National Academies Press: OpenBook
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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TRANSPORTAT ION RESEARCH BOARD WASHINGTON, D.C. 2009 www.TRB.org A I R P O R T C O O P E R A T I V E R E S E A R C H P R O G R A M ACRP REPORT 1 Research sponsored by the Federal Aviation Administration Subject Areas Aviation Safety Management Systems for Airports Volume 2: Guidebook Manuel Ayres Jr. Hamid Shirazi Samuel Cardoso Jeffrey Brown Richard Speir Olga Selezneva Jim Hall Tara Puzin APPLIED RESEARCH ASSOCIATES, INC. Elkridge, MD Jeff Lafortune Fernando Caparroz Robert Ryan INTERNATIONAL SAFETY RESEARCH, INC. Ottawa, Canada Edward McCall MAC MCCALL AIRPORT AND AVIATION CONSULTING Sedona, AZ

AIRPORT COOPERATIVE RESEARCH PROGRAM Airports are vital national resources. They serve a key role in trans- portation of people and goods and in regional, national, and inter- national commerce. They are where the nation’s aviation system connects with other modes of transportation and where federal respon- sibility for managing and regulating air traffic operations intersects with the role of state and local governments that own and operate most airports. Research is necessary to solve common operating problems, to adapt appropriate new technologies from other industries, and to introduce innovations into the airport industry. The Airport Coopera- tive Research Program (ACRP) serves as one of the principal means by which the airport industry can develop innovative near-term solutions to meet demands placed on it. The need for ACRP was identified in TRB Special Report 272: Airport Research Needs: Cooperative Solutions in 2003, based on a study spon- sored by the Federal Aviation Administration (FAA). The ACRP carries out applied research on problems that are shared by airport operating agencies and are not being adequately addressed by existing federal research programs. It is modeled after the successful National Coopera- tive Highway Research Program and Transit Cooperative Research Pro- gram. The ACRP undertakes research and other technical activities in a variety of airport subject areas, including design, construction, mainte- nance, operations, safety, security, policy, planning, human resources, and administration. The ACRP provides a forum where airport opera- tors can cooperatively address common operational problems. The ACRP was authorized in December 2003 as part of the Vision 100-Century of Aviation Reauthorization Act. The primary partici- pants in the ACRP are (1) an independent governing board, the ACRP Oversight Committee (AOC), appointed by the Secretary of the U.S. Department of Transportation with representation from airport oper- ating agencies, other stakeholders, and relevant industry organizations such as the Airports Council International-North America (ACI-NA), the American Association of Airport Executives (AAAE), the National Association of State Aviation Officials (NASAO), and the Air Transport Association (ATA) as vital links to the airport community; (2) the TRB as program manager and secretariat for the governing board; and (3) the FAA as program sponsor. In October 2005, the FAA executed a contract with the National Academies formally initiating the program. The ACRP benefits from the cooperation and participation of airport professionals, air carriers, shippers, state and local government officials, equipment and service suppliers, other airport users, and research orga- nizations. Each of these participants has different interests and respon- sibilities, and each is an integral part of this cooperative research effort. Research problem statements for the ACRP are solicited periodically but may be submitted to the TRB by anyone at any time. It is the responsibility of the AOC to formulate the research program by iden- tifying the highest priority projects and defining funding levels and expected products. Once selected, each ACRP project is assigned to an expert panel, appointed by the TRB. Panels include experienced practitioners and research specialists; heavy emphasis is placed on including airport pro- fessionals, the intended users of the research products. The panels pre- pare project statements (requests for proposals), select contractors, and provide technical guidance and counsel throughout the life of the project. The process for developing research problem statements and selecting research agencies has been used by TRB in managing cooper- ative research programs since 1962. As in other TRB activities, ACRP project panels serve voluntarily without compensation. Primary emphasis is placed on disseminating ACRP results to the intended end-users of the research: airport operating agencies, service providers, and suppliers. The ACRP produces a series of research reports for use by airport operators, local agencies, the FAA, and other interested parties, and industry associations may arrange for work- shops, training aids, field visits, and other activities to ensure that results are implemented by airport-industry practitioners. ACRP REPORT 1 Project 04-05 ISSN 1935-9802 ISBN 978-0-309-11798-2 Library of Congress Control Number 2007932567 © 2009 Transportation Research Board COPYRIGHT PERMISSION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB or FAA endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The project that is the subject of this report was a part of the Airport Cooperative Research Program conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. Such approval reflects the Governing Board’s judgment that the project concerned is appropriate with respect to both the purposes and resources of the National Research Council. The members of the technical advisory panel selected to monitor this project and to review this report were chosen for recognized scholarly competence and with due consideration for the balance of disciplines appropriate to the project. The opinions and conclusions expressed or implied are those of the research agency that performed the research, and while they have been accepted as appropriate by the technical panel, they are not necessarily those of the Transportation Research Board, the National Research Council, or the Federal Aviation Administration of the U.S. Department of Transportation. Each report is reviewed and accepted for publication by the technical panel according to procedures established and monitored by the Transportation Research Board Executive Committee and the Governing Board of the National Research Council. The Transportation Research Board of the National Academies, the National Research Council, and the Federal Aviation Administration (sponsor of the Airport Cooperative Research Program) do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the clarity and completeness of the project reporting. Published reports of the AIRPORT COOPERATIVE RESEARCH PROGRAM are available from: Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at http://www.national-academies.org/trb/bookstore Printed in the United States of America

