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SMS Operation 113 Table 23. Example of accident/incident investigation form. Accident/Incident Investigation Form Date: Airport: Investigator: Incident form number: Date of incident: Injured person: Time of incident: Type of injury: Property damage: Brief description of incident: Damage to aircraft by apron equipment Damage to/by moving aircraft Damage to property/equip. Equip. to equip. damage Equip. to facilities damage Damage from wildlife Other (describe) Witnesses: Immediate/short-term actions to prevent recurrence: How long has the person conducting the task been working prior to the incident/injury occurring? How long had the person conducting the task been working on the task? Is this task part of the normal duties for the person conducting the task? Yes No Had the person performing the task been instructed/trained in how to Yes No perform it? What were you doing in the time prior to the incident/injury? What were other factors involved? If other, please Environment specify. Equipment Hazardous Substance Other (continued on next page) An example accident/incident investigation form containing helpful information to be gathered is presented in Table 23. In the last portion of this form, the investigator may describe some risk control options. The arrow indicates the priority that should be adopted for these actions. 6.6 SMS and Internal Safety Assessments Continuous improvement is one of the core concepts addressed by an SMS. To help airports ver- ify that management efforts are focused in the right direction and that the objective of continuous

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114 Safety Management Systems for Airports Table 23. (Continued). Accident/Incident Investigation Form ENVIRONMENT Was there an acceptable standard of safe conduct in play? If no, provide Yes No details: Was there good visibility? If no, provide details: Yes No Was there adequate lighting? If no, provide details: Yes No Was there adequate means of access? Yes No What was the precipitation condition? How was the Surface condition? Dry Hail Dry Ice Rain Drizzle Snow Wet Snow Other, specify: Slush Standing water EQUIPMENT Did any equipment/vehicle contribute to the incident? If yes, provide Yes No details: Description of Equipment: Type: Make: Did the design/quality of the equipment/work area contribute to the Yes No incident? If yes, provide details: Did the location/position of the equipment contribute to the incident? If Yes No yes, provide details: Had the hazard/risk been recognized previously? (e.g., Pilot Report, Yes No incident report, hazard report, etc.) Were employees informed/aware of the hazard/risk? Yes No If yes, provide details: Was the equipment in good working order? If no, provide details: Yes No Date equipment was last serviced: Was the correct equipment being used for the task? If no, provide details: Yes No Was the equipment being used correctly? If no, provide details: Yes No improvement is being achieved, SMS incorporates a set of specific tools to measure improve- ment over time. Some of the most valuable of these tools are the SMS self-assessment and inter- nal safety assessments, which are part of the Safety Assurance pillar of SMS. The SMS self-assessment process also offers a unique mechanism that "checks and balances" the SMS to ensure that its pillars and elements are working effectively. Internal safety assessments help evaluate how effectively individual units of the airport (e.g., maintenance, ARFF, dispatch) are

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SMS Operation 115 Table 23. (Continued). Accident/Incident Investigation Form PROCEDURES/SIGNAGE Was there appropriate safety signage displayed? Yes No Were there SOPs for the task? Yes No Had employee/s been instructed/trained in the SOPs? Yes No Had employee/s been deemed competent and understood the SOPs? Yes No Were safe working systems observed? (e.g., isolation procedures) Yes No Was the workload considered excessive? If yes, provide details: Yes No Was the task repetitive? If yes, provide details: Yes No HAZARDOUS SUBSTANCES Was an MSDS (Material Safety Data Sheet) available? Yes No Were the storage/handling/disposal of the substance(s) adequate? If no, Yes No provide details: TRAINING/SUPERVISION Was the employee/s physically capable of doing the task? (e.g., good Yes No health, no disability, recovering from illness). If no, provide details: Was there frequent supervisor/employee/s contact to discuss/review Yes No hazards and job procedures? (e.g., safety meetings, daily briefings). If no, provide details: ANY OTHER FACTORS INVOLVED? Please explain: Investigator's comments and observations: (continued on next page) working relative to safety and if they have the right resources to achieve their safety goals. When agreed between the parties, the airport may want to conduct safety assessments on the operations of airport stakeholders (e.g., tenants) to ensure they are operating in line with the airport rules and regulations, that they have staff that is adequately trained, and that their resources (e.g., equipment) are appropriate and in good condition to work safely in the airport environment. These assessment processes are internally initiated examinations of the performance, activ- ities, systems, and processes in place within the airport related to SMS and safety. In general, an SMS assessment is performed on an annual basis. Safety assessments normally focus on areas that are most deficient; however, every airport unit should be assessed regularly (e.g., every other year). The goal of an assessment is to have an open and transparent "second look" at the processes and resources to identify areas where improvements may be needed. It is a tool to evaluate how

