GOVERNMENT OF INDIA

OFFICE OF THE DIRECTOR GENERAL OF CIVIL AVIATION

TECHNICAL CENTRE, OPPOSITE SAFDARJUNG AIRPORT, NEW DELHI – 11 0 003

CIVIL AVIATION REQUIREMENTS

SECTION 1 – GENERAL
SERIES 'C' PART I
__ April 2010 EFFECTIVE: FORTHWITH

F.No._________

Subject: Establishment of a Safety Management System (SMS)

1. INTRODUCTION

1.1 ICAO Annex 1 (Personnel Licensing); Annex 6 — Operation of Aircraft, Part I

— International Commercial Air Transport — Aeroplanes and Part III —
International Operations — Helicopters; Annex 8 — Airworthiness of Aircraft;
Annex 11 — Air Traffic Services; and Annex 14 — Aerodromes, Volume I —
Aerodrome Design and Operation specifies the requirements for a service
provider’s safety management system (SMS). The requirements for the
establishment of SMS by an organisation have been laid down in various
CARs.

1.2 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. This CAR specifies the minimum acceptable requirements for the
establishment of SMS in an organization.

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.

1
CIVIL AVIATION REQUIREMENTS SECTION 1 – GENERAL
SERIES ‘C’ PART I ___ APRIL 2010

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.

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

2
CIVIL AVIATION REQUIREMENTS SECTION 1 – GENERAL
SERIES ‘C’ PART I ___ APRIL 2010
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.

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.

3
CIVIL AVIATION REQUIREMENTS SECTION 1 – GENERAL
SERIES ‘C’ PART I ___ APRIL 2010
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:

9.1.1.1. The required human resources;

9.1.1.2. 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.

6. Person managing the Safety Management System

6.1 The service provider shall identify someone from management to be the
safety manager who shall be the individual and focal point responsible for
the implementation and maintenance of an effective SMS.

6.2 The safety manager shall inter alia:

4
CIVIL AVIATION REQUIREMENTS SECTION 1 – GENERAL
SERIES ‘C’ PART I ___ APRIL 2010
6.2.1 ensure that processes needed for the SMS are developed,
implemented adhered to and maintained;

6.2.2 report to the Accountable Executive on the performance of the SMS

and on any need for improvement; and

6.2.3 ensure safety promotion throughout the organization.

7. Coordination of emergency response planning

7.1 A service provider as part of the safety management system prepare its
emergency response plan and ensure that the emergency response plan is
properly coordinated with the emergency response plans of those
organizations it must interface with during the provision of its services.

7.2 The emergency response plan shall be such so as to ensure orderly and
efficient transition from normal to emergency operations and the return to
normal operations.

7.2.1 The coordination of the emergency response plan shall include, inter
alia, the:

a) delegation of emergency authority;

b) assignment of emergency responsibilities during the coordinated

activities;

c) coordination of efforts to cope with the emergency; and

d) compatibility with other emergency response plans of other

organizations.

8. Documentation

8.1 A service provider shall develop and maintain SMS documentation to

describe:

a) the safety policy and objectives;

b) the SMS requirements;
c) the SMS processes and procedures;
d) the accountabilities, responsibilities and authorities for processes
and procedures; and
e) the SMS outputs.

8.2 A service provider shall, as part of the SMS documentation, complete a

system description.

8.3 The system description shall include the following:

5
CIVIL AVIATION REQUIREMENTS SECTION 1 – GENERAL
SERIES ‘C’ PART I ___ APRIL 2010
a) the system interactions with other systems in the air transportation
system;
b) the system functions;
c) required human performance considerations of the system
operation;
d) hardware components of the system;
e) software components of the system;
f) related procedures that define guidance for the operation and use
of the system;
g) operational environment; and
h) contracted, subcontracted and purchased products and/or services.

8.4 A service provider shall, as part of the SMS documentation, complete a gap
analysis, to:

a) identify the safety arrangements and structures that may already

exist in its organization; and

b) determine additional safety arrangements required to implement and

maintain the organization’s SMS.

8.5 A service provider shall, as part of the SMS documentation, develop, adhere
to and maintain an SMS implementation plan.

8.6 The SMS implementation plan shall be the definition of the approach the
organization will adopt for managing safety in a manner that will meet the
organization’s safety objectives.

8.7 The SMS implementation plan shall explicitly address the coordination
between the SMS of the service provider and the SMS of other organizations
the service provider must interface with during the provision of services.

