SAFETY REQUIREMENTS

FOR SERVICE PROVIDERS’

SAFETY MANAGEMENT SYSTEM (SMS)

AIR NAVIGATION ORDER

VERSION : 1.0
DATE OF IMPLEMENTATION : 06-07-2017
OFFICE OF PRIME INTEREST : State Safety Program Office

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 SAFETY REQUIREMENTS FOR SERVICE PROVIDERS’ SAFETY
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NAME DESIGNATION SIGNATURE

TABASSUM QURESHI Adl. Director SSP

JAVED AZIZ FAROOQUI Adl. Director AANS

PREPARED BY
CAPT KHALID RASHEED
Flight Inspector Pilot
KHAN

WAJIHA SHAYAN DD Airworthiness

MUHAMMAD AZHAR
DAAR
SALEEM

MUHAMMAD ZAHID BHATTI DAW

REVIEWED BY
CAPT ARIF MAJEED DFS

NAWAZ AHMED KHAN Adl. Director ICAO

SIPRA Cell

AIR VICE MARSHAL

AD Director General
VERIFIED BY USAID UR REHMAN
CAA
USMANI

AIR MARSHAL (RETD) Director General,

APPROVED BY
ASIM SULEIMAN Civil Aviation Authority

TYPE OF
AIR NAVIGATION ORDER (ANO).
DOCUMENT

STATUS OF
CONTROLLED
DOCUMENT

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A. AUTHORITY:
A1. This Air Navigation Order (ANO) is issued by the Director General of Pakistan Civil Aviation
Authority, the Accountable Executive regarding implementation of SSP, in pursuance of the
powers vested under Rule 4, 5, 180, 360 and all other enabling provisions of the Civil Aviation
Rules, 1994(CARs). DGCAA is also declared as the Accountable Executive (AE) for State
Safety Programme (SSP).
B. PURPOSE:
B1. To define Regulatory requirements for the service providers Safety Management System
(SMS).
C. SCOPE:
C1. This ANO specifies the Regulatory safety requirements for the service providers to implement
the safety management systems who are operating in accordance with Approved Training
Organizations ANO-007-RGLC, Commercial Air Transport Operations-Aero Planes ANO-024-
FSXX, Helicopter Operations ANO-025-FSXX, Private Aero Plane Operations ANO 91.0022,
“Approved Maintenance Organizations ANO-145-AWRG” , Air Traffic Services ANO-002-
DRAN and Aerodrome Standards Manual of Pakistan MNL-003-DRAS and ICAO Annex-19 .
C2. Within the context of this ANO, the term ‘‘service provider’’ shall refer to approved / certified
organizations providing aviation services. The term specifically refers to:
C2.1 Approved training organizations that are exposed to operational safety risks during the
provision of their services;
C2.2 Certified operator of aeroplanes or helicopters authorized to conduct international commercial
air transport;
C2.3 Approved maintenance organizations providing services to operators of aeroplanes or
helicopters engaged in international commercial air transport;
C2.4 Organizations responsible for the Type Design of aircraft, engines or propellers, or
manufacture of aircraft, engines or propellers.
C2.5 Air Traffic Services (ATS / ATM) providers;
C2.6 Operator of a certified aerodrome
C3. This ANO addresses aviation safety related processes, procedures and activities of the
service provider, rather than occupational safety, environmental protection or any other non
aviation related activity.
C4. This ANO establishes the minimum SMS framework requirements. The service providers can
establish more stringent internal requirements.
D. DESCRIPTION:
D1. DEFINITIONS:
Unless there is anything repugnant in the subject or context of, the terms used herein shall
have the meaning assigned to them. However, for approved maintenance organizations
(ANO-145-AWRG) the definitions as mentioned in Appendix ‘C’ shall be used. The terms not
defined here or in Appendix ‘C’ shall have the same meaning as defined in Civil Aviation
Ordinance, 1960; Pakistan Civil Aviation Authority Ordinance, 1982 and Civil Aviation Rules
1994 and ICAO Annex 19.
D1.1 ACCIDENT: An occurrence associated with the operation of an aircraft which, in the case of
a manned aircraft, takes place between the time any person boards the aircraft with the
intention of flight until such time as all such persons have disembarked, or in the case of an
unmanned aircraft, takes place between the time the aircraft is ready to move with the
purpose of flight until such time as it comes to rest at the end of the flight and the primary
propulsion system is shut down, in which:
D1.1.1. A person is fatally or seriously injured as a result of:

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D1.1.1.1. Being in the aircraft,