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116 Safety Management Systems for Airports Table 23. (Continued). Accident/Incident Investigation Form Risk Control Options Action Required By Whom By When Avoidance--does the operation need to take place? Or do you have to do the task? Transfer--is there another way you can manage the operation or do the task? Control--can you engineer a way to make the operation/task safer? e.g., eliminate the hazard, substitute operation, use engineering and/or procedural controls. Date and feedback provided to person reporting the injury/incident: Investigation Completed By: Print Name: Sign: Position: Date Completed: / / effectively the airport is working toward improving safety. These evaluations will include (a) review- ing and evaluating the actions taken to ensure that they are producing the desired effects and (b) monitoring business activities and their impact on safety to determine where efforts should be directed. Audit Versus Assessment You may hear the terms assessment and audit used interchangeably. However, while it is true that the processes and activities associated with each are very similar, in the context of SMS, they are technically different. Audit focuses on compliance and conformance to a given standard and is based on factual verification of non-conformance, usually associated with prescriptive regu- lations. Assessment focuses on the effectiveness and efficiency of an SMS and collects data to make judgments on its performance. Table 24 provides examples to help differentiate between assessment and audit. In some countries, SMS has been adopted and promulgated as a performance-based regula- tion. This means that, while the regulator is seeking to achieve a certain outcome, the means of achieving this objective is, for the most part, left to the regulated party (i.e., the airport). In the context of SMS, assessment is then the most suitable term to define this process. (Note that much of the international literature concerning SMS calls an assessment an internal audit or self-audit.) Assessment Principles Inspections, evaluations, and the like are guided by a series of principles or characteristics that verify that the outcomes have achieved their objectives. SMS and safety assessments are no different. The following are some of the key principles that need to be observed when perform- ing an SMS or an internal safety assessment.

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SMS Operation 117 Table 24. Examples of audit and assessment. Requirement Measurement Outcome 139.305 Paved areas ...The pavement The If the difference is edges must not auditor/inspector more than 3 inches: exceed 3 inches Audit would physically difference in Non-Compliant; measure elevation between difference. if it is 3 inches or less: abutting pavement sections and Compliant. between pavement and abutting areas. Based on the Is the policy judgment of the documented? assessment team, this requirement is Is it effective? evaluated on whether Is it it satisfies the principles An airport should communicated? of the SMS or not, and Assessment have a safety policy if it is effective for the in place Is it periodically size and complexity of reviewed? the airport. If Is it signed by the improvements are AE? necessary, the assessment team will etc. provide recommendations. Internally Initiated Traditionally, airports and other aviation organizations have relied on periodic certification inspections by the FAA to identify non-compliance and to obtain recommendations on correc- tive actions. SMS steers away from this approach and calls for airports to take the initiative for periodic assessments to review all operational processes of SMS and safety. These internal assess- ments evaluate the performance of the processes and the resources available to determine whether and how they are achieving their objectives. Based on these assessments, corrective measures can be taken, if improvements are needed. Comprehensive To ensure that the results and observations of the assessment are accurate and representative, an effort should be made to include all processes, activities, departments, resources, and levels of personnel affected by the scope of the SMS. Depending on the size of the airport, the com- plexity of the operations, and the availability of resources, the scope of an assessment may vary. The assessment may cover the whole spectrum of an SMS in a single exercise, or it could be sched- uled in such a way that different areas or units are targeted independently. If the latter approach better suits your airport, make sure that, at the end of each cycle, all areas and aspects of SMS have been covered. Independent and Objective Dealing with the everyday activities of airport operations can create diverse and, sometimes, conflicting priorities. It is important that, in this environment, you focus on safety and that the processes put in place to support the SMS remain relevant and practical.

