HAL · NASHIK DIVISION · REFRESHER TRAINING 2026
MODULE SMS-01 · DGCA / ICAO REQUIREMENT

SAFETY
MANAGEMENT
SYSTEM

CAR SEC 1 SERIES C PART 1 · ICAO ANNEX 19 · AIRCRAFT RULE 29D
WHAT IS SMS SAFETY POLICY 4 COMPONENTS RISK MANAGEMENT RISK MATRIX HAZARD ID REPORTING JUST CULTURE QUIZ CHECKPOINTS
◈ SMS-01 TRAINING SIM · HAL NASHIK
DGCA COMPLIANT
ICAO ANNEX 19
RULE 29D
COMPONENT: POLICY
SMS: ACTIVE
LESSON 1 / 14
KEY CONCEPT
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SMS SAFETY MANAGEMENT SYSTEM ① SAFETY POLICY & OBJECTIVES ② SAFETY RISK MANAGEMENT ③ SAFETY ASSURANCE ④ SAFETY PROMOTION ICAO ANNEX 19 · CAR SEC 1 SERIES C PT 1 AIRCRAFT RULE 29D · DGCA MANDATORY SAFETY State in which risk of harm to persons or property damage is reduced & maintained at/below ACCEPTABLE LEVEL through continuous hazard identification & risk management. HAZARD Any situation or condition that has potential to cause damage or injury. → Precursor to risk. RISK Potential adverse consequences of a hazard. Assessed in terms of: SEVERITY × LIKELIHOOD = RISK LEVEL MITIGATION Measures/controls put in place to ERADICATE the hazard OR reduce severity/likelihood of the associated risk. PROACTIVE Identifying hazards BEFORE they cause an occurrence. Prevention-first approach. SMS is fundamentally proactive. REACTIVE vs PREDICTIVE Reactive: action AFTER incident occurs. Predictive: proactive based on prediction of possible future risk scenarios. ◈ SMS IS SYSTEMATIC · PRO-ACTIVE · PREDICTIVE · EXPLICIT COMPONENT 1: SAFETY POLICY & OBJECTIVES SIGNED BY ACCOUNTABLE MANAGER · POSTED PROMINENTLY 1.1 MANAGEMENT Commitment & responsibilities Accountable Manager identified 1.2 KEY PERSONNEL Appointment of Safety Manager Safety accountabilities of managers 1.3 SAFETY CULTURE NO COMPROMISE Human Factors — NO COMPROMISE 1.4 EMERGENCY PLAN Co-ordination of Emergency Response Plan (ERP) 1.5 DOCUMENTATION SMS Manual (SMSM) Safety policies & procedures QUALITY POLICY OBJECTIVES (aligned with SMS) ✓ Airworthiness quality system ✓ Comply with procedures & regs ✓ Human Factors principles ✓ Internal & regulatory audits ✓ Open error reporting system ✓ Qualified, competent personnel ICAO RISK ASSESSMENT MATRIX (ICAO 9859) SEVERITY → ← PROBABILITY 5-FREQUENT 4-OCCASIONAL 3-REMOTE 2-IMPROBABLE 1-EXTREMELY IMPROBABLE A-CATASTROPHIC B-HAZARDOUS C-MAJOR D-MINOR E-NEGLIGIBLE 5A 4A 3A 2A 1A 5B 4B 3B 2B 1B 5C 4C 3C 2C 1C 5D 4D 3D 2D 1D 5E 4E 3E 2E 1E UNACCEPTABLE TOLERABLE REVIEW ACCEPTABLE ALARP PRINCIPLE As Low As Reasonably Practicable Balance risk vs cost of control HAZARD IDENTIFICATION & RISK PROCESS ① IDENTIFY Safety Reports (ASR) Incident Reports (MOR) Audits & inspections Safety meetings FDM / FOQA data Near-miss reports ② ASSESS Severity (A→E) Probability (1→5) Risk = S × P matrix Classify: Unacceptable Review / Acceptable ③ MITIGATE Avoidance: suspend activity Reduction: lessen severity Segregation: isolate hazard Multiple defence layers ALARP principle applied ④ MONITOR Residual risk check Safety assurance Continuous review Update hazard log THE THREE R's OF HAZARDS REPEATED HAZARDS