A VISTAIR INSIGHT

THE ESSENTIAL GUIDE

TO AVIATION SAFETY
MANAGEMENT SYSTEMS

Safety
Management
IAN HERBERT
Chief Executive Officer

About the Author

ROBERT HORTON

With 26 years spent as a rotary wing pilot in

the Fleet Air Arm including 10 years as a
military test pilot, Bob lives and breathes
aviation. He also spent 16 years as a
commercial pilot and senior Flight Operations
Manager in a large UK airline where he was a
Form 4 Post Holder in the role of Deputy
Flight Operations Director.

Bob’s extensive knowledge is invaluable in his

role as Consultant to the product development
team, ensuring they remain focussed on
meeting the regulatory requirements as well as
understanding the management challenges that
airlines face day to day.

World Class Aviation Technology | vistair.com | 2

WHAT IS A SAFETY
MANAGEMENT SYSTEM?
A Safety Management System
(SMS) is a set of formal processes Additionally, a fully implemented SMS will establish an organisation’s
and tools that combine to manage capability in its own safety oversight, risk assessment and accident
a structured and effective safety prevention; and provides both certificate holders and aviation
programme. Within the aviation authorities with a number of safety assurances, including:
sector, safety management is in a
■ An established and structured approach to risk-based
constant state of evolution in an
effort to ensure that there is decision-making
continuous improvement. Effective ■ An ability to demonstrate safety management capabilities through
safety management systems are the establishment and monitoring of Safety Performance Indicators
an integral element of this (SPI) and Safety Performance Targets (SPT) that are tailored to
objective and should be thought
meet the organisation’s safety objectives.
of as an essential part of the
business management structure. ■ An ability to demonstrate continuous improvement in the SMS
■ An improved confidence in the ability to implement effective risk
As safety is embodied in
Annex 19 of the International Civil controls through structured safety assurance processes
Aviation Organisation’s (ICAO) ■ An effective interface for sharing of knowledge between certificate
standards and recommended holders and Regulators
practices (ISARPs), effective safety
management systems are ■ An active enterprise approach that supports Just Culture/ASAP
internationally recognised by safety promotion
numerous National Aviation
Authorities (NAA) across ■ A documented and easily accessible safety policy that is supported
the world. by the management team

For product/service providers and

Regulators, the purpose of a safety
management system is to integrate
hazard identification, risk
assessment and safety assurances
into a process that is both
repeatable and proactive.

As such, a fully implemented

approach to safety management
incorporating and combining an
appropriate software solution
with an engaged organisation helps
to enhance and promote safety as
a vital process across all sections
of a business. Safety is an
enterprise undertaking.

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4 KEY COMPONENTS OF
AN EFFECTIVE SMS
ICAO requires all National Aviation
Authorities to establish a viable 1 Safety policy and objectives
State Safety Program (SSP). This in A safety policy is how an organisation aims to manage safety as
turn will require all individual well as the objectives required to be able to put that management
service/product providers to into place through a combination of short, medium and long-term
establish an acceptable SMS. With goals. Specific elements are:
the issue of revision 1 to Annex 19
(Effective November 2019) and ■ Management commitment and responsibility
revision 4 to ICAO Document 9859 ■ Safety accountabilities
(Safety Management Manual) the ■ Appointment of key safety personnel (Post Holders,
spectrum of agencies and Accountable Manager etc.)
organisations required to establish ■ Coordination of emergency response planning
an acceptable SMS has broadened ■ SMS documentation
considerably. Additionally,
organisations will be required to 2 Safety risk management
agree an Acceptable Level of Risk management is a component that involves two main types of
Safety Performance (AloSP) activity including being able to identify hazards and to assess risks
with their regulator and then and mitigate their potential harm by establishing and monitoring
demonstrate how they are appropriate risk controls:
achieving this requirement. This ■ Hazard identification
will necessitate the establishment
■ Safety risk assessment and mitigation (control)
and monitoring of SPIs and SPTs
that are orientated towards the
organisation’s stated safety 3 Safety assurance
objectives. The translation of this Safety assurance is the method of identifying a systematic process
mandatory requirement has caused for assessing and recording safety performance activities. These
aviation organisations a number of activities could include internal safety investigations, monitoring,
difficult operating decisions. analysis, audit processes and continuous evaluation of risk controls
/ mitigations. Completed properly, these processes should result in
Even though ICAO provided a set a demonstrable and continuous improvement in the SMS.
of standards for aviation safety
management which can be broken ■ Safety performance monitoring and measurement
down into four key components (SPIs, SPTs etc.)
and twelve elements (see right) ■ The management of change (new SOPS, new fleet, etc.)
many organisations lost sight of ■ Continuous improvement of the SMS (exceeding the AloSP)
the fact that an effective SMS is
an enterprise-wide ideology
that involves appropriate 4 Safety promotion
organisation-wide resource ICAO guidelines state that organisations should effectively
allocation. The starting point promote safety through communication and training. This helps to
is recognition, understanding provide a greater awareness of safety issues and understanding of
and interpretation of the an organisation’s safety management system - thus ensuring a
safety components: more positive safety culture.
■ Training and education
■ Safety communication

