Safety Management System SMS at Airports : Principles

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Safety Management System (SMS)at Airports
Principles
APEC TPT-WG AEG-SAF
Jim White, Deputy Director Airport Safety and
Standards 
May 19, 2008
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Safety Management System (SMS)Principles

• ICAO required certificated airports to have in
  operation an SMS by November 24, 2005
• defined safety policy
• Visible safety architecture
• Scheduled self-inspections
• Dissemination of safety information.

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FAA Implementation of Airport SMS

• AC 5200-37 SMS for Airport Operators issued
  2/28/07
• Airport SMS Pilot projects at 20 airports in FY
  07.
• Pilot airports conduct SMS gap analysis and
  develop airport specific SMS manual
• SMS pilot Complete in June 2008
• Published Airport Cooperative Research Program
  report Safety Management Systems for Airports
• Have initiated rulemaking project
• Notice of Proposed Rulemaking (NPRM) tentative
  schedule December 2009

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AC 5200-37 Airport SMS

• FAA plans to implement SMS at airports to meet
  intent of ICAO standard in a way that complements
  existing Part 139.
• Contract cost for development of initial SMS at
  airports are eligible for AIP planning grants.
• SMS requires system approach to development of
  safety policies, procedures, and practices.
• SMS is a proactive, systematic, and integrated
  method of managing safety for airport operators.
  
• Essential for SMS is formal safety risk
  management procedures that provide risk analysis
  and assessment.

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SMS Safety Policy

• Commitment of senior management to implement SMS
• Commitment to continual safety improvement
• Encourage employees to report safety issues
  without reprisal
• Commitment to provide necessary safety resources
• Commitment to make safety the highest priority

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SMS Safety Objectives

• Written guidance regarding safety authorities and
  responsibilities of all airport key personnel.
• Identification of someone responsible for SMS
  (Safety Manager) who reports to highest level of
  management.
• Responsibilities of Safety Manager are clearly
  defined.
• Depending on airport size may be useful to form
  safety committee.

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SMS Safety Risk Management

• Process to identify hazards, determine risk,
  design mitigation strategies, and apply and track
  strategies.
• Do not need to do a risk analysis for complying
  with FAA airport design standards.
• Consider matrix of severity of risk vs, frequency
• Hazard identification considers all possible
  sources of system failure. Equipment (ex
  construction equip on movement surface
• Operating environment (ex night, low visibility,
  cold, snow)
• Human element (ex shift work, training)
• Operational procedures (ex temporary changes due
  to construction)
• Maintenance procedures
• External services (ex ramp traffic, FBOs, law
  enforcement vehicles)

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Safety Risk Management

• Describe the system
• Identify hazards
• Analyze the risk
• Assess the risk
• Treat the risk (mitigate, monitor, and track)

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SMS Levels of Risk

• High - Catastrophic hazards Unacceptable
  level of risk Proposal cannot be implemented or
  activity continued without mitigation.
• Medium Risk Minimal acceptable level Proposal
  may be implemented or activity can continue, but
  tracking and management are required.
• Low Risk Target level of risk Acceptable
  without restriction or limitation. Hazards not
  required to be managed but are documented.

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SMS Safety Assurance

• Identify safety performance and targets
• Monitor adherence to safety policy through
  self-auditing
• Solicit input through non-punitive safety
  reporting
• Systematically review all available info from
  daily self inspections, assessment reports,
  safety risk analysis, safety audits
• Communicate to staff
• Promote safety systems approach into overall
  operation of airport

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SMS Safety Promotion

• Training and education
• Documented process to identify training
  requirements
• Validation process to measure effectiveness of
  training
• Initial job specific training
• Recurrent training
• Safety Communications
• Safety seminars
• Safety letters, bulletins
• Safety lessons learned
• Safety competency and continuous improvement

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FAA Development of SMS NPRM

• FAA will consider many issues in NPRM
• Benefits and cost of rule
• Tailor rule to impose minimum burden and costs
  for effective implementation
• Consider how SMS elements would apply to airports
  of different sizes and resources
• Acknowledge existing Part 139 and avoid
  duplication of safety programs
• Consider degree of FAA oversight of individual
  SMS plans by airport certification safety
  inspectors
• If SMS rule adopted, FAA will issue additional
  guidance for implementation