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Manuel Ayres - SMS Implementation Hershey

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					31st Annual Airport Conference – Hershey, PA

Implementing Safety Management
Systems in Part 139 Airports

                                               Manuel Ayres, Ph.D.
Briefing Outline
    Introduction
    Understanding ASMS
    Challenges and implementation principles
    ASMS Documentation
    Implementation Plan




                                   Expanding the Realm of Possibility
Why ASMS?
                                                    Number of Commercial Jet Accidents, Accident Rate
                                                      and Traffic Growth - Past, Present and Future

                                             35                                                                                         70
   Departure (millions) / Rate per million



                                             30                                                                                         60


                                             25                                                                                         50


                                             20




                                                                                                                                             Accidents
                                                                                                                                        40
                                                                                              1
                                                                                   Accidents
                                             15                                                                                         30
                                                                                   2
                                                                  Traffic Growth                     1 Based on current accident rate
                                             10                                                      2 Based on industry estimates      20
                                                                                                     3 Based on current accident rate
                                                                                                          3
                                              5                                           Accident Rate                                 10


                                              0                                                                 0
                                               1955 1960 1965 1970 1975 1980 1985 1990 1995 2000 2005 2010 2015
                                                                                       Year

                                                                                                  Adapted from Flight Safety Foundation (1997)

                                                                                                                          Expanding the Realm of Possibility
What is SMS?

   A system to help improve safety
   Resembles a total quality system
   Comprised of blocks and elements
       Safety Policies and Objectives
       Safety Risk Management
       Safety Assurance
       Safety Promotion
   Helps developing safety awareness and safety culture




                                           Expanding the Realm of Possibility
ICAO Regulatory Approach
   ICAO states that “…The rationale to regulation is to
    complement the regulatory approach to the
    management of safety with a performance based
    approach:
      Based on continuous collection and analysis of
       daily operational data
      Data intensive identification of hazards

       Data driven prioritization of risks
       Informed allocation of resources to mitigate
        prioritized risks
       Continuous assessment (of safety) and auditing (of
        SMS)”.

                                             Expanding the Realm of Possibility
Improving Airport Safety
    Demonstrate management commitment to safety
    Introduce reactive and proactive processes to manage
     risk
       Investigate accidents and incidents

       Identify hazards

       Prioritize risks and establish corrective actions

       Evaluate trends

    Train people (skills and safety)
    Promote safety and maintain safety awareness
    Implement safety assurance processes
    Improve communications
    Develop a safety culture
                                          Expanding the Realm of Possibility
Before and After SMS
              Before                                   After

   Safety is a priority for me but I      I have a way to ensure safety
    can’t translate that to my              is a priority at my airport
    airport
   What should I do to improve            I have a risk-based prioritized
    safety?                                 list of things that I should do
                                            to improve safety
   I don’t know what my workers           My workers are trained and
    think about safety and how              they help keeping the airport
    safely they are doing their job         a safe place
   How safe is my airport?                I measure safety
                                            performance and what are
   My operation managers keep              the trends
    my airport safe                        Every airport worker help
                                            maintain and improve safety




                                                         Expanding the Realm of Possibility
Current Status in the U.S.
   Some Part 139 airports are developing SMS programs as
    part of the FAA Pilot Program
   Airports have good safety records; however they can be
    improved
   Currently, airports have no systematic approach to deal
    with safety
   When present, risk management is geared towards liability
    issues
   FAA is likely to mandate SMS for Part 139 airports
   There is little monitoring of safety trends
   Little hazard reporting processes in-place
   Lack of safety assurance processes


                                                  Expanding the Realm of Possibility
Airport SMS Elements (FAA AC 150/5200-37)
                                      SMS Building Blocks


