This document provides an overview of a Safety Management System (SMS). It defines SMS according to the FAA as a formalized approach to managing safety that integrates operations and technical services. The purpose of SMS is to take a proactive, systematic approach to controlling risks. It consists of 4 main components: safety policy, risk management, safety assurance, and safety promotion. The document discusses each component and provides guidance on implementing an SMS, including conducting a safety culture assessment, developing SMS manuals and procedures, and implementing hazard reporting and risk mitigation processes.

1. Safety Management System
Aviation Technology Solutions

2. Agenda
1. SMS
• Defined
• Purpose
• What it is and what it isn’t
2. Case for SMS
3. SMS Fundamentals
4. Guidance, Tools & Implementation
5. Recommended way to Implement SMS
Aviation Technology Solutions

3. FAA Definition
“SMS”
“an SMS is a formalized
approach to managing safety by developing an
organization-wide safety policy, developing formal
methods of identifying hazards, analyzing and
mitigating risk, developing methods for ensuring
continuous safety improvement, and creating
organization-wide safety promotion strategies.”
Aviation Technology Solutions

4. Better Definition?
“SMS”
Systematic and comprehensive process for the
proactive management of safety risks that
integrates operations, technical services
with financial and human resource
management.
Aviation Technology Solutions

5. SMS Purpose
• Systems approach to control risk
• More effective assurance controls
• Meet statutory safety requirements (title 49)
• FAA means to evaluate management capability
• Proactive application of technical and management
skills to identify and control hazards
o Traditional approach concentrates on technical
o SMS adds emphasis on management elements
Aviation Technology Solutions

6. What SMS is and is not…
What SMS is: What SMS is not:
Compliance is integral to safety Substitute for compliance
management
Effective interface for safety Substitute for oversight
management
Systems approach Replacement for system safety
Decision making processes for senior Requirement for a new department
and line management
Aviation Technology Solutions

7. ICAO Annex 6 and 14
• States shall establish State safety
program to achieve acceptable
level of safety in civil aviation.
• Framework for implementation
and maintenance contained in
Safety Management Manual
(SMM) (Doc 9859).
• Acceptable level of safety
established by State.
Aviation Technology Solutions

8. FAA SMS for Air Carriers
Aviation Technology Solutions

9. FAA SMS for Airports
Aviation Technology Solutions

10. Case for SMS
Aviation Technology Solutions

11. Safety Management System
• Infuse safety into entire system
 People
 Tools Management levels
 Procedures
 Materials
 Equipment
 Software
Protection Production
• Maintain balance of production and protection
Aviation Technology Solutions

12. Safety vs. Production
Financial
Bankruptcy Management
Protection
un-rocked
boat
Safety Catastrophe
Management
Production
Life of system
Aviation Technology Solutions

13. Ramp Damage - Big $$$ For Operators
Aileron & Tab Assembly $183,545
Outboard Flap Assembly
$255,845
Parts prices only
Elevator
Inboard Flap
Assembly
Assembly $224,872
$264,708
Cargo Door $58,327
Main Entry Door
$171,220
L.E. Slat Assembly
$52,863
Radome $19,712
Wingtip Assembly $28,872
TAT Probe Side cowl
$6,583 $161,407
AOA Vane Pitot Static Probe Inlet Cowl $329,203 8
$4,300 $5,157 Inlet Cowl Segment $5,151
Aviation Technology Solutions

14. Accident and Incident Cost!
Direct costs Indirect costs
• Loss of aircraft • Loss use of equipment
• Injuries/death of flight • Loss of staff
crew & passengers  Involved in accident issues
• Insurance deductibles  Lower productivity
• Costs not covered by • Investigation & clean-up
insurance • Legal claims
• Fines
• Misplaced/stranded
passengers
• Negative media exposure
"Airfield incidents/accidents represent ~$ 3.5 B annual cost to industry."
Aviation Technology Solutions

15. Income lost
Event Direct Indirect
Catering truck hits airplane $17,000 $230,000
Jet way hits airplane $50,000 $600,000
Landing event $1,900,000 $4,800,000
Aviation Technology Solutions

16. Accidents Cost Small Operators, Too
Claim Flight Training Fixed Wing Air Helicopter
Operation Taxi Operation Air Taxi
Forced landing $150,000 $300,000 $900,000
(aircraft destroyed)
Propeller makes $20,000 $30,000 $150,000
contact with object
on ground
Hangar Rash $5,000 $10,000 $35,000
Flight cancellation $500-1,400 $3-5,000 $8-10,000
per day
Aviation Technology Solutions

