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SMS Implementation 47 Table 5. (Continued). Item Task Description 6 PHASE 4 6.1 Process for Performance Implement a process to monitor safety trends, Monitoring expressed in terms of performance indicators 6.2 Process for Management Implement process for management review of Review SMS performance 6.3 Process for Safety and SMS Create operationally independent assessment Assessments function with the authority required to carry out an effective internal safety evaluation program 6.4 Develop Training Program Develop and implement process for evaluating current training programs and creating an SMS training program 6.5 Develop Safety Implement process to ensure that safety Communications and information is communicated to and from Promotion Programs personnel 7 PHASE 5 7.1 Extend SMS Scope When required, this phase is used to extend the initial SMS scope (e.g., from airside only to all airport activities) and coordinate with SMS from stakeholders, when available 8 SCHEDULE Scheduled periods for each task (see Figure 4) When setting your timeline, try to be realistic while maintaining a continuous pace of implementation. It will demonstrate management commitment and will increase the chances of success. People tend to lose their initial motivation if the process is interrupted. Be sure to build in sufficient time for scheduling meetings and to evaluate progress. 4.2 Obtain Approval of Your Safety Policy and Objectives You will need to have your safety policies and objectives approved following the preparation of the SMS documentation. These elements should be approved by the Accountable Executive to provide management support and commitment to the SMS and its implementation. In most cases, these elements are developed during the preparation of the SMS documentation; however, it is important that you know how to go about these two SMS elements. Develop a Safety Policy The first step when undertaking any journey is to know where we are going and how we are going to get there. This is what a safety policy does for SMS. This policy speaks to high-level concepts. The policy should clearly identify and record the safety roles and responsibilities within your airport organization. To translate policy into exe- cutable actions, you will also set measurable objectives and goals. They provide a way to identify desired outcomes and a realistic way to achieve them.

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ID Task Name 2009 Qtr 2, 2009 Qtr 3, 2009 Qtr 4, 2009 Qtr 1, 2010 Qtr 2, 2010 Qtr 3, 2010 Qtr 4, 2010 Qtr 1, 2011 Qtr 2, 2011 Qtr 3, 2011 Qtr 4, 2011 Qtr 1, 2012 Qtr 2, 2012 Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun 1 SMS PLANNING & DOCUMENTATION PLANNING & DOCUMENTATION 2 Gap Analysis 3 Define and Document SMS 4 Develop Implementation Plan 5 SMS IMPLEMENTATION PHASE 1 IMPLEMENTATION - PHASE 1 6 Appoint and Train Implementation Team 7 Define Safety Policy 8 Define Safety Objectives 9 Define Safety Accountabilities 10 Develop SMS Organizational Chart 11 SMS IMPLEMENTATION PHASE 2 IMPLEMENTATION - PHASE 2 12 Process to Track Changes to Legal Requirements 13 Process to Manage Docs and SMS Records 14 Process to Manage SMS Data 15 Non-Punitive Reporting System 16 SMS IMPLEMENTATION PHASE 3 IMPLEMENTATION - PHASE 3 17 Process for Internal Safety Investigations 18 Processes for Hazard Identification 19 Process for Risk Assessment 20 Process for Establishing Risk Control Plans 21 Create Safety Committee(s) 22 Process to Create and Improve SOPs 23 Process to Evaluate Impact of Changes 24 SMS IMPLEMENTATION PHASE 4 IMPLEMENTATION - PHASE 4 25 Process for Performance Measuring & Monitoring 26 Process for Management Review 27 Process for Safety and SMS Assessments 28 Develop and Deliver Training Program 29 Implement Safety Promotion Initiatives 30 SMS IMPLEMENTATION PHASE 5 IMPLEMENTATION - PHASE 5 31 Extend SMS Scope and Interface with Other SMSs Figure 4. Example schedule for SMS implementation.

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SMS Implementation 49 One way to develop a safety policy is through a round table discussion with the management team (you might consider employee participation as well). You could start by collecting existing policies (written or not). Identify what is important to you as an organization (with regards to safety), including significant risks, legislation, regulations, and standards. One key element of a safety policy statement is the reporting policy. The most effective way to obtain information on hazards and other safety issues is to establish a non-punitive reporting policy, where people are not punished for making an honest mistake. One policy statement might include "we will work to be the safest airport in the region." This could lead to the following safety objective: "reduce the number of incidents on the apron to at least 10% below regional average." To achieve this objective, you may set up the following goal: "reduce the number of incidents by half in the next 3 years." However, it is very important to note that objectives and goals should not be part of the airport's safety policy statement. A safety policy is a clear indication of management commitment toward safety. It should be widely publicized. A safety policy should be appropriate to the size and complexity of the airport and typically should contain at least the following elements: A commitment to make safety the highest priority The commitment of senior management to implement SMS A commitment to continual safety improvement The encouragement of employees to report safety issues without fear of reprisal A commitment to provide the necessary safety resources A commitment to comply with all regulatory requirements for the airport operation There is no prescribed length for a policy statement. In most cases, a single page should be enough to include at least these elements. Example of Safety Policy (courtesy of Lexington Blue Grass Airport) We all have the responsibility for working in a safe manner. The application of an effective safety management system is integral to all our aviation activities, with the objective of achieving the highest levels of safety standards and perform- ance. As such our commitment is to: continuously promote a safety culture across all our activities that recognizes the importance of safety and the value of effective safety management;

