Sms 2020 Operation

Course Contents
Session 1:Introduction to Safety Management System

• Introduction to SMS
• Terms & Definitions
• Why SMS?
• SMS requirements
• SMS component
• Organizational & Safety culture
Session 2: Safety Policy and Objectives
• safety policy and objectives
• safety accountabilities
• Appointment of key safety personnel
• Coordination of emergency response plan
• SMS documentation
Session 3: Safety Risk Management
• Safety risk management
• Hazard Identification
• Risk assess and mitigation
Safety Management System Last Updated Feb 2019 2

Course Contents
Session 4: Safety Assurance

• Safety Assurance
• Safety performance monitoring and measurement
• The management of change
• Continuous improvement of the SMS
Session 5: Safety Promotion

• Safety promotion
• Safety Training and education
• Safety communication
Exam

Session 1:
Introduction to SMS

Introduction to SMS:
It is widely accepted that most accident result from error,

while it may be easy to dismiss these human error as the act
of carelessness or incompetence, recent research and
accident investigation reports demonstrate that human error
is the last link in the chain of event that leads to an accident.
Thus the most accident are Organizational in nature.
So organizations are best place to control the factors that lead

to accident and a safety management system approach is the
most effective way to deal with these organizational
phenomenon.

Terms & Definitions
Safety :
Safety is the state in which the risk of harm to persons or property
damage is reduced to, and maintained at or below, an acceptable
level through a continuing process of hazard identification and risk
management.
SMS:
A systematic approach to managing safety, including the necessary
organizational structures, accountabilities, policies and procedures.
Airlines are responsible for establishing an SMS while States are

responsible for the acceptance and oversight of an airline's sms

Level of safety:
the degree of safety within a system expressed through safety
indicators.
Safety indicators:
the parameters that characterize and/or typify the level of safety
of a system.
Safety targets:
the concrete objectives of the level of safety.
Acceptable Level of Safety or ALoS:
the minimum degree of safety that must be assured by a system
in actual practice.
Safety indicator value:
the quantification of a safety indicator.
Safety target value:
the quantification of a safety target.

Why SMS?
The SMS is designed to increase the knowledge and understanding of

employee errors and operational issues in order to develop effective
mitigation strategies.
Both safety managers and line managers must understand the
following:
Everyone make mistakes. •
Errors are consequences rather than causes. •
We analyze errors to help understand “why,” and “how” not “what” •
or “who”.
Errors may be precursors to a more serious incident or accident. •
Thorough investigation and analysis of errors will enable •
development of effective mitigations.

SMS Requirements:
ICAO has introduced safety management
requirements into the following annexes:
Annex 1–Personnel Licensing

Annex 6–Operation of Aircraft ( Part 1, 3)
Annex 8–Airworthiness of Aircraft
Annex 11–Air Traffic Services
Annex 13–Aircraft Accident and Incident Investigation
Annex 14–Aerodromes
Annex 19–Safety Management Systems
As part of the ICAO requirements in these annexes, service providers

implement an SMS that is accepted by their State

The term “service provider” includes the following entities:
1. approved training organizations

2. aircraft operators
3. maintenance organizations
4. air traffic services providers (ATS)
5. certified aerodrome operators
6. organizations responsible for type design and/or
manufacture of aircraft

Components of an SMS:
The structure of an SMS may vary according to the size and complexity of
a service provider and its aims and objectives.
ICAO and various CAAs have produced guidance for service providers on
the implementation of the four components and associated twelve
elements that comprise an SMS framework.
The separate elements of an SMS are not stand-alone and unique; the
elements inter-react and support each other.

SMS Framework
1. Safety policy and objectives
1.1 Management commitment and responsibility

1.2 Safety accountabilities
1.3 Appointment of key safety personnel
1.4 Coordination of the emergency response planning
1.5 SMS Documentation

SMS Framework
2. Safety risk management
2.1 Hazard identification
2.2 Risk assessment and mitigation
3. Safety assurance
3.1 Safety performance monitoring and measurement
3.2 The management of change
3.3 Continuous improvement of the SMS
4. Safety promotion
4.1 Training and education
4.2 Safety communication

SMS Framework
Strategy
Policy & Objectives
Responsibility & Accountability

C C C
O O O
M M Safety M
Planning, M Hazard M Performance M
U U Measurement& U
Implementing N Identification N N Safety
management
& I & Safety I
of change& I education
C C C
Document A Risk A Continuous A & promotion
management T Management T Improvement T
I I I
O O O
N N N
SMS Requirements
SMS Culture

