Single Pilot Operator – Worried About SMS?

Jul 9

The new Safety Management System (SMS) rule is here, and if you’re a single pilot operator, you might share the concerns many others have regarding the practicality of meeting some of its provisions given your organization’s structure. With the final rule now published, it's important to note that single pilot operators may be granted relief from several parts of the new rule. According to 14 CFR 5.9(e), thirteen requirements do not apply to “[s]ingle-pilot operations and single-individual organizations...with a single pilot who is the sole individual performing all necessary functions in the conduct and execution related to, or in direct support of, the safe operation of aircraft.” FAA Advisory Circular (AC)–120–92D, Safety Management Systems for Aviation Service Providers, Appendix G, Small Operator Implementation, also provides excellent guidance for small (including single‑pilot) operators to comply with the remainder of 14 CFR part 5. You can find the exact requirements from which single-pilot operators are exempt at ecfr.gov, or see the table below (includes AC 120–92 guidance), or download it as a PDF.

    Section and Topic
    Exemptions from SMS Requirements for Single Pilot Operators
    AC 120-92D Guidance
  
    Safety Policy 
  
    5.21(a)(4), 
Safety policy.
    (a) The certificate holder must have a safety policy that includes at least the following:

(4) A safety reporting policy that defines requirements for employee reporting of safety hazards or issues.
    Note: A single-individual organization is not required to have a process to communicate safety information throughout the aviation organization.
  
    5.21(a)(5), 
Safety policy.
    (a) The certificate holder must have a safety policy that includes at least the following:

(5) A policy that defines unacceptable behavior and conditions for disciplinary action.
  
    5.21(c), 
Safety policy.
    (c) The safety policy must be documented and communicated throughout the person’s organization.
  
    5.23(a)(2), 
Safety accountability and authority.
    (a) Any person required to have an SMS under this part must define in its safety policy the accountability for  safety of the following individuals:

(2) All members of management in regard to developing, implementing, and maintaining SMS processes within  their area of responsibility, including, but not limited to:

(i) Hazard identification and safety risk assessment.

(ii) Assuring the effectiveness of safety risk controls.

(iii) Promoting safety as required in subpart E of this part.

(iv) Advising the accountable executive on the performance of the SMS and on any need for  improvement.
    In single-individual organizations, this structure will be very simple and consist of the sole individual being the accountable executive and assuming the various  roles and responsibilities, which would normally be  assigned to other members of management. The  single individual would also be responsible for  accepting all risks associated with the aviation organization’s products or services.

As their organizational duties change, which could happen many times during the day, the single  individual could be said to be changing hats as their  role changes as they manage the activities required in § 5.23.

Note: §§ 5.23(a)(2), (a)(3), and (b) not apply to those  organizations with a single pilot who is the sole  individual performing all necessary functions in the conduct and execution related to, or in direct support  of, the safe operation of the aircraft:
  
    5.23(a)(3), 
Safety accountability and  authority.
    (a) Any person required to have an SMS under this part must define in its safety policy the accountability for  safety of the following individuals:

(3) Employees relative to the person’s safety performance.
  
    5.23(b), 
Safety accountability and  authority.
    (b) The person must identify the levels of management  with the authority to make decisions regarding safety risk  acceptance.
  
    5.25(b)(3), 
Designation and  responsibilities of required  safety management  personnel.
    (b) Responsibilities of the accountable executive. The  accountable executive must accomplish the following:

(3) Communicate the safety policy throughout the person’s organization.
    In a single-individual operation, these duties would be fulfilled by the accountable executive.

Note: 5.25(b)(3) does not apply to those  organizations with a single pilot who is the sole  individual performing all necessary functions in the  conduct and execution related to, or in direct support  of, the safe operation of the aircraft.
  
    5.25(c), Designation and  responsibilities of required  safety management  personnel.
    (c) Designation of management personnel. The  accountable executive must designate sufficient  management personnel who, on behalf of the  accountable executive, are responsible for the following:

(1) Coordinate implementation, maintenance, and integration of the SMS throughout the person’s  organization,

(2) Facilitate hazard identification and safety risk analysis,

(3) Monitor the effectiveness of safety risk controls,

(4) Ensure safety promotion throughout the person’s organization as required in subpart E of this part,

(5) Regularly report to the accountable executive on the performance of the SMS and on any need for  improvement.
    In a single-pilot organization, the accountable executive would perform these designated duties as part of their duties under §5.25. Effective communication of safety information is still important, even in a single-pilot or single-individual organization. Communication would be focused outside of the organization (i.e., regular communication with aviation system stakeholders, industry associations, clients, the FAA, and other organizations).

