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TheConventionissupportedbyeighteenannexescontainingstandardsandrecommended practices(SARPs).TheannexesareamendedregularlybyICAOandareasfollows: *Annex1PersonnelLicensing *Annex2RulesoftheAir *Annex3MeteorologicalServiceforInternationalAirNavigation VolI CoreSARPs VolII AppendicesandAttachments *Annex4AeronauticalCharts *Annex5UnitsofMeasurementtobeusedinAirandGroundOperations *Annex6OperationofAircraft PartIInternationalCommercialAirTransportAeroplanes PartIIInternationalGeneralAviationAeroplanes PartIIIInternationalOperationsHelicopters *Annex7AircraftNationalityandRegistrationMarks *Annex8AirworthinessofAircraft *Annex9Facilitation *Annex10AeronauticalTelecommunications VolI RadioNavigationAids VolII CommunicationProceduresincludingthosewithPANSstatus VolIII CommunicationSystems PartI DigitalDataCommunicationSystems PartII VoiceCommunicationSystems VolIV SurveillanceRadarandCollisionAvoidanceSystems VolV AeronauticalRadioFrequencySpectrumUtilization *Annex11AirTrafficServicesAirTrafficControlService,FlightInformationServiceandAlertingService *Annex12SearchandRescue *Annex13AircraftAccidentandIncidentInvestigation *Annex14Aerodromes VolI AerodromeDesignandOperations VolII Heliports *Annex15AeronauticalInformationServices *Annex16EnvironmentalProtection VolI AircraftNoise VolII AircraftEngineEmissions *Annex17Security:SafeguardingInternationalCivilAviationAgainstActsofUnlawfulInterference *Annex18TheSafeTransportofDangerousGoodsbyAir *FutureICAORequirements USACompliance: Annex6,11,13,14: Expected:19November2009 Annex1,8: Expected:18November2010
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DEFINITIONS:
ICAO SARPs SMS
ICAO SMS MINIMUM REQUIREMENTS: InternationalCivilAviationOrganization 1. Identifysafetyhazards; StandardsandRecommendedPractices 2. Ensurethatremedialactionnecessarytomaintainanacceptablelevelof SafetyManagementSystem:Asystematicapproachtomanaging safetyisimplemented; safety,includingthenecessaryorganizationalstructures, 3. Provideforcontinuousmonitoringandregularassessmentofthesafety accountabilities,policiesandprocedures. levelachieved; SafetyProgramme:Anintegratedsetofregulationsandactivitiesaimedat 4. Aimtomakecontinuousimprovementtotheoveralllevelofsafety. improvingsafety. InNovember2006,theInternationalCivilAviationOrganization(ICAO)amendedAnnex14,VolumeI(AirportDesignandOperations)torequirememberstates tohavecertificatedinternationalairportsestablishaSafetyManagementSystem(SMS).InFebruary2007,theFAAreleasedAdvisoryCircular150/520037which beginstheprocessofintroducingSMSintotheU.S.airportcommunity.TheFAAintendstoproposenewrulestoPart139in2009.FAAsplanforthefuture, NGATS (Next Generation Air Transportation System), requires SMS as an integral component. The FAA has worked closely with ICAO in developing SMS evidencedthroughvariousICAOandU.S.FAAdocumentation.7December2007,ICAOStateLetterAN12/5107/74sentoutaproposalfortheamendment ofAnnex1,6(PartsIandIII),8,11,13and14(Vol.1)toharmonizeandextendprovisionsrelatingtosafetymanagementincludedextendingthedateforSMS implementationto19November2009.TheCommissionenvisagesaseparateapplicabilitydateof18Nove3mber2010fortheproposedprovisionsinAnnex1 andAnnex8.
ICAO ANNEX 6
3.2 3.2.1 3.2.2 Safetymanagement States shall establish a safety programme, in order to achieve an acceptablelevelofsafetyintheoperationofaircraft. The acceptable level of safety to be achieved shall be established bytheState(s)concerned.Note:Guidanceonsafetyprogrammesis containedintheICAOSafetyManagementManual(Doc9859)and the definition of acceptable levels of safety in Attachment E to Annex11. From 1 January 2009 19 November 2009 States shall require as part of their safety programme, that an operator implements a safetymanagementsystemacceptabletotheStateoftheOperator that, as a minimum: a) identifies safety hazards; b) ensures that remedialactionnecessarytomaintainanacceptablelevelofsafety isimplemented;c)providesforcontinuousmonitoringandregular assessment of the safety level achieved; and d) aims to make continuousimprovementtotheoveralllevelofsafety. A safety management system shall clearly define lines of safety accountability throughout the operators organization, including a directaccountabilityforsafetyonthepartofseniormanagement. 3.2.7 An operator of an aeroplane of a maximum certificated takeoff massinexcessof27000kgshallestablishandmaintainaflightdata analysis programme as part of its safety management system. Note: An operator may contract the operation of a flight data analysis programme to another party while retaining overall responsibilityforthemaintenanceofsuchaprogramme. Aflightdataanalysisprogrammeshallbenonpunitiveandcontain adequatesafeguardstoprotectthesource(s) ofthe data.Note1: Guidance on flight data analysis programmes is contained in the ICAO Safety Management Manual (Doc 9859). Note 2: Legal guidance for the protection of information from safety data collection and processing systems is contained in Annex 13, AttachmentE. An operator shall establish a flight safety documents system, for theuseandguidanceofoperationalpersonnelaspartofitssafety management system Note: Guidance on the development and organization of a flight safety documents system is provided in Attachment H.
3.2.8
3.2.4
3.2.9
3.2.5
8.7.4.1
8.7.3.4
8.7.4.2
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2.26.2
2.26.4
States shall implement systematic and appropriate ATS safety management programmes to ensure that safety is maintained in theprovisionofATSwithinairspacesandataerodromes. States shall establish the acceptable level of safety and safety objectives applicable to the provision of ATS within their airspace andattheiraerodromes. States shall identify actual and potential hazards and determine the need for remedial action, ensure that remedial action necessary to maintain an acceptable level of safety is implemented, and provide for continuous monitoring and regular assessmentofthesafetylevelachieved.
1.4.2
1.5.3
1.4.3 1.4.4
1.5.4
1.5.1
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