> ## Documentation Index > Fetch the complete documentation index at: https://docs.planeconnection.com/llms.txt > Use this file to discover all available pages before exploring further. # ICAO Annex 19 and International Standards > How ICAO Annex 19 establishes the global SMS framework, the State Safety Programme concept, Doc 9859 guidance, and why international alignment matters. ICAO Annex 19, titled "Safety Management," is the international standard that establishes SMS requirements for aviation service providers worldwide. Published by the International Civil Aviation Organization in 2013, it consolidated safety management provisions that were previously scattered across multiple ICAO annexes into a single, coherent framework. For U.S. operators, understanding Annex 19 provides deeper context for why FAA Part 5 requires what it does -- and is directly relevant for those conducting international flights. This page is for operators who want to understand the international standards behind SMS, particularly those with international routes or pursuing voluntary certifications like IS-BAO. For the FAA-specific regulation, see [FAA 14 CFR Part 5 Overview](/en/explanation/faa-part-5). For the foundational concepts, see [What Is a Safety Management System?](/en/explanation/what-is-sms). ## ICAO's Role in Aviation Safety The International Civil Aviation Organization is a United Nations specialized agency established by the Chicago Convention of 1944. Its primary function is to develop Standards and Recommended Practices (SARPs) that promote safe, efficient, and orderly international civil aviation. ICAO does not regulate operators directly -- instead, its 193 member states adopt SARPs through their national regulations. ICAO's annexes cover every aspect of international civil aviation, from personnel licensing (Annex 1) and rules of the air (Annex 2) to aerodrome design (Annex 14) and environmental protection (Annex 16). Annex 19, the newest annex, focuses exclusively on safety management and represents the culmination of decades of evolving safety thinking. ## The Relationship Between Annex 19 and Part 5 FAA 14 CFR Part 5 is the United States' implementation of the SMS requirements outlined in ICAO Annex 19. While closely aligned, they are not identical. Annex 19 establishes broad standards that each member state adapts to its own regulatory context. Part 5 is a prescriptive regulation with specific, enforceable requirements. The four-pillar SMS structure -- Safety Policy, Safety Risk Management, Safety Assurance, and Safety Promotion -- originates from ICAO and is adopted directly in Part 5. The 5x5 risk assessment matrix commonly used in aviation SMS also comes from ICAO guidance (Doc 9859). Key differences for operators to be aware of: | Aspect | ICAO Annex 19 | FAA Part 5 | | --------------- | --------------------------------------------------------- | --------------------------------------- | | **Scope** | All commercial air transport, airports, ATCs, maintenance | Part 121, 135, 91.147, 21 operators | | **Nature** | Standards and Recommended Practices | Enforceable regulation | | **Compliance** | Through national regulation | Direct compliance required | | **Scalability** | Acknowledged but not detailed | Explicitly designed for small operators | | **RPAS** | Extended via Amendment 2 (2025/2026) | Not yet addressed in Part 5 | For Part 135 operators focused on domestic U.S. operations, Part 5 is the governing regulation. However, the ICAO framework provides the conceptual vocabulary and the "why" behind Part 5's requirements \-- making it valuable context for anyone building or maturing an SMS. ## Annex 19 Structure Annex 19 is organized into five chapters plus appendices: ### Chapter 1 -- Definitions Establishes key safety management terminology used throughout the international aviation community. These definitions are largely consistent with Part 5's definitions in Section 5.5, reflecting their common origin. ### Chapter 2 -- Applicability Defines which service providers must implement SMS -- commercial air transport operators, organizations responsible for aircraft type design or manufacture, approved maintenance organizations, air traffic service providers, and certified aerodromes. Amendment 2, effective November 2025 and applicable November 2026, extends these requirements to remotely piloted aircraft systems (RPAS) operators. ### Chapter 3 -- State Safety Management Responsibilities Requires each member state to establish a State Safety Programme (SSP) and defines state-level safety oversight obligations. This chapter addresses the regulatory framework, not individual operators. ### Chapter 4 -- Safety Management for Service Providers Contains the SMS requirements that operators must implement -- the four pillars. This is the chapter most directly paralleled by Part 5. ### Chapter 5 -- Collection, Analysis, and Exchange of Safety Data Addresses safety data collection and sharing at both the state and operator level, including protections for safety data and safety information. ICAO Amendment 2 to Annex 19, effective November 2025 and applicable November 2026, extends SMS requirements to RPAS operators. If your Part 135 operation involves unmanned aircraft or you anticipate expanding into this area, this amendment is relevant to your compliance planning. ## State Safety Programme (SSP) Annex 19 does not only address individual operators. It requires each member state to establish a **State Safety Programme** -- a national framework for managing aviation safety across the entire system. The SSP concept recognizes that aviation safety is not solely the responsibility of individual operators. The state -- through its civil aviation authority -- must establish safety policy at the national level, set an **Acceptable Level of Safety Performance (ALoSP)**, conduct oversight of operators' SMS implementations, collect and analyze safety data across the industry, and share safety information to improve system-wide performance. In the United States, the FAA's SSP encompasses its oversight programs, the Aviation Safety Information Analysis and Sharing (ASIAS) system, the Aviation Safety Reporting System (ASRS), and other national safety initiatives. When your organization's SMS feeds data into the broader national