Cover Image

Not for Sale



View/Hide Left Panel
Click for next page ( 10


The National Academies | 500 Fifth St. N.W. | Washington, D.C. 20001
Copyright © National Academy of Sciences. All rights reserved.
Terms of Use and Privacy Statement



Below are the first 10 and last 10 pages of uncorrected machine-read text (when available) of this chapter, followed by the top 30 algorithmically extracted key phrases from the chapter as a whole.
Intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text on the opening pages of each chapter. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

Do not use for reproduction, copying, pasting, or reading; exclusively for search engines.

OCR for page 9
Airport Safety Management Systems 9 The following sections present a general SMS framework, including a short description of each SMS pillar and element. When we speak of the elements of an SMS, each is required in some way, regard- less of the size and complexity of the airport. It is the extent or detail of the ele- ment that needs to be tailored to the airport operation. When putting an SMS in place, it must be customized so that it suits your airport. It cannot be done by following a prescription. What is most important, in the final analysis, is that each pillar is effective, not merely present. 2.2 Pillars and Elements of an SMS The four basic SMS pillars (components) described in FAA AC 150/5200-37(1) are represented in Figure 1: policies and objectives, safety risk management, safety assurance, and safety promo- tion. Each pillar includes several elements, each of which represents a specific SMS function that is important for the system. This structure serves to organize the SMS functions and make it easier to understand. This guidebook is organized according to the model presented in Figure 1; however, your air- port can use a different one if that is more appropriate for your specific conditions. For exam- ple, in Australia(10),(11), SMS has been mandatory for certificated airports since 2007, and it is recommended that they use eight elements. There are no missing elements in the Australian rec- ommendations; they simply combine two or more of the functions into one element. SMS & Safety Culture Environment Policies & Objectives Policy Statement Safety Objectives SMS Organization Documentation Coordination of Emergency Planning Safety Promotion Safety Risk Management Training and Education SRM Process Reporting System Safety Communication Continuous Improvement SMS Internal Safety Investigation Improving SOPs Impact of Changes Safety Assurance Performance Monitoring SMS Assessment Internal Safety Assessment Management Review Figure 1. The pillars and elements of SMS.

OCR for page 9
10 Safety Management Systems for Airports Binding these pillars and elements together contributes to developing a positive safety culture in the airport organization. With an effective SMS it will be easier for the airport to develop a positive safety culture, and at the same time, a positive safety culture will help develop an effec- tive SMS. The system is limited by the boundaries of its scope, as represented by the gray rectan- gle in Figure 1. These boundaries may or not be physical limits (e.g., airside). Pillar 1--Safety Policy and Objectives Management can support SMS by setting the safety standards and policies for the airport organization, encouraging participation in the SMS process, facilitating the flow of information, and supporting safety objectives by allocating the required resources. Safety Policy Statement What Is It? A safety policy establishes the direction and sets the "principles of action" for the airport organization, with respect to safety. It articulates the vision of who you are and how you behave as an organization. What Should It Achieve? Policy is management's vehicle to communicate its intentions and commitment to safe operations and continuous improvement. By reading this policy, all staff should be able to identify and understand that safety is a priority for management and is expected to be a priority for them as well. How Do We Address It? You should have a safety policy that outlines how safety is viewed within your airport, and how it is considered as part of operations. Section 4.2 of this guidebook will help you develop a safety policy for your airport. Safety Objectives What Is It? As policy describes the organization's overall approach to safety, objectives identify specific outcomes that SMS is trying to achieve. Generally speaking, an objective is a desired end point to a specific activity or process, in this case, safety processes. Usually, an organization will want to achieve objectives within a finite period of time and will set dead- lines for each objective. Objectives that may take a long time to achieve, or that require complex solutions, often will have An airport operator might decide to install a a series of associated intermediate goals. Goals stop bar system in all runway access points to identify interim achievements that support the reduce the risk of runway incursions in the accomplishment of an objective. Both objectives next 5 years. and goals should be measurable (quantitative vs. qualitative) so that progress can be measured. What Should It Achieve? Safety objectives give individuals and the organization measura- ble targets to work toward. They provide direction and guidance for safety management activi- ties. Once the SMS is up and running, safety objectives should be linked to identify risks and used as a basis for performance measurement. How Do We Address It? Organizational safety objectives should be based on the risk associ- ated with operational activities and make sense, when compared with the safety policy. National and international industry objectives should also be respected. In other words, when the FAA makes a commitment to achieve a certain level of safety, or address a specific industry trend, the airport's objectives should relate to these national-level objectives.

