01

SafetyManageMent
SySteMS(SMS)
anintroduction
civil aviationauthorityofnew Zealand
BOOKLETONE
Preface
The civil Aviation Authority published Advisory circular Ac 00-4
‘safety Management systems’ in december 2012 to provide
comprehensiveguidancematerialtosupportPart119,139,145and
172organisationsimplementasafetymanagementsystem(sMs).
This booklet contains practical advice to organisations about
how to improve current systems and add tools and processes
to achieve the best safety outcomes. it explains the steps that
can be taken to successfully, systematically and proactively
manage safetywhile complying with regulatory requirements.

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This booklet may be read in conjunction with the otherindustry
resource Kitbooklets:
• Booklet two – FromQuality Management systems to
safety Management systems: an enhancement guide

sMs: Anintroduction
• Booklet three – implementing safety Management
systems:guidelines for small aviation organisations
• Booklet four – Aviationrisk Management: anintroduction.

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4 sMs: Anintroduction
taBle of contentS
Preface 03

Building a Safety ManageMentSySteM: An overview 06

the 13eleMentS of a Safety ManageMent SySteM 08

ElEmEnt 1 safety Policy andAccountability 09 ElEmEnt8 Management ofchange 18

ElEmEnt 2 coordinated Emergency responsePlanning 10 ElEmEnt9 continual improvement of thesMs 19

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ElEmEnt3 development, control andMaintenance ElEmEnt10 internal AuditProgramme 21
of safety Managementdocumentation 11
ElEmEnt11 Managementreview 22
ElEmEnt4 Hazardidentification 13
ElEmEnt12 safety Training and EducationProgramme 23
ElEmEnt5 risk Management 14
ElEmEnt13 communication of safety criticalinformation 25

sMs: Anintroduction
ElEmEnt6 safetyinvestigation 15

ElEmEnt7 Monitoring and MeasuringPerformance 17

05
 Buildinga Safety
ManageMentSySteM
anoverview
what’Sin it for uS? The cAA has defined a sMs as ‘a systematic approach to
HOw cAN yOur OrgANisATiON rEducE THE risK OFAN managing safety, including the necessaryorganisational
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AccidENT Or iNcidENT? HOw cAN yOu PrEvENT THEsE structures, accountabilities, policies andprocedures.’
TyPEs OFOccurrENcEs HAPPENiNg iN THE FuTurE By implementing a sMs willprovide yourorganisation witha simple
dOiNg sOMETHiNg ABOuT iT NOw? iMPLEMENTiNgAsAFETy and organised approach to preventing accidents or undesirable
MANAgEMENTsysTEM (sMs) is APrOvEN MEANsTO incidents, and is considered smart business management.
AcHiEviNg AsAFEr wOrKPLAcE. Asuccessfully implemented sMs will drive better safety
sMs: Anintroduction

performance.in turn, this willleadtoa moreprofitable business.

Most NZ aviation organisations already have an established

Quality Management system (QMs). so howdoes an sMs relate
to a QMs? An sMs is more safety-focused, and is, in fact, an
enhanced and expanded QMs. whereas a QMs focuses on
06 internal quality assurance procedures, an sMs complements
this by adding a risk-based approach to the structure, So first, let’s explore what you may already bedoing…
responsibilities, processes and procedures of an organisation. • Has your senior management taken accountability and
Enhancing a QMs in order to meet sMs expectations provides responsibility forsafety management? if so,do you have
the benefits of compliance and conformance, and also a safetypolicy?
increases effectiveness and assurance of high safety • do the staff members responsible for safety management
performance standards. As there are many common elements have the qualifications, knowledge, experience, skills and
to both systems, an organisation with an established QMs is competence to do theirjob? Havethey been trained
already part of the way there. improvement and further and educated?
development of an organisational safety culture will comehand • Before you start any new activity, do you identify safety
in hand with the sMs implementation, along with a reduction in hazards and evaluate any risks thatare involved?
hazards that could contribute to accidents and incidents. some • does your organisation have clear unambiguous lines of
of your staff will become further qualified thereby enhancing authority and responsibility to ensure safety is
the credentials of yourworkplace. documented, communicated and maintained? is there an
Although this may seem a daunting task (for smaller operators organisational chart depictingthis?
• Havesafetypriorities been established and have

