CIVIL AVIATION REQUIREMENTS

SECTION 1 – GENERAL
SERIES 'C' PART I
Subject: Establishment of a Safety
Management System (SMS)
1. INTRODUCTION
1.1 ICAO in its Annexes requires ‘States to, as part of their
safety programme, have the service providers/ organizations
engaged in commercial operations, maintenance of aircraft,
aerodrome operations, provision of air traffic services, design
organizations, training to implement a safety management
system which is acceptable to the State’.
1.2 In compliance with the standards of ICAO Annexes,
various CARs specify the requirements for the establishment
of SMS by an organisation. This CAR specifies the minimum
acceptable requirements for the establishment of SMS in an
organization.
1.3 This CAR lays down the aviation safety-related processes,
procedures and activities for the establishment of Safety
Management System (SMS) by an organization and is issued
in accordance with rule 133A of the Aircraft Rules, 1937.
2. Applicability
2.1 This CAR applies to:
2.1.1 an applicant for, or a holder of, one of the
following approvals/ permits/licence:
a) an approval issued to a maintenance organization
for the maintenance of aircraft engaged in scheduled/
non-scheduled operations; or
b) an air operator’s permit issued in accordance with
rule 134; or
c) an Aerodrome licence; or
2.1.2 An air traffic services provider.
3. DEFINITIONS
3.1 Acceptable level of safety (ALoS) is the minimum
degree of safety that must be assured by a system in actual
practice;
3.2 Accountable Executive is the single, identifiable person
having final responsibility for the effective and efficient
performance of the organization’s SMS.
3.3 Consequence A consequence is defined as the potential
outcome (or outcomes) of a hazard.
3.4 Gap analysis - a gap analysis is basically an analysis of
the safety arrangements already existing within the
organization as compared to those necessary for the SMS to
function.
3.5 “Service provider” refers to any organization
providing aviation services. The term includes
approved training organizations that are exposed to
operational safety risks during the provision of their
services, aircraft operators, approved maintenance
organizations, organizations responsible for type
design and/or manufacture of aircraft, air traffic
service providers and certified aerodromes, as
applicable.
3.6 “Safety Management System” is a management
tool for the management of safety by an organisation,
reflecting an organized and orderly approach.
4. GENERAL
4.1 The applicant of, or holder of an approval/ certificate/licence as
specified in the applicability para of this CAR including the ANS
service provider shall develop, establish, maintain and adhere to a
safety management system.
4.2 The safety management system shall correspond to the size,
nature and complexity of the operations, acitives, hazards and risks
associated with the operations associated with the approval of an
organization.
4.3 A safety management system shall include:
1. a safety policy on which the system is based;
2. a process for setting goals for the improvement of aviation safety
and for measuring the attainment of those goals;
3. a process for identifying hazards to aviation safety and for
evaluating and managing the associated risks;
4. a process for ensuring that personnel are trained and competent
to perform their duties;
5. a process for the internal reporting and analyzing of hazards,
incidents and accidents and for taking corrective actions to prevent
their recurrence;
6. a document containing all safety management system processes
and a process for making personnel aware of their responsibilities
with respect to them;
7. a quality assurance program;
8. a process for conducting periodic reviews or audits of the safety
management system; and
9. any additional requirements for the safety management system
that are prescribed in this CAR.
4.4 The safety management system shall be accepted by DGCA.
4.5 Detailed requirements for the acceptance of a safety
management system are laid down in the subsequent paras of this
CAR.
4.6 The plan for implementation for SMS is given in Para 14.
5. SAFETY POLICY AND OBJECTIVES
5.1 General requirements – Safety Policy
5.1.1 A service provider shall define the organization’s
safety policy including a clear statement about the
provision of the necessary resources for its implementation.
The safety policy shall be signed by the Accountable
Executive of the organization.
5.1.2 The safety policy shall include the responsibilities of
management and employees with respect to the safety
performance of the SMS.
5.1.3 The safety policy shall be communicated to all the
employees.
5.1.4 The safety policy shall also include:
a) a commitment to review the safety management
system to determine its effectiveness for continual
improvement in the level of safety;
b) procedures for reporting of a hazard, incidents and
accidents;
c) procedures for collection of data relating to a
hazard, incidents and accidents, its analysis and ;
d) the conditions under which disciplinary action
would not be applicable following hazard reporting by
employees.
5.1.5 The safety policy shall be in accordance with all
applicable legal requirements and international standards,
best industry practices and shall reflect organizational
commitments regarding safety.
5.1.6 The safety policy shall be reviewed periodically to
ensure it remains relevant and appropriate to the
organization.
5.1.7 A service provider shall establish safety objectives for
the SMS.
5.1.8 The safety objectives should be linked to the safety
performance indicators, safety performance targets and
action plans of the service provider’s SMS.
Note: Example of the ‘Safety Policy and objectives for an
organization’ is given in Annexure I.
5.2 SMS organizational arrangements and safety accountabilities and
responsibilities
5.2.1 Accountable Executive:
a) A service provider shall identify an Accountable Executive to be
responsible and accountable on behalf of the service provider for
meeting the requirements of this CAR, and shall notify the name of
the person.
b) The Accountable Executive shall be a single, identifiable person
who, irrespective of other functions, shall have ultimate
responsibility and accountability, on behalf of the [organization], for
the implementation and maintenance of the SMS.
c) The Accountable Executive shall have full control over the
following for the operations authorized to be conducted under the
approval/ permit/licence or for the provision of ANS services:
1. The required human resources;
2. The required financial resources;
d) The Accountable Executive would be the final authority over
operations authorized to be conducted under the approval/ permit/
licence or for the provision of ANS services, be directly responsible
for the conduct of the organization’s affairs and be the final
responsibility for all safety issues.
5.2.2 The service provider shall establish the necessary organizational
arrangements for the implementation of, adherence to and
maintenance of the organization’s SMS.
5.2.3 A service provider shall identify the safety accountabilities,
responsibilities and authorities of all members of management as
well as of all employees, irrespective of other responsibilities.
5.2.4 Safety-related accountabilities, responsibilities and authorities
shall be defined, documented and communicated throughout the
organization.