Welcome to our resource page for Safety Management Systems (SMS)

This page includes links to important information to help support the implementation and on-going operation of your SMS.

Be aware that some files on this page are quite large and may take some time to download.

The ACSF SMS Overview document provides an introduction to SMS.

Learn how the The ACSF Industry Audit Standard (IAS) evaluates your SMS - ( PDF file)

FAA | Air Operators |Airports |Maintenance |AVS | ATO |FAA SMS PowerPoints, References, InFo, Notices |FAA Reporting Tools |FAA Gap Analysis Tools |Human Factors |SMS Videos | FAA SMS Offsite


NEW Releases/Information



  1. FAA SMS Newsletters - http://www.faa.gov/about/office_org/headquarters_offices/avs/offices/afs/afs900/sms/
    March 2015 FAA SMS Newsletter
    June 2014 SMS Newsletter
    March 2014 SMS Newsletter
    FAA SMS Quick Reference Guide (March 2015)
    December 2013 SMS Newsletter
    May 2013 SMS Newsletter
    March 2013 SMS Newsletter

2. FAA Website: FAA "Core" SMS Web Site Pages:
FAA SMS Reference Library
FAA SMS "Home" Page* (FAA website)
FAA Regulation & SMS
FAA Safety Management System Web Site - designed to familiarize operators with SMS
National Policy:
AC120-92B - SMS for Part 121 Air Carriers (01/07/2015)
FAA Order 8040.4A - Safety Risk Management Policy (4/30/2012) Order supports FAA Order 8000.369, SMS Guidance
AC 120-59, Air Carrier Internal Evaluation Programs (IEP) AC 20-59a
AC 120-66, Aviation Safety Action Programs (ASAP)
AC 120-79, Developing and Implementing a Continuing Analysis and Surveillance System (CASS)
AC 120-82, Flight Operational Quality Assurance (FOQA)
FAA SMS "Read-Me-First" Document (01/06/2010)
AC 120-103A, Fatigue Risk Management Systems for Aviation Safety (5/6/13)
History (Old Docs):
SMS Framework rev. 3 - Pilot Project Guidance for aviation organizations;
SMS Implementation Guide rev. 3 - (guidance, expectations & procedures) released 06/01/2010
SMS Assurance Guide rev. 3 released 06/01/2010
FAA Guidebook for Developing a Basic SMS for Air Carriers 3/2007 EXCELLENT - Published Version
FAA Guidebook for Developing a Basic SMS for Air Operators - DRAFT - June 6, 2008
FAA System Safety Handbook (Dec. 2001)

3. Air Operators - 14 CFR Certificate Holders
FAA SMS Gap Analysis Tool for Air Carriers -- 2014.07.31
AC120-92B - SMS for Part 121 Air Carriers - released 01/07/2015
AC120-92A cross reference Title 14 CFR, part 5 (NPRM)
Notice N 8900.281 Implementation Plan Approval Includes SMS Pilot Project
ACRP GA Safety & Security Practices - A Synthesis of Airport Practice (TRB)
The Regional Point of Contact (RPOC) is the primary “local” resource for SMS implementation and support within their respective regions. Although the SMS Program Office (SMSPO) is the final authority on the application of the SMS Voluntary Program Standard or the part 5 rule, the RPOCs may be asked to address and help resolve SMS related conflicts on a local or regional level.

