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ACRP AIRPORT COOPERATIVE RESEARCH PROGRAM REPORT 1 Sponsored by the Federal Aviation Administration Safety Management Systems for Airports Volume 2: Guidebook
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ACRP OVERSIGHT COMMITTEE* TRANSPORTATION RESEARCH BOARD 2009 EXECUTIVE COMMITTEE* CHAIR OFFICERS James Wilding CHAIR: Adib K. Kanafani, Cahill Professor of Civil Engineering, University of California, Berkeley Independent Consultant VICE CHAIR: Michael R. Morris, Director of Transportation, North Central Texas Council of Governments, Arlington VICE CHAIR EXECUTIVE DIRECTOR: Robert E. Skinner, Jr., Transportation Research Board Jeff Hamiel MinneapolisSt. Paul MEMBERS Metropolitan Airports Commission J. Barry Barker, Executive Director, Transit Authority of River City, Louisville, KY MEMBERS Allen D. Biehler, Secretary, Pennsylvania DOT, Harrisburg James Crites Larry L. Brown, Sr., Executive Director, Mississippi DOT, Jackson DallasFort Worth International Airport Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Richard de Neufville Norfolk, VA Massachusetts Institute of Technology William A.V. Clark, Professor, Department of Geography, University of California, Los Angeles Kevin C. Dolliole Unison Consulting David S. Ekern, Commissioner, Virginia DOT, Richmond John K. Duval Nicholas J. Garber, Henry L. Kinnier Professor, Department of Civil Engineering, University of Beverly Municipal Airport Virginia, Charlottesville Kitty Freidheim Jeffrey W. Hamiel, Executive Director, Metropolitan Airports Commission, Minneapolis, MN Freidheim Consulting Edward A. (Ned) Helme, President, Center for Clean Air Policy, Washington, DC Steve Grossman Oakland International Airport Will Kempton, Director, California DOT, Sacramento Tom Jensen Susan Martinovich, Director, Nevada DOT, Carson City National Safe Skies Alliance Debra L. Miller, Secretary, Kansas DOT, Topeka Catherine M. Lang Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore Federal Aviation Administration Pete K. Rahn, Director, Missouri DOT, Jefferson City Gina Marie Lindsey Los Angeles World Airports Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson Carolyn Motz Tracy L. Rosser, Vice President, Regional General Manager, Wal-Mart Stores, Inc., Mandeville, LA Hagerstown Regional Airport Rosa Clausell Rountree, CEOGeneral Manager, Transroute International Canada Services, Inc., Richard Tucker Pitt Meadows, BC Huntsville International Airport Steven T. Scalzo, Chief Operating Officer, Marine Resources Group, Seattle, WA Henry G. (Gerry) Schwartz, Jr., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO EX OFFICIO MEMBERS C. Michael Walton, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin Sabrina Johnson Linda S. Watson, CEO, LYNXCentral Florida Regional Transportation Authority, Orlando U.S. Environmental Protection Agency Steve Williams, Chairman and CEO, Maverick Transportation, Inc., Little Rock, AR Richard Marchi Airports Council International--North America Laura McKee EX OFFICIO MEMBERS Air Transport Association of America Thad Allen (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, Washington, DC Henry Ogrodzinski National Association of State Aviation Officials Peter H. Appel, Administrator, Research and Innovative Technology Administration, U.S.DOT Melissa Sabatine J. Randolph Babbitt, Administrator, Federal Aviation Administration, U.S.DOT American Association of Airport Executives Rebecca M. Brewster, President and COO, American Transportation Research Institute, Smyrna, GA Robert E. Skinner, Jr. George Bugliarello, President Emeritus and University Professor, Polytechnic Institute of New York Transportation Research Board University, Brooklyn; Foreign Secretary, National Academy of Engineering, Washington, DC James E. Caponiti, Acting Deputy Administrator, Maritime Administration, U.S.DOT SECRETARY Cynthia Douglass, Acting Deputy Administrator, Pipeline and Hazardous Materials Safety Christopher W. Jenks Administration, U.S.DOT Transportation Research Board LeRoy Gishi, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of the Interior, Washington, DC Edward R. Hamberger, President and CEO, Association of American Railroads, Washington, DC John C. Horsley, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC Rose A. McMurry, Acting Deputy Administrator, Federal Motor Carrier Safety Administration, U.S.DOT Ronald Medford, Acting Deputy Administrator, National Highway Traffic Safety Administration, U.S.DOT William W. Millar, President, American Public Transportation Association, Washington, DC Jeffrey F. Paniati, Acting Deputy Administrator and Executive Director, Federal Highway Administration, U.S.DOT Peter Rogoff, Administrator, Federal Transit Administration, U.S.DOT Joseph C. Szabo, Administrator, Federal Railroad Administration, U.S.DOT Robert L. Van Antwerp (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC *Membership as of June 2009. *Membership as of June 2009.
