What is the Law – Really

This article is the third in a series to simplify the understanding of the SMS processes. The entire series can be found here.

According to the Convention on International Civil Aviation (also known as Chicago Convention), States that are signatory to the United Nations agree to comply with the Standards and Recommendations (SARPS) of the International Civil Aviation Organization (ICAO).

Annex 6 – Operation of Aircraft
Part I – International Commercial Air Transport – Aeroplanes


Chapter 3.2 Safety management

Differences filed by the United States apply to U.S. registered aircraft, while operating within the U.S.

3.2.4 From 1 January 2009, States shall require, as part of their safety programme, that an operator implement a safety management system acceptable to the State of the Operator that, as a minimum:

  1. identifies safety hazards;
  2. ensures that remedial action necessary to maintain an acceptable level of safety is implemented;
  3. provides for continuous monitoring and regular assessment of the safety level achieved; and
  4. aims to make continuous improvement to the overall level of safety.

Note:  Amendment 32 changes Chapter 3.2 to Chapter 3.3

Difference filed by the United States

3.2 – An operator is not required to establish and maintain an accident prevention and flight safety programme, though regulations pertaining to air carrier and commercial operator certification require that a sufficient number of personnel be available to ensure the highest degree of safety in its operations. This includes a Director of Safety position.

Note:  Differences filed by the United States apply to U.S. registered aircraft, while operating within the U.S.

Annex 6 – Operation of Aircraft
Part II – International General Aviation – Aeroplanes

(Amendment 27 – effective on 18 November 2010)

Chapter 3.1 Applicability
3.1.1 The following operations shall be subject to the Standards and Recommended Practices of Section 2, and those of Section 3:

International general aviation operations with:

  1. aeroplanes with a maximum certificated take-off mass exceeding 5 700 kg; or
  2. aeroplanes equipped with one or more turbo-jet engines.

3.1.2 Recommendation – An operation involving an aeroplane with a seating configuration of more than 9 passenger seats should be conducted in accordance with Section 3.

Chapter 3.2 Corporate aviation operations
Recommendation – A corporate aviation operation involving three or more aircraft that are operated by pilots employed for the purpose of flying the aircraft should be conducted in accordance with Section 3.

Note – The term “aircraft” is used to indicate that a corporate aviation operation using a mix of aeroplanes and helicopters would be subject to this Recommendation, as long as at least one aeroplane was involved.

Chapter 3.3 General
3.3.2.1 An operator shall establish and maintain a safety management system that is appropriate to the size and complexity of the operation.

3.3.2.2 Recommendation – The safety management system should as minimum include:

  1. a process to identify actual and potential safety hazards and assess the associated risks;
  2. a process to develop and implement remedial action necessary to maintain an acceptable level of safety; and
  3. provision for continuous monitoring and regular assessment of the appropriateness and effectiveness of safety management activities.

Difference filed by the United States

Currently there are no differences published by ICAO.