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updated on 07.22.2010

    
 

FAA SMS Resources

Please Note - FAA SMS Core documents (SMS Framework, SMS Implementation & SMS Assurance) have just been revised.  Revision 3 was released June 1, 2010.

FAA SMS (Safety Management System) Resources:  
First 3 headings are the main core of FAA SMS references: FAA SMS Portal Webpages |
FAA SMS Pilot Project | FAA "Read Me First" SMS Documents | 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 Links

 

  1. START HERE:   FAA "Portal" SMS Webpage:  **FAA SMS "Home" Page** -  "FAA Regulation & SMS"
     FAA Safety Management System Web Site - designed to familiarize operators with SMS
         FAA ANPRM - 2009.07.23. Advanced Notice of Proposed Rulemaking DOT, FAA Docket No. FAA–2009–0671; Notice No. 09–06
    (14 CFR Certificate Holders (Part 21, 119, 121, 125, 135, 141, 142, & 145, etc to develop a SMS)
     

  2. SMS Pilot Project Participants and Voluntary Implementation of Organization SMS Programs
    *FAA SMS Framework - Rev. 2   (2009.07.15)
    *    FAA SMS Implementation Guide - Rev. 2  (2009.07.15)
    *    FAA SMS Assurance Guide - Rev. 2 (2009.07.15)
    (The above docs supersede AC 120-92.  A revised AC 120-92 is expected to be published "fall of 2009")
     

  3. FAA SMS "READ - ME - FIRST" DOCUMENT  - 2010.01.06  (click here for info and/or to eliminate drop down links  

  4. Air Operators
    *FAA AC 120-92  Intro SMS for Air Operators (2006.06.22)
     FAA AC 120-92a DRAFT of Proposed Changes to Appendix 1  (2008.08.10)
     FAA AC 120-92 & FAA AC 120-92a DRAFT combined into one document by ATC Vantage
    FAA AC XX-X, Voluntary Implementation of SMS 2007.11.26
    *FAA Notice 8700.49 - FAA inspector guidance on the use of AC 120-92
    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
         ACRP - Interview Summaries - SMS Implementation at Airports Outside the US
    ACRP Report (TRB) SMS Airports - Vol.1
    ACRP GA Safety & Security Practices - A Synthesis of Airport Practice  (TRB)
     

  5. Airports
     FAA announcement of Rulemaking - "We are now considering the best way to introduce an SMS requirement to the more than 560 U.S. airports certificated under Part 139. In late 2010, we plan to issue a notice of proposed rulemaking (NPRM) about SMS and request public comment."
     Announcement of Part 139 SMS Implementation Study - Request for Participants - December 10, 2009
    *FAA AC 150/5200-37 SMS for Air Operators (2007.02.27)
    FAA SMS for Airports website
    Operations Manual: Human Factors in Airport Operations (2007.09)
    FAA SMS Pilot Study Guide
    FAA "SMS Pilot" participants in Airport Operators
    FAA 2nd Airport SMS Pilot Study Participants Guide  dated 8/2008
    FAA Airport SMS Pilot Study Participants Guide  dated  4/2007
    Airport Certification/Safety Inspection Checklist - Part139
    Certifications of Airports - Part 139 with Corrections
    Part 139 - 571 Airport Listings (Excel File) / PDF Format
     

  6. Maintenance
    *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)
     

  7. AVS - Aviation Safety
    *FAA Order 8000.369 SMS Guidance (2008.09.30)
    *FAA Order 8000.1 AVS SMS Policy Safety Management Doctrine (2006.08.11)
     *FAA Order VS 8000.367 AVS SMS Requirements (2008.05.14)
     FAA Intro to SMS (AVSSMS) PowerPoint by Don Arendt (2008.02.19) (added 2009.12.14)
     Organizational Culture Model by Don Arendt
     

  8. ATO
    FAA Air Traffic Organization (ATO) Human Factors public site training
    FAA Notice N-JO 1000.40 ATO Terminal Services SMS (3/2009)
    FAA ATO SMS Manual v2.1  5/2008
     FAA_ATO_2009_Safety_Blueprint
    FAA ATO SMS Safety Culture Poster (Heinrich's Triangle)
    FAA Order 1100.161 chg1 ATO  Change transmits revised pages to Order 1100.161 & adds Ch 6, Credentialing Program Implementation
    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 ATO SMS Manual v1.1    5/2004
     

