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FAA Safety Management
Systems (SMS) Resources |
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FAA Launches New
Safety Management System Web Site
February 22, 2010
The FAA aviation safety organization has
launched a new web site that is designed to
familiarize operators with safety management
systems (SMS).
http://www.faa.gov/about/initiatives/sms/
(Dec. 4, 2009) FAA Administrator Randy Babbitt, speaking to
the FAA International Runway Safety Summit in
Washington explained that the FAA has
established a "Safety Management Systems"
rulemaking process and is
considering issuing a Notice of Proposed
Rulemaking in late 2010 that would
require US airports to develop SMS programs to
analyze operational data proactively and
identify safety risks.
---
November 2009:Read
SMS ANPRM Comments here |
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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")
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FAA SMS "READ - ME - FIRST"
DOCUMENT - NEW!
Note: to eliminate drop down links, click here.
Documents
below are the docs listed the the FAA
SMS "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")
-
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 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!
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)
-
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
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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)
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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)
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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 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 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)
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ATO
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
FAA ATO SMS Manual v1.1
5/2004
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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)
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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)
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FAA
Resources, "Off-Site Links"
FAA Aviation News
FAA Risk Management Handbook
2009
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....)
NTSB Accident Reports: synopses,
statistics, reports & publications
FAA System Safety Handbook Handbook developed
for FAA employees, supporting contractors and any
other entities that are involved in applying system
safety policies and procedures throughout FAA (click
here for PDF of handbook - all chapters, combined by
ATC Vantage LLC - NEW
2009.12)
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FAA 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
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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)
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FAA Human Factors
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)
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FAA Rulemaking
ANPRM -
July 23, 2009 -- ANPRM (Advanced Notice of
Proposed Rulemaking) solicits public comments on
a potential rulemaking requiring certain
14 CFR Certificate Holders
(part 21, 119, 121, 125, 135, 141, 142, & 145),
product manufacturers, applicants, and employers
(hereafter ‘‘product/service providers’’) to
develop a Safety Management System (SMS)."
DOT, FAA Docket No.
FAA–2009–0671; Notice No. 09–06
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FAA Reporting News
FAA Office of Audit and Evaluations (AAE)
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.
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FAA SMS "READ - ME - FIRST"
DOCUMENT - NEW!
1.
FAA
SMS "Read-Me-First" Document - rev 2009.08.05
(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")
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 Aviation Flight Standards (AFS) SMS Guidebook
(target completion is
Fall 2009)
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
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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 policy • 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.
Because of the extensive amount of SMS information, we have
sought to divide the resources into categories such as the primary
focus of FAA documents, other USA Gov't Resources, Commercial
Aviation Organizations (some non-profit), and other countries SMS
resources (Canada, Australia and New Zealand offer great resources).
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
FAA Order VS 8000.367, Aviation Safety (AVS) SMS Requirements
ICAO Doc 9859, Safety Management Manual
ICAO Document 9734 Safety Oversight Manual
ICAO
Annex 6 (Convention on International Civil Aviation), Operation of
Aircraft
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