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

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48 This ACRP Synthesis study effort provided an opportunity to survey airports that participated in one of the four FAA safety management system (SMS) pilot studies. Results from 26 of the 31 airport participants offer insight into the various program efforts, challenges, and outcomes. The pilot studies allowed airports of various size, location, and operation the ability to assess the impact of a SMS on CFR Part 139 operations. Although no U.S. airport has completely implemented SMS, 18 of the 26 interviewed airports indicated that some level of SMS implementation is underway. Whether the imple- mentation is the result of the FAA SMS pilot study activities or through individual airport initiatives, U.S. airports are gaining valuable experience integrating SMS into Part 139 operations. TRENDS General trends and common themes have been documented in each chapter, including key lessons learned, which are comprehensively listed in the following section. Overall implementations participating in the four FAA SMS pilot studies indicated the efforts were of value and, many believe, provided a head start for compliance with the upcoming rulemaking. LESSONS LEARNED A summary of lessons learned from the SMS pilot study interviews is presented here. Each chapter and topic provides additional detail and discussion for the lessons learned. • SMS Pilot Study Program Management: Clearly defining the SMS project development documents, such as a program plan and schedule, assist with the airport’s ability to design, plan, and deploy the SMS. • Gap Analysis Process and Report: Ensuring adequate or flexible SMS program timelines to conduct a gap analysis (or other business analysis efforts) assists air- ports in developing program plans. • SMS Manual Development: Allowing adequate time to design, develop, test, and deploy the SMS manual through the life of the program implementation improves the quality of the manual and associated processes. • Program Plan Development: Developing program plans to be flexible supports the airports’ SMS implementation timelines and staffing constraints. • Consultant Services: Local airport and U.S. Part 139 experience are valuable SMS consultant skills in con- sultant selection in addition to SMS development and deployment expertise. • Reference Documents: Formal SMS guidance, docu- mentation, and information-sharing opportunities support the SMS design and development. • Staffing: Collateral duties are the reported norm for current and future SMS staff responsibilities; budget constraints and delayed hiring decisions based on forth- coming FAA rulemaking are cited as the primary reasons new hires are not planned. • Budget: Data collection, analysis, and trending are core functions of SMS and require early planning for adequate budgets to procure or build technological solutions. • Safety Policy Development: The method to develop and deploy a safety policy statement requires various approval processes depending on the airport management structure. Airport safety policy development includes investigating the proper route and approval function early in the SMS program to ensure that adequate time is allocated. • Safety Policy Deployment: Deployment of the safety policy is unique to each airport’s internal and external communication paths. Some airports develop a commu- nication plan to roll out the safety policy statement in conjunction with the SMS program. • Safety Policy and Objectives: Linking safety policy objectives to measurable goals and metrics provides man- agement the ability to report on SMS program activities and progress. • Safety Risk Management: Safety risk management is facilitated by the development of various topic-related safety risk assessments. • Safety Risk Assessment: (1) Airports are conducting safety risk assessments (SRAs) outside the specific context of SMS pilot studies. (2) SRAs are developed and managed by a broad range of personnel with subject matter expertise. • Inspections: Expansion of the SMS program to the terminal and landside operations might be considered chapter eight CONCLUSIONS

49 in addition to the movement and nonmovement areas as the SMS program is being designed and developed. • Audits: Conducting a program audit in Year 1 can be challenging. Performing a program evaluation where incremental milestones have been achieved may be of greater use to management, especially with regard to assessing SMS policy objectives and goals. • Data Collection: (1) Data collection and use as part of the safety assurance component of the airport SMS is being addressed by airports using fit-for-purpose solu- tions, such as commercial off-the-shelf software, custom application development, and paper-based systems. Data collection at some airports currently includes or plans to include the landside and terminal areas for continuity of management and reporting. (2) Data col- lection and trending is at the core of safety assurance and data collection solutions vary depending on airport size and SMS program scope. • Training: Training programs are scalable to each airport and operation, including staff skills development based on positions and additional duties assigned. • Culture: Staff buy-in and reluctance to change can affect implementation of a SMS; early activities such as direct communication and training are documented means to promote SMS. • Challenges: Airports are awaiting additional resources and forthcoming SMS guidance from the FAA. • Benefits: Improved communication, increased safety awareness, integration of disparate departments and staff through collective assessment of risk and budgets, and data collection and trending analysis to provide a higher level of awareness are reported as benefits of the SMS pilot studies. FURTHER RESEARCH Further research resulting from identified gaps could include the following: • Research into revising the existing ACRP Guidebook or a new guidebook that reflects the upcoming revisions to the FAA AC 150/5200-37. • Research into synthesizing information relating to other operators such as airlines, fixed-base operators, and air traffic, and including SMS harmonization and integration. • Research into collecting best practices from Air Traffic, airlines, fixed-base operators, and airports designing and developing SMS programs independently to provide insights and strategies to manage challenges, issues, and concerns. • Research into developing an SRA training guide or manual; currently no standard SRA training or process exists to guide airports or facilitators in facilitation, documentation, and corrective actions. To date, there is no formal facilitation training for airport-related SRAs. The FAA offers numerous SMS-related courses through the Integrated Learning Environment. Although primarily developed for FAA employees implementing require- ments of FAA Order 5200.11, the agency released the training to the public in the interest of promoting SMS initiatives and education; however, the training does not address Part 139 SMS. • Research into developing a Part 139 gap analysis check- list and guide; the aviation industry could benefit from research and development of a gap analysis checklist that is geared for Part 139 airports. • Future research that follows up with pilot study respon- dents in 3 to 4 years to develop a full range of lessons learned after regulatory guidance is finalized.