OCR for page 9
Airport Safety Management Systems 11 Organizational objectives (high-level) should be supported by departmental or divisional safety objectives. This way, every group within the airport organization is helping to meet orga- nizational safety objectives. More discussion on safety objectives and examples are presented in Section 4.2 of this guidebook. An airport sets the objective to reduce runway incursions by 25% over the next 2 years. In support of this organizational objective, the airfield maintenance department may set its own objective that all their personnel must attend refresher airport operations area (AOA) driving training every 6 months. SMS Organization SMS Organization refers to the appointment of key aviation safety personnel, the definition of safety accountability, and the organization of safety committees. Each of these three processes should be documented. Appointment of Key Aviation Safety Personnel What Is It? This element calls for the identification of key personnel to manage SMS processes. The goal is to have a team (one or more people, depending on the size of the airport organiza- tion) of professionals who will support the development, implementation, and monitoring of safety issues and processes across the organization. This team should be designated to conduct the implementation and to operate the SMS when it is in place. What Should It Achieve? This element ensures that the implementation and coordination of SMS is administered, monitored, and supported on a daily basis, ensuring the continuity of safety programs and processes throughout the airport organization. The appointed person/team should function as the SMS "champion": coordinate and promote special programs; support line management in daily activities; and collect, analyze, and feed back data. How Do We Address It? The specific functions that need to be defined and filled will depend on the airport. However, there should be at least one qualified person to oversee the operation of the SMS (the SMS Manager). This person should have experience in the operational field, a good understanding of SMS, a good understanding of how the organization works, and access to top management for safety issues. It also helps if the individual is approachable and able to relate to both management and line personnel. Required qualifications for this function are pre- sented in Section 4.3. It is important to note that the specific airport organization will determine how these func- tions are fulfilled. At larger airports, it is possible that one or more new positions may be created, if that is feasible. At smaller airports, these functions should be assigned to existing employees and new positions should not be created. Avoid using the title Safety Manager because it supports the perception that safety is managed by a specific individual or department. Safety is a line responsibility, and everyone has a role to play. Therefore, the title SMS Manager or Safety Coordi- nator is more appropriate to the intended role.

OCR for page 9
12 Safety Management Systems for Airports Key aviation safety personnel should be included formally on the airport's organization chart, so that everyone knows who they are and where they fit within the organizational hierarchy. Identify functional reporting and lines of communication, including how this person/group will access top management (e.g., committee, board meetings). Aim for independence from other functional departments to avoid conflict of interest in decision making; for example, at larger airports, whenever possible, do not make the Operations Manager also responsible for SMS, and do not have the SMS Manager report directly to the Operations Manager. Independence from other functional departments normally is possible in large airports but may not be possible or appropriate in smaller ones. In any case, it is imperative that the lines of communication between top management and the SMS Manager be as open and fluid as possible. Safety Accountability What Is It? A clear safety policy and defined objectives set direction and identify what the organization wants to achieve through safety management activities. The actions and behavior of personnel will lead to the accomplishment of these objectives. Therefore, the roles, responsi- bilities, and authorities of personnel who manage, perform, and verify activities that have an effect on aviation safety should be identified and included in the SMS documentation. The difference between accountability and responsibility often is confused. Accountability cannot be delegated. It represents the person who ultimately is responsible for the success, failure, or conduct of an activity. Responsibility can be delegated. A person may be assigned a task and be respon- sible for completing or achieving that task or objective. The individual may be accountable to a superior for completing that task, but it usually is the superior who is accountable for the outcome. What Should It Achieve? Safety responsibilities should flow both top-down and bottom- up, because this contributes to the development of a positive safety culture. All personnel should be aware of their roles and responsibilities with respect to safety management and take owner- ship for their actions and behavior. How Do We Address It? An Accountable Executive* should be identified as ultimately responsible for the safety of personnel, business processes, and activities of the airport organiza- tion. Therefore, this should be the person at the top of the organization. This person should demonstrate a commitment to safety by allocating the resources necessary to achieve organiza- tional safety objectives. *Although the term "Accountable Executive" is used in this document, there are a number of different titles used for the same position with similar associated responsibilities. For example, "Accountable Manager" also can be used. It is not the title, but the concept that is important.