D1.1.1.2. Direct contact with any part of the aircraft, including parts which have become detached
from the aircraft, or
D1.1.1.3. Direct exposure to jet blast,
Note – 1: Except when the injuries are from natural causes, self-inflicted or inflicted by other
persons, or when the injuries are to stowaways hiding outside the areas normally available
to the passengers and crew; or
D1.1.2. The aircraft sustains damage or structural failure which
D1.1.2.1. Adversely affects the structural strength, performance or flight characteristics of the
aircraft, and
D1.1.2.2. Would normally require major repair or replacement of the affected component,
D1.1.3. Except for engine failure or damage, when the damage is limited to a single engine, (including
its cowlings or accessories), to propellers, wing tips, antennas, probes, vanes, tires, brakes,
wheels, fairings, panels, landing gear doors, windscreens, the aircraft skin (such as small
dents or puncture holes), or for minor damages to main rotor blades, tail rotor blades, landing
gear, and those resulting from hail or bird strike (including holes in the radome); or
D1.1.3.1. The aircraft is missing or is completely inaccessible.
Note – 2: For statistical uniformity only, an injury resulting in death within thirty days of the date of
the accident is classified, as a fatal injury.
Note – 3: An aircraft is considered to be missing when the official search has been terminated and
the wreckage has not been located.
Note – 4: The type of unmanned aircraft system to be investigated is addressed in Aircraft accident
and incident investigation ANO-001-SBXX, Incident Reporting System ANO-002-SBXX,
Initial Response Investigation Procedure For Aircraft Accidents And Serious Incidents
ANO-003-SBXX
Note – 5: Guidance for the determination of aircraft damage can be found in Attachment F of ICAO
Annex 13
D1.2 AERO PLANE: A power-driven heavier-than-air aircraft, deriving its lift in flight chiefly from
aerodynamic reactions on surfaces which remain fixed under given conditions of flight.
D1.3 AIRCRAFT: Any machine that can derive support in the atmosphere from the reactions of the
air other than the reactions of the air against the earth’s surface
D1.4 HELICOPTER: A heavier-than-air aircraft supported in flight chiefly by the reactions of the air
on one or more power-driven rotors on substantially vertical axes.
D1.5 HAZARD: A condition or an object with the potential to cause or contribute to an aircraft
incident or accident.
D1.6 INCIDENT: An occurrence, other than an accident, associated with the operation of an aircraft
which affects or could affect the safety of operation.
Note – 6: The types of incidents which are of interest for safety-related studies include the incidents
as per Aircraft Accident and Incident Investigation ANO-001-SBXX-1.0
D1.7 INDUSTRY CODES OF PRACTICE: Guidance material developed by an industry body, for a
particular sector of the aviation industry to comply with the requirements of the International
Civil Aviation Organization’s Standards and Recommended Practices, other aviation safety
requirements and the best practices deemed appropriate.
D1.8 OPERATIONAL PERSONNEL: Personnel involved in aviation activities who are in a
position to report safety information.
Note – 7: Such personnel include, but are not limited to: flight crews; air traffic controllers;
aeronautical station operators; maintenance technicians; personnel of aircraft design and
manufacturing organizations; cabin crews; flight dispatchers, apron personnel and ground
handling personnel.

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D1.9 SAFETY: The State, in which risks associated with aviation activities, related to, or in direct
support of the operation of aircraft, are reduced and controlled to an acceptable level.
D1.10 SAFETY DATA: A defined set of facts or set of safety values collected from various aviation
related sources, which is used to maintain or improve safety.
Note – 8: Such safety data is collected from proactive or reactive safety-related activities, including
but not limited to:
a) accident or incident investigations;
b) safety reporting;
c) continuing airworthiness reporting;
d) operational performance monitoring;
e) inspections, audits, surveys; or
D1.11 SAFETY INFORMATION: Safety data processed, organized or analysed in a given context
so as to make it useful for safety management purposes.
D1.12 SAFETY OVERSIGHT: A function performed by a State to ensure that individuals and
organizations performing an aviation activity comply with safety-related national laws and
regulations.
D1.13 SAFETY MANAGEMENT SYSTEM (SMS): A systematic approach to managing safety,
including the necessary organizational structures, accountability, responsibilities, policies and
procedures.
D1.14 SAFETY PERFORMANCE: A State or a service provider’s safety achievement as defined by
its safety performance targets and safety performance indicators.
D1.15 SAFETY PERFORMANCE INDICATOR: A data-based parameter used for monitoring and
assessing safety performance
D1.16 SAFETY PERFORMANCE TARGET: The State or service provider’s planned or intended
objective target for a safety performance indicator(s) over a given period that aligns with the
safety objectives.
D1.17 SAFETY RISK: The predicted probability and severity of the consequences or outcomes of a
hazard.
D1.18 SERIOUS INJURY: An injury which is sustained by a person in an accident and which:
D1.18.1 Requires hospitalization for more than 48 hours, commencing within seven days from the
date the injury was received; or
D1.18.2 Results in a fracture of any bone (except simple fractures of fingers, toes or nose); or
D1.18.3 Involves lacerations which cause severe hemorrhage, nerve, muscle or tendon damage; or
D1.18.4 Involves injury to any internal organ; or
D1.18.5 Involves second or third degree burns, or any burns affecting more than 5 per cent of the
body surface; or
D1.18.6 Involves verified exposure to infectious substances or injurious radiation
D1.19 STATE OF DESIGN: The State having jurisdiction over the organization responsible for the
type design.
D1.20 STATE OF MANUFACTURE: The State having jurisdiction over the organization responsible
for the final assembly of the aircraft.
D1.21 STATE OF THE OPERATOR: The State in which the operator’s principal place of business
is located or, if there is no such place of business, the operator’s permanent residence.
D1.22 STATE SAFETY PROGRAMME (SSP): An integrated set of regulations and activities aimed
at improving safety.

