National Academies Press: OpenBook

Safety Management Systems for Airports, Volume 2: Guidebook (2009)

Chapter: Chapter 4 - SMS Implementation

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Suggested Citation:"Chapter 4 - SMS Implementation." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Chapter 4 - SMS Implementation." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Chapter 4 - SMS Implementation." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Chapter 4 - SMS Implementation." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Chapter 4 - SMS Implementation." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Chapter 4 - SMS Implementation." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Chapter 4 - SMS Implementation." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Chapter 4 - SMS Implementation." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Chapter 4 - SMS Implementation." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Chapter 4 - SMS Implementation." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Chapter 4 - SMS Implementation." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Chapter 4 - SMS Implementation." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Chapter 4 - SMS Implementation." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Chapter 4 - SMS Implementation." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Chapter 4 - SMS Implementation." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Chapter 4 - SMS Implementation." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Suggested Citation:"Chapter 4 - SMS Implementation." National Academies of Sciences, Engineering, and Medicine. 2009. Safety Management Systems for Airports, Volume 2: Guidebook. Washington, DC: The National Academies Press. doi: 10.17226/14316.
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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

This chapter addresses the initial implementation of SMS and the implementation and man- agement of continuous improvement initiatives. A phased approach usually is preferred because it has less impact on existing airport activities and it delineates more manageable tasks. The goal is to have a structured SMS implementation plan designed to guide the airport organ- ization through the initial transition to SMS. This plan of action identifies a step-by-step process on how to get from where you are now to a fully functioning SMS. The plan should identify who does what, when, and timelines for completion. After completing the gap analysis and writing the documentation, as described in Chapter 3, there are five more steps: 1. Develop an SMS implementation plan 2. Obtain the approval of the airport safety policy and safety objectives 3. Appoint the person who has the responsibility for operating the SMS 4. Implement each SMS process that has been adapted or created 5. Provide SMS training (described as the final step even though some functions, such as the SMS Manager, will require training throughout—or even before—the implementation process has started) Some airports may decide to limit the SMS scope to airside activities and extend the scope to activities on the landside and terminal areas later. Other airports may define their SMS scope for all airport activities from the very start. In all cases, a plan and a systematic method for imple- mentation is critical to the initial success of the SMS. In addition to the sections describing each of these steps, this chapter also highlights some proven practices (Section 4.6) and common challenges (Section 4.7) that you may face during the SMS implementation. 4.1 Develop an Implementation Plan Once you have identified and documented your gaps, you will have a snapshot of where your organization is now in comparison to where you need to bring it to have a complete SMS. This will be your baseline. You can look at the documented gaps as a set of tasks that need to be completed to achieve a functioning SMS. Project management principles apply here. As with any other project, you need to assign responsible persons for each task, provide the necessary resources to carry out the task, and define a timeline to complete each task. The typical contents of an SMS implementation plan are depicted in Table 5 and an example schedule is shown in Figure 4. 45 C H A P T E R 4 SMS Implementation