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in particular), breaking the system down into discrete
elements will help you to recognise what is already in place resources been allocated to address safety and
and what isneeded. Asimple framework will work for everyone. operational concerns?

howcan wedo thiS?

your answers to these questions, which are based on
your organisation may already have some of the elements best-practice safety guidingprinciples,willreveal where

sMs: Anintroduction
ofan sMs in place. whether you are a large orsmall aircraft your organisation stands and provide direction about what
operator, maintenance organisation, air traffic service provider you need to focus on. if you have answered ‘no’to any of the
or aerodrome operator, your systems can be refined and above questions, make it apriority.
enhanced to complement and support any additional elements
that arerequired.
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 the 13eleMentS
of a Safety
ManageMentSySteM
After reviewing your current practices the foundation of your sMs
will be clear. Let’s now consider what the structure or framework
would look like. The cAA has identified 13 distinct elements in the
structure ofan sMs which are outlined below. Tailoryour structure
to the size ofyour operations and rememberto keep it simple.

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eleMent 1
Organisational charts and position descriptionswork
sAFETyPOLicyANdAccOuNTABiLiTy well to depict clear lines ofresponsibility.

it is important that managers are committed to safety as they

are accountable for the safety performance of theorganisation. Set goalS and oBjectiveS:
set clear,sensible and achievable safety goals and objectives.
Make acoMMitMent: These must be documented to provide the context of expected
devise a safety commitmentstatement and a safety policy results, many ofwhich can be measured.
which should be signed by your chief Executive.

coMMunicate with your workforce: An example of a safety objective may be ‘to provide
Make sure your staff have access to the safety commitment safety qualifications toallstaff’and an associated goal
statement and safety policy. Keep records showing when staff may be ‘toqualifykey personnel in hazard identification
have read them and keep track of revision numbers as these within the next 6 months’.
are reviewed andupdated.

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reSource yourSMS:
why not display your safety commitmentstatement communicate management’s intention to adequately resource
on the wall in yourworkplace? the sMs to all members ofthe organisation. This will encourage
belief in what the organisation is trying to achieve and foster a
safety attitude (or culture) that will form the basis of

sMs: Anintroduction
aPPoint aqualified keySafety ManageMent PerSon: organisation-wide safepractices.
This role is to implement and manage the sMs, and may be
full-time or part-time depending on the size of your
organisation. Their safety responsibilities for managing the Make sure everyone knows that the sMs will be
adequately resourced. This can bedone withregular,
safety systemsmust be documented.
appropriateandtargetedcommunications fromthetopdown.
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 eleMent 2 Also incorporate the ErP training thatwill be provided, and your
review and documentation processes. consider including post
cOOrdiNATEdEMErgENcy critical-incident stress debriefing.
rEsPONsE PLANNiNg
HavingasMs willminimisetheriskofundesirable events,such as summarise thekeysteps andresponsibilities in a
an accident occurring.However,itis notpossible toeliminate the Quickreferenceguide.This maybelaminatedand
possibility entirely.Proactive,coordinatedemergencyresponse and distributed to all staff. consider a training session to educate
risk management plans can ensure that, in an emergency,your staff about the contents and their responsibilities. you may need
organisation is ready,and your staff are all ‘onthe same page’. tocoordinateandestablishinterfaceswithexternalagencies.

