Use Case Report: Enhancing Flight Department Safety through Expert SMS Management & Administration

Executive Summary

Flight departments across the aviation industry face increasing regulatory, operational, and cultural pressures to implement effective Safety Management Systems (SMS). SMS4Aviation, LLC, a consultancy led by industry-recognized SMS subject matter experts, provides tailored SMS solutions to help flight departments achieve compliance, improve safety performance, and embed a proactive safety culture. This use case illustrates how SMS4Aviation supports aviation service providers in establishing, managing, and continuously improving their SMS programs.

Company Background

SMS4Aviation, LLC is a specialized consulting firm dedicated to guiding aviation organizations through the development, implementation, and oversight of Safety Management Systems. With a focus on FAA Part 5 compliance and ICAO Annex 19 standards, the company works with a broad client base—including corporate flight departments, charter operators, airports and maintenance providers—across North America and internationally.

The Challenge

Many flight departments—particularly small to mid-sized operations—lack the internal expertise, time, or resources to fully implement and sustain an effective SMS. Common challenges include:

• Misalignment with FAA Part 5 and ICAO requirements
• Inconsistent safety reporting or hazard identification
• Difficulty integrating SMS with operational workflows
• Limited internal training on SMS roles and responsibilities
• Preparing for third-party or regulatory audits

The Solution

SMS4Aviation provides end-to-end SMS support tailored to each client’s size, structure, and needs. Services include:

• Gap analyses and baseline SMS assessments
• Custom SMS manuals, policies, and procedures
• Implementation of risk management processes, including hazard logs and safety risk matrices
• Training and coaching for Accountable Executives,      Safety Managers, and front-line staff
• Ongoing SMS administration, including data review, safety committee participation, and program updates
• Guidance on integrating digital safety platforms or managing manual systems effectively

All services are grounded in ICAO’s four pillars of SMS: Safety Policy, Safety Risk Management, Safety Assurance, and Safety Promotion.

Outcomes and Benefits

Clients supported by SMS4Aviation have experienced significant operational and cultural benefits:

• Improved regulatory compliance with FAA and ICAO standards
• Increased hazard reporting rates and employee engagement
• Successful completion of third-party safety audits (e.g., IS-BAO, ARGUS, Wyvern)
• Clearer safety objectives aligned with operational goals
• Reduced administrative burden on internal staff through expert SMS oversight
• Establishment of a sustainable, data-driven safety culture

Lessons Learned

• Leadership buy-in is essential; SMS must be driven from the top down
• Scalability matters — one-size-fits-all approaches don’t work across departments of different sizes
• Continuous training and promotion help embed the SMS into daily operations
• Periodic third-party evaluations help maintain SMS effectiveness and identify new risks

Future Outlook

As SMS regulations evolve and expectations for proactive safety culture rise, SMS4Aviation will continue expanding its service offerings to include:

• Integration with digital safety data platforms
• Remote safety monitoring and safety data analytics
• Customized workshops for emerging safety risks (e.g., fatigue, automation reliance, cybersecurity)

Conclusion

By partnering with SMS4Aviation, flight departments gain access to deep SMS expertise, proven implementation strategies, and ongoing administrative support. The result is a more resilient, transparent, and effective safety program—aligned with industry best practices and tailored to operational realities.

State Safety Program (SSP)

Safety Management System Obligations

The U.S. recognizes the requirement for States to establish regulations requiring service providers to implement SMS. The U.S. filed a difference, however, because it has not issued regulations requiring the implementation of SMS by approved training organizations that are exposed to safety risks related to aircraft operations during the provision of their services; some operators of airplanes or helicopters authorized to conduct international commercial air transport; approved maintenance organizations providing services to operators of airplanes or helicopters engaged in international commercial air transport; organizations responsible for the type design or manufacture of aircraft; and aerodromes certified in accordance with Annex 14. 

The FAA has provided guidance for several voluntary SMS programs. As a result, many U.S. product/service providers meet ICAO SMS requirements even though the State has not yet issued regulations applicable to the aforementioned organizations. In accordance with ICAO Annex 19 standards, the U.S., through AOV, has implemented SMS requirements for the U.S. ANSP, the ATO. Additionally, on January 8, 2015, the FAA issued a final rule requiring each air carrier operating under 14 CFR part 121 to develop and implement an SMS to improve the safety of its aviation-related activities. 

The FAA approved all U.S. 14 CFR part 121 carriers' SMS programs by March 9, 2018. The FAA developed 14 CFR part 5 as a standard that could be extended to other certificate holders in the future. The FAA issued a notice of proposed rulemaking (NPRM) followed by a supplemental notice of proposed rulemaking (SNPRM) proposing to require airports certificated under 14 CFR part 139 to establish an SMS. This rulemaking process is ongoing. 

Voluntary SMS Projects Regulations may not always be feasible and other mechanisms to meet the intent of ICAO Annex 19 may be necessary. The development of processes to oversee SMSs of product/service providers outside the FAA began with voluntary SMS pilot projects. 

These pilot projects have been in place for several years and have been quite successful. Participation in the SMS pilot projects positions industry organizations for easier transition to SMS. 

The FAA conducted voluntary SMS pilot projects with airport operators and aircraft design and manufacturers. In addition, FS has an ongoing voluntary pilot project that includes participation from various types of service providers overseen by FS. 

SMS pilot projects offer industry participants broad experience in the development of an SMS, input to FAA guidance under development, and an opportunity to share best practices and lessons learned. In addition, they provide a practical environment in which the FAA can revise or develop additional processes to oversee product/service providers that are implementing or have implemented an SMS.  These organizations can apply what they learned from the pilot projects while transitioning to voluntary programs. 

Additionally, FAA established an Aviation Rulemaking Committee (ARC) which assessed the application of SMS to 14 CFR part 21 organizations. 

Additionally, the FAA has initiated rulemaking that would require persons engaged in the design and production of aircraft, engines, or propellers; certificate holders that conduct common carriage operations under 14 CFR part 135; persons engaged in maintaining 14 CFR part 121 aircraft under 14 CFR part 145; and persons conducting certain, specific types of air tour operations under 14 CFR part 91 to implement an SMS. 

For those components of the aviation system that are not currently covered by the FAA’s existing SMS requirements, the FAA has provided guidance for the development of voluntary SMS programs. 

The FAA conducted voluntary SMS pilot projects with airport operators, and aircraft design and manufacturing organizations to study the implementation of SMS in these segments. Since 2006, FS has sponsored voluntary pilot projects that include, among others, air carriers (14 CFR part 135 certificate holders) and repair stations (14 CFR part 145 certificate holders).