Note: § 5.25(c) does not apply to those organizations with a single pilot who is the sole individual performing all necessary functions in the conduct and execution related to, or in direct support of, the safe operation of the aircraft.
  
    5.27(a), 
Coordination of emergency response planning.
    Where emergency response procedures are necessary, any person required to have an SMS under this part must develop, and the accountable executive must approve as part of the safety policy, an emergency response plan that addresses at least the following:

(a) Delegation of emergency authority throughout the person’s organization.
    Effective communication of safety information is important, even in a single-pilot organization. In an organization with a single pilot or single individual, the communication focus may be outside the organization (e.g., regular communication with aviation system stakeholders, industry associations, clients, the FAA, and other organizations). Interfacing with maintenance, fixed-based operators, and flight followers (if one is used) all require communication, so they are aware of the aviation organization’s activities. This will aid in scheduling support activities as well as having someone keep an eye out in case plans do not go as predicted.,

In a single-pilot or single-individual organization, this could be met by simply filing flight plans with air traffic control (ATC) or leaving an envelope with emergency contact information at the local Fixed-Base Operator (FBO) if the aircraft does not return on time.

Note: §§ 5.27(a) and (b) do not apply to those organizations with a single pilot who is the sole individual performing all necessary functions in the conduct and execution related to, or in direct support of, the safe operation of the aircraft
  
    5.27(b), 
Coordination of emergency response planning.
    Where emergency response procedures are necessary, any person required to have an SMS under this part must develop, and the accountable executive must approve as part of the safety policy, an emergency response plan that addresses at least the following:

(b) Assignment of employee responsibilities during the emergency.
  
    Subpart C – Safety Risk Management 
  
    Safety Assurance 
  
    5.71(a)(7), 
Safety performance monitoring and measurement.
    (a) Any person required to have an SMS under this part must develop and maintain processes and systems to acquire data with respect to its operations, products, and services to monitor the safety performance of the organization. These processes and systems must include, at a minimum, the following:

(7) A confidential employee reporting system in which employees can report hazards, issues, concerns, occurrences, incidents, as well as propose solutions and safety improvements, without concern of reprisal for reporting.
    In small organizations, data collection for the reporting system can take many forms, from a simple suggestion box to organizational websites or intranets or a dedicated email address. Data management can be accomplished with a common desktop spreadsheet, database software, or specialized software, such as WBAT.

Note: § 5.71(a)(7) does not apply to those organizations with a single pilot who is the sole individual performing all necessary functions in the conduct and execution related to, or in direct support of, the safe operation of the aircraft.
  
    Subpart E – Safety Promotion 
  
    § 5.93, 
Safety communication.
    In smaller or lower‑complexity aviation organizations, communicating safety considerations to employees may be simple and direct. For example, the accountable executive could conduct regular all-hands/employee meetings, such as “hangar talk sessions.” Additionally, communication could include regular and periodic briefings to the employees, posting the status of safety issues on bulletin boards, emails to employees, and face‑to‑face meetings with division management teams. Aviation organizations with only a few employees could utilize a required reading list consisting of material from industry or other sources. The selected material would be applicable to the operations conducted. Documentation of what was reviewed would meet the requirements of § 5.97(d).
    Small organizations should consider the methods they will use when sharing information with other aviation service providers they interface with. Methods used can be as simple or as complex as the organization chooses, but they should be consistent. Maintaining a “Journey Log” or “Unusual Occurrences” log may be useful for regular review and reinforcement of safety concerns identified when performing the aviation service. This will facilitate entering the occurrences into the safety assurance component (§ 5.71) for tracking and resolution.

Note: Section § 5.93. does not apply to those organizations with a single pilot who is the sole individual performing all necessary functions in the conduct and execution related to, or in direct support of, the safe operation of the aircraft:
  
    Subpart F – SMS Documentation and Recordkeeping 
  
    5.97(d), 
SMS records.
    (d) Retain records of all communications provided under § 5.93 or § 5.57 for a minimum of 24 consecutive calendar months.

