Safety Management Systems (SMS)

AVSC 403
Hazards and Risks

Prepared by Dr. Ali Abu Odeh

 HAZARD VS RISK VS DANGER
A hazard is any source, event, or condition with the potential to cause harm, injury,
illness, or damage. A hazard exists regardless of whether it leads to harm or not.
Example: An exposed electrical wire or a sharp knife left unattended on a countertop.

Risk is the likelihood or probability that a hazard will actually cause harm, combined
with the severity of the consequences. Example: The risk of getting food poisoning
from undercooked chicken depends on how often you eat it and how well it is cooked.

Danger: refers to an immediate or imminent threat of harm or injury. It is a situation

where harm is likely to occur unless action is taken to avoid it. Example: Standing on
the edge of a cliff is dangerous because a fall could result in serious injury or death.

Original Author: JTS Slide No. 2

 RISK
❑ Risk = Likelihood x Severity

❑ Typically, a situation in which risk theory may be applied involves a number of

possible states, a number of possible decisions, and an outcome for each combination
of state and decision.
Original Author: JTS Slide No. 3
 HAZARD AND RISK -- WHAT'S THE DIFFERENCE?

https://www.youtube.com/watch?v=_GwVTdsnN1E
Original Author: JTS Slide No. 4
 ICAO

The International Civil Aviation Organization (ICAO) is

a specialized and funding agency of the United Nations.

• It changes the principles and techniques of international air

navigation and fosters the planning and development of
international air transport to ensure safe and orderly growth.
• operators/service providers “shall develop and maintain a
formal process for effectively collecting, recording, acting
on and generating feedback about hazards in operations,
based on a combination of reactive, proactive and predictive
methods of safety data collection”.

Original Author: JTS Slide No. 5

 REACTIVE AND PROACTIVE HAZARDS IN AVIATION SAFETY MANAGEMENT SYSTEMS

In aviation, Safety Management Systems (SMS) are designed to systematically

manage safety risks. Hazards in aviation can be approached reactively or proactively,
depending on whether they are addressed after an incident or before it occurs. These
approaches are critical for maintaining safety in a high-risk industry like aviation.

Original Author: JTS Slide No. 6

 REACTIVE HAZARD IN AVIATION
• Definition: A reactive hazard is identified and addressed after an incident, accident, or safety
occurrence has taken place. This approach focuses on learning from past events to prevent recurrence.
• Key Characteristics:
• Incident-driven: Actions are taken in response to reported safety events.
• Corrective: Focuses on fixing problems after they occur.
• Short-term: Often addresses immediate issues rather than long-term prevention.
• Examples in Aviation:
• Investigating a runway incursion and implementing new signage or lighting to prevent future
occurrences.
• Revising maintenance procedures after an engine failure is traced to improper servicing.
• Enhancing crew training after a human error leads to a near-miss during landing.

Original Author: JTS Slide No. 7

 PROACTIVE HAZARD IN AVIATION
• Definition: A proactive hazard is identified and addressed before an incident occurs. This approach
focuses on anticipating potential risks and implementing preventive measures.
• Key Characteristics:
• Prevention-driven: Actions are taken to avoid accidents or incidents.
• Predictive: Focuses on identifying and mitigating risks before they cause harm.
• Long-term: Emphasizes continuous improvement and risk reduction.
• Examples in Aviation:
• Conducting regular safety audits to identify potential hazards in airport operations.
• Using data analytics to predict and address fatigue-related risks among flight crews.
• Implementing advanced weather monitoring systems to avoid turbulence-related injuries.

Original Author: JTS Slide No. 8

 DIFFERENCES BETWEEN REACTIVE AND PROACTIVE HAZARDS IN AVIATION

Aspect Reactive Hazard Proactive Hazard

Timing Addressed after an incident occurs. Addressed before an incident occurs.
Focus Corrective actions to fix problems. Preventive actions to avoid problems.
Incident-driven (e.g., accident
Approach Risk-driven (e.g., hazard identification).
investigations).
Goal Minimize damage after an event. Prevent the event from happening.
Often more expensive due to damage
Cost Cost-effective as it prevents incidents.
control.

