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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
OCR for page R2
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
