Safety Management Systems for Airports, Volume 1: Overview (2007)

Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

TRANSPORTAT ION RESEARCH BOARD WASHINGTON, D.C. 2007 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 1: Overview Duane A. Ludwig Cheryl R. Andrews Nienke R. Jester-ten Veen Charlotte Laqui MITRE CORPORATION CENTER FOR ADVANCED AVIATION SYSTEM DEVELOPMENT McLean, VA

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 11-02/Task 4 ISSN 1935-9802 ISBN: 978-0-309-09896-0 Library of Congress Control Number 2007932567 © 2007 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 Robert E. David, Senior Program Officer Eileen P. Delaney, Director of Publications ACRP PROJECT 11-02/TASK 4 PANEL Field of Special Projects Kevin G. Vandeberg, Huntsville International Airport, Huntsville Alabama (Chair) Edwin E. Herricks, University of Illinois—Urbana-Champaign Douglas Mansel, Oakland International Airport, Oakland, CA Gary Shafer, Southern Illinois Airport Bernard Valois, Transport Canada, Ottawa, Ontario Darryel Adams, FAA Liaison Paul L. Friedman, Other 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

ACRP Report 1: Safety Management Systems for Airports, Volume 1: Overview, explains what a safety management system (SMS) is and how a systems approach to safety manage- ment will benefit both the safety and business aspects of airports. The implementation of SMS represents a change in the safety culture of an organization. In this regard, airport directors and members of their governing boards will find this document particularly use- ful since the successful implementation of SMS is dependent on the commitment of the highest levels of management. This report provides a brief description of a safety management system (SMS) and is intended to be an easy-to-read, quick introduction to SMS for airport directors and their governing boards. It describes the advantages associated with instituting such a system and explains the four components or pillars (safety policy, safety risk management, safety assur- ance, and safety promotion) that are part of an SMS. The report also provides background information on the International Civil Aviation Organization’s requirements for SMS at air- ports and relates the experiences of airports located outside the United States in implement- ing SMS. Although the concept of safety management systems has been around for several years, it is relatively new to airports. The good news for U.S. airport operators is that many of the pro- cedures and practices that they have been using to comply with the current requirements of Title 14 Code of Federal Regulations Part 139 will provide the basis for establishing an SMS. It was not intended that this overview explain how SMS will be incorporated into the Part 139 regulation. The Federal Aviation Administration (FAA) is considering several different options on how SMS will be implemented at U.S. airports. Section 6 of this report provides their current thinking on this subject but also recognizes that the FAA is conducting a pilot program with several U.S. airports on SMS implementation. Undoubtedly, FAA’s final pro- posal will reflect the knowledge gained from the experiences of airports participating in the pilot program. The MITRE Corporation’s Center for Advanced Aviation System Development (CAASD) prepared this SMS overview for TRB under ACRP Project 11-02/Task 4. CAASD has a long history in aviation safety-related projects and has provided support to both the FAA and international aviation organizations in SMS development and implementation. Readers are advised that this overview is the first step that ACRP is undertaking regard- ing SMS. The second step is to develop for airport operators a Guidebook for Airport Safety Management Systems under ACRP Project 04-05. This guidebook will provide detailed information on how to develop SMS at an airport. This guidebook is expected to be com- pleted in the last quarter of 2008 and published as Volume 2 of this report in 2009. F O R E W O R D By Robert E. David Staff Officer Transportation Research Board

C O N T E N T S ix Purpose of This Document x Introduction x Why Safety Management Systems? 1 Section 1 System Safety and the Benefits of Safety Management Systems 1 System Safety and SMS 2 Differences from Traditional Safety Approach 3 Benefits of SMS 5 Section 2 The Components of SMS 5 Safety Policy 6 Policy Statement 6 Organizational Structure 7 Procedures 7 Safety Promotion 7 Culture 7 Training 8 Communication 8 Safety Risk Management 8 Hazard Identification 9 Risk Assessment 10 Risk Mitigation and Tracking 10 Safety Assurance 10 Internal Audits 11 External Audits 11 Corrective Action 13 Section 3 SMS in Other Industries and Aviation Segments 13 Background 13 Lessons from Other Industries 13 Petroleum Industry 14 Nuclear Industry 15 Railway Industry 15 Marine Industry 16 Chemical Industry 16 Aviation Industry 19 Section 4 ICAO Guidance for Airport SMS 19 Background 19 Annex 14 20 Manual on Certification of Aerodromes 21 Safety Management Manual, Chapter 18

23 Section 5 SMS Implementation at Airports Outside the United States 23 Approaches to SMS Implementation 24 Process and Gap Analyses 24 Data Collection 24 Hazard-Reporting Systems 24 Benefits Identified 25 SMS Lessons Learned at Airports Outside the United States 26 Critical Challenges 26 Summary of Airport Implementation Outside the United States 27 Section 6 Vision of SMS Implementation at U.S. Airports 27 FAA Activities 27 Advisory Circular 27 SMS Pilot Study 28 Rulemaking 29 Other Activities 29 Airport Activities 30 Steps to Establish an Airport SMS 30 Conclusions The photographs in this report were provided by the San Diego County Regional Airport Authority. John Alexanders holds the copyright for the photograph on page x.

OVERVIEW OF SAFETY MANAGEMENT SYSTEMS FOR AIRPORTS ix Purpose of This Document This document introduces the application of Safety Management Systems (SMS) to airport operations. It is a resource intended for U.S. airport executives, managers, and safety officials and is a companion document to the Guidebook for Airport Safety Management Systems, which will be developed under ACRP Project 4-05. The guidebook will be published as ACRP Report 1, Volume 2. This overview of SMS describes how a systems approach to safety management will benefit both the safety and business aspects of airport operations. It describes the essential components of SMS and also introduces the International Civil Aviation Organization (ICAO) mandate and anticipated Federal Aviation Administration (FAA) policy for airport SMS. Furthermore, it includes valuable lessons learned from case studies in SMS implementation efforts at various airports and in other industries. It should be noted that at the time this overview goes to press, the FAA has not finalized all of its policies and plans for the implementation of SMS for airports. The Guidebook and future FAA guidance material are expected to provide further details.

OVERVIEW OF SAFETY MANAGEMENT SYSTEMS FOR AIRPORTS x Introduction Why Safety Management Systems? Historically, aviation safety has been built upon the reactive analysis of past accidents and the introduction of corrective actions to prevent the recurrence of those events. With today’s extremely low accident rate, it is increasingly difficult to make further improvements to the level of safety by using this approach. Therefore, a proactive approach to managing safety has been developed that concentrates on the control of processes rather than solely relying on inspection and remedial actions on end products. This innovation in aviation system safety is called a Safety Management System (SMS), an expression indicating that safety efforts are most effective when made a fully integrated part of the business operation. It is now generally accepted that most aviation accidents result from human error. It would be easy to conclude that these errors indicate carelessness or incompetence on the job, but that would not be accurate. Investi- gations are finding that the human is only the last link in a chain that leads to an accident. These accidents will not be prevented by merely changing people; increased safety can only occur when the underlying causal factors are addressed. Enhancing overall safety in the most efficient manner requires the adoption of a systems approach to safety management. Every segment and level of an organi- zation must become part of a safety culture that promotes and practices risk reduction. Safety management is based on the premise that there will always be safety hazards and human errors. SMS establishes processes to improve communication about these risks and take action to minimize them. This approach will subsequently improve an organization’s overall level of safety. There will always be hazards and risks in the airport envi- ronment. Proactive management is needed to identify and control these safety issues before they lead to mishaps. © Jo hn A le xa nd er s