8.8 The SMS implementation plan shall include the following:

a) safety policy and objectives;

b) system description;

c) gap analysis;

d) SMS components;

e) safety roles and responsibilities;

f) hazard reporting policy;

g) means of employee involvement;

h) safety performance measurement;

6
CIVIL AVIATION REQUIREMENTS SECTION 1 – GENERAL
SERIES ‘C’ PART I ___ APRIL 2010
i) safety training;

j) safety communication; and

k) management review of safety performance.

8.9 The SMS implementation plan shall be endorsed by senior management of

the organization.

9. A safety management systems manual (SMSM)

9.1 As part of the SMS documentation, a service provider shall develop and
maintain a safety management systems manual (SMSM), to communicate
the organization’s approach to safety throughout the organization.

9.2 The SMSM shall document all aspects of the SMS, and its contents shall
include the following:

a) scope of the safety management system;

b) safety policy and objectives;

c) safety accountabilities;

d) key safety personnel;

e) documentation control procedures;

f) coordination of emergency response planning;

g) hazard identification and safety risk management schemes;

h) safety performance monitoring;

i) safety auditing;

j) procedures for the management of change;

k) safety promotion; and

l) control of contracted activities.

Information note.— Generic guidelines for SMS documentation development and

maintenance can be found in Attachment H to ICAO Annex 6, Part I, and Attachment
G to ICAO Annex 6, Part III, Operator’s Flight Safety Documents System.

7
CIVIL AVIATION REQUIREMENTS SECTION 1 – GENERAL
SERIES ‘C’ PART I ___ APRIL 2010
10. SAFETY RISK MANAGEMENT

10.1 General

10.1.1 A service provider shall develop and maintain a formal process that
ensures that hazards in operations are identified.

10.1.2 A service provider shall develop and maintain safety data collection
and processing systems (SDCPS) that provide for the identification of
hazards and the analysis, assessment and mitigation of safety risks.

10.1.3 A service provider’s SDCPS shall include reactive, proactive and

predictive methods of safety data collection.

10.2 Hazard identification

10.2.1 A service provider shall develop and maintain formal means for
effectively collecting, recording, acting on and generating feedback
about hazards in operations, which combine reactive, proactive and
predictive methods of safety data collection. Formal means of safety
data collection shall include mandatory, voluntary and confidential
reporting systems.

10.2.2 The hazard identification process shall include the following steps:

a) reporting of hazards, events or safety concerns;

b) collection and storage of safety data;

c) analysis of the safety data; and

d) distribution of the safety information distilled from the safety

data.

10.3 Safety risk assessment and mitigation

10.3.1 A service provider shall develop and maintain a formal process that
ensures analysis, assessment and control of the safety risks of the
consequences of hazards during the provision of its services.

10.3.2 The safety risks of the consequences of each hazard identified through
the hazard identification processes described in para 10.2 of this CAR
shall be analysed in terms of probability and severity of occurrence,
and assessed for their tolerability.

10.3.3 The organization shall define the levels of management with authority
to make safety risk tolerability decisions.

10.3.4 The organization shall define safety controls for each safety risk
assessed as tolerable.

8
CIVIL AVIATION REQUIREMENTS SECTION 1 – GENERAL
SERIES ‘C’ PART I ___ APRIL 2010

11. SAFETY ASSURANCE

11.1 General

11.1.1 A service provider shall develop and maintain safety assurance

processes to ensure that the safety risk controls developed as a
consequence of the hazard identification and safety risk management
activities in paragraph 10 achieve their intended objectives.

11.1.2 Safety assurance processes shall apply to an SMS whether the

activities and/or operations are accomplished internally or are
outsourced.

11.2 Safety performance monitoring and measurement

11.2.1 A service provider shall, as part of the SMS safety assurance activities,
develop and maintain the necessary means to verify the safety
performance of the organization in reference to the safety performance
indicators and safety performance targets of the SMS, and to validate
the effectiveness of safety risk controls.

11.2.2 Safety performance monitoring and measurement means shall include

the following:

a) hazard reporting systems;

b) safety audits;

c) safety surveys;

d) safety reviews;

e) safety studies; and

f) internal safety investigations.

11.2.3 The hazard reporting procedures shall set out the conditions to ensure
effective reporting, including the conditions under which disciplinary/
administrative action shall not apply.

11.3 Management of change

11.3.1 A service provider shall, as part of the SMS safety assurance activities,
develop and maintain a formal process for the management of change.

11.3.2 The formal process for the management of change shall:

9
CIVIL AVIATION REQUIREMENTS SECTION 1 – GENERAL
SERIES ‘C’ PART I ___ APRIL 2010
a) identify changes within the organization which may affect
established processes and services;

b) establish arrangements to ensure safety performance prior to

implementing changes; and

c) eliminate or modify safety risk controls that are no longer

needed due to changes in the operational environment.

