The Evolution of Aviation SMS
While we have focused these posts primarily on components and impacts of the Federal Aviation Administration’s (FAA) 2024 SMS rule, let us turn to the growth of aviation safety and the creation of Safety Management Systems (SMS). Aviation safety has progressed significantly, evolving from reactive approaches focused on accident investigations to proactive risk assessments aimed at preventing accidents and incidents. One of the results is an industrywide program known as SMS, which integrates systematic processes for managing safety risks.
Historical Context
The early contributions to aviation safety trace back to pioneers like the Wright brothers, who, building on the success and failure of others like Langley and Lilienthal, adopted a methodical, data-driven approach in their quest for controlled flight. For example, by conducting extensive tests with kites, gliders, and wind tunnels, they developed a three-axis control system that improved stability and maneuverability. Their systematic methodology represented principles of safety management long before formal regulatory requirements.
In the 1920s and 1930s, as aviation began to mature, basic safety measures emerged. Organizations like the U.S. Post Office established standards for pilot training and aircraft maintenance. The rapid technological advancements during World War II, including radar systems and improved cockpit designs, further enhanced aviation safety. Post-war developments, such as the formation of the International Civil Aviation Organization (ICAO) in 1944, led to the formalization of international safety standards.
In 1958, following the tragic 1956 mid-air collision of two commercial aircraft over the Grand Canyon that claimed 128 lives, the U.S. Government established the FAA to consolidate oversight of civilian and military flights, aiming to enhance air traffic control and prevent such disasters. This was complemented by the creation of the National Transportation Safety Board (NTSB) in 1967, which became an independent body for accident investigation, driving significant safety reforms.
Adoption of Quality Management Principles
During the 1970s and 1980s, the aviation industry adopted quality management principles from manufacturing, including Total Quality Management (TQM) for structured safety performance tracking, Statistical Process Control (SPC) for data-driven decision-making, and flight data monitoring (FDM) systems to monitor flight data and proactively identify risks.
In 1997, the FAA and the aviation industry formed the Commercial Aviation Safety Team (CAST), advancing beyond reactive accident analysis to a proactive approach focusing on detecting risks and implementing mitigation strategies before incidents occur. By 2007, CAST successfully reduced the U.S. commercial aviation fatality risk by 83%.
By the early 2000s, the focus had firmly shifted from investigation to prevention, laying the foundation for today’s SMS.
The Birth of SMS
Recognizing the need for a global and structured approach to safety, ICAO implemented key initiatives:
- 2001 – Recommended SMS, encouraging proactive risk management over mere compliance.
- 2006 – Mandated SMS for commercial operators under Annex 6 to the Convention on International Civil Aviation, Operation of Aircraft, supported by the first edition of the Safety Management Manual (SMM) (Doc 9859).
- 2013 – Created Annex 19: Safety Management, consolidating all SMS-related guidance into a dedicated regulatory framework, establishing SMS as an industry standard.
SMS in the U.S.: From Voluntary to Mandatory
Aligned with ICAO’s initiatives, the FAA implemented these steps:
- 2006 – Published Advisory Circular (AC) 120–92 as guidance for voluntary SMS adoption.
- 2015 – Made SMS mandatory for Title 14, Code of Federal Regulations (14 CFR) part 121 air carriers under 14 CFR part 5, ensuring structured safety management across the airline industry.
- 2024 – Revised 14 CFR part 5 and its companion FAA AC 120–92D, expanding SMS requirements to include more aviation service providers and certain manufacturers, reinforcing its role as a universal aviation safety standard.
These developments underscore the aviation industry’s commitment to proactive risk management, ensuring higher standards worldwide.
Challenges and Opportunities Ahead
Today’s aviation SMSs leverage advanced technologies, real-time monitoring, predictive analytics, and integration of various data sources to mitigate risks before they result in accidents. Key data sources include—
- Flight Data Monitoring (FDM) to track aircraft performance and pilot actions during routine flights to identify unsafe trends and implement mitigations, e.g., procedural or training changes;
- Voluntary Safety Reporting Systems (e.g., Aviation Safety Reporting System (ASRS), and Aviation Safety Action Program (ASAP)), which encourage non-punitive reporting;
- Maintenance Reliability Programs that use predictive analytics to reduce equipment failures;
- Human Factors & Fatigue Risk Management (FRM), which monitor workload and stress levels to reduce risks associated with human error.
By integrating data and automation, including artificial intelligence (AI), SMS is evolving beyond traditional compliance to a dynamic risk management system. AI has the potential to enhance aviation safety by analyzing vast amounts of data, predicting maintenance needs, optimizing flight routes, and improving decision-making processes.
Implementing and maintaining SMS poses several challenges—
- Resistance to Change – Some employees see SMS as bureaucratic rather than practical.
- Data Integration Issues – Diverse data systems across airlines, manufacturers, maintenance providers, and regulators hinder information sharing and analysis.
- Cost and Resource Allocation – Smaller operators may find the costs and workload associated with SMS burdensome.
- Maintaining a Just Culture – Balancing accountability with non-punitive reporting is vital for open communication and employee buy-in.
Final Thoughts
Aviation safety has transformed from the Wright brothers’ early innovations to data-driven risk management, focusing on identifying risks, mitigating hazards, and continuous improvement. The goal is not to eliminate risk entirely but to manage it effectively. With SMS, aviation safety has reached new heights, making the skies safer than ever.
At PAI Consulting, we help organizations navigate SMS implementation and enhance safety performance through expert guidance, training, and compliance strategies.
Need help with SMS adoption?
PAI Consulting can help you take your safety program to the next level.
Contact us today for a consultation and let our expert Senior Aviation Analysts help your aviation SMS program succeed.
Contact us for a consultationDo you have questions or concerns about SMS? Share them with us!
PAI Consulting | Helping you succeed. Learn more.
Any opinions expressed in this article are those of the author and not the opinion of PAI Consulting. In addition, this article may contain links to third-party websites. PAI Consulting does not endorse or make any representations about them, or any information, software, or other products or materials found there, or any results that may be obtained from using them.