Safety Management System (SMS): Comprehensive Aviation Glossary

Definition

A Safety Management System (SMS) is an organizational framework based on international standards, designed to systematically manage safety through structured processes, policies, and documentation. In aviation, SMS is mandated by the International Civil Aviation Organization (ICAO) via Annex 19 and by national regulators such as the Federal Aviation Administration (FAA). SMS is not just a program or checklist—it is a holistic, organization-wide approach integrating proactive hazard identification, risk assessment, safety assurance, and continual improvement. SMS frameworks are required for airlines, airports, air navigation service providers, maintenance organizations, and ground handlers, and are scalable to fit organizations of any size.

Core Components

Systematic Approach

SMS employs a systematic, repeatable method for managing safety activities throughout an organization. This means embedding safety risk management into daily operations and strategic planning. The Plan-Do-Check-Act (PDCA) cycle is central, ensuring that safety activities are planned, implemented, monitored, and revised for continuous improvement.

Safety Risk Management (SRM)

SRM is the process for identifying hazards, analyzing and assessing associated risks, and implementing measures to control or mitigate those risks. This involves:

• Hazard identification: Using reporting, surveys, and data analysis.
• Risk assessment: Evaluating likelihood and severity using risk matrices.
• Risk mitigation: Developing and implementing controls, with regular review of effectiveness.

Safety Assurance

SMS requires ongoing verification that risk controls are effective and that the system itself meets its safety goals. This includes:

• Safety performance monitoring (using safety performance indicators)
• Internal and external audits
• Investigation of incidents and tracking corrective actions
• Continuous feedback into the SRM process

Safety Promotion

Safety promotion builds a positive safety culture through:

• Training for all roles
• Safety communication (newsletters, briefings, lessons learned)
• Leadership engagement in safety initiatives
• Recognition of proactive safety behavior

Safety Policy and Objectives

The foundation of an SMS is a formal, management-endorsed safety policy declaring commitment to safety and compliance. Safety objectives are:

• Measurable and integrated into business planning
• Supported by resource allocation and documentation
• Linked to assigned responsibilities and the appointment of key safety personnel
• Supported by an Emergency Response Plan (ERP)

Hazard Identification

Hazard identification is a continuous process, relying on multiple sources:

• Reporting systems (voluntary/mandatory)
• Inspections and audits
• Flight data and surveys
• Employee feedback

Hazards can include weather, equipment failures, human factors, or procedural gaps. All hazards are documented and tracked for further risk assessment.

Risk Assessment and Mitigation

Using standardized risk matrices, organizations assess the likelihood and severity of hazards, prioritize them, and develop mitigation strategies, such as:

• Engineering changes
• Procedural updates
• Training enhancements

Each mitigation is tracked, reviewed, and adjusted as needed.

Continuous Improvement

SMS is built on the principle of continuous improvement. Through:

• Regular review of safety performance indicators
• Analysis of audit findings
• Feedback from staff and stakeholders

Organizations adapt and refine their safety processes, learning from experience and benchmarking against industry best practices.

The 12 Elements of SMS

Practical Application and Use Cases

In Aviation:
Airlines use SMS to manage risks across all operations. Hazard reporting systems are accessible, root cause analysis is standard after incidents, and safety data is aggregated and analyzed for trends. Regular audits and tailored training programs support ongoing safety improvement.

Other Industries:
SMS frameworks are also used in transportation, construction, and manufacturing—to manage risks, conduct emergency drills, and oversee hazard reporting and corrective actions.

Implementation Steps

1. Secure Management Commitment: Top leadership must endorse the safety policy and allocate resources.
2. Define Roles and Responsibilities: Assign clear safety roles and appoint key personnel.
3. Develop SMS Documentation: Create manuals, procedures, and hazard logs.
4. Conduct Hazard Identification and Risk Assessment: Engage staff in identifying hazards.
5. Implement Risk Controls: Apply and integrate effective controls.
6. Monitor Safety Performance: Track indicators and conduct audits.
7. Promote Safety Awareness: Ongoing training and communication.
8. Review and Improve: Use feedback to refine SMS processes.

Regulatory and Standards Context

• ICAO Annex 19: Sets global SMS requirements for all member states.
• FAA 14 CFR Part 5: Mandates SMS for U.S. aviation service providers.
• ISO 45001: International standard for occupational health and safety management.
• IATA Operational Safety Audit (IOSA): Reinforces SMS for airlines.

Compliance is assessed through audits and regulatory oversight.

SMS Glossary Terms

Further Reading

• ICAO Safety Management Manual (Doc 9859)
• FAA Safety Management System (14 CFR Part 5)
• IATA Safety Management System Resources

Conclusion

A robust Safety Management System is fundamental for safe, efficient, and resilient aviation operations. By combining leadership commitment, risk management, continuous learning, and a strong safety culture, SMS helps organizations proactively address hazards, meet regulatory requirements, and achieve operational excellence.