Safety Management System (SMS)

Operational safety framework compliant with ICAO Annex 19 and IOSA requirements.

Scope

SMS Framework (ICAO Four Pillars)

1. Safety Policy & Objectives

• Safety policy statement
• Management commitment
• Safety accountabilities
• Appointment of key safety personnel
• Emergency Response Plan (ERP)

2. Safety Risk Management

• Hazard identification
• Risk assessment
• Risk mitigation
• Change management

3. Safety Assurance

• Safety performance monitoring
• Internal audits
• Management of change
• Continuous improvement

4. Safety Promotion

• Training and education
• Safety communication
• Safety culture development

Research Topics

• ICAO Annex 19 requirements
• IOSA SMS standards (ORG section)
• RAV safety management requirements
• Safety reporting systems (confidential/non-punitive)
• Safety performance indicators (SPIs)
• Just Culture implementation
• Fatigue Risk Management integration
• Emergency Response Planning

Architecture Considerations

Safety Reporting System

┌─────────────────────────────────────────────────────────┐
│               Safety Reporting Portal                    │
├─────────────────────────────────────────────────────────┤
│  Report Types:                                          │
│  ┌─────────┐ ┌─────────┐ ┌─────────┐ ┌─────────┐      │
│  │ Hazard  │ │ Incident│ │ Near    │ │Voluntary│      │
│  │ Report  │ │ Report  │ │ Miss    │ │ Report  │      │
│  └─────────┘ └─────────┘ └─────────┘ └─────────┘      │
├─────────────────────────────────────────────────────────┤
│  ☑ Confidential Reporting Option                        │
│  ☑ Anonymous Reporting Option                           │
└─────────────────────────────────────────────────────────┘

Data Model

SafetyReport
├── ReportID
├── Type (Hazard, Incident, NearMiss, Voluntary)
├── DateTime
├── Location (Airport, Airborne, Facility)
├── FlightNumber (if applicable)
├── Reporter
│   ├── EmployeeID (optional if anonymous)
│   ├── Department
│   └── Role
├── Description
├── ImmediateActions
├── Attachments[]
├── Classification
│   ├── Category (Flight Ops, Ground, Maintenance, etc.)
│   ├── Severity (A-E)
│   └── Probability (1-5)
├── Investigation
│   ├── Investigator
│   ├── RootCause
│   ├── ContributingFactors[]
│   └── Findings
├── CorrectiveActions[]
│   ├── Action
│   ├── ResponsiblePerson
│   ├── DueDate
│   └── Status
└── Status (Open, InvestigationUnderway, Closed)

Risk Matrix

           │ Catastrophic │ Hazardous │ Major │ Minor │ Negligible
           │     (A)      │    (B)    │  (C)  │  (D)  │    (E)
───────────┼──────────────┼───────────┼───────┼───────┼───────────
Frequent(5)│   INTOL      │   INTOL   │ INTOL │  TOL  │    ACC
───────────┼──────────────┼───────────┼───────┼───────┼───────────
Occasional │   INTOL      │   INTOL   │  TOL  │  TOL  │    ACC
    (4)    │              │           │       │       │
───────────┼──────────────┼───────────┼───────┼───────┼───────────
Remote (3) │   INTOL      │    TOL    │  TOL  │  ACC  │    ACC
───────────┼──────────────┼───────────┼───────┼───────┼───────────
Improbable │    TOL       │    TOL    │  ACC  │  ACC  │    ACC
    (2)    │              │           │       │       │
───────────┼──────────────┼───────────┼───────┼───────┼───────────
Extremely  │    ACC       │    ACC    │  ACC  │  ACC  │    ACC
Improbable │              │           │       │       │
    (1)    │              │           │       │       │

INTOL = Intolerable (immediate action required)
TOL = Tolerable (mitigation required)
ACC = Acceptable (monitor)

Safety Dashboard

┌─────────────────────────────────────────────────────────┐
│              Safety Performance Dashboard                │
├─────────────────────────────────────────────────────────┤
│                                                         │
│  Open Reports: 12    │  This Month: 8   │  YTD: 94     │
│                                                         │
│  ┌─────────────────────────────────────────────────┐   │
│  │ Safety Performance Indicators (SPIs)            │   │
│  ├─────────────────────────────────────────────────┤   │
│  │ • Runway incursions: 0 (Target: 0)              │   │
│  │ • Ground damage events: 1 (Target: <2/month)    │   │
│  │ • Go-arounds: 3 (Monitoring)                    │   │
│  │ • Unstable approaches: 2% (Target: <3%)         │   │
│  │ • Fatigue reports: 4 (Monitoring)               │   │
│  └─────────────────────────────────────────────────┘   │
│                                                         │
│  Overdue Corrective Actions: 2 ⚠️                       │
│                                                         │
└─────────────────────────────────────────────────────────┘

Integration Points

Regulatory Compliance

IOSA Requirements (ORG Section)

• Documented SMS manual
• Safety policy signed by accountable executive
• Safety Action Group (SAG)
• Safety Review Board (SRB)
• Internal audit program
• Emergency Response Plan

RAV/Local Authority

• Compliance with Venezuelan aviation safety regulations
• Mandatory occurrence reporting
• Safety oversight cooperation

IATA Operational Safety Audit

IOSA SMS Standards:
├── ORG 1.1: Safety Policy
├── ORG 1.2: Safety Accountabilities
├── ORG 1.3: Safety Risk Management
├── ORG 1.4: Safety Assurance
├── ORG 1.5: Safety Promotion
├── ORG 1.6: Emergency Response
└── ORG 3.1: Security Program

Safety Organization

Key Roles

Safety Committees

Safety Review Board (SRB)
├── Frequency: Monthly
├── Chair: Accountable Executive
├── Members: Department heads
└── Purpose: Strategic safety decisions

Safety Action Group (SAG)
├── Frequency: Weekly
├── Chair: Safety Manager
├── Members: Safety officers, specialists
└── Purpose: Operational safety issues

Just Culture Framework

Response to Safety Reports

Honest Mistake → Coaching, system improvement
              ↓
Risk-Taking Behavior → Training, counseling
              ↓
Negligence → Remedial action, retraining
              ↓
Intentional Violation → Disciplinary action
              ↓
Sabotage/Criminal → Termination, legal action

Non-Punitive Reporting Principles

• Voluntary reports protected
• Focus on system improvement
• No punishment for honest errors
• Clear boundaries for unacceptable behavior

Emergency Response Plan (ERP)

Activation Levels

Crisis Management

Crisis Team:
├── Crisis Director (CEO/Accountable Exec)
├── Operations Lead
├── Communications Lead
├── Family Assistance Lead
├── Legal/Insurance Lead
└── Safety Investigation Lead

Vendor Landscape

SMS Software

Social Media Crisis Management

Per the operational blueprint, integrate with communications:

• Real-time monitoring of social channels
• Crisis communication protocols
• Passenger communication during disruptions
• Reputational risk management