Investigating a bird strike and improving Using predictive analytics to reduce

Examples
wildlife management. bird strike risks.

Original Author: JTS Slide No. 9

 EXAMPLES OF REACTIVE AND PROACTIVE HAZARDS IN AVIATION
❑ Reactive Examples:
1. After a near-miss incident due to miscommunication between air traffic control and a pilot, the airline
introduces enhanced communication protocols.
2. Following an engine failure, the airline revises its maintenance schedules and inspection procedures.
3. After a baggage handler is injured, the airport implements new training programs for ground staff.
❑ Proactive Examples:
1. Using predictive maintenance tools to identify and address potential mechanical failures before they
occur.
2. Conducting regular safety drills to prepare for emergency scenarios like engine fires or cabin
depressurization.
3. Implementing fatigue risk management systems (FRMS) to monitor and mitigate pilot fatigue.

Original Author: JTS Slide No. 10

 REACTIVE HAZARD IDENTIFICATION METHODS IN AVIATION
❑ In aviation, reactive hazard identification focuses on identifying and addressing
hazards after an incident, accident, or safety occurrence has taken place. This
approach is critical for learning from past events, preventing recurrence, and
improving overall safety. Reactive methods rely on analyzing data from incidents,
near-misses, and other safety reports to identify underlying hazards and implement
corrective actions.
There are many reactive hazard identification methods used in aviation and they
will be discussed in subsequent slides.

Original Author: JTS Slide No. 11

 1. ACCIDENT AND INCIDENT INVESTIGATIONS
Description: Formal investigations are conducted after an accident or serious incident
to determine the root causes and contributing factors.
• Process:
• Gather evidence from the scene, flight data recorders (FDR), cockpit voice recorders
(CVR), and witness statements.
• Analyze the sequence of events to identify hazards (e.g., mechanical failures, human
errors, or environmental factors).
• Develop recommendations to prevent recurrence.
• Example: After a runway overrun, investigators identify hazards such as poor
runway conditions, pilot fatigue, or inadequate braking systems.

Original Author: JTS Slide No. 12

 2. MANDATORY OCCURRENCE REPORTING (MOR)
• Description: Aviation personnel are required to report safety-related incidents or
hazards to regulatory authorities.
• Process:
• Pilots, air traffic controllers, and maintenance staff report occurrences such as
near-misses, equipment malfunctions, or procedural violations.
• Reports are analyzed to identify trends and hazards.
• Example: A pilot reports a near-miss with another aircraft during approach,
leading to an investigation of air traffic control procedures.

Original Author: JTS Slide No. 13

 3. SAFETY REPORTING SYSTEMS (VOLUNTARY)
• Description: Voluntary reporting systems encourage aviation professionals to
report safety concerns without fear of punishment.
• Process:
• Reports are submitted anonymously or confidentially.
• Data is analyzed to identify recurring hazards or systemic issues.
• Example: A maintenance technician reports a recurring issue with a specific
aircraft component, prompting a review of maintenance practices.

Original Author: JTS Slide No. 14

 4. FLIGHT DATA MONITORING (FDM) / FLIGHT OPERATIONS QUALITY ASSURANCE (FOQA)
• Description: Analyzing recorded flight data to identify deviations from standard
operating procedures (SOPs) or unsafe trends.
• Process:
• Flight data is collected and analyzed for anomalies such as excessive speeds,
steep descents, or unstable approaches.
• Identified hazards are addressed through training or procedural changes.
• Example: FDM data reveals frequent hard landings, leading to additional pilot
training on landing techniques.

Original Author: JTS Slide No. 15

 5. MAINTENANCE ERROR MANAGEMENT SYSTEMS (MEMS)
• Description: Focuses on identifying hazards related to maintenance errors or
oversights.
• Process:
• Maintenance incidents (e.g., incorrect part installation, missed inspections) are
reported and investigated.
• Root causes, such as inadequate training or unclear procedures, are identified
and addressed.
• Example: A missed inspection leads to an engine failure, prompting a review of
maintenance checklists and training programs.

