SMS Operational Security Management System

ICAO in its Annex 19 2nd edition and in particular Chapter 4 describes an Operational Safety Management System (OSMS) as a systematic approach to the management of safety, including organizational structures, accountability, policies and procedures required.

The framework established by ICAO in its Annex 19 (Appendix 2) for the Safety Management System consists of the following components and elements

Components and elements of the SMS

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• Safety policy and objectives
  • Functional responsibility and management commitment
  • Obligation of accountability for safety and security
  • Designation of key operational security personnel
  • Coordination of emergency response planning
  • SMS documentation
• Safety risk management
  • Hazard identification
  • Safety risk assessment and mitigation
• Operational Safety Assurance
  • Observation and measurement of safety performance
  • Change management
  • Continuous improvement of SMS
• Promotion of safety and security
  • Training and education
  • Communication of safety and security

Sectoral rules applicable to SMS

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Regulations have now been published for the following aeronautical product and service providers:

• Civil air navigation service providers, including providers of meteorological services for air navigation. For ATS and CNS providers, the requirements for SMS are set out in Commission Implementing Regulation (EU) 2017/373 of 1 March 2017. In the case of meteorological suppliers, the Resolution of the Secretary of State for the Environment setting out the requirements for the establishment of a mechanism equivalent to the Safety Management System by providers of meteorological services for air navigation has been published.
• Continuing Airworthiness Management Organisations (camos). Commission Regulation (EU) No 1321/2014 of 26 November 2014 regulates requirements for approved aircraft maintenance organisations engaged in commercial air transport activities. In particular, your new Part-CAMO (Annex Vc) sets out the requirements for your SMS.
• Certified or verified civil aerodrome managers for public use. For certified aerodromes, Commission Regulation (EU) No 139/2014 of 12 February 2014 regulates the requirements for their SMS.
• Operators authorised to carry out commercial air transport. The SMS of operators performing commercial air transport with aeroplanes and helicopters is regulated by Regulation (EU) 965/2012 published in October 2012.
• Operators performing air work in particular specialised operations (SPO-Specialised Operations) in accordance with the EASA regulations have to comply with Commission Regulation (EU) No 379/2014 of 7 April 2014 amending Commission Regulation (EU) No 965/2012.
• Civil fire-fighting and search and rescue operators. Royal Decree 750/2014 of 5 September 2014 regulates air firefighting and search and rescue activities and lays down airworthiness and licensing requirements for other aeronautical activities.
• Approved training organisations for the licensing of private pilot, commercial pilot, airline transport pilot and pilot with multiple crew and associated ratings of class, type or instrument. The ATOs (Approved Training Organisations), holders of a certificate of qualification FSTD and AeMCs are regulated by Regulation (EU) 290/2012 published in April 2012.
• The military air traffic service provider for civil aviation.

More information on the applicable regulations can be found on EASA’s website.

EASA to facilitate the implementation of Safety Management Systems by aeronautical service and product providers has developed guidance materials for consultation.

In addition, the use of guidance material produced by the SM ICG working group is recommended. Some of the guide material has been translated by AESA to facilitate its use.