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AIRPORT COOPERATIVE RESEARCH PROGRAM ACRP REPORT 1 Safety Management Systems for Airports Volume 2: Guidebook Manuel Ayres Jr. Hamid Shirazi Samuel Cardoso Jeffrey Brown Richard Speir Olga Selezneva Jim Hall Tara Puzin APPLIED RESEARCH ASSOCIATES, INC. Elkridge, MD Jeff Lafortune Fernando Caparroz Robert Ryan INTERNATIONAL SAFETY RESEARCH, INC. Ottawa, Canada Edward McCall MAC MCCALL AIRPORT AND AVIATION CONSULTING Sedona, AZ Subject Areas Aviation Research sponsored by the Federal Aviation Administration TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2009 www.TRB.org
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AIRPORT COOPERATIVE RESEARCH PROGRAM ACRP REPORT 1 Airports are vital national resources. They serve a key role in trans- Project 04-05 portation of people and goods and in regional, national, and inter- ISSN 1935-9802 national commerce. They are where the nation's aviation system ISBN 978-0-309-11798-2 connects with other modes of transportation and where federal respon- Library of Congress Control Number 2007932567 sibility for managing and regulating air traffic operations intersects with the role of state and local governments that own and operate most © 2009 Transportation Research Board airports. Research is necessary to solve common operating problems, to adapt appropriate new technologies from other industries, and to introduce innovations into the airport industry. The Airport Coopera- COPYRIGHT PERMISSION tive Research Program (ACRP) serves as one of the principal means by Authors herein are responsible for the authenticity of their materials and for obtaining which the airport industry can develop innovative near-term solutions written permissions from publishers or persons who own the copyright to any previously to meet demands placed on it. published or copyrighted material used herein. The need for ACRP was identified in TRB Special Report 272: Airport Research Needs: Cooperative Solutions in 2003, based on a study spon- Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the sored by the Federal Aviation Administration (FAA). The ACRP carries understanding that none of the material will be used to imply TRB or FAA endorsement out applied research on problems that are shared by airport operating of a particular product, method, or practice. It is expected that those reproducing the agencies and are not being adequately addressed by existing federal material in this document for educational and not-for-profit uses will give appropriate research programs. It is modeled after the successful National Coopera- acknowledgment of the source of any reprinted or reproduced material. For other uses of tive Highway Research Program and Transit Cooperative Research Pro- the material, request permission from CRP. gram. The ACRP undertakes research and other technical activities in a variety of airport subject areas, including design, construction, mainte- nance, operations, safety, security, policy, planning, human resources, NOTICE and administration. The ACRP provides a forum where airport opera- tors can cooperatively address common operational problems. The project that is the subject of this report was a part of the Airport Cooperative Research Program conducted by the Transportation Research Board with the approval of the The ACRP was authorized in December 2003 as part of the Vision Governing Board of the National Research Council. Such approval reflects the Governing 100-Century of Aviation Reauthorization Act. The primary partici- Board's judgment that the project concerned is appropriate with respect to both the pants in the ACRP are (1) an independent governing board, the ACRP purposes and resources of the National Research Council. Oversight Committee (AOC), appointed by the Secretary of the U.S. The members of the technical advisory panel selected to monitor this project and to review Department of Transportation with representation from airport oper- this report were chosen for recognized scholarly competence and with due consideration ating agencies, other stakeholders, and relevant industry organizations for the balance of disciplines appropriate to the project. The opinions and conclusions such as the Airports Council International-North America (ACI-NA), expressed or implied are those of the research agency that performed the research, and the American Association of Airport Executives (AAAE), the National while they have been accepted as appropriate by the technical panel, they are not Association of State Aviation Officials (NASAO), and the Air Transport necessarily those of the Transportation Research Board, the National Research Council, or the Federal Aviation Administration of the U.S. Department of Transportation. Association (ATA) as vital links to the airport community; (2) the TRB as program manager and secretariat for the governing