Safety Management Systems Update

Safety Management Systems

for Airport Operators

Presented to: ACI-NA Insurance & Risk Management Conference By: Randy L. Moseng, ACSI, A.A.E. Date: January, 2010

Federal Aviation Administration

Boss…what happened to SMS?

SMS. We ain’t got no SMS. We don’t need no stinkin SMS…

Treasure of the Sierra Madre, 1948, Warner Bros. Safety Management Systems for Airport Operators January 2010


2

The beauty of SMS is…

Safety Management Systems for Airport Operators January 2010


3

The danger of SMS is…



4

Why SMS?

Because human inventiveness for error is limitless! Safety Management Systems for Airport Operators January 2010


5

Why SMS?

• In the next 15-20 years, ICAO and FAA anticipate: – – – –

Increase in passengers Increase in worldwide airline departures Many US airports will be over-capacity ATC workload will increase dramatically.



6

Why SMS? • The ‘regulate and enforce’ model is struggling. • Over 10000 ICAO SARPS and many FAA regulations/standards. • Too many standards to effectively enforce. • We need to move toward a predictive model of safety, and not rely on the existing reactive model!



7

Reactive Approach to Safety

Focuses on ‘Probable Cause’ and assignment of blame. Effectively answers: Who? What? When? May not always answer: Why? Safety Management Systems for Airport Operators January 2010

How? Federal Aviation Administration

8

And finally… As this audience knows… - The elimination of accidents is impossible. - Failures will occur. - No human endeavour or can be totally free from risk and error. - Controlled risk and error are acceptable in an inherently safe system.



9

Understanding the need for SMS… “SMS controls the outcome by concentrating on the process… Safety must be designed and built into the very fabric of the process, not inspected in after the fact.” Captain Chesley Sullenberger III, 09/10/09



10

So what exactly is SMS and how is it going to help me?

“Though this be madness, yet there is method in’t.”



11

SMS Defined “A systematic approach to managing safety, including the necessary organizational structures, accountabilities, policies and procedures.”

ICAO Document 9859, Safety Management Manual



12

SMS Defined (US FAA) “The formal, business like approach to managing safety risk. It includes systematic procedures, practices, and policies for the management of safety (including safety policy, safety risk management, safety assurance, and safety promotion).”

AC150/5200-37, Introduction to SMS for Airport Operators



13

What is driving development of our SMS structure? • ICAO Standard – Annex 6/11/14: Harmonized approach to SMS. Annex 14 requirement effective, November 23, 2006. – ICAO Document 9859, Safety Management Manual

• FAA Requirement: Order 8000.369 applies immediately to: – – – –

Air Traffic Control (ATO) Aviation Safety (AVS) Airports Division (ARP) And eventually to others such as Commercial Space (AST)

• Supplemented by guidance such as JPDO ‘SMS Standard v1.4’ and ATO SMS Manual 2.1, among others... Safety Management Systems for Airport Operators January 2010


14

Safety Management Systems Update • What has been happening in Airports FAA….. – – – – – – – – –

AC150/5200-37, ‘Intro to SMS for Airport Operators’, 2007 Pilot Project I, 2008 Proof-of-Concept Study, 2008 Follow-on implementation study, 2009 Pilot Project II, 2008 ACRP SMS Overview, 2007 ACRP SMS Guidebook, 2009 NPRM Consideration, 2009 ARP Internal SMS Order development, 2009



15

Safety Management Systems Update • Pilot Project I – 22 airports. – Deliverables and analysis of findings completed 2008.. – Follow-on “Proof-of-concept” program initiated at ‘3’ selected airports. – Follow-on implementation study announced, December 21, 2009.



16

Safety Management Systems Update • Pilot Project I Findings: – All reported a legitimate need for SMS – All airports reported having an existing safety structure, but none reported having a functioning SMS – 139 is not SMS in and of itself – Indications that 139 should become part of SMS… contrary to the idea that SMS would become a part of 139 – Additional study needed (smaller airports)



17

Safety Management Systems Update • Pilot Project I ‘Proof-of-Concept’ study: – To study need and legitimacy of SMS. • Three Pilot Project I airports selected. • To determine: – Determine standard elements of safety policy – Review of integration of non-punitive reporting – Research integration of data collection and reporting systems – And integration of other important SMS elements.