  9. FAA SMS PowerPoints, References, InFo, Notices...
         FAA System Safety Handbook  2009.12.14 - chapters combined into 1 doc -handbook is listed as FAA SMS resource
    FAA Public SMS Website: http://www.faa.gov/about/initiatives/sms/  EXCELLENT!
    FAA SMS Guidance - Reference Links
    FAA SMS PowerPoint - NGATS (Next Generation Air Transportation System)  POWERPOINT
    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
     

  10. FAA Reporting/Information/Tools
    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
    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.
    FAA’s Aviation Safety and Airports offices will also establish SMS by the end of fiscal year 2010
     

  11. FAA Gap Analysis Tools
    Preliminary Gap Analysis AC - rev. 2 (Excel format)
    Detailed Gap Analysis AC - rev. 2   (Excel format)
    Preliminary Gap Analysis MRO - rev. 2   (Excel format)
    Detailed Gap Analysis MRO - rev. 2    (Excel format)
     FAA Preliminary MRO Gap Analysis Tool - rev. 1  (Excel format)
    FAA Preliminary Air Carrier Gap Analysis Tool - rev. 1 (Excel format)
     

  12. FAA Human Factors
    FAA Human Factors in Aviation Maintenance Operator's Manual 10/2005 EXCELLENT!
     FAA Human Factors Course (online training; off-site) http://www.hf.faa.gov/webtraining/HFModel/HFModel1.htm
    FAA Human Factors Research & Engineering (ATOP - Human Factors)
     

  13. FAA SMS Videos
    Flight Standards Service System Safety Video An overview of system safety in Flight Standards; used in the certification of new entrant carriers
    ATOS Video Part 1 - An overview of Air Transportation Oversight System (ATOS) 1.2
     ATOS Video Part 2
     

  14. FAA Resources, "Off-Site Links"
     FAA Risk Management Handbook  2009
     FAA System Safety Handbook - developed for FAA employees, supporting contractors and other entities that are involved in applying system safety policies and procedures throughout FAA (2009.12)
    System Approach for Safety Oversight Program (SASO)
    FAA Flight Standards Information Management System (library)
    FAA Advisory Circulars
    FAA Orders & Notices
    FAA - All InFOs for Operators
    FAA Safety for Airports
    FAA Safety Reports
    FAA Air Transportation Division
    FAA "Library" (charts, plans, manuals, forms, codes, diagrams, etc....)
     FAA Aviation News:
     - FAA Aviation News Jan-Feb 2010
       (The Importance of the Human Element; Finding & Fighting Fatigue; Factoring in the Human in Avionics Certification)
    - FAA Safety Briefing News Mar-Apr 2010
      (articles: Keeping Pace with FAASTeam; Flying by the Numbers; Maintaining your Way to Greater Safety)
    - FAA Safety Briefing News Jun-Jul 2010
      (articles: Next Gen for the Masses; Flying Paperless Airplanes, Eye in the Sky)
    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)
     

