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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.