18

Safety Management Systems Update • Follow-on-Implementation Study: – To study deployment of SRM and Safety Assurance – Requirements of the study include: • • • •

Conduct at least 3 SRM assessments/analyses Implement reporting and data collection Conduct internal audit/evaluation And other selected implementation issues…

– Airport nominations closed 12/21/09.



19

Safety Management Systems Update • Pilot Project II – 9 airports (Class II-IV). Need to gather data on smaller airports reported in findings of Pilot Project I. – Gap analysis completed by each participant – Airports currently working on program manuals and implementation plans for submission.

• PP-I and PP-II findings to be integrated and published together. Safety Management Systems for Airport Operators January 2010


20

Safety Management Systems Update • 139 Notice of Proposed Rulemaking – Under consideration at this time. – If initiated, will be based on guidance developed through PP-I, Proof-ofConcept study, Implementation Study, PP-II, ACRP work, internal SMS efforts, and international experience.



21

Safety Management Systems Update • Internal SMS Efforts – FAA: Order 8000.369 establishes guidance for a common SMS in each LOB. Based on ATO SMM, Version 2.1. – ATO (Full implementation planned by March 2010) • ATO JO 1000.37 defines SMS and directs the use of the ATO SMS Manual (Version 2.1) and the use of the SRMD effort to address changes to the NAS

– AVS • AC120-92, Introduction to SMS for Air Operators • ARC established. • Currently involved in both ANPRM and NPRM efforts to study SMS requirements • AVN Order 1110.152



22

Safety Management Systems Update • Internal SMS Efforts – Interim SMS Guidance published to define ARP involvement in existing SMS processes – For projects funded through Stimulus funds, interim SMS guidance was published = abbreviated SRM analysis process. – Contract negotiated with Microsystems Automation Group to provide ‘technical assistance and contract support services’ to assist ARP in establishing a SMS.



23

Safety Management Systems Update • Microsystems Contract Major Deliverable Schedule: – – – – – – –

Final SMS Order, 05/2010 SMS Implementation plan, 06/2010 Staffing Plan, 06/2010 SRMD Flow Matrix, 07/2010 SMS Manual, 10/2010 SMS Training Plan, 12/2010 Provide additional training and SRM support, 2011-2012.



24

Safety Management Systems Update • Implementation Studies • Studies will analyze the specifics of injecting SRM into the various phases of the existing airport planning and development process. – – – –

Master Plan and ALP approval Environmental review and approval Modification of Standards Safety During Construction/Construction Safety Phasing Plan

• Effort may include analysis during current project development, or analysis of previous work completed as a case study effort.



25

Safety Management Systems Update

Information: AC, ACRP,ICAO SMM

http://www.faa.gov/airports/airport_safety/safety_ management_systems/



26

More SMS guidance available all the time, such as… • ACRP Safety Management Systems Overview: Volume I • ACRP: Safety Management Systems Guidebook: Volume 2 Safety Management Systems for Airport Operators January 2010


27

So how does an airport begin with SMS development? • Acceptance – At the top – Throughout the organization

• Training – Begin to develop the culture of safety

• Gap Analysis – To establish the baseline

• Program development – Will not be an overnight process



28

QUESTIONS?

Randy L. Moseng, ACSI, A.A.E. Airport Safety and Operations, AAS-300 c/o Delta Airlines CMO 1701 Columbia Ave College Park, GA 30337-2748 [email protected] (404)474-5331 Safety Management Systems for Airport Operators January 2010


29

Why SMS at airports?

Resources

Management levels

Protection

Resources

Production

The existing safety paradigm may be insufficient? Safety Management Systems for Airport Operators January 2010


30

FAA SMS Structure – ‘The 4 Pillars’ •

Safety Structure, Policy and Objectives. – Management commitment – Written safety policy, targets and goals. – Established roles and responsibilities.

•

Safety Risk Management Process – Identify hazards and associated risks – Identify appropriate mitigation strategies – Plan, do, check, act (PDCA)

•

Safety Assurance System – Validation of performance indicators and targets. – Non-punitive reporting system – Internal and external audits.

•

Safety Promotion Program. – Communications – Newsletters – Training and education



31

Safety Management Systems Update • Canada…12/26/2007 CAR published requiring Airports SMS development. http://www.wingsmagazine.com/content/vi ew/1322/ • National SMS Sharepoint and SMS facilitation Sponsored by SeaTac and Landry Consulting: [email protected]



32