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SMS and SSP Reference Library

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Article Information
Category: Safety Management Safety Management
Content source: Safety Management International Collaboration Group (SM ICG) Safety Management International Collaboration Group (SM ICG)
Content control: Safety Management International Collaboration Group (SM ICG) Safety Management International Collaboration Group (SM ICG)


Description

The purpose of this reference library is to provide a source of information on Safety Management Systems (SMS) and State Safety Program (SSP) principles and requirements. One method to bring about a common understanding of SMS and SSP is the sharing of documents, tools, guidance and training material. The Safety Management International Collaboration Group (SM ICG) strives to share the collective body of safety management knowledge with aviation regulators and service providers worldwide.

This library contains a collection of existing guidance material applicable to both service providers and regulators, and is provided by the following SM ICG members: the Aviation Safety and Security Agency (AESA) of Spain, the National Civil Aviation Agency (ANAC) of Brazil, the Civil Aviation Authority of the Netherlands (CAA NL), the Civil Aviation Authority of New Zealand (CAA NZ), the Civil Aviation Safety Authority (CASA) of Australia, the Direction Générale de l'Aviation Civile (DGAC) in France, the European Aviation Safety Agency (EASA), the Federal Office of Civil Aviation (FOCA) of Switzerland, the United States Federal Aviation Administration (FAA) Aviation Safety Organization, Transport Canada Civil Aviation (TCCA), and the Civil Aviation Authority of United Kingdom (UK CAA). The table below also includes resources from the European Strategic Safety Initiative (ESSI) European Commercial Aviation Safety Team (ECAST). These shared documents are organized and indexed to aid the user in identifying areas of interest. Unless otherwise specified, documents are in English.

References

Civil Aviation Authority (CAA) and International Civil Aviation Organization (ICAO) SMS Websites


Training


Guidance, Tools, Regulations, and Material for Small Organizations

Most of the resources listed below can be applicable to many types of organizations, ranging in size and complexity. The column on the far right contains material specifically written for small organizations.

