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

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

3. 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

4. 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.

5. safety management systems
FAA AC 150/ :
“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.

6. Pillars and Elements of SMS

7. 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

8. 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

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

10. 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)

11. Airport Responses: Hub Type

12. Airport Responses: Class Category

13. Airport Responses: FAA Regions

14. 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

15. Average Scores by SMS Pillars

16. 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

17. 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

18. Safety Culture Index

19. 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

20. 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.

21. 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

22. 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

23. QUESTIONS ?