OCR for page 9
Airport Safety Management Systems 13 The Accountable Executive should have the following: Full authority for human resource issues Full authority for major financial issues Responsibility to manage all areas involved in the SMS Responsibility for all safety issues Responsibility for the airport activities The authority of the Accountable Executive should cover all activities under the SMS scope. Depending on the size of the organization, the Accountable Executive could delegate a lot of the responsibility for safety to other managers. In a large airport, for example, day-to-day management of SMS processes could be the responsibility of the SMS Manager, with monthly updates to the Manager of Operations, but the Accountable Executive could actually be the Airport Manager, who receives quarterly updates and a full briefing after the SMS management review (see Pillar 3--Safety Assurance). In a very small airport, the Airport Manager may also take on the role of SMS Manager and actively manage safety processes and performance. In practice, safety is a line responsibility. Functional managers (e.g., the Operations Manager) should be responsible for safety within their own department. All personnel and groups should be involved in the SMS, thereby fostering an airportwide commitment to safety management. The roles and responsibilities of personnel at all levels should be defined clearly in the airport documentation, such as the SMS manual or job descriptions. The responsibilities of certain posi- tions (not necessarily names), such as the SMS Manager, may be identified in the safety policy. Safety Committees What Is It? The Safety Committee is a group appointed by the Accountable Executive to provide a forum to discuss issues related to the safety performance of the airport and the health of the SMS. What Should It Achieve? The committee can be created to provide recommendations con- cerning safety issues. These may include making policy decisions, reviewing safety performance results, reviewing SMS implementation progress, providing expert advice to mitigate specific problems (e.g., improve ramp safety), providing support and advice to the SMS operation, reviewing the development of standard operating procedures, creating safety awareness pro- grams, and developing coordination of airport work. How Do We Address It? The Accountable Executive should formally appoint the members of the airport safety committee, and regular meetings should be held to discuss issues, develop decisions, define actions, establish responsibility for the actions, and define a timeframe. The terms of reference and meeting discussions for each committee should be documented.

OCR for page 9
14 Safety Management Systems for Airports Safety Committees may not be necessary at smaller airports. Small committees may be created on an ad hoc basis to deal with specific safety issues. In this case, only a few members representing airport parties would be sufficient to make a joint decision, sometimes with the help of an external source of advice. Documentation What Is It? Every airport operates according to specific policies, processes, procedures, and practices. These generally are communicated through written forms, manuals, and other publi- cations. Documentation includes all written materials that contain information or records required to conduct business. The airport documentation goes beyond the SMS documentation; it may include documents required under Part 139, state and municipal laws, and so forth. What Should It Achieve? Written materials support continuity and standardization of orga- nizational processes. They also develop and maintain essential "corporate memory" and help an airport meet legal requirements to maintain current and effective safety information. An efficient documentation management system should maintain current and adequate pub- lished documents, as well as enable auditing of documents from creation to withdrawal. How Do We Address It? To control a document throughout its life cycle, an airport should develop and implement processes that will manage documentation creation, receipt, mainte- nance, use, and disposal/archive. The documentation processes should address the following: Legal and other requirements SMS documentation Documentation and data control Records management Legal and Other Requirements Certificated airports operate within a regulated environment. Keeping up to date with these regulations ensures compliance and allows the airport to benefit from best practices and indus- try lessons learned that are reflected in these requirements. It is important to note that not all safety issues are identified and mitigated based only on regulations. What Is It? SMS requires a system or documented procedure that (1) identifies applicable federal, state, county, and municipal regulatory requirements and standards for the airport and (2) tracks changes and revisions. This system should also include a procedure for distribution of information to those that need it. Please note that control of such legal requirements should not be restricted to Part 139 regulations; it should include every regulation applicable to the airport. What Should It Achieve? This process ensures that changes in legal requirements and stan- dards are included in existing organizational manuals, procedures, and practices. A person is delegated to check government websites regularly for legislation changes, participate in industry working groups involved in the development of regulations, and so forth.