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118 Safety Management Systems for Airports A fresh look from a party that is not immersed in and directly affected by day-to-day activities would provide the objectivity necessary to assess your SMS and safety performance. Some larger airports might have an audit function/department within their organizational structure. If this is your case, you can take advantage of this support to perform the assessment. Other large air- ports that do not have an auditing department may consider performing cross-departmental assessments under the direction of the SMS Manager or another experienced facilitator. For medium and small airports, it may be a challenge to find the necessary level of objectivity and independence in house. The logical choice would then be to seek outside help. An approach that might suit your airport is to make a bilateral agreement with other similar airports in the region to perform each other's SMS assessments. Of course, airports large and small could also secure the services of an outside independent firm to perform their SMS assessments if none of the approaches works for them. Having an external person/team perform the assessment does not violate the principle of an internally initiated examination since the initiative to review SMS performance comes from the airport and not from an external agency. Frequency The frequency and scheduling of SMS and internal safety assessments should be related to the risks identified with specific activities or functional departments and the results of previous assessments. In general, such assessments are performed annually or biannually. Unscheduled or ad hoc assessments should take place when significant changes or events occur, such as a major organizational restructure or an accident. Assessment Methodology This section provides a high-level overview of how an assessment is carried out and the steps necessary to accomplish one successfully. Every airport or external organization will set up an assessment process that best serves its needs, but in general, it will basically follow the steps depicted in Figure 19. The assessment methodology and the tasks described in this section are appropri- ate for large and medium airports. The checklists and tables are applicable to smaller airports as well; however, the methodology can be less formal. A large airport may have a team to conduct the assessment, whereas small airports will likely have only one person performing the assessment. Pre-Assessment Tasks Audits and assessments are demanding exercises. They are labor intensive and can be very dis- ruptive to the normal operation of the airport/department being assessed if not properly planned. Preparation before the site visit will mitigate any undue stress on those being assessed and greatly enhance the possibility of successfully achieving the assessment objectives.

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SMS Operation 119 On-site Pre-Assessment Post-Assessment Assessment Tasks Tasks Tasks Define assesssment Entry Meeting Measure observations tool to be utilized Define assessment Prepare assessment Data collection scope report Select the assessment Site Tour team Develop assessment Conduct plan interviews Request and review On-site the airport's document review documentation Record observations Exit Meeting Figure 19. Generic assessment protocol. Pre-assessment tasks may include the definition of the assessment team, preparation of an assessment plan, selection or development of an assessment checklist, notifying the unit to be assessed, organizing and scheduling the visit, requesting and reviewing key documentation, iden- tifying key staff and scheduling interviews, and other such activities. Define the Assessment Tool SMS evaluations are performance-based, and this means that both the process and the end result are important to achieve the safety objectives; therefore, different airports may have dif- ferent processes to achieve their safety goals. While the principles and elements of SMS do not change, the structure and way in which these elements are arranged to provide a framework may vary. The same is true with the airport units and the procedures and resources they use to carry out their activities. Whether an SMS regulatory framework is in place or not, the purpose of an SMS assessment is to ensure that all the elements that define an SMS and their associated processes are in place, functioning effectively, documented, being practiced, and support management objectives. The idea is to review all operational processes of SMS and assess them against the pillars and elements of the framework. Once that has been done, you can determine whether the processes are achiev- ing their objectives and identify where improvements may be needed. For internal safety assessments, the process should be tailored to the airport unit subject to the assessment. A checklist to assess the ARFF unit is different from the one used for maintenance or an airport tenant.