4. Airports
• FAA SMS for Airports website: www.faa.gov/airports/airport_safety/safety_management_systems/
SMS for Airports
Part 139 SMS Implementation Study: Nov 2011 Roundtable Meeting Summary (PDF, 5.72 MB)
External SMS Efforts — Part 139 Rulemaking Documentation from Airport SMS Pilot Studies (pilot airport SMS)
FAA Order 5200.11 Chg 1
FAA Order 5200.11
FAA Airport SMS Pilot Studies
Documentation from Airport SMS Pilot Studies (FAA website)
FAA SMS Airports Efforts PowerPoint presented Jan. 2011 at FAA-ASO Regional Airport Conf.
NPRM SMS for Certified Airports
FAA AC 150/5200-37 SMS for Air Operators ( 2007.02.27)
Operations Manual: Human Factors in Airport Operations (2007.09)
ACRP SMS for Airports Report, vol 2 (released May 2011)
ACRP Report (TRB) SMS Airports - Vol.1
ACRP - Interview Summaries - SMS Implementation at Airports Outside the US
Airport 1st SMS Pilot Study Participants Guide dated 4/2007
Airport 2nd Airport SMS Pilot Study Participants Guide dated 8/2008
Airport Certification/Safety Inspection Checklist - Part139
Certifications of Airports - Part 139 with Corrections
Part 139 - 571 Airport Listings (Excel File) / PDF Format
• History: Announcement of Part 139 SMS Implementation Study - Request for Participants - December 10, 2009
SMS Pilot participants in Airport Operators

5. Maintenance - MRO
FAA SMS Gap Analysis Tool for MRO's -- 2014.07.31
FAA InFo 11010 - suggestion for Part 91 & 25 to implement SMS (released 2011.04.04)
FAA Advisory Circular: AC 145-xxx - SMS for Maintenance (2007.05.16)
FAA Human Factors in Aviation Maintenance Operator's Manual 10/2005 EXCELLENT!
FAA Human Factors Course (online training; off-site)
FAA Human Factors Research & Engineering (ATOP - Human Factors)

6. ATO (Air Traffic Organization)
FAA Notice 8900.1 Volume 10 - ATOS (Aprl 25, 2015)
Safety Culture Enhancement Toolbox for ATM (added 7/2011)
FAA ATO SMS Manual v2.1 5/2008
FAA ATO Order JO 1000.37 (ATO SMS) (3/2007)
FAA ATO Order 7110.65R - Air Traffic Control 2/2006
FAA ATO Order 7000.7 - ATO Intro to SMS 2/2005 This was replaced by N-JO 1000.40
FAA Order 1100.161 Chg 1 ATO Change transmits revised pages to Order 1100.161 & adds Ch 6
FAA Notice N-JO 1000.40 ATO Terminal Services SMS (3/2009)
FAA (ATO) Human Factors public site training
FAA ATO_2009_Safety_Blueprint
FAA ATO SMS Safety Culture Poster (Heinrich's Triangle)
• Out-of-Date FAA ATO SMS Manual v1.1 5/2004
FAA ATO PowerPoint - Falteisek & Feinberg 08/2008
FAA ATO Summit 4 SMS Briefing PowerPoint - Huan Nguyen, Director SMS October 23, 2008
FAA System Safety Requirements versus OSHA Regulatory Reqmts. PowerPoint (AIHA briefing 2008.05.21)

7. FSIMS - Flight Standards Information Management System - http://fsims.faa.gov
AVS - Aviation Safety & FSO (Flight Service Oversite)
FAA FSIMS website
FAA Order 8900.1 website
ATOS - Air Transportatin Oversight System website
Flight Standards Information Management System website
ATOS Element Performance Inspection (EPI) website
DOCS:
FAA Order 8900.1, Vol. 10 Safety Assurance System Policy and Procedures (added 2015.04.24)
FAA Order 8000.1, Vol. 17 AVS SMS Chapters 1-3 (2015.01.08)
FAA Order 8900.1, Vol. 10 Transportation Oversight System -- ATOS (added Apr 25, 2015)
FAA Risk Management Handbook (FAA-H-8083-2 --- added 2011.03.03)
FAA Order VS 8000.368A, Flight Standards Service Oversight SMS Requirements (2012.12)
FAA Intro to SMS (AVSSMS) PowerPoint by Don Arendt (2008.02.19)
Organizational Culture Model by Don Arendt
FAA System Safety Requirements versus OSHA Regulatory Requirements (AIHA briefing 2008.05.21 )

