Generic SMS Regulatory Framework
Liberty University
AVIA 409 - Safety Management Systems
Professor: Andrew Walton
2022
Generic SMS Regulatory Framework
The ICAO Standards and Recommended Practices (SARPS) promulgated in several Annexes to
the Chicago Convention require the implementation of a safety management system by the following
aviation service provider organisations:
aircraft operators;
aircraft maintenance organisations;
air navigation services providers;
Airport operators.
Latest amendments to ICAO SARPS to include the requirement to implement a safety
management system will be harmonised and extended to include in 2010 and 2013 respectively:
training organisations, and
Aircraft manufacturers.
As International Civil Aviation Organisation (ICAO) SARPS are not directly applicable within
national legislative and regulatory frameworks, States shall establish safety programmes and, as part of
such programmes, ensure that operators/service providers implement a safety management system.
In Europe, the implementation of safety management systems by air navigation service providers
has been mandated by EUROCONTROL Safety Regulatory Requirements (ESARRs) which
were transposed by the European Commission into Community law.
Some sectors of the general aviation (GA) have also introduced SMS into their organisations, but
the extension of SMS principles throughout GA presents specific problems, for which solutions have not
yet been found.
Because of the diverse relationships between the rulemaking bodies and the variety of aviation
service provider organisations, it is of critical importance to standardise the SMS functions to the point
that there is a common understanding of the meaning of SMS among all concerned organisations and
authorities, both domestically and internationally. In this regard the European Union Aviation Safety
Agency (EASA) stated its intention to translate the SMS related provisions in ICAO Annex 6 and EU-OPS
1.037 in the upcoming rulemaking proposals as they will be similar for aircraft operators, maintenance
organisations, air navigation services providers and aerodrome operators.
The Federal Aviation Administration (FAA) also supports the harmonised implementation of
international standards, and is currently working to make U.S. aviation safety regulations consistent with
ICAO standards and recommended practices. The FAA Advisory Circular No. 120-92B introduces the
concept of SMS for Air Operators (airlines, air taxi operators, corporate flight departments, and pilot
schools) and FAA A.C. No. 150/5200-37 provides guidance material for implementation of SMS in
aerodrome operations.
ICAO SMS Framework
The ICAO SMS framework consists of four components and twelve elements, and its
implementation shall be commensurate with the size of the organization and the complexity of the
services provided.
Safety Policy and Objectives
Safety Risk Management
Safety Assurance
Safety Promotion
ESARR 3 SMS Framework
ESARR 3 mandates the implementation and use of Safety Management Systems (SMS) by
providers of air traffic management (ATM) services. It has been transposed into EU law by Commission
Implementing Regulation (EU) No 1035/2011 of 17 October 2011 laying down common requirements for
the provision of air navigation services that was repealed by Regulation 2017/373 - Requirements for
providers of ATM/air navigation services and other ATM network functions and their oversight.
The main components of an ATM service provider's SMS meeting ESARR 3 requirements may be
assigned to the following broad domains:
Safety Policy and Planning
Safety Achievement
Safety Assurance
Safety Promotion
An organisational safety effort cannot succeed just by the mechanic implementation of the
referred SMS components and procedures. An effective SMS is build taking due account of the
interaction between these components with the human element of the aviation system. A successful
implementation and operation of an SMS is highly dependent on organisational aspects such as
individual and group attitudes, values, competencies and patterns of behaviour which are frequently
referred to as elements of the “safety culture”. A positive safety culture is characterised by a shared
awareness of organisations’ personnel of the importance of safety in their operational tasks.
SMS in Aviation Industry
The international SMS standards and requirements are structured mainly as objective regulations.
They are created in a way to emphasise more on “what to do” rather than “how to do it”. The reason
behind this is to create standards which are set in a way that accommodates a wide variety of types and
sizes of organisations. These standards are designed to allow the operators and service providers to
integrate the safety management practices into their individual operational models.
The absence of harmonised and standardised requirements at the start of SMS implementation,
the specific needs of the different types of operators/service providers as well as the differences in the
existing service provision and business frameworks have set the pattern for the development of sector
specific safety management systems:
SMS in the Airline Industry;
SMS in Aerodrome Operation;
SMS in Air Traffic Management.
