ATC Vantage ICAO SMS Annex Requirements

8/6/2019 ATC Vantage ICAO SMS Annex Requirements

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ATCAdvantage 23October2008 ExcerptsfromICAOAnnexes6,11and14 Page|1

ICAO Standards and Recommended Practices - SARPs

TheConventionissupportedbyeighteenannexescontainingstandardsandrecommended

practices(SARPs).TheannexesareamendedregularlybyICAOandareasfollows:

*Annex1 PersonnelLicensing

*Annex2 RulesoftheAir

*Annex3 MeteorologicalServiceforInternationalAirNavigation

VolI CoreSARPs

VolII AppendicesandAttachments

*Annex4 AeronauticalCharts

*Annex5 UnitsofMeasurementtobeusedinAirandGroundOperations

*Annex6 OperationofAircraft

PartI InternationalCommercialAirTransport Aeroplanes

PartII InternationalGeneralAviation Aeroplanes

PartIII InternationalOperations Helicopters

*Annex7 AircraftNationalityandRegistrationMarks

*Annex8 AirworthinessofAircraft

*Annex9 Facilitation

*Annex10 AeronauticalTelecommunications

VolI RadioNavigationAids

VolII CommunicationProceduresincludingthosewithPANSstatus

VolIII CommunicationSystems

PartI DigitalDataCommunicationSystems

PartII VoiceCommunicationSystems

VolIV SurveillanceRadarandCollisionAvoidanceSystems

VolV AeronauticalRadioFrequencySpectrumUtilization

*Annex11 AirTrafficServices AirTrafficControlService,FlightInformationServiceandAlertingService

*Annex12 SearchandRescue

*Annex13 AircraftAccidentandIncidentInvestigation

*Annex14 Aerodromes

VolI AerodromeDesignandOperations

VolII Heliports

*Annex15 AeronauticalInformationServices

*Annex16 EnvironmentalProtection

VolI AircraftNoise

VolII AircraftEngineEmissions

*Annex17 Security:SafeguardingInternationalCivilAviationAgainstActsofUnlawfulInterference

*Annex18 TheSafeTransportofDangerousGoodsbyAir

* FutureICAORequirements

USACompliance: Annex6,11,13,14: Expected:19November2009

Annex1,8: Expected:18November2010


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ICAO SARPS SMS Requirements

DEFINITIONS:ICAO InternationalCivilAviationOrganization

SARPs StandardsandRecommendedPractices

SMS SafetyManagementSystem: Asystematicapproachtomanaging

safety,includingthenecessaryorganizationalstructures,

accountabilities,policiesandprocedures.

SafetyProgramme: Anintegratedsetofregulationsandactivitiesaimedat

improvingsafety.

ICAOSMSMINIMUM REQUIREMENTS:1. Identifysafetyhazards;2.Ensurethatremedialactionnecessarytomaintainanacceptablelevelof

safetyisimplemented;

3.Provideforcontinuousmonitoringandregularassessmentofthesafetylevelachieved;

4.Aimtomakecontinuousimprovementtotheoveralllevelofsafety.

InNovember2006,theInternationalCivilAviationOrganization(ICAO)amendedAnnex14,VolumeI(AirportDesignandOperations)torequirememberstates

tohavecertificatedinternationalairportsestablishaSafetyManagementSystem(SMS).InFebruary2007,theFAAreleasedAdvisoryCircular150/520037which

beginstheprocessof introducingSMS intotheU.S.airportcommunity.TheFAA intendstoproposenewrulestoPart139 in2009.FAAsplanforthefuture,

NGATS (NextGenerationAir Transportation System), requires SMS as an integral component. The FAAhasworked closelywith ICAO indeveloping 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 Safetymanagement

3.2.1 States shallestablisha safetyprogramme, inorder toachievean

acceptablelevelofsafetyintheoperationofaircraft.

3.2.2 Theacceptable levelofsafetytobeachievedshallbeestablished

bytheState(s)concerned.Note:Guidanceonsafetyprogrammesis

containedintheICAOSafetyManagementManual(Doc9859)and

the definition of acceptable levels of safety in Attachment E to

Annex11.

3.2.4 From1 January2009 19November2009 States shall requireas

part of their safety programme, that an operator implements a

safetymanagementsystemacceptabletotheStateoftheOperator

that, as aminimum: a) identifies safetyhazards;b) ensures that

remedialactionnecessarytomaintainanacceptablelevelofsafety

isimplemented;c)providesforcontinuousmonitoringandregular

assessment of the safety level achieved; and d) aims to make

continuousimprovementtotheoveralllevelofsafety.

3.2.5 A safety management system shall clearly define lines of safety

accountabilitythroughout theoperatorsorganization, includinga

directaccountabilityforsafetyonthepartofseniormanagement.

3.2.7 Anoperator of an aeroplaneof amaximum 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.

3.2.8 Aflightdataanalysisprogrammeshallbenonpunitiveandcontain

adequatesafeguardstoprotectthesource(s)ofthedata.Note1:Guidance onflight data analysisprogrammes is contained in theICAO Safety Management Manual (Doc 9859). Note 2: Legalguidance for the protection of information from safety datacollection and processing systems is contained in Annex 13,AttachmentE.

