This advisory circular (AC) provides information for part 121 and 135 air carriers and part 91.147 that are required to implement Safety Management Systems (SMS) based on 14 CFR part 5. This AC may also be used by other aviation service providers interested in voluntarily developing an SMS based on the requirement of part 5.

This notice provides interim guidance related to the amendments to Title 14 of the Code of Federal Regulations (14 CFR) Part 5, Safety Management Systems, effective May 28, 2024. The amendments to part 5 are applicable to existing and new applicants for 14 CFR part 121; part 135; and part 91, § 91.147 commercial air tour operations. This notice also provides guidance for new and existing participants in the Safety Management System (SMS) Voluntary Program (SMSVP) that hold an existing Federal Aviation Administration (FAA) letter of acknowledgment and that are now required to comply with part 5.

The SMS GAP Analysis Tool and can be used for assessing an organization with respect to meeting the SMS requirements of the part 5 SMS Program.

IS-BAO has issued Guidance dated 11/01/2024 to assist US operators that seek or wish to maintain FAA acceptance of their SMS under the FAA 14 CFR Part 5 - Safety Management Systems (Part 5), by providing guidelines to assess, monitor, and manage their compliance with the regulation. In other words, this document supplements other IS-BAO Guidance material without replacing any of it.

The FAA has issued the final Rule for CFR Part 5 Safety Management Systems. The Rule becomes effective May 28, 2024.

Aviation organizations participating in the SMSVP and existing part 121 certificate holders need to meet the updated requirements specified in part 5. Part 121 and existing SMSVP participants have 12 months after the effective date of May 28,2024 to meet this requirement. Changes include the following:

This short power point presentation walks the user through how to access the most current FAA SMS DCTs on the web. The DCTs are what FAA representatives use as their guidance for assessing if an operators is in compliance with 14 CFR Part 5. Looking at your SMS from this perspective may help you to prepare for when the FAA comes to evaluate your organization against 14 CFR Part 5.

PRISM offers a practical, 3-day Safety Management System (SMS) course designed to provide you with the knowledge you need to implement and maintain an effective SMS in your operation. The course is highly interactive and provides four (4) credits towards the NBAA Certified Aviation Manager (CAM) Program.

PRISM Employee SMS Training is a customizable Microsoft Power Point Presentation that may be saved to your computer and modified to educate company employees on the safety management processes within your organization. The presentation covers all 12 elements of a Safety Management System as identified by ICAO and the involvement of employees in the PRISM SMS Toolkit.

Use this form to document completion of training from the PRISM website for individual employees.

This a spreadsheet that helps show how Safety Objectives are related to both SPIs and SPTs, including proactive and reactive examples.

As part of the Management of Change, your organization should have a running list of changes the organization is experiencing and identify any hazards associated with each change. Download this example format of a “Change List” and keep it in your Safety Locker. We recommend that it be updated at every Safety Committee Meeting. If there are hazards associated with any of the changes on the list, document the associated risk assessment in the Risk Assessment Tool (RAT).

This module describes the fundamentals, implementation, and execution of an Internal Evaluation Program. It is designed to enhance the safety assurance pillar of your Safety Management System.

It is important to realize that as an aircraft operator, inevitably circumstances will arise that demand an internal investigation in an aviation related event, and the information obtained could have significant impact. The value of uncovering who, what, and why cannot be overstated.

The Safety Training Element for the 4th quarter 2008 details Safety Culture. This module describes the organizational characteristics of an operation as they relate to its culture and is designed to enhance the safety promotion pillar of your Safety Management System.

Interested in assessing your operation? PRISM can perform a confidential online Safety and Culture Survey that presents you with a clear picture of your organization from the employees’ perspective. This service is available at no cost to PRISM Pro subscribers or for a small fee for PRISM Essential subscribers. Please contact PRISM for more details.

A gap analysis evaluates what SMS elements may currently be in place from an existing safety program and identify elements that must be added or modified. This GAP Analysis may be helpful for IS-BAO and ICAO based SMS.

Use this checklist in conjunction with the SMS Gap Analysis Safety Training Element for IS-BAO and ICAO based SMS.

The Safety Officer Selction Tool was created to assist managers/leaders in the evaluation process as they determine who will be assigned primary responsibility for the execution of a company’s safety management system. It can also be used as a professional development guide, as safety officers/managers look to expand their professional qualifications and experience.

This is a brief that was presented by NTSB at an aviation industry event. Amongst other things it includes: (1) The function of the NTSB, (2) Defining an accident, and (3) What do if your company is involved in an accident. Use this brief to augment your understanding of your organization's Emergency Response Plan (ERP).

This is a copy of an Exhibit 31 from a US Forest Service contract. It is marked up in red font with references to which PRISM SMS Tool you might use to provide evidence for that question. Note that some questions can only be answered by your General Operations Manual (GOM), which is outside the scope of PRISM ARMOR. Feel free to contact PRISM customer support for some further guidance if needed.

This is a copy of the new Exhibit 31 from a US Forest Service contract. It is marked up in red font with references to which PRISM SMS Tool you might use to provide evidence for that question. Note that some questions can only be answered by your General Operations Manual (GOM), which is outside the scope of PRISM ARMOR. Please use the version requested by the USFS in your area. Feel free to contact PRISM customer support for some further guidance if needed.

This is a copy of the new Attachment 24 from a US Forest Service contract. It is marked up in red font with references to which PRISM SMS Tool you might use to provide evidence for that question. Note that some questions can only be answered by your Operations Manual, which is outside the scope of PRISM ARMOR. There may be some USFS regions using the old format so please use the version requested by the USFS in your area. Attachment 24 is nearly identical to the Air Tanker Exhibit 13. The example provided for Attachment 24 can be used as a guide for both. Feel free to contact PRISM customer support for some further guidance if needed.

This document helps Aviation Safety Managers understand how the PRISM SMS tools align with the ICAO SMS 4 Components (Pillars) and their 12 Elements

This module describes what a root cause analysis is and how a root cause analysis can be completed uses various methods available.

This module describes the sequence of events surrounding accident reaction and response in your operation and is designed to enhance the Policy pillar of your Safety Management System.

This document is an example of a Safety Committee agenda. It can be used as a starting point for your agenda topics.

Is your flight operation at IS-BAO Stage 1 or 2? The leap from Stage 1 to Stage 2 is significant, and the jump from there up to Stage 3 is equally as challenging. Join Steve on this webinar to plan this progression, review specific examples, and become more informed about how to make certain your operation's SMS is progressing sufficiently.