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risk mitigation. Risk management is an integral component of safety management. It involves a logical
process of objective analysis, particularly in the evaluation of the risks.
6.1.3 An overview of the process for risk management is summarized in the flow chart in Figure 6-1.
As the figure indicates, risk management comprises three essential elements: hazard identification, risk
assessment and risk mitigation. The concepts of risk management have equal application in decisionmaking
in flight operations, air traffic control, maintenance, airport management and State administration.
6.2 HAZARD IDENTIFICATION
6.2.1 The concept of hazard identification was introduced in Chapter 5. Given that a hazard may
involve any situation or condition that has the potential to cause adverse consequences, the scope for
hazards in aviation is wide. The following are some examples:
a) Design factors, including equipment and task design;
b) Procedures and operating practices, including their documentation and checklists, and their
validation under actual operating conditions;
6-2 Safety Management Manual (SMM)
Figure 6-1. Risk management process
c) Communications, including the medium, terminology and language;
d) Personnel factors, such as company policies for recruitment, training and remuneration;
e) Organizational factors, such as the compatibility of production and safety goals, the allocation of
resources, operating pressures and the corporate safety culture;
f) Work environment factors, such as ambient noise and vibration, temperature, lighting and the
availability of protective equipment and clothing;
g) Regulatory oversight factors, including the applicability and enforceability of regulations; the
certification of equipment, personnel and procedures; and the adequacy of surveillance audits; and
h) Defences, including such factors as the provision of adequate detection and warning systems, the
error tolerance of equipment and the extent to which the equipment is hardened against failures.
6.2.2 As seen in Chapters 4 and 5, hazards may be recognized through actual safety events
(accidents or incidents), or they may be identified through proactive processes aimed at identifying hazards
before they precipitate an occurrence. In practice, both reactive measures and proactive processes provide
an effective means of identifying hazards.
HAZARD
IDENTIFICATION
RISK ASSESSMENT
Severity / Criticality
RISK ASSESSMENT
Probability of
occurrence
RISK ASSESSMENT
Acceptability
RISK MITIGATION
Identify the hazards to equipment,
property, personnel or the organization
Evaluate the seriousness of the
consequences of the hazard occurring
What are the chances of it happening?
Is the consequent risk acceptable and
within the organization s
safety performance criteria?
’
Accept the risk
Take action to reduce
the risk to
an acceptable level
Yes No
Chapter 6. Risk Management 6-3
6.2.3 Safety events are clear evidence of problems in the system and therefore provide an opportunity
to learn valuable safety lessons. Safety events should therefore be investigated to identify the hazards
putting the system at risk. This involves investigating all the factors, including the organizational factors and
the Human Factors that played a role in the event. Guidance for investigating safety events is included in
Chapter 8. Several proactive methods of hazard identification are discussed in Chapters 16 and 17.
6.2.4 In a mature safety management system, hazard identification should arise from a variety of
sources as an ongoing process. However, there are times in an organization’s life when special attention to
hazard identification is warranted. Safety assessments (discussed in Chapter 13) provide a structured and
systemic process for hazard identification when:
a) there is an unexplained increase in safety-related events or safety infractions;
b) major operational changes are planned, including changes to key personnel or other major
equipment or systems;
c) the organization is undergoing significant change, such as rapid growth or contraction; or
d) corporate merger, acquisition or downsizing is planned.
6.3 RISK ASSESSMENT
6.3.1 Having confirmed the presence of a safety hazard, some form of analysis is required to assess
its potential for harm or damage. Typically, this assessment of the hazard involves three considerations:
a) the probability of the hazard precipitating an unsafe event (i.e. the probability of adverse
consequences should the underlying unsafe conditions be allowed to persist);
b) the severity of the potential adverse consequences, or the outcome of an unsafe event; and
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Safety Management Manual (SMM) 安全管理手册(45)