World Class Aviation Technology | vistair.com | 4

BENEFITS OF A SMS

Implementing a SMS within your organisation can

provide a great number of benefits including:

Safety benefits Employee benefits

■ Improved safety culture ■ Improved health and safety
■ Improved safety in a complex operational ■ A feeling of value
environment
■ Increase in productivity and utilisation rates
■ Improved compliance
■ Improvements in work
■ Increased safety data through quality conditions
improved reporting culture
■ Reduction in employee churn
■ Reduction in accident rates and less need for recruitment
processes
■ Better safety documentation
■ Easier implementation of future
organisational changes
Financial benefits
Business benefits ■ Reduced cost of damaged or lost equipment
■ Lower insurance premiums
■ Improved reputation with consumers
■ Reduced number of damage claims
■ Increased sales volume
■ Reduced worker’s compensation
■ More quality controls
■ Less lost time by employees - resulting
■ Improved confidence from investors
in reduced payroll costs

RM

RM $ £

An effective SMS will give senior management the organisations are meeting their AloSP and those
oversight they require and also allow regulators to that are not. In so doing, the Regulators can
determine the true safety capabilities of the target more effectively where and when to
service provider. Under the requirements of the conduct safety audits/inspections in their area
revised Annex 19, the Regulator’s SSP should of jurisdiction.
include the ability to determine which

World Class Aviation Technology | vistair.com | 5

SAFETY MANAGEMENT
SYSTEM IMPLEMENTATION
Many organisations will have already implemented at
least some elements of a safety management
system. In order for your SMS to be as effective as
possible, a gap analysis should take place to identify
actions that can be taken - what, when and by whom
- and to ensure your SMS is based on both your local
aviation authority SSP and organisational
requirements. “Let me give you four simple audit
questions that are easy to answer if
It is important to understand that it is not possible to
implement an entire SMS overnight. However, you have a good SMS and impossible to
delivering a step-by-step approach of each element answer if you haven’t:
over a period of time will prove to be much more
effective in the long-run. Guidance on this approach is
provided in ICAO Document 9859.
What is most likely to be the cause of
your next accident or incident?
Ultimately, the SMS will become a fully integrated part
of your management structure and safety awareness How do you know that?
will be a normal feature in the daily operation. All
employees will have access to reporting software and What are you doing about it?
will demonstrate a willingness to submit reports. Is it working?”
This will enable management to determine just how
safe the operation is and then take management
decisions based on safety and risk. This is best William R. Voss
encapsulated in the following quotation. a former CEO of the Flight Safety Foundation:

SAFETY CULTURE AND YOUR AIRLINE

Implementing a step-by-step SMS No human endeavor is culture free.
means you will be slowly changing ■ National culture encompasses
However, it is hugely important that
and improving the safety culture the value system of particular
through appropriate education and
within your organisation. There are nations
communication that a healthy, safety
many different types of culture ■ Organisational/corporate driven culture is fostered in your
and they can combine to result in culture differentiates business. This process starts with
the overall values, principles and the values and behaviours of the CEO and works downwards.
beliefs in your particular particular organisations (e.g. All managers must “walk the talk” and
organisation. The following government vs. private lead by example to hopefully result in
factors will influence your organisations) the following ideals:
organisational culture: (See over)
■ Professional culture
differentiates the values and
behaviours of particular
professional groups
(e.g. pilots, air traffic controllers,
maintenance engineers,
aerodrome staff, etc.)

