1. Federal Aviation Administration Federal Aviation Administration By: Ken Jacobs FAA Airport Planning and Environmental Division APP-400 Date: March 2, 2011 FAA Safety Management Systems SMS and the Airport Planning and Development Process 34th Annual Airports Conference Hershey, PA

2. 2 Federal Aviation Administration The Bottom Line… We Must Do SMS To Improve Safety SMS Will Be Applied To Our Decisions Involving Airport Planning And Development Projects (FAA Airports– ARP)

3. 3 Federal Aviation Administration Airport Planning and Development Master Planning Design Alternatives Selection Airport Layout Plan Environmental Decisions Funding Construction Operation!!

4. 4 Federal Aviation Administration Airport Planning and Development Master Planning Design Alternatives Selection Airport Layout Plan Environmental Decisions Funding Construction Operation!!

5. 5 Federal Aviation Administration Airport 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 production goals with safety goals –Therefore, airport infrastructure must provide for a safe operation while satisfying aeronautical demand –Airport productivity to meet aeronautical demand can be measured in terms of system capacity, efficiency and utility Infrastructure –Provided (primarily) by the Airport –Approved and funded through AIP and PFC Operations– Provided by… –Flight Operations: Air Traffic (ATO), Flight Standards, etc –Airport Operations: Airport –Aircraft Operations: Pilot Airport Planning and Development

6. 6 Federal Aviation Administration Jeopardy Category: Aviation Safety Answer: Safety Management Systems How do we prevent accidents and disruptions that have never happened before? Ken Jacobs, 2011

7. 7 Federal Aviation Administration Why Do We Need To Do SMS? James Reason's Swiss cheese model of defenses. Reprinted from the BMJ [71] (copyright 2000) with permission from the BMJ Publishing Group Ltd. Controls Controls prevent hazards from causing an unacceptable loss Equipment (aircraft, etc) Pilots Airport Operators Airport Standards Rules, Directives Notices Procedures, etc., etc.

8. 8 Federal Aviation Administration Another Reason Why… FAA Order 8000.369 requires ARP to: –Develop SMS requirement for regulated parties (Part 139 certificated airports) –Integrate SMS concepts throughout the ARP organization –Coordinate safety risk management with airports FAAs efforts will also harmonize with international standards and recommended practices –ICAO State Safety Program for state aviation organization –ICAO Annex 14 (SMS for certificated airports) the ARP

9. 9 Federal Aviation Administration SMS Components Safety Policy –Commitment to continually improve safety –Defines methods, processes and organizational structure Safety Risk Management –Safety-related decisions –Assesses hazards, risks and controls Safety Assurance –Evaluates safety performance Safety Promotion –Promotes safety culture Feedback http://onlinepubs.trb.org/onlinepubs/acrp/acrp_rpt_001a.pdf

10. 10 Federal Aviation Administration Two ARP SMS Initiatives SMS for Airports we regulate under 14 CFR Part 139, Certification of Airports –Oversight as regulator –Notice of Proposed Rulemaking –External SMS SMS for FAA airport planning and development services, including airport standards and airport project review, coordination, and approval. –Product/service provider in partnership with airport sponsors –Implement through internal FAA Order (5200.11) and Implementation Guidance (Draft: 1/31/2011) –Internal SMS

11. 11 Federal Aviation Administration Two ARP SMS Initiatives Airports Regulated under Part 139 –NPRM –A complete SMS: Safety Policy Safety Risk Management (SRM) Safety Assurance Safety Promotion –SMS Manual –Focus on Airport Operations ARP Planning and Development Services –An FAA Requirement –Safety Risk Management Only (for Airport Sponsors) –FAA airport planning and development approvals Airport Layout Plans Construction Safety and Phasing Plans Modification of Standards Part 150 noise compatibility programs –All airports by 2014

12. 12 Federal Aviation Administration Safety Risk Management (SRM) Mitigate Risks Identify actions, controls, or other measures to reduce the likelihood of consequences associated with a hazard. Reduce the predicted risk level to medium or low. Assess Risks Severity and likelihood are used to determine associated risk using predictive risk matrix. Analyze Risks For each hazard, identify the worst case outcomes that are responsible or credible within the operational lifetime of the system. Determine consequences; likelihood and severity. Identify Hazards Identify any condition or situation that could create adverse safety consequences for the airport, users, and surrounding community. Include operational, personnel, organizational, and environmental factors. Describe System Identify all related systems and include operational, procedural, organizational, and environmental factors as well as physical characteristics.