Guidance Tools Regulations Small Organization
FAA Safety Management System Policy: VS 8000.369 (FAA) Part I - General Provisions Subpart 7 - Safety Management System Requirements: CAR Part 1, Subpart 7 (TCCA – English French) Voluntary Implementation of SMS for Non-Part 121 Operators, MROs, and Training Organizations (FAA) Information for Operators: InFO 11010 (FAA)
Introduction to Safety Management Systems (SMS) for Airport Operators: AC 150/5200-37 (FAA) Part III - Aerodromes, Airports and Heliports Subpart 2 - Airports Division V - Safety Management System: CAR Part 3, Subpart 2, Division V (TCCA – English French) Safety Management System Assessment Guide: SMS-003 (FOCA) Safety Management Systems Development Guide for Small Operators/Organizations: AC 107-002 (TCCA – English French)
SMS for Design and Manufacturing Organizations (FAA) Part V - Airworthiness, Subpart 73 - Approved Maintenance Organizations, Division II - Safety Management System: CAR Part 5, Subpart 73, Division II (TCCA – English French) SMS for Aviation – A Practical Guide (CASA) Guidance Material for SMS Manual (Including Airport Operator SMS When Applicable): V1 (DGAC)
FAA Aviation Safety (AVS) Safety Management System Requirements: VS 8000.367) (FAA) Part VII - Commercial Air Services, Subpart 5 - Airline Operations, Division X - Safety Management System: CAR Part 7, Subpart 5, Division X (TCCA – English French) IHST Helicopter SMS Toolkit (IHST) Applicable Regulations for AFISP and Means of Compliance: MAC AFIS V3R1 (DGAC) (French)
FAA Aviation Safety (AVS) Safety Policy: VS 8000.370 (FAA) Part VII - Commercial Air Services, Subpart 6 - Aircraft Maintenance Requirements for Air Operators: CAR 706.15 (TCCA – English French) Guidance for the Implementation of SMS (Airlines and Maintenance Organizations): V2 (DCAG) (French) Guidance for the Implementation of SMS (Airlines and Maintenance Organizations): V2 (DGAC) (French)
Safety Management Systems for Aviation Service Providers: AC 120-92 (FAA) Part VIII - Air Navigation Services, Subpart 5 - Safety Management System: CAR 805 (TCCA – English French) EHEST Safety Management Toolkits (ESSI/EHEST) SMS Light for Small Organisations/Clubs (CAA NL)
Information for Operators: InFO 11010 (FAA) Conditions on Air Operators’ Certificates Authorising Regular Public Transport Operations in Other Than High Capacity Aircraft: Civil Aviation Order 82.3 (CASA) Safety Management Systems for Aerodromes - Tools and Guidance (CASA) Guidance Material for Change Notification: V1.0 (DGAC) (French)
Guidance Material for SMS Manual (Including Airport Operator SMS When Applicable): V1 (DGAC) (French) Conditions on Air Operators’ Certificates Authorising Regular Public Transport Operations in High Capacity Aircraft: Civil Aviation Order 82.5 (CASA) Safety Oversight Procedures (in ATM/ANS) (DGAC) (French) Safety Management Systems for Small Operators/Organizations (Flying Schools and Other Training Facilities; Government Air Operators and Aerial Work): Resolução 106 (ANAC) (Portuguese)
SMS Implementation Guidance for Pilot Project Participants and Voluntary SMS Implementation (FAA) Part 145 Manual of Standards (MOS) (CASA) Form for Safety Analysis (Airports): Rev 4 (DGAC) (French) Guidance for the Implementation of SMS (Specificities of Maintenance Organizations): P-50-11 Ed 1 Rev 0 (DGAC) (French)
Safety Management System: Order 8900.1, Flight Standards Information Management System, Volume 17 (FAA) Civil Aviation Training Centers: RBAC 142 (ANAC) (Portuguese) Guidance for Safety Analysis (Airports): Rev 3 (DGAC) (French) SMS Guidance for Small, Non-complex Organisations (UK CAA)
Safety Management System for Maintenance Organizations (Means of Compliance): IS Nº 145.214-001 (ANAC) (Portuguese) SMS for On Demand Operators: RBAC 135 (ANAC) (Portuguese) Score Your Safety Culture: TP 13844 (TCCA – English French) SMS Phase 1 Evaluation Framework for Non-complex Organisations (UK CAA)
Guidance on Safety Management Systems Development: AC 107-001 (TCCA – English French) SMS for Airline Operators: RBAC 121 (ANAC) (Portuguese) Safety Management Systems for Regular Public Transport Operations: CAAP SMS-1(0) (CASA) SMS Phase 2 Evaluation Framework for Non-complex Organisations (UK CAA)
Score Your Safety Culture: TP 13844 (TCCA – English French) SMS for Agricultural Aircraft Operators: RBAC 137 (ANAC) (Portuguese) Guidance Material for Change Notification: V1.0 (DGAC) (French)