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SAFETY CULTURE AND YOUR AIRLINE (Continued)

FLEXIBLE CULTURE REPORTING CULTURE LEARNING CULTURE

This organisation is able to An organisation in which An organisation that is able
adapt in the face of different people are confidently to willingly and competently
kinds of situations. prepared to report errors draw the right conclusions
and close calls from its SMS and is willing to
implement major reforms as
part of its actions

INFORMED CULTURE JUST/ASAP CULTURE

An organisation with an
Individuals who manage and
operate the system should SAFETY atmosphere of trust where
CULTURE people feel encouraged to
have current knowledge of
report safety-related issues
the human, technical,
and provide essential safety
organisational and
information within their
environmental factors that
community. They should also
determine the safety of the
be clear about what
system as a whole (using
constitutes acceptable vs.
something like the S.H.E.L.L
unacceptable behaviour in
model as an example)
their organisation

It has been recognised for some With the above in mind, any
time now that human error viable SMS must include within it
contributes to some 80% of all the ability to drill down into the
safety incidents. In the past, it was human related root causes of an
usual to blame the operative accident / incident. This starts
concerned be they a pilot, cabin “Train crashes, space shuttle accidents with the error / mistake /
crew, engineer or ground staff. and oil refinery fires all have very violation and works up through
However, it has become different physical causes. But, at the the organisation to the very top
increasingly obvious that other to determine if cultural or
organisational and cultural levels,
factors play a significant part in organisational factors have had
human performance. Both the root causes are surprisingly, and an influence on the incident
Organisational and Cultural issues distressingly, similar. Mindless cost outcome. Many such tools are
are significant, and they do cutting, incentive schemes that divert available such as the Boeing
influence the performance of attention from safe operations, failure Maintenance Error Decision Aid
employees. With this in mind, it is (MEDA) for engineering issues or
to consider the safety implications of
vital that any SMS is broadly the US DoD Human Factors
communicated, and efforts must organisational [sic] changes – all Assessment and Classification
be made to engage the whole these are regularly found to have System (HFACS).
business. The following quote from contributed to major accidents.”
Hopkins expresses these issues
very clearly:
Hopkins 2009, p. xi

World Class Aviation Technology | vistair.com | 7

SAFETY
SAFETY MANAGEMENT SOFTWARE
While safety management software takes on many forms, it should be more than
just a simple spreadsheet or reporting system. Safety management software
should encompass ICAO’S FOUR BASIC PILLARS OF SAFETY:

1 2 3 4
Risk Safety Safety
Policy Management Assurance Promotion
R
I
S
K

Why use safety management software

if you already have a SMS in place?
It’s important to note that safety By being able to add reports into SMS software, they can then be classified
management software should and analysed further and help to identify trends and prevent future
not replace a safety management incidents. Other benefits of using safety management software include:
system. Rather, safety management
software needs to work in
harmony with your safety culture Tracking and feedback on reported issues
and should look to help your
organisation improve it on a Accountability for reported issues
continual basis Formal hazard and risk reporting
Safety management software Promoting continuous improvement across the organisation
should enhance the way an airline
is able to organise and review data,
support safety promotion and, of
course, report and review safety
incidents. Learn more about what features an effective safety
management software should include that will help
A good reporting software system
that is easy to use and accessible
enhance and improve your safety management
will result in a much-improved system and safety culture.
reporting culture, particularly if
this results in viable feedback to
the reporters.
FIND OUT MORE

World Class Aviation Technology | vistair.com | 8

 ABOUT VISTAIR
Vistair was founded more than Our aviation safety management software has
20 years ago and has built a reputation for been specially designed to improve compliance,
providing world-class aviation management operational risk and safety management. By
software solutions. Our solutions are proven to providing airlines with effective safety, audit
enable safety, efficiency and compliance as and risk software, we are able to help support
well as saving our clients millions every year on operational efficiency and airline profitability as
hard costs and insurance premiums. a result.

4,500+ 3% 65%+
Aircraft protected Reduction Increase
by SafetyNet
In annual operating In incident
An aviation occurrence
phenomenon in insurance
reporting
safety management A direct result of
reporting using SafetyNet SafetyNet is proven
to increase an
airline’s safety

Learn more about what features an effective

safety management software should include.

CONTACT US

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