OCR for page 9
Airport Safety Management Systems 15 How Do We Address It? Implement a procedure for the systematic identification of all reg- ulations and standards that the organization must follow. Annex D contains a list of legal refer- ences for certificated airports. Ensure that information is distributed and shared with those people whose jobs are affected by changes or updates. One way of doing this is to store legal information in a centralized location, such as a corporate library or intranet website. SMS Information Control Information control refers to the management of safety-related documentation, including manuals, standard operating procedures (SOP), forms, memoranda, minutes of meetings, reports, and so on. It also encompasses management of safety data and records, which in an SMS context usually refers to information gathered to measure safety performance and safety-related records (e.g., training records). What Is It? This element requires a process to generate, collect, analyze, store, distribute, retrieve, and dispose or archive documents, data and records. It should be applied consistently throughout the organization. What Should It Achieve? It should ensure that current versions of relevant documents are available at the locations where they are needed. It should also identify changes that can affect documents already issued, as well as ensure that obsolete documents and data are removed promptly from all locations to prevent unintended use. Information should be processed so that it can be retrieved easily and used to perform trend analysis and as input to management reviews. A safety information control system should also allow for reliable and easy identification, main- tenance, and disposal of safety-significant information, including information needed to conduct hazard identification, event investigation, and safety performance measurement processes. It also proves that activities have taken place, such as mandatory training, and serves as evidence for acci- dent investigations and external audits. How Do We Address It? Ensure that the documents are structured, cross-referenced, and coordinated, so that changes to any of them are reflected wherever appropriate in the other doc- uments. Establish procedures for document control (who can issue them, who can approve them, etc.). Make sure that the documents are reviewed periodically, revised as necessary, and approved by authorized personnel. To achieve this, set a frequency for the revision of key docu- ments, and make sure that documents include a revision date as a reference. The process should also include the identification of all documents that need to be present to respond to regulatory requirements. Then, develop a management system that includes the control processes necessary to ensure appropriate identification, legibility, storage, protection, There are many web-based and software tools that provide basic data and record management systems capability, and they can be quite effective if an airport is limited in the amount of resources it has to develop, manage, and maintain a documentation management system. For smaller airports, software tools may not be practical. A simple table cross- referencing documents can be useful, and it should show what documents may have to be revised as the result of a change in another document.

OCR for page 9
16 Safety Management Systems for Airports archiving, retrieval, retention time, and disposition of data and records. Ensure that this system allows for easy retrieval and prevents data and records from being easily lost or deleted. It is impor- tant that only appropriate personnel have access to safety databases, and that these people receive the necessary training for using and maintaining safety information management systems. There are several ways of keeping documents up to date. It does not matter which one is used, provided that it is used consistently by all. A very common, although not very efficient, system is one where new pages are distributed and individuals have to replace them in their own copy of the document. If this method is used, emphasize how important it is that personnel actually make the updates. The International Standards Organization (ISO) defines records as "information created, received, and maintained as evidence."(12) Records show that something has taken place, and they do not change over time (unlike documents, which can be revised). Therefore, records manage- ment is "the efficient and systematic control of the creation, receipt, maintenance, use and dis- position of records, including the processes for capturing and maintaining evidence."(12) Records may have legal implications For airport operators, certain documents pertaining to daily activities are required by regulations, such as physical inspections of the movement area. These records may be reviewed and analyzed in the case of an aircraft accident, for example. In this case, keeping such records is a regulatory requirement for Part 139 airports. Using these records as part of the SMS process may help the airport clarify the root causes of such accidents. Whether a large or a small operator, there is a need to get reports, keep track of the data in those reports, and monitor and analyze trends. This information will be the foundation for a safety database. Depending on the size of the organization, this database could be done in written or electronic form. A small airport may keep its training records in a spreadsheet developed by the SMS Manager. Coordination of Emergency Planning What Is It? Every airport is subject to emergencies. An airport emergency is a situation that warrants action to save lives and to protect property and public health. It is very unlikely that an airport has sufficient resources to respond to every emergency situation independently; each air- port must depend to some degree on the resources from its surrounding communities. It is essential to prepare for emergencies that face an airport so that it can respond quickly, efficiently, and effectively. The use of SRM to evaluate deficiencies in coordination and procedures of emer- gency planning can help improve the Airport Emergency Plan (AEP). What Should It Achieve? Strong emergency preparedness planning and training can assist in limiting the negative impact of accidents, including liability and other post-emergency issues.

