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ICAO Safety Management Manual Doc 9859

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The ICAO Safety Management Manual, Third Edition - 2013 (Doc 9859-AN/474) is intended to serve as a source of information and guidance on safety management. The third edition of the ICAO Safety Management Manual (SMM) supersedes the second edition, published in 2009, and the ICAO Accident Prevention Manual (Doc 9422), which is obsolete.

This manual is intended to provide States with guidance on the development and implementation of a State safety programme (SSP), in accordance with the International Standards and Recommended Practices (SARPs) contained in Annex 1 — Personnel Licensing, Annex 6 — Operation of Aircraft, Annex 8 — Airworthiness of Aircraft, Annex 11 — Air Traffic Services, Annex 13 — Aircraft Accident and Incident Investigation and Annex 14 — Aerodromes, Volume I — Aerodrome Design and Operations. It should be noted that SSP provisions will be incorporated into Annex 19 — Safety Management (which was still under development at the time this third edition was published). This manual also provides guidance material for the establishment of safety management system (SMS) requirements by States as well as for SMS development and implementation by affected product and service providers.


The objective of this manual is to provide States with:

  • an overview of safety management fundamentals;
  • a summary of ICAO safety management SARPs contained in Annexes 1, 6, 8, 11, 13 and 14;
  • guidance on how to develop and implement an SSP in compliance with the relevant ICAO SARPs, including a harmonized regulatory framework for the oversight of product and service providers’ SMS; and
  • guidance on SMS development, implementation and maintenance.

To view the Safety Management Applicability Dates provided in ICAO SARPs, click here.


The concept underlying the manual is that of a continuous loop. The manual initially presents basic safety concepts, as the foundation upon which to understand the need for both an SMS and an SSP. The manual then discusses how these safety concepts are embodied in the ICAO SARPs contained in Annexes 1, 6, 8, 11, 13 and 14. The manual thereafter outlines a principled approach to the implementation of an SMS by service providers and the progressive implementation and maintenance of an SSP, with emphasis on the role civil aviation authorities play in supporting SMS implementation by service providers.

This third edition supersedes the second edition, published in 2009; the first edition of the manual was published in 2006.

The Content

Chapter 1 presents an overview of the manual while Chapter 2 discusses the fundamental safety management concepts and processes. Chapter 3 provides a compilation of the ICAO safety management SARPs contained in Annexes 1, 6, 8, 11, 13 and 14. Finally, Chapters 4 and 5 outline a progressive approach to the development, implementation and maintenance of an SSP and an SMS. The last two chapters also contain appendices which provide practical guidance and illustrations.

The Attachment to the manual provides a list of related ICAO guidance material.

Further Reading