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50 Safety Management Systems for Airports ensure that all staff are aware of their accountability and responsibility in the execution of and participation in the safety management program; proactively manage the risks associated with accidents or incidents to a point which is as low as reasonably practicable/achievable; verify that all externally supplied systems and services that impact upon the safety of our operations meet appropriate local, national and contractual safety standards; comply with and wherever possible exceed legislative and regulatory requirements and standards; provide all our staff with adequate and appropriate safety information and training, to ensure that they are competent in the performance of their duties; measure our safety performance against objectives or targets on a regular basis, and take mitigation control actions to improve safety when appropriate; strive for the highest levels of safety standards and performance in all our activities; continually improve our safety performance; conduct safety and management reviews; and ensure relevant actions are taken. We encourage uninhibited reporting of all incidents and occurrences that may compromise the safe conduct of our operations. To this end, every employee is responsible for communicating any information that may affect the integrity of airport operations. Such communication is completely free of any form of reprisal; however, this policy shall not apply to illegal acts, or deliberate, or will- ful disregard of promulgated regulations or procedures. ............ [Signature & seal] ............. Joe Smith--Executive Director--XYZ Airport Ensure that the policy is up to date and signed by top management. Document and share this policy with all employees and contractors. It should be written in clear and simple terms and clearly visible (posters, website, company documentation, etc.). In addition, management should be available to explain and discuss safety policy with employees and business partners as required. The process to approve the safety policy depends on the airport organization; however, the Accountable Executive is the person that should sign it. Define Objectives and Goals Overview Most of us respond to a challenge and perform better when we are aiming at a goal. Management system practices recognize this and require organizations to set objectives for themselves. These objectives need to be measurable or have associated targets. Alongside your airport's policy and SMS best practices, these objectives and targets help to focus the management system. An objective is a statement of a desired outcome. With a clearly defined target, we can establish whether we have made the desired improvement. In many cases, we may be able to track progress

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SMS Implementation 51 as we work toward the target. Before setting an objective or target, we need to know the current situation, which might require some form of data or statistics. Because these objectives need to be measurable, it is necessary to define a safety performance indicator (SPI) associated with the goal. An SPI is any variable used to measure changes in the level of safety. When setting objectives and goals, people tend to focus more on defined targets and less on other safety issues not related to the established targets. However, not all airport hazards are represented by the safety objectives and goals. The overall airport objectives often will be achieved through accomplishing numerous con- tributory objectives and targets from airport departments and sections. This is sometimes referred to as the cascade effect. Cascade of Objectives As an example, let's say that the airport manager has set a target of reducing ramp accidents by 25% in 1 year. Data have shown that one of the main causes of ramp accidents at this airport is speeding by ground vehicles. Therefore, the Department of Public Safety will set an objective to enforce the airport maximum speed of 20 mph at the apron to reduce speeding violations at the ramp by 40%. Other departments/sections will set their own objectives as well, so that the overall airport objective of reducing ramp accidents by 25% can be met. There may be several opportunities for improvement by various airport departments, sections, or units that may contribute to the overall situation. The efforts should be prioritized where the greatest gains can be achieved. Using the same example, in a large airport with more than one apron area, it is possible that accidents are occurring mostly in one of the ramps. Each airport unit may then be given different targets that reflect its scope for improvement. We may also find that, having looked at all the contributing factors, we can only realistically expect to hit an 8% reduction in ramp accidents this year. Our original intention for an overall target of 25% needs to be scaled down slightly. After all, there is little point in setting a target that the airport cannot achieve. An airport should set SMART safety objectives: Specific: The objective or target should be focused on one thing only Measurable: It should be possible to measure whether or not you hit the target Achievable: The target should be within your capabilities Relevant: The objective should be something of importance or significance for safety Timed: There should be a deadline for achieving the target Examples of Airport Objectives and Goals Table 6 presents some typical safety objectives and associated goals used by airports.

