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1.7.4 In particular, this manual is aimed at those personnel who are responsible for designing,
implementing and managing effective safety activities, namely:
a) government officials with responsibilities for regulating the aviation system;
b) management of operational organizations, such as operators, ATS providers, aerodromes and
maintenance organizations; and
c) safety practitioners, such as safety managers and advisers.
1.7.5 Users should find sufficient information herein for the justification, initiation and operation of a
viable SMS.
1.7.6 The manual is not prescriptive. However, based on an understanding of the philosophy,
principles and practices discussed herein, organizations should be able to develop an approach to safety
management suited to their local conditions.
Manual contents
1.7.7 This manual targets a wide audience ranging from State aviation regulators to operators and
service providers. It also aims to address all levels of personnel in these organizations from senior management
to front-line workers. Chapters 1 to 3 contain an introduction to safety management. Chapters 4 to 11
cover the management of safety. Safety management systems are dealt with in Chapters 12 to 15.
Chapters 16 to 19 address applied safety management.
1.7.8 The manual is not designed to be read from the beginning to the end. Rather, users are
encouraged to focus on their areas of interest, depending on their level of knowledge and experience in the
area of aviation safety management.
1.7.9 Throughout this manual, the use of the male gender should be understood to include male and
female persons.
Acknowledgements
1.7.10 In developing this manual, ICAO has drawn heavily on the work, writing and best practices of
many organizations and individuals. While the source of all such material cannot be identified, ICAO would
like to acknowledge, in particular, inputs from the following States: Australia, Canada, New Zealand, the
United Kingdom and the United States; manufacturers: Airbus Industrie and The Boeing Company;
consultants: Integra; service providers: European Organisation for the Safety of Air Navigation
(EUROCONTROL) and the Airports Council International (ACI); private author: Richard W. Wood; and
others: Global Aviation Information Network (GAIN) and Flight Safety Foundation (FSF).
Chapter 1. Overview 1-9
Relationship to other ICAO documents
1.7.11 This manual provides guidance for fulfilling the requirements of the SARPs of Annexes 6, 11,
and 14 with respect to the implementation of safety programmes and SMS. Some of these requirements are
expanded upon in the Procedures for Air Navigation Services — Aircraft Operations (PANS-OPS,
Doc 8168), Procedures for Air Navigation Services — Air Traffic Management (PANS-ATM, Doc 4444), and
the Manual on Certification of Aerodromes (Doc 9774).
1.7.12 The manual should also assist States in the fulfilment of the SARPs of Annex 13 — Aircraft
Accident and Incident Investigation with respect to the investigation of accidents and incidents, including
recommendations to States for the promotion of safety by the analysis of accident and incident data and by
the prompt exchange of safety information.
1.7.13 This manual should also serve as a companion document for other ICAO documents, including:
a) Airworthiness Manual (Doc 9760), which provides guidance for the conduct of a continuing
airworthiness programme;
b) Human Factors Digest No. 16 — Cross-Cultural Factors in Aviation Safety (Cir 302), which presents
the safety case for cross-cultural factors in aviation;
c) Human Factors Guidelines for Aircraft Maintenance Manual (Doc 9824), which provides information
on the control of human error and the development of countermeasures to error in aviation
maintenance;
d) Human Factors Guidelines for Air Traffic Management (ATM) Systems (Doc 9758), which assists
States in the consideration of Human Factors issues when purchasing and implementing CNS/ATMrelated
technology;
e) Human Factors Guidelines for Safety Audits Manual (Doc 9806), which provides guidelines for
preparing for, or conducting, a safety oversight audit that includes consideration of human
performance and limitations;
f) Human Factors Training Manual (Doc 9683), which describes in greater detail much of the
underlying approach to the human performance aspects of safety management in this manual;
g) Line Operations Safety Audit (LOSA) (Doc 9803), which presents information on the control and
management of human error and the development of countermeasures to error in operational
environments;
h) Manual of Aircraft Accident and Incident Investigation (Doc 9756), which provides information and
guidance to States on the procedures, practices and techniques that can be used in aircraft accident
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Safety Management Manual (SMM) 安全管理手册(16)