docuMent yourPlan:
Establishanemergencyresponseplan(ErP) thatsuits thesizeof deMonStrate that your Plan workS:
yourorganisation.Thismaybeastand-alonedocumentoritmaybe Once documented put the plan into simulated practice.
incorporated intoa safety manual.incorporatea revision number contemplatehowyou have assigned responsibilities, considered
andrevisethisas theplanis updated.Makesureyourplancovers employee and familywelfare and yourinvestigation techniques.
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all your bases and locations of operation. consider the types of

emergencyyou mightface.Ensure thatall aremadefamiliarwith run a desktop practice scenario using a simulated
this plan – it can belifesaving. sections should include: real-lifeemergency.Havean observer takenotes of all
• The purpose of theplan the coordination and interactions required. use this to
• How the plan is activated debrief and review the programme and adjust if necessary.
• Establishment ofa crisis response centre Don’t forget to documentthis.
sMs: Anintroduction

• External stakeholder liaison

• Accident investigationprocess
• Media interactions
• staff welfare it is vital that you coordinate with the other
• coordination of family assistance forcasualties organisations/stakeholders you work with forexample
• Preservation ofevidence an airportoperatorwhowillalso have an ErP.
10 • claims and insuranceprocedures.
eleMent 3 describeaspects such as thesMs scope; safety
dEvELOPMENT, cONTrOL ANd accountabilities and responsibilities; keysafety
MAiNTENANcE OFsAFETy personnel; document control procedures; the ErP; hazard
MANAgEMENTdOcuMENTATiON and risk identification; and management schemes. document
safety assurance, performance monitoring, your audit
programme, how change is managed, and safety promotional
your organisation’s sMs must be comprehensively and activities and don’t forget toinclude any contracted activities.
accurately documented.

docuMent yourSySteM: aPPoint coordinationdutieS:

All policies, objectives, responsibilities, processes and
procedures which make up the sMs should be documented. Assign theresponsibility formanagingall updates tooneperson.
This may be in a safety manual orincluded in another manual
or system. Ensure that all staff know where to access it and diSSeMinate uP-to-dateinforMation:
when it has beenupdated. All staff must have access to the documentation and it must be

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controlled, reviewed andupdated.
outline yourPolicieS:
include aspects such as scope, objectives,principles
and definitions. Makeyour sMs policies, procedures and practices part
of your Expositionsuite.
SuMMariSe yourProceSSeS:

sMs: Anintroduction
describe the activities, tasks and procedures used in your
organisation and how they operatesystematically.

docuMent yourPracticeS:
record the tools, operating procedures andwork instructions
thatare used in your organisation.
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sMs: Anintroduction
eleMent 4 analySe rePortS:
Allocate responsibility for the process and review of these
HAZArdidENTiFicATiON reports. determine whether any actions need to be taken and
Hazards are conditions that have the potential to cause harm whether any safety trends (good orbad) are apparent.
and therefore need to be reported. This vital information,which
can be extracted from occurrence and incident reporting, Once a reporting system is in place and staff are
allows your organisation to identify hazards and the risks they educated about recognising hazards, theremay bea
pose. The reporting of hazards is vital and can be achieved by significant increase inhazard reporting.
setting up or refining a system in which a report can be
submitted by any staff member. Quality improvement forms,
while identifying compliance-based issues do not take the ProMote aPoSitiveSafety culture:
risk-based approach to hazard identification advocated bysMs. work towards fostering an excellent safety culture. This is the
backbone of a sMs and allows for the free flow of safety
identify haZardS: information throughout yourorganisation.
identification is paramount as, once identified, hazards can be

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reported, analysed andtreated. give feedBack:
Toencourage further reporting and to close the loop, it is
Put arePorting SySteM in Place: essential to provide feedback to the hazard reporter, formally
if you do not have a system for the reporting of occurrences, orinformally. This may take the formofan email,a phone call
risks or safety issues you need to establish one (hard copy, or even a completed investigationreport.
electronic or both). Youmust ensure that confidentiality is