Guidance for the Implementation of SMS (Specificities of Maintenance Organizations): P-50-11 Ed 1 Rev 0 (DGAC) (French) Safety Management Systems for Small Operators/Organizations (Flying Schools and Other Training Facilities; Government Air Operators and Aerial Work): Resolução 106 (ANAC) (Portuguese) Non‐Technical Skills Training and Assessment for Regular Public Transport Operations: CAAP SMS‐3(1) (CASA)
Safety Management Systems Development Guide for Small Operators/Organizations: AC 107-002 (TCCA – English French) SMS for Maintenance Organizations: RBAC 145 (ANAC) (Portuguese) Guidance on the Establishment of a Flight Data Analysis Program (FDAP) – Safety Management Systems (SMS): CAAP SMS‐4(0) (CASA)
Non‐Technical Skills Training and Assessment for Regular Public Transport Operations: CAAP SMS‐3(1) (CASA) SMS for Aerodromes: RBAC 153 (ANAC) (Portuguese) SMS Phase 1 Evaluation Framework (UK CAA)
Guidance on Safety Management Systems Development: AC 107-001 (TCCA – English French) SMS for Airspace Control System: DCA 63-3 (DECEA) (Portuguese) SMS Phase 2 Evaluation Framework (UK CAA)
Applicable Regulations for AFISP and Means of Compliance: MAC AFIS V3R1 (DGAC) (French) Brazilian Safety Program for Civil Aviation: PSO – BR (ANAC) (Portuguese)
Guidance for the Implementation of SMS (Training Organizations): Rev 1 (DGAC) (French) SSP ANAC: PSOE-ANAC (ANAC) (Portuguese)
Guidance on the Establishment of a Flight Data Analysis Program (FDAP) – Safety Management Systems (SMS): CAAP SMS‐4(0) (CASA) SSP COMAER: PSOE COMAER (DECEA) (Portuguese)
Guidance for Safety Analysis (Airports): Rev 3 (DGAC) (French) SMS for ANS: Regulation (EC) No 1035/2011 (EASA)
Guidance for the Implementation of SMS (Airlines and Maintenance Organizations): V2 (DCAG) (French) SM for Air Crew (Authorities and Organisations): Regulation (EC) No 290/2012 (EASA)
Safety Management Systems for Regular Public Transport Operations: CAAP SMS-1(0) (CASA) SM for Air Operators (Authorities and Organisations): Regulation (EU) No 965/2012 (EASA)
Safety Management Systems for Aerodromes - Tools and Guidance (CASA) Safety Oversight in ATM and ANS: Regulation (EU) 1034/2011 (EASA)
Guidance on Operational Risk Assessment (ARMS Methodology) (ESSI/ECAST) Guidance for the Implementation of SMS (Airlines and Maintenance Organizations): V2 (DGAC) (French)
IHST Helicopter SMS Toolkit (IHST) Title 14 of the Code of Federal Regulations: Part 5—Safety Management Systems (FAA)
EHEST Safety Management Toolkits (ESSI/EHEST)
Guidance Material Related to SMS for Airlines (DGAC) (French)
SMS Light for Small Organisations/Clubs (CAA NL)
Safety Management Systems Development Guide (Operations Conducted Under Part 119): IS Nº 119-002D (ANAC) (Portuguese)
Advisory Circular: Safety Management: AC100-1 (CAANZ)
El Sistema de Gestión de la Seguridad Operacional (SMS): A-DEA-RSEG-01 (AESA) (Spanish)
Integration of Human Factors (HF) into Safety Management Systems (SMS): CAAP SMS-2(0) (CASA)
SMS for Aviation – A Practical Guide (CASA)
General Safety Management Information (FAA)
Part VI - General Operating and Flight Rules, Subpart 4 - Private Operators, Division XII - Safety Management System (TCCA – English French)
Safety Culture Framework for the ECAST SMS-WG (ESSI/ECAST)
Aircraft Ground Handling and Human Factors: NLR-CR-2010-125 (ESSI/ECAST)
Just Culture and Human Factors Training in Ground Service Providers: NLR-TR-2010-431 (ESSI/ECAST)
Guidance on Organisational Structures (ESSI/ECAST)
Helicopter Association International (HAI) SMS Video (IHST/HAI)
Guidance Material on Safety Risk Management Process: NPA 2013-01(C) - GM3 145.A.65(a)(3) Management System (EASA)
Safety Management Systems for Aerodromes: AC 139-16(1) (CASA)
Guidance for the Implementation of SMS (Airports): Ed 3 (DGAC) (French)
Swiss Aviation Safety Conference (FOCA)
Swiss State Safety Program (SSP) (FOCA) (German)
FOCA Certification Leaflet (CL): Management System (FOCA)
Guidance Material Related to SMS for Airports (DGAC) (French)
Guidance Material Related to SMS for AFIS (DGAC) (French)
Guidance Material Related to SMS for Communication Navigation Surveillance Providers (DGAC) (French)
Oversight Procedures of SMS for ANSP (DGAC) (French)
Guidance Material Related to SMS for ATO (DGAC) (French)
User Guide and Templates for Occurrence Reporting (DGAC) (French)
Guidance on Hazards Identification (ESSI/ECAST)
Root Cause Analysis and Corrective Action for TCCA Findings: AC SUR-002 (TCCA – English French)
Civil Aviation Surveillance Program: AC SUR-004 (TCCA – English French)
U.S. State Safety Program 2015 Version 1.0 (FAA)
SMS Guidance for Organisations (UK CAA)

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