Lessons Learned from Airport Safety Management Systems Pilot Studies (2012)

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TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2012 www.TRB.org Research Sponsored by the Federal Aviation Administration SubScriber categorieS Aviation  •  Security and Emergencies A I R P O R T C O O P E R A T I V E R E S E A R C H P R O G R A M ACRP SYNTHESIS 37 Lessons Learned from Airport Safety Management Systems Pilot Studies A Synthesis of Airport Practice conSultantS Joanne Landry Landry Consultants, LLC Seattle, Washington Dave Fleet Consulting, LLC Indianapolis, Indiana and Hybrid-3 Inc. Indianapolis, Indiana

AIRPORT COOPERATIVE RESEARCH PROGRAM Airports are vital national resources. They serve a key role in transportation of people and goods and in regional, national, and inter national commerce. They are where the nation’s aviation sys- tem connects with other modes of transportation and where federal responsibility for managing and regulating air traffic operations intersects with the role of state and local governments that own and operate most airports. Research is necessary to solve common oper- ating problems, to adapt appropriate new technologies from other industries, and to introduce innovations into the airport industry. The Airport Cooperative Research Program (ACRP) serves as one of the principal means by which the airport industry can develop innovative near-term solutions to meet demands placed on it. The need for ACRP was identified in TRB Special Report 272: Airport Research Needs: Cooperative Solutions in 2003, based on a study sponsored by the Federal Aviation Administration (FAA). The ACRP carries out applied research on problems that are shared by airport operating agencies and are not being adequately addressed by existing federal research programs. It is modeled after the successful National Cooperative Highway Research Program and Transit Cooperative Research Program. The ACRP undertakes research and other technical activities in a variety of airport subj ect areas, including design, construction, maintenance, operations, safety, security, policy, planning, human resources, and administra- tion. The ACRP provides a forum where airport operators can coop- eratively address common operational problems. The ACRP was authorized in December 2003 as part of the Vision 100-Century of Aviation Reauthorization Act. The primary partici- pants in the ACRP are (1) an independent governing board, the ACRP Oversight Committee (AOC), appointed by the Secretary of the U.S. Department of Transportation with representation from airport operating agencies, other stakeholders, and relevant industry orga- nizations such as the Airports Council International-North America (ACI-NA), the American Association of Airport Executives (AAAE), the National Association of State Aviation Officials (NASAO), Airlines for America (A4A), and the Airport Consultants Council (ACC) as vital links to the airport community; (2) the TRB as program manager and secretariat for the governing board; and (3) the FAA as program sponsor. In October 2005, the FAA executed a contract with the National Academies formally initiating the program. The ACRP benefits from the cooperation and participation of air- port professionals, air carriers, shippers, state and local government officials, equipment and service suppliers, other airport users, and research organizations. Each of these participants has different interests and responsibilities, and each is an integral part of this cooperative research effort. Research problem statements for the ACRP are solicited period- ically 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 identifying 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 professionals, the intended users of the research products. The panels prepare 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 selecting research agencies has been used by TRB in managing cooperative research programs since 1962. As in other TRB activities, ACRP project panels serve voluntarily without compensation. Primary emphasis is placed on disseminating ACRP results to the intended end-users of the research: airport operating agencies, ser- vice providers, and suppliers. The ACRP produces a series of research reports for use by airport operators, local agencies, the FAA, and other interested parties, and industry associations may arrange for work- shops, training aids, field visits, and other activities to ensure that results are implemented by airport-industry practitioners. ACRP SYNTHESIS 37 Project A11-03, Topic S04-07 ISSN 1935-9187 ISBN 978-0-309-22372-0 Library of Congress Control Number 2012940783 © 2012 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB or FAA endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE 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 Governing Board of the National Research Council. The members of the technical panel selected to monitor this project and to review this report were chosen for their special competencies and with regard for appropriate balance. The report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the Governing Board of the National Research Council. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board, the National Research Council, or the program sponsors. The Transportation Research Board of the National Academies, the National Research Council, and the sponsors of the Airport Cooperative Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of the report. Published reports of the AIRPORT COOPERATIVE RESEARCH PROGRAM are available from: Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at http://www.national-academies.org/trb/bookstore Printed in the United States of America

The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol- ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni- cal matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Acad- emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achieve- ments of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Acad- emy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transportation Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisci- plinary, and multimodal. The Board’s varied activities annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transporta- tion, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org

ACRP COMMITTEE FOR PROJECT 11-03 CHAIR JULIE KENFIELD Jacobs Engineering, Inc. MEMBERS RANDALL P. BURDETTE Virginia Department of Aviation KEVIN C. DOLLIOLE Unison Consulting, Inc. LINDA HOWARD Bastrop, Texas ARLYN PURCELL Port Authority of New York & New Jersey BURR STEWART Burrst, Seattle, Washington FAA LIAISON PAUL DEVOTI ACI–NORTH AMERICA LIAISON A.J. MULDOON AIRCRAFT OWNERS AND PILOTS ASSOCIATION JOHN L. COLLINS TRB LIAISON CHRISTINE GERENCHER COOPERATIVE RESEARCH PROGRAMS STAFF CHRISTOPHER W. JENKS, Director, Cooperative Research Programs CRAWFORD F. JENCKS, Deputy Director, Cooperative Research Programs MICHAEL R. SALAMONE, Senior Program Officer JOSEPH J. BROWN-SNELL, Program Associate EILEEN P. DELANEY, Director of Publications SYNTHESIS STUDIES STAFF STEPHEN R. GODWIN, Director for Studies and Special Programs JON M. WILLIAMS, Program Director, IDEA and Synthesis Studies JO ALLEN GAUSE, Senior Program Officer GAIL R. STABA, Senior Program Officer DONNA L. VLASAK, Senior Program Officer TANYA M. ZWAHLEN, Consultant DON TIPPMAN, Senior Editor CHERYL KEITH, Senior Program Assistant DEMISHA WILLIAMS, Senior Program Assistant DEBBIE IRVIN, Program Associate TOPIC PANEL DAVID J. CROWNER, Seattle–Tacoma International Airport JESSICA DOMITROVICH, Critical Path, Inc., Fargo, ND DAVID HARING, Cheyenne Regional Airport, Wyoming RICHARD PAIN, Transportation Research Board JOSE RUIZ´ , Southern Illinois University JULIA M. (JULIE) SCHREACKE, Dallas/Fort Worth International Airport ROGER STUDENSKI, Jacksonville Aviation Authority KERI LYN SPENCER, Federal Aviation Administration (Liaison) JOHN L. COLLINS, Aircraft Owners and Pilots Association (Liaison) RICHARD MARCHI, Airports Council International–North America (Liaison) Cover figure: The four SMS components, Safety Policy, Safety Risk Management, Safety Assurance, and Safety Promotion. Joanne M. Landry, developed by GSS Creative, Chicago, Illinois