46 Safety Management Systems for Airports Item Task Description 1 EXECUTIVE SUMMARY Brief background and objectives of the project 2 IMPLEMENTATION SUMMARY Summary table with tasks, subtasks, phase, person responsible, duration, and estimated costs for implementation 3 PHASE 1 3.1 Appoint and train Implementation Team List of appointed members of the implementation team along with their associated responsibilities. The team should receive SMS training before starting upcoming tasks 3.2 Develop and Document Safety Policy The safety policy is to be written, approved, and signed by the Accountable Executive and communicated to all airport workers 3.3 Develop and Document Safety Objectives The safety objectives are written, approved, and signed by the Accountable Executive and communicated to all airport workers 3.4 Define and Document Safety Accountabilities Document responsibilities for airport safety and use them on job descriptions as they relate to SMS(25) 3.5 Develop and Document SMS Organization Chart The SMS organizational chart is prepared and approved by the Accountable Executive PHASE 2 4.1 Develop Process to Track Changes in Legal Requirements and Standards Define and approve the process to identify, access, and evaluate current laws, regulations, and internal organizational requirements that are applicable to the safety aspects of airport activities 4.2 Establish SMS Documents and Records Management Process Define the process for the approval, review, distribution, and disposition of SMS-related documents and records 4.3 Establish Process to Maintain SMS Data Define the process for the identification, management, and disposition of safety data 4.4 Establish Non-Punitive Reporting System Develop, maintain, and document a non- punitive reporting process 5 4 PHASE 3 5.1 Internal Safety Investigations accident and incident investigations to determine root causes Develop and implement the process to conduct 5.2 Proactive Processes for Hazard Identification and Reporting Describe and implement the processes for hazard identification and reporting 5.3 Process for Risk Assessment Document and implement the process for safety risk management 5.4 Process for Establishing Risk Control Action Plans Define, document, and implement the process to develop risk control action plans, assign responsibilities, and obtain approval 5.5 Create Safety Committee(s) reference for safety committee(s) 5.6 Process to Use Results of SRM to Improve Operating Guidelines Document and implement a process that will trigger the review or creation of SOPs for continuous safety improvement of airport activities 5.7 Process for Evaluating Impact of Changes Introduce a process to trigger risk assessments for significant changes at/on the airport Define, document, and approve the terms of Table 5. SMS implementation plan.

SMS Implementation 47 When setting your timeline, try to be realistic while maintaining a continuous pace of implementation. It will demonstrate management commitment and will increase the chances of success. People tend to lose their initial motivation if the process is interrupted. Be sure to build in sufficient time for scheduling meetings and to evaluate progress. Item Task Description 6 PHASE 4 6.1 Process for Performance Monitoring Implement a process to monitor safety trends, expressed in terms of performance indicators 6.2 Process for Management Review Implement process for management review of SMS performance 6.3 Process for Safety and SMS Assessments Create operationally independent assessment function with the authority required to carry out an effective internal safety evaluation program 6.4 Develop Training Program Develop and implement process for evaluating current training programs and creating an SMS training program 6.5 Develop Safety Communications and Promotion Programs Implement process to ensure that safety information is communicated to and from personnel 7 PHASE 5 7.1 Extend SMS Scope When required, this phase is used to extend the initial SMS scope (e.g., from airside only to all airport activities) and coordinate with SMS from stakeholders, when available 8 SCHEDULE Scheduled periods for each task (see Figure 4) Table 5. (Continued). 4.2 Obtain Approval of Your Safety Policy and Objectives You will need to have your safety policies and objectives approved following the preparation of the SMS documentation. These elements should be approved by the Accountable Executive to provide management support and commitment to the SMS and its implementation. In most cases, these elements are developed during the preparation of the SMS documentation; however, it is important that you know how to go about these two SMS elements. Develop a Safety Policy The first step when undertaking any journey is to know where we are going and how we are going to get there. This is what a safety policy does for SMS. This policy speaks to high-level concepts. The policy should clearly identify and record the safety roles and responsibilities within your airport organization. To translate policy into exe- cutable actions, you will also set measurable objectives and goals. They provide a way to identify desired outcomes and a realistic way to achieve them.

