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SMS Resources |
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NEW
RELEASES/INFORMATION
*
FAA AC 150-5300-13a DRAFT (Airport SMS)
released May 1, 2012
*
FAA
AC 120-92NPRM for SMS (draft) -
released 11/3/2010
*
FAA final rule on pilot fatigue - 14 CFR Parts
117, 119, and 121 (not cargo) -
released 12/20/2011
*
FAA Final Rule - Restrictions on Operators
Employing Former Flight Standards Service
Aviation Safety Inspectors
[impacts 14 CFR Parts 91, 119, 125,
133, 137, 141, 142, 145, and 147]
*
Deadline for implementing SMS is
April 2012 for EASA
*
ACRP Report SMS for Airports vol. 2 (Airport
Research Cooperative Program) released
May 2011
*
FAA Responses to Clarifying Questions About
Proposed Rulemaking for SMS for Certificated
Airports - 5/24/2011
*
Report on Airport SMS Pilot Studies, May 2011
(posted 5/24/2011)
*
FAA Order 5200.11 - FAA Airports (ARP) SMS
(contains dates of SRM implementation)
*
FAA InFo 11010
-
2011.04.11 encouraging all business/corp. aircraft
ops. (Part 91 & 25) to implement SMS
March 2011: The FAA is developing
the Aviation Flight Standards (AFS) Safety
Assurance System (SAS) as the new oversight
system for 14 CFR Parts 121, 135, and 145 and
eventually for all applicable 14 CFR Parts. The
FAA will implement the SAS regardless of the
existence of a Safety Management System (SMS)
rule and it will be the FAA's oversight system
whether or not a certificate holder has an SMS.
The SAS will help focus AFS resources on areas
of highest risk using a more structured,
data-driven, risk-based oversight system. |
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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
-
FAA
Website:
FAA
"Core" SMS Web Site Pages:
*
FAA
SMS "Home" Page*
(FAA website)
*
FAA
Regulation
& SMS
*
FAA Safety Management System Web Site
- designed to familiarize operators with SMS
*
FAA System Safety Handbook (Dec. 2001) (FAA
website, individual chapters)
National Policy:
*
AVS Safety Policy, Order 8000.370
(09/30/2009)
*
FAA SMS Guidance; Order 8000.369
(9/30/2008)
*
AVS Requirements Document; Order VS 8000.367
(5/14/2008)
AC
120-92A, SMS
for Aviation Service Providers
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: 2010.01.06
-
Air Operators -
14 CFR Certificate Holders
*FAA
AC 120-92NPRM for SMS (draft) -
released 11/3/2010
*NPRM
Packet SMS for Part 121 Certificate Holders
-
released 11/09/2010
*NPRM
SMS for Part 121 Certificate Holders
-
released 11/06/2010
*AC 120-92A
- SMS for Aviation Service Providers -
released 8/12/2010
*The AC120-92A replaced
the
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 Notice 8700.49
- FAA inspector guidance on the use of AC 120-92
ACRP GA Safety
& Security Practices - A Synthesis of Airport Practice (TRB)
History (Old Docs):
FAA AC XX-X, Voluntary Implementation of SMS 2007.11.26
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
ANPRM requiring
14 CFR Certificate Holders (Part 21, 119, 121, 125, 135, 141, 142 & 145) to develop a SMS
- 2009.07.23
-
Airports
FAA SMS for Airports website:
www.faa.gov/airports/airport_safety/safety_management_systems/
FAA Order 5200.11 Chg 1 (SMS requirement for
large airport hubs beginning June 1, 2011)
FAA Order 5200.11 (SMS requirement for
airports effective June 1, 2011, rel.2010.08.30)
FAA Airport SMS Pilot Studies released May
2011
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 -
released 10/07/2010 (comment period
ends July 5)
*FAA
AC 150/5200-37 SMS for
Air Operators (2007.02.27)
*SMS Framework rev. 3 -
Pilot Project Guidance
for aviation organizations; released 06/01/2010
*SMS Implementation Guide rev. 3
- (guidance, expectations
& procedures) released 06/01/2010
*SMS Assurance Guide rev. 3 released 06/01/2010
Operations Manual: Human Factors in Airport
Operations (2007.09)
ACRP SMS for Airports Report, vol 2
(released
May 2011)
ACRP - Interview Summaries - SMS Implementation at Airports Outside the US
ACRP Report (TRB) SMS Airports - Vol.1
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
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NOTE:
June 3, 2011:
FAA Revises Schedule
For Safety Systems Implementation (FAA
Order 5200.11 Chg 1):
The agency was forced to reduce the
implementation schedule because it is
operating at the 2010 funding level and
is unable to undertake the planned
workload without additional financial
and staffing resources, says James
White, deputy director, airport safety
and standards. The
revision, issued June 1, will enable FAA
personnel assigned to review proposed
airport projects to apply SMS procedures
and documentation requirements to
projects at the nation's 29 large
airport hubs. The original SMS order of
last August, which defined procedures
for FAA personnel to follow, had
envisioned application to all hubs-36
medium-size airports and 72 small
hubs-by June 1. FAA personnel will
follow formal SMS procedures, including
the additional documentation, and will
conduct demanding risk analyses required
by SMS when reviewing large-hub projects
that need FAA approval. |
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Maintenance - MRO
*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)
*SMS Framework rev. 3 -
Pilot Project Guidance
for aviation organizations; released 06/01/2010
*SMS Implementation Guide rev. 3 - (guidance, expectations
& procedures) released 06/01/2010
*SMS Assurance Guide rev. 3
released 06/01/2010
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)
April 25 - US FAA administrator
Randy Babbitt is urging maintenance, repair and
overhaul (MRO) firms to formally adopt safety
management systems, saying SMSs will play a key
role in enhancing the industry's safety culture.