Organizational and safety culture:
Organizational culture differentiates the characteristics and value
systems of particular organizations; the behavior of members of one
company vs. that of another company
A safety culture is generated within an organizational culture by an open

and honest reporting system where employees can feel free to report
safety issues without the threat of punitive measures being taken.
An effective, proactive safety reporting culture has been achieved when

the majority of employee safety reports relate to identified or perceived
threats instead of errors or incidents

Organizational and safety culture:
Safety culture is based on both the attitudes of the employees and the
structural organization.
Safety culture goes beyond mechanical adherence to procedures.
The term “just culture” is also commonly used when discussing safety
culture. It encompasses the notion that within an organization, honest
human errors are accepted as part of human nature. However,
deliberate violations of rules and established procedures are condemned
and should result in disciplinary action.

Session 2:
Safety Policy and Objectives

Safety policy & Objectives
The safety policy of an organization should define senior

management's fundamental approach towards safety, to be
adopted by employees and contractors

Iran Air Safety Policy
“‫ﺧﻂ ﻣﺸﯽ اﯾﻤﻨﯽ "ﻫﻤﺎ‬

Iran Air Safety Policy
”‫ﺧﻂ ﻣﺸﯽ اﯾﻤﻨﯽ "ﻫﻤﺎ‬

Safety accountabilities:
A statement of accountabilities clearly defines safety

responsibilities of managers and employees at different levels in
the organization, with effective deputation of responsibilities
established for operationally critical areas when principal office
holders are absent.
The ultimate responsibility for the SMS is with the Accountable

Executive at all times, but responsibility for SMS implementation
may be delegated to other identified individuals within the
organization.

Safety accountabilities:
The notion that ownership of the safety process was exclusive to
the safety office has evolved in the SMS environment to a concept
of safety services.
This reflects the idea that the safety department's purpose is to

provide a service to the organization, that is, the management of
safety is considered a core business process.
Functionally, the safety department is a safety data collection and

analysis unit that uses a number of predictive, proactive, and
reactive methods to provide reliable information to the entire
management team.
However, the responsibility for managing safety within each

responsible division such as Flight Operations, Engineering and
Maintenance, Ground Operations, resides within that division.
Safety Accountabilities
Iran Air Organization Chart

Safety Accountabilities
SQA Organization Chart

Appointment of key safety personnel
The Safety Manager, in most organizations, will be the person whom

the Accountable Executive has assigned the daily management of
SMS functions and oversight of the safety department that is,
implementation of the SMS for the organization

Coordination of Emergency Response
planning
Service providers implement an Emergency Response Program or

ERP that includes contingency plans to ensure proper response
throughout the organization when an emergency situation arises.
This may not necessarily involve an actual aircraft accident, but
should include a business continuity contingency plan.

SMS Documentation:
Safety management activities must be documented
appropriately and be available to all employees.
The service provider shall develop and maintain an SMS

manual as part of its SMS documentation.
IranAir SMS Manuals:

 Corporate Management System Manual (CMSM)
 Safety & Quality Management Manual (SQMM)

http://iosa.iranair.com/documents (Iran Air Head Quarters)
http://10.10.18.39/documents (Iran Air stations)

Session 3:
Safety Risk Management
(SRM)

Service providers should ensure that they are managing the safety
risks they are faced with.
This process is known as safety risk management (SRM) and
includes hazard identification, safety risk assessment and safety
risk mitigation.

Hazard Identification
Hazard identification is the first step in the SRM process.
The service provider should develop and maintain a formal

process to identify hazards that could impact aviation safety in all
areas of the operation and activities.
This includes equipment, facilities and systems.
It is important to also consider hazards that may exist as a result

of the SMS interfaces with external organizations

The first step in hazard identification is to have a clear idea of what a

hazard is
“a condition or an object with the potential to cause death, injuries to

personnel, damage to equipment or structures, loss of material, or
reduction of ability to perform a prescribed function.”

The airline must maintain processes that ensure that operational

hazards are identified for all operational activities.
Hazard identification is typically based on a combination of

reactive, proactive, and predictive safety management methods.

Sources of Hazard Identification
There are a variety of data sources of hazard identification that may be

both internal and external to the organization.
Examples of the internal hazard identification data sources include:

a) normal operation monitoring; (e.g. Line Orientated Safety Audits)
b) automated monitoring systems; such as Flight Data Monitoring
c) voluntary and mandatory reporting systems; this provides everyone
including staff working in external organizations with the
opportunity to report hazards and other safety issues to the
organization

d) audits; these can be used to identify hazards in the task or process

being audited. These should also be co-ordinated with organizational
changes to identify hazards related to the implementation of the
change.
e) feedback from training; Where training is interactive (two way) this
can facilitate the identification of new hazards from the training
participants.
a) safety investigations; Hazards identified in internal safety
investigation and follow-up reports on accidents/incidents.