OCR for page 9
Airport Safety Management Systems 17 How Do We Address It? The airport should develop an emergency plan in accordance with AC 150/5200-31--Airport Emergency Plan, and the requirements in 14 CFR Part 139.325. The plan assigns responsibility to organizations and individuals for carrying out specific actions at projected times and places in responding to an emergency. The SRM process can help identify deficiencies and hazards that threaten the coordination, response time, or procedures for an effective emergency plan. Moreover, SMS will assist identifying and prioritizing the actions to improve the plan. The AEP is a Part 139 requirement for certificated airports, and SMS processes may help your airport improve the plan. Using the SMS approach, airport staff will be able to identify hazards and risks that are not described in the AEP and prioritize improvements to the emergency plan to make it even more effective. As with everything related to safety, SMS will support and sustain a strong safety culture that certainly will improve the effectiveness of the AEP. Pillar 2--Safety Risk Management An SMS improves safety by managing risk pro- What can go wrong, and what do we do actively. Identifying hazards and systematically about it? assessing the associated risk in terms of likelihood and severity provides managers with a structured, disci- plined way to assess risk. Control measures are then used to reduce risk to an acceptable level. Sec- tion 5.7 provides a step-by-step example of SRM for airports. Safety Risk Management Process SRM is a fundamental decision-making pillar of the SMS. It is a systematic, explicit, and com- prehensive approach for managing safety risk at all levels and throughout the entire scope of an operation and lifecycle of a system. It requires the disciplined assessment and management of safety risk. The SRM process ensures that hazards are identified and tracked to resolution; safety-related changes are documented; risk is assessed and analyzed; unacceptable risk is mitigated; the effec- tiveness of risk mitigation strategies is assessed; and changes/improvements to mitigate risk are monitored throughout their lifecycle. The SRM process comprises five steps: 1. Describe the system or activity 2. Identify the hazards along the activity path 3. Determine the risk 4. Assess and analyze the risk 5. Treat and monitor the risk Chapter 5 contains several examples of airport hazards and risks and explains how to proceed with the SRM process. Step 1--Describe the System or Activity What Is It? The first step sets the boundaries of your analysis and has you break down your operations and list all the activities associated with each of them. Such boundaries can be phys- ical, organizational, or defined by a specific activity. What Should It Achieve? It provides a systematic and comprehensive process to identify all safety-significant activities performed by the organization within the system that has been identified.

OCR for page 9
18 Safety Management Systems for Airports How Do We Address It? Brainstorming sessions with different levels of personnel within each department are one of the most successful ways to obtain effective results. Physical Boundaries: Apron D Organizational Boundaries: Maintenance Section Activity Boundaries: Construction of perimeter taxiways List of activities during construction of perimeter taxiways: Access to construction site Equipment parking Construction debris in operational areas Marking and lighting of construction areas Other Step 2--Identify the Hazards What Is It? A hazard is an event or situation that, given certain conditions, could potentially cause injury or damage. The hazard identification process allows you to identify these situations and take action. The key to hazard identification is to ask yourself or others what things you see could lead to accidents. What Should It Achieve? This allows you to become aware of what and where the hazards associated with the activity are, so that you can take a proactive approach toward controlling them before an incident or accident occurs. It should also facilitate the development of an attitude that promotes the recognition and communication of potential safety issues at all levels. How Do We Address It? Determine how you will identify hazards within your organization. There are many different ways to do this. The method you choose will depend on the scale and scope of analysis that you are conducting. Different approaches may be appropriate based on available resources. There are several ways to go about identifying hazards. For example, you could hold a workshop with employees from the targeted areas (employees are the most familiar with their working environment), in which brainstorming sessions could take place. You can also use checklists or audit forms, analyze records and trends, conduct scenario analysis, etc. Type Specific--These are only a few examples of where to look for airport haz- ards. A more comprehensive list is presented in Chapter 5. Aircraft ground activities Airside vehicles Airport construction Parking facilities Birds and wildlife Access roads

OCR for page 9
Airport Safety Management Systems 19 Two common dynamic means to identify hazards are self-inspections and hazard reporting systems. The first one is a Part 139 requirement and is very effective for identifying hazards in the airfield. In this case, safety information should constantly be submitted to the SMS Manager. Hazard reporting systems can also be very effective and may cover the entire airport facility. In this latter case, the information can be passed directly or indirectly to the SMS Manager. Step 3--Determine the Risk What Is It? Once hazards have been identified, the next step is to determine and define the risks associated with each hazard. What Should It Achieve? This element should provide you with a list of risks that your organization faces. How Do We Address It? Once you know the hazard, ask yourself what could go wrong. Look at all the possibilities, even the ones that seem far-fetched. Then ask, what would be the impacts of the hazard? Technically speaking, we are not yet talking about the level of risk. This is all about consequences. The level of risk is covered in the next section. For example, during an airfield inspection after a rain, you find out that your runway holding position markings are not very clear when the pavement is wet. That is a hazard and in this step you can determine that the risk is a runway incursion and collision with another aircraft using the runway; this is where you stop in this phase. It is important to note that each hazard must be associated with at least one risk that it is reasonable to expect will occur; however, it is also com- mon that one hazard is associated with two or more credible risks. Step 4--Assess and Analyze the Risk What Is It? Risk is the potential ability of a hazard to result in injury or damage. Risk assess- ment is a procedure used to measure the probability of this happening and the consequences that can be expected should it happen. What Should It Achieve? On a practical level, risk assessment should allow you to prioritize the risks identified in Step 3, so that airport resources can be focused on addressing the risks with the potential for higher impact. On a higher level, it can be used to support a risk-based management approach toward everything that is done within the organization. This approach should be done formally, at the organizational level, and informally, as part of the way individuals do their jobs. How Do We Address It? In the risk assessment process, be sure to include a definition of the criteria for classifying the risks, when control measures should be implemented, and the events that will trigger a risk assessment. There are several tools available to help classify risk, including various software programs. Select a tool that will work for you. Additional information is found in Section 5.5. Most airport hazards can be evaluated using a simple methodology: the risk matrix; however, more complex methodologies may be needed, particularly when analyzing the impact of major changes (e.g., airport improvement projects). Examples of these more sophisticated approaches are provided in Annex E. Step 5--Treat the Risk Risk control addresses any risks identified during the evaluation process that require an action to be taken to reduce them to an acceptable level. It is here that a risk control action plan is developed.