CRP STAFF FOR ACRP REPORT 1 Christopher W. Jenks, Director, Cooperative Research Programs Crawford F. Jencks, Deputy Director, Cooperative Research Programs Michael R. Salamone, ACRP Manager Eileen P. Delaney, Director of Publications Kami Cabral, Editor ACRP PROJECT 04-05 PANEL Field of Safety Kevin G. Vandeberg, Barge Waggoner Sumner & Cannon, Inc., Huntsville AL (Chair) Mark Coates, Seattle–Tacoma International Airport Edwin E. Herricks, University of Illinois—Urbana-Champaign Kent V. Hollinger, MITRE Corporation, McLean, VA Douglas Mansel, Oakland International Airport, Oakland, CA Gary Shafer, Southern Illinois Airport Bernard Valois, Transport Canada, Ottawa, Ontario Kerri Lyn Spencer, FAA Liaison Richard Pain, TRB Liaison C O O P E R A T I V E R E S E A R C H P R O G R A M S

This guidebook should be of interest to airport managers and others responsible for preparing and implementing safety management systems (SMS) at airports, particularly those certified under 14 CFR Part 139. The guidebook provides a comprehensive reference that will help the user understand what constitutes an airport SMS; describes its compo- nents and their interactions; and offers guidance in the planning, implementation, and operation of an airport SMS. It also provides detailed information on how to carry out each of the necessary SMS processes. This guidebook supplements ACRP Report 1: Volume 1, which provides an overview of SMS and explains how a systems approach to safety manage- ment can benefit both the safety and business aspects of airports. It should be noted that this guidebook was developed prior to the issuance of final FAA guidance relating to the implementation of SMS at airports. While developed in coordina- tion with the FAA, this guidebook is not meant to provide final guidance in response to any FAA direction subsequently issued. An airport safety management system (SMS) provides a systematic, proactive approach to reducing the probability and severity of aircraft accidents/incidents on the airfield. ICAO has adopted a standard for SMS that has been applicable to international airports since November 2005; however, ICAO–State Letter AN12/51-07/74 proposed the amendment of Annex 14 (Vol. 1) to harmonize and extend provisions relating to safety management and included extending the date for SMS implementation to November 2009. As of this writing, the FAA is developing guidance on SMS implementation in the United States. Airport operators in the United States have safety programs in place that have resulted in today’s high level of aviation safety. These programs can form the basis of a more com- prehensive SMS. An SMS will supplement these programs by providing a systematic, proac- tive approach that includes (1) documenting identified hazards and mitigating potential risks; (2) monitoring and measuring the ongoing safety experience of the airport; (3) estab- lishing a voluntary non-punitive safety reporting system that can be used by employees of the airport operator, airlines, and tenants; and (4) improving the entire airport’s safety cul- ture. A key component of an SMS is safety risk management (SRM) that is used to classify potential airport risks according to their probabilities of occurrence and severity of conse- quences, to prioritize those risks according to their classification, and to define risk mitigat- ing actions that are continuously monitored. Under ACRP Project 4-05, Applied Research Associates was asked to create a guidebook for developing and implementing airport safety management systems (SMS). The guide- book was to be applicable to all airports that have certificates issued under 14 Code of Fed- eral Regulations (CFR) Part 139, Certification of Airports and should describe the associ- F O R E W O R D By Michael R. Salamone Staff Officer Transportation Research Board