Examples of external data sources for hazard identification include:
a) aviation accident reports; This may be related to accidents in the

same State or to a similar aircraft type, region or operational
environment.
b) State mandatory and voluntary safety reporting systems; Some
States provide summaries of the safety reports they receive from
service providers.
c) State oversight audits and third party audits; External audits can
sometimes identify hazards.
d) Trade associations and information exchange systems. Many
trade associations and industry groups are able to share safety data
that may include hazards.

Hazard Factors
The scope of hazards existing in aviation operation environment is very

wide. The following factors are examples of common hazard sources in
aviation:
• Design factors, including equipment and task design;
• Procedures and operating practices, including their documentation

and checklists, and their validation under actual operating conditions;
• Communications, including the medium, terminology and language;
• Personnel factors, such as company policies for recruitment, training

and remuneration;

Hazard Factors
• Organizational factors, such as the compatibility of production and

safety goals, the allocation of resources, operating pressures and the
corporate safety culture;
• Work environment factors, such as ambient noise and vibration,
temperature, lighting and the availability of protective equipment and
clothing;
• Regulatory oversight factors, including the applicability and
enforceability of regulations; the certification of equipment, personnel
and procedures; and the adequacy of surveillance audits; and
• Defenses, including such factors as the provision of adequate
detection and warning systems, the error tolerance of equipment and
the extent to which the equipment is hardened against failures.

One of the main sources of hazard identification is through the

safety reporting system.
Safety reporting systems are a valuable source of hazard

identification as well as providing useful safety information.
They normally consist of:

a) mandatory safety reporting systems; and
b) voluntary safety reporting systems.

Hazard Reporting
Responsibilities for reporting hazards:
Personnel at all levels and across all disciplines should be encouraged

to identify and report hazards and other safety issues through the
safety reporting system.
To be effective, safety reporting systems should be readily accessible

to all personnel.
Depending on the situation, a paper based, web based can be used.
Having multiple entry methods available maximizes the likelihood of

staff engagement.
Everyone should be made aware of the benefits of safety reporting

and what should be reported
Hazard Reporting
SQA is a focal point of the Iran Air safety system to ensure hazard
identification process is properly established. Therefore, all hazards
shall be reported to SQA through departmental safety sections or
directly from the managers and personnel without any unnecessary
delay. For this purpose, the following communication means shall be
used:

Hazard Reporting
1. Iran Air Safety Software ( ISS): http://sqa.iranair.com
2. Hazard identification report form, Safety Occurance report form
3. safety inspector in IKA & THR airport

 09122996196
 09122192399
5. send message (sms) to those numbers
 09122996196
 09122192399
6. Email : safety&quality@iranair.com
7. Official Letter to SQA
8. Coming in person to SQA

http://sqa.iranair.com

Hazard Identification & Safety
Risk Management
Hazard Reporting

Risk assessment and Mitigation
Individual hazards are analyzed; their consequences are assessed

and communicated throughout the organization.
The service provider shall develop and maintain a process that

ensures analysis, assessment and control of the safety risks
associated with identified hazards

Risk Assessment
Risk assessment is made based on the following considerations:
 The probability of the hazard precipitating an unsafe event

 The severity of the potential adverse consequences, or
the outcome of an unsafe event
Risk Factor = Severity x Probability

Risk Assessment
Probability of Risk

Risk Assessment
Severity of Risk

Risk Assessment
Risk Assessment Matrix
Red High Risk
Yellow Moderate Risk
Green Low Risk

Risk Tolerability Matrix


Session 4:
Safety Assurance

Safety Assurance (SA)
Safety assurance assesses the effectiveness of the SMS, including

the effectiveness of the safety risk controls.
It should provide confidence that safety risks are being managed

and controlled to acceptable levels.
This should ensure appropriate actions have been taken, that

internal processes are effective and that safety objectives are met
To verify the safety performance and validate the effectiveness of

safety risk controls requires the use of a combination of internal
audits and the establishment and monitoring of SPIs.