OCR for page 9
20 Safety Management Systems for Airports What Is It? Risk control action plans are those actions taken to implement risk control measures developed following a risk assessment. What Should It Achieve? Mitigation controls should capture the output of the risk man- agement process and translate into safe operating conditions or procedures. Options to treat the risks may include the following: Avoidance: for example, avoiding risks to operations during a maintenance activity, sections of the movement area can be closed to operations. Assumption: accepting the likelihood and consequences associated with the risk: for example, when assessing a risk, it may be classified in the acceptance level and no mitigation action is required. Control: developing options and alternatives that minimize or eliminate the risk: for exam- ple, a ditch in the runway safety area (RSA) is a hazard because it may cause aircraft damage during an overrun. It can be replaced with a drainage pipe to eliminate the hazard. Transfer: shifting the risk to another area: for example, under winter weather conditions, operations can be transferred to an alternative runway where snow and ice removal has taken place. How Do We Address It? Potential risk treatment options should be evaluated in terms of feasibility, costs, and benefits. The option chosen should be the most appropriate and workable. The objective is to reduce the risk to an acceptable level, or as low as reasonably practical. Reporting System What Is It? A reporting system is a process that facilitates the generation, collection, stor- age, and analysis of information related to safety hazards. It is also part of the hazard identifica- tion and risk assessment processes and supports the subsequent follow-up action and feedback to the employees. Reporting systems are also excellent tools to promote safety and develop a positive safety cul- ture within the organization. Airport employees and stakeholders will feel they have a tool that will allow them to help improve safety, particularly when rapid feedback is provided to their reports. What Should It Achieve? The goal is to have an open and unhindered sharing of informa- tion about safety concerns and safety events, leading to the identification of hazards, a better understanding of risk, and allowing for a more proactive approach to safety management. How Do We Address It? Set up a report collection system that is simple and easily acces- sible to all personnel. This system should also be available to external customers and contrac- tors. Make an effort to keep the identity of the reporting individual confidential. Be diligent in providing timely and adequate feedback. Section 6.4 provides an example of a safety reporting template. Legal counsel is appropriate when establishing a reporting system that is intended to be confidential and/or non-punitive because the system needs to be compliant with applicable law. Internal Safety Investigations What Is It? An internal safety investigation involves the study and analysis of a safety- significant event that has occurred. Normally, it is applied following an incident or accident, although it could also be triggered by the identification of a significant hazard.

OCR for page 9
Airport Safety Management Systems 21 Let's say the auto-level system of a passenger bridge has been reported as inexplicably lowering by itself, even though it has never happened when an aircraft was parked. This certainly would qualify as a hazard worthy of investi- gation. Therefore, an investigation would be initiated at that point, instead of waiting for a report of an incident or accident caused by the auto-level system when passengers are boarding the aircraft. What Should It Achieve? The goal is to have a systematic, open, and constructive process for analyzing events, with the intent of improving overall safety by tackling the root causes of accidents. How Do We Address It? Develop a process to conduct these investigations. Make sure that it clearly identifies the triggers (what or why an investigation will be started), how long after a report or event the investigation should be initiated, who the lead investigator will be, who will participate as part of the analysis and assessment team, and other such issues. The investigation should focus on finding root causes, and not on finding the "guilty person." Make sure that something is done with the lessons learned, that this leads to further actions when appropriate, and that this information is available to all appropriate staff. Improving Operating Procedures What Is It? Operating procedures are a documented way of conducting job-related func- tions, and a standard practice within most organizations commonly referred to as SOPs. This element of SMS targets those SOPs that directly or indirectly address safety issues and helps to manage safety by ensuring that best practices described in common procedures are modified, as necessary, to reflect safer conditions. This is also a process to control risk. There is a risk associated with vehicles accessing active runways. To mitigate this risk, most airports require that vehicles entering active runways follow very strict procedures. This would be considered an "operating procedure" within the con- text of the SMS because it is intended to increase safety. What Should It Achieve? This element is intended to manage safety by improving the effec- tiveness and performance of operating procedures and operating practices. How Do We Address It? Identify all operations and activities associated with the identified risks, review them, and ensure that these practices are still relevant and safe. Revise existing proce- dures or write new procedures, as appropriate. Make sure to cover all activities and facilities within the organization, and make sure they cover those processes in which contractors are involved. Assessing the Impact of Changes What Is It? This mechanism ensures that significant changes are identified, reviewed, analyzed, and put through the risk management process, so that hazards that could be introduced by this change are identified and controlled. A "change" could be anything affecting the operation--a new