sMs: Anintroduction
observed for reports. Actively encourage reporting as these
why not provide feedback to all staff? consider
reports are essential to identifying emerging issues and risks.
placinghazard-related information in safety emailsor
docuMent all rePorted haZardS: newsletters. This will encourage a willing and participative
Maintain records of formal or informal methodsof collecting safety culture. People love to know what is going on and how
the organisation isdealing with it.
hazard reports. 13
 eleMent 5 educateStaff:
The more members of your staff that can be trained in risk
risK MANAgEMENT management, the greater the benefit to your organisation. we
risk management is defined as coordinated activities to direct all manage risk on a daily basis in an intuitive manner; however
or control an organisation with regard to risk. it enables an specific training will provide additional skills leading to
organisation to ensure thatrisk remains at an acceptable level enhanced risk management.
through a consistent and proactive framework.
docuMent yourProcedureS:
Proactively identifying, assessing and controlling risk is the record risk procedures and their development. regularly
purpose of an SMS. However, this cannot occur entirely at an review and revise.
intuitive level. while managing risk is an everyday activity for
experienced professionals,there also needs to be more formal train yourStaff:
identify decision makers and other appropriate staff and
levels of riskmanagement.
provide them with qualifications related to risk management
aPPoint a dedicatedPerSon: via training appropriateto their roles. Thereare different levels
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Assign a safety coordinator ormanager to be responsible for of risk management, from dealing with operational risks to
risk-managementprocesses. managing changes to the overall organisation or at a strategic
level. risk management that is regularly used across these
docuMent your current and eMerging riSkS: levels, if well documented, equates to bestpractice.
Maintain a register of risks and their assessment, controls or
treatments. update this register frequently as other risks are
sMs: Anintroduction

identified. risks exist in your daily environment (at home and There is an invaluable international standard for risk
management called isO 31000:2009 risk Management
at work). They are real but do not always result in catastrophic
– Principles and guidelines. it is the basis for best-practice
accidents. Many ofthe risks you identify as an everyday part of
risk management processes and can easily be tailored to
your business activities will involve a lowlevel ofconsequence,
smaller organisations.
but addressing them can benefit the organisation immensely.
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eleMent 6 inveStigate:
sAFETyiNvEsTigATiON follow the steps for an effective safetyinvestigation:
• data collection: gatherevidence
Often when an incident or accident occurs, an investigation is • undertake analysis of all information (with causal factor
needed to work out how to avoid it happening again. cAr Part theories inmind)
12 regulates the conduct ofinvestigationsand Ac12-2 provides • identify findings andrecommendations
guidance on how to dothis. • record, distribute and present the report
• close the loopby monitoring the outcomes ofthe
develoP your own internal criteria: investigationfindings.
determinethereasons requiring your organisation toinvestigate
an occurrence and record them. Areactive approach would be docuMent yourProceSS:
to investigate an accident, but there are other proactive reasons record your process forconducting an internal safety
to commence an investigation– such as hazard-based trends, investigation.
certain identified risks and other instances that may require
complex examination.

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use a risk-based approach in identifying which
aPPoint aninveStigator: occurrences you mayneed toinvestigate internally.
Assign an internal safety investigator that is appropriately
qualified and competent.Theyshould be independent ofthe
operational area involved.

sMs: Anintroduction
specialisedtrainingis requiredforsafety investigators,
as investigations are activities that are particularly
susceptibletofailureorsuccess on thebasis oftheirconduct.

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sMs: Anintroduction
eleMent 7
MONiTOriNg ANd
MEAsuriNgPErFOrMANcE
it is possible to proactively intervene in your organisation’s
activities to avoid accidents. By monitoring safety-related Howabouta staff survey? This can besimpleand may
systems and performance your organisation can continuously gather some excellent safety-performanceinformation.
improve upon them.

collect Safety data: Set targetS:

Our safety-reporting system is an excellent place to source Establish safety-performance targets consistent withyour
your dataincluding: safety objectives. use safety-performance indicators to
• reporting rates andnumbers measure whether safety targets have been met. These
• investigation reports indicators can be reactive, proactive orinteractive.