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D1.23 SURVEILLANCE: The State activities through which the State proactively verifies through
inspections and audits that aviation licence, certificate, and authorization or approval holders
continue to meet the established requirements and function at the level of competency and
safety required by the State.
D1.24 WARNINGS, CAUTIONS, AND NOTES: Warnings, cautions, and notes are used to
emphasize important and critical instructions. Explanatory examples are as follows:
D1.24.1WARNING: An operating procedure, practice, etc., which, if not correctly followed, could
result in personal injury or loss of life.
D1.24.2CAUTION: An operating procedure, practice, condition, or statement, which if not strictly
observed, could result in damage to or destruction of equipment, loss of mission
effectiveness, or long term health hazards to personnel.
D1.24.3NOTE: An operating procedure, condition, etc., which is essential to highlight.
D2. REQUIREMENTS FOR THE SERVICE PROVIDERS SMS:
D2.1 Following service providers are required to implement SMS:
D2.1.1 An approved training organization, that is exposed to safety risks related to aircraft operations
during the provision of its services;
D2.1.2 Operator of aeroplanes or helicopters authorized to conduct international commercial air
transport;
D2.1.3 An approved maintenance organization providing services to operators of aeroplanes or
helicopters engaged in international commercial air transport;
D2.1.4 An organization responsible for the Type Design of aircraft, engines or propellers;
D2.1.5 An organization responsible for the manufacture of Aircraft, engines or propellers;
D2.1.6 An Air Traffic Services (ATS / ATM) provider; and
D2.1.7 An Operator of a certified aerodrome;
D3. REQUIREMENTS FOR PRIVATE OPERATORS OF LARGE OR TURBOJET
AEROPLANES:
D3.1 Private Operators of large or Turbojet aeroplanes operating in accordance with ANO-91-0022
shall implement an SMS
Note – 9: Private Operators are not considered to be service providers in the context of this ANO.
D4. GENERAL:
D4.1 With the exception of Approved Maintenance Organization (ANO-145-AWRG) the SMS of a
service provider shall:
D4.1.1. be established in accordance with the framework elements contained in Appendix A; and
D4.1.2. be commensurate with the size of the service provider / operators and the complexity of
service providers / operators.
D4.1.3. be compiled in a SMS manual formatted as per Appendix ‘B’.
D4.1.4. be made acceptable to SSP Branch by submitting a copy to the Regulatory Directorate /
function concerned
D4.2 The SMS of an Approved Training Organization (ATO) in accordance with Personnel
Licensing ANO-007-RGLC that is exposed to safety risks related to aircraft operations during
the provision of its services shall be made acceptable to the PCAA Licensing Office.
D4.3 The SMS of a certified operator of aeroplanes or helicopters shall be made acceptable to the
PCAA Flight Standards Directorate.
D4.4 The SMS of Approved Maintenance Organizations (ANO-145-AWRG) shall:
D4.4.1 be established in accordance with the framework as mentioned in Appendix ‘C’.
D4.4.2 be commensurate with the size and complexity of the Maintenance Organization.

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D4.4.3 be compiled in a SMS manual formulated as per Para 4.4 (3) of Appendix ‘C’.
D4.4.4 be made acceptable to SSP Branch by submitting a copy to the Regulatory Directorate /
function concerned.
D4.5 The SMS of an organization responsible for the type design of aircraft, engines or propellers
in accordance with ANO-002-AWRG Approval of Organization (Manufacturing), shall be made
acceptable to PCAA Airworthiness Directorate.
D4.6 The SMS of an organization responsible for the manufacture of aircraft, engines or propellers
in accordance with ANO-002-AWRG Approval of Organization (Manufacturing), shall be made
acceptable to PCAA Airworthiness Directorate.
D4.7 The SMS of an ATS / ATM provider, in accordance with Air Traffic Services ANO-002-DRAN,
and ICAO Annex-19 shall be made acceptable to PCAA Directorate of Airspace and
Aerodrome Regulations.
D4.8 The SMS of an operator of a certified aerodrome, in accordance with Aerodrome Standards
Manual of Pakistan MNL-003-DRAS and ICAO Annex-19 shall be made acceptable to PCAA,
Airspace and Aerodrome Regulations Directorate.
D4.9 The SMS of International Private operator, conducting operations of large or turbojet
aeroplanes, shall be commensurate with size and complexity of the operation and meet the
criteria established by the state of registry.
Note –11: Guidance on the implementation of an SMS for International Private Operators is
contained in the Safety Management Manual (SMM)-Doc 9859.
D5. ACTION FOR CONTRAVENTIONS / VIOLATIONS
In case of contraventions/ violations action as per enforcement manual including enforcement
variation, suspension or cancellation of authorizations/ approvals / licenses / certificates and
imposition of financial penalties shall be taken against the defaulting operators.
E. EVIDENCES (ACRONYMS / RECORDS / REFERENCES):
E1. ACRONYMS:
AIM : AERONAUTICAL INFORMATION MANAGEMENT
AIS : AERONAUTICAL INFORMATION SERVICES
ATM : AIR TRAFFIC MANAGEMENT
ANO : AIR NAVIGATION ORDER
ATO : APPROVED TRAINING ORGANIZATION
ATS : AIR TRAFFIC SERVICES
CNS : COMMUNICATION NAVIGATION AND
SURVEILLANCE
DAAR : DIRECTORATE OF AIRSPACE AND AERODROME
REGULATIONS
ICAO : INTERNATIONAL CIVIL AVIATION ORGANIZATION
MET : METEOROLOGICAL SERVICE
PCAA : PAKISTAN CIVIL AVIATION AUTHORITY
SAR : SEARCH AND RESCUE
SMM : SAFETY MANAGEMENT MANUAL (ICAO Doc.9859)
SMS : SAFETY MANAGEMENT SYSTEM
E2. RECORDS:
E2.1 Document & Record Master List (CAAF-001-MSXX-2.0)
E2.2 Document Distribution List (CAAF-037-MSXX-1.0)
E3. REFERENCES:
E3.1 Safety Management System (ICAO – ANNEX# 19)
E3.2 Civil Aviation Rules (CAR 1994)