OCR for page 9
22 Safety Management Systems for Airports procedure, activity, major airfield project that disrupts normal operations, new equipment, or piece of infrastructure, or a change in the organizational structure (a new department, restructuring, or a reassignment of duties, etc.). What Should It Achieve? The goal is to identify and control hazards associated with any change before the change is implemented. How Do We Address It? Develop a process that (1) clearly identifies the type or magnitude of event (or change) that will trigger a review through the hazard identification process and (2) leads to the development of mitigation controls for the hazards. A change analysis might not be necessary if one employee in a department of 150 resigns, but you sure might want to consider a review if the Chief Executive Officer retires. Pillar 3--Safety Assurance The safety assurance pillar of SMS includes self-auditing, external auditing, and safety oversight. Safety oversight can be achieved through auditing and surveillance practices. Safety assurance aims to ensure that the activities, plans, and actions taken to improve safety are implemented and effective. One of the core concepts addressed by SMS is continuous improvement. The elements grouped under this pillar provide the tools to accomplish that. This includes ensuring that all measures put in place are adhered to, reviewing and evaluating the actions taken to ensure that they are pro- ducing the desired effects, and monitoring business activities and their impact on safety to help determine where your efforts should be directed. Safety Assurance differs from SRM because the target of Safety Assurance is to identify and evaluate deficiencies and improve the performance of the system, instead of looking at individual hazards and associated risks. The focus of Safety Assurance is the effectiveness of the SMS. Safety Performance Measurement and Monitoring What Is It? Performance measuring and monitoring is a process to identify and select mea- surable parameters, collect data related to them, and track and compare this information over time. Safety performance is measured by the trend of a safety performance indicator (SPI) over time. What Should It Achieve? Performance monitoring and measurement will help you deter- mine whether what you are doing to improve safety in the organization is working and to what extent these efforts are successful. The overall goal is to measure the safety health of the organi- zation so that weaknesses can be identified and dealt with before accidents happen. How Do We Address It? The first step in the process is to select the appropriate parameters or performance indicators. These parameters normally are derived from the safety goals and objectives set by the organization, but they can also be related to areas that by collective experi- ence are known to be a weak point. Once the appropriate parameters have been selected, you need to identify and collect the data that will allow you to analyze and identify trends. Section 6.7 contains additional information on how to conduct basic trend analysis.

OCR for page 9
Airport Safety Management Systems 23 Internal SMS Assessment What Is It? This is an internal inspection or assessment of the activities, systems, and processes used by the organization related to safety and the SMS. Most organizations express these internal assessments as "internal audits." What Should It Achieve? The goal is to have an open and transparent "second look" at the airport activities and the SMS to identify areas where improvements may be needed. It evaluates how effectively the system is working and how safely the operations are being performed by spe- cific airport units, sections, or departments. How Do We Address It? Set up a process to carry out internal, periodic assessments, audits, and inspections. This process is very similar to the gap analysis prior to SMS implementation, with the difference that an assessment should check the overall performance of the system and identify areas for improvement. Provide training on how to carry out an assessment and delegate this responsibility to a per- son in an independent position but with experience with SMS and airport safety; in this way, you will minimize conflict of interest issues. In most cases, assigning the SMS Manager to perform the assessment is not a good idea because it would be putting that person in the position of eval- uating his or her own activities. Despite being an internal effort, these assessments are more effec- tive when conducted by an external party (e.g., staff from another airport or a consultant) to provide a fresh, independent, and unbiased look from the outside. Keep an inquiring mind. For example, if your assessment reveals that the reported hazards are going down in number, do not assume that the hazards facing the organization are going down. The reason might be that, due to lack of adequate feedback, employees have been discouraged from continuing the reporting process or that the volume of operations is decreasing Self-assessment should be planned to cover the entire workplace. In a small airport, this likely will take several hours, while for a larger airport the assessment could be conducted in different areas of the workplace on different days, or different times throughout a year. In a small airport, the assessment could be included as part of an annual manage- ment meeting. This may take the form of a review of the activities of the previous year to highlight both positive and negative aspects of the airport's safety performance. Section 6.6 contains detailed information on the process for SMS assessment and Annex A provides SMS assessment checklist tables with a scoring methodology to rate each element. Management Review What Is It? Management review is the periodic assessment of how the organization is per- forming in comparison with the policy and objectives. It is carried out by those who set up the organization safety policy and objectives.

