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SAFETY MANAGEMENT SYSTEM. Systematic Approach to Managing Safety Risks. Key Elements of an SMS. Safety Policy Safety Risk Management Safety assurance and change management Safety promotion and training. Key Elements of an SMS. Safety Policy, objectives and planning to include:.

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safety management system


Systematic Approach to Managing Safety Risks

key elements of an sms
Key Elements of an SMS
  • Safety Policy
  • Safety Risk Management
  • Safety assurance and change management
  • Safety promotion and training
key elements of an sms1
Key Elements of an SMS
  • Safety Policy, objectives and planning to include:
  • Management commitment
  • Safety accountabilities of managers
  • Appointment of key personnel
  • SMS implementation plan
  • Documentation
  • Measures for capturing human errors at all levels
  • Emergency Response Planning
key elements of an sms2
Key Elements of an SMS
  • Safety Risk Management
    • Hazard / Risk identification processes
    • Risk assessment and mitigation processes
    • Internal safety analysis
    • Safety occurrence and risk reporting
key elements of an sms3
Key Elements of an SMS
  • Safety assurance and change management, to include:
    • Safety performance monitoring and measurement
    • Audits and surveys
    • Change management processes
    • Continuous improvement processes
  • Safety promotion and training, to include:
    • Training and education
    • Safety Communication
    • Operational human errors

NTSB Reports Accident / Incident - Read / Reviewed


Least Efficient

Safety Program Safety Captain, Safety Meetings, Safety News Letters


More Efficient

Safety Management System

Data Gathering / Analysis


Most Efficient

getting more information safety culture
Getting More Information / Safety Culture
  • Attitudes / Behaviors
    • Constantly emphasize importance of safety
    • Demonstrated, developed, and encouraged
  • Training / Industry SMS workshops
  • Stated Safety Performance goals (measurable)
  • Regularly scheduled Safety Meetings
  • Participation in the SMS (e.g., Safety Reporting, QMP)
ideal sms
Ideal SMS
  • Open communication
  • Involvement from everyone
  • Hazard / Incident Reporting System
  • Ongoing internal self-monitoring system
  • Induction / Recurrent Training in the SMS
is bao audit

IS-BAO Audit

Stage One / Stage Two / Stage Three

stage one
Stage One




Is conducted:

  • For Initial Applicants for IS-BAO Registration
  • For Renewal audit (weakness in initial audit, certification has lapsed, etc.)
  • At request of operator (e.g., change in ownership, etc.)

Objectives confirm that:

  • Necessary SMS infrastructure is in place
  • Past / Planned SMS Activities appropriately targeted


stage two
Stage Two

Is conducted:

  • For operators who have successfully completed Stage One / Stage Two

Objectives confirm that:

  • SMS activities appropriately targeted
  • Safety Risks are being effectively managed

Note: Stage Two renewal audit focuses on assessing the appropriateness and effectiveness of the SMS, and only samples indicators of SMS soundness.

stage three
Stage Three

Is conducted:

  • For operators who have successfully completed one renewal audit

Objectives confirm that:

  • SMS activities are fully integrated into operator’s business
  • A positive “Safety Culture” is being sustained

Note: Auditor should request previous audit results


IS-BAO Stage One Evaluation

SMS is functioning and the results are being measured

Concentrate on assessing appropriateness and effectiveness of SMS activities

  • Authorities, responsibilities, and accountabilities
  • Involvement
  • Training Program
  • Operations Manual
  • Active safety management and monitoring
is bao stage one evaluation
IS-BAO Stage One Evaluation

1. Policy

  • Admin, Ops, Maintenance – Positive Commitment / Awareness level
  • Safety Performance Goals (Measurable)
  • Management committed to enhancing safety performance
is bao stage one evaluation1
IS-BAO Stage One Evaluation

2.Authorities, Responsibilities, Accountabilities

  • Authorities, responsibilities and accountabilities formally described in work descriptions?
  • Are they complete and unambiguous and understood?
is bao stage one evaluation2
IS-BAO Stage One Evaluation

3. Safety Profile

  • Does the operator have a Safety-Risk Profile
  • Does the profile identify the major hazards and risks?

- Does it provide sufficient detail to explain the mitigation?

- Does the mitigation address the hazards and risks in accordance with their criticality?

- Is the mitigation integrated into procedures, training, processes, etc., as stated in the profile?

is bao stage one evaluation3
IS-BAO Stage One Evaluation

4. Proactive Risk Management Procedures

  • Are the procedures used?
  • Are the results reasonable documented, and tracked?

5. Management and Employee Involvement

Are managers and employees encouraged to participate in proactive safety management (e.g. posters, communications)?

is bao stage one evaluation4
IS-BAO Stage One Evaluation

6. Technical Document Controls

  • Are procedures for ensuring current technical documents (e.g. manuals) consistently employed?
  • Do staff always use up-to-date technical documents and procedures?
is bao stage one evaluation5
IS-BAO Stage One Evaluation

7. Training

- Does training highlight safety critical issues, and particularly those identified in the safety profile?

8. Operations Manual

  • Does the Ops Manual highlight safety critical issues, in accordance with the Safety Profile?
is bao stage one evaluation6
IS-BAO Stage One Evaluation

9. Safety Information

  • During an Initial Evaluation, safety information is assessed only for “soundness.”

10. Occurrence reporting

  • Are procedures for reporting occurrences clear and appropriately disseminated?
  • Are managers and staff aware of their responsibilities?
is bao stage one evaluation7
IS-BAO Stage One Evaluation

11. Safety Performance Evaluation

  • During an Initial Evaluation, safety information is assessed only for “soundness.”

12. Active Safety Management & Monitoring

  • Are there systematic processes to ensure that the activity planned to modify procedures or practices is actually completed?
is bao stage one evaluation8
IS-BAO Stage One Evaluation

13.SMS Documentation

  • Is documentation complete?
  • Is documentation clear, efficient, and used?
terms definitions
Terms /Definitions
  • Audit: a systematic and objective review of a flight department’s operations and maintenance framework to verify conformity with written guidance.
  • Auditor: verifiesthrough independent review, inspection, examination, measurement, checking, observation, and monitoring to document that processes, practices, procedures and documents (records) conform to written guidance.
  • Co-Auditor: Assists auditor, is being trained to perform the tasks of an auditor, or serves as a backup
terms definitions1
Terms / Definitions
  • Administrator: Person that oversees the SMS / QMP. Typically, Safety Manager, or Director, or both.
  • Tasks: are procedures assigned to auditors by which information is obtained to verify flight department is in conformity. Such activities may include, but are not limited to, interviews, observations, inspections, and the review of files and documents.
  • QMP Audit Form: printed checklist of audit tasks
  • Discrepancy: non-conformity to written guidance (IS-BAO approved)
thank you for the opportunity to present

Thank you for the opportunity to present

Quality Monitoring Program (QMP) integral component to the Safety Management System