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ATO (Air Traffic Organization)
DRAFT For SMS NPRM 8900.1
Change XX (Evaluation Only) VOLUME 10 CHAPTER X -
released 11/3/2010
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
PowerPoint:
FAA ATO PowerPoint - Falteisek & Feinberg
08/2008
FAA ATO Summit 4 SMS Briefing PowerPoint -
Huan Nguyen, Director SMS October 23, 2008
-
ATOS -
Air Transportation Oversight System
ATOS -
Air Transportation Oversight System, Volume 10 of
FAA Order 8900.1
(May 14, 2011)
FAA Order 8900.1 - 4/15/08 FY08 THIRD quarter
Editorial updates (VOL.10)
-
FSIMS
- Flight Standards Information Management System
FAA
FSIMS website
FAA Order 8900.1
-
Establishment of Flight Standards Information
Management System (FSIMS)
(appendix-chapters)
Webpage for FSIMS doc - 8900.1
(with changes)
-
AVS - Aviation Safety
FAA Risk Management Handbook
(FAA-H-8083-2)
added 2011.03.03
FAA Order 8000.370, AVS Safety Policy (PDF)
*FAA Order VS 8000.367, AVS SMS Requirements (2008.05.14)
*FAA
Order 8000.369, AVS SMS Guidance (applies
to Aviation Safety Organization, ATO & Office of
Airports, 2008.09.30)
*FAA
Order 8000.1, AVS Safety Management Doctrine
(2006.08.11)
FAA Intro to SMS (AVSSMS) PowerPoint by Don Arendt
(2008.02.19)
Organizational Culture Model by Don Arendt
-
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 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 ATO PowerPoint
- Falteisek & Feinberg
08/2008
FAA ATO Summit 4 SMS Briefing PowerPoint - Huan Nguyen, Director SMS October 23, 2008
-
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
NEWS - FAA’s Aviation Safety and Airports offices will also
establish SMS by the end of fiscal year 2010
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
Gap Analysis Tools
Preliminary Gap Analysis AC - rev. 3
(Excel
format)
Detailed Gap Analysis AC - rev. 3
(Excel format)
Preliminary Gap Analysis MRO - rev. 3
(Excel format)
Detailed Gap Analysis MRO - rev. 3
(Excel format)
-
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 (ATO) Human Factors
public site training
FAA Human Factors Research & Engineering
(ATOP - Human Factors)
FAA Human Factors 1996 study, "The Interfaces
between Flightcrews & Modern Flightdeck Systems" (June 18, 1996)
-
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
-
FAA
Website & Resources, "Off-Site Links"
(FAA
"Core" SMS):
*
FAA
SMS "Home" Page*
(FAA website)
*
FAA
Regulation
& SMS
*
FAA Safety Management System Web Site
- designed to familiarize operators with SMS
FAA Plain Language -
(use to develop/amend
policy, manuals, etc...)
FAA Risk Management Handbook
2009
FAA System Safety Handbook
- developed for FAA employees, supporting
contractors & 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 - Safety Briefing:
- FAA
Aviation News website - many great articles on
Human Error, Fatigue, Safety, Nex Gen....etc...
- FAA website
-
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...)
-
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
(20FFFAA_09.07.15) **
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 120-92A SMS for Air Operators (2010.08.12)
9.
FAA AC 120-92 & 120-92A draft (old docs)
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
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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.
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
Aircraft
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