OCR for page 9
24 Safety Management Systems for Airports What Should It Achieve? Based on the internal SMS assessment and performance monitor- ing, the airport management should establish revised safety objectives and actions for making the system better: more efficient, effective, and safer. How Do We Address It? Establish regular, periodic, and planned management review of SMS. The SMS Manager should ensure that adequate information is provided for the management review and that a strategic plan for safety improvement is generated as a result of this review. During the review process, the line managers, not the SMS Manager, should present their results. The SMS Manager should help these managers with their safety programs; however, the individ- ual responsible for the section presents the safety results for his or her unit. Pillar 4--Safety Promotion SMS is most effective when it takes hold in an organization with a positive safety culture. The elements related to safety promotion are intended to support efforts in developing and main- taining a strong safety culture. They will also provide you with tools to ensure that safety infor- mation and understanding is transferred throughout the organization, and that everyone is made aware of the hazards and risks associated with particular areas of operation. Section 6.2 provides a more in-depth review on safety culture and how to promote it. Training and Education What Is It? The training program ensures personnel are given the appropriate knowledge in SMS processes, and that they have the necessary skills and knowledge to perform their duties competently and safely. What Should It Achieve? The goal is that all staff members have the appropriate level of training to do their jobs safely. This is not limited to SMS training but does include it. The scope of this element addresses specialized training for all personnel involved in safety-critical activi- ties, and all personnel, in general, for SMS. Generally speaking, training should be an on-going, recurring activity, and not just a one-time thing. How Do We Address It? Start by ensuring that training needs at all levels are defined (i.e., identify who needs to know what) and that resources are identified to meet training needs. Ensure that basic SMS training is provided to all personnel, including subcontractors. A common mistake is to deliver the same training course to the whole organization. This approach will likely mean that training will be too specific for those in need of only an orientation session and too generic for those responsible for carrying out core SMS duties. Make sure that you tailor your courses to the appropriate level. A training program might be as simple as taking time, once every few months, to read up on some aspect of safety management, such as the experiences of another company in making SMS work well. A larger airport will require organized briefings to personnel. In all cases, because training is an essential element of SMS, it should be documented.

OCR for page 9
Airport Safety Management Systems 25 Section 6.8 provides information on safety training needs for airport workers and contains suggested training programs for different levels of airport and non-airport staff. Safety Communication What Is It? As part of the SMS, there should be a process in place to formalize information sharing across all levels of the organization and between the organization and external agencies to ensure that staff members have the adequate safety information they need. What Should It Achieve? The goal is to promote a positive safety culture through the free exchange of safety information to ensure that the organization functions as a single entity when it comes to safety and to eliminate the emergence of silos (isolated groups) on safety issues by sharing lessons learned. How Do We Address It? Develop formal means of two-way communication between all stakeholders including management and staff, staff and staff, and organization and organization. Ensure that there is a way to communicate with outside stakeholders--tenants, contractors, and other groups--to share mistakes, lessons learned, and best practices. Make sure that employees are involved or consulted in the development and review of poli- cies and procedures implemented to manage risks (because they know their area of operation better than anyone else). Some of the best vehicles to ensure an efficient communication process are through the implementation of non-punitive reporting systems, cascading meetings (see Section 6.3), safety committees, and bulletin boards. For example, create multi-disciplinary, multi-level safety committees, or operational committees, for which safety is a standing agenda item, and where SMS-related issues are assessed critically and discussed objectively. In very small airports, where the planners and the doers are the same people or are working closely together, the main method of communication probably will be verbal. In this case, the verification that actions are in fact implemented, and that feedback is obtained, occurs on a daily basis. If this is your case, you should state that in your SMS documentation to show that you actively thought about it. Documenting communications will also help keep track of processes when something goes wrong or when employees leave the organization. Make sure that safety information is disseminated throughout the organization. The effective- ness of this process should be measured during SMS assessments (see Section 6.6). Continuous Improvement What Is It? Continuous improvement is more than a process. It is an attitude. It becomes tangible in the actions that we take following every inspection, audit, assessment, review, and management review.