safety picture, it contributes to system-wide understanding that benefits the entire industry. ## Doc 9859: The Safety Management Manual ICAO Document 9859, the Safety Management Manual, is the companion guidance to Annex 19. Now in its fourth edition (a fifth edition is in development), it provides detailed implementation guidance for both states and operators. While Doc 9859 is not a regulation, it is the single most comprehensive resource for SMS implementation guidance -- and the FAA's Advisory Circular 120-92D draws heavily from it. ### The SHELL Model Doc 9859 introduces the **SHELL model** for analyzing human factors in safety events. The acronym captures five elements: **S**oftware (procedures, training materials, checklists, and other non-physical aspects of the system), **H**ardware (aircraft, equipment, tools, and physical facilities), **E**nvironment (both physical -- weather, terrain, noise -- and organizational -- culture, regulations, economics), **L**iveware Central (the human at the center of the system), and **L**iveware Peripheral (other humans the central person interacts with, including crew, ATC, and maintenance personnel). Accidents and incidents often occur at the interfaces between these elements -- when a procedure does not match the equipment it describes (S-H mismatch), when the operating environment exceeds human capability (L-E mismatch), or when communication between people breaks down (L-L mismatch). The SHELL model provides a structured way to analyze these interactions during investigations and risk assessments. ### Safety Culture Doc 9859 identifies three levels of organizational safety culture: | Level | Characteristics | | ---------------- | --------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | | **Pathological** | Safety is a problem caused by workers. Blame is the default. Information is hoarded. Messengers are punished. | | **Bureaucratic** | Safety is managed through rules and compliance. Organizations follow procedures but may not understand why. Reporting exists but is not actively encouraged. | | **Generative** | Safety is integral to how the organization does business. Information flows freely. Reporting is encouraged and acted upon. Failures are treated as learning opportunities. | The progression from pathological to generative culture is a journey, not a switch. Most organizations operate somewhere in the middle, with characteristics from multiple levels depending on the department or situation. The goal of Safety Promotion (Pillar 4) is to move the organization steadily toward a generative culture. ### Safety Performance Indicators Doc 9859 provides guidance on selecting, defining, and monitoring Safety Performance Indicators (SPIs). Effective SPIs share four characteristics: they are **measurable** (based on data you can actually collect), **relevant** (connected to your operation's specific risks), **actionable** (changes in the indicator should trigger investigation or response), and **timely** (available frequently enough to detect trends before they become incidents). The manual distinguishes between **lagging indicators** (measuring events that have already occurred, like accident rates or incident counts) and **leading indicators** (measuring conditions that predict future events, like reporting rates, training completion, or audit findings). A mature SMS monitors both types. ## IS-BAO and Other Voluntary Standards Several voluntary industry standards build on the ICAO SMS framework: ### IS-BAO (International Standard for Business Aircraft Operations) Developed by the International Business Aviation Council (IBAC), IS-BAO provides a progressive SMS certification path: | Stage | Focus | What It Demonstrates | | ------- | ----------------------------------------- | ------------------------------------------------- | | Stage 1 | SMS infrastructure established | Policies, procedures, and processes are in place | | Stage 2 | Safety risks effectively managed | SRM is actively functioning and producing results | | Stage 3 | Full integration, positive safety culture | SMS is embedded in organizational DNA | The FAA recognizes IS-BAO as meeting ICAO SMS standards. For Part 135 operators, achieving IS-BAO registration demonstrates a level of safety management maturity beyond minimum regulatory compliance. ### IATA IOSA (Operational Safety Audit) The International Air Transport Association's IOSA program encompasses 916 standards across eight operational disciplines. While primarily applicable to IATA member airlines, IOSA standards influence safety expectations across the industry. ## Why International Alignment Matters Even for operators that fly exclusively within the United States, ICAO alignment matters for several reasons: **Shared language.** When the FAA, NTSB, insurers, auditors, and industry associations discuss safety management, they use concepts and terminology established by ICAO. Understanding this framework means understanding the intent behind Part 5's requirements, not just the letter. **Best practices.** ICAO guidance, particularly Doc 9859, provides implementation insights that go beyond what Part 5 prescribes. Topics like safety culture assessment, the SHELL model for human factors analysis, and advanced SPI methodology are all ICAO contributions that enhance your SMS even if they are not specifically required by U.S. regulation. **Operational relevance.** For operators conducting international flights, member states may require evidence of SMS compliance for overflight or landing permissions. An SMS built on the ICAO framework is recognized internationally. **Certification.** Voluntary standards like IS-BAO are built on the ICAO SMS framework. An SMS aligned with ICAO standards is already positioned for voluntary certification without significant rework. PlaneConnection's SMS module is designed around the ICAO framework and maps directly to both Annex 19 standards and Part 5 requirements. This means an operator using PlaneConnection for FAA Part 5 compliance is simultaneously building an SMS that aligns with international expectations. ## Related The U.S. implementation of ICAO SMS standards. Foundational SMS concepts and evolution. The ICAO-defined pillars that both Annex 19 and Part 5 require. ICAO-guided approach to SPIs and monitoring.