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120 Safety Management Systems for Airports Determine Assessment Scope Depending on how you approach this exercise, the scope of the assessment may vary widely. At this stage, you have to define the parameters that will govern the assessment. The scope defi- nition should cover the following at a minimum: Geographic extent of the assessment (e.g., Apron C, whole airside, Parking Garage B) Business unit being assessed Time period Assessment topics (e.g., assessment of the SRM process, training, equipment) Level and depth of detail of the assessment Select Assessment Team The scope of the assessment will determine the number and qualifications of the personnel assigned as assessment team members. It is not necessary that all team members have the same qualifications, but it is important that, as a team, they are able to cover all the technical expertise and experience needed to perform the job effectively and efficiently. For example, the team conducting an assessment of the airport ARFF unit should have at least one member with experience in ARFF. In addition, it is recom- mended that team members are free of any potential conflict of interest. At the very least, the assessment team as a whole should have audit or assessment experience, technical expertise in the functional area being assessed, and knowledge and experience with SMS. When the team includes more than one member, a team leader should be appointed as the single point of contact for the team. If your airport has an internal audit group or function, you should consider their support, either to help you develop an assessment protocol and/or to assist with data collection and analysis. Develop Assessment Plan The assessment plan is the master document that will lay out the activities, requirements, and details of the assessment process. It should include the following at a minimum: An introduction defining the purpose and the scope of the assessment Tentative dates and locations of the assessment A description of the assessment methodology and approach A detailed schedule of planned activities Members of the team, including their roles and responsibilities Logistic requirements This plan should be developed and presented to those being assessed in advance of the assess- ment itself. The planning and pre-arranged logistics will ensure that the normally limited time available for the on-site visit is used efficiently. Request and Review Documents The assessment process should begin well in advance of setting foot in the facilities of the department being assessed. Significant information can be obtained through the review of exist- ing documentation before the visit, such as information on existing processes and practices and what is, or more important, what is not documented. It will also help, in the case of a stakeholder

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SMS Operation 121 assessment, to familiarize the team with the operations and the organizational structure of the unit or department and assist in selecting key people to interview. The following are some exam- ples of typical documents that would be helpful to review: SMS policy statement Certificates/permits/approvals Hazard identification records Procedures and practices Past assessment/incident reports SMS documentation such as the SMS Manual, hazard log, accident investigations Organization charts Performance indicators and trend analysis Training records (for internal safety assessments only) Equipment maintenance records (for internal safety assessments only) On-Site Assessment Tasks All tasks performed during this phase will help validate processes and procedures included in the documentation reviewed, establish a rapport with personnel from the department being assessed, and provide a deeper insight into the airport/department being assessed. Entry Meeting This is meant to be a brief introductory meeting to further expand on the details presented in the assessment plan, clarify specific points about the methodology and the scope of the process, and confirm all logistic requirements. Data Collection Site Tour. The first task the assessment team should perform once on-site is a physical tour of the facilities. This allows for a firsthand view of the operation, a direct observation of the prac- tices used by staff in the field, and the general condition of the infrastructure, equipment, and work conditions available. It will also help identify potential interviewees and assist the assess- ment team in starting to set up a list of sample questions. Interviews. Interviews provide a fertile and dynamic setting for the gathering of information. Unlike the document review or the site tour, which can provide only a snapshot of the informa- tion presented, interviews allow for follow-up questions and interaction to better clarify issues. As with every other skill, performing interviews effectively requires training and practice. The following tips provide an overview of the key activities associated with this task: Identify the SMS and safety elements to be addressed Identify potential issues Record notes in bullet form, concentrating on key facts Keep a record of items to follow up on later Ask open-ended questions Conduct the interview in a location where the interviewee will be comfortable (e.g., their place of work) The key to effective interviewing is to spend more time listening than talking. Your goal is not to fill out a form but to elicit essential information that will help your SMS assessment.

