Approved by and published under the authority of the Secretary GeneralINTERNATIONAL CIVIL AVIATION ORGANIZATIONDoc 9859Safety Management Manual Fourth Edition, 2018
Published in separate English, Arabic, Chinese, French, Russian and Spanish editions by the INTERNATIONAL CIVIL AVIATION ORGANIZATION 999 Robert-Bourassa Boulevard, Montral, Quebec, Canada H3C 5H7 For ordering information and for a complete listing of sales agents and booksellers, please go to the ICAO website at www.icao.int First edition, 2006 Third edition, 2013 Fourth edition, 2018 Doc 9859, Safety Management Manual Order Number 9859 ISBN 978-92-9258-552-5 ICAO 2018 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.
iii FOREWORD This fourth edition of the Safety Management Manual SMM supersedes the third edition, published in May 2013, in its entirety. The development of this edition was initiated after the adoption of Amendment 1 to Annex 19 to address the changes introduced by the amendment and to reflect the knowledge and experience gained since the last revision. To address the needs of the diverse aviation community implementing safety management and a recommendation stemming from the second High-level Safety Conference held in 2015, the Safety Management Implementation SMI website www.icao.int/SMI has been developed to complement the SMM and serves as a repository for the sharing of best practices. Practical examples, tools, and supporting educational material will be collected, reviewed and posted on the website on an ongoing basis. This edition is intended to support States in implementing effective State safety programmes SSP. This includes ensuring that service providers implement safety management systems SMS in accordance with the provisions of Annex 19. In order to be consistent with Safety management principles, a concerted effort has been made to focus on the intended outcome of each Standard and Recommended Practice SARP, purposely avoiding being overly prescriptive. Emphasis has been placed on the importance of each organization tailoring the implementation of safety management to fit their specific environment. Note 1. In this manual, the term organization is used to refer to both States and service providers. Note 2. In this manual, the term service provider is used to refer to an aviation industry organization implementing SMS whether on a mandatory or voluntary basis, unlike Annex 19 which uses the term to refer to a very specific list of organizations found in Chapter 3, which excludes international general aviation operators. The fourth edition is divided into nine chapters which progressively build the readers understanding of safety management. These chapters can be grouped under the following three themes 1 Safety management fundamentals Chapters 1 to 3 build the readers understanding of the fundamental principles underpinning safety management.
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