation Safety Management System.

• Responsibilities and accountabilities for flight directors, managers and employees.
• How organization will achieve its aviation safety objectives.
• Aviation safety outcomes expected of staff, managers and contractors.

In writing aviation safety objectives consider the following:

• What are your performance standards or targets?

• Who is responsible?

Identify Hazards & Risks to the Organization

Aviation risk management process follows a logical sequence:

• Establish the context.

• Identify the hazards.
• Analyze the risk.
• Evaluate the risk.
• Apply the defenses.
• Monitor and review defenses.

Checklist

• Criteria are established for evaluating flight safety risk.

• System is in place to identify flight-related hazards.
• Relevant staffs are involved in critically analyzing and ranking identified flight-related risks.
• Defenses are set up to reduce, eliminate or avoid flight-related risks.
• Staffs are aware of the defenses, and have received training, where appropriate.

10 
 
 Set up Aviation Safety Committee in consultation with the Airlines and airport employees / users like
third party operators.

Aviation safety committee can:

• Act as a source of expertise and advice.

• Review the progress of incidents/accidents, and the actions taken.
• Review the status of hazard/risk reports, and review the actions taken.
• Make safety recommendations to address hazards.
• Review internal audit reports.
• Review and approve audit response and actions taken.
• Encourage lateral thinking and creative solutions.
• Help identify hazards and defenses.
• Prepare and submit reports to the Chief Executive Officer for review.

Aviation safety committee must include:

• Aviation safety officer.

• Representative from senior management with authority to approve aviation safety recommendations.
• It should also include at least one representative from each functional area.

For example:
• Flight operations.
• Maintenance.
• Ramp.

Steps to Establish a Safety Management System in an Airport

• Establish a safety policy and assign safety responsibility.

SMS implementation must be assigned at an early stage to a dedicated Safety team or a designated person
as a Safety Manager in the organization For larger Organizations, a team of safety professionals supporting
a safety manager may prove more effective. The first task of the team is to establish a safety policy that
reflects SMS principles. The assigned team/person works as per the laid out standard operating procedures
for all required processes by the members of the safety.

11 
 
 • Carry out a gap analysis / Survey.

Compare existing safety components with SMS program requirements and identify all elements that require
development. A gap analysis / study frequently begin with a list of all the current operations and procedures
that occur at the airport. One can then verify whether they are performed in accordance with SMS
philosophies or not.

• Develop a strategy for SMS implementation

This is essentially a roadmap/a process that lays out the steps required to fully implement SMS. The
experience of other airports using SMS may prove helpful in determining an efficient phased approach and
transition plan as applicable and desired in adopting the process.

• Develop individual SMS elements as based on the Airport requirement

Following the roadmap and the varied processes that make up SMS, it must be developed, documented,
reviewed, and verified from time to time.

Critical Challenges

Based on the various documents of other countries, the following aspects of SMS implementation were
deemed both difficult and critical to success. They merit substantial research and planning to bring down
the various challenges which can be as under:

• Determining legal liability/accountability of the process which is established to take care of any sort of
safety related process.
• Identifying a trained and qualified Safety Manager who can handle the required data and can establish a
study on the gap analysis of hazard detection / approaches which can avert a major accident in future.
• Instituting data collection methodologies. A proper data collection system is to be adopted for reporting and
recording any amount of hazard/ incident, be it small or big.
• Developing a feasible and strong hazard/ risk reporting system.
• Integrating airport SMS with other domains, particularly air traffic control, airlines and other related
agencies.

12 
 
 Solutions / Recommendations to the implementation of SMS by the Airport Operator

• To inculcate a safety culture among the employees by educating them about safety compliance and their
consequences if not adhered.
• To establish a data base thorough meticulous record of all incidents, near misses and any sort of mishaps
which can create a major accident and a challenge on safety management and analyze to create cause and
effect sequencing with final solution.
• To develop a meticulous SMS implementation programme, a non-punitive and transparent
hazard/occurrence reporting mechanism shall be established. Safety awareness program shall be
implemented with specific focus on SMS and its components.
• To develop a personnel training and record keeping program to enable one and all to be conversant on all
safety related issues. For example Airside driving awareness workshop which is being carried out at
Airside Operations department before issuing Airside Driving permits to the drivers.
• To develop a minimum standard for safe operations on the ramp and in the baggage make up area.
• Changing the mindset and wrong practices by carrying out strict enforcement of Airside rules and
regulations on the ramp and service roads.
• By initiating unified efforts with all concerned parties like Airlines, Ground handlers, Airport operators etc.
to forge an effective SMS implementation plan and push it through various forum like apron safety
meeting, runway incursion committee meeting, ADP programmes, airside general awareness programme at
regular intervals.
• State regulators shall come down heavily on violators of proposed state safety management programme to
ensure total compliance to recommended safety standards.
• The CEO of the organization is responsible and accountable for Safety. The chief executive shall
understand the risk of not having an effective SMS in place for his organization.

Conclusion

While SMS is the key element in preventing all incidents and accidents, it does provide an approach that
has already metamorphosed in to various stages of development in achieving aviation safety. It encourages
proactive behavior that can help in preventing mishaps that might have otherwise occurred. Not only
airlines and airports have elements of SMS incorporated into their current organizational safety system, but
also various other organizations too implemented SMS into their organizations. SMS, in general, create
safety awareness among all user of the airport which is very much conducive to safe operation. So, the
essence of understanding safety management system (SMS) is not just in defining it but effectively
implementing it.

13 
 
 Bibliography

• Annex 14, Aerodromes, Volume I, Aerodrome Design and Operations, July 2009, Section 1.4, Certification
of Aerodromes; Section 1.5, Safety Management

• Document 9774, Manual on Certification of Aerodromes, First Edition, 2001

• US Forest Service ,Safety Management Guide and Aviation Safety Plan

• Safety Management Manual (SMM) Doc. 9859, First edition, 2006, Chapter 18, Aerodrome Operations

• DGCA Civil Aviation Requirements-Section-1,Series C, Part -I

• Airport Cooperative Research Program -Report on SMS for Airports Volume 1

14