1. Presented to: By: Date: Federal Aviation Administration Safety Management System (SMS) at Airports : Principles APEC TPT-WG AEG-SAF Jim White, Deputy Director Airport Safety and Standards May 19, 2008

2. 2 Federal Aviation Administration February 14, 2008 2 Safety Management System (SMS) Principles ICAO required certificated airports to have in operation an SMS by November 24, 2005 defined safety policy Visible safety architecture Scheduled self-inspections Dissemination of safety information.

3. 3 Federal Aviation Administration February 14, 2008 3 FAA Implementation of Airport SMS AC 5200-37 – SMS for Airport Operators issued 2/28/07 Airport SMS Pilot projects at 20 airports in FY 07. Pilot airports conduct SMS gap analysis and develop airport specific SMS manual SMS pilot Complete in June 2008 Published Airport Cooperative Research Program report – Safety Management Systems for Airports Have initiated rulemaking project Notice of Proposed Rulemaking (NPRM) tentative schedule December 2009

4. 4 Federal Aviation Administration February 14, 2008 4 AC 5200-37 – Airport SMS FAA plans to implement SMS at airports to meet intent of ICAO standard in a way that complements existing Part 139. Contract cost for development of initial SMS at airports are eligible for AIP planning grants. SMS requires system approach to development of safety policies, procedures, and practices. SMS is a proactive, systematic, and integrated method of managing safety for airport operators. Essential for SMS is formal safety risk management procedures that provide risk analysis and assessment.

5. 5 Federal Aviation Administration February 14, 2008 5 SMS Safety Policy Commitment of senior management to implement SMS Commitment to continual safety improvement Encourage employees to report safety issues without reprisal Commitment to provide necessary safety resources Commitment to make safety the highest priority

6. 6 Federal Aviation Administration February 14, 2008 6 SMS Safety Objectives Written guidance regarding safety authorities and responsibilities of all airport key personnel. Identification of someone responsible for SMS (Safety Manager) who reports to highest level of management. Responsibilities of Safety Manager are clearly defined. Depending on airport size may be useful to form safety committee.

7. 7 Federal Aviation Administration February 14, 2008 7 SMS Safety Risk Management Process to identify hazards, determine risk, design mitigation strategies, and apply and track strategies. Do not need to do a risk analysis for complying with FAA airport design standards. Consider matrix of severity of risk vs, frequency Hazard identification considers all possible sources of system failure. Equipment (ex: construction equip on movement surface –Operating environment (ex: night, low visibility, cold, snow) –Human element (ex: shift work, training) –Operational procedures (ex: temporary changes due to construction) –Maintenance procedures –External services (ex: ramp traffic, FBOs, law enforcement vehicles)

8. 8 Federal Aviation Administration February 14, 2008 8 Safety Risk Management Describe the system Identify hazards Analyze the risk Assess the risk Treat the risk (mitigate, monitor, and track)

9. 9 Federal Aviation Administration February 14, 2008 9 SMS Levels of Risk High - Catastrophic hazards – Unacceptable level of risk – Proposal cannot be implemented or activity continued without mitigation. Medium Risk – Minimal acceptable level – Proposal may be implemented or activity can continue, but tracking and management are required. Low Risk – Target level of risk – Acceptable without restriction or limitation. Hazards not required to be managed but are documented.

10. 10 Federal Aviation Administration February 14, 2008 10 SMS Safety Assurance Identify safety performance and targets Monitor adherence to safety policy through self- auditing Solicit input through non-punitive safety reporting Systematically review all available info from daily self inspections, assessment reports, safety risk analysis, safety audits Communicate to staff Promote safety systems approach into overall operation of airport

11. 11 Federal Aviation Administration February 14, 2008 11 SMS Safety Promotion Training and education –Documented process to identify training requirements –Validation process to measure effectiveness of training –Initial job specific training –Recurrent training Safety Communications –Safety seminars –Safety letters, bulletins –Safety – lessons learned Safety competency and continuous improvement

12. 12 Federal Aviation Administration February 14, 2008 12 FAA Development of SMS NPRM FAA will consider many issues in NPRM Benefits and cost of rule Tailor rule to impose minimum burden and costs for effective implementation Consider how SMS elements would apply to airports of different sizes and resources Acknowledge existing Part 139 and avoid duplication of safety programs Consider degree of FAA oversight of individual SMS plans by airport certification safety inspectors If SMS rule adopted, FAA will issue additional guidance for implementation