Same hazard recurs — root cause not addressed Signals systemic failure RESIDUAL HAZARDS Hazard remaining after mitigation Must be reassessed for tolerability REPLACEMENT HAZARDS New hazard introduced by the mitigation Substitute / unintended consequence MAINTAINING AN UP-TO-DATE HAZARD/ISSUES LOG is the key SMS evidence tool Sources: Near-miss reports · Internal audits · Safety meetings · Industry publications · FDM data · Employee feedback SAFETY REPORTING — CORNERSTONE OF SMS MANDATORY OCCURRENCE REPORTING Incidents that MUST be reported to DGCA by regulation. Serious incidents, accidents, near-collisions, major defects. Ref: Aircraft Rules 1937 CAR Section 8 NON-COMPLIANCE = OFFENCE VOLUNTARY REPORTING SYSTEM (VRS) Encouraged — not compelled. Confidential reports on safety concerns, procedures, hazards. Protected by SMS policy: NO PENAL ACTION for voluntary reporters. Ref: DGCA AIC 8 of 2011 Advisory Circular 3 of 1976 INTERNAL REPORTING SYSTEM Organisation-internal channel. All staff encouraged to report safety concerns internally. Creates organizational learning & memory. Findings disseminated across all departments. WHY PEOPLE DON'T REPORT — AND THE SMS ANSWER RETALIATION FEAR Management will penalize reporter → SMS NO-PENAL GUARANTEE SELF-INCRIMINATION Fear of being found guilty → CONFIDENTIAL REPORTING EMBARRASSMENT Shame / loss of face → SAFETY CULTURE TRAINING APATHY "Why should I bother?" → SMS PROMOTION COMPONENTS 3 & 4: ASSURANCE & PROMOTION ③ SAFETY ASSURANCE 3.1 Safety performance monitoring & measurement 3.2 Management of change 3.3 Continuous improvement of the SMS SAFETY PERFORMANCE INDICATORS LAGGING Accidents / incidents LEADING Audits / training rate TARGETS SPT / SPA levels Management of change: notify Safety Manager when changes in operations, equipment or personnel occur. ④ SAFETY PROMOTION 4.1 Training & Education 4.2 Safety communication & commitment 4.3 Safety culture development SAFETY CULTURE PYRAMID GENERATIVE Safety is how we do things PROACTIVE → REACTIVE → CALCULATIVE → PATHOLOGICAL REGULATORY DOCUMENTS CAR Sec 1 Series C Part 1 Establishment of SMS ICAO Doc 9859 Safety Management Manual Aircraft Rule 29D Indian statutory requirement State Safety Programme 2010 India — dgca.nic.in SMSM (Safety Management System Manual) — form & manner to be specified by DGCA per Rule 29D RISK ASSESSMENT DECISION FLOW (ICAO 9859) HAZARD IDENTIFIED RISK ASSESSMENT (Severity × Probability) TOLERABLE? YES OPERATION CONTINUES Document & monitor residual risk NO CAN HAZARD BE ELIMINATED? Design out the hazard YES HAZARD REMOVED NO MITIGATE RISK Reduce severity / probability ACTIVITY CANCELLED Cannot mitigate to safe level NO MITIGATION CONTINUOUS MONITORING LOOP ◈ SMS TRAINING SIMULATOR · HAL NASHIK DIVISION · 2026

SMS COMPONENT STATUS

POL
POLICY
RISK
RISK MGT
SPA
ASSURANCE
SPR
PROMOTION

RISK LEVEL INDICATOR

LOWACCEPTABLEHIGH
COMPONENTOVERVIEW
APPROACHSYSTEMATIC
REF STANDARDICAO ANNEX 19
REPORTINGALL STAFF
STATUSCOMPLIANT
◈ SMS BRIEFING — HAL NASHIK REFRESHER 2026
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