Manuel Ayres, Ph.D.

1. 31st Annual Airport Conference – Hershey, PAImplementing Safety Management Systems on US Airports Manuel Ayres, Ph.D.

2. Briefing Outline • Introduction • Understanding SMS • Challenges and implementation principles • Planning and development of SMS Manual • Development of 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. 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

6. Before Safety is a priority for me but I can’t translate that to my airport Accidents may happen once in a while I don’t know what is the greatest risk at 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 take care of hazards before they turn into accidents I can classify every risk 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

7. Current Status in the U.S. • Some Part 139 airports are implementing SMS as part of the FAA Pilot Program • Airports have good safety records; however they can be improved • Currently, there is no systematic approach to deal with airport safety • When present, risk management is geared towards liability issues • Risk mitigation is mostly reactive • 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

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

9. 1 - Safety Policy and Objectives • Participatory development through the establishment of an SMS coordination committee • Get your people involved, at all levels • Initiate buy-in • Identify and resolve challenges up front

10. 2 - SRM: Hazid • Chicken and egg situation: • Hazid process is a product of the SMS development process, but… • Hazid results will affect the SMS • We will consider extensive list of representative hazards, knowing that this may change over time

11. Airport Safety Issues • Runway incursions • Foreign Object Damage (FOD) • Airside ground traffic • Winter services procedures • Emergency preparedness and response • Operations under adverse environmental conditions • Apron safety management • Change in conditions • Airport infrastructure • Airport development, construction and maintenance activities

12. 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

13. Risk management • Perceived as very complex… it does not have to be • We propose the extensive use of the risk matrix method: • It is simple • It is powerful • It is understandable without training

14. How do I mitigate risk? • Risk = Probability X Severity • Reduce probability, severity, or both • Example: • Construction project: • Hazard: rubber buildup on runway surface • Risk: runway overrun • Mitigate probability: • Remove rubber • Mitigate severity • Improve runway safety areas

15. 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

16. 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

17. 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.

18. ASMS Challenges – Managing Interfaces

19. Key principles • Building on existing good practices: • Evolution, rather than revolution • FULL management support • Demonstrated and consistent leadership • FULL employee ownership • They must be motivated to question everything • Able to initiate real change • A culture that’s understood and leveraged • Key leading performance measures • Defined and enforced accountabilities • Continuous improvement

20. 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

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

22. 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.

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

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

26. Workshop on 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

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

28. SMS Manual • Introduction • Safety policies and Objectives • Management Commitment • Accountabilities and Responsibilities • Documentation • Safety Committees • Safety Risk Management • Hazard Identification • Determination of Risk • Risk Assessment • Treating and Monitoring Risks • Safety Assurance • Audit • Management Review • Safety Promotion • Training and Education • Communication • Appendices(Doc Management, Safety Report Template, Safety Performance Indicators, Terms of Reference for Safety Committees, Plan for Ramp Safety, etc.)

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

30. Implementation plan • Project management principles • Measurable objectives • Realistic targets • Milestones • Estimated costs

31. How Do I Develop My IP? • Identify the SMS processes and the best way to install at my airport • Establish tasks to install each process and identify the steps (subtasks) necessary for the installation • Describe each task and associated subtasks • A gradual implementation is best. Divide the project into phases and assign tasks for each phase • Develop a schedule and estimate cost for each task.

32. 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 • 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 support material for implementation • Provide summary

33. Questions?

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