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d) the degree to which the inherent risks in aviation are “acceptable”;
e) the process of hazard identification and risk management; and
f) the control of accidental loss (of persons and property, and damage to the environment).
1.2.2 While the elimination of accidents (and serious incidents) would be desirable, a one hundred per
cent safety rate is an unachievable goal. Failures and errors will occur, in spite of the best efforts to avoid
them. No human activity or human-made system can be guaranteed to be absolutely safe, i.e. free from risk.
Safety is a relative notion whereby inherent risks are acceptable in a “safe” system.
1.2.3 Safety is increasingly viewed as the management of risk. Thus, for the purposes of this manual,
safety is considered to have the following meaning:
Safety is the state in which the risk of harm to persons or of property damage is reduced
to, and maintained at or below, an acceptable level through a continuing process of
hazard identification and risk management.
1-2 Safety Management Manual (SMM)
1.3 NEED FOR SAFETY MANAGEMENT
1.3.1 Although major air disasters are rare events, less catastrophic accidents and a whole range of
incidents occur more frequently. These lesser safety events may be harbingers of underlying safety
problems. Ignoring these underlying safety hazards could pave the way for an increase in the number of
more serious accidents.
1.3.2 Accidents (and incidents) cost money. Although purchasing “insurance” can spread the costs of
an accident over time, accidents make bad business sense. While insurance may cover specified risks,
there are many uninsured costs. In addition, there are less tangible (but no less important) costs such as the
loss of confidence of the travelling public. An understanding of the total costs of an accident is fundamental
to understanding the economics of safety.
1.3.3 The air transportation industry’s future viability may well be predicated on its ability to sustain the
public’s perceived safety while travelling. The management of safety is therefore a prerequisite for a
sustainable aviation business.
1.4 ICAO REQUIREMENTS
1.4.1 Safety has always been the overriding consideration in all aviation activities. This is reflected in
the aims and objectives of ICAO as stated in Article 44 of the Convention on International Civil Aviation
(Doc 7300), commonly known as the Chicago Convention, which charges ICAO with ensuring the safe and
orderly growth of international civil aviation throughout the world.
1.4.2 In establishing States’ requirements for the management of safety, ICAO differentiates between
safety programmes and safety management systems (SMS) as follows:
• A safety programme is an integrated set of regulations and activities aimed at improving safety.
• A safety management system (SMS) is an organized approach to managing safety, including the
necessary organizational structures, accountabilities, policies and procedures.
1.4.3 ICAO’s Standards and Recommended Practices (SARPs) (see the following Annexes to the
Convention on International Civil Aviation: Annex 6 — Operation of Aircraft, Part I — International
Commercial Air Transport — Aeroplanes, and Part III — International Operations — Helicopters; Annex 11
— Air Traffic Services; and Annex 14 — Aerodromes) require that States establish a safety programme to
achieve an acceptable level of safety in aviation operations. The acceptable level of safety shall be
established by the State(s) concerned. While the concept of safety programmes and SMS is restricted to
Annexes 6, 11 and 14 at present, it is possible that the concept will be expanded to include additional
operational Annexes in the future.
1.4.4 A safety programme will be broad in scope, including many safety activities aimed at fulfilling the
programme’s objectives. A State’s safety programme embraces those regulations and directives for the
conduct of safe operations from the perspective of aircraft operators and those providing air traffic services
(ATS), aerodromes and aircraft maintenance. The safety programme may include provisions for such
diverse activities as incident reporting, safety investigations, safety audits and safety promotion. To
implement such safety activities in an integrated manner requires a coherent SMS.
1.4.5 Therefore, in accordance with the provisions of Annexes 6, 11 and 14, States shall require that
individual operators, maintenance organizations, ATS providers and certified aerodrome operators
implement SMS accepted by the State. As a minimum, such SMS shall:
Chapter 1. Overview 1-3
a) identify safety hazards;
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Safety Management Manual (SMM) 安全管理手册(12)