3.2.9 Anoperator shallestablisha flight safetydocuments system, for

theuseandguidanceofoperationalpersonnelaspartofitssafety

management system Note: Guidance on the development andorganization of a flight safety documents system is provided inAttachment H.

ICAO ANNEX 6 PART I - MAINTENANCE

8.7.3.1 States shallestablisha safetyprogramme, inorder toachievean

acceptablelevelofsafetyinthemaintenanceofaircraft.

8.7.3.2 Theacceptable levelofsafetytobeachievedshallbeestablished

bytheState(s)concerned.Note:Guidanceonsafetyprogrammes

and on defining acceptable levels of safety is contained in

Attachment E toAnnex 11 and in the ICAO SafetyManagement

Manual(Doc9859).

8.7.3.4 From1 January200919November2009,States shall require,as

partof their safetyprogramme, thatamaintenanceorganization

implementsasafetymanagementsystemacceptable totheState

that, as aminimum: a) identifies safetyhazards; b)ensures that

remedialactionnecessarytomaintainanacceptablelevelofsafety

isimplemented;c)providesforcontinuousmonitoringandregular

assessment of the safety level achieved; and d) aims to make

continuousimprovementtotheoveralllevelofsafety.

8.7.3.5 A safetymanagement system shall clearly define lines of safety

accountabilitythroughoutamaintenanceorganization, includinga

directaccountabilityforsafetyonthepartofseniormanagement.

8.7.4.1 The maintenance organization shall establish procedures,

acceptabletotheStategrantingtheapproval,whichensuregood

maintenance practices and compliance with all relevant

requirementsofthischapter.

8.7.4.2 Themaintenanceorganizationshallensurecompliancewith8.7.4.1

byeitherestablishingan independentqualityassurancesystemto

monitor compliancewithandadequacyof theprocedures,orby

providingasystemofinspectiontoensurethatallmaintenanceis

properlyperformed.


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ICAO ANNEX 11 ATS (& AIRPORTS 2.26.1 - 2.26.4)

2.26.1 States shall implement systematic and appropriate ATS safety

managementprogrammes to ensure that safety ismaintained in

theprovisionofATSwithinairspacesandataerodromes.

2.26.2 States shall establish the acceptable level of safety and safety

objectivesapplicableto theprovisionofATSwithintheirairspace

andattheiraerodromes.

2.26.4 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,andprovide forcontinuousmonitoringand regular

assessmentofthesafetylevelachieved.

2.26.5 AnysignificantsafetyrelatedchangetotheATCsystem, including

the implementation of a reduced separationminimum or anew

procedure, shall only be effected after a safety assessment has

demonstrated thatanacceptable levelof safetywillbemetand

usershavebeenconsulted.

AdditionalICAOguidanceontheintendedscopeandmanagement

of SMS is located in ICAO PANSATM Doc. 4444 Chapter 2.

ICAO ANNEX 14 - AERODROMES

1.4.1 Asof27November2003,November23,2006, Statesshallcertify

aerodromesused for internationaloperations inaccordancewith

thespecificationscontainedinthisAnnexaswellasotherrelevant

ICAOspecificationsthroughanappropriateregulatoryframework.

1.4.2 Recommendation States should certify aerodromes open to

publicuse inaccordancewiththesespecificationsaswellasother

relevant ICAO specifications through an appropriate regulatory

framework.

1.4.3 The regulatory framework shall include the establishment of

criteriaforthecertificationofaerodromes.

1.4.4 As part of the certification process, States shall ensure that an

aerodromemanualwhichwill includeallpertinent informationon

the aerodrome site, facilities, services, equipment, operating

procedures, organization and management including a safety

management system, is submitted by the applicant for

approval/acceptanceprior to granting the aerodrome certificate.

Note.Theintentofasafetymanagementsystemistohaveinplacean organized and orderly approach in the management ofaerodromesafetybytheaerodromeoperator.

1.5.1 States shall establisha safetyprogramme inorder to achievean

acceptablelevelofsafetyinaerodromeoperations.

1.5.2 Theacceptablelevel(s)ofsafetytobeachievedshallbeestablished

by theState(s)concerned.Note.Guidanceonsafetyprogrammesand on defining acceptable levels of safety is contained inAttachmentEtoAnnex11and intheSafetyManagementManual(SMM)(Doc9859).

1.5.3 States shall require, as part of their safety programme, that a

certified aerodrome operator implements a safety management

system acceptable to the State that,asaminimum: a) identifies

safety hazards; b) ensures that remedial action necessary to

maintainanacceptablelevelofsafety isimplemented;c)provides

for continuousmonitoring and regular assessment of the safety

levelachieved;andd)aims tomake continuous improvement to

theoveralllevelofsafety.

1.5.4 A safety management system shall clearly define lines of safety

accountability throughout a certified aerodrome operator,

including a direct accountability for safety on the part of senior

management. Note. Guidance on safety management systems iscontained in the Safety Management Manual (SMM) (Doc 9859),andintheManualonCertificationofAerodromes(Doc9774).

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