8. FAA SMS PowerPoints, References, InFo, Notices...
FAA System Safety Handbook
FAA Public SMS Website: http://www.faa.gov/about/initiatives/sms/ EXCELLENT!
FAA SMS Guidance - Reference Links
FAA SMS Notice N-8900.1331 SMS Update
FAA InFo 08022 (Memo: SMS is Coming & Supports ICAO) 2008.05
FAA InFO 07015 Flight Risk Assessment Tool 2007.07.03 - developed by FAA & general aviation
FAA Notice N JO 1800.2 - (NAS) Change Proposal Process Support of SMS
FAA Notice N-1100.322 establishes Office of Audit and Evaluations ( Customer complaints & whistleblower )
Lessons Learned From Transport Airplane Accidents
FAA SMS PowerPoint - NGATS (Next Generation Air Transportation System) POWERPOINT
FAA ATO PowerPoint - Falteisek & Feinberg 08/2008
FAA ATO Summit 4 SMS Briefing PowerPoint - Huan Nguyen, Director SMS October 23, 2008
FAA System Safety Requirements versus OSHA Regulatory Requirements (AIHA briefing 2008.05.21 )

9. FAA Reporting /Information/Tools
Accident/Incident Data
FAA Advisory Circular: AC 120-59A Air Carrier Internal Evaluation Programs - IEP
FAA Advisory Circular: AC 120-66B - ASAP
FAA Advisory Circular: AC 00-46D - ASRP
FAA InFO 07015 - Flight Risk Awareness Tool - developed by FAA & general aviation
FAA Order 8900.1 Flight Standards Information Management System (FSIMS)
ASRS - Aviation Safety Reporting System
FAA Office of Audit and Evaluations (AAE)
FSIMS - Flight Standards Information Management System
NEWS - FAA’s Aviation Safety and Airports offices will also establish SMS by the end of fiscal year 2010


ASIAS - Aviation Safety Information Analysis and Sharing System
http://www.atcvantage.com/images/spacer.gif ASIAS collects and analyzes data from multiple databases to proactively identify and address risks that may lead to accidents. ASIAS enables authorized users to obtain data from confidential databases—including airline voluntary safety reporting programs—as well as publicly available data sources. (began in 2007)
Office of Inspector General audit of the FAA ASIAS system 2013.12.18A

FAA Accident Prevention Office (APO) consolidates the resources of the FAA's Offices of Accident Investigation and Safety Analytical Services. The best modern-day tool for accident prevention is finding precursors to accidents--which lie in data taken from programs such as the Aviation Safety Action Programs. The FAA's Aviation Safety Information Analysis and Sharing (ASIAS) program gathers such data from more than 73 U.S. commercial operators. The new APO will collect this data to identify precursors, and use the information to find ways of preventing accidents.

10. FAA Gap Analysis Tools (Microsoft Excel format)
FAA SMS Gap Analysis Tool for Air Carriers -- 2014.07.31
FAA SMS Gap Analysis Tool for MRO's -- 2014.07.31
Part 5 NPRM Gap Analysis Tool for Air Carriers -- 2012.10.16
Part 5 NPRM Gap Analysis Tool for MRO's -- 2012.10.16
Preliminary Gap Analysis AC rev. 3 -- 2010.06.11
Detailed Gap Analysis AC rev. 3 -- 2010.06.11
Preliminary Gap Analysis MRO rev. 3 -- 2010.06.11
Detailed Gap Analysis MRO rev. 3 -- 2010.06.11

11. FAA Human Factors
FAA Human Factors in Aviation Maintenance Operator's Manual EXCELLENT!
FAA Human Factors web training course http://www.hf.faa.gov/webtraining/HFModel/HFModel1.htm
FAA (ATO) Human Factors web training
FAA Human Factors Research & Engineering (ATOP - Human Factors)
FAA Human Factors 1996 study, "The Interfaces between Flightcrews & Modern Flightdeck Systems " (June 18, 1996)

12. FAA Safety Promotion
Safety Posters
FAA Aviation Safety web site

13. SMS Focus Group
The following files were presented to the SMS Focus Group and cover "lessons learned" by air charter operators and shared aircraft ownership management companies that have implemented a SMS.
Flexjet
JetSolutions

14. FAA Website & Resources, "Off-Site Links" ( FAA "Core" SMS):
FAA SMS "Home" Page* (FAA website)
FAA Regulation & SMS
FAA Plain Language - (use to develop/amend policy, manuals, etc...)
FAA Flight Standards Information Management System (library)
FAA Advisory Circulars
FAA Orders & Notices
FAA InFOs for Operators
FAA Safety for Airports
FAA Safety Reports
FAA "Library" (charts, plans, manuals, forms, codes, diagrams, etc....)