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122 Safety Management Systems for Airports On-Site Documentation Review. As the assessment team gathers information, other doc- umentation will emerge that was either unknown at the time of the pre-assessment review or impractical to be made available at that time. The assessment team should collect and review this information as it becomes accessible. The type of documentation that might emerge could include the following: Internal documentation detailing management and other responsibilities Control mechanisms Information management Training and awareness programs and records Permits, approvals, licenses, and exemptions Contracts and specifications Maintenance records Specific operating procedures Record Observations As the assessment progresses, the information collected must be recorded and organized in a manner that is relevant to management and easy to cross reference with the assessment check- list. An effective guideline to ensure that the observations stated are credible and clear should at least include the following steps: Describe the situation (SETTING): The setting is a description of the circumstances through which the information was gathered. Identify the requirement (CONDITION EXPECTED): The condition expected is the assess- ment team's expectations of the item being assessed. Describe objective evidence (CONDITION FOUND): The condition found is the actual observation and must be stated in a factual manner that is clear and precise yet conveys the full extent of the situation including instances when best practices were demonstrated. It must be supported with the appropriate data (e.g., document or interview reference). Cite the reference to the standard (REQUIREMENT): The requirement is the airport policy, best management practice, the airport's rules and regulations, or other citation reference. This must be included in every observation. The assessment team members should be encouraged to review and organize their notes as soon as possible after completing an interview or site visit. It is easy to lose track of insights and observations after only a few days. Exit Meeting The exit meeting provides a summary of what took place during the assessment. Its purpose is to conclude the activities of the assessment, present airport or department managers with a sum- mary of the principal observations gathered during the assessment, and provide an opportunity for management to discuss and clarify any potential discrepancies. Post-Assessment Tasks This phase of the assessment seeks to formalize the process into a deliverable. Depending on the initial scope of the assessment, this phase will conclude the assessment of the airport or targeted unit.

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SMS Operation 123 Measure Observations and Provide Assessment With all the information on hand, it is now time to provide a more accurate and detailed judg- ment of the assessment, supported by the observations made throughout the assessment process. Regardless of the tools used during the exercise, the purpose of an assessment is to validate mea- sures put in place to achieve successful and safe operations, and to determine their effectiveness and efficiency. In other words, the assessment has to provide answers to the following questions: Existence: Have the measures developed by management been implemented, and to what degree are those measures being used and applied? Efficiency: Are the measures providing the best possible results/benefits for the level of effort/resources exerted to support them? Effectiveness: Do those measures support the objectives set up by management with regard to SMS and safety? While most of the answers to these questions are judgment based and rely heavily on the assessment team's experience and knowledge of SMS and safety, there are tools available to sup- port less experienced assessors. An example of a simple tool for SMS assessment is one that breaks down the SMS framework by pillars, elements, and expectations. A random scale can be used to allow for comparison of different elements. An evaluation of independent expectations defines the scoring for each element. The scores for all elements are then added to score each pil- lar, then all pillar scores are added to provide an overall SMS score. The use of such a tool is described in Annex B of this guidebook. Develop Assessment Report The assessment report is the final task of the process and documents the overall assessment. It also identifies the strengths and weaknesses of the airport/department's practices, procedures, and available resources in support of the SMS and safety objectives. The report does not need to be formal. It should indicate to the airport management and Accountable Executive those deficiencies identified during the assessment process so that cor- rective actions can be taken. This document may include the following: An executive summary of the observations Date of assessment and assessment period Team members Objectives and scope Assessment expectations/criteria Summary of assessment process (i.e., sampling and assessment plan) Details of observations Results of the assessment Recommendations for corrective actions A list of documents reviewed The final assessment report usually is prepared by the team leader, with input from the assess- ment team. SMS Assessments SMS Assessment Tables SMS assessments are similar to the gap analysis process, in that they both examine and evalu- ate the SMS elements. But whereas gap analysis is done before the SMS is in place, to check what is available, what is missing, and what needs to be adapted, the SMS assessment looks at the in- place SMS elements to determine how effectively they are functioning and to rate them for per-