17. Aviation Drove Down Accident Rate
• Regulations,
Policies and
Programs
• Aircraft and
System
Design
• Crew
Resource
Management
• Human
Factors
• Data
Collection,
Analysis and
Corrective
Action
• Safety Culture
and Risk
Management
• Training
• Safety
Management
System –
SMS
Aviation Technology Solutions

18. Where Aviation Accidents Take Place
Annual worldwide ramp accidents and incidents 1 per 1,000 departures.
Aviation Technology Solutions

19. Human Error and Operations
• 75% mishaps due to human error
• Type of Errors Vary
 Perception
 Memory Lapses
 Slips
 Wrong Assumption
 Technical Misunderstandings
 Procedure Violations
• Safety Culture
• Decision Making
• Latent Conditions
Aviation Technology Solutions

20. Heinrich Safety Triangle
Human Error
Causal Factors and Latent Conditions
Personal Equipment
Training Culture Procedures Organizational
Factors Design
Aviation Technology Solutions

21. Traditional approach – Preventing accidents
Focus on outcomes (causes)
Unsafe acts by operational personnel
Attach blame/punish for failures to “perform safely”
Address identified safety concern exclusively
Identifies:
WHAT? WHO? WHEN?
But not always discloses:
WHY? HOW?
Aviation Technology Solutions

22. SMS Strategies
Reactive Proactive Predictive
(Past) (Present) (Future)
Actively seek
Analyze
Respond to identification of
system
Incidents and hazardous
processes and
accidents that have conditions
environment to
already through analysis
identify potential
happened of organization’s
future problems
processes
Aviation Technology Solutions

23. SMS Fundamentals
Aviation Technology Solutions

24. SMS Components
1. Policy & Objectives
2. Risk Management
3. Safety Assurance
4. Promotion Policy
Risk Safety
Management Assurance
Safety Promotion
Aviation Technology Solutions

25. SMS Design Attributes
Processes must have attributes built in
• Responsibility: accountable activities + quality
• Authority: power to accomplish activities
• Procedures: clear instructions for employees
• Controls: ensure activities produce correct outputs
• Process Measures: measure processes & results
• Interfaces: Manage processes & relationships between
employees, organization and with contractors, vendors,
customers, other organizations
Aviation Technology Solutions

26. SMS Attributes and Management
• SMS attributes align with management process:
 Planning: Procedures
 Organizing: Procedures, Responsibilities & Interfaces
 Directing: Responsibilities & Authority
 Controlling: Process Measures & Controls
• Documented in SMM
Aviation Technology Solutions

27. SMS Component 1
Policy
• Management safety commitment and strategy.
• Framework to put organization & responsibility in place.
• Objectives:
 Leadership
 Training
 Measurable Safety Targets
 Lessons Learned
 Non-Punitive Reporting System
• Manage safety same way as other areas.
• Judgment, assessing priorities, and making decisions.
 Like all management decision making
Aviation Technology Solutions

28. Corporate Safety Culture
Policy
• Organization’s DNA
(Structure)
• Ingrained in operating norms
• Resources to maintain safe
and efficient operations
• Acknowledge safety concerns Safety Safety Safety
and suggestions: Assurance
Promotion Culture
 Give feedback on decisions
 If no action contemplated,
decision is explained
 Feedback is timely, relevant Risk
and clear Management
Aviation Technology Solutions

29. SMS Component 2
Safety Risk Management (SRM)
Risk Matrix Model
• Systematic, explicit, &
comprehensive approach for
managing risk throughout
organization.
• Five Phases
1. Describe System
2. Identify Hazards
3. Determine Risk
4. Assess & Analyze Risk
5. Treat Risk - Mitigate
Aviation Technology Solutions

30. SMS Component 3
Safety Assurance
• Collect and analyze information to determine that
process requirements are continuously being met.
• Assess performance and Risk controls effectiveness
• Works in partnership with Risk Management.
• Program audits
 Internal
 External
• Lessons learned
• Adequate resources
Aviation Technology Solutions

31. SMS Component 4
Safety Promotion
• Training & education
• Safety competency &
continuous improvement
• Safety communication
• Safety culture – core value
Aviation Technology Solutions

32. Culture
Management Employees
Communication
Informed: People understand hazards & risks
Learning: Company learns from mistakes. Staff
updated on safety issues by management.
Just: Employees know what is acceptable
& unacceptable behavior.
Reporting: All personnel freely share critical safety
information.
Aviation Technology Solutions