Original Author: JTS Slide No. 16

 6. AUDITS AND INSPECTIONS (POST-INCIDENT)
• Description: Conducting audits or inspections after an incident to identify hazards
in processes, equipment, or facilities.
• Process:
• Inspect aircraft, equipment, and operational procedures for compliance with
safety standards.
• Identify gaps or deficiencies that contributed to the incident.
• Example: After a bird strike, an audit reveals inadequate wildlife control measures
at the airport.

Original Author: JTS Slide No. 17

 7. SAFETY CULTURE SURVEYS
• Description: Gathering feedback from aviation personnel after an incident to
identify cultural or organizational hazards.
• Process:
• Surveys or interviews are conducted to understand perceptions of safety and
identify barriers to reporting hazards.
• Results are used to improve safety culture and reporting systems.
• Example: After a series of incidents, surveys reveal that employees fear retaliation
for reporting safety concerns, leading to changes in reporting policies.

Original Author: JTS Slide No. 18

 8. ANALYSIS OF SAFETY PERFORMANCE INDICATORS (SPIS)
• Description: Monitoring and analyzing SPIs to identify hazards after safety
performance declines.
• Process:
• Track metrics such as incident rates, near-misses, or compliance violations.
• Investigate trends to identify underlying hazards.
• Example: A spike in runway incursions prompts an analysis of air traffic control
procedures and pilot training.

Original Author: JTS Slide No. 19

 KEY BENEFITS OF REACTIVE HAZARD IDENTIFICATION

• Learning from Incidents: Provides valuable insights into what went wrong and
how to prevent recurrence.
• Data-Driven Decisions: Uses real-world data to identify and address hazards.
• Regulatory Compliance: Helps organizations meet regulatory requirements for
incident reporting and investigation.

Original Author: JTS Slide No. 20

 LIMITATIONS OF REACTIVE HAZARD IDENTIFICATION
• After-the-Fact: Only addresses hazards after an incident has occurred.
• Limited Prevention: Does not proactively prevent hazards from arising.
• Dependence on Reporting: Relies on accurate and timely reporting of incidents,
which may not always occur.

Original Author: JTS Slide No. 21

 PROACTIVE HAZARD IDENTIFICATION METHODS IN AVIATION
❑ In aviation, proactive hazard identification focuses on identifying and addressing
hazards before they lead to incidents or accidents. This approach is essential for
preventing risks, improving safety, and ensuring continuous improvement in Safety
Management Systems (SMS). Proactive methods rely on predictive analysis,
systematic risk assessments, and continuous monitoring to identify potential hazards
and mitigate them before they cause harm.

There are many proactive hazard identification methods used in aviation and they
will be discussed in subsequent slides.

Original Author: JTS Slide No. 22

 1. SAFETY RISK ASSESSMENTS (SRAS)
• Description: A systematic process to identify hazards and assess risks associated
with operational activities, procedures, or changes.
• Process:
• Identify potential hazards (e.g., new aircraft systems, changes in airspace, or
operational procedures).
• Analyze the likelihood and severity of risks.
• Implement control measures to mitigate risks.
• Example: Conducting an SRA before introducing a new aircraft type to identify
potential hazards in training, maintenance, or operations.

Original Author: JTS Slide No. 23

 2. HAZARD REPORTING SYSTEMS (VOLUNTARY AND NON-PUNITIVE)
• Description: Encouraging aviation personnel to report potential hazards or safety
concerns before they lead to incidents.
• Process:
• Employees report hazards through confidential or anonymous systems.
• Reports are analyzed to identify trends and implement preventive measures.
• Example: A pilot reports poor visibility due to construction near a runway,
prompting the installation of additional lighting.

Original Author: JTS Slide No. 24

 3. FLIGHT DATA MONITORING (FDM) / FLIGHT OPERATIONS QUALITY ASSURANCE (FOQA)

• Description: Continuously monitoring and analyzing flight data to identify

deviations from standard operating procedures (SOPs) or unsafe trends.
• Process:
• Collect and analyze flight data (e.g., speeds, altitudes, and engine performance).
• Identify anomalies or trends that indicate potential hazards.
• Address issues through training, procedural changes, or system improvements.
• Example: FDM data reveals frequent unstable approaches, leading to enhanced
pilot training on approach procedures.

