Federal Aviation
Administration
Presented to: APEC TPT-WG AEG-SAF
By: Jim White, Deputy Director Airport Safety and Standards
Date: May 19, 2008

• 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.
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• 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
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• 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.
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• 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
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• 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.
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• 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)
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• Describe the system
• Identify hazards
• Analyze the risk
• Assess the risk
• Treat the risk (mitigate, monitor, and track)
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Administration
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• 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.
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• Identify safety performance and targets
• Monitor adherence to safety policy through selfauditing
• 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
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Administration
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• 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
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• 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
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Administration
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