 • Describe system                                          • Self-auditing,
 • Identify hazards                                         • External auditing
 • Analyze risk               Safety Risk      Safety       • Safety oversight
 • Rank and prioritize
   hazards
                              Management      Assurance
 • Treat risk
                                                            • Training & Education
 • Commitment to safety                                     • Safety Communication
 • Non-punitive reporting
                              Safety Policy
                                               Safety       • Safety competency and
   system                         and                         continuous improvement
 • Identification of
                                              Promotion
                               Objectives
   Accountable Executive
 • Identification of Safety
   Manager
 • Identification of
   Responsibilities
 • Formal documentation
 • Records and reporting




                                                              Expanding the Realm of Possibility
1 - Safety Policy and Objectives

   Commitment to safety
   Defines measurable safety goals
   Establish reporting system policy (non-punitive)
   Defines safety accountabilities
   Establish the SMS structure, including safety
    committees
   Documentation
   Record keeping




                                             Expanding the Realm of Possibility
2 – Safety Risk Management

   The SRM Cycle
      Describe system

       Identify hazards
       Assess risk
       Prioritize risks
     Corrective actions and follow-up
   Require basic training




                                         Expanding the Realm of Possibility
Risk assessment
   Perceived as very complex…
    it does not have to be
   The risk matrix:
       Simple
       Powerful
       Understandable without
        training
       Can be used routinely
       Does not require much
        qualification




                                 Expanding the Realm of Possibility
Airport Safety Issues
   Runway incursions
   Foreign Object Damage (FOD)
   Airside ground traffic
   Winter services procedures
   Emergency preparedness and response
   Apron safety management
   Change in conditions
   Airport development, construction and
    maintenance activities




                                            Expanding the Realm of Possibility
Airport Construction
   Is the work coordinated with other airport activities (air traffic,
    apron management, security, etc.)?
   Is construction area clearly marked, signaled and isolated?
   Is the construction job going to affect airport operations?
   Will NOTAMs be required?
   Are temporary access routes identified?
   Are temporary threshold and operational areas clearly marked
    before opening to operations?
   Are construction workers adequately trained and briefed
    regarding the airport operations and hazards?
   Is the area cleaned and inspected before the area is opened to
    operations
   Is there a safety coordinator in the contractor team?
   Has there been a pre-construction conference and safety issues
    for the project were extensively discussed




                                                      Expanding the Realm of Possibility
How Do I Mitigate Risk?
   Risk = Probability x Severity
   Reduce probability, severity, or both
   Example:
      Hazard: rubber build-up on runway surface
      Risk: runway overrun
      Mitigate probability:
          Monitor   friction and remove rubber
       Mitigate severity
          Improve runway safety areas
          Have an effective emergency plan




                                             Expanding the Realm of Possibility
3 - Safety Assurance

   You cannot manage what you cannot measure
   The key: measure the right things


                    Organizational    Key Performance
                  Safety Objectives   Indicators (KPI)
                         and Goals


                    Activity Safety    Performance
                    Objectives and    Indicators
                             Goals     (PI) and
                                      companion
                                       indicators

                                                Expanding the Realm of Possibility
4 - Safety Promotion
   Safety Culture Leadership
      Employees empowerment
      Demonstrated management leadership
      Incentive programs
      Non-punitive reporting
   Safety Culture Integration
      Communication and marketing
      Integrated training
      Organizational performance measurement
      Special events
      Partnering



                                        Expanding the Realm of Possibility
ASMS Challenges
   We (airport operations) have done a good job so far
    and our record is excellent; why change something
    that works?”
   ASMS is just another “flavor of the month”. Like all the
    other safety programs in the past, it will pass and we
    will go back to the old ways
   “We seriously doubt that the regulator will let go of its
    old power to micromanage the way we do business
    and simply focus on our processes.
   Non-punitive reporting won’t work. Our people don’t
    change unless there is a strong incentive to change.
   This will cost money that we don’t have.



                                              Expanding the Realm of Possibility
ASMS Challenges – Managing Interfaces
                       Airport Infrastructure

     Local ATM                                       Airlines & Ops
                     Operations       Maintenance

     Local MET                                       Aircraft Maint.
                    Public Safety          RFF

                      Plan. &                          Ground
    Local AIS/MAP                         Admin
                     Engineering                       Handlers

       Security       Emerg.               Other     Cargo Comp.
                    Respondents           Agencies
     Local CNS                                         Caterers
                       Users          Concessions

                                          Serv. &    Fuel Providers
                    Contractors
                                          Delivery
                                                         FBOs
                                  Other

                                                     Other Tenants



                                                        Expanding the Realm of Possibility
Key principles

   Key leading performance measures
   Build on existing good practices
   Tailored to existing conditions
   Management support
   Employee ownership
   A culture that’s understood and leveraged
   Defined and enforced accountabilities
   Continuous improvement




                                                Expanding the Realm of Possibility
Airport Authorities Involvement

   Need to be a partnership
   Need full support and assistance to help effecting
    these changes
   Include ongoing partnered work groups etc.
   The final product should be more than a paper
    deliverable




                                             Expanding the Realm of Possibility
  Work Plan


Review Airport
                  SMS Implementation
Documentation

                              Review by          Submit
 Gap Analysis    GA Report
                               Airport           to FAA

                                                          Implement
 Workshop on
SMS Processes                                              Phase 1
                                                           Phase 2
  Draft SMS                       Final SMS                Phase 3
   Manual                           Manual
                  Review by                                Phase 4
                   Airport           Final
     Draft                                                 Phase 5
Implementation                  Implementation
     Plan                            Plan




                                                      Expanding the Realm of Possibility
Review of Airport Documentation
 Familiarize with airport before Gap Analysis
 Identify SMS elements in-place
 Docs include:
       ACM
       AEP
       Rules & Regulations
       SOPs
       Policies
       Organization
       etc.


                                     Expanding the Realm of Possibility
Gap analysis

   Familiarization with the airport
   Determine what is in-place and what is missing
   Interviewing airport staff, tenants, agencies
   Currently based on FAA/ICAO structure
   The purpose is not to find gaps relative to Part 139
    requirements
   Initiate buy-in (management, employees, tenants,
    agencies)
   Preliminary assessment of existing safety culture



                                             Expanding the Realm of Possibility
Solutions for SMS Processes

   Based on conclusions from Gap Analysis
   Determine how processes will be installed
       Create
       Adapt
       Improve
   Identify stakeholders
   Familiarize key airport staff with SMS processes




                                            Expanding the Realm of Possibility
SMS Manual

    Introduction
    Safety Policies and Objectives
    Safety Risk Management
    Safety Assurance
    Safety Promotion
    Appendices




                             Expanding the Realm of Possibility
Implementation Plan
   Use a phased approach
       Initiate with SMS for airside
       Phase 1 – Policies & Objectives
       Phase 2 – SRM
       Phase 3 – Safety Assurance
       Phase 4 – Safety Promotion
       Phase 5 - Other
   Describe tasks, subtasks, sponsors, resources, schedule and
    estimated costs
   Most tasks refer to the implementation of a new process or
    adapting and improving an existing one
   Provide guidance material for implementation
   Provide summary


                                                  Expanding the Realm of Possibility
  Work Plan


Review Airport
                  SMS Implementation
Documentation

                              Review by          Submit
 Gap Analysis    GA Report
                               Airport           to FAA

                                                          Implement
 Workshop on
SMS Processes                                              Phase 1
                                                           Phase 2
  Draft SMS                       Final SMS                Phase 3
   Manual                           Manual
                  Review by                                Phase 4
                   Airport           Final
     Draft                                                 Phase 5
Implementation                  Implementation
     Plan                            Plan




                                                      Expanding the Realm of Possibility
Contact Info
        Applied Research Associates

            Manuel Ayres
             410-540-9949
             mayres@ara.com

            Richard Speir
             410-540-9949
             rspeir@ara.com




                                Expanding the Realm of Possibility

				
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posted:8/21/2012
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