  15. FAA SMS "READ - ME - FIRST" DOCUMENT 
    FAA SMS "Read-Me-First" Document - rev 2010.01.06
    Documents below are the docs listed the the FAA "read-me-first" document.  "The “Read-Me-First Document” document is laid out in order of frequency-of-use, rather than hierarchy of authorship. It is sequential in that it starts at the most frequently used documents and progresses to the less used, but higher authority (ICAO, FAA) documents and guidance tools designed to assist in the voluntary transition to SMS."        The ** documents supersede AC 120-92.  A revised AC 120-92 is expected to be published "fall of 2009") Previous revision 2009.08.05 FAA SMS "Read-Me-First" Document
    1.  FAA Aviation Flight Standards (AFS) SMS Guidebook  (to be published summer 2010)
    2.  FAA SMS Framework - Rev. 2   (2009.07.15) **
    3.  FAA SMS Implementation Guide - Rev. 2  (2009.07.15) **
    4.  FAA SMS Assurance Guide - Rev. 2 (2009.07.15) **
    5.  FAA Public SMS Website: http://www.faa.gov/about/initiatives/sms/
    6.  Preliminary Gap Analysis AC - rev. 2 (Excel format) and Preliminary Gap Analysis MRO - rev. 2   (Excel format)
    7.  Detailed Gap Analysis AC - rev. 2   (Excel format) and  Detailed Gap Analysis MRO - rev. 2    (Excel format)
    8.  FAA AC 120-92  Intro SMS for Air Operators (2006.06.22)  (revised AC 120-92 expected Fall of 2009)
    9.  FAA AC 120-92 & FAA AC 120-92a DRAFT combined into one document by ATC Vantage
    10.  FAA Order VS 8000.367 - Aviation Safety (AVS) SMS Requirements
    11.  FAA Order  8000.368  (Flight Standards Oversight - 2008.07.12)
    12.  FAA Order 8000.369 Safety Management System Guidance
    13.  FAA Order 8000.1 AVS SMS Policy Safety Management Doctrine (2006.08.11)
    14.  InFo Notices:  InFo Notice 08022 and InFo Notice 08053 (FAA SMS developments – No. 2)
    15.  FAA Order FS1100.1A  (Chap 11, Para.5 - Flight Standards Service Organizational Handbook) (FAA Order FS1100.1B)
    16.  FAA Order 1110.152  (Charter for the SMS Aviation Rulemaking Committee - 2009.02.12)
    17.  ICAO Doc 9859, Safety Management Manual
    18.  ICAO Annex 6 to the convention on International Civil Aviation, Operation of Aircraft
    19.  ICAO Document 9734 Safety Oversight Manual, Part A  - ICAO Doc 9734 Part B
    20.  SMS Delta Employee Video: https://deltaflightsafety.com/sms/fam/launch.html
    21.  Medallion Foundation: http://www.medallionfoundation.org/
    22.  WBAT (Web-Based Application Tool): WBAT (maintained by Universal Technical Resource Services, Inc. (UTRS)) is
    an option for those with an ASAP Program and/or those that are part of the SMS Pilot Projects. WBAT provides aviation service providers with a secure, fully customizable system that promotes safety and accountability across five employee
    groups. UTRS developed WBAT with funding from the FAA, and will deliver free on-site training and electronic support to Certificate Holders. Ms. Nicky Armour is the UTRS point of contact and can be reached at 937-836-81

The FAA is currently in the “rulemaking” phase of SMS - establishing federal regulations to require SMS.  FAA AC 120-92 contains minimum standards and requirements for an SMS implemented by an aviation service provider. In May of 2008 the FAA published InFo 08022, FAA Safety Management System (SMS) developments – No. 1. “Purpose: To make known to certificate holders such as air carriers, Code of Federal Regulations (14 CFR), part 142 training centers, and 14 CFR part 145 repair stations of the coming implementation of SMS worldwide, and to recommend reference materials they may use to prepare for their own implementation. ”

The Airport Cooperative Research Program (ACRP), sponsored by the FAA, reported, “there are some activities airport operators can commence in the near term to prepare for the transition to the type of safety management systems ICAO and the FAA have envisioned. Those activities are:
           •  Establish a safety policyy
           •  Perform a gap analysis
           •  Develop a strategy for SMS implementation
           •  Develop individual SMS elements”
In addition, Part 145 Repair Stations and Part 142 Training Centers are also addressed by the FAA to start preparing for the implementation of SMS worldwide.

             Click here for listing of various FAA Advisory Circulars (SMS) & SMS Resources
             US Gov't SMS Resources, other Countries and Organization Resources
             ICAO Resources, SMS Articles of Interest and SMS Tools
 

FAA SMS Framework Reference Documents::
             FAA Order 8000.369 Safety Management System Guidance
            
             ICAO Doc 9859, Safety Management Manual
             ICAO Document 9734 Safety Oversight Manual
             ICAO Annex 6 (Convention on International Civil Aviation), Operation of Aircraftt
 

 

 

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