Safety Management System (SMS) Implementation …

1 FAA: SMS Implementation guide Revision 3 1 SSAAFFEETTYY MMAANNAAGGEEMMEENNTT SSYYSSTTEEMM ((SSMMSS)) IIMMPPLLEEMMEENNTTAATTIIOONN GGUUIIDDEE For: Safety Management System (SMS) Pilot Project Participants and Voluntary Implementation of Service provider SMS Programs Federal Aviation Administration Flight Standards Service - SMS Program Office Revision 3 June 1, 2010 FAA: SMS Implementation guide Revision 3 2 Table of Contents 1. 2. OBJECTIVE..3 3. 4. REFERENCES..4 5. GUIDANCE DOCUMENTS AND TOOLS.

2 5 6. SMS PILOT PROJECT..7 7. ROLES, RESPONSIBILITIES, AND 8. 9. SMS Implementation STRATEGY..11 10. Implementation LEVELS..13 11. ANALYSIS 12. Implementation PLAN..18 13. SMS PARTICIPATION VALIDATION 14. SMS Implementation Appendix Level 1 Appendix Level 2 Appendix Level 3 Appendix Level 4 Appendix Preliminary Gap Analysis Appendix Detailed Gap Analysis Appendix SMS Assessment Protocol ..155 Appendix Cross Reference between AC 120-92 and the SMS Appendix Example Letter of FAA: SMS Implementation guide Revision 3 3 GUIDANCE FOR SMS PILOT PROJECT (SMS PP) AND VOLUNTARY SMS Implementation ACTIVITIES 1.

3 PURPOSE. a. This SMS Implementation guide : (1) Contains guidance, expectations and procedures necessary to implement a Safety Management System (SMS) by aviation service providers (air operators, aviation maintenance organizations, flight training organizations, etc.). (2) Provides a three-level recognition System to acknowledge service provider participation in the SMS PP and associated development of their SMS in relation to FAA expectations and international standards. b. This Implementation guide is not mandatory and does not constitute a regulation.

4 Development and Implementation of an SMS is, therefore, voluntary. While the Federal Aviation Administration (FAA) encourages each service provider to develop and implement an SMS, these systems in no way substitute for regulatory compliance or with other certificate requirements, where applicable. 2. OBJECTIVE. The overall objective of this Implementation guide is to assist a service provider in developing and implementing an integrated, comprehensive Safety Management System for their entire organization. Specifically, it will help ensure that a service provider s SMS will be capable of: a.

5 Receiving Safety input from internal and external sources and integrating that information into their operational processes; b. Establishing and improving organizational Safety policy to the highest level; c. Identifying, analyzing, assessing, controlling and mitigating Safety hazards; d. Measuring, assuring and improving Safety Management at the highest level; e. Promoting an improved Safety culture throughout their entire organization; and f. Realizing a return on SMS investment through improved efficiency and reduced operational risk.

6 The Implementation guide will also assist FAA Certificate Management Teams (CMTs) in evaluating organizations SMS programs and participating in further development of Implementation and oversight strategies. FAA: SMS Implementation guide Revision 3 4 Note: Within the context of this document, the term FAA Certificate Management Team or just plain CMT, refers to any FAA oversight organization, such as an Air Transportation Oversight System Certificate Management Team (ATOS CMT), Certificate Management Office (CMO), Certificate Holding District Office (CHDO), Flight Standards District Office (FSDO) and any other designation that includes FAA Principal Inspectors.

7 3. APPLICABILITY. This Implementation guide is designed for application by both certificated and non-certificated aviation service providers that desire to develop and implement an SMS. An SMS is not currently required for certificate holders; however, the FAA views the expectations in the FAA SMS Framework to be the minimum characteristics (expectations) for a robust and therefore recognizable SMS, as developed by service providers. This Implementation guide is based on the SMS Framework. Note: Within the context of this document, the term aviation service provider refers to any organization providing aviation services.

8 The term includes certificated and non-certificated aviation organizations, aviation service providers, air carriers, airlines, maintenance repair organizations, air taxi operators, single pilot operators, corporate flight departments, repair stations, pilot schools, approved training organizations that are exposed to Safety risks during the provision of their services and organizations responsible for type design and/or manufacture of aircraft. The term aviation service provider is interchangeable with the term organization and service provider within this document.

9 4. REFERENCES. The following references are recommended reading material for users of this Implementation guide in development and Implementation of an SMS. a. Annex 6 to the Convention on International Civil Aviation, Operation of Aircraft b. International Civil Aviation Organization (ICAO) Document 9859, ICAO Safety Management Manual (SMM) c. ICAO Document 9734, Safety Oversight Manual d. FAA Order , Safety Management System Guidance e. FAA Order VS , Aviation Safety (AVS) Safety Management System Requirements f.

10 FAA Order , Flight Standards Service Oversight g. SMS Framework, FAA, AFS SMS Program Office Safety Management System Framework h. SMS Assurance guide , FAA, AFS SMS Program Office Safety Management System Assurance guide i. SMS Guidebook for Developing a Safety Management System for Air Operators (Currently in development) FAA: SMS Implementation guide Revision 3 5 5. GUIDANCE DOCUMENTS AND TOOLS. a. FAA Guidance. The FAA continues to consider and review a formal SMS rulemaking effort corresponding to changes made in ICAO Annex 6 as well as the FAA s own internal System Safety objectives.