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• Audit reports
• risk registers Anexampleof a safety-performanceindicator could be
• safety meetingminutes your hazard reporting rate. Asafetytarget associated
• surveys andreviews. withthis could be ‘toincrease the rateofhazard reporting by
x% in 6 months’. This is a reactive indicator. An example of a
All ofthese will inform your organisation about howthe sMs is
proactive indicator could be ‘the number of staff who have

sMs: Anintroduction
faring. Make sure you consider all of them in order to make
completed risk-managementtraining’.
good safetydecisions.

docuMent howyou Monitor:

record how you are monitoring safety performance and
maintaining the sources of your safety data (your safety
reporting system is a good start). 17
 eleMent 8
MANAgEMENT OFcHANgE
The aviation industry undergoes constant, dynamic change docuMent ProcedureS:
which exposes your organisation to risk. Toprevent the Any procedures used by your organisation to manage change
associated turmoil of uncontrolled changes it is necessary to should be recorded. These may include procedures for risk
manage change in a structured fashion. it is good practice to reporting and recording, risk control and monitoring processes,
conduct a risk assessment before initiating any key change to whois responsible forrisk managementdecisions and how risks
the business. are to be communicated. your organisation’s risk processes can
be proactive change management processesin themselves.
identify achange:
recognise an upcoming change to your operationand consider
how critical the risk associated with that change may be to
your operatingsystems.
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Arisk assessment is really useful to assist in

managingchanges within your organisation such as
adding a new aircraft,undertaking facility upgradesor
acquiring a newcertification.
sMs: Anintroduction

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eleMent9
cONTiNuALiMPrOvEMENT
OFTHEsMs
An sMs is a dynamic system which will filter into all facets docuMent iMProveMentPlanS:
ofyour organisation. As such, it needs to be continuously detail an action plan to achieve any required improvements.
monitored and reviewed. you should setperformance indicators resourcing may be needed. Actions resulting from analysis
for your sMs and monitor whether they have been met. review and reviewcould include various initiatives such as:
of these and other feedback (such as surveys) will allow your • Organisation design
organisation to identify areas for improvement. inputs relevant • Technologyand personnel changes
to the effectiveness ofyour sMs may include: • improved policies, processes andprocedures
• internal audit of thesMs • Bettertraining
• External audit • Adjustments to thesMs.
• Management review of thesMs.

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docuMent theProceSS: don’t forget how useful a survey can be or the value
record the process that shows how you use performance ofsuggestion boxes, safety meetings,your reporting
monitoring, measuring and audit to inform management ofthe system etc.information on how your sMs is working can
effectiveness of thesMs. be gleaned from numerous formal or informal
communication processes.

sMs: Anintroduction
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sMs: Anintroduction
eleMent 10
iNTErNAL AudiTPrOgrAMME
Audit processes in a quality management system are already aPPoint anauditor/S:
in place in your organisation. The sMs needs to be regularly Theymust be qualified to conduct an audit and independent of
audited too. Thefindings frominternal and external audits can the area beingaudited.
be tracked in the sameway.
take actionS:
docuMent yourPrograMMe: Take appropriate preventive or corrective actions towards
develop a risk-basedaudit programme (ie, prioritise the audits identified problems. Measure how effective they are. Track and
on higher risk areas ofthe organisation): monitor these actions andtheir timeframes.
• conduct auditsregularly
• set auditobjectives
Besure toidentifytheright peopletorecommendactions
• determine auditfrequency to– gowithyour decision makers toincrease thelikelihood

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• Outline audit methodology thatchangesaremadeas a result ofyour audit.
• document processes.

well-planned audits are the most effective. Take a

docuMent your audit rePort:
risk-based approach and when examiningprocesses Keep a record of all audit reports. Track timeframes for action
closure. communicate the reports to the personsresponsible.

sMs: Anintroduction
and procedures. consider how effective they are, not just
their level ofcompliance.

