Implementing SMS in an

Organization
by
Khurram Naseem
 Aviation itself is not inherently
dangerous, but to an even
greater degree than the sea, its
terribly unforgiving of any
CARELESSNESS,
INCAPACITY or NEGLECT
Capt Lamplugh
 SAFETY
(ICAO Doc 9859)

Safety is the state in which the RISK of harm to PERSON or

PROPERT DAMAGE is reduced to, & maintained at or below, an
ACCEPTABLE LEVEL through a CONTINUING PROCESS of
HAZARD IDENTIFICATION & RISK MANAGEMENT
 Simple Definitions
• Accountable Executive is the individual who instructs & manages the organization at the highest level &
who is ultimately responsible for safety in the organization.
• Safety is a condition in which the risk of harm or damage is limited to an acceptable level.
• Quality & Safety Manager is a managerial function where the organizational responsibility &
maintenance of an SMS is placed.
• Safety Management System (SMS) is an organized approach to managing safety, including the
necessary organizational structures, account abilities, policies & procedures.
• Safety Performance Targets (sometimes referred to as goals or objectives) are determined by
considering what safety performance levels are desirable & realistic for individual operators/ Operators.
• Safety Policy outlines the methods & processes that the organization will use to achieve desired safety
outcomes, & it serves as a reminder as to “how we do business here”.
• Safety Requirements are the operational procedures, technology, systems & programs to which
measures of reliability, availability, performance &/or accuracy can be specified.
• Safety Program is an integrated set of regulations & activities aimed at improving safety.
 SMS Manual
• This manual prepared for the Safety Management System (SMS) requirements approved in
accordance with:ANO-001-XXSP-2.0
• It is to provide guidance to the staff on the implementation of Safety Management Systems
(SMS) .
• It has been developed to give sufficient understanding of SMS concepts & the development of
management policies & processes to implement & maintain an effective SMS.
• This document meets ICAO Annex 19, ICAO Document 9859 & PCAA ANO-001-XXSP-2.0
• It is to provide the Safety policies & procedures that will be complied by Operational staff while
performing Operation of Aircraft, engines & associated components.
• To give documented evidence for implementation of Safety Management System.
SAFETY POLICY & OBJECTIVE
Senior Management shall seek guidance from the Accountable Manager for the Implementation of safety
procedures & methods to achieve the required standard of safety & safe working environment.
 
The Safety & Quality Manager shall maintain close liaison with the Accountable Manger. Accountable
Manager shall also provide guideline & vision for the continuous improvement & update procedures for
the safety measurements on priorities & communicate to an organization staff so that the maximum safe
environment are achieved & hazardous are eliminated of an organization. Safety & Quality Manager is
responsible for reviewing the Safety policy. The Safety Policy will be reviewed at Intervals not exceeding 12
months.
 
The Accountable Manager shall ensure that no action will be taken against any employee who discloses a
safety concerned on the contrary the staff shall be encouraged to report any safety concern or any
hazardous condition likely to affect the safety of personal, safety of equipment or any unsafe Operation
procedures. Accountable Manager ensure the human & financial resources required for implementation
of SMS in AOC holder Organization.
 
 
 SAFETY OBJECTIVES
The safety Objective of an organization has been formulated in the light of PCAA rules & regulations on Safety
Management System. Safety objectives are reviewed by Safety & Quality Manager annually.

• Develop & embed a safety culture in all our Aviation activities that recognized the importance & value of effective
Aviation safety management & acknowledges at all times that safety is paramount
• Clearly define for all employees their account abilities & responsibilities for the development & delivery of Aviation
safety strategy & performance
• Minimize the risks associated with aircraft operations to a point that is as low as reasonably practicable /achievable
• Ensure that externally supplied systems & services that impact upon the safety of our operations meets appropriate
safety standard
• Comply with legislative & regulatory requirements & standard Ensure that all employees are provided with adequate
& appropriate aviation safety information & training, are competent in safety matters & are only allocated tasks
commensurate with their skills.
• Achieve the highest levels of safety s standard & performance in all our operation activities.
• Establish & measure our safety performance against realistic objectives &/or targets.
• Ensure that sufficient skilled & trained resources are provided & available to manage safety & implement safety
strategy & policy.
• Ensure management of safety risks.
• Encourage employees to report safety issues.
 
