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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).
