31 st Annual Airport Conference – Hershey, PA Implementing Safety Management Systems in Part 139 Airports

1. 31st Annual Airport Conference – Hershey, PAImplementing Safety Management Systems in Part 139 Airports Manuel Ayres, Ph.D.

2. Briefing Outline • Introduction • Understanding ASMS • Challenges and implementation principles • ASMS Documentation • Implementation Plan

3. Number of Commercial Jet Accidents, Accident Rate and Traffic Growth - Past, Present and Future 35 70 30 60 25 50 20 40 1 Departure (millions) / Rate per million Accidents Accidents 15 30 2 Traffic Growth 1 Based on current accident rate 10 20 2 Based on industry estimates 3 Based on current accident rate 3 5 10 Accident Rate 0 0 1955 1960 1965 1970 1975 1980 1985 1990 1995 2000 2005 2010 2015 Year Why ASMS? Adapted from Flight Safety Foundation (1997)

4. 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

5. 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)”.

6. 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

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

8. 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

9. Airport SMS Elements (FAA AC 150/5200-37)

10. 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

11. 2 – Safety Risk Management • The SRM Cycle • Describe system • Identify hazards • Assess risk • Prioritize risks • Corrective actions and follow-up • Require basic training

12. 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

13. 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

14. 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

15. 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

16. Organizational Safety Objectives and Goals Key Performance Indicators (KPI) Activity Safety Objectives and Goals Performance Indicators (PI) and companion indicators 3 - Safety Assurance • You cannot manage what you cannot measure • The key: measure the right things

17. 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

18. 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.

19. ASMS Challenges – Managing Interfaces

20. 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

21. 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

22. Work Plan Review Airport Documentation Review by Airport Submit to FAA Gap Analysis GA Report Implement Workshop on SMS Processes Phase 1 Phase 2 Draft SMS Manual Final SMS Manual Phase 3 Review by Airport Phase 4 Final Implementation Plan Draft Implementation Plan Phase 5 SMS Implementation

23. 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.

24. 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

25. 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

26. SMS Manual • Introduction • Safety Policies and Objectives • Safety Risk Management • Safety Assurance • Safety Promotion • Appendices

27. 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

28. Work Plan Review Airport Documentation Review by Airport Submit to FAA Gap Analysis GA Report Implement Workshop on SMS Processes Phase 1 Phase 2 Draft SMS Manual Final SMS Manual Phase 3 Review by Airport Phase 4 Final Implementation Plan Draft Implementation Plan Phase 5 SMS Implementation

29. Contact Info • Applied Research Associates • Manuel Ayres 410-540-9949 mayres@ara.com • Richard Speir 410-540-9949 rspeir@ara.com