updated on 03.28.2015

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ICAO SMS Docs & Resources

• ICAO SMM TriFold Brochure regarding Annex 19 SMS (published June 2013)
ICAO Annex 19 - Safety Management iKit (an online presentation of Annex 19 by ICAO)
• ICAO PowerPoint Brief for Annex 19 Safety Management
• ICAO GASP (Global Aviation Safety Plan) highlights

BEFORE 14 NOVEMBER 2013 The safety management Standards and Recommended Practices (SARPs) are contained in the following Annexes: Annex 1 — Personnel Licensing; Annex 6 — Operation of Aircraft, Part I — International Commercial Air Transport — Aeroplanes, Annex 6 Part II — International General Aviation —Aeroplanes and Annex 6 Part III — International Operations — Helicopters; 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.

FROM 14 NOVEMBER 2013 ONWARDS The overarching safety management provisions of the above Annexes have been transferred into new Annex 19. However, sector specific safety management provisions remain in their specific Annexes. The newly third edition of the SMM – Safety Management Manual (Doc 9859) further supports Annex 19. In addition, further sector specific safety management guidance material can be found in ICAO manuals* supporting each Annex above mentioned.
  1. ICAO SMS website (with guidance materials, SMM 9859 3rd ed.)
    ICAO SMM 3rd Edition (ie. Doc 9859 3rd edition, built upon Annex 19 SMS)
    ICAO SMM 2nd Edition (Doc 9859 2nd edition)
    ICAO SMM 1st Edition (Doc 9859 1st edition)
    ICAO PowerPoint Brief for Annex 19 Safety Management

  2.  iStars website - ICAO Integrated Safety Trend Analysis and Reporting System

  3. ICAO SMS Guidance Material:
         • Attachment A, SSP Framework - Components & Elements
         • Attachment B, SSP Acceptable Level of Safety (ALoS)
         • Attachment C, (Appendix 1 to Chapter 8) Framework for SMS
         • Attachment D, SMS Safety Performance
         • SMS Implementation Plan Gantt Chart (PDF format)

  4. ICAO State letter 27 -- Adoption of Amendment 27 to Annex 6 Part II, April 2008

  5. ICAO SMS Requirements, Annex 6 Part 2

  6. ICAO Safety Oversight Manual - Doc 9734 Part A and ICAO Doc 9734 Part B
    Establishment and Management of a Regional Safety Oversight System

  7. ICAO SMS Requirements: Annex 6, 11 & 14 - EXCERPTS PERTAINING TO SMS

  8. ICAO & FAA SMS PowerPoint "Safety...the Proactive Way" PDF PowerPoint 

  9. ICAO Publications and Resources website  (FAA SMS "Read-Me-First" Document Reference Link -#4)

  10. ICAO SMS TRAINING SITE, handouts & SSP Presentations (FAA SMS "Read-Me-First" Doc Ref. Link -#5)

  11. ICAO FSIX - Flight Safety Information Exchange - provides access to aviation safety related info

  12. ICAO Doc. - U.S. Approach to SMS Implementation:  Commercial Air Operators

  13. ICAO - SMS PowerPoint by Vince Galotti

  14. Guide for Implementation of Airport SMS for South American & Caribbean Islands



ICAO (Annex 6, 11 & 14) SMS Requirements

The International Civil Aviation Organization (ICAO) Standards and Recommended Practices (SARPS) found in Annex 6, Part 2 specify that an SMS requirement be incorporated into national safety regulations for operators of non-commercial aircraft over 12,500 pounds maximum takeoff weight or turbojet powered aircraft. The compliance date for this standard is November 2010. Annex 6 Part 1 of the ICAO SARPS also provides a January 1, 2009 compliance date for implementation of a SMS for commercial operators.  ICAO states, “From 1 January 2009, States shall require as part of their safety programme, that an operator implements a safety management system acceptable to the State of the Operator that, as a minimum:

  • identify safety hazards;

  • ensure that remedial action necessary to maintain an acceptable level of safety is implemented;

  • provides for continuous monitoring and regular assessment of the safety level achieved;

  • aims to make continuous improvement to the overall level of safety”



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