1. Ken Jacobs Airport Planning & Environmental Division ken.jacobs@faa.gov March 3, 2010 Federal Aviation Administration Federal Aviation Administration 33 rd Annual Airports Conference Hershey, PA Airports Safety Management System Integrating Planning Into the Process

2. 2 Federal Aviation Administration March 2010 33 rd Annual Airports Conference Safety Management System– SMS A process for achieving acceptable levels of safety risk* Elements –Policy Commitment Boundaries –Safety Risk Management Analyze Risk Control Risks (mitigate) Accept Risks System Changes –Assurance System performance Hazard identification –Promotion Communication, outreach, culture and human resources * FAA Order 8000.369, Safety Management System Guidance * FAA Order 8000.369, Safety Management System Guidance SMS is a quality process that provides feedback for continuous improvement

3. 3 Federal Aviation Administration March 2010 33 rd Annual Airports Conference Safety Risk Management– SRM Describe the System –Mission –Human –Machine –Management –Media or Environment Identify Hazards –What can go wrong –Causes –System State –Effect Analyze Risks –Existing controls –Severity –Likelihood Assess Risks –Single point failure –Common cause failure –Risk acceptability– high, medium, or low Treat Risks– Mitigation –Avoidance –Transfer –Assumption –Control –Implementation and monitoring Infrastructure

4. 4 Federal Aviation Administration March 2010 33 rd Annual Airports Conference Airport Planning Existing Conditions Inventory Aviation Forecasts Facility Requirements Alternatives Development and Evaluation Airport Layout Plan Project Selection and Implementation –Project sequencing and master schedule –Environmental review –Financing –(Safety assessment and acceptance)  Airport Planning SRM A Process For Satisfying Long-term Aeronautical Demand

5. 5 Federal Aviation Administration March 2010 33 rd Annual Airports Conference Airport Planning SRM Context Airport Process (SMS) FAA ATO SMS FAA ARP SMS (TBD) Airport Planning SRM

6. 6 Federal Aviation Administration March 2010 33 rd Annual Airports Conference System Infrastructure and Operations Infrastructure and Operations –Infrastructure can (almost always) be operated in a safe manner –Therefore, system operations ultimately determine system safety. SMS balances operational production and safety –Therefore, airport infrastructure must provide for a safe operation that meets aeronautical demands –Airport production can be measured in terms of system capacity, efficiency and utility Infrastructure –Provided by the Airport, ATO Tech Ops –Approved and funded by ARP Operations– Provided by… –Flight Operations: Air Traffic (ATO), Flight Standards, etc –Airport Operations: Airport –Aircraft Operations: Pilot  Airport Planning

7. 7 Federal Aviation Administration March 2010 33 rd Annual Airports Conference Time Line -Infrastructure -Operations Decision Level New operations begin Planning…Construction… Planning Process Decisions

8. 8 Federal Aviation Administration March 2010 33 rd Annual Airports Conference Planning Process and SRM Plan Construct Design Operate Complete SRM *Planning Safety Assessment) Start SRM*

9. 9 Federal Aviation Administration March 2010 33 rd Annual Airports Conference Planning Safety Assessment Develop Alternatives Preliminary Hazard Identification & Risk Assessment Modification of Standards Identify Potential Limitations –Aircraft –Taxiways –Runways –Procedures –Capacity Establish Efficiency, Capacity and Utility Targets

10. 10 Federal Aviation Administration March 2010 33 rd Annual Airports Conference SRM in Planning Master Planning Form Advisory Committee Inventory Aviation Forecasts Demand/ Capacity Analysis Facility Requirements Alternatives Analysis SRM Planning Analysis Occurs Here Environmental Overview Airport Layout Plans (ALP) Financial/ Feasibility Analysis FAA Approval of Forecasts and ALP Master Plan

11. 11 Federal Aviation Administration March 2010 33 rd Annual Airports Conference SRM in Environmental Environmental AssessmentEnvironmental Impact Statement Form Advisory Committee Form Advisory Committee and Public Outreach/Participation Program Scoping Purpose and Need Proposed Action Alternatives Development Analysis/ Refinement SRM Planning Analysis Occurs Here Affected Environment Environmental Consequences Draft EADraft EIS Public Hearings Public Review Period Final EAFinal EIS FAA APPROVES by Issuing Finding or No Significant Impact (FONSI) FAA APPROVES by Issuing Record of Decision (ROD)

12. 12 Federal Aviation Administration March 2010 33 rd Annual Airports Conference SRM in Design and Construction Design 3 DesignConstruction Pre-Design Conference Airport Sponsor Prepares Grant Application Based on Construction Cost Estimate Airport Sponsor Prepares Grant Application for DesignFAA Awards Grant Advertise for Bids from Contractors Prepare 30% Plans & SpecsAward contractor with the lowest most responsive bid Airport Sponsor/FAA/State ReviewPre-Construction Conference with stake holders Prepare 60% Plans & SpecsSRM Analysis occurs at this stage Airport Sponsor/FAA/State ReviewConstruction Begins Prepare 90% Plans & SpecsConstruction Completed SRM Analysis Occurs at this stageFAA/State/Airport Sponsor Initial Final Inspection/Punch List Airport Sponsor/FAA/State ReviewContractor Completes Work Prepare 100% Plans & Specs, Safety Phasing Plan(s) and Construction Cost Estimate. i.e. Construction Documents FAA/State/Airport Sponsor Conduct Final Inspection FAA/State/Airport Sponsor Accepts Work and Approves Airport Sponsor Updates ALP to Reflect Changes to Airport Design

13. 13 Federal Aviation Administration March 2010 33 rd Annual Airports Conference Concurrent Planning… Begin with the end in mind– operational benefits for the aviation system Initial planning must include safety as well as other considerations Assemble a complete complement of stakeholders, including operations safety Capture and apply critical safety decisions to each subsequent phase of the airport planning and development process SRM Benchmarks for Airport Planning

14. 14 Federal Aviation Administration March 2010 33 rd Annual Airports Conference Implementation Studies What– Incorporate SRM into the airport planning and development process –Master Planning and ALP Approval –Environmental Review –Modification of Standards –Construction Safety Phasing How– Test various SRM approaches to the planning/development process –ATO SRM –Airport SRM –ARP Contractor SRM –Passive –Case studies FAA Team Effort Interview Participants Identify Lessons Learned and Best Practices Apply to SRM Guidance FAA Team Effort Interview Participants Identify Lessons Learned and Best Practices Apply to SRM Guidance

15. 15 Federal Aviation Administration March 2010 33 rd Annual Airports Conference SRM Approaches ATO SRM SRM panel facilitated by ATO. Expand the current ATO role and require more involvement from ARP to address the entire airfield, including proposed development and the associated airspace. Airport SRM Airport sponsor hires a safety consultant to perform a safety assessment. Readily funded by the Airport Improvement Program (AIP). Airport sponsor has direct control over airport safety operations during and after construction. ARP Contractor SRM SRM panel facilitated by the ARP SMS support contractor. Can effectively leverage the outcomes for ARP guidance. Passive Passive participation in the planning process. Observe and propose how a new SRM process could be incorporated into existing planning process steps. Minimal impact on the existing planning process. Case studies Review outcomes and interview participants of completed ATO SRM processes

16. 16 Federal Aviation Administration March 2010 33 rd Annual Airports Conference Thanks for Your Time… Now…