Safety Management Systems (SMS)

AVSC 403
Safety Policy and Objectives

Prepared by Dr. Ali Abu Odeh

 OVERVIEW
In aviation, management commitment and responsibility and safety
accountabilities are critical for the success of a safety management system. They
ensure that safety is embedded in the organization’s culture, operations, and decision-
making processes. By clearly defining roles, providing resources, and leading by
example, management can create an environment where safety is prioritized, risks are
managed effectively, and continuous improvement is achieved.

Original Author: JTS Slide No. 2

 MANAGEMENT COMMITMENT AND RESPONSIBILITY
Management commitment refers to the active involvement and visible support of
senior leadership in promoting and prioritizing safety within the organization. In
aviation, this is crucial because safety is a core value that directly impacts operational
success and public trust.

Original Author: JTS Slide No. 3

 KEY ASPECTS OF MANAGEMENT COMMITMENT
Leadership Involvement: Senior management must demonstrate a proactive approach
to safety by setting clear safety objectives, allocating resources, and participating in
safety-related activities.
Safety Policy: Management is responsible for establishing and communicating a clear
safety policy that reflects the organization’s commitment to safety.
Resource Allocation: Ensuring adequate resources (financial, human, and
technological) are available to support safety initiatives, training, and risk management.
Safety Culture Promotion: Management must foster a positive safety culture where
employees feel empowered to report hazards and incidents without fear of retribution.
Leading by Example: Management should model safety-conscious behavior and
decisions, reinforcing the importance of safety at all levels of the organization.
Original Author: JTS Slide No. 4
 EXAMPLES IN AVIATION:
• Airlines or airports conducting regular safety briefings led by senior executives.
• Management investing in advanced safety technologies or training programs.
• Leadership actively participating in safety audits and reviews.

Original Author: JTS Slide No. 5

 SAFETY ACCOUNTABILITIES
Safety accountabilities refer to the clear definition and assignment of roles and
responsibilities for safety-related tasks and decisions within the organization. In
aviation, where operations are complex and involve multiple stakeholders, clearly
defined accountabilities are essential to ensure that safety risks are effectively
managed.

Original Author: JTS Slide No. 6

 KEY ASPECTS OF SAFETY ACCOUNTABILITIES:
• Clear Roles and Responsibilities: Every individual, from frontline staff to senior
management, must understand their specific safety-related duties.
• Accountability Structures: Establishing formal structures (e.g., safety committees,
designated safety officers) to oversee safety performance and compliance.
• Performance Metrics: Defining measurable safety performance indicators to
evaluate how well individuals and teams are meeting their safety responsibilities.
• Reporting Mechanisms: Ensuring there are clear processes for reporting safety
concerns, incidents, and hazards, with accountability for follow-up actions.
• Consequences for Non-Compliance: Establishing consequences for failing to
meet safety responsibilities, while also recognizing and rewarding positive safety.
behaviors.
Original Author: JTS Slide No. 7
 EXAMPLES IN AVIATION:
• Pilots, maintenance crews, and air traffic controllers each have specific safety
responsibilities outlined in their job descriptions.
• A safety manager is accountable for monitoring safety performance and ensuring
compliance with regulatory requirements.
• An airline’s safety department is accountable for investigating incidents and
implementing corrective actions.

Original Author: JTS Slide No. 8

 INTEGRATION IN AVIATION SAFETY MANAGEMENT SYSTEMS (SMS)
In an aviation SMS, management commitment and safety accountabilities are
integrated into the four key components of SMS:
1. Safety Policy: Management defines the safety policy and ensures it is
communicated and understood across the organization.
2. Safety Risk Management: Management ensures that resources are available to
identify, assess, and mitigate risks, and that individuals are accountable for their roles
in this process.
3. Safety Assurance: Management oversees the monitoring and evaluation of safety
performance, ensuring accountability for continuous improvement.
4. Safety Promotion: Management promotes a culture of safety through training,
communication, and recognition of safety achievements.

Original Author: JTS Slide No. 9

 IMPORTANCE IN AVIATION
• Regulatory Compliance: Aviation authorities (e.g., ICAO, FAA, EASA) require
organizations to demonstrate strong management commitment and clear safety
accountabilities as part of their SMS.
• Risk Mitigation: Effective management commitment and accountability reduce
the likelihood of accidents and incidents by prioritizing safety at all levels.
• Operational Efficiency: A strong safety culture driven by management
commitment leads to more efficient operations, as employees are more likely to
follow procedures and report issues promptly.
• Public Trust: Demonstrating a commitment to safety enhances the reputation of
aviation organizations and builds trust among passengers and stakeholders.

