updated on 06.08.2013

 
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ICAO SMS Framework; the four Components of SMS

Framework for a safety management system (SMS). The Four Components (Pillars) of SMS
1. Safety Policy & Objectives
    1.1 Management commitment and responsibility
    1.2 Safety accountabilities
    1.3 Appointment of key safety personnel
    1.4 Coordination of emergency response planning
    1.5 SMS documentation
2. Safety risk management
    2.1 Hazard identification
    2.2 Safety risk assessment and mitigation
3. Safety assurance
    3.1 Safety performance monitoring and measurement
    3.2 The management of change
    3.3 Continuous improvement of the SMS
4. Safety promotion
    4.1 Training and education
    4.2 Safety communication
 

1.  SAFETY POLICY & OBJECTIVES
1.1  MANAGEMENT COMMITMENT & RESPONSIBILITY
The service provider shall define its safety policy in accordance with international and national requirements. The safety policy shall:
a) reflect organizational commitment regarding safety;
b) include a clear statement about the provision of the necessary resources for the implementation of the safety policy;
c) include safety reporting procedures;
d) clearly indicate which types of behaviours are unacceptable related to the service provider’s aviation activities and include the circumstances under which disciplinary action would not apply;
e) be signed by the accountable executive of the organization;
f) be communicated, with visible endorsement, throughout the organization; and
g) be periodically reviewed to ensure it remains relevant and appropriate to the service provider.

1.2  SAFETY ACCOUNTABILITIES
The service provider shall:
a) identify the accountable executive who, irrespective of other functions, has ultimate
responsibility and accountability, on behalf of the organization, for the implementation and maintenance of the SMS;
b) clearly define lines of safety accountability throughout the organization, including a direct accountability for safety on the part of senior management;
c) identify the accountabilities of all members of management, irrespective of other functions, as well as of employees, with respect to the safety performance of the SMS;
d) document and communicate safety responsibilities, accountabilities and authorities throughout the organization; and
e) define the levels of management with authority to make decisions regarding safety risk tolerability.

1.3  APPOINTMENT OF KEY SAFETY PERSONNEL
The service provider shall appoint a safety manager who is responsible for the implementation and
maintenance of an effective SMS.

1.4  COORDINATION OF EMERGENCY RESPONSE PLANNING
1.4.1 The service provider shall ensure that an emergency response plan is properly coordinated with
the emergency response plans of those organizations it must interface with during the provision of its
products and services.

1.5  SMS DOCUMENTATION
1.5.1 The service provider shall develop an SMS implementation plan, formally endorsed by the organization that defines the organization’s approach to the management of safety in a manner that meets the organization’s safety objectives.
1.5.2 The service provider shall develop and maintain SMS documentation that describes:
   a) safety policy and objectives;
   b) SMS requirements;
   c) SMS processes and procedures;
   d) accountabilities, responsibilities and authorities for SMS processes and procedures; and
   e) SMS outputs.
1.5.3 The service provider shall develop and maintain an SMS manual as part of its SMS documentation.
Note.— An acceptable Safety Management System Manual can be a stand-alone document or integrated within existing documents. Guidance on how the information in a SMS manual may be organized and presented as part of a service provider’s SMS documentation is contained in the Safety Management Manual (SMM) (Doc 9859).
 

2.  SAFETY RISK MANAGEMENT
2.1  HAZARD IDENTIFICATION
2.1.1 The service provider shall develop and maintain a process that ensures that hazards associated with its aviation products or services are identified.
2.1.2 Hazard identification shall be based on a combination of reactive, proactive and predictive methods of safety data collection.

2.2  SAFETY RISK ASSESSMENT AND MITIGATION
The service provider shall develop and maintain a process that ensures analysis, assessment, and control of the safety risks associated with identified hazards.

 
3.  SAFETY ASSURANCE
3.1  SAFETY PERFORMANCE MONITORING AND MEASUREMENT
3.1.1 The service provider shall develop and maintain the means to verify the safety performance of the organization and to validate the effectiveness of safety risk controls.
3.1.2 The service provider’s safety performance shall be verified in reference to the safety performance indicators and safety performance targets of the SMS.

3.2  THE MANAGEMENT OF CHANGE

The service provider shall develop and maintain a process to identify changes which may affect the level of safety risk associated with its aviation products or services and to identify and manage the safety risks that may arise from those changes.

3.3  CONTINUOUS IMPROVEMENT OF THE SMS
The Service provider shall monitor and assess the effectiveness of their SMS processes to enable continuous improvement of the overall performance of the SMS.

 
4.  SAFETY PROMOTION
4.1  TRAINING AND EDUCATION
4.1.1 The service provider shall develop and maintain a safety training programme that ensures that personnel are trained and competent to perform their SMS duties.
4.1.2 The scope of the safety training programme shall be appropriate to each individual’s involvement in the SMS.

4.2  SAFETY COMMUNICATION
The service provider shall develop and maintain a formal means for safety communication that:
a) ensures personnel are aware of the SMS to a degree commensurate with their positions,
b) conveys safety-critical information,
c) explains why particular safety actions are taken; and
d) explains why safety procedures are introduced or changed.
 

 

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