13. 13 Federal Aviation Administration Safety Assessments: The Process Initiate Safety Assessment Screen form (SAS) Develop Project Proposal Summary Stakeholder review and refinements SRM panel preparations SRM panel meeting Final SAS signatures with supporting documentation The objective is to decide on the need for an SRM panel as soon as possible. If needed, begin planning for the panel immediately. SRM is best performed through a meeting with subject matter experts representing various stakeholders with safety and operational responsibilities.

14. 14 Federal Aviation Administration The ARP Safety Assessment Process Initial Screening: Is SRM Required? Project Proposal Summary (PPS) Stakeholder Review Panel Required? SRM Panel Preparations SRM Panel Meeting Safety Assessment Documents Safety Assessment Signatures Complete ARP Action Document & Done Yes No Document & Done No Start SAS (Form 5200-8, -9, or -10). Determine if SRM is required A collaborative review by airport users, FAA LOBs and other stakeholders with safety and operational expertise. This process can refine and modify the PPS and final plans to eliminate or avoid hazards. Preliminary work to acquire facilitation services, identify panel members, compile relevant safety data, and schedule a SRM panel meeting Completed SAS form Final Project Proposal Summary Hazard identification analysis tool worksheet Panel deliberations and dissenting opinions Other documentation of findings (pictures) Completed SAS form Final Project Proposal Summary Hazard identification analysis tool worksheet Panel deliberations and dissenting opinions Other documentation of findings (pictures) Panel members– Certify complete analysis ARP– Approves safety assessment Airport sponsor– Acknowledges risk Panel members– Certify complete analysis ARP– Approves safety assessment Airport sponsor– Acknowledges risk The final ARP approval or determination (This is NOT part of the safety assessment process) The final ARP approval or determination (This is NOT part of the safety assessment process) Yes Determine whether a panel is needed as soon as possible. Complete the System Safety Impact Checklist on the SAS Form. Any OE/AAA objection requires a panel. A clear, concise description of the airport and proposed change. Used by stakeholders and panel members (if needed) to quickly understand relevant safety and operational factors. Can be prepared by the design/planning consultant Build consensus from a panel of experts to complete the SRM process. Complete the appropriate Hazard Identification and Analysis Tool (PHA, CSA, or OSA) Document & Done Document & Done Document & Done Document & Done

15. 15 Federal Aviation Administration Initial screening (SAS form) –FAA Project Manager SRM Panel Member Certification –Fully considered hazards and mitigation –Not an agreement with findings (risks) –Dissenting opinions are included in the final report Airport Sponsor –Acknowledges hazards –Certifies obligations and mitigation requirements FAA Approval –Approves processes and procedures, including mitigations to ensure an acceptable level of safety Safety Assessments: The Signatures

16. 16 Federal Aviation Administration Project Proposal Summary A clear, concise description of the airport and proposed change Used by stakeholders and panel members (if needed) to quickly understand relevant safety and operational factors Includes: –Physical Description –Operational Characteristics –Proposed Changes

17. 17 Federal Aviation Administration Project Proposal Summary

18. 18 Federal Aviation Administration SMS Implementation: Guidance (Internal) FAA Order 5200.11, FAA Airports Safety Management System, signed August 30, 2010FAA Order 5200.11, FAA Airports Safety Management System –ARP SMS requirements FAA Office of Airports Safety Management System Implementation Guide –How-to guide –Draft for internal review. Comments Feb 28 –Draft for industry outreach/review: March 2011 –Finalize internal SMS guidance in April 2011 SMS requirements will be added to applicable Advisory Circulars as they are updated over time

19. 19 Federal Aviation Administration Jeopardy Category: Safety Edibles Answer: A model describing how controls can prevent hazards from becoming in a loss (or accident) What is Swiss Cheese

20. 20 Federal Aviation Administration Jeopardy Category: Planning & Development Answer: The only component of SMS required for FAA to approve airport planning and development projects What is Safety Risk Management

21. 21 Federal Aviation Administration Jeopardy Category: Airport Regulations Answer: The regulation that requires airports to develop a Safety Management System Manual What is (14 CFR) Part 139

22. 22 Federal Aviation Administration FAA Airports (ARP) SMS Let Use Hear From You!