board; and Each report is reviewed and accepted for publication by the technical panel according to (3) the FAA as program sponsor. In October 2005, the FAA executed a procedures established and monitored by the Transportation Research Board Executive Committee and the Governing Board of the National Research Council. contract with the National Academies formally initiating the program. The ACRP benefits from the cooperation and participation of airport The Transportation Research Board of the National Academies, the National Research professionals, air carriers, shippers, state and local government officials, Council, and the Federal Aviation Administration (sponsor of the Airport Cooperative Research Program) do not endorse products or manufacturers. Trade or manufacturers' equipment and service suppliers, other airport users, and research orga- names appear herein solely because they are considered essential to the clarity and nizations. Each of these participants has different interests and respon- completeness of the project reporting. sibilities, and each is an integral part of this cooperative research effort. Research problem statements for the ACRP are solicited periodically but may be submitted to the TRB by anyone at any time. It is the responsibility of the AOC to formulate the research program by iden- tifying the highest priority projects and defining funding levels and expected products. Once selected, each ACRP project is assigned to an expert panel, appointed by the TRB. Panels include experienced practitioners and research specialists; heavy emphasis is placed on including airport pro- fessionals, the intended users of the research products. The panels pre- pare project statements (requests for proposals), select contractors, and provide technical guidance and counsel throughout the life of the project. The process for developing research problem statements and Published reports of the selecting research agencies has been used by TRB in managing cooper- AIRPORT COOPERATIVE RESEARCH PROGRAM ative research programs since 1962. As in other TRB activities, ACRP are available from: project panels serve voluntarily without compensation. Primary emphasis is placed on disseminating ACRP results to the Transportation Research Board Business Office intended end-users of the research: airport operating agencies, service 500 Fifth Street, NW providers, and suppliers. The ACRP produces a series of research Washington, DC 20001 reports for use by airport operators, local agencies, the FAA, and other interested parties, and industry associations may arrange for work- and can be ordered through the Internet at shops, training aids, field visits, and other activities to ensure that http://www.national-academies.org/trb/bookstore results are implemented by airport-industry practitioners. Printed in the United States of America
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COOPERATIVE RESEARCH PROGRAMS CRP STAFF FOR ACRP REPORT 1 Christopher W. Jenks, Director, Cooperative Research Programs Crawford F. Jencks, Deputy Director, Cooperative Research Programs Michael R. Salamone, ACRP Manager Eileen P. Delaney, Director of Publications Kami Cabral, Editor ACRP PROJECT 04-05 PANEL Field of Safety Kevin G. Vandeberg, Barge Waggoner Sumner & Cannon, Inc., Huntsville AL (Chair) Mark Coates, SeattleTacoma International Airport Edwin E. Herricks, University of Illinois--Urbana-Champaign Kent V. Hollinger, MITRE Corporation, McLean, VA Douglas Mansel, Oakland International Airport, Oakland, CA Gary Shafer, Southern Illinois Airport Bernard Valois, Transport Canada, Ottawa, Ontario Kerri Lyn Spencer, FAA Liaison Richard Pain, TRB Liaison
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FOREWORD By Michael R. Salamone Staff Officer Transportation Research Board This guidebook should be of interest to airport managers and others responsible for preparing and implementing safety management systems (SMS) at airports, particularly those certified under 14 CFR Part 139. The guidebook provides a comprehensive reference that will help the user understand what constitutes an airport SMS; describes its compo- nents and their interactions; and offers guidance in the planning, implementation, and operation of an airport SMS. It also provides detailed information on how to carry out each of the necessary SMS processes. This guidebook supplements ACRP Report 1: Volume 1, which provides an overview of SMS and explains how a systems approach to safety manage- ment can benefit both the safety and business aspects of airports. It should be noted that this guidebook was developed prior to the issuance of final FAA guidance relating to the implementation of SMS at airports. While developed in coordina- tion with the FAA, this guidebook is not meant to provide final guidance in response to any FAA direction subsequently issued. An airport safety management