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52 Safety Management Systems for Airports Table 6. Typical airport safety goals and objectives. Objective/Goal Description Objective Implement a safety management system for the airport in 2 years Goal Install a non-punitive reporting system in 1 year Goal Implement a document and records control system in 6 months Goal Provide basic SMS training to airport employees in 1 year Objective Reduce number of airside accidents by X% in 1 year Objective Reduce number of airside incidents by X% in 1 year Objective Reduce number of ramp accidents by X% in 1 year Goal Reduce number of speeding violations at the ramp by X% in 1 year Goal Develop and enforce airside rules and regulations in 6 months Goal Reduce number of airside driving infractions by Y% in 1 year Goal Create and implement five airside SOPs in 6 months Reduce number of incidents involving damage to stationary Goal aircraft by Y% in 1 year Reduce number of incidents involving damage to moving aircraft Goal by Y% in 1 year Reduce number of incidents involving passenger handling Goal equipment by Y% in 1 year Reduce number of incidents involving aircraft loading equipment Goal by Y% in 1 year Reduce number of incidents involving aircraft service equipment Goal by Y% in 1 year Goal Reduce number of incidents involving jet blast by Y% in 1 year Reduce number of incidents involving passenger handling Goal equipment by Y% in 1 year Goal Reduce number of incidents involving fuel spillage by Y% in 1 year Objective Reduce number of job related injuries at the ramp by X% in 1 year Objective Reduce number of runway incursions by X% in 1 year Objective Reduce number of bird strikes by X% in 1 year Goal Reduce number of bird strikes by Y% during the summer Objective Increase the number of training sessions by X% in 2 years Objective Reduce number of FOD occurrences by X% in 6 months

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SMS Implementation 53 Safety Performance Indicators SPIs are measurable parameters that are related to the airport's safety objectives and that address the main hazards and incidents at the airport. These measurements should be based on information of causal factors or specific types of incidents, so that SPIs associated with this type of undesirable event can be mitigated. A large number of potential SPIs exist; however, not all of them are equally important. In general, the importance of an SPI can be assessed in terms of the strength of its relationship with accident or injury occurrence, that is, if it makes a major contribution to accidents and if it can be influenced by safety measures or programs. When possible, the SPI should focus on latent conditions and near miss events (incidents), instead of accidents. Not everything needs to be measured Not everything can be measured Some of these indicators can be misleading (e.g., number of violation tickets) A non-exhaustive list of common SPIs used by airports follows: Number of airside accidents Number of airside incidents Number of job-related injuries at the ramp Number of job-related injuries at other airside areas Number of runway incursions Number of incidents involving wildlife Number of airside driving infractions Damage to stationary aircraft -- By passenger handling equipment -- By aircraft loading equipment -- By aircraft service equipment Damage to moving aircraft -- By another aircraft -- By jet blast -- By gate guidance procedure -- By fixed objects -- By parked ground equipment -- By FOD Property/equipment damage from jet blast Equipment to equipment damage Number of spillage incidents Number of training sessions delivered In most cases, the number of accidents can provide a good indication of trends but may not help identify the processes that lead to those accidents. Therefore, a good SPI should have the following characteristics: Able to reflect a causal link between a latent condition and possible accidents Easily measured Objective Consistent across time

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54 Safety Management Systems for Airports More SPIs do not necessarily mean a better system because There will be more work to track them They dilute the important information They discourage people from collecting the information The performance monitoring system may fail It is better to start small SPIs can be misleading Numbers that are not normalized (e.g., use number of accidents per 10,000 operations, rather than simply the number of accidents) Numbers that are subject to misinterpretation Random variations (e.g., a drop from 3 accidents in a month to 1 accident in a month may be associated to random variation and may not represent a real trend) An SPI should originate in the safety objectives and goals selected by the airport and should be based on factors that can contribute to undesirable outcomes and accidents. An example of the ideal process to select an SPI is presented as follows: 1. Consider the safety objective: reduce apron collisions by 20% 2. Analyze the causal factors that contribute to associated risk a. Speed b. Low visibility c. Lack of familiarity with the apron layout d. Incorrect equipment positioning 3. Determine the safety targets a. Reduce speed b. Improve visibility c. Improve familiarity d. Improve equipment positioning 4. Determine what data may be required a. Speed, location, and time of day 5. Collect data a. Install speed reading devices at key locations 6. Analyze data to identify where and when the violations are more frequent a. You find that speeding occurs mainly in one area and during peak hours 7. Refine actions that could improve safety in the areas selected a. You decide to install speed bumps in the area where most of the speeding occurs 8. Assess data trends to see if the actions are working or not a. Monitor speeding trends in this area--is speed reduced? b. Monitor number of collisions per month--does it go down? If yes, speeding in this area is a good SPI If not, you need to look at the data again and come up with new actions 9. Select the SPI