ICAO Annex 19 Safety Management System SMS Implementation Checklist
ICAO Annex 19 requires aviation service providers (airlines, airports, ANSPs, maintenance organizations, and training organizations) to implement a Safety Management System (SMS) meeting the four-component framework: Safety Policy, Safety Risk Management, Safety Assurance, and Safety Promotion. The SMS must be proportionate to the size and complexity of the organization. This audit verifies that all four SMS components are implemented, the accountable executive has defined responsibilities, and
- Industry: Transportation & Logistics
- Frequency: Quarterly
- Estimated Time: 20-30 minutes
- Role: Safety Manager
- Total Items: 20
- Compliance: 14 CFR Part 43, 14 CFR Part 91, FAA Advisory Circular
Safety Policy and Objectives
ICAO Annex 19 SMS Framework Component 1: Verify the safety policy, accountable executive designation, and safety objectives.
- Safety policy signed by accountable executive and posted throughout the organization?
- Accountable executive designated by name with overall responsibility for SMS?
- Safety objectives defined, measurable, and aligned with the safety policy?
- Emergency response plan (ERP) developed, tested, and current?
Safety Risk Management
ICAO Annex 19 SMS Component 2: Verify hazard identification, risk assessment, and risk mitigation processes.
- Hazard identification process in place (proactive reporting, reactive investigation, and predictive analysis)?
- Risk assessment matrix defined with severity, likelihood, and acceptable risk criteria?
- Risk register maintained and reviewed at defined intervals?
- Risk mitigations verified as effective after implementation?
Safety Assurance
ICAO Annex 19 SMS Component 3: Verify safety performance monitoring, internal auditing, and management of change.
- Safety performance indicators (SPIs) and safety performance targets (SPTs) defined and tracked?
- Internal SMS audits conducted at planned intervals; findings documented and tracked?
- Management of change process identifies safety risks before implementing significant changes?
- Continuous improvement process reviews SMS effectiveness annually?
Safety Promotion
ICAO Annex 19 SMS Component 4: Verify safety training, communication, and positive safety culture indicators.
- All personnel with SMS responsibilities have received SMS training appropriate to their role?
- Safety information communicated to all staff through regular safety bulletins, meetings, or portal?
- Voluntary safety reporting system (just culture, non-punitive) in place and used by staff?
- Safety reporting volume trend tracked; declining reports investigated as possible culture signal?
SMS Audit Findings and Management Review
Document audit findings and verify that the accountable executive conducts an annual SMS management review.
- Annual SMS management review conducted by accountable executive within past 12 months?
- Audit findings from this review:
- Organization name and ICAO service provider type:
- Lead auditor signature and audit date:
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Why Use This ICAO Annex 19 Safety Management System SMS Implementation Checklist?
This icao annex 19 safety management system sms implementation checklist helps transportation & logistics teams maintain compliance and operational excellence. Designed for safety manager professionals, this checklist covers 20 critical inspection points across 5 sections. Recommended frequency: quarterly.
Ensures compliance with 14 CFR Part 43, 14 CFR Part 91, FAA Advisory Circular. Regulatory-aligned for audit readiness and inspection documentation.
Frequently Asked Questions
What is a ICAO Annex 19 Safety Management System SMS Implementation Checklist?
A ICAO Annex 19 Safety Management System SMS Implementation Checklist is a standardized inspection form used by safety manager to ensure consistent transportation & logistics operations. It contains 27 inspection points organized into 5 sections. FREE PDF - ICAO Annex 19 Safety Management System (SMS) compliance audit checklist for aviation service providers. Covers the four SMS components (safety policy, risk management, safety assurance, safety promotion), accountable executive duties, and ICAO Doc 9859 implementation.
How often should I use this transportation & logistics checklist?
This checklist is designed to be completed quarterly. Regular use ensures compliance with 14 CFR Part 43 and 14 CFR Part 91 and helps identify issues before they become problems.
Can I download this ICAO Annex 19 Safety Management System SMS Implementation Checklist as a PDF?
Yes, you can download this checklist as a FREE PDF for printing or offline use. The checklist includes 27 fields across 5 sections and typically takes 20-30 minutes to complete.
What compliance standards does this checklist cover?
This checklist helps ensure compliance with 14 CFR Part 43, 14 CFR Part 91, FAA Advisory Circular. Following these standards protects your organization and ensures best practices.
How do I complete this transportation & logistics inspection checklist?
Begin by completing the header fields for Facility / Location, Inspection Date, Inspector Name, and Permit / Reference Number. Work through each of the 5 sections, marking items Yes or No as applicable. Add notes for any issues found. Finally, complete the footer fields and add your signature. The entire process takes approximately 20 to 30 minutes.
What are the key sections in this transportation & logistics checklist?
This transportation & logistics checklist is organized into 5 key sections: Safety Policy and Objectives, Safety Risk Management, Safety Assurance, Safety Promotion, SMS Audit Findings and Management Review. Each section contains specific inspection points that safety manager must verify. The structured layout ensures nothing is missed during transportation & logistics inspections and makes the process efficient, typically taking 20-30 minutes to complete.
Who should use this ICAO Annex 19 Safety Management System SMS Implementation Checklist?
This checklist is primarily designed for safety manager working in transportation & logistics operations. However, it is also valuable for quality assurance teams, safety officers, compliance managers, and supervisors who need to verify that transportation & logistics standards are being met. Organizations of all sizes can benefit from using this ICAO Annex 19 Safety Management System SMS Implementation Checklist to maintain consistency and accountability.