system (SMS) provides a systematic, proactive approach to reducing the probability and severity of aircraft accidents/incidents on the airfield. ICAO has adopted a standard for SMS that has been applicable to international airports since November 2005; however, ICAOState Letter AN12/51-07/74 proposed the amendment of Annex 14 (Vol. 1) to harmonize and extend provisions relating to safety management and included extending the date for SMS implementation to November 2009. As of this writing, the FAA is developing guidance on SMS implementation in the United States. Airport operators in the United States have safety programs in place that have resulted in today's high level of aviation safety. These programs can form the basis of a more com- prehensive SMS. An SMS will supplement these programs by providing a systematic, proac- tive approach that includes (1) documenting identified hazards and mitigating potential risks; (2) monitoring and measuring the ongoing safety experience of the airport; (3) estab- lishing a voluntary non-punitive safety reporting system that can be used by employees of the airport operator, airlines, and tenants; and (4) improving the entire airport's safety cul- ture. A key component of an SMS is safety risk management (SRM) that is used to classify potential airport risks according to their probabilities of occurrence and severity of conse- quences, to prioritize those risks according to their classification, and to define risk mitigat- ing actions that are continuously monitored. Under ACRP Project 4-05, Applied Research Associates was asked to create a guidebook for developing and implementing airport safety management systems (SMS). The guide- book was to be applicable to all airports that have certificates issued under 14 Code of Fed- eral Regulations (CFR) Part 139, Certification of Airports and should describe the associ-
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ated concepts, methodologies, processes, tools, and safety performance measurements that can be applied by airports based on their level of operations and complexity. To accomplish the project objectives, the research team (1) conducted a literature review to document best SMS practices that are applicable to airports; (2) surveyed airports to determine their current safety practices, procedures, and programs that may form the basis of an SMS; (3) conducted a gap analysis to determine what deficiencies exist in cur- rent programs from an SMS perspective and categorized the gaps according to the four ele- ments of SMS: (a) safety policy and objectives, (b) safety risk management, (c) safety assur- ance, and (d) safety promotion; (4) drafted the guidebook with examples and best practices applicable to airports of various types and complexities; (5) obtained comments on clarity, applicability, and usefulness of the draft guidebook from managers of a diverse group of air- ports certificated under 14 CFR Part 139; and (6) prepared a final guidebook based on the industry feedback obtained.
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CONTENTS 1 Chapter 1 Introduction 1 1.1. Objective 1 1.2. How to Use This Guidebook 3 1.3. Definitions 6 1.4. Abbreviations and Acronyms 7 Chapter 2 Airport Safety Management Systems 8 2.1. What Is SMS? 9 2.2. Pillars and Elements of an SMS 26 2.3. Example of an Airport SMS in Practice 28 2.4. Objectives of SMS 29 2.5. Origins of SMS 30 2.6. How Does an SMS Accomplish Key Objectives? 30 2.7. Do I Need an SMS? 31 2.8. What Will I Get Out of It? 33 Chapter 3 Getting Started 33 3.1 Management Commitment 34 3.2 Appoint an SMS Champion 35 3.3 Select an SMS Model Structure 35 3.4 Build on What You Have 38 3.5 Conduct a Gap Analysis 41 3.6 Documenting Your SMS 45 Chapter 4 SMS Implementation 45 4.1 Develop an Implementation Plan 47 4.2 Obtain Approval of Your Safety Policy and Objectives 55 4.3 Appoint the SMS Manager 56 4.4 Implement Each SMS Process 56 4.5 Provide Training to SMS Staff 56 4.6 Proven Practices 59 4.7 Common Challenges 62 Chapter 5 Safety Risk Management 62 5.1 The SRM Process 64 5.2 Describe the System 65 5.3 Identify Hazards 69 5.4 Determine Risk 74 5.5 Assess and Analyze Risk 80 5.6 Treat and Monitor Risk 82 5.7 Example of SRM
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89 Chapter 6 SMS Operation 89 6.1 Major Tasks for the SMS Operation 89 6.2 Safety Culture and Promotion 102 6.3 Cascading Meetings 104 6.4 Safety Reporting 107 6.5 Accident and Incident Investigation 113 6.6 SMS and Internal Safety Assessments 128 6.7 Measuring SMS Performance--Trend Analysis 136 6.8 Safety Training and Education 142 End Notes 144 Annex A Gap Analysis and SMS Assessment Tables 159 Annex B Using Assessment Tables 161 Annex C Scoring Table for SMS Assessment 163 Annex D List of Applicable Regulations for Certificated Airports 164 Annex E Hazard Identification Tools Cover photograph by Jeremy P. Irish