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Safety Management Manual (SMM) - Aviation EXplorer

Doc 9859 AN/474 Fourth Edition 2017 International Civil Aviation Organization Safety Management Manual (SMM) Notice to Users This document is an unedited advance version of an ICAO publication as approved, in principle, by the Secretary General, which is made available for convenience. The final edited version may still undergo alterations in the process of editing. Consequently, ICAO accepts no responsibility or liability of any kind should the final text of this publication be at variance with that appearing here. Fourth edition 2017 ICAO 2017 All rights reserved. No part of this publication may be reproduced, stored in a retrieval system or transmitted in any form or by any means, without prior permission in writing from the International Civil Aviation Organization. Safety Management Manual (SMM) AMENDMENTS Amendments are announced in the supplements to the Catalogue of ICAO Publications; the Catalogue and its supplements are available on the ICAO website at The space below is provided to keep a record of such amendments.

These two levels of safety management interact to drive the continuous improvement of safety performance for the aviation system of a State that consequently contributes to the overall improvement of global aviation safety. Safety Management Implementation Website . This 4th edition of the SMM is complemented by the ICAO Safety Management website

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Transcription of Safety Management Manual (SMM) - Aviation EXplorer

1 Doc 9859 AN/474 Fourth Edition 2017 International Civil Aviation Organization Safety Management Manual (SMM) Notice to Users This document is an unedited advance version of an ICAO publication as approved, in principle, by the Secretary General, which is made available for convenience. The final edited version may still undergo alterations in the process of editing. Consequently, ICAO accepts no responsibility or liability of any kind should the final text of this publication be at variance with that appearing here. Fourth edition 2017 ICAO 2017 All rights reserved. No part of this publication may be reproduced, stored in a retrieval system or transmitted in any form or by any means, without prior permission in writing from the International Civil Aviation Organization. Safety Management Manual (SMM) AMENDMENTS Amendments are announced in the supplements to the Catalogue of ICAO Publications; the Catalogue and its supplements are available on the ICAO website at The space below is provided to keep a record of such amendments.

2 AMENDMENTS CORRIGENDA No. Date Entered by No. Date Entered by ICAO Doc 9859 Safety Management Manual Edition 4 Last Saved: 05/06/2017 17:31:00 Page 3 of 149 Draft version: Safety Management Manual EXECUTIVE SUMMARY Summary of SMM Ed4 content to be completed after the Peer Review Xxxx _____ ICAO Doc 9859 Safety Management Manual Edition 4 Last Saved: 05/06/2017 17:31:00 Page 4 of 149 Draft version: FOREWORD The Standards and Recommended Practices (SARPs) in Annex 19 - Safety Management and the guidance provided in this ICAO Safety Management Manual (SMM) (Doc 9859) are intended to support States in fulfilling their obligations regarding the Convention through the Management of Aviation Safety risks.

3 Annex 19 and this Manual support the continued evolution of a proactive strategy to improve Safety performance. The foundation of this proactive Safety strategy is based on the implementation of State Safety Programmes (SSP), which includes ensuring service providers to implement Safety Management Systems (SMS), to systematically address Safety risks. This fourth edition of the SMM supersedes the third edition, published in May 2013, in its entirety. Purpose and objectives The purpose of the SMM is to provide States and service providers with guidance when implementing or maintaining Safety Management in their organisation in accordance with the SARPs in ICAO Annex 19. The objectives of this Manual are to assist States to: transition towards a performance-based approach to Safety ; put in place mechanisms for the protection of Safety information; and achieve the objectives outlined in the GASP.

4 Indirectly the Manual should also support service providers in their transition towards a performance-based approach to Safety while delivering their product and/or service. Note 1. In this Manual , the use of the male gender should be understood to include both male and female persons. Scope and exclusions The scope of this 4th edition of the SMM includes: Safety Management guidance for all States, regardless of size or complexity; Safety Management guidance for service providers required to implement SMS in Annex 19 regardless of size or complexity; and Safety Management guiding principles that may be applied to Aviation activities outside of the applicability of Annex 19. The following are excluded from the scope the 4th edition of the SMM: Guidance to support sector-specific Safety Management SARPs found outside of Annex 19 ( flight data analysis programmes); Guidance on the conduct of independent State accident and serious incident investigations.