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E3.3 Safety Management Manual (SMM)

E3.4 Airworthiness Notice No.72 and ANO145 Section 5
E3.5 Approval of Organization (Manufacturing) (ANO-002-AWRG)
E3.6 Air Traffic Services (ANO-002-DRAN)
E3.7 Approved Training Organizations (ANO-007-RGLC)
E3.8 Aerodrome Standards Manual of Pakistan (MNL-003-DRAS)
E3.9 Private Aerospace Operations (ANO 91.0022)
E3.10 Commercial Air transport Operations Aeroplanes (ANO-024-FSXX)
E3.11 Helicopter Operations (ANO-025-FSXX)
E3.12 Airworthiness of Aircraft (ANO-145-AWRG)
E3.13 Document & Record Control (CAAO-001-MSXX-2.0)
E3.14 Security Grading / Classification & Maintenance of Files / Documents (CAAO-004-HRBS-2.0)
IMPLEMENTATION:
This Air Navigation Order (ANO-001-RGSP) version 1.0 supersedes/ replaces exclusively the SMS
requirements for service providers contained in the following documents issued by Pakistan Civil
Aviation Authority :-
1. Policy Letter (Regulatory Wing) Safety Management Systems (SMS) for Approved Medical,
Operations, Maintenance and Training Organizations (AMOMTOs) HQCAA/6366/2/Reg issued July,
2008.
2. ANO-91.0032 Safety Management System (SMS) for Operators
3. AWNOT-072-AWRG-1.0 Implementation of Safety Management System (SMS) in Approved
Maintenance Organizations and Approved Training Centre.
4. ANO-002 DRAN-1.0 Air Traffic Services.
5. ANO-010-DRAN-1.0 Safety oversight of Air Navigation Services and Aerodromes.
This ANO shall come in effect immediately. However, the SMS acceptable to PCAA shall be
implemented by the service providers by following a phased approach and the time frame prescribed
by the concerned Directorates for their respective areas.

ASIM SULEIMAN
Air Marshal (Retd)
Director General,
Pakistan Civil Aviation Authority
Dated: - July 2017

(TABASSUM I QURESHI)
Adl. Director State Safety Programme

Dated: - 06th July 2017

File No. HQCAA/1151/014/RGSP

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APPENDIX “A”

FRAMEWORK FOR A SAFETY MANAGEMENT SYSTEM (SMS)

This appendix specifies the framework for the implementation and maintenance of an SMS. The
framework comprises four components and twelve elements as the minimum requirements for SMS
implementation:
Note – 1 Guidance on the implementation of the framework for an SMS is contained in the ICAO
Safety Management Manual (SMM) (Doc 9859).
Note – 2 The service provider’s interfaces with other organizations can have a significant
contribution to the safety of its products or services. Guidance on interface
management as it relates to SMS is provided in the Safety Management Manual
(SMM) (Doc 9859).
Note – 3 In the context of this appendix as it relates to service providers, an “accountability”
refers to an “obligation” that may not be delegated, and “responsibilities” refers to
functions and activities that may be delegated.
1. Safety policy and objective
1.1 Management commitment
1.2 Safety accountability and responsibilities
1.3 Appointment of key safety personnel
1.4 Coordination of emergency response planning
1.5 SMS documentation
2. Safety risk management
2.1 Hazard identification
2.2 Safety risk assessment and mitigation
3. Safety assurance
3.1 Safety performance monitoring and measurement
3.2 The management of change
3.3 Continuous improvement of the SMS
4. Safety promotion
4.1 Training and education
4.2 Safety communication
1. Safety policy and objectives:
1.1 Management commitment:
1.1.1. The service provider shall define its safety policy in accordance with international and national
requirements. The safety policy shall:
1.1.1.1 Reflect organizational commitment regarding safety, including the promotion of a positive
safety culture;
1.1.1.2 Include a clear statement about the provision of the necessary resources for the
implementation of the safety policy;
1.1.1.3 Include safety reporting procedures;