FOREWORD PREFACE By Gail R. Staba Senior Program Officer Transportation Research Board This synthesis study is intended to provide airport operators with data and experience from SMS pilot study airports through survey results, lessons learned, and general findings and trends. The proposed audience is U.S. Part 139 certificated airport operators; however, although intended for Part 139 airports, the results gathered in this synthesis of practice may be helpful to all airports. The study approach focused on completing a literature review of current SMS industry documentation and conducting interviews with SMS pilot study airport representatives and consultants. Of the 31 participating SMS pilot study airports, 26 airport operators provided information through in-person and telephone interviews. Joanne Landry, Landry Consultants LLC, Seattle, Washington, collected and synthesized the information and wrote the report. The members of the topic panel are acknowledged on the preceding page. This synthesis is an immediately useful document that records the practices that were acceptable within the limitations of the knowledge available at the time of its preparation. As progress in research and practice continues, new knowledge will be added to that now at hand. Airport administrators, engineers, and researchers often face problems for which infor- mation already exists, either in documented form or as undocumented experience and practice. This information may be fragmented, scattered, and unevaluated. As a conse- quence, full knowledge of what has been learned about a problem may not be brought to bear on its solution. Costly research findings may go unused, valuable experience may be overlooked, and due consideration may not be given to recommended practices for solving or alleviating the problem. There is information on nearly every subject of concern to the airport industry. Much of it derives from research or from the work of practitioners faced with problems in their day-to-day work. To provide a systematic means for assembling and evaluating such useful information and to make it available to the entire airport community, the Airport Coop- erative Research Program authorized the Transportation Research Board to undertake a continuing project. This project, ACRP Project 11-03, “Synthesis of Information Related to Airport Practices,” searches out and synthesizes useful knowledge from all available sources and prepares concise, documented reports on specific topics. Reports from this endeavor constitute an ACRP report series, Synthesis of Airport Practice. This synthesis series reports on current knowledge and practice, in a compact format, without the detailed directions usually found in handbooks or design manuals. Each report in the series provides a compendium of the best knowledge available on those measures found to be the most successful in resolving specific problems.

CONTENTS 1 SUMMARY 5 CHAPTER ONE INTRODUCTION Safety Management System Defined, 5 Rulemaking and Safety Management System Pilot Study Activities, 6 Safety Management System Pilot Study Findings and Documentation, 7 Synthesis Study Approach and Objectives, 7 Literature and Data Search, 8 13 CHAPTER TWO SAFETY MANAGEMENT SYSTEM PILOT STUDY PROGRAM MANAGEMENT Background, 13 Chapter Contents, 13 Findings and Analysis, 13 Lessons Learned, 26 29 CHAPTER THREE SAFETY MANAGEMENT SYSTEM AND SAFETY POLICY Background, 29 Chapter Contents, 29 Findings and Analysis, 29 Lessons Learned, 30 32 CHAPTER FOUR SAFETY MANAGEMENT SYSTEM AND SAFETY RISK MANAGEMENT Background, 32 Chapter Contents, 32 Findings and Analysis, 32 Lessons Learned, 32 35 CHAPTER FIVE SAFETY MANAGEMENT SYSTEM AND SAFETY ASSURANCE Background, 35 Chapter Contents, 35 Findings and Analysis, 35 Lessons Learned, 38 40 CHAPTER SIX SAFETY MANAGEMENT SYSTEM AND SAFETY PROMOTION Background, 40 Chapter Contents, 40 Findings and Analysis, 40 Lessons Learned, 42

45 CHAPTER SEVEN SAFETY MANAGEMENT SYSTEM CHALLENGES AND BENEFITS Background, 45 Chapter Contents, 45 Findings and Analysis, 45 Lessons Learned, 46 48 CHAPTER EIGHT CONCLUSIONS Trends, 48 Lessons Learned, 48 Further Research, 49 50 GLOSSARY OF TERMS AND ACRONYMS 53 REFERENCES 54 APPENDIX A CANADIAN INTERVIEW SUMMARY 57 APPENDIX B QUESTIONNAIRE 59 APPENDIX C DETAILED SAFETY MANAGEMENT SYSTEM PILOT STUDY BACKGROUND 64 APPENDIX D SAFETY MANAGEMENT SYSTEM PILOT STUDY AIRPORT PROFILES Note: Many of the photographs, figures, and tables in this report have been converted from color to grayscale for printing. The electronic version of the report (posted on the Web at www. trb.org) retains the color versions.