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124 Safety Management Systems for Airports formance. Moreover, the assessment may look only at individual elements of the SMS or even individual units of the airport to check how well they are performing their SMS roles and tasks. SMS assessment tables are available in Annex A. The assessment tables are designed to organ- ize and consolidate the information and observations collected during an SMS assessment. How to Use The worksheets are a series of tables that contain all of the expectations associated with each SMS pillar and element. There is space for the assessment team to record information references, score, and observations (justification for the given score). The tables shown in Annex A are organized as follows: The first column contains SMS expectations The second column is for describing the references--the source of observations or informa- tion collected during the document review or interviews The third column is for the score assigned to each expectation--the scoring methodology is described in the following SMS Scoring Methodology section The fourth column is for the observations/information collected by the assessment team that justify the assigned score References During the assessment, team members should collect as much information as possible to use as references to support their observations, including the name, position, and department of the person being interviewed; the observation location and time; and the document title, publica- tion date, and reference number. If the expectations worksheets are going to be part of the final deliverable to the client, a complete reference may not appear in the final version to protect the privacy of individuals. However, this information should be available to the assessment team during the scoring process and for future reference, if required. Scoring Scoring should be conducted by all members of the assessment team according to the method- ology outlined below. Pillar and element scoring should be done after all of the team member's observations have been recorded on the worksheet. Observations All members of the assessment team should transfer their observations from their notebooks to the worksheets and score each expectation. There need only be one working copy of this document, which is passed between team members. This may be done at the end of each day of the site visit. SMS Scoring Methodology One possible alternative to quantify the assessment is presented in this section. Once all of the observations have been recorded, the team should collectively score the SMS elements. There should be a consensus on the score assigned to each element. In the event that there is a disagree- ment, the team leader will make the final decision. The following criteria should be used. 1. Score Expectations Expectations are given a score (see no. 2, Score Elements) based on the information col- lected during assessment to remove subjectivity. The score may have one or more comments associated with it that provide justification and context. Expectations may be scored by individual team members. Another team member may override the initial score if the information required to justify a change is provided. Team members should come to a consensus on the score assigned to each expectation.

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SMS Operation 125 2. Score Elements The assigned score is not based on a mathematical average of the expectations scores; rather, expectations scores serve as a guide for pillar and element scoring. Sub-elements and elements are given a score of 0 through 4 as follows: "0" is given when none of the expectations under the element are met (comments/justifi- cation required) "1" is given when some of the expectations under the element are met (comments/justifi- cation required) "2" is given when all expectations under the element are met (no comment required) "3" is given when all of the expectations are met or exceeded (comments/justification required) "3+" may be assigned if the assessment team feels that the organizational unit has done an exceptional job, meeting or exceeding all of the expectations under this element, and deserves extra mention (comments/justification required) "4" is given in the event that the organization exhibits a best practice for this element (rare, extremely subjective, and may only be assigned by an SMS expert with particular industry experience [comments/justification required]) Add the sub-element scores to assign element scores, as required. Again, the score is not based on a mathematical average; the sub-element scores serve as a guide for the element scores. Elements can only be assigned whole numbers; no decimals. All team members should agree on the element scores before assigning pillar scores. Element scores should be recorded on the scoring table presented in Annex C. 3. Add to Score SMS Pillars Pillars are scored last, following a similar process to element scoring. The assigned score is not based on a mathematical average of the element scores. Element scoring serves as a guide for pillar scoring. Pillars are given a score of 0 through 4, following the same criteria used for the sub-element scores. Pillars can only be assigned whole numbers. All team members should agree on the final pillar scores. Pillar scores should be recorded on the scoring table presented in Annex C. Internal Safety Assessments SMS is a systematic approach to managing safety risks within an organization. SMS achieves this objective by establishing a series of processes and procedures that, once developed and implemented, will help an organization identify and address potential risks in relevant areas. One of the most effective processes at your disposal for this purpose is the internal safety assessment (some organizations prefer the terminology internal safety audit). Since we are trying to take an inward look at airport safety performance, we will use the term internal safety assessment even when it is applied to an airport tenant. Essentially, this process helps departmental and divisional leaders be self-critical and, ultimately, will help make their department/division as safe as possible. When these safety assessments are performed in a different organization working at the airport, there needs to be an agreement between the airport and the stakeholder or clause in the lease contract because there is currently no regulatory basis for the procedure.