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1.1.1.4 Clearly indicate which types of behaviors are unacceptable related to the service provider’s
aviation activities and include the circumstances under which disciplinary action would not
apply;
1.1.1.5 Be signed by the accountable executive of the organization;
1.1.1.6 Be communicated, with visible endorsement, throughout the organization; and
1.1.1.7 Be periodically reviewed to ensure it remains relevant and appropriate to the service provider.
1.1.2. Taking due account of its safety policy, the service provider shall define safety objectives. The
safety objectives shall:
1.1.2.1. form the basis for safety performance monitoring and measurement as required by 3.1.2;
1.1.2.2.reflect the service provider’s commitment to maintain or continuously improve the overall
effectiveness of the SMS;
1.1.2.3. be communicated throughout the organization; and
1.1.2.4. be periodically reviewed to ensure they remain relevant and appropriate to the service
provider.
Note – 4 Guidance on setting safety objectives is provided in the Safety Management Manual (SMM)
(Doc 9859).
1.2 Safety accountability and responsibilities:
1.2.1 The service provider shall:
1.2.1.1 Identify the accountable executive who, irrespective of other functions, is accountable on
behalf of the organization, for the implementation and maintenance of an effective SMS;
1.2.1.2 Clearly define lines of safety accountability throughout the organization, including a direct
accountability for safety on the part of senior management;
1.2.1.3 Identify the responsibilities of all members of management, irrespective of other functions,
as well as of employees, with respect to the safety performance of the organization;
1.2.1.4 Document and communicate safety accountability, responsibilities, and authorities
throughout the organization; and
1.2.1.5 Define the levels of management with authority to make decisions regarding safety risk
tolerability.
1.3 Appointment of key safety personnel:
The service provider shall appoint a safety manager who is responsible for the
implementation and maintenance of the SMS.
Note – 5 Depending on the size of the service provider and the complexity of its aviation
products or services, the responsibilities for the implementation and maintenance
of the SMS may be assigned to one or more persons, fulfilling the role of safety
manager, as their sole function or combined with other duties, provided these do
not result in any conflicts of interest.
1.4 Coordination of emergency response planning:
The service provider required to establish and maintain an emergency response plan
for accidents and incidents in aircraft operations and other aviation emergencies shall
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
products and services.
1.5 SMS documentation:
1.5.1 The service provider shall develop and maintain SMS manual that describes its:
1.5.1.1 Safety policy and objectives;
1.5.1.2 SMS requirements;
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1.5.1.3 SMS processes and procedures; and

1.5.1.4 Accountability, responsibilities and authorities for SMS processes and procedures;
1.5.2 The service provider shall develop and maintain SMS operational records as part of its
SMS documentation.
Note – 6 Depending on the size of the service provider and the complexity of its aviation
products or services, the SMS manual and SMS operational records may be in the
form of stand-alone documents or may be integrated with other organizational
documents (or documentation) maintained by the service provider.
2. Safety risk management
2.1 Hazard identification:
2.1.1 The service provider shall develop and maintain a process to identify hazards associated with
its aviation products or services.
2.1.2 Hazard identification shall be based on a combination of reactive, and proactive methods.
2.2 Safety risk assessment and mitigation:
The service provider shall develop and maintain a process that ensures analysis, assessment
and control of the safety risks associated with identified hazards.
Note – 7 The process may include predictive methods of safety data analysis.
3. Safety assurance:
3.1 Safety performance monitoring and measurement:
3.1.1 The service provider shall develop and maintain the means to verify the safety performance of
the organization and to validate the effectiveness of safety risk controls.
Note – 8 An internal audit process is one means to monitor compliance with safety regulations, the
foundation upon which SMS is built, and assess the effectiveness of these safety risk
controls and the SMS. Guidance on the scope of the internal audit process is contained in
the Safety Management Manual (SMM) (Doc 9859).
3.1.2 The service provider’s safety performance shall be verified in reference to the safety
performance indicators and safety performance targets of the SMS in support of the
organization’s safety objectives.
3.2 The management of change:
The service provider shall develop and maintain a process to identify changes which may
affect the level of safety risk associated with its aviation products or services and to identify
and manage the safety risks that may arise from those changes.
3.3 Continuous improvement of the SMS:
The service provider shall monitor and assess its SMS processes to maintain or continuously
improve the overall effectiveness of the SMS.
4. Safety promotion:
4.1 Training and education:
4.1.1 The service provider shall develop and maintain a safety training programme that ensures
that personnel are trained and competent to perform their SMS duties.
4.1.2 The scope of the safety training programme shall be appropriate to each individual’s
involvement in the SMS.
4.2 Safety communication:
4.2.1 The service provider shall develop and maintain a formal means for safety communication
that:
4.2.1.1 Ensures personnel are aware of the SMS to a degree commensurate with their positions;

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4.2.1.2 Conveys safety-critical information;

4.2.1.3 Explains why particular actions are taken to improve safety; and
4.2.1.4 Explains why safety procedures are introduced or changed.