11.4 Continuous improvement of the safety system

11.4.1 A service provider shall, as part of the SMS safety assurance activities,
develop and maintain formal processes to identify the causes of
substandard performance of the SMS, determine the implications on its
operations, and rectify situations involving substandard performance in
order to ensure continuous improvement of the SMS.

11.4.2 Continuous improvement of the service provider’s SMS shall include:

a) proactive and reactive evaluations of facilities, equipment,

documentation and procedures, to verify the effectiveness of
strategies for control of safety risks; and

b) proactive evaluation of the individual’s performance, to verify

the fulfillment of safety responsibilities.

12. SAFETY PROMOTION

12.1 General

Service providers shall develop and maintain formal safety training and safety
communication activities to create an environment where the safety objectives
of the organization can be achieved.

12.2 Safety training

12.2.1 A service provider shall, as part of its safety promotion activities,

develop and maintain a safety training programme that ensures that
personnel are trained and competent to perform their SMS duties.

12.2.2 The scope of the safety training shall be appropriate to the individual’s
involvement in the SMS.

12.2.3 The Accountable Executive shall receive safety awareness training

regarding:

a) safety policy and objectives;

b) SMS roles and responsibilities;

10
CIVIL AVIATION REQUIREMENTS SECTION 1 – GENERAL
SERIES ‘C’ PART I ___ APRIL 2010
c) SMS standards; and

d) safety assurance.

12.3 Safety communication

12.3.1 A service provider shall, as part of its safety promotion activities,

develop and maintain formal means for safety communication, to:

a) ensure that all staff are fully aware of the SMS;

b) convey safety-critical information;

c) explain why particular safety actions are taken;

d) explain why safety procedures are introduced or changed; and

e) convey generic safety information.

12.3.2 Formal means of safety communication shall include inter alia:

a) safety policies and procedures;

b) newsletters;

c) bulletins; and

d) websites.

13. QUALITY POLICY

A service provider shall ensure that the organization’s quality policy is

consistent with, and supports the fulfilment of, the activities of the SMS.

14. GUIDANCE FOR THE DEVELOPMENT OF SMS

The guidelines and phase-wise for the development and implementation of an

SMS in an organization has been described in Annexure I to this Car.

( Dr. Nasim Zaidi )

Director General of Civil Aviation

11
CIVIL AVIATION REQUIREMENTS SECTION 1 – GENERAL
SERIES ‘C’ PART I ___ APRIL 2010

GUIDELINES AND PHASE-WISE FOR THE DEVELOPMENT AND

IMPLEMENTATION OF AN SMS IN AN ORGANIZATION

1. Phase I — Planning should provide a blueprint on how the SMS requirements

will be met and integrated into the organization’s work activities, and an
accountability framework for the implementation of the SMS:

a. Identify the Accountable Executive and the safety accountabilities of

managers;

b. Identify the person (or planning group) within the organization

responsible for implementing the SMS;

c. Describe the system (ATOs, air operators, AMOs, organizations

responsible for type design and/or manufacture of aircraft, ATC service
providers, certified aerodromes);

d. Conduct a gap analysis of the organization’s existing resources

compared with the national and international requirements for
establishing an SMS;

e. Develop an SMS implementation plan that explains how the

organization will implement the SMS on the basis of national
requirements and international SARPs, the system description and the
results of the gap analysis;

f. Develop documentation relevant to safety policy and objectives; and

g. Develop and establish means for safety communication.

2. Phase II — Reactive processes should put into practice those elements of the
SMS implementation plan that refer to safety risk management based on
reactive processes:

a. hazard identification and safety risk management using reactive

processes;

b. training relevant to:

1. SMS implementation plan components; and

2. safety risk management (reactive processes).

c. documentation relevant to:

1. SMS implementation plan components; and

2. safety risk management (reactive processes).

12
CIVIL AVIATION REQUIREMENTS SECTION 1 – GENERAL
SERIES ‘C’ PART I ___ APRIL 2010
3. Phase III — Proactive and predictive processes should put into practice those
elements of the SMS implementation plan that refer to safety risk
management based on proactive and predictive processes:

a. hazard identification and safety risk management using proactive and

predictive processes;

b. training relevant to:

1. SMS implementation plan components; and

2. safety risk management (proactive and predictive

processes).

c. documentation relevant to:

1. SMS implementation plan components; and

2. safety risk management (proactive and predictive

processes).

4. Phase IV — Operational safety assurance should put into practice operational

safety assurance:

a. development of and agreement on safety performance indicators and

safety performance targets;

b. SMS continuous improvement;

c. training relevant to operational safety assurance;

d. documentation relevant to operational safety assurance; and

e. develop and maintain formal means for safety communication.

----

13