ated concepts, methodologies, processes, tools, and safety performance measurements that can be applied by airports based on their level of operations and complexity. To accomplish the project objectives, the research team (1) conducted a literature review to document best SMS practices that are applicable to airports; (2) surveyed airports to determine their current safety practices, procedures, and programs that may form the basis of an SMS; (3) conducted a gap analysis to determine what deficiencies exist in cur- rent programs from an SMS perspective and categorized the gaps according to the four ele- ments of SMS: (a) safety policy and objectives, (b) safety risk management, (c) safety assur- ance, and (d) safety promotion; (4) drafted the guidebook with examples and best practices applicable to airports of various types and complexities; (5) obtained comments on clarity, applicability, and usefulness of the draft guidebook from managers of a diverse group of air- ports certificated under 14 CFR Part 139; and (6) prepared a final guidebook based on the industry feedback obtained.

1 Chapter 1 Introduction 1 1.1. Objective 1 1.2. How to Use This Guidebook 3 1.3. Definitions 6 1.4. Abbreviations and Acronyms 7 Chapter 2 Airport Safety Management Systems 8 2.1. What Is SMS? 9 2.2. Pillars and Elements of an SMS 26 2.3. Example of an Airport SMS in Practice 28 2.4. Objectives of SMS 29 2.5. Origins of SMS 30 2.6. How Does an SMS Accomplish Key Objectives? 30 2.7. Do I Need an SMS? 31 2.8. What Will I Get Out of It? 33 Chapter 3 Getting Started 33 3.1 Management Commitment 34 3.2 Appoint an SMS Champion 35 3.3 Select an SMS Model Structure 35 3.4 Build on What You Have 38 3.5 Conduct a Gap Analysis 41 3.6 Documenting Your SMS 45 Chapter 4 SMS Implementation 45 4.1 Develop an Implementation Plan 47 4.2 Obtain Approval of Your Safety Policy and Objectives 55 4.3 Appoint the SMS Manager 56 4.4 Implement Each SMS Process 56 4.5 Provide Training to SMS Staff 56 4.6 Proven Practices 59 4.7 Common Challenges 62 Chapter 5 Safety Risk Management 62 5.1 The SRM Process 64 5.2 Describe the System 65 5.3 Identify Hazards 69 5.4 Determine Risk 74 5.5 Assess and Analyze Risk 80 5.6 Treat and Monitor Risk 82 5.7 Example of SRM C O N T E N T S

89 Chapter 6 SMS Operation 89 6.1 Major Tasks for the SMS Operation 89 6.2 Safety Culture and Promotion 102 6.3 Cascading Meetings 104 6.4 Safety Reporting 107 6.5 Accident and Incident Investigation 113 6.6 SMS and Internal Safety Assessments 128 6.7 Measuring SMS Performance—Trend Analysis 136 6.8 Safety Training and Education 142 End Notes 144 Annex A Gap Analysis and SMS Assessment Tables 159 Annex B Using Assessment Tables 161 Annex C Scoring Table for SMS Assessment 163 Annex D List of Applicable Regulations for Certificated Airports 164 Annex E Hazard Identification Tools Cover photograph by Jeremy P. Irish

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TRB's Airport Cooperative Research Program (ACRP) Report 1: Safety Management Systems for Airports, Volume 2: Guidebook explores what constitutes an airport safety management system (SMS). The report examines SMS components and their interactions, and offers guidance in the planning, implementation, and operation of an airport SMS. It also provides detailed information on how to carry out each of the necessary SMS processes.

This guidebook supplements ACRP Report 1: Volume 1, which provides an overview of SMS and explains how a systems approach to safety management can benefit both the safety and business aspects of airports.

http://onlinepubs.trb.org/onlinepubs/acrp/acrp_rpt_001a.pdf

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