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 eleMent 11
MANAgEMENTrEviEw
in addition to your existing management review processes, organiSe MeetingS:
managersnowneed toknowwhatis goingon in theorganisation conduct regular safety meetings with management in
regarding sMs. Tomake timely and critical safety-related attendance to discuss operational safety with staff. it is
decisionsthey willneed tobesure thatthe sMs is effective and essential that management get a holistic picture of the
knowwhether any changes, ormoreresources, arerequired. organisation’s safety performance and are fully aware of all
possible safetyinformation.
develoP an eScalation Plan:
Have a process in place to pass critical safety information to
management. using risk-management principles works really invitedecision makers tomeetings.These people
well here. For example, if you have identified something as ‘high havethe abilitytoinfluence change and need tobe
risk’,this may automatically need to be escalated. keptinformed.
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review findingS:
sMs audit findings should provide feedback on howthe system
is functioning. consider assigning a ‘risk level’ to findings as
this will help to prioritisethem.

track Safetydata:
sMs: Anintroduction

record safety data and numbers of reports and communicate

this information to management. Analyse the data before
presenting it to management as safetyinformation and avoid
simply collating statistics.

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eleMent 12
sAFETy TrAiNiNg ANd
EducATiONPrOgrAMME
staff need to be trained and educated about the sMs in orderto outline trainingcontent:
understand the organisation’s safety objectives and to acquire in line with the establishment of risk-management principles
the skills and knowledge to help achieve them. Achieving the following training topics are recommended: the use and
appropriate levels of competency for staff and enabling the application of sMs, risk management, change risk management
consistent application of their skills, is critical to an elevated and operational riskmanagement.
standard ofperformance.

identify trainingneedS: Hazard identification, incident reporting, risk

All staff require basic sMs training. identify staff members who management and personalsafety responsibilities need
may also require specialised training and qualifications. These tobethe focus of training for allstaff.

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may include (depending on the size of your organisation), the
chief executive, senior management, safety systems manager, docuMent all training:
managers and line supervisors, safety specific staff, Keep records of all employee safety training as well as details
operational staff, general staff, sMs administrators, contractors of the educationprogramme.
and third parties. Asimple needs analysis is a useful tool for
this. Employee induction programmes are a good place to begin

sMs: Anintroduction
safety education for newstaff.

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sMs: Anintroduction
eleMent 13 actively ProMoteSafety:
cOMMuNicATiON OFsAFETy recordallmethodsusedtopromotesafetyinformationtoallstaff.

criTicALiNFOrMATiON active methods of communicationinclude:

• regular safety-related meetings
communication is vital when dealing with critical safety • seniormanagement conveying strategic safety
information, both internally and externally. Lessons learned information, goals andobjectives
outside your organisation are as important as those learned • general staff informing management regardingsafety
firsthand. continuous flows ofinformation to staff will ensure issues intheir department areas
thatthe sMs is not an afterthought – but a proactive, visible • Teambriefings.
and tangible part of dailybusiness.
Passive methods of communicationinclude:
Share SafetyinforMation: • safety magazines ornewsletters
share safety information with all staff in a targeted way, • web-based presentations
and tailorthis information to suit the audience. Forexample,
• Forums

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sharing a safety report that has not been analysed to identify
• Emails.
risks and provide some preliminary solutions will not provide
any meaningful safetyeducation. The use of spoken words, written words and electronic media
combine to provide flexible and cost-effective safetypromotion.

Any sort of meeting or gatheringof staff within your

safety briefings and meetings, newsletters, emails

sMs: Anintroduction
organisation can have a safety aspectincluded.
and posters are allways tocirculate safety information.
if you have morethan one office or base, make sure safety
communications reach all ofthem.

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 This booklet is based upon cAA Advisory circular Ac 00-4,
safety Management systems, version 1.0,19 december 2012.

for More inforMation contact caa Staff at

Email: sms@caa.govt.nz
web site: www.caa.govt.nz
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sMs: Anintroduction

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