Original Author: JTS Slide No. 10

 APPOINTMENT OF KEY SAFETY PERSONNEL
The appointment of key safety personnel is essential for the successful
implementation of an SMS. These individuals are responsible for overseeing safety-
related activities, ensuring compliance with regulations, and promoting a safety
culture within the organization.

Original Author: JTS Slide No. 11

 KEY ROLES IN AVIATION SMS:
• Accountable Executive (AE): The senior manager ultimately responsible for the
organization's safety performance and the implementation of the SMS.
• Safety Manager: The individual responsible for the day-to-day management of the
SMS, including risk management, safety assurance, and safety promotion.
• Safety Officers/Representatives: Personnel designated to support the Safety
Manager in specific areas or departments (e.g., flight operations, maintenance, ground
handling).

Original Author: JTS Slide No. 12

 RESPONSIBILITIES OF KEY SAFETY PERSONNEL:
• Accountable Executive:
• Provides leadership and resources for the SMS.
• Ensures the safety policy is communicated and implemented.
• Oversees the organization's safety performance.
• Safety Manager:
• Develops and maintains the SMS.
• Coordinates risk assessments and safety audits.
• Manages safety reporting and investigation processes.
• Safety Officers/Representatives:
• Act as a liaison between their department and the Safety Manager.
• Promote safety awareness and compliance within their area of responsibility.
Original Author: JTS Slide No. 13
 COORDINATION OF EMERGENCY RESPONSE PLANNING
Emergency response planning is a critical component of an SMS, ensuring the
organization is prepared to respond effectively to accidents, incidents, or other
emergencies. The coordination of this plan involves collaboration across departments
and external stakeholders.

Original Author: JTS Slide No. 14

 KEY ELEMENTS OF EMERGENCY RESPONSE PLANNING:
• Emergency Response Plan (ERP): A documented plan outlining procedures for
responding to emergencies, such as aircraft accidents, security threats, or natural
disasters.
• Roles and Responsibilities: Clearly defined roles for personnel involved in
emergency response, including communication, evacuation, and medical assistance.
• Training and Drills: Regular training and simulation exercises to ensure personnel
are familiar with emergency procedures.
• Coordination with External Agencies: Collaboration with local authorities,
emergency services, and regulatory bodies to ensure a coordinated response.

Original Author: JTS Slide No. 15

 RESPONSIBILITIES IN AVIATION SMS:
• Management: Ensures the ERP is developed, maintained, and adequately
resourced.
• Safety Manager: Coordinates the development and testing of the ERP.
• Employees: Participate in training and drills to ensure readiness for emergencies.

Original Author: JTS Slide No. 16

 SMS DOCUMENTATION
SMS documentation is the formal record of the organization's safety policies,
processes, and procedures. It provides a framework for managing safety and ensures
consistency and compliance with regulatory requirements.

Original Author: JTS Slide No. 17

 KEY COMPONENTS OF SMS DOCUMENTATION
• Safety Policy: A statement of the organization's commitment to safety, signed by the
Accountable Executive.
• Safety Risk Management (SRM) Process: Documentation of the processes for
identifying, assessing, and mitigating safety risks.
• Safety Assurance (SA) Process: Records of safety performance monitoring, audits, and
investigations.
• Safety Promotion: Documentation of training programs, safety communication, and
safety culture initiatives.
• Emergency Response Plan (ERP): The documented plan for responding to emergencies.
• Safety Performance Indicators (SPIs): Metrics used to measure the effectiveness of the
SMS.

Original Author: JTS Slide No. 18

 RESPONSIBILITIES IN AVIATION SMS:
• Management: Ensures that SMS documentation is developed, maintained, and
accessible to all personnel.
• Safety Manager: Oversees the development and updating of SMS documentation.
• Employees: Follow documented procedures and contribute to the continuous
improvement of the SMS.

Original Author: JTS Slide No. 19

 REFERENCES
• ICAO Annex 19: Safety Management
• ICAO Document 9859: Safety Management Manual (SMM)
• FAA AC 120-92B: Safety Management Systems for Aviation Service Providers
• EASA Regulation (EU) No 376/2014: Reporting, analysis, and follow-up of
occurrences in civil aviation
• IATA Safety Audit Program (ISARP) guidelines
• IS-BAO (International Standard for Business Aircraft Operations)

Original Author: JTS Slide No. 20