SMS

safety management system

total quality management
Introduction
• ICAO Annex 19, requires Member States to implement a SSP which
requires aviation service providers such as airlines, airports, air
navigation service providers to have a SMS.
Definition

• A safety management system (SMS) is a systematic approach to managing

safety, including the necessary organisational structures, accountabilities,
policies and procedures. (ICAO)
• Safety Management System (SMS) - A systematic and explicit approach
defining the activities by which safety management is undertaken by an
organisation in order to achieve acceptable or tolerable safety. (ESARR 3).
• Objective

• The objective of a Safety Management System is to provide a structured

management approach to control safety risks in operations. Effective safety
management must take into account the organisation’s specific structures
and processes related to safety of operations.
• Use of SMS can be generally interpreted as applying a quality management
approach to control safety risks. Similar to other management functions, safety
management requires planning, organising, communicating and providing direction.
• The SMS development begins with setting the organisational safety policy. It
defines the generic principles upon which the SMS is built and operated. This first
step outlines the strategy for achieving acceptable levels of safety within the
organisation.
• Safety planning and the implementation of safety management procedures are the
next key steps in the processes designed to mitigate and contain risk in operations.
Once these controls are ready, quality management techniques can be utilised to
ensure that they achieve the intended objectives and, where they fail, to improve
them. This is accomplished by deployment of safety assurance and evaluation
processes which in turn provide for a continuous monitoring of operations and for
identifying areas of safety improvement.
• Put simply, effective safety management systems use risk and quality management
methods to achieve their safety goals. In addition, SMS also provides the
organisational framework to establish and foster the development of a positive
corporate safety culture.
• The implementation of an SMS gives the organisation’s management a structured
set of tools to meet their responsibilities for safety defined by the regulator.
Generic SMS Regulatory Framework

• The ICAO Standards and Recommended Practices (SARPS) promulgated in several Annexes
to the Chicago Convention require the implementation of a safety management system by
the following aviation service provider organisations:
• aircraft operators;
• aircraft maintenance organisations;
• air navigation services providers;
• airport operators.
• Latest amendments to ICAO SARPS to include the requirement to implement a safety
management system will be harmonised and extended to include in 2010 and 2013
respectively:
• training organisations, and
• aircraft manufacturers.
 ICAO SMS Framework

• The ICAO SMS framework consists of four components and twelve elements,
and its implementation shall be commensurate with the size of the
organization and the complexity of the services provided.
• Safety Policy and Objectives
• Safety Risk Management
• Safety Assurance
• Safety Promotion
• ESARR 3 mandates the implementation and use of Safety Management Systems (SMS) by providers of air traffic
management (ATM) services. It has been transposed into EU law by Commission Implementing Regulation (EU) No
1035/2011 of 17 October 2011 laying down common requirements for the provision of air navigation services.
• The main components of an ATM service provider's SMS meeting ESARR 3 requirements may be assigned to the
following broad domains:
• Safety Policy and Planning
• Safety Achievement
• Safety Assurance
• Safety Promotion
• An organisational safety effort cannot succeed just by the mechanic implementation of the referred SMS
components and procedures. An effective SMS is build taking due account of the interaction between these
components with the human element of the aviation system. A successful implementation and operation of an SMS
is highly dependent on organisational aspects such as individual and group attitudes, values, competencies and
patterns of behaviour which are frequently referred to as elements of the “safety culture”. A positive safety culture
is characterised by a shared awareness of organisations’ personnel of the importance of safety in their operational
tasks.
SMS in Aviation Industry

• The international SMS standards and requirements are structured mainly as objective
regulations. They are created in a way to emphasise more on “what to do” rather than
“how to do it”. The reason behind this is to create standards which are set in a way that
accommodates a wide variety of types and sizes of organisations. These standards are
designed to allow the operators and service providers to integrate the safety
management practices into their individual operational models.
• The absence of harmonised and standardised requirements at the start of SMS
implementation, the specific needs of the different types of operators/service providers
as well as the differences in the existing service provision and business frameworks have
set the pattern for the development of sector specific safety management systems:
• SMS in the Airline Industry;
• SMS in Aerodrome Operation;
• SMS in Air Traffic Management.
 Safety Management System: SMS for 121 Operators (part 21
organizations)

• The FAA Aviation Safety Organization issued a final rule that was published on January 8, 2015, requiring operators
authorized to conduct operations under part 121 to develop and implement a Safety Management System. The rule
adds a new part 5 to title 14 of the Code of Federal Regulations (CFR), creating the general framework for an SMS that a
part 121 air carrier may adapt to fit the needs of its operation. It also modifies title 14 CFR part 119 to specify
applicability and implementation of the new SMS framework in part 5 for aircraft operators certificated under part 121.
• This rule was developed with input from an SMS Aviation Rulemaking Committee (ARC) and public comments submitted
in response to an Advanced Notice of Proposed Rulemaking (ANPRM) (74 FR 36414) and Notice of Proposed Rulemaking
(NPRM) (75 FR 68224). The final rule was also based on lessons learned from Flight Standards SMS industry pilot
projects.
• Guidance to FAA Flight Standards offices for implementation plan approval, system validation, acceptance, and oversight
is also available. These documents and tools may be valuable for part 121 certificate holders in developing and
implementing their Safety Management Systems. Documents include:
• AC 120-92B – Safety Management Systems for Aviation Service Providers
• FAA Order 8900.1, Volume 17, chapters 1-3
• Notice N8900.281, Safety Management Systems (SMS) – Approval of Part 121 Certificate Holders’ SMS Implementation
Plans
 Safety Management System
Voluntary Implementation of SMS for Non-Part 121 Operators, MROs, and
Training Organizations

• SMS development for Air Operators, MROs and Training Organizations can be furthered by using some core documents
and tools. The list (and links) below highlight the base documents, as well as other helpful material and resources.
• SMS includes the four Components and 12 Elements, with respective processes. The guidance material and tools
highlight functional requirements, design expectations and performance objectives.
• AC 120-92B – Safety Management Systems for Aviation Service Providers
• The Safety Management System Voluntary Program Guide is available by request (see contact information at bottom of
page).
• SMS Newsletter (PDF)
• Tools specific to Air Operators, MROs, and Training Organizations developing an SMS
• SMS Voluntary Program Gap Analysis Tool (Air Carrier) .This tool can be used for assessing an Air Carrier's organization
with respect to SMS requirements of the SMS Voluntary Program Standard.
• SMS Voluntary Program Gap Analysis Tool (MRO). This tool can be used for assessing a Maintenance Repair Organization
with respect to SMS requirements of the SMS Voluntary Program Standard.