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APPENDIX “B”
FORMAT OF THE SMS MANUAL

1. The SMS manual shall be formatted in the following manner:

1.1 section heading;
1.2 objective;
1.3 criteria;
1.4 cross-reference documents.
Note – 1 Below each numbered “section heading” is a description of the “objective” for that section,
followed by its “criteria” and “cross-reference documents”. The “objective” is what the
organization intends to achieve by doing what is described in that section. The “criteria’
defines the scope of what should be considered when writing that section. The “cross-
reference documents” link the information to other relevant manuals or SOPs of the
Organisation which contain details of the element or process as applicable.
CONTENTS OF THE MANUAL
2. The manual shall include the following chapters / sections:
1. Document control;
2. SMS regulatory requirements;
3. Scope and integration of the safety management system;
4. Safety policy;
5. Safety objectives;
6. Safety accountabilities and key personnel;
7. Safety reporting and remedial actions;
8. Hazard identification and risk assessment & Management (HIRA&HIRM)
9. Safety performance monitoring and measurement (SPIs);
10. Safety-related investigations and remedial actions;
11. Safety training and communication;
12. Continuous improvement and SMS audit;
13. SMS records management;
14. Management of change; and
15. Emergency/contingency response plan.

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APPENDIX C

SAFETY MANAGEMENT SYSTEM FRAME WORK FOR APPROVED MAINTENANCE

ORGANIZATIONS
1. Scope
This appendix establishes the minimum SMS requirements to be met by service
providers as defined under para C-1 & C-2 of this ANO and maintenance organization
complying with ANO145.They may wish to follow more stringent requirements.
2. Definitions
Acceptable level of safety means minimum safety performance that a maintenance
organisation should achieve while conducting their core business functions,
expressed by a number of safety performance indicators and safety performance
targets.
Accountability means obligation or willingness to account for one’s actions.
Accountable Executive means a single, identifiable person which might be a Chief
Executive Officer, a Chairperson Board of Directors, a partner or a proprietor who has
full responsibility for the organization’s SMS and have full authority for human
resources issues, major financial issues, direct responsibility for the conduct of the
organization’s affairs, final authority over operations under certificate, and final
responsibility for all safety issues.
Consequence means potential outcome(s) of the hazard.
Hazard means condition, object or activity with the potential of causing injuries to
personnel, damage to equipment or structures, loss of material, or reduction of ability
to perform a prescribed function.
Mitigation means measures to address the potential hazard or to reduce the risk
probability or severity.
Predictive means a method that captures system performance as it happens in real-
time normal operations.
Proactive means the adoption of an approach which emphasizes prevention through
the identification of hazards and the introduction of risk mitigation measures before
the risk bearing event occurs and adversely affects safety performance.
Probability means the likelihood that an unsafe event or condition might occur.
Reactive means the adoption of an approach where safety measurement is as a
responds to the events that already happened, such as incidents and accidents.
Risk means the assessment, expressed in terms of predicted probability and severity,
of the consequence(s) of a hazard taking as reference the worst foreseeable situation.
Risk management means the identification, analysis and elimination, and/or
mitigation to an acceptable level of risks that threaten the capabilities of an
organization.
Safety means the state in which the risk of harm to persons or property damage is
reduced to, and maintained at or below, an acceptable level through a continuing
process of hazard identification and risk management.
Safety assessment means a systematic analysis of a proposed change to equipment
or procedures to identify and mitigate weaknesses before change is implemented.
Safety assurance means what the maintenance organisation do with regard to safety

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performance monitoring and measurement.

Safety audit means what the Civil Aviation Authority performs with regard to its safety
programme, and the maintenance organizations perform with regard to the SMS.
Safety Management System (SMS) means a systematic approach to managing
safety, including the necessary organizational structures, accountabilities, policies and
procedures.
Safety manager means a person who is responsible for providing guidance and
direction for the operation of the organization's safety management system.
Safety oversight means the activities of Civil Aviation Authority as part of its safety
programme, performed with regard to the maintenance organisation SMS, in order to
confirm the organization's continuing fulfillment of its corporate safety policy,
objectives, goals and standards.
Safety performance indicator means established objectives of a maintenance
organization SMS, linked to major components of a services provider SMS, and
expressed in numerical terms.
Safety performance monitoring means the activities of a maintenance organization
as part of its SMS, in order to confirm the organization's continuing fulfillment of its
corporate safety policy, objectives, goals and standards.
Safety performance target means medium or long-term objectives of a maintenance
organisation SMS, determined weighing what is desirable and what is realistic for an
individual services provider, and expressed in numerical terms.
Safety policy means a statement reflecting the organization's philosophy of safety
management, and become the foundation on which the organization's SMS is built.
The safety policy outlines the methods and processes that the organization will use to
achieve desired safety outcomes.
Safety programme means an integrated set of regulations and activities aimed at
improving safety.
Safety requirement means the operational procedures, technology, systems and
programs to which measures of reliability, availability, performance and/or accuracy
can be specified.
Severity means the possible consequences of an unsafe event or condition, taking as
reference the worst foreseeable situation.
System means organized set of processes and procedures.
3. Systematic means that safety management activities will be conducted in
accordance with a pre-determined plan, and applied in a consistent manner
throughout the organization.
General
The maintenance organisation shall establish, maintain and adhere to a Safety
Management System (SMS) that is appropriate to the size, nature and complexity of
its scope of work and the safety hazards and risks related to it.
4. Safety policy and objectives
4.1 General requirements
4.1.1 A maintenance organisation shall define the organization’s safety policy.
4.1.2 The safety policy shall be signed by the Accountable Executive of the organization.
4.1.3 The safety policy shall be in accordance with all applicable legal requirements and