 
 SCOPE OF SMS
This manual outlines SMS in an Organization. This manual shall encircle the safety limitations, safety
precaution, implementation procedures & scope of further improvement to the existing manual. All the staff
working at an Organization is committed to follow this manual in letter & spirit. Any area of improvement coming
in the notice of individuals should be brought to the notice of management for induction of new procedures &
methods in the manual. Such action should be encouraged so that optimum standard of safety achieved. The
scope of the manual shall also ensure maximum safety of the personnel, equipment, & aircraft by avoiding
hazardous situations & avoiding accidents/incidents at An Organization.

• This manual is applicable to An Organization in the scope of CAA approval.  

• In order to be acceptable to PCAA , An Organization’ SMS ,meets the requirement set forth on PCAA
policy letters & that as minimum

• Ensure that remedial action necessary to maintain acceptable level of safety is implemented

• Provides for continuous monitoring & regular assessment of the safety level achieved
 
• Aims to make continuous improvement to the overall level of safety
 
SMS Implementation Process
1. The SMS accountable executive will initiate the SMS
execution process by appointing SAFETY MANAGER &
SMS execution team

2. The execution team will be responsible for working with

safety manager & executive & various branches of the
organization to introduce the SMS planning & execution
process
 Accountable Executive
Safety review Board

Head of Ops Head of Maint Other Heads

Ops Safety Maint Safety

Officer Officer

Safety Action
Group(s) Safety Service
Office
SMS Implementation Process
1. Safety policy & objectives
2. System description
3. Gap Analysis
4. SMS components
5. Safety roles & responsibilities
6. Safety performance measurement
7. Safety training
8. Safety communication
9. Management review (of safety performance)
SMS Implementation Process
Safety Management System
1. Safety Management Plan
2. Document Management
3. Safety Oversight
4. Training
5. Quality Assurance
6. Emergency Preparedness
Safety Management System
1. Compliance Document
2. Gap Analysis
3. Project Plan
 PHASE-1
During this phase, & no later than the time specified by
the State Safety Program (SSP) in the exemption, affected
organizations are required to complete a copy of the
Compliance Document & forward this to their PCAA
Maintenance Inspector or PCAA Operations Inspector as
applicable. Completion of the compliance document will
satisfy the requirements SSP & is an essential element of
the SMS implementation process ensuring that all affected
organizations are aware of their regulatory responsibility..
 PHASE-1 (cont…)
The compliance document will identify the accountable
executive. It will also identify the person within the organization who
is responsible for implementing the SMS & will contain a statement
committing the organization to implementing that system. In addition
to completing the compliance document, affected organizations will;

(a) Conduct a gap analysis of the organization’s existing systems

compared to the CARs SMS requirements

(b) Develop a project plan that clearly demonstrates PCAA

inspectors how the organization will implement their SMS based
on the requirements of the exemption & the results of the gap
analysis.
 PHASE 2
During this phase, & no later than the time specified by the SSP in the exemption,
certificate holders must demonstrate to the satisfaction of PCAA, that they have the
following SMS components/elements in place:

(a) The Safety Management Plan component (including all elements)

(b) The following elements of the Safety Oversight component:

(i) Reactive Processes
(ii) Investigation & Analysis
(iii) Risk Management

(c) Training for personnel assigned duties under the SMS that are relevant to the
components & elements referred to in (a) & (b).

(d) Documented policies & procedures that are relevant to the SMS components &
elements referred to in (a), (b) & (c).
 PHASE 3
During this phase, & no later than the time specified
by the SSP in the exemption, in addition to meeting the
requirements of Phase 2, certificate holders must
demonstrate to the satisfaction of PCAA that they have
the Proactive Process element of the Safety Oversight
component in place. This requirement will also include
documented policies, procedures & training for
personnel assigned duties under the SMS.
 PHASE 4
During this phase, & no later than the time specified by the SSP in the exemption, in
addition to meeting the requirements of Phases 2 & 3, certificate holders must
demonstrate to the satisfaction of PCAA, that they have the following components in
place:

(a) Operational Quality Assurance

(b) Emergency Preparedness & Response
(c) Training for personnel assigned duties under the SMS that are relevant to the
components & elements referred to in (a) & (b).
(d) Documented policies & procedures that are relevant to the SMS components &
elements referred to in (a), (b) & (c).
 PHASE 4
During this phase, & no later than the time specified by the SSP in the exemption, in
addition to meeting the requirements of Phases 2 & 3, certificate holders must
demonstrate to the satisfaction of PCAA, that they have the following components in
place:

(a) Operational Quality Assurance

(b) Emergency Preparedness & Response
(c) Training for personnel assigned duties under the SMS that are relevant to the
components & elements referred to in (a) & (b).
(d) Documented policies & procedures that are relevant to the SMS components &
elements referred to in (a), (b) & (c).
Understanding
SMS
 What is a SMS?
• SMS builds upon the doctrine of System Safety & expands the field of perspective to include
Human Factors (HF) & Human Performance as key safety considerations during System design &
operation [International Civil Aviation Organization, (2009), pp.4–1].
• A major difference between SMS & System Safety is that SMS takes a proactive approach to
safety management & it goes beyond prescriptive audits & checklist-based inspections to develop
procedures & indicators that anticipate safety risks.
• While acceptance & compliance oversight is prescriptive-based, oversight of safety performance
indicators & targets is performance-based [International Civil Aviation Organization, (2009), pp.6–
15].
• The responsibility for a safe operation is spread throughout the different levels of the entire
organization structure in SMS. This approach increases the likelihood of more people watching
out for safety issues & reporting it so that the chance of a hazard going undetected is reduced.
CARELESSNESS, INCAPACITY or NEGLECT

Hazards & Risk

Latent Condition (1000-4000)

Incidents (100 -1000)

Serious Incidents (30-100)

Accident (1-5)
This is known as tip of an ICEBERG
90 % of the iceberg is below the water's surface & is not visible
 Four SMS components
Safety Policy
Establishes senior management's
commitment to continually improve
safety, defines the methods, process &
organizational structure needed to meet
safety goals
Safety Risk Management
Determines the need for & adequacy of
new or revised risk control based on
the assessment of acceptable risk.
Safety Assurance
Evaluates the continued effectiveness
of implemented risk control strategies,
support the identification of new
hazards
Safety Promotion
Includes training communication& other
actions to create a positive culture
within all levels of the workforce
 DATA Collection
• Collect & review information about workplace hazards.
• Investigate injuries, disorders, incidents, & near-miss accidents to
determine the underlying hazards, their causes, & safety & program
gaps.
• If possible, fix hazards as you find them. If you can’t, take steps to
isolate the hazard from employees & put a plan in place to remove
it as soon as practicable
• Analyze the hazards of complex or non-routine operations, identify
interim control measures & communicate hazards to company
personnel
 DATA Collected
• Helps / support in decision making
• Effective management (of DATA)
• Efficient safety DATA driven processes not being entirely on DATA
• Systematic way to identify hazards, control Risks & its effectiveness
• Model for safety before occurrence
• Optimizes resources & reduces financial values
HAZARD CONTROL
NEVER ENDS
 Reasons for
Implementation of SMS
• To reduce incidents & accidents
• Reduction in direct & indirect costs
• Improving staff productivity
• Safety recognition
• Proof of diligence in the event of legal or regulatory safety
investigations.
 SMS System
• Systematic approach to manage safety
• Continuously improve safety performance through
• Identification of hazards
• Analysis of DATA & safety info
• Continuous assessment of safety risks
• Seeks proactively mitigate safety risks before the incidents /
accidents
• Allows the organization to manage activities, performance
while gaining safety
• Effectively demonstrates the STATE the organization ability to
manage safety risks & its effective safety management at state
level
 Components of SMS
1. Safety policy & objectives
2. Safety risk management
3. Safety assurance
4. Safety promotion
 Safety Policy & Objectives
1. Safety commitment
2. Safety accountability & responsibilities
3. Appointment of key safety personnel
4. Coordination of emergency response planning
5. SMS documentation
Safety Risk Management
1.Hazard identification
2.Safety risk assessment & mitigation
 Safety Assurance
1. Safety performance monitoring & measurement
2. The management of change
3. Continuous improvement of the SMS
 Safety Promotion
1. Training & education
2. Safety communication
SMS Assignment
submitted
by
Khurram Naseem
27th Feb 2021