AIR WORKS INDIA

SAFETY MANAGEMENT SYSTEM

 SAFETY OVERVIEW
CONCEPT OF SAFETY

In order to understand safety management it

is necessary to consider what is meant by
“safety”. Depending on one’s perspective, the
concept of aviation safety may have different
connotations.
 CONCEPT
While the elimination of accidents and serious
incidents would be desirable, a one hundred
per cent safety rate is an unachievable goal.
Failures and errors will occur, in spite of the
best efforts to avoid them.
No human activity or human made system can
be guaranteed to be absolutely safe, i.e. free
from risks
SYSTEM LEADING TO CATASTROPHE
Less More
Protection Production
SYSTEM UNECONOMICAL
More Less
Protection Production
 WHY SMS?

ICAO
REQUIREMENT DGCA – Rule3,
– Doc 9859 29C & 29D
AN/474

DGCA State Safety

Requirement – Programme –
CAR Sec.1 Nov 2010
Series C Part 1 issue.
 ICAO REQUIREMENT
• ICAO Doc.9859
 WHY SMS?

ICAO
REQUIREMENT DGCA – Rules
– Doc 9859 3, 29C & 29D
AN/474

DGCA State Safety

Requirement – Programme –
CAR Sec.1 Nov 2010
Series C Part 1 issue.
 IA RULES - 3
• (48A) “Safety” means 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 of safety through a continuing process of hazard
identification and risk management.

• Explanation. – For the purposes of this clause, “acceptable level of

safety” is the minimum degree of safety that must be assured by a
system in actual practice.

• (48B) “Safety Oversight Function” means a function by means of

which the safety – related standards and recommended practices
and associated procedures contained in the Annexes to the
Convention are implemented.

• [Inserted by GSR No. 59(E) dated 31.01.2011]

 IA RULES -29C
• 29C. Adoption of the Convention and Annexes – (1) The Director-General
may lay down standards and procedures not inconsistent with the Aircraft
Act, 1934 (22 of 1934) and the rules made thereunder to carry out the
Convention and any Annex thereto.

• (2) The Director-General shall formulate the State Safety Programme

and oversee its implementation.

• Explanation.– For the purposes of this sub-rule, “State Safety Programme”

means an integrated set of requirements and activities aimed at
improving safety.”

• [Inserted by GSR No. 330(E) dated 19-5-2005, and

amended by GSR No. 59(E) dated 31-01-2011]
 IA RULES 29D
• Rule 29 D
• 29D. Safety Management Systems. – (1) Every organisation engaged in the operation of aircraft and aerodromes,
provision of air traffic services, training of personnel, maintenance, design and manufacture of aeronautical
products shall, –
•
• (a) establish and maintain Safety Management Systems; and
•
• (b) prepare a Safety Management Systems Manual in such form and manner as may be specified by the
Director-General and submit the same to the Director-General for approval.
•
• (2) The Director-General or any other officer authorised by him in this behalf by general or special order in
writing, may, at any reasonable time, inspect the Safety Management Systems and the concerned organisation
shall co-operate with the Director-General or the person so authorised to carry out the inspection.
•
• Explanation.– For the purposes of this rule, –
•
• (a) “Safety Management Systems” means a systematic approach to managing safety, including the necessary
organisational structure, accountabilities, policies and procedures;
•
• (b) “Safety Management Systems Manual” means a document containing the information relating to the Safety
Management Systems.”
•
• [Inserted by GSR No. 59(E) dated 31-01-2011]
 WHY SMS?

ICAO
REQUIREMENT DGCA – Rules
– Doc 9859 3, 29C & 29D
AN/474

DGCA State Safety

Requirement – Programme –
CAR Sec.1 Nov 2010
Series C Part 1 issue.
CAR Sec 1 Series C
 WHY SMS?

ICAO
REQUIREMENT DGCA – Rules
– Doc 9859 3, 29C & 29D
AN/474

DGCA State Safety

Requirement – Programme –
CAR Sec.1 Nov 2010
Series C Part 1 issue.
STATE SAFETY PROGRAMME
 Definitions & Description
• Safety Management System is a systematic
approach to managing safety including the
necessary organizational structures,
accountabilities, policies and procedures.
SMS EVOLVEMENT
TRADITIONAL APPROACH
 TRADITIONAL APPROACH
• Establish ‘Causal’ Factors which caused the safety
breakdown.

