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j) the flying public.
1.5.2 Major aviation safety occurrences invariably involve additional groups which may not always
share a common objective in advancing aviation safety, for example:
a) next of kin, victims, or persons injured in an accident;
b) insurance companies;
c) travel industry;
d) safety training and educational institutions (e.g. FSF);
e) other government departments and agencies;
f) elected government officials;
g) investors;
h) coroners and police;
i) media;
j) general public;
k) lawyers and consultants; and
l) diverse special interest groups.
1.6 APPROACHES TO SAFETY MANAGEMENT
1.6.1 With global aviation activity forecast to continue to rise, there is concern that traditional methods
for reducing risks to an acceptable level may not be sufficient. New methods for understanding and
managing safety are therefore evolving.
1.6.2 Safety management may therefore be considered from two different perspectives — traditional
and modern.
Traditional perspective
1.6.3 Historically, aviation safety focused on compliance with increasingly complex regulatory
requirements. This approach worked well up until the late 1970s when the accident rate levelled off.
Accidents continued to occur in spite of all the rules and regulations.
1.6.4 This approach to safety reacted to undesirable events by prescribing measures to prevent
recurrence. Rather than defining best practices or desired standards, such an approach aimed at ensuring
minimum standards were met.
Chapter 1. Overview 1-7
1.6.5 With an overall fatal accident rate in the vicinity of 10–6 (i.e. one fatal accident per one million
flights), further safety improvements were becoming increasingly difficult to achieve using this approach.
Modern perspective
1.6.6 In order to keep safety risks at an acceptable level with the increasing levels of activity, modern
safety management practices are shifting from a purely reactive to a more proactive mode. In addition to a
solid framework of legislation and regulatory requirements based on ICAO SARPs, and the enforcement of
those requirements, a number of other factors, some of which are listed below, are considered to be
effective in managing safety. It must be emphasized that this approach complements, or is in addition to, the
obligations of States and other organizations to comply with ICAO SARPs and/or national regulations.
a) application of scientifically-based risk management methods;
b) senior management’s commitment to the management of safety;
c) a corporate safety culture that fosters safe practices, encourages safety communications and
actively manages safety with the same attention to results as financial management;
d) effective implementation of standard operating procedures (SOPs), including the use of checklists
and briefings;
e) a non-punitive environment (or just culture) to foster effective incident and hazard reporting;
f) systems to collect, analyse and share safety-related data arising from normal operations;
g) competent investigation of accidents and serious incidents identifying systemic safety deficiencies
(rather than just targets for blame);
h) integration of safety training (including Human Factors) for operational personnel;
i) sharing safety lessons learned and best practices through the active exchange of safety information
(among companies and States); and
j) systematic safety oversight and performance monitoring aimed at assessing safety performance
and reducing or eliminating emerging problem areas.
1.6.7 No single element will meet today’s expectations for risk management. Rather, an integrated
application of most of these elements will increase the aviation system’s resistance to unsafe acts and
conditions. However, even with effective safety management processes, there are no guarantees that all
accidents can be prevented.
1.7 USING THIS MANUAL
Purpose
1.7.1 The purpose of this manual is to assist States in fulfilling the requirements of Annexes 6, 11
and 14 with respect to the implementation of SMS by operators and service providers.
1-8 Safety Management Manual (SMM)
Target audience
1.7.2 The methods and procedures described in this manual have been compiled from experience
gained in the successful development and management of aviation safety activities by aviation operators,
ATS providers, aerodromes and maintenance organizations. In addition, the manual embodies best
practices from sources such as governments, manufacturers and other reputable aviation organizations.
1.7.3 Application of the guidance material herein is not limited to operational personnel. Rather, it
should be relevant to the full spectrum of stakeholders in safety, including senior management.
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Safety Management Manual (SMM) 安全管理手册(15)