5 Intended audiences The intended audiences for the SMM are: States. In particular: Senior managers with a role in Aviation Safety , Safety managers, Safety auditors, Safety analysts from Civil Aviation Authorities (CAA) and Departments/Ministries of Transport; and Service providers. In particular, accountable executives, Safety managers, internal Safety auditors, Safety investigators and Safety analysts. ICAO Doc 9859 Safety Management Manual Edition 4 Last Saved: 05/06/2017 17:31:00 Page 5 of 149 Draft version: Manual Structure The SMM is divided into three parts. Each part is divided into chapters. The Manual structure intends to progressively build the reader s understanding of Safety Management . From background information, to key underpinning concepts to guidance on Safety Management implementation. Part I Introduction and background: Introduces the reader to the concept of Safety Management and explains the background, benefits and history of ICAO Safety Management development.

6 This part provides the reader with fundamental information underpinning Safety Management practice, such as: accident causation, practical drift and Safety risk Management . Safety culture is covered in detail in a separate chapter because of its importance as an enabler to effective Safety Management implementation. Part II Developing Safety intelligence: Part II comprises three important and interrelated topics about Safety data and Safety information. Part II begins with an important chapter about protection of Safety data, Safety information and related sources which is important to ensure its continued availability. A chapter follows this on Safety performance Management that provides the direction for Safety Management activities. Part II culminates by introducing and explaining data driven decision-making, and how this concept is leveraging the data collected to empower Aviation leaders.

7 Part III Effective Safety Management : Provides specific guidance on implementing Safety Management on two levels: o for States to fulfil their Safety Management obligations through the implementation of a State Safety programme (SSP); and o related to the implementation of SMS by service providers. States should use the guidance on the process for accepting the SMS of a service provider found in both chapters in Part III. These two levels of Safety Management interact to drive the continuous improvement of Safety performance for the Aviation system of a State that consequently contributes to the overall improvement of global Aviation Safety . Safety Management Implementation Website This 4th edition of the SMM is complemented by the ICAO Safety Management website ( ).

8 The website was established to address a recommendation stemming from the second High-level Safety Conference held in 2015 requesting ICAO to establish a mechanism for the sharing of best practices related to Safety Management . The website includes some of the examples and tools from the third edition of the SMM with additional practical examples, tools, and supporting educational material to be collected, reviewed and posted on an ongoing basis. A summary of the major changes between the fourth edition and the third edition of the SMM is also posted on the website. Comments on this Manual , particularly with regard to its application and usefulness, would be appreciated from all States, Safety oversight audit missions and ICAO technical cooperation field missions. These will be taken into consideration in the preparation of subsequent editions.

9 Comments should be addressed to: The Secretary General International Civil Aviation Organization 999 Robert-Bourassa Boulevard Montr al, Quebec H3C 5H7 Canada ICAO Doc 9859 Safety Management Manual Edition 4 Last Saved: 05/06/2017 17:31:00 Page 6 of 149 Draft version: Intentionally Left Blank ICAO Doc 9859 Safety Management Manual Edition 4 Last Saved: 05/06/2017 17:31:00 Page 7 of 149 Draft version: TABLE OF CONTENTS Page EXECUTIVE SUMMARY 3 Foreword 4 Acronyms and abbreviations 9 Related ICAO publications 11 Glossary 14 PART I. INTRODUCTION AND BACKGROUND 16 Chapter 1. Introduction 17 What is Safety Management ? Annex 19 Safety Management Safety Management applicability Implementing Safety Management Integrated risk Management Chapter 2. Safety Management fundamentals 26 Concept of Safety and its evolution Accident causation Management dilemma Safety risk Management Chapter 3.

10 Safety culture 45 Introduction Safety culture maturity Promoting a positive Safety culture Safety culture and national culture Safety culture and Safety reporting Promotion and assessment of a positive Safety culture PART II. DEVELOPING Safety INTELLIGENCE 52 Chapter 1. Protection of Safety data, Safety information and related sources 53 Objectives and contents Fundamental principles Scope of protection Level of protection Principle of protection Principle of exception Public disclosure Protection of recorded data Safety information sharing and exchange Chapter 2. Safety performance Management 69 Introduction Phases of Safety performance Management Safety objectives Safety performance indicators Safety performance targets Chapter 3. Data-driven decision making 78 Introduction ICAO Doc 9859 Safety Management Manual Edition 4 Last Saved: 05/06/2017 17:31:00 Page 8 of 149 Draft version: Definitions of data and information Data-driven decision making Advantages of data-driven decision making Common challenges The data-driven decision making process Data Management Safety information sharing and exchange PART III.


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