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126 Safety Management Systems for Airports The internal safety assessment process can be used by both senior managers and department/ division directors and managers to ensure that the area for which they are responsible is as safe as possible and/or to identify specific deficiencies. Airports are very complex environments. They differ greatly depending on the size and type of operation. Their risks and "safety status" or "safety health" will also vary depending on things such as their safety culture, level of maturity of the SMS, organizational structure, and manage- ment style; however, there are common functional areas that should be targeted during an inter- nal safety assessment. There are many different theoretical and conceptual models that provide different methods for performing self-assessments/audits. In this section, key functional areas are presented that affect safety. Managers and directors should consider these when evaluating their departments and divisions for safety. Ideally, the airport should develop specific checklists to assess each of these areas. These checklists can be continuously improved as more safety assessments are performed on a reg- ular basis. Each subsection presented is not meant to provide an exhaustive list of questions that can be asked when performing an internal self-assessment. They are meant to provide gen- eral guidance for department and division managers and directors who may perform these assessments. Safety Management System This area concerns your department/division performance with respect to SMS. This part of the assessment can be completed by using the tools provided in this section that concern SMS assessment for the whole organization. Some questions to ask in addition to those provided in the SMS assessment subsection are as follows: Has my department/division established the appropriate SMS processes? How often does my department/division use these processes? Have I assessed all the regulatory standards and regulations that affect me? Has my department/division established objectives in line with those of the organization? Staff This area concerns the people who work within the organizational unit being assessed. These are the human resources that do the work and ensure the unit accomplishes what it needs to do. There are three major functional areas you need to assess to determine safety: competency, job satisfaction, and safety culture. Some questions you can ask yourself are: Have all my employees received the training they need? Is this training adequate? What is the turnover in my department/division? Do employees use/follow operating procedures? How many grievances have been filed in a given period of time? Do employees understand the organizationwide safety initiatives? Do they understand their safety roles in the unit and in the airport organization? Are they motivated to do their jobs, and do they care about safety? Assets This area concerns the equipment and materials used by the unit. The availability and status of equipment and material play a very important role in safety. The equipment may serve as a control for preventing an accident or incident; however, if it lacks proper design, calibration,

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SMS Operation 127 maintenance, or use, the equipment may fail and be the cause of an accident or incident. Ques- tions to ask include the following: Is your staff appropriately trained in the use of the equipment/tools they are provided? Are all of your assets being properly maintained? How do you know? Do you have standards to determine the required equipment specifications? Can your people use your assets while wearing PPE? Is the quantity of material and equipment appropriate for the size of your operations? How do you deal with equipment breakdown? Do you have a backup? Environment This area deals with the working environment in which your department/division operates. Temperature, lighting, space allocation, outdoors versus indoors, and so on can be considered. Essentially, you want to ensure that the environment does not lead to accidents. The following are questions to consider: Does it ever get too hot or too cold? Has this led to human error or equipment failure? Are rain/snow storms considered in your procedures? Is there adequate lighting? Do your people always have enough space to do their work safely? Do you have specific procedures for unfavorable weather conditions (e.g., strong winds, low visibility, rain/snow, lightning, winter operations)? Organization The unit organization and its place in the airport organizational structure are very important. This organization provides, among other things, the overarching policies, programs, and systems to which you must subscribe, and controls the allocation of resources your department/division receives. The unit must operate within this larger organization effectively to achieve a high level of safety. Some questions to ask are as follows: Have there been any major organizational changes that may affect your department/division? Does your department/division have the resources it needs (financial, human, asset)? Do you have access to higher levels of management to elevate safety issues? Do you have a positive and cooperative relationship with the regulatory authorities? Occupational Safety and Health This area deals with conventional occupational safety and health matters. While SMS focuses mainly on airport activities, departmental/divisional managers or directors must concern them- selves with safety as a whole. This subject is well documented and regulated worldwide, and many assessment tools exist. Some questions to consider are as follows: Does my department/division have adequate PPE? Is it used properly? Has my department/division received all the necessary training related to occupational safety and health? Do personnel practice lockout-tagout? Do personnel perform regular housekeeping inspections? Airport Tenants and Contractors This area deals with airport tenants and contractors and their effect on airport safety. Air- port stakeholders play a large role in the operations of every airport and, as such, must be taken into account when assessing the safety of any department/division. Again, there needs to be an