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Running Head: SYSTEM MANAGEMENT SAFETY FOR AIRPORTS 1SYSTEM MANAGEMENT SAFETY FOR AIRPORTS

by:Aaron Lancaster

SFTY 440: System Safety ManagementEmbry-Riddle Aeronautical University

Worldwide CampusJanuary 2012

SYSTEM MANAGEMENT SAFETY FOR AIRPORTS 2

Airport Safety Management Systems

Safety must be managed within every organization. This is often best accomplished using

a systematic approach. The FAA is considering one such approach for airports. By standardizing

the application of Safety Management Systems (SMS) the FAA seeks to improve upon the safety

requirements of 14 CFR 139 (Part 139) by implementing SMS in order to comply with ICAO

standards (FAA, 2007).

The FAA is working to implement SMS internally through the Airport Research

Programs (ARP) being conducted by the Transportation Research Board (TRB). The ARP will

evaluate the impact of implementing SMS on various size airports. Since SMS could be very

expensive to implement in some cases, the FAA will then take into account the cost-impact of

implementation in the requirements placed on airports of various sizes (FAA, 2011).

The FAA is also working to implement SMS externally through requirements to be added

to 14 CFR 139 for certified airports. The FAA introduced SMS to airport operators in 2007 via

Advisory Circular “AC 150/5200-37” which outlined the FAA's intentions to research and

implement SMS (FAA, 2011).

Motivation

The vast amount of effort and expense required to implement SMS begs the question,

“Why SMS?” The answer is both regulatory and philosophical in nature. ICAO established

standards in DOC 8959: Systems Safety Manual that all organizations providing international

service will implement SMS. Key objectives set by ICAO include identifying hazards, enforcing

hazard remediation in order to maintain preset safety levels, continuously monitor and regularly

assess safety levels, and continuously improve the organizations safety posture (ICAO, 2005).

International requirements aside, SMS is an enabler to a safer and more efficient organization.


The FAA has realized this and is thus working to establish reasonable expectations of U.S.

airports. While the requirements of Part 139 certification greatly improve airport SMS, they are

not a replacement for SMS (FAA, 2011). The initial investment required for implementing SMS

may seem high when the future rewards are not yet realized. However, risk analysis will show

the potential rewards are great. Additionally, even organizations who already have a basic safety

program in place can shift their organizational posture from reactive to proactive to predictive

through implementation of SMS (FAA, 2011).

Description & Applications

SMS for Airports

The four pillars of SMS, safety policy & objectives, promotion, risk management, and

assurance, are very important in establishing a robust SMS program (FAA, 2007). The SMS

pillars vary in number and naming in different regions of the world. However, the elements are

always the same. In this section we will look more closely at the common elements and how they

shape the airport SMS (TRB, 2009).

Elements of Airport SMS

The elements of SMS are similar for airports as they are for many other implementations.

The system must be established by instituting policy documents that establish authorities and

responsibilities. These documents must also establish the policies and procedures with which

personnel must be familiar with in order for the SMS to function effectively. SMS documents

must also define the SMS players within the organization and their roles. Finally, SMS

documents should coordinate emergency planning (TRB, 2009).

SMS promotion is comprised of several elements. Training and education must be


performed in order to familiarize personnel with policies and procedures and to gain adoption

and ownership in their implementation. SMS champions must communicate safety issues to the

organization so that personnel are aware of emerging issues affecting the organization. Finally,

promotion of SMS relies on continuous improvement of the SMS via review and modification as

the organization and operations grow (TRB, 2009).

SMS risk management is at the center of the system effort toward a safer operational

environment. At heart of risk management is the SMS risk management process established by

SMS documentation. Complementing this process is a mature reporting system that allows for

members of the organization to report hazards identified through any means (incident, accident,

or observed) without penalty. This reporting system should be accompanied by internal safety

investigations that look into hazard reports and establish facts. Standard Operating Procedures

(SOPs) should standardize practice within the organization. SOPs should be modified to reflect

current procedures and document best practices. All changes resulting from the risk management

process should be analyzed to determine the impact to the organization's operations before

implementation (TRB, 2009).

Safety assurance completes the SMS through performance measurement and monitoring,

internal SMS assessment, and management review. Performance metrics and monitoring will

enable the organization's SMS authorities to determine the effectiveness of the program through

identification and tracking of safety performance indicators. Internal SMS assessments or audits

will reveal the depth of implementation within the organization. The results of the audit will

enable SMS decision makers to make improvements to the SMS implementation in order to

achieve higher levels of safety success. Often internal audits are more effective when performed

by third-party auditors to eliminate conflicts of interest and personal or professional bias. Finally,


management review on a regular interval will provide management with the opportunity to take a

close, concentrated look at the safety system and establish the near- and long-term SMS

objectives of the organization (TRB, 2009).

SMS Implications

SMS implication faces obstacles to widespread acceptance. Airports, due, to their varied

size and budget, cannot be expected to implement one-size-fits-all solutions from a cost

perspective. Additionally, there are perceived risks and rewards involved.

Airport Diversity

Due to the diversity of airport size and scale of operations implementations will vary

greatly in complexity but should not vary in effectiveness. In fact, the cost of SMS scales with

the organization and therefore is proportionally less for smaller, less cost-tolerant, organizations.

For example, where smaller airports are limited by personnel the limited scope and complexity

of the operation may not require or necessitate as many personnel to implement an effective SMS

as at larger airports. From this perspective, SMS could be implemented at the smallest airports,

even those that are not certified under Part 139.

Risk vs. Reward

Smaller airports must realize that their lack of cost-absorbance is a factor not only to

investment costs in SMS but also the costs associated with any incidents or accidents that might

have been prevented from implementing SMS before they occurred. As mentioned earlier in this

paper, risk analysis will reveal the organization's exposure level. This is a process of SMS that

less mature programs may not effectively accomplish.

For larger, certified airports, early adoption may have added financial benefits. ICAO has


already mandated SMS implementation. The FAA is not far from following the same direction.

This will position many airports, especially uncertified airports, such that they must move

quickly to meet regulatory requirements. The cost of implementing SMS in on a short timeline

could be very high. Adopting SMS early could defray a significant amount of this cost by

leveraging federal funding. Regardless, the FAA will require SMS implementations at all airports

no later than June, 2014 (FAA, 2011).

Conclusion

In this paper we have seen the FAA's motivation and work in the area of SMS. We have

also seen how regulatory requirements and philosophical motivations promote the adoption of

SMS. We examined the pillars of SMS and the elements of which they are comprised. Finally,

we took a look into the diversity of airports and how SMS will prove attainable and beneficial to

even the smallest of operations.


REFERENCES

Advisory Circular 150/5200-37. (2007). Federal Aviation Administration.

FAA Office of Airports. (2011). SMS: FAA Airports Efforts. Retrieved January 02 2012, from

FAA website: http://www.faa.gov/airports/northwest_mountain/airports_news_ events/

annual_conference/2011/media/safety_managemenrt_systems.pdf

Safety Management Manual (SMM) DOC 9859. (2009). Retrieved January 02 2012, from

International Civil Aviation Organization website: http://www2.icao.int/en/ism/Guidance

%20Materials/DOC_9859_FULL_EN.pdf

Transportation Research Board. (2009). ACRP Report 1: Safety Management Systems for

Airports, Vol. 2: Guidebook. Transportation Research Board of the National Academies.

Retrieved January 02 2012, from TRB website:

http://onlinepubs.trb.org/onlinepubs/acrp/acrp_rpt_001b.pdf

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