Safety Management Systems (SMS): What Level Do I Need?

In the drone and Advanced Air Mobility (AAM) industries, safety and productivity can often seem at odds with each other.  A properly tailored SMS strikes a balance – but fear not!  Your organization’s SMS does not need to be expensive, complicated, or burdensome.

Want to create and implement an SMS?  

Getting started may feel overwhelming at first.  There is a plethora of great information online from academic institutions, civil aviation authorities (CAA’s), and third-party consultants, but wading through it all and distilling it for your specific organization can be time consuming.

Anzen Unmanned has expertise in intelligently applying traditional SMS principles to unique and emerging technologies.  Your company can improve safety and enhance commercial opportunities by leveraging this expertise to build and manage your SMS.

Creating an SMS Program

Like all operators within the aviation industry, the balance between safety and productivity is critical for successful and sustainable operations. Balancing these is crucial for a company to ensure that safety is prioritized without jeopardizing its financial stability.

At its core, an SMS proactively identifies, assesses, and mitigates potential risks and hazards within an organization. By proactively managing risks, a functioning SMS can prevent accidents, injuries, and property damage.  Other advantages of a functioning SMS include:

• Improved productivity – reduced downtime due to accidents or injuries.

• Enhanced reputation – commitment to safety viewed favorably by customers and the FAA.

• Employee engagement – open communication and data sharing create trust within your organization.

Two things are required for an active and effective SMS (regardless of the size, scope, and complexity of an operation): 

• A firm commitment from top management 

• A safety focal with authority to implement and manage the program.  

Levels of SMS for UAS 

SMS can be distilled to five primary levels that support the varying needs of aviation organizations and operators.  The first four are more commonly used within the UAS industry while the fifth – Required SMS – is specific to regularly scheduled air carriers and is less commonly used within the UAS industry. Anzen Unmanned leverages our UAS and crewed aviation SMS experience to assist organizations with developing and/or maturing their SMS, no matter which level is desired: 

• Basic SMS can be defined within a simple one-to-two-page SMS manual, detailing procedures which can be adopted to enhance safety for small operators.

• Declarative SMS meets the intent of a formal SMS when there is no need (or intent) to submit to the FAA for acceptance. Reasons to develop this SMS level might include customer SMS requirements, enhanced safety, or enhanced profitability.

• Auditable SMS is designed to provide SMS artifacts acceptable to the FAA or other aviation authority and is intended as a prerequisite for operations or services that may require FAA review of the organization’s SMS.

• SMS Voluntary Program (SMSVP) is currently only available to operators needing certificates under 14 CFR parts 125, 133, 135, 137, 141, 142, 145, and 147, which includes some UAS operators (highlighted in the table below).  The FAA’s SMSVP allows certificate holders to obtain FAA acceptance of an SMS through the SMSVP Program. The SMSVP has its own standard (voluntary program guidelines and performance measures) that must be successfully completed to be accepted by the FAA. 

• Required SMS in accordance with 14 CFR part 5 only applies to air carriers certified under 14 CFR part 119 and conducting operations in accordance with part 121. The SMS must be submitted to the FAA for formal review and acceptance prior to use. The FAA’s acceptance means that the SMS meets the FAA’s applicable criteria, and that the FAA has no objection to the SMS.  The FAA audits the organization’s SMS artifacts on a periodic basis. 

  • Part 125 - Large Group Charter

  • Part 133 - Rotorcraft External Load

  • Part 135 - Rotorcraft External Load

  • Part 137 - Agricultural Operations

  • Part 141 - Pilot Schools

  • Part 142 - Training Centers

  • Part 145 - Repair Stations

  • Part 147 - Aviation Maintenance Schools

What level of SMS do I need? 

To achieve a more effective level of safety, the adoption of SMS by the UAS community is essential for risk mitigation, public trust, and the overall success, reputation, and sustainability of the industry. Embracing SMS principles helps ensure the safe, efficient, and responsible integration of unmanned aircraft into the broader aviation ecosystem. 

“You have to pick your battles,” says Wendy Ljungren, Anzen’s Chief Operating Officer. “We’re talking about using a surgical approach, rather than a shotgun.”

Anzen Unmanned is uniquely qualified to understand what works best within this industry. We can either act as your company’s safety focal or support a currently appointed safety focal to build and grow your company’s SMS.  Rather than trying to force-fit an SMS template or tool, Anzen Unmanned can help you determine the best level of SMS for your operation.

Contact us today to see how we can help your company.

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