Original Author: JTS Slide No. 25

 4. SAFETY AUDITS AND INSPECTIONS
• Description: Regularly auditing and inspecting aircraft, equipment, facilities, and
procedures to identify potential hazards.
• Process:
• Conduct scheduled or random audits to assess compliance with safety
standards.
• Identify gaps or deficiencies that could lead to hazards.
• Example: An audit identifies worn-out tires on multiple aircraft, prompting a
review of maintenance schedules.

Original Author: JTS Slide No. 26

 5. PREDICTIVE RISK MODELING
• Description: Using data analytics and modeling to predict potential hazards based
on historical data and trends.
• Process:
• Analyze data from incidents, near-misses, and operational performance.
• Use predictive algorithms to identify high-risk areas or scenarios.
• Implement preventive measures to address predicted risks.
• Example: Predictive modeling identifies a high risk of bird strikes during certain
seasons, leading to enhanced wildlife control measures.

Original Author: JTS Slide No. 27

 6. SAFETY CULTURE SURVEYS
• Description: Assessing the safety culture within an organization to identify
potential hazards related to attitudes, behaviors, or organizational practices.
• Process:
• Conduct surveys or interviews to gather employee perceptions of safety.
• Identify cultural or organizational barriers to safety.
• Implement changes to improve safety culture and hazard reporting.
• Example: Surveys reveal that employees are hesitant to report safety concerns,
leading to the introduction of a non-punitive reporting system.

Original Author: JTS Slide No. 28

 7. HUMAN FACTORS ANALYSIS
• Description: Identifying hazards related to human performance, such as fatigue,
stress, or communication errors.
• Process:
• Analyze tasks and workflows to identify potential human error risks.
• Implement measures such as training, workload management, or ergonomic
improvements.
• Example: A human factors analysis identifies fatigue as a risk for long-haul pilots,
leading to the implementation of a Fatigue Risk Management System (FRMS).

Original Author: JTS Slide No. 29

 8. SCENARIO-BASED RISK ASSESSMENTS
• Description: Using hypothetical scenarios to identify potential hazards and assess
their risks.
• Process:
• Develop realistic scenarios based on operational activities.
• Identify hazards and evaluate their potential impact.
• Implement control measures to mitigate risks.
• Example: A scenario-based assessment identifies the risk of fuel exhaustion during
diversions, leading to updated fuel management procedures.
❑

Original Author: JTS Slide No. 30

 9. CONTINUOUS MONITORING AND FEEDBACK LOOPS
• Description: Establishing systems to continuously monitor operations and gather
feedback for hazard identification.
• Process:
• Use real-time monitoring tools (e.g., weather radar, air traffic control systems).
• Gather feedback from pilots, air traffic controllers, and ground staff.
• Address emerging hazards promptly.
• Example: Real-time weather monitoring identifies turbulence risks, allowing pilots
to adjust flight paths proactively.

Original Author: JTS Slide No. 31

 KEY BENEFITS OF PROACTIVE HAZARD IDENTIFICATION
• Prevention: Identifies and mitigates hazards before they cause incidents.
• Cost-Effective: Reduces the costs associated with accidents, delays, and damage.
• Continuous Improvement: Promotes a culture of safety and ongoing risk
management.

Original Author: JTS Slide No. 32

 LIMITATIONS OF PROACTIVE HAZARD IDENTIFICATION
• Resource-Intensive: Requires significant time, effort, and resources to implement.
• Complexity: May involve advanced data analysis and modeling techniques.
• Dependence on Data: Relies on accurate and comprehensive data for effective
hazard identification.

Original Author: JTS Slide No. 33

 HAZARD CLASSIFICATION
Hazard classification is a systematic process of categorizing hazards based on their
nature, source, or potential impact. In aviation, this process is critical for
understanding risks, prioritizing mitigation efforts, and ensuring effective Safety
Management Systems (SMS). By classifying hazards, aviation organizations can
better analyze, communicate, and address risks to enhance safety.
❑ Importance of Hazard Classification
• Risk Assessment: Helps in identifying and evaluating the severity and likelihood
of risks.
• Prioritization: Allows organizations to focus on high-priority hazards.
• Communication: Simplifies the communication of hazards to stakeholders.
• Mitigation Planning: Facilitates the development of targeted mitigation strategies.
Original Author: JTS Slide No. 34
 1. OPERATIONAL HAZARDS
• Definition: Hazards related to flight operations, air traffic control, or ground
operations.
• Examples:
• Runway incursions.
• Mid-air collisions.
• Bird strikes.
• Fuel mismanagement.

