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Getting Started 35
3.3 Select an SMS Model Structure
SMS requirements typically are performance-based. This means that though SMS must
achieve certain objectives, the manner to achieve them is left to the operator. It is important
when selecting an SMS model that it is based on the PDCA cycle and that it allows for external
audits. Most published models have the following features:
· FAA AC 150/5200-37--Safety Management Systems (SMS) for Airport Operators: 4 pillars
(safety policy and objectives; safety risk management; safety assurance; and safety promotion)
and 18 elements
· FAA AC 120-92--Introduction to Safety Management System for Air Operator: 4 pillars
· Occupational Health & Safety Assessment Series (OHSAS) 18001(16): 17 elements*
· ICAO(3): 4 pillars and 12 elements
· Transport Canada(17),(18),(19),(20): 17 elements**
· Civil Aviation Authority of UK(21),(22),(23),(24): 6 elements**
· Civil Aviation Safety Authority of Australia(10): 8 elements**
When you choose a model for your SMS, make sure that it covers all of the
elements described in this document.
One way to make sure that your model is complete is to create a table of con-
cordance that shows where the SMS elements are within your system.
Using the model depicted in FAA AC 150/5200-37 may facilitate verifying agree-
ment with these recommendations.
3.4 Build on What You Have
An SMS will be most effective if it is built on existing practices and tailored to the airport's
size, complexity, type of operation, safety culture, and operating environment. Before designing
your SMS, you will try to identify the SMS processes that you already have in place; this is called
gap analysis and will be discussed in more detail in Section 3.5. You may be surprised to find how
much you already have at your airport. If your airport is certificated under Part 139, many of the
safety responsibilities are described in your Certification Manual. Moreover, you already have
some proactive hazard identification procedures as part of the required daily self-inspections. In
many cases, there are document and records management processes. Some airports even have
other comprehensive management systems, such as environmental and wildlife management
systems(15) that can be adapted or built on to handle safety issues using similar processes.
Some airports collect safety data and perform trend analysis; however, most airports without
SMS have no formal SRM process in place. Currently, most airports do not have a regular or ad
hoc plan for safety audits or assessments, and they may need to create the processes and train staff.
Table 1 lists some of the elements that you may already have at your airport and describes how
they can be helpful to your SMS.
*OSHA focus is on occupational health and safety; SMS goes beyond these to operational safety, however both use the same
principles
**to date, Canada, the United Kingdom, and Australia have not integrated OSHA and SMS
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36 Safety Management Systems for Airports
Table 1. Using your existing resources.
Examples of Existing Resources How to Use It in Your SMS
A phone hotline that people can use Small and medium airports can use an
to report safety issues to the existing line for safety reporting. Larger
department of operations. airports may want to install a specific SMS
hotline if necessary.
An intranet and/or an Internet website. Your airport can create an SMS webpage to
disseminate safety information and provide
a forum where people can report hazards
and other safety issues.
An airport newsletter. You may want to add a specific section on
safety to facilitate disseminating safety
information at the airport.
Regular meetings with managers and Your SMS documentation may include a
airport stakeholders. requirement to have safety as a mandatory
agenda item at some meetings. These
meetings are excellent forums for discussions
and brainstorming on safety issues, and they
provide an excellent source of input to the
SMS Manager.
Procedures for daily self-inspections of Such activities are mandatory for Part 139
the airside areas. airports and are very effective for hazard
identification. Extending the self-inspections
to the landside and to the terminal, if not yet
in place, will create an effective procedure
for hazard identification when your SMS
scope covers such areas. Introducing
processes to pass the safety information from
these inspections to the SMS Manager will
integrate the self-inspection process to the
SMS.
Environmental and/or wildlife Most of the processes available for these
management systems. systems can be adapted and used for your
SMS. Much of the existing experience can be
transferred to the SMS team.
Some of the airlines operating at your In general, other organizations are willing to
airport may have some SMS elements share their experience and, in some cases,
in place. At airports sharing civilian and even their tools. The airport SMS team has
military operations, it is possible that the much to learn and gain from other
military organization has an SMS in organizations' experience with SMS
place. processes.
Procedures for accident/incident In most cases, public safety investigations
investigations. If your airport has a risk obtain information on how the accident
management section, the staff may occurred rather than on the root causes
have a good starting point for safety when determining why an accident
investigation procedures and perhaps happened. The existing investigation
qualified people to provide training. procedures can be adapted and staff
Public safety and enforcement officers trained to search for root causes of
also have specific procedures and accidents and incidents.
experience conducting accident
investigations.
Part 139 requires airports to keep SMS also recommends keeping such records.
records of training, fueling agent They can be very helpful for accident and
inspections, self-inspections, accidents, incident investigations. Part 139 records may
and incidents. be an excellent source of data for
developing trend analysis.
Control of documents and records. Many airports, particularly medium and large
hubs have approved procedures for
document and records control. These
procedures are also applicable to SMS.
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Getting Started 37
Table 1. (Continued).
Examples of Existing Resources How to Use It in Your SMS
Safety committees. Many airports have safety committees to
coordinate operations, ramp activities,
runway incursion, and FOD programs, etc.
The same committees can be part of your
SMS organizational structure.
Safety management for Part 139 Each of these requirements should be
requirements (training, condition of addressed from both Part 139 compliance
movement areas, wildlife control, and SMS standpoints. SMS may help improve
emergency response, plan for snow these processes using its systematic and
and ice control, reporting airport proactive approach; however, when
conditions, handling and storage of compliance and SMS priorities are not in
hazardous substances and materials, agreement, even when risks are considered
access and traffic control of under control, compliance should be
movement and safety areas, control of achieved for continuity of operations.
obstructions and protection of
navigational aids (NAVAIDs), public
safety, identification of construction
and unserviceable areas)
Operational responsibilities of key staff The organizational structure and safety
defined in the Airport Certification responsibilities described in the SMS Manual
Manual (ACM). should be compatible and built on this
structure. It will be necessary to include a
safety management function that covers all
areas within the SMS scope (airside, landside,
terminal) for the airport.
Existing safety objectives. Some airports, particularly large hubs, have a
few safety objectives that are measured and
monitored (e.g., reducing the number of
ramp accidents by 15%). These same
objectives can be maintained and even
supported by departmental goals.
Existing rules, regulations, and SOP. Many of the actions identified in the SRM for
controlling risks will involve the enforcement
or improvement of existing procedures.
Trend analysis. Some airports, particularly large and medium
hubs, regularly collect data on accidents at
the ramp and keep monitoring trends.
Certificated airports keep track of their
runway incursions and identify "hot spots."
Wildlife management programs keep track
of trends for wildlife hazards.
An audit function (most likely available The audit unit may be able to carry out SMS
at larger airports). and safety assessments. In this case, the
assessment team should have members that
are knowledgeable of the area being
assessed. If this is not the case, the audit unit
may have audit procedures and be able to
train airport staff in conducting general
assessments that can be adapted to verify
safety.
Part 139 airports comply with OSHA Many of the existing OSHA management
regulations and may have the processes can be adapted and used for
associated management processes. your SMS. Much of the existing experience
can be transferred to the SMS team.
