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CHAPTER 1 Introduction 1.1 Objective This document is designed to assist 14 CFR Part 139 airport operators with the development and implementation of safety management systems (SMS) for their airports. The information pro- vided is not intended as a prescriptive formula for the development of an airport's SMS, nor is it a procedure or template for building SMS documentation. It is a practical reference to provide objective guidance on how to develop SMS processes and create the system. The material contained herein is for explanatory purposes only. Where existing systems or pil- lars have been referenced, the example is used for the purpose of clarity and to demonstrate that there are existing systems available. It is not the intention of the authors to advocate that any one particular system be used. In keeping with performance-based regulations, this guidebook is intended to provide details of the various SMS requirements and to offer examples of possible ways these elements can be enabled. It is assumed that the user has a basic understanding of SMS and Part 139 requirements and is familiar with the following: Federal Aviation Administration (FAA) Advisory Circular (AC) 150/5200-37--Introduction to Safety Management Systems for Airport Operators(1) ACRP Report 1: Overview of Safety Management Systems for Airports(2) International Civil Aviation Organization (ICAO) Doc 9859--Safety Management Manual (SMM)(3) 1.2 How to Use This Guidebook Implementing an SMS will require a phased approach, with each phase building on previous steps. This guidebook is organized chronologically according to those phases. Chapter 1 provides some definitions and acronyms used throughout the text. Chapter 2 helps the reader identify some basic SMS concepts, pillars and elements of an airport SMS, and how these building blocks work and interact to improve the safety culture and, ultimately, the overall safety of airport activ- ities. Moreover, this chapter responds to some basic questions that airport operators face before developing an SMS program. Chapter 3 will help you get started with SMS. The objective of this chapter is to help you plan and design your airport SMS, from identifying the resources that are already in place to choos- ing the best SMS architecture for the airport. This section will help you identify and conduct each step of the SMS planning and design. 1

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2 Safety Management Systems for Airports Chapter 4 is intended to guide airport management through the initial transition to SMS. This chapter will introduce you to best practices and the steps needed to implement your SMS. You will learn how to document and develop a structured implementation plan to gradually bring your SMS to operation. Chapter 5 describes the five phases of safety risk management (SRM), which is the key process behind safety management. This chapter also presents a step-by-step example of the process using typical airport hazards. Chapter 6 contains information to help you operate your SMS. It describes the tools, approaches, procedures, techniques, and methods that support the operation of an airport SMS. The annexes provide additional support materials. For example, the gap analysis and SMS assessment tables are included in Annex A(1),(3),(4). Each chapter includes some common elements to help the reader understand important con- cepts or to highlight specific issues: Example Illustrative example to help understand the concept Scalability Depends on the size and complexity of the airport Hint Practical suggestion and useful approach Potential bottlenecks and practical ways to Caution overcome them Important point for consideration, sometimes in Key the form of a citation It is recommended that readers follow the order that the subjects are presented in this guide- book, as it intentionally follows the SMS structure described in the FAA AC 150/5200-37(1).