The process developed for record retention should be appropriate for the aviation organization. As an example, digital photographs of safety-related posters or signs in a maintenance hangar could be retained as a record of the communication. Read‑and‑initial documents would also provide a record. Hangar talks and flight crew alerts are also types of communications that would be retained. These communications can be retained electronically or in paper format. The method utilized should be appropriate to the size and complexity of the aviation organization.
    In smaller or lower‑complexity aviation organizations, the owner/manager (accountable executive) or designee may be responsible for maintaining auditable records. Documentation may consist of handwritten records, spreadsheets, phone and email logs, and completed forms that are kept in file cabinets or binders.

Note: § 5.97(d) does not apply to those organizations with a single pilot who is the sole individual performing all necessary functions in the conduct and execution related to, or in direct support of, the safe operation of the aircraft:

Section and Topic	Exemptions from SMS Requirements for Single Pilot Operators	AC 120-92D Guidance
Safety Policy
5.21(a)(4), Safety policy.	(a) The certificate holder must have a safety policy that includes at least the following: (4) A safety reporting policy that defines requirements for employee reporting of safety hazards or issues.	Note: A single-individual organization is not required to have a process to communicate safety information throughout the aviation organization.
5.21(a)(5), Safety policy.	(a) The certificate holder must have a safety policy that includes at least the following: (5) A policy that defines unacceptable behavior and conditions for disciplinary action.
5.21(c), Safety policy.	(c) The safety policy must be documented and communicated throughout the person’s organization.
5.23(a)(2), Safety accountability and authority.	(a) Any person required to have an SMS under this part must define in its safety policy the accountability for safety of the following individuals: (2) All members of management in regard to developing, implementing, and maintaining SMS processes within their area of responsibility, including, but not limited to: (i) Hazard identification and safety risk assessment. (ii) Assuring the effectiveness of safety risk controls. (iii) Promoting safety as required in subpart E of this part. (iv) Advising the accountable executive on the performance of the SMS and on any need for improvement.	In single-individual organizations, this structure will be very simple and consist of the sole individual being the accountable executive and assuming the various roles and responsibilities, which would normally be assigned to other members of management. The single individual would also be responsible for accepting all risks associated with the aviation organization’s products or services. As their organizational duties change, which could happen many times during the day, the single individual could be said to be changing hats as their role changes as they manage the activities required in § 5.23. Note: §§ 5.23(a)(2), (a)(3), and (b) not apply to those organizations with a single pilot who is the sole individual performing all necessary functions in the conduct and execution related to, or in direct support of, the safe operation of the aircraft:
5.23(a)(3), Safety accountability and authority.	(a) Any person required to have an SMS under this part must define in its safety policy the accountability for safety of the following individuals: (3) Employees relative to the person’s safety performance.
5.23(b), Safety accountability and authority.	(b) The person must identify the levels of management with the authority to make decisions regarding safety risk acceptance.
5.25(b)(3), Designation and responsibilities of required safety management personnel.	(b) Responsibilities of the accountable executive. The accountable executive must accomplish the following: (3) Communicate the safety policy throughout the person’s organization.	In a single-individual operation, these duties would be fulfilled by the accountable executive. Note: 5.25(b)(3) does not apply to those organizations with a single pilot who is the sole individual performing all necessary functions in the conduct and execution related to, or in direct support of, the safe operation of the aircraft.
5.25(c), Designation and responsibilities of required safety management personnel.	(c) Designation of management personnel. The accountable executive must designate sufficient management personnel who, on behalf of the accountable executive, are responsible for the following: (1) Coordinate implementation, maintenance, and integration of the SMS throughout the person’s organization, (2) Facilitate hazard identification and safety risk analysis, (3) Monitor the effectiveness of safety risk controls, (4) Ensure safety promotion throughout the person’s organization as required in subpart E of this part, (5) Regularly report to the accountable executive on the performance of the SMS and on any need for improvement.	In a single-pilot organization, the accountable executive would perform these designated duties as part of their duties under §5.25. Effective communication of safety information is still important, even in a single-pilot or single-individual organization. Communication would be focused outside of the organization (i.e., regular communication with aviation system stakeholders, industry associations, clients, the FAA, and other organizations). Note: § 5.25(c) does not apply to those organizations with a single pilot who is the sole individual performing all necessary functions in the conduct and execution related to, or in direct support of, the safe operation of the aircraft.