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international standards, best industry practices and shall reflect organizational commitments
regarding safety.
4.1.4 The safety policy shall be communicated, with visible endorsement, throughout the
organization.
4.1.5 The safety policy shall include a clear statement about the provision of the necessary human
and financial resources for its implementation.
4.1.6 The safety policy shall, among other things, include the following objectives:
1.1.1.1 Commitment to implement an SMS;
1.1.1.2 Commitment to continual improvement in the level of safety;
1.1.1.3 Commitment to the management of safety risks;
1.1.1.4 Commitment to encourage employees to report safety issues;
1.1.1.5 Establishment of clear standards for acceptable behavior; and
1.1.1.6 Identification of responsibilities of management and employees with respect to safety
performance.
4.1.7 The safety policy shall be reviewed periodically to ensure it remains relevant and appropriate
to the organization.
4.1.8 A maintenance organisation shall establish safety objectives for the SMS.
4.1.9 The safety objectives should be linked to the safety performance indicators, safety
performance targets and safety requirements of the maintenance organizations SMS.
4.2 Organizational structure and responsibilities
4.2.1 A maintenance organisation shall identify an Accountable Executive to be
responsible and accountable on behalf of the maintenance organisation for meeting
the requirements of this regulation, and shall notify to PCAA the name of the person.
4.2.2 The Accountable Executive shall be a single, identifiable person who, irrespective of
other functions, shall have the ultimate responsibility for the implementation and
maintenance of the SMS.
4.2.2.1 The Accountable Executive shall have:
a. Full control of the human resources required for the work authorized to be conducted
under the maintenance organization approval;
b. Full control of the financial resources required for the work authorized to be conducted
under the maintenance organization approval;
c. Final authority over the work authorized to be conducted under the maintenance
organization approval;
d. Direct responsibility for the conduct of the organization‘s affairs; and Final responsibility
for all safety issues.
4.2.3 A maintenance organisation shall establish the safety structure necessary for the
implementation and maintenance of the organization’s SMS.
4.2.4 A maintenance organisation shall identify the safety responsibilities of all members
of senior management, irrespective of other responsibilities.
4.2.5 Safety-related positions, responsibilities and authorities shall be defined,
documented and communicated throughout the organization.
4.2.6 A maintenance organisation shall identify a Safety Manager to be the member of
management who shall be the responsible individual and focal point for the
development and maintenance of an effective SMS.
4.2.6.1 The Safety Manager shall:

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a. Ensure that processes needed for the SMS are established, implemented and
maintained;
b. Report to the Accountable Executive on the performance of the SMS and on any need
for improvement; and
c. Ensure safety promotion throughout the organization.
4.3 SMS implementation plan
4.3.1 A maintenance organisation shall develop and maintain an SMS implementation
plan.
4.3.2 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 needs.
4.3.3 The SMS implementation plan shall include the following:
4.3.3.1 Safety policy and objectives;
4.3.3.2 Safety planning,
4.3.3.3 System description;
4.3.3.4 Gap analysis;
4.3.3.5 SMS components;
4.3.3.6 Safety roles and responsibilities;
4.3.3.7 Safety reporting policy;
4.3.3.8 Means of employee involvement;
4.3.3.9 Safety training;
4.3.3.10 Safety communication;
4.3.3.11 Safety performance measurement; and
4.3.3.12 Management review of safety performance
4.3.4 The SMS implementation plan shall be endorsed by senior management of the
organization.
4.3.5 A maintenance organisation shall, as part of the development of the SMS
implementation plan, complete a system description.
4.3.6 The system description shall include the following:
4.3.6.1 The system interactions with other systems in the air transportation system;
4.3.6.2 The system functions;
4.3.6.3 Required human performance considerations of the system operation;
4.3.6.4 Hardware components of the system;
4.3.6.5 Software components of the system;
4.3.6.6 Related procedures that define guidance for the operation and use of the system;
4.3.6.7 Operational environment; and
4.3.6.8 Contracted and purchased products and services.
4.3.7 A maintenance organisation shall, as part of the development of the SMS
implementation plan, complete a gap analysis, in order to:
4.3.7.1 identify the safety arrangements and structures that may be already exist throughout an
organization; and
4.3.7.2 Determine additional safety arrangements required to implement and maintain the

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organization’s SMS.
4.3.8 The SMS implementation plan shall explicitly address the coordination between the
SMS of the maintenance organisation and the SMS of other organizations the
maintenance organisation must interface with during the provision of services.
4.4 Coordination of emergency response planning
A maintenance organisation shall develop and maintain, or coordinate, as
appropriate, an emergency response/contingency plan that shall ensure:
a. Orderly and efficient transition from normal to emergency situation;
b. Designation of emergency authority;
c. Assignment of emergency responsibilities;
d. Coordination of efforts to cope with the emergency; and
e. Safe continuation of its activities, or return to normal activities as soon as
possible.
4.4.1 Documentation A maintenance organisation shall develop and maintain SMS
documentation, in paper or electronic form, to describe the following:
4.4.1.1 Safety policy;
4.4.1.2 Safety objectives;
4.4.1.3 SMS requirements, procedures and processes;
4.4.1.4 Responsibilities and authorities for procedures and processes; and
4.4.1.5 SMS outputs
4.4.2 A maintenance organisation shall, as part of the SMS documentation, develop and
maintain a Safety Management System Manual (SMSM), to communicate the
organization’s approach to safety throughout the organization.
4.4.3 The SMSM shall document all aspects of the SMS, and its contents shall include the
following:
4.4.3.1 Scope of the Safety Management System;
4.4.3.2 Safety policy and objectives;
4.4.3.3 Safety accountabilities;
4.4.3.4 Key safety personnel;
4.4.3.5 Documentation control procedures;
4.4.3.6 Hazard identification and risk management schemes;
4.4.3.7 Safety performance monitoring;
4.4.3.8 Emergency response/contingency planning;
4.4.3.9 Management of change; and
4.4.3.10 Safety promotion
5. Safety risk management
5.1. General
5.1.1 A maintenance organisation 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.
5.1.2 A maintenance organization’s SDCPS shall include reactive, proactive and
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predictive methods of safety data collection.

