SMS Resources

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

• What changed? from NPRM Part 5 to Final Rule
• FAA on "Common issues in SMS review & validation"
• The March 2015 FAA SMS Newsletter -- ( FAA SMS Newsletter signup here)
• FAA SMS Quick Reference Guide - March 2015
• Notice N 8900.281 Implementation Plan Approval, Includes SMS Pilot Project/Part 5 Bridging Tool
• AC120-92B (requiring SMS for Part 121 Air Carriers) released 2015.01.08
• FAA SMS Rule for Air Carriers published 2014.01.07
  The long awaited 14 CFR part 5 rule (Safety Management Systems for Part 121 Certificate Holders) was published on January 8, 2015. After the standard 60 day waiting period, the rule will become effective March 9, 2015 requiring all 14 CFR part 121 certificate holders to develop and implement Safety Management System within their organizations.
  All other certificate holders who choose to implement SMS will continue to do so under the SMS Voluntary Program (SMSVP) using the SMSVP Standard. One of the primary differences in the SMSVP Standard and the part 5 rule is that the dates for implementation plan submission, approval, and SMS acceptance specified in §5.1 do not apply to those who are implementing SMS under the SMSVP.

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
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...)