5.27(a), Coordination of emergency response planning.	Where emergency response procedures are necessary, any person required to have an SMS under this part must develop, and the accountable executive must approve as part of the safety policy, an emergency response plan that addresses at least the following: (a) Delegation of emergency authority throughout the person’s organization.	Effective communication of safety information is important, even in a single-pilot organization. In an organization with a single pilot or single individual, the communication focus may be outside the organization (e.g., regular communication with aviation system stakeholders, industry associations, clients, the FAA, and other organizations). Interfacing with maintenance, fixed-based operators, and flight followers (if one is used) all require communication, so they are aware of the aviation organization’s activities. This will aid in scheduling support activities as well as having someone keep an eye out in case plans do not go as predicted., In a single-pilot or single-individual organization, this could be met by simply filing flight plans with air traffic control (ATC) or leaving an envelope with emergency contact information at the local Fixed-Base Operator (FBO) if the aircraft does not return on time. Note: §§ 5.27(a) and (b) do not apply to those organizations with a single pilot who is the sole individual performing all necessary functions in the conduct and execution related to, or in direct support of, the safe operation of the aircraft
5.27(b), Coordination of emergency response planning.	Where emergency response procedures are necessary, any person required to have an SMS under this part must develop, and the accountable executive must approve as part of the safety policy, an emergency response plan that addresses at least the following: (b) Assignment of employee responsibilities during the emergency.
Subpart C – Safety Risk Management
Safety Assurance
5.71(a)(7), Safety performance monitoring and measurement.	(a) Any person required to have an SMS under this part must develop and maintain processes and systems to acquire data with respect to its operations, products, and services to monitor the safety performance of the organization. These processes and systems must include, at a minimum, the following: (7) A confidential employee reporting system in which employees can report hazards, issues, concerns, occurrences, incidents, as well as propose solutions and safety improvements, without concern of reprisal for reporting.	In small organizations, data collection for the reporting system can take many forms, from a simple suggestion box to organizational websites or intranets or a dedicated email address. Data management can be accomplished with a common desktop spreadsheet, database software, or specialized software, such as WBAT. Note: § 5.71(a)(7) does not apply to those organizations with a single pilot who is the sole individual performing all necessary functions in the conduct and execution related to, or in direct support of, the safe operation of the aircraft.
Subpart E – Safety Promotion
§ 5.93, Safety communication.	In smaller or lower‑complexity aviation organizations, communicating safety considerations to employees may be simple and direct. For example, the accountable executive could conduct regular all-hands/employee meetings, such as “hangar talk sessions.” Additionally, communication could include regular and periodic briefings to the employees, posting the status of safety issues on bulletin boards, emails to employees, and face‑to‑face meetings with division management teams. Aviation organizations with only a few employees could utilize a required reading list consisting of material from industry or other sources. The selected material would be applicable to the operations conducted. Documentation of what was reviewed would meet the requirements of § 5.97(d).	Small organizations should consider the methods they will use when sharing information with other aviation service providers they interface with. Methods used can be as simple or as complex as the organization chooses, but they should be consistent. Maintaining a “Journey Log” or “Unusual Occurrences” log may be useful for regular review and reinforcement of safety concerns identified when performing the aviation service. This will facilitate entering the occurrences into the safety assurance component (§ 5.71) for tracking and resolution. Note: Section § 5.93. does not apply to those organizations with a single pilot who is the sole individual performing all necessary functions in the conduct and execution related to, or in direct support of, the safe operation of the aircraft:
Subpart F – SMS Documentation and Recordkeeping
5.97(d), SMS records.	(d) Retain records of all communications provided under § 5.93 or § 5.57 for a minimum of 24 consecutive calendar months. The process developed for record retention should be appropriate for the aviation organization. As an example, digital photographs of safety-related posters or signs in a maintenance hangar could be retained as a record of the communication. Read‑and‑initial documents would also provide a record. Hangar talks and flight crew alerts are also types of communications that would be retained. These communications can be retained electronically or in paper format. The method utilized should be appropriate to the size and complexity of the aviation organization.	In smaller or lower‑complexity aviation organizations, the owner/manager (accountable executive) or designee may be responsible for maintaining auditable records. Documentation may consist of handwritten records, spreadsheets, phone and email logs, and completed forms that are kept in file cabinets or binders. Note: § 5.97(d) does not apply to those organizations with a single pilot who is the sole individual performing all necessary functions in the conduct and execution related to, or in direct support of, the safe operation of the aircraft:

Implementing SMS can be challenging, especially for single pilot operators. At PAI Consulting, we understand these challenges and are here to help you establish your SMS efficiently and effectively. In addition to offering tailored support, PAI will also be launching a web-based SMS course aimed at helping you establish your SMS.

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