CS-14 · Safety Management System (SMS)

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Process Flow Diagram (BPMN)

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L4 Process Steps

Step	Step Name	Role / Swim Lane	System	Input	Output	KPI	Dec?	Exc?
Phase 1 1.1	Capture safety occurrence report	Front-line Employee / Safety Reporter	Ideagen IQSMS	Observed hazard, incident, near-miss, or unsafe condition	Safety occurrence record with initial classification and timestamp	Report submission rate ≥95% of known occurrences within 24 hrs	N	N
1.2	Classify report type & severity tier	Safety Analyst	Ideagen IQSMS	Raw occurrence record from Step 1.1	Classified report: incident / hazard / near-miss / accident with initial severity tier (1–5)	Classification accuracy ≥98% validated at quarterly QA review	N	N
1.3	Determine mandatory regulatory reporting threshold	Safety Manager	Ideagen IQSMS	Classified occurrence record, FAR Part 830 / ICAO Annex 13 criteria matrix	Reporting decision: mandatory FAA/NTSB notification required (Y/N)	100% of mandatory reports filed within regulatory deadlines (2 hrs / 10 days per FAR 830)	Y	N
1.4	Submit voluntary report to ASAP/NASA ASRS	Safety Analyst	NASA ASRS Web Submission Portal	Non-mandatory occurrence classified in Step 1.2	ASRS report number; ASAP event record filed with ASAP ERC (Event Review Committee)	ASAP programme participation rate ≥80% of eligible workforce	N	Y
1.5	Initiate mandatory FAA/NTSB notification	Director of Safety	FAA ASIAS Web Portal	Mandatory reporting decision from Step 1.3; occurrence facts	FAA/NTSB preliminary notification; ASIAS occurrence record; internal hold placed on aircraft/evidence	100% of NTSB immediate notifications within 2 hrs of accident (FAR 830.5)	N	Y
Phase 2 2.1	Assign risk probability & severity matrix score	Safety Analyst	Ideagen IQSMS	Classified occurrence record; ICAO SMS risk matrix template	Risk index score (probability 1–5 × severity 1–5); initial risk colour: green/amber/red	Risk assessments completed within 48 hrs of report receipt for Tier 1–2 events	N	N
2.2	Validate risk score at Safety Review Board	VP Safety / Safety Review Board	Ideagen IQSMS	Risk index score from Step 2.1; FOQA data (if flight event)	Validated risk rating; escalation decision for red-rated risks	Safety Review Board convenes within 5 business days for red-rated risks	Y	N
2.3	Accept low risk & assign monitoring SPI	Safety Analyst	Tableau Safety BI Dashboard	Green-rated risk from Step 2.2	Safety Performance Indicator (SPI) assigned; monitoring threshold set in Tableau	100% of accepted risks assigned at least one SPI within 5 days	N	N
Phase 3 3.1	Initiate formal safety investigation	Lead Safety Investigator	Ideagen IQSMS	Escalated red/amber risk from Step 2.2; preliminary event facts	Investigation plan: scope, team, evidence list, timeline; IQSMS investigation record opened	Investigation plan issued within 24 hrs of escalation for Tier 1 events	N	N
3.2	Gather evidence including FOQA flight data	Lead Safety Investigator	Teledyne SSFDR / Airline FOQA Programme	Flight identifier, tail number, date/time; investigation plan from Step 3.1	QAR/FOQA data extract; CVR/FDR preservation request (if applicable); witness statements in IQSMS	FOQA data retrieved within 72 hrs for flight-related events	N	Y
3.3	Perform root cause analysis using bowtie/5-Whys	Lead Safety Investigator	Ideagen IQSMS	Evidence package from Step 3.2; FOQA data; witness statements	Root cause statement; contributing factors list; bowtie barriers analysis in IQSMS	Root cause identified for ≥90% of Tier 1 investigations within 30 days	Y	N
3.4	Document investigation findings & close investigation	Lead Safety Investigator	Ideagen IQSMS	Root cause and contributing factors from Step 3.3	Final investigation report; linked corrective action records; report published in IQSMS	Investigation report issued within 60 days for Tier 1; 30 days for Tier 2	N	Y
Phase 4 4.1	Develop safety risk controls & mitigations	Safety Manager / Process Owner	Ideagen IQSMS	Investigation report from Step 3.4; risk residual score	Risk control plan: engineering controls, procedural changes, training interventions; residual risk target score	Risk residual score reduced to green (≤4) for ≥95% of Tier 1 events post-mitigation	Y	N
4.2	Assign corrective action owners & due dates	VP Safety	Ideagen IQSMS	Risk control plan from Step 4.1	Corrective action tasks assigned in IQSMS with responsible owner, priority, and target close date	100% of corrective actions have named owner and due date within 5 days of investigation closure	N	N
4.3	Verify corrective action effectiveness	Safety Analyst	Ideagen IQSMS	Closed corrective action records; post-implementation SPI data from Tableau	Effectiveness verification record; risk formally closed or re-opened if recurrence detected	Corrective action on-time closure rate ≥85%; recurrence rate for closed risks <5% within 12 months	Y	N
Phase 5 5.1	Track safety performance indicators vs targets	Safety Performance Manager	Tableau Safety BI Dashboard	SPI data feeds from IQSMS, FOQA, ASAP, ASRS aggregation	Monthly SPI scorecard: accident rate, serious incident rate, FOQA exceedance rate, ASAP report volume	Accident rate: 0 per year; Serious incident rate ≤0.3 per 100,000 flights; FOQA exceedance rate ≤1.5%	Y	N
5.2	Publish monthly safety performance report to executives	Director of Safety	Tableau Safety BI Dashboard	SPI scorecard from Step 5.1; corrective action status from IQSMS	Executive safety performance report distributed via SharePoint; board safety committee briefing deck	Monthly report published by 10th of following month; 100% board safety committee attendance	N	N
Phase 6 6.1	Conduct scheduled SMS internal audit	Safety Audit Manager	Ideagen IQSMS	FAA AC 120-92B SMS framework; annual audit schedule; previous audit findings	Audit findings report; non-conformances raised in IQSMS; corrective action requests issued	Annual SMS audit completion rate 100%; critical non-conformances closed within 30 days	N	N
6.2	Submit mandatory occurrence reports to FAA ASIAS	Director of Safety	FAA ASIAS Web Portal	Mandatory occurrence records from Steps 1.3 and 1.5; Service Difficulty Reports (SDRs) from Maintenance	ASIAS submission receipts; SDR filings; MOR (Malfunction or Defect Report) records archived	100% of SDRs filed within 3 days of discovery (FAR 121.703); zero overdue mandatory reports	N	Y