5.2. Hazard identification
5.2.1 A maintenance organisation shall develop and maintain formal means for effectively
collecting, recording, acting on and generating feedback about hazards in its
activities, 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.
5.2.2 The hazard identification process shall include the following steps:
5.2.2.1 Reporting of hazards, events or safety concerns;
5.2.2.2 Collection and storing the safety data;
5.2.2.3 Analysis of the safety data; and
5.2.2.4 Distribution of the safety information distilled from the safety data.
5.3. Risk management
5.3.1 A maintenance organisation shall develop and maintain a formal risk management
process that ensures the analysis, assessment and mitigation of risks of
consequences of hazards to an acceptable level.
5.3.2 The risks of the consequences of each hazard identified through the hazard
identification processes described in section 7.2 of this regulation shall be analyzed
in terms of probability and severity of occurrence, and assessed for their tolerability.
5.3.3 The organization shall define the levels of management with authority to make
safety risk tolerability decisions.
6 Safety assurance
6.1. General
6.1.1 A maintenance organisation shall develop and maintain safety assurance processes
to ensure that the safety risks controls developed as a consequence of the hazard
identification and risk management activities under paragraph 7 achieve their
intended objectives.
6.1.2 Safety assurance processes shall apply to an SMS whether the activities are
accomplished internally or outsourced.
6.2. Safety performance monitoring and measurement
6.2.1 A maintenance organisation shall, as part of the SMS safety assurance activities,
develop and maintain the necessary means to verify safety performance of the
organization in comparison with the approved safety policies and objectives, and to
validate the effectiveness of implemented safety risk controls.
6.2.2 Safety performance monitoring and measurement means shall include the following:
6.2.2.1 Safety reporting;
6.2.2.2 Safety audits;
6.2.2.3 Safety surveys;
6.2.2.4 Safety reviews;
6.2.2.5 Safety studies; and
6.2.2.6 Internal safety investigations
6.2.3 The safety reporting procedure shall set out the conditions to ensure effective safety
reporting, including the conditions under protection from disciplinary/administrative
action shall apply.

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6.3. Management of change

6.3.1 A maintenance organisation shall, as part of the SMS safety assurance activities,
develop and maintain a formal process for the management of change.
6.3.2 The formal process for the management of change shall:
6.3.2.1 Identify changes within the organization which may affect established processes and
services;
6.3.2.2 Describe the arrangements to ensure safety performance before implementing changes; and
6.3.2.3 Eliminate or modify safety risk controls that are no longer needed due to changes in the
operational environment.
6.4. Continuous improvement of the safety system
6.4.1 A maintenance organisation shall, as part of the SMS safety assurance activities,
develop and maintain formal processes to identify the causes of underperformance
of the SMS, determine the implications in its operation, and to rectify situations
involving below standard performance in order to ensure the continual improvement
of the SMS.
6.4.2 Continuous improvement of the maintenance organisation SMS shall include:
6.4.2.1 Proactive and reactive evaluations of facilities, equipment, documentation and procedures, to
verify the effectiveness of strategies for control of safety risks; and
6.4.2.2 Proactive evaluation of the individuals’ performance, to verify the fulfillment of safety
responsibilities
7 Safety promotion
7.1 General
A maintenance organisation 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.
7.2 Safety training
7.2.1 A maintenance organisation 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 the SMS duties.
7.2.2 The scope of the safety training shall be appropriate to the individual’s involvement
in the SMS.
7.2.3 The Accountable Executive shall receive safety awareness training regarding:
7.2.3.1 Safety policy and objectives;
7.2.3.2 SMS roles and responsibilities; and
7.2.3.3 Safety assurance
7.3 Safety communication
7.3.1 A maintenance organisation shall, as part of its safety promotion activities, develop
and maintain formal means for safety communication, to:
7.3.1.1 Ensure that all staff is fully aware of the SMS;
7.3.1.2 Convey safety critical information;
7.3.1.3 Explain why particular safety actions are taken;
7.3.1.4 Explain why safety procedures are introduced or changed; and
7.3.1.5 Convey generic safety information.

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7.3.2 Formal means of safety communication shall include:

7.3.2.1 Safety policies and procedures;
7.3.2.2 Newsletters; and
7.3.2.3 Bulletin
7.4 Quality policy
A maintenance organisation shall ensure that the organization quality policy is
consistent with, and supports the fulfillment of the activities of the SMS

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