Safety performance monitoring and
measurement
SA activities focus on assessing the health of the organization, with
an emphasis on safety.
The service provider shall develop and maintain the means to verify
the safety performance of the organization and to validate the
effectiveness of safety risk controls.
The service provider's safety performance shall be verified in

reference to the safety performance indicators and safety
performance targets of the SMS

Management of Change ( MOC)
External or internal changes may introduce new hazards to

operational activities.
Processes must exist to manage organizational responses to

regulatory changes, major changes in operational procedures, or
new activities such as new airport destinations.
reporting systems should have processes established to identify

new risks and actively monitor performance in new areas of the
operation.

Continuous Improvement of the SMS
SA utilizes quality tools such as internal evaluations or independent
audits to assess organizational health from a safety perspective.
Onsite assessments of operational management systems on a

recurring basis provide opportunities for continuous improvement
of processes and procedures for each functional area of the airline.
The service provider shall monitor and assess the effectiveness of its
SMS processes to enable continuous improvement of the overall
performance of the SMS

Session 4:
Safety Promotion

Safety Promotion
Safety promotion encourages a positive safety culture and helps to

enable achievement of the service provider’s safety objectives.
This is achieved through the combination of technical competence

that is continually enhanced through training and education,
effective communications and information sharing.

Training and Education
The airline must identify safety training requirements for each

level of management and for each employee group.
Safety training for operational personnel should address safety

responsibilities including:
• complying with all operating and safety procedures,
• recognizing and reporting hazards,
• and ultimately ensuring that employees have the knowledge
and skills to safely complete work activities

Safety communication
Communication of safety information is a key responsibility for the
Safety Manager.
Continuous improvement and learning is accomplished through

the sharing of lessons learned from investigations, hazard report
analysis, and operational safety assessments.
Feedback to operational personnel, such as examples of

procedural improvements as a result of safety reports, is an
essential feature of safety communications.

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Course Contents

Session 1:Introduction to Safety Management System

Safety Management System Last Updated Feb 2019 2

Session 4: Safety Assurance

Session 5: Safety Promotion

Safety Management System Last Updated Feb 2019 3

Safety Management System Last Updated Feb 2019 4

It is widely accepted that most accident result from error,

So organizations are best place to control the factors that lead

Safety Management System Last Updated Feb 2019 5

Airlines are responsible for establishing an SMS while States are

Safety Management System Last Updated Feb 2019 6

Safety Management System Last Updated Feb 2019 7

The SMS is designed to increase the knowledge and understanding of

Safety Management System Last Updated Feb 2019 8

Annex 1–Personnel Licensing

As part of the ICAO requirements in these annexes, service providers

Safety Management System Last Updated Feb 2019 9

1. approved training organizations

Safety Management System Last Updated Feb 2019 10

Safety Management System Last Updated Feb 2019 11

1. Safety policy and objectives

1.1 Management commitment and responsibility

Safety Management System Last Updated Feb 2019 12

Safety Management System Last Updated Feb 2019 13

Responsibility & Accountability

Safety Management System Last Updated Feb 2019 14

A safety culture is generated within an organizational culture by an open

An effective, proactive safety reporting culture has been achieved when

Safety Management System Last Updated Feb 2019 15

Safety culture goes beyond mechanical adherence to procedures.

Safety Management System Last Updated Feb 2019 16

Safety Management System Last Updated Feb 2019 17

The safety policy of an organization should define senior

Safety Management System Last Updated Feb 2019 18

Safety Management System Last Updated Feb 2019 19

Safety Management System Last Updated Feb 2019 20

A statement of accountabilities clearly defines safety

The ultimate responsibility for the SMS is with the Accountable

Safety Management System Last Updated Feb 2019 21

This reflects the idea that the safety department's purpose is to

Functionally, the safety department is a safety data collection and

However, the responsibility for managing safety within each

Safety Management System Last Updated Feb 2019 23

SQA Organization Chart

Safety Management System Last Updated Feb 2019 24

The Safety Manager, in most organizations, will be the person whom

Safety Management System Last Updated Feb 2019 25

Service providers implement an Emergency Response Program or

Safety Management System Last Updated Feb 2019 26

The service provider shall develop and maintain an SMS

IranAir SMS Manuals:

Safety Management System Last Updated Feb 2019 27

http://10.10.18.39/documents (Iran Air stations)

Safety Management System Last Updated Feb 2019 28

Safety Management System Last Updated Feb 2019 29

Safety Management System Last Updated Feb 2019 30

Hazard identification is the first step in the SRM process.

The service provider should develop and maintain a formal

This includes equipment, facilities and systems.

It is important to also consider hazards that may exist as a result

Safety Management System Last Updated Feb 2019 31

The first step in hazard identification is to have a clear idea of what a