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Process Attributes

Identification

Process IDCS-14

L1 DomainCorporate Support Functions

L2 ProcessSafety & Regulatory

L3 NameSafety Management System (SMS)

L4 Steps19 across 6 phases

Decision Gates6 (all with iteration loops)

Exceptions5 documented

Swim Lanes (Roles)

Front-line Employee / Safety Reporter

Safety Analyst

Safety Manager

Director of Safety

VP Safety / Safety Review Board

Lead Safety Investigator

Safety Manager / Process Owner

VP Safety

Safety Performance Manager

Safety Audit Manager

Systems & Tools

Ideagen IQSMSNASA ASRS Web Submission PortalFAA ASIAS Web PortalTableau Safety BI DashboardTeledyne SSFDR / Airline FOQA Programme

Key Performance Indicators

Capture safety occurrence reportReport submission rate ≥95% of known occurrences within 24 hrs

Classify report type & severity tierClassification accuracy ≥98% validated at quarterly QA review

Determine mandatory regulatory reporting threshold100% of mandatory reports filed within regulatory deadlines (2 hrs / 10 days per FAR 830)

Submit voluntary report to ASAP/NASA ASRSASAP programme participation rate ≥80% of eligible workforce

Initiate mandatory FAA/NTSB notification100% of NTSB immediate notifications within 2 hrs of accident (FAR 830.5)

Assign risk probability & severity matrix scoreRisk assessments completed within 48 hrs of report receipt for Tier 1–2 events

Validate risk score at Safety Review BoardSafety Review Board convenes within 5 business days for red-rated risks

Accept low risk & assign monitoring SPI100% of accepted risks assigned at least one SPI within 5 days

Airline-Specific Risks & Pain Points

Anonymous voluntary reporting culture varies by crew base; under-reporting persists in stations without dedicated Safety Officers

Inconsistent severity tier assignment across regions; IQSMS taxonomy not always aligned with ICAO Annex 13 definitions

Threshold ambiguity for ground damage events under FAR 830.5; legal and safety teams misalign on what constitutes 'substantial damage'

FAA AC 120-66B ASAP MOU must be current; if MOU lapses, regulatory protection for reporters is void — high legal exposure

Coordination latency between Operations Control and Safety when event occurs overnight; on-call Director of Safety pager escalation path not always followed

Risk matrix calibration is subjective; two analysts rating same event can produce divergent scores without standardised anchor examples in IQSMS

Inputs / Outputs

Primary InputObserved hazard, incident, near-miss, or unsafe condition

Primary OutputASIAS submission receipts; SDR filings; MOR (Malfunction or Defect Report) records archived

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