33. Positive Safety Culture
1. Senior management commitment
2. Senior management visibility
3. Safety accountability framework
4. Safety policy, goals, objectives, standards, and performance
5. Effective employee safety reporting system
6. Safety information system
7. Resource commitment
Aviation Technology Solutions

34. Commitment to SMS
• Documents alone will not guarantee development of
positive safety culture.
• Employees must see evidence of management
commitment.
Management Attitudes & Actions = most important factor.
Aviation Technology Solutions

35. SMS Depends on Data Quality
• Reports/Facts - what exists or happening now
• Inferences (Interpretations)
 What’s likely to happen in future,
based on what’s happening now
 Conclusions based on facts
• Judgments
 Value
 Quality assessments
 Good, bad, acceptable, unacceptable
of what is or will exist or happen
Aviation Technology Solutions

36. Continuous Improvement
SMS continuous improvement through
• Safety and Quality Policies
• Safety Objectives
• Audit & Evaluations
• Analysis of Data
• Corrective and Preventive Actions
• Management Reviews
Aviation Technology Solutions

37. Management Review
Top management conduct regular reviews of SMS
• Outputs of SRM & SA
• Lessons learned
• Need for changes
Aviation Technology Solutions

38. SMS
Guidance, Tools and Implementation
Aviation Technology Solutions

39. SMS Guidance and Tools
• ICAO Doc 9859: Safety Management Manual (SMM)
• FAA Order 8000.369: FAA SMS Guidance
• FAA AC 120-92A (Air Carriers)
• FAA Order 5200.11 FAA Airports SMS
• FAA AC 150-5200/37 (Airports)
• TRB Airport Cooperative Research Board
• Voluntary Implementation Guidance (Multiple Docs)
Aviation Technology Solutions

40. SMS Implementation Process
Continuous
4 Improvement
Processes
Proactive
3 Processes
Reactive
2 Processes
Planning &
1 Organization
Readiness
Orientation &
0 Commitment
Aviation Technology Solutions

41. First Steps
Safety Culture & Gap Analysis
• Assess Culture
 Surveys and Observations
 Organizational Interviews
 Review of Policies, Procedures,
Processes & Data
 Analysis & Assessment
• Safety Gap Analysis
 Compare with SMS Principles
 Compare Baseline with
Requirements Good gauge of safety culture is
 Document Results "How we do things around here.”
• Plan Survey Example
Aviation Technology Solutions

42. 2nd Step
Three Simultaneous Activities
Implement SMS SMS Manual Hazard Reporting &
SMS Manager
 Policies  Standalone
 Objectives  ACM  S/W App
 Procedures  Attributes  Web Based
 SRM  Responsibility  Collect Safety
 SA  Authority Data
 Promotion  Procedures  Manage
 Process Events
Measures  Assess Risk
 Interfaces  Mitigate
 Document
 Promote
Aviation Technology Solutions

43. When Completed
Safety Promotion
ORGANIZATIONAL SAFETY CULTURE
ORGANIZATIONAL SAFETY CULTURE
Safety Policy
Identified New Hazards
SRM Safety
Identify hazards
Assurance
Analyze, assess, Monitor NAS &
knowingly accept, mitigations through:
Audits & Evals
and mitigate risk Trends Analyses
Monitoring plans Data Tracking
Safety Risk
Mitigations
Monitoring
SMS Implementation Plan
Safety Communications
Aviation Technology Solutions

44. SMS Will…
• Establish meaningful safety policies, goals and objectives
• Create individual accountability for safety
• Demonstrate leadership regarding safety principles
• Launch processes for risk measurement, hazard
identification and mitigation
• Develop collegial interactive teams & improved
communications process
• Implement non-punitive reporting; encourage “lessons
learned”
• Fewer accidents and incidents
• Reduce injury and damage claims costs; better productivity
• Lower Operating Costs
Aviation Technology Solutions

45. Documented SMS Success Stories
• Conair - Occupational Health and Safety costs:
 Went from +30% to –30% of industry average
 Saved $1,000 per employee year one
 Insurance Premiums stayed constant did not rise like their
competition
• Air Transat saving over $1 million per month
• Skyservice saved $5 million in 1st year
Aviation Technology Solutions

46. 4720 Montgomery Lane
Suite 950
Bethesda, MD 20814
www.jdasolutions.aero
301-941-1460
Aviation Technology Solutions