• This system was effective in identifying

WHO
WHEN
WHAT
Happened
 TRADITIONAL APPROACH
• Effective ; as it identified areas that led to
improvement in Technology
• Involved Regulatory Framework which led to
control & standardization of many operations.
• This required in an increased level of Training
and Skill for few people who were directly
involved with aircraft operations
SMS APPROACH
 HUMAN ERA
• HUMAN FACTORS (CREW)

1. CRM
2. LOFT
3. FDTL
 HUMAN ERA
• HUMAN FACTORS

Individuals do not operate in a vacuum but

their actions are part of the organizational
structure in which they conduct their
activities.
 ORGANIZATIONAL ERA
SYSTEMIC PERSPECTIVE WHICH
ENCOMPASSES ALL FACTORS
• TECHNICAL
• HUMAN
• ORGANIZATIONAL
LEADING TO THE DEVELOPMENT OF
 DEFINITIONS
• Systematic – Safety management system
activities are in accordance with a pre-
determined plan and applied in a constant
manner throughout the organization.
• Pro-active and Predictive – An approach that
emphasizes hazard identification and risk
control and mitigation, before events that
effect safety occur.
 DEFINITIONS
• Proactive – Is a safety management system
process aimed at identifying hazards before
they precipitate an occurrence.
• Reactive – Preventive action taken after
events that effect safety occur and usually as a
result of accident and incident cause analysis.
• Predictive – A proactive approach based upon
prediction of the possibility of a safety risk
that could occur.
 STRUCTURE

SAFETY RISK SAFETY SAFETY

SAFETY POLICY
MANAGEMENT ASSURANCE PROMOTION
 SAFETY POLICY

SMS MANUAL
Management
Commitment &
Responsibilities

Appointment of
key safety
Personnel

Safety
accountabilities
of Managers

Emergency
Response Plan

SMS
Documentation
 STRUCTURE

SAFETY RISK SAFETY SAFETY

SAFETY POLICY
MANAGEMENT ASSURANCE PROMOTION
HAZARD IDENTIFICATION
ASSESSMENT & MITIGATION
 SMS OBSERVATION
• Identify the Hazard / Condition leading to a
hazard.
• Assess the consequences
• SMS will add a Risk Index which will determine
the severity of the condition reported.
• Mitigate the Hazard or the Condition leading to it.
• Inform all concerned
• Liaise with concerned department to
permanently resolve the issue.
 RISK INDEX DETERMINATION
PROBABILITY OF OCCURENCE

QUALITATIVE MEANING VALUE

DEF.
FREQUENT Likely to occur many times (has occurred frequently) 5

OCCASIONAL Likely to occur some times (has occurred infrequently) 4

REMOTE Unlikely, but possible to occur (has occurred rarely) 3

IMPROBABLE Very unlikely to occur (not known to have occurred) 2

EXTREMELY Almost inconceivable that the event will occur 1

IMPROBABLE
 SEVERITY OF OCCURENCES
DEFINITION MEANING VALUE

1. Equipment destroyed
CATASTROPHIC A
2. Multiple Deaths
1. A large reduction in safety margins,
physical distress or a workload such that
the operators cannot be relied upon to
HAZARDOUS perform their tasks accurately or B
completely.
2. Serious Injury
3. Major Equipment Damage
1. A significant reduction in safety margins,
a reduction in the ability of the operators
to cope with adverse operating
conditions as a result of increase in
MAJOR C
workload, or as a result of conditions
impairing their efficiency.
2. Serious incident.
3. Injury to persons.
 SEVERITY OF OCCURENCES
(cont.)

DEFINITION MEANING VALUE

MINOR 1. Nuisance
2. Operating Limitations
3. Use of Emergency Procedures.
D
4. Minor Incident

NEGLIGIBLE 1. Little Consequence E

RISK INDEX
 SAFETY ASSURANCE
Safety Management of Continuous
Performance Change Improvement
• Audits • Identify Safety • Assess
• Investigation Issues Compliance
and Record Associated with • Measure the
Keeping Change effectiveness of
• Disseminate the safety risk
the information controls
and introduce
preventive
measures to
prevent
hazards
 STRUCTURE

SAFETY RISK SAFETY SAFETY

SAFETY POLICY
MANAGEMENT ASSURANCE PROMOTION
 SAFETY PROMOTION
• Documented Process
• Validation Test
Training

• Ensure safety
Safety awareness to all
Communication • Communicate safety
critical information
 DEFINITIONS
• Explicit – All safety management activities are
documented and visible.
• Safety – The state in which the risk of harm to
persons or of property damage is reduced to and
maintained at or below and acceptable level of
safety through a continuing process of hazard
identification and risk management.
• Acceptable Level of Safety – The minimum degree
of safety that must be assured by a system in
actual practice.
 DEFINITIONS
• Hazard – Is any situation or condition that has
the potential to cause damage or injury
• Risk – Are the potential adverse consequences
of a hazard, and are assessed in terms of their
severity and likelihood.
• Mitigation – Measures or controls put in place
to either eradicate the hazard or reduce the
severity or likelihood of the associated risk.
 SMS Vs QMS
Why is SMS Essential ?
1. By itself Quality cannot assure Safety
2. Quality focuses on Customer Satisfaction to
achieve targeted safety objectives whereas
SMS is solely concerned about achieving a
high safety standard by identifying safety
hazards and their consequences.
 AIR WORKS SMS

Identify Safety Hazards

Implement Remedial Action

Monitor and Assess Safety

Performance

Continuous Improvement
 CONTROLLING DOCUMENT
Safety Management System Manual
Issue 3 July 2014
SAFETY POLICY
REGULATORY REQUIREMENTS