15. FAA Med Guide
AOPA medication database - FAA medication database so pilots can find the answers online
MedXPress - PDF guide on how to register, what info is needed, etc...
MedXPress - The FAA electronic data entry system for pilots preparing for FAA Medical Exam. The FAA MedXPress system allows anyone requiring an FAA Medical Certificate or Student Pilot Medical Certificate to electronically complete the FAA Form 8500-8. Information entered into MedXPress will be transmitted to the FAA and will be available for your AME to review at the time of your medical examination.

16. FAA Aviation News - Safety Briefing
FAA website

17. FAA "Additional Resources" for SMS
• Managing the Risk of Organizational Accidents. Reason, James. Ashgate Publishing, 1997 (ISBN: 13:9781840141047)
• Managing Maintenance Error. Reason, James. Ashgate Publishing, 2003 (ISBN: 13:9780754615910)
A Roadmap to a Just Culture: Enhancing the Safety Environment by GAIN (FAA recommended, excellent)
FAA Plain Language - (use to develop/amend policy, manuals, etc...)

Additional FAA/ICAO Guidance and Documentation

NEW! FAA SMS Newsletter December 2013

NEW! NPRM Part 5 Regulatory Text

NEW! NPRM Part 5 Cross-Reference to AC120-92A

NEW! NPRM Part 5 Air Carrier Gap Analaysis Tool

NEW! NPRM SAI Safety Policy

NEW! NPRM SAI Safety Risk Management

NEW! NPRM SAI Safety Assurance

NEW! NPRM SAI Safety Promotion

FAA InFO - SMS Developments for General Aviation Operators

FAA Notice - SMS Update (PDF doc.)
FAA Introduction to SMS (PowerPoint Presentation, 10MB)

SMS for Small Service Providers - FAA Presentation (PowerPoint Presentation with Audio - *Please note, this file will download to your computer as a .zip folder.) This will take a few minutes to load as it is a large file.

SMS Key Points - FAA Presentation (PowerPoint Presentation with Audio - *Please note, this file will download to your computer as a .zip folder.) This will take a few minutes to load as it is a large file.


FAA SMS Framework Guide Rev. 3 (PDF doc.)

FAA SMS Implementation Guide Rev. 3 (PDF doc.)

FAA SMS Assurance Guide Rev. 3 (PDF document)

ICAO Safety Management Manual - 3rd Edition 2012 (PDF document)

FAA Advisory Circular 120-92A, "SMS for Aviation Service Providers"

FAA InFO Explaining SMS Developments

FAA Order 8000.369

FAA Order 8000.367A Describing SMS Requirements

FAA wesbite - SMS

SMS Focus Group

ACSF is an active participant in the FAA/Industry SMS Focus Group. The following files were presented to the SMS Focus Group and cover "lessons learned" by air charter operators and shared aircraft ownership management companies that have implemented a SMS.

Jet Solutions SMSFG Presentation

Flexjet SMSFG Presentation

SMS Aviation Rulemaking Committee

ACSF Director of Safety Management Russ Lawton has been named to the FAA's SMS Aviation Rulemaking Committee.

FAA Order Establishing the ARC

Informational Articles

Articles highlighting several aspects of SMS programs are featured below.

The Biggest Myth In Aviation?

The Whack-A-Mole Model of Safety Management

How's Your Cheese?

A J-H-A For Your J-O-B

Are You Drifting Toward Failure?

Developing Your SMS: One Bite At A Time

SMS: We Get Questions

When Will SMS Be Required?

Six Attributes For Your SMS