Original Author: JTS Slide No. 35

 2. TECHNICAL HAZARDS
• Definition: Hazards arising from aircraft systems, equipment, or maintenance
issues.
• Examples:
• Engine failures.
• Avionics malfunctions.
• Structural defects.
• Tire blowouts.

Original Author: JTS Slide No. 36

 3. HUMAN FACTORS HAZARDS
• Definition: Hazards caused by human performance limitations or errors.
• Examples:
• Pilot fatigue.
• Miscommunication between crew members.
• Lack of situational awareness.
• Inadequate training.

Original Author: JTS Slide No. 37

 4. ENVIRONMENTAL HAZARDS
• Definition: Hazards caused by natural or external environmental conditions.
• Examples:
• Severe weather (e.g., thunderstorms, icing).
• Volcanic ash.
• Wildlife activity near airports.
• Terrain challenges (e.g., mountains, water bodies).

Original Author: JTS Slide No. 38

 5. ORGANIZATIONAL HAZARDS
• Definition: Hazards arising from organizational practices, policies, or culture.
• Examples:
• Inadequate safety policies.
• Poor resource allocation.
• Lack of safety reporting systems.
• Pressure to meet schedules at the expense of safety.

Original Author: JTS Slide No. 39

 6. SECURITY HAZARDS
• Definition: Hazards related to intentional acts of harm, such as terrorism or
sabotage.
• Examples:
• Unauthorized access to aircraft.
• Cyberattacks on aviation systems.
• Explosive devices on board.

Original Author: JTS Slide No. 40

 7. REGULATORY HAZARDS
• Definition: Hazards caused by non-compliance with regulations or standards.
• Examples:
• Failure to adhere to maintenance schedules.
• Violations of air traffic control procedures.
• Lack of proper documentation.

Original Author: JTS Slide No. 41

 EXAMPLES OF HAZARD CLASSIFICATION IN AVIATION
Hazard Category Description
Unauthorized presence of an aircraft, vehicle, or person
Runway Incursion Operational
on a runway.

Engine Failure Technical Sudden loss of engine power during flight.

Reduced performance due to lack of rest or long duty

Pilot Fatigue Human Factors
hours.
Severe weather causing turbulence, lightning, or wind
Thunderstorms Environmental
shear.

Inadequate Training Organizational Lack of proper training for pilots or maintenance staff.

Cyberattack Security Hacking of aircraft systems or airline databases.

Non-Compliance with SOPs Regulatory Failure to follow standard operating procedures.

Original Author: JTS Slide No. 42
 METHODS FOR CLASSIFYING HAZARDS
• Source-Based Classification: Grouping hazards based on their origin (e.g.,
technical, human, environmental).
• Impact-Based Classification: Grouping hazards based on their potential
consequences (e.g., safety, financial, operational).
• Likelihood-Based Classification: Grouping hazards based on the probability of
occurrence (e.g., frequent, rare).
• Severity-Based Classification: Grouping hazards based on the severity of their
impact (e.g., catastrophic, minor).

Original Author: JTS Slide No. 43

 REFERENCES

1. International Civil Aviation Organization (ICAO). (2018). Safety Management

Manual (SMM). 4th Edition.
2. Stolzer, A. J., & Halford, C. D. (2020). Safety Management Systems in Aviation. 3rd
Edition. Routledge.
3. Federal Aviation Administration (FAA). (2021). Introduction to Safety Management
Systems (SMS) for Air Operators.
4. Reason, J., & Hollnagel, E. (2018). The Human Contribution: Unsafe Acts,
Accidents, and Heroic Recoveries. CRC Press.
5. National Transportation Safety Board (NTSB). (2022). Aviation Safety Reports and
Recommendations.

Original Author: JTS Slide No. 44