ICAO
CAR Sect.1 CAR Sect.8 State Safety
Doc.9859 Aircraft Rule
Series C Series O Programme
AN/474 - 29D
Part 1 Part III India - 2010
2009
 DGCA
DGCA
Regulatory
REQUIREMENT
Requirement

SO NO SMS
NO
NO FUTURE
BUSINESS
BUSINESS
CONTRACTS!
ICAO
CONTRACTS!
Requirement
andICAO
is being
implement by
REQUIREMENT
all MRO’s
globally
 SMS IS A BUSINESS PROCESS
JUST LIKE

HR
FINANCE

SMS IS THEREFORE A CORE BUSINESS PROCESS

OF AIR WORKS INDIA ENGINEERING PVT. LTD
SAFETY MANAGEMENT PROCESS
IDENTIFY HAZARDS

COLLECT ADDITIONAL
ASSESS CONSEQUENCES
HAZARD DATA

IMPLEMENT CONTROL ASSESS AND PROIRITIZE

STRATEGIES RISKS

DEVELOP ELIMINATION
ASSIGN
/ MITIGATION
RESPONSIBILITIES
STRATEGIES

APPROVE CONTROL
STRATEGIES
 DGCA GUIDELINES FOR
IMPLEMENTATION OF SMS
DGCA REQUIREMENTS FOR SMS
 QMS Vs SMS
• QUALITY MANAGEMENT
SYSTEM
• Geared to achieve
organizational goals.
• Cannot assure safety
• Covers all aspects of
Engineering Maintenance
and its documentation to
ensure a level of safety
exists in the aircraft when
in operation.
• CUSTOMER DRIVEN
• SAFETY MANAGEMENT
SYSTEM
• Geared to achieve safety
goals
• Uses and extends the
quality principles to give
some level of safety
assurance.
• Covers all aspects of the
complete organization and
gives and acceptable level
of safety assurance.
• SAFETY DRIVEN
 REPORTING SYSTEMS

• MANDATORY OCCURRENCE REPORT

• VOLUNTARY REPORTING SYSTEM

• INTERNAL REPORTING SYSTEM

MANDATORY REPORTING

MANDATORY
REPORTING

INCIDENTS OCCURANCES

GROUP 1 GROUP 2 MAINTENANCE

 GROUP 1 INCIDENTS
• Fires during flight
• Engine shut-down during flight
• Defect to an aircraft component that causes
accumulation of smoke, vapour, or fumes in
pax or crew cabin
• Any major defect that requires extensive
repair.
 GROUP 2 INCIDENTS
• False fire warnings in flight
• Engine shut-down during flight
• Excessive fuel leakage
• Loss of Braking system components
• Defect related to Landing Gear Extension /
Retraction
• Flight Interruptions
 INVESTIGATION OF INCIDENTS
All Incidents will be investigated as per the
procedure given in the SMSM it will follow the
chart as given in SMSM Sect. 2.9
Form AWI/SMS/04 is used
 SMS REPORTING

THROUGH DROP BOXES LOCATED IN

HANGAR
 IMPORTANCE
• Learning from his / her own experience
• Learning from experience of others
• If not reported then they cannot be examined
and causes verified.
• Net effect – Organization as a whole will not
learn from experience, which eventually have
serious consequences.
 BENEFITS
• Identifies weaknesses in the system
• Error prone areas
• Gaps in Training
• Initiate change in Procedures
• Helps management mitigate potential safety
hazards.
• Eventually improves overall SAFETY
 WHY ARE PEOPLE RELUCTANT TO
REPORT?
• Retaliation

• Embarrassment

• Apathy
 SMS POLICY
Ensure that no action will be taken against any
employee who discloses a safety concern
through the hazard reporting system, unless
such disclosure indicates, beyond any
reasonable doubt, an illegal act, gross
negligence, or a deliberate or willful disregard
of regulations or procedure
SAFETY POLICY
 NEED FOR REPORTING
• The main aim of the Safety Management
System is to identify hazards and mitigate it so
as to avoid the possibility of an aircraft
accident, incident damage to property or
injury to personnel.
 WHO SHOULD REPORT?
ALL STAFF – EFFECTIVE SAFETY REPORTING
RELIES ON VOLUNTARY ERROR AND HAZARD
REPORTING BY ALL EMPLOYEES.
 SAMPLE FORMAT
AWI/SMS/03 is the Form used for reporting
Hazards.
 METHODS
Proactive Method
Predictive
looks actively for
Reactive Method Method captures
the identification
responds to system
of safety risks
events that performance as it
through the
already have happens in real
analysis of
happened time normal
organizations
operations
activities
 PROACTIVE

IS A SAFETY MANAGEMENT SYSTEM AIMED AT

IDENTIFYING HAZARDS BEFORE THEY PRECIPITATE
AN OCCURENCE
 PROACTIVE

Results of Investigation of Incidents /

Occurrences Analyzed and measures
taken to prevent recurrences.
 FUTHER STEPS REQUIRED
Monitor
Continuous
Training , Improvement
Analysis

Propose action Proactive

for prevention Processes

Analysis of Reactive
Incident Events Processes