ID Task Name 1 SMS PLANNING & DOCUMENTATION 2 Gap Analysis 3 Define and Document SMS 4 Develop Implementation Plan 5 SMS IMPLEMENTATION PHASE 1 6 Appoint and Train Implementation Team 7 Define Safety Policy 8 Define Safety Objectives 9 Define Safety Accountabilities 10 Develop SMS Organizational Chart 11 SMS IMPLEMENTATION PHASE 2 12 Process to Track Changes to Legal Requirements 13 Process to Manage Docs and SMS Records 14 Process to Manage SMS Data 15 Non-Punitive Reporting System 16 SMS IMPLEMENTATION PHASE 3 17 Process for Internal Safety Investigations 18 Processes for Hazard Identification 19 Process for Risk Assessment 20 Process for Establishing Risk Control Plans 21 Create Safety Committee(s) 22 Process to Create and Improve SOPs 23 Process to Evaluate Impact of Changes 24 SMS IMPLEMENTATION PHASE 4 25 Process for Performance Measuring & Monitoring 26 Process for Management Review 27 Process for Safety and SMS Assessments 28 Develop and Deliver Training Program 29 Implement Safety Promotion Initiatives 30 SMS IMPLEMENTATION PHASE 5 31 Extend SMS Scope and Interface with Other SMSs PLANNING & DOCUMENTATION IMPLEMENTATION - PHASE 1 IMPLEMENTATION - PHASE 2 IMPLEMENTATION - PHASE 3 IMPLEMENTATION - PHASE 4 IMPLEMENTATION - PHASE 5 Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun 2009 Qtr 2, 2009 Qtr 3, 2009 Qtr 4, 2009 Qtr 1, 2010 Qtr 2, 2010 Qtr 3, 2010 Qtr 4, 2010 Qtr 1, 2011 Qtr 2, 2011 Qtr 3, 2011 Qtr 4, 2011 Qtr 1, 2012 Qtr 2, 2012 Figure 4. Example schedule for SMS implementation.

SMS Implementation 49 One key element of a safety policy statement is the reporting policy. The most effective way to obtain information on hazards and other safety issues is to establish a non-punitive reporting policy, where people are not punished for making an honest mistake. One policy statement might include “we will work to be the safest airport in the region.” This could lead to the following safety objective: “reduce the number of incidents on the apron to at least 10% below regional average.” To achieve this objective, you may set up the following goal: “reduce the number of incidents by half in the next 3 years.” However, it is very important to note that objectives and goals should not be part of the airport’s safety policy statement. Example of Safety Policy (courtesy of Lexington Blue Grass Airport) We all have the responsibility for working in a safe manner. The application of an effective safety management system is integral to all our aviation activities, with the objective of achieving the highest levels of safety standards and perform- ance. As such our commitment is to: • continuously promote a safety culture across all our activities that recognizes the importance of safety and the value of effective safety management; A safety policy is a clear indication of management commitment toward safety. It should be widely publicized. A safety policy should be appropriate to the size and complexity of the airport and typically should contain at least the following elements: • A commitment to make safety the highest priority • The commitment of senior management to implement SMS • A commitment to continual safety improvement • The encouragement of employees to report safety issues without fear of reprisal • A commitment to provide the necessary safety resources • A commitment to comply with all regulatory requirements for the airport operation There is no prescribed length for a policy statement. In most cases, a single page should be enough to include at least these elements. One way to develop a safety policy is through a round table discussion with the management team (you might consider employee participation as well). You could start by collecting existing policies (written or not). Identify what is important to you as an organization (with regards to safety), including significant risks, legislation, regulations, and standards.

Ensure that the policy is up to date and signed by top management. Document and share this policy with all employees and contractors. It should be written in clear and simple terms and clearly visible (posters, website, company documentation, etc.). In addition, management should be available to explain and discuss safety policy with employees and business partners as required. The process to approve the safety policy depends on the airport organization; however, the Accountable Executive is the person that should sign it. Define Objectives and Goals Overview Most of us respond to a challenge and perform better when we are aiming at a goal. Management system practices recognize this and require organizations to set objectives for themselves. These objectives need to be measurable or have associated targets. Alongside your airport’s policy and SMS best practices, these objectives and targets help to focus the management system. An objective is a statement of a desired outcome. With a clearly defined target, we can establish whether we have made the desired improvement. In many cases, we may be able to track progress 50 Safety Management Systems for Airports • ensure that all staff are aware of their accountability and responsibility in the execution of and participation in the safety management program; • proactively manage the risks associated with accidents or incidents to a point which is as low as reasonably practicable/achievable; • verify that all externally supplied systems and services that impact upon the safety of our operations meet appropriate local, national and contractual safety standards; • comply with and wherever possible exceed legislative and regulatory requirements and standards; • provide all our staff with adequate and appropriate safety information and training, to ensure that they are competent in the performance of their duties; • measure our safety performance against objectives or targets on a regular basis, and take mitigation control actions to improve safety when appropriate; • strive for the highest levels of safety standards and performance in all our activities; • continually improve our safety performance; conduct safety and management reviews; and ensure relevant actions are taken. We encourage uninhibited reporting of all incidents and occurrences that may compromise the safe conduct of our operations. To this end, every employee is responsible for communicating any information that may affect the integrity of airport operations. Such communication is completely free of any form of reprisal; however, this policy shall not apply to illegal acts, or deliberate, or will- ful disregard of promulgated regulations or procedures. ............ [Signature & seal] ............. Joe Smith—Executive Director—XYZ Airport

as we work toward the target. Before setting an objective or target, we need to know the current situation, which might require some form of data or statistics. Because these objectives need to be measurable, it is necessary to define a safety performance indicator (SPI) associated with the goal. An SPI is any variable used to measure changes in the level of safety. SMS Implementation 51 When setting objectives and goals, people tend to focus more on defined targets and less on other safety issues not related to the established targets. However, not all airport hazards are represented by the safety objectives and goals. An airport should set SMART safety objectives: Specific: The objective or target should be focused on one thing only Measurable: It should be possible to measure whether or not you hit the target Achievable: The target should be within your capabilities Relevant: The objective should be something of importance or significance for safety Timed: There should be a deadline for achieving the target The overall airport objectives often will be achieved through accomplishing numerous con- tributory objectives and targets from airport departments and sections. This is sometimes referred to as the cascade effect. Cascade of Objectives As an example, let’s say that the airport manager has set a target of reducing ramp accidents by 25% in 1 year. Data have shown that one of the main causes of ramp accidents at this airport is speeding by ground vehicles. Therefore, the Department of Public Safety will set an objective to enforce the airport maximum speed of 20 mph at the apron to reduce speeding violations at the ramp by 40%. Other departments/sections will set their own objectives as well, so that the overall airport objective of reducing ramp accidents by 25% can be met. There may be several opportunities for improvement by various airport departments, sections, or units that may contribute to the overall situation. The efforts should be prioritized where the greatest gains can be achieved. Using the same example, in a large airport with more than one apron area, it is possible that accidents are occurring mostly in one of the ramps. Each airport unit may then be given different targets that reflect its scope for improvement. We may also find that, having looked at all the contributing factors, we can only realistically expect to hit an 8% reduction in ramp accidents this year. Our original intention for an overall target of 25% needs to be scaled down slightly. After all, there is little point in setting a target that the airport cannot achieve. Examples of Airport Objectives and Goals Table 6 presents some typical safety objectives and associated goals used by airports.

52 Safety Management Systems for Airports Objective Reduce number of ramp accidents by X% in 1 year Goal Reduce number of speeding violations at the ramp by X% in 1 year Goal Develop and enforce airside rules and regulations in 6 months Goal Reduce number of airside driving infractions by Y% in 1 year Goal Create and implement five airside SOPs in 6 months Goal Reduce number of incidents involving damage to stationary aircraft by Y% in 1 year Goal Reduce number of incidents involving damage to moving aircraft by Y% in 1 year Goal Reduce number of incidents involving passenger handling equipment by Y% in 1 year Goal Reduce number of incidents involving aircraft loading equipment by Y% in 1 year Goal Reduce number of incidents involving aircraft service equipment by Y% in 1 year Goal Reduce number of incidents involving jet blast by Y% in 1 year Goal Reduce number of incidents involving passenger handling equipment by Y% in 1 year Goal Reduce number of incidents involving fuel spillage by Y% in 1 year Objective Reduce number of job related injuries at the ramp by X% in 1 year Objective Reduce number of runway incursions by X% in 1 year Objective Reduce number of bird strikes by X% in 1 year Goal Reduce number of bird strikes by Y% during the summer Objective Increase the number of training sessions by X% in 2 years Objective Reduce number of FOD occurrences by X% in 6 months Objective/Goal Description Objective Implement a safety management system for the airport in 2 years Goal Install a non-punitive reporting system in 1 year Goal Implement a document and records control system in 6 months Goal Provide basic SMS training to airport employees in 1 year Objective Reduce number of airside accidents by X% in 1 year Objective Reduce number of airside incidents by X% in 1 year Table 6. Typical airport safety goals and objectives.

Safety Performance Indicators SPIs are measurable parameters that are related to the airport’s safety objectives and that address the main hazards and incidents at the airport. These measurements should be based on information of causal factors or specific types of incidents, so that SPIs associated with this type of undesirable event can be mitigated. A large number of potential SPIs exist; however, not all of them are equally important. In general, the importance of an SPI can be assessed in terms of the strength of its relationship with accident or injury occurrence, that is, if it makes a major contribution to accidents and if it can be influenced by safety measures or programs. When possible, the SPI should focus on latent conditions and near miss events (incidents), instead of accidents. SMS Implementation 53 A non-exhaustive list of common SPIs used by airports follows: • Number of airside accidents • Number of airside incidents • Number of job-related injuries at the ramp • Number of job-related injuries at other airside areas • Number of runway incursions • Number of incidents involving wildlife • Number of airside driving infractions • Damage to stationary aircraft — By passenger handling equipment — By aircraft loading equipment — By aircraft service equipment • Damage to moving aircraft — By another aircraft — By jet blast — By gate guidance procedure — By fixed objects — By parked ground equipment — By FOD • Property/equipment damage from jet blast • Equipment to equipment damage • Number of spillage incidents • Number of training sessions delivered In most cases, the number of accidents can provide a good indication of trends but may not help identify the processes that lead to those accidents. Therefore, a good SPI should have the following characteristics: • Able to reflect a causal link between a latent condition and possible accidents • Easily measured • Objective • Consistent across time • Not everything needs to be measured • Not everything can be measured • Some of these indicators can be misleading (e.g., number of violation tickets)

54 Safety Management Systems for Airports An SPI should originate in the safety objectives and goals selected by the airport and should be based on factors that can contribute to undesirable outcomes and accidents. An example of the ideal process to select an SPI is presented as follows: 1. Consider the safety objective: reduce apron collisions by 20% 2. Analyze the causal factors that contribute to associated risk a. Speed b. Low visibility c. Lack of familiarity with the apron layout d. Incorrect equipment positioning 3. Determine the safety targets a. Reduce speed b. Improve visibility c. Improve familiarity d. Improve equipment positioning 4. Determine what data may be required a. Speed, location, and time of day 5. Collect data a. Install speed reading devices at key locations 6. Analyze data to identify where and when the violations are more frequent a. You find that speeding occurs mainly in one area and during peak hours 7. Refine actions that could improve safety in the areas selected a. You decide to install speed bumps in the area where most of the speeding occurs 8. Assess data trends to see if the actions are working or not a. Monitor speeding trends in this area—is speed reduced? b. Monitor number of collisions per month—does it go down? • If yes, speeding in this area is a good SPI • If not, you need to look at the data again and come up with new actions 9. Select the SPI More SPIs do not necessarily mean a better system because • There will be more work to track them • They dilute the important information • They discourage people from collecting the information • The performance monitoring system may fail • It is better to start small SPIs can be misleading • Numbers that are not normalized (e.g., use number of accidents per 10,000 operations, rather than simply the number of accidents) • Numbers that are subject to misinterpretation • Random variations (e.g., a drop from 3 accidents in a month to 1 accident in a month may be associated to random variation and may not represent a real trend)

4.3 Appoint the SMS Manager SMS is based fundamentally on processes and procedures. If not already in place, these will need to be developed, implemented, and coordinated. Therefore, SMS requires a person respon- sible to coordinate the integration and the everyday administration of these processes