SAFETY MANAGEMENT SYSTEMS GAP ANALYSIS SURVEY FOR U.S. AIRPORTS Hamid Shirazi Richard Speir Manuel Ayres

OUTLINE Background Project Objective Safety Management Systems Pillars and Elements of SMS Airport Survey and Questionnaire Survey Responses and Results Interview Surveys and Findings

BACKGROUND Close to 80% of aircraft accidents occur at or in the vicinity of the airport; $2-4 billion per year in ramp accidents; $3 billion per year in birdstrikes ICAO has mandated SMS for international airports since 2005 FAA has implemented 2 pilot SMS programs and is getting ready to release an NPRM on airport SMS Survey was part of ACRP 4-05 project: Guidebook for Airport Safety Management System

ACRP Report 1 – Vol 2: Guidebook Guidebook for planning and implementation of Airport Safety Management Systems (ASMS) applicable to Part 139 airports Objective, simple to understand and practical reference to help airport operators develop and implement their SMS. The Guidebook helps the reader understand what SMS is and how it works. It presents a step by step approach to plan, implement and operate an airport SMS. The topics are presented in a simple format that is easy to read, with actual airport examples, and offers practical guidance that can immediately be applied by any airport. Moreover, useful tools have been included to help airports develop and operate their SMS programs. Although the Guidebook was intended to Part 139 airports, it is also applicable to other types of airports and contaisn specific comments on how to scale down and simplify the SMS processes for small and GA airports.

safety management systems FAA AC 150/5200-37: “A formal, top-down business-like approach to managing safety risk which includes systematic procedures, practices, and policies for the management of the safety.” SMS is a tool to translate an organization’s concerns about safety into effective actions to mitigate hazards.

Pillars and Elements of SMS

ACRP 4-05 – Airport Survey Task Assessed how airports deal with safety issues and identified SMS elements that are in place Prepared a questionnaire and conducted an airport survey with Part 139 airports Complemented survey with interview with airports participating in 1st Pilot Program on SMS Obtained responses, prepared a statistical summary and conducted a general Gap Analysis Gap Analysis: identification of existing safety pillars compared with SMS program needs

AIRPORT SURVEY Task Survey comprised 50 questions Web-based Hard copies Questionnaire submitted to more than 550 Part 139 airports Intent was to solicit ample responses from a cross section of airport types and various airport staff positions within each organization

Sample Questions from Survey Safety Policy and Objectives My Airport’s policy clearly addresses management’s approach to airside safety. 1 2 3 4 5 N/A Safety Risk Management There is a standard process to identify airside safety hazards and evaluate the risks. 1 2 3 4 5 N/A Safety Assurance Historical and current airside safety trends are routinely shared with all staff. 1 2 3 4 5 N/A Safety Promotion My co-workers are involved in activities that promote airside safety. 1 2 3 4 5 N/A Emergency Response Plan Emergency response exercises are conducted and reviewed periodically. 1 2 3 4 5 N/A

SURVEY RESPONSES 101 valid surveys in 2 months about 20% of Part 139 certified airports 37 states were represented 88% of responders were in Airport Operations 44% were upper management (VP or Director) 41% were middle managers (Deputy or Manager)

Airport Responses: Hub Type

Airport Responses: Class Category

Airport Responses: FAA Regions

Surveys Analysis Average of scores for safety pillars were obtained based on their elements Results from airports were grouped based on airport size Hub airports: Large, Medium and Small Non-hub airports (other): GA, reliever Results from airports were grouped based on airport class Class I to Class IV

Average Scores by SMS Pillars

Findings from Surveys- SMS Pillars Safety assurance an area with good room for improvement Surprisingly, overall higher scores for safety risk management Not as strongly effective safety communication between departments of hub airports as compared with non-hub airports Lower scores for effectiveness of training

Findings from Surveys- SMS Pillars Little feedback from reports, suggestions and concerns on airside safety Comparably lower scores for airport classes II and III on lessons learned from safety reviews and investigations Lower scores for airport workers following safe work rules, safety policies, and procedures for classes II and IV airports Lower than average responses for existence of updated training materials for Class II airports

Safety Culture Index

Second Survey – Interview w/ Pilot Program Participants In 2007, the FAA created an Airport SMS Pilot Study that included 22 volunteer airports. Our Team interviewed 15 airports to identify: SMS gaps unique solutions variations on their SMS organizational structure risk criteria and type of risk matrix main difficulties

Second Survey – Interview w/ Pilot Program Operators Many have a safety policy; however, it may not be a formal policy or does not contain the SMS elements No systematic Safety Risk Management process in-place No non-punitive or confidential hazard reporting systems Some have a few safety performance indicators; however, they do not cover the spectrum of airport safety concerns Little trend analysis to help identify weaknesses associated with safety.

Findings from Interview Surveys Examples of Existing Resources How to Use It in Your SMS Intranet and/or an internet website SMS webpage for reporting hazards and other safety issues Newsletter specific section on safety Regular meetings with managers and airport stakeholders safety as a mandatory agenda Extend to landside and terminal, and introduce processes to pass the information to the SMS Manager Daily self-inspections of the airside areas Control of documents and records Implement them as applicable to SMS

Findings from Interviews Surveys Examples of Existing Resources How to Use It in Your SMS Make them part of SMS organizational structure Safety committees Existing safety objectives maintain and extend Airports comply with OSHA regulations adapt and use OSHA elements for Airport SMS

QUESTIONS ?