SAFETY MANAGEMENT SYSTEMS GAP ANALYSIS SURVEY FOR U.S. AIRPORTS

1. SAFETY MANAGEMENT SYSTEMS GAP ANALYSIS SURVEY FOR U.S. AIRPORTS Hamid Shirazi Richard Speir Manuel Ayres

2. OUTLINE • Background • Project Objective • Safety Management Systems • Pillars and Elements of SMS • Airport Survey and Questionnaire • Survey Responses and Results • Interview Surveys and Findings

3. BACKGROUND • Close to 80% of aircraft accidents occur at or in the vicinity of the airport; $2-4 billion per year in ramp accidents; $3 billion per year in birdstrikes • ICAO has mandated SMS for international airports since 2005 • FAA has implemented 2 pilot SMS programs and is getting ready to release an NPRM on airport SMS • Survey was part of ACRP 4-05 project: Guidebook for Airport Safety Management System

4. ACRP Report 1 – Vol2: Guidebook Guidebook for planning and implementation of Airport Safety Management Systems (ASMS) applicable to Part 139 airports Objective, simple to understand and practical reference to help airport operators develop and implement their SMS.

5. safety management systems • FAA AC 150/5200-37: “A formal, top-down business-like approach to managing safety risk which includes systematic procedures, practices, and policies for the management of the safety.” • SMS is a tool to translate an organization’s concerns about safety into effective actions to mitigate hazards.

6. Pillars and Elements of SMS

7. ACRP 4-05 – Airport Survey Task • Assessed how airports deal with safety issues and identified SMS elements that are in place • Prepared a questionnaire and conducted an airport survey with Part 139 airports • Complemented survey with interview with airports participating in 1st Pilot Program on SMS • Obtained responses, prepared a statistical summary and conducted a general Gap Analysis • Gap Analysis: identification of existing safety pillars compared with SMS program needs

8. AIRPORT SURVEY Task • Survey comprised 50 questions • Web-based • Hard copies • Questionnaire submitted to more than 550 Part 139 airports • Intent was to solicit ample responses from a cross section of airport types and various airport staff positions within each organization

9. Sample Questions from Survey Safety Policy and Objectives Safety Risk Management Safety Assurance Safety Promotion Emergency Response Plan

10. SURVEY RESPONSES • 101 valid surveys in 2 months • about 20% of Part 139 certified airports • 37 states were represented • 88% of responders were in Airport Operations • 44% were upper management (VP or Director) • 41% were middle managers (Deputy or Manager)

11. Airport Responses: Hub Type

12. Airport Responses: Class Category

13. Airport Responses: FAA Regions

14. Surveys Analysis • Average of scores for safety pillars were obtained based on their elements • Results from airports were grouped based on airport size • Hub airports: Large, Medium and Small • Non-hub airports (other): GA, reliever • Results from airports were grouped based on airport class • Class I to Class IV

15. Average Scores by SMS Pillars

16. Findings from Surveys- SMS Pillars • Safety assurance an area with good room for improvement • Surprisingly, overall higher scores for safety risk management • Not as strongly effective safety communication between departments of hub airports as compared with non-hub airports • Lower scores for effectiveness of training

17. Findings from Surveys- SMS Pillars • Little feedback from reports, suggestions and concerns on airside safety • Comparably lower scores for airport classes II and III on lessons learned from safety reviews and investigations • Lower scores for airport workers following safe work rules, safety policies, and procedures for classes II and IV airports • Lower than average responses for existence of updated training materials for Class II airports

18. Safety Culture Index

19. Second Survey – Interview w/ Pilot Program Participants • In 2007, the FAA created an Airport SMS Pilot Study that included 22 volunteer airports. • Our Team interviewed 15 airports to identify: • SMS gaps • unique solutions • variations on their SMS organizational structure • risk criteria and type of risk matrix • main difficulties

20. Second Survey – Interview w/ Pilot Program Operators • Many have a safety policy; however, it may not be a formal policy or does not contain the SMS elements • No systematic Safety Risk Management process in-place • No non-punitive or confidential hazard reporting systems • Some have a few safety performance indicators; however, they do not cover the spectrum of airport safety concerns • Little trend analysis to help identify weaknesses associated with safety.

21. Findings from Interview Surveys Examples of Existing Resources How to Use It in Your SMS Intranet and/or an internet website SMS webpage for reporting hazards and other safety issues Newsletter specific section on safety Regular meetings with managers and airport stakeholders safety as a mandatory agenda Extend to landside and terminal, and introduce processes to pass the information to the SMS Manager Daily self-inspections of the airside areas Control of documents and records Implement them as applicable to SMS

22. Findings from Interviews Surveys Examples of Existing Resources How to Use It in Your SMS Make them part of SMS organizational structure Safety committees maintain and extend Existing safety objectives Airports comply with OSHA regulations adapt and use OSHA elements for Airport SMS

23. QUESTIONS ?