SAFETY MANAGEMENT

MANUAL (SMM), 4th ED

HIGHLIGHTS
 Evolution of SMM 2018

2013
SMM 4th
edition
SMM 3rd
2009 edition

SMM 2nd
edition
2006
16 key
SMM 1st differences
edition

The advance unedited version of the 4th edition of the SMM is available for download from ICAO-NET
Update was initiated

 To address the changes introduced by Annex 19,

amendment 1 adopted on 2 March 2016

 To reflect the knowledge and experience gained

since the last revision

Effective from Applicable from

11 July 2016 7 November 2019
 KEY DIFFERENCE 1

Fewer Pages 300

254 pages
 Less prescriptive to support tailoring to
the needs and operational context of 200
each organization 170 pages
 More focused on the intended
outcomes of each activity and process
to support effective implementation 100

0
SMM 3rd SMM 4th
 KEY DIFFERENCE 2

Complementary Safety Management Implementation (SMI)

public website (www.icao.int/SMI)
 Many examples and tools from
the 3rd edition of SMM updated
and moved (not lost!!) to the
SMI website
 Additional examples and tools
will be collected, validated and
posted on the SMI public
website
 Free e-book version of advance
unedited SMM included!!!
 KEY DIFFERENCE 3

SSP and SMS commensurate with the size and complexity

 General guidance on scalability contained in
Chapter 1
 The guidance has been updated with a focus on
intended outcomes and performance in order to
achieve effective implementation.
 “Commensurate with size and complexity” better
explained and to be supported and by additional
practical examples and tools on the SMI public
website (www.icao.int/SMI)
 KEY DIFFERENCE 4

New Structure
CHAPTER 1 - Introduction Safety management
CHAPTER 2 - Safety management fundamentals fundamentals
CHAPTER 3 - Safety culture
CHAPTER 4 - Safety performance management
CHAPTER 5 - Safety data collection and processing systems Developing safety
CHAPTER 6 - Safety analysis intelligence
CHAPTER 7 - Protection of safety data, safety information
and related sources
CHAPTER 8 - State safety management Safety management
CHAPTER 9 - Safety management systems implementation
 KEY DIFFERENCE 5

The benefits of safety management

 Expected benefits of safety management are

highlighted

 To support a clear understanding of what

safety management, effectively
implemented, can achieve
 KEY DIFFERENCE 6

The scope and applicability of safety

management provisions
 Expanded introduction to address the scope
of safety management provisions and their
applicability

 Extension of discretionary SMS applicability

newly added

 Guidance on applicability for State-owned

or military aviation service providers
 KEY DIFFERENCE 7

Integrated Risk Management

 Introduction of the notion of integrated risk
management in Chapter 1 to create awareness of
the impact other domains have on the
management of safety risk and vice versa

 Importance of focus on overall risk reduction for

the organization (State or service provider)
 KEY DIFFERENCE 8

Entire chapters devoted to Safety culture and the Protection of

safety data, safety information and related sources
 Guidance on the promotion of  Basic principles governing the protection of
a positive safety culture safety data and safety information, and
guidance for the implementation
 KEY DIFFERENCE 9

Safety oversight CEs integrated with SSP elements

 Chapter 8 – State Safety Management

Responsibilities reflects the SSP with the State
safety oversight (SSO) system critical
elements (CEs) as the foundation of SSP

 The CEs are integrated throughout the

components as shown on the next slide

 The term “framework” is no longer used in

reference to SSP
Integrated State Safety Programme
 KEY DIFFERENCE 10

SSP Safety Promotion

 Due to the integration of the SSP elements with the SSO
system, the State Safety Promotion Component is now
focused on internal/external communication and
dissemination of information
 Internal training of State personnel involved in the
implementation of SSP is covered under Component 1
which now includes “Resources” in the title
 External training for industry is considered the
responsibility of industry and is addressed under
Component 2, Safety risk management as part of the
acceptance of the SMS
 KEY DIFFERENCE 11

Training Needs Analysis (TNA)

 General guidance on performing a Training Needs

Analysis in Chapter 9 for service providers, but can
also be used for States to develop inspector
competencies
 Training topics for accountable executives and
senior managers are provided
 KEY DIFFERENCE 12

System description and interfaces System

description

 General guidance on importance of a system description and

identifying and managing interfaces contained in Chapter 1
Identification
of interfaces
 Specific guidance directed at States under SSP
Implementation in Chapter 8
Assessing
 Specific guidance directed at service providers under SMS safety impact
of interfaces
Implementation in Chapter 9

Managing and
monitoring
interfaces
 KEY DIFFERENCE 13

Safety objectives and Safety performance

 Strengthened link between safety objectives and

safety performance in Chapters 4, 8 and 9

 More flexibility in how the safety performance

framework is defined
 KEY DIFFERENCE 14

Acceptable Level of Safety Performance (ALoSP)

 Specific guidance for States under State Safety
Performance section in Chapter 8. CONTEXT
 The linkage between ALoSP and safety performance OBJECTIVES
management activities of service providers is explained SPIs & SPTs
 ALoSP represents an agreement between all the State ALoSP
aviation authorities of the expected level of safety
performance that the aviation system should deliver agreed
 KEY DIFFERENCE 15

Management of change
 Enhanced guidance on Management of Change in
Chapters 8 and 9 for States and service providers,
respectively
 KEY DIFFERENCE 16

Integration of management systems

 Enhanced guidance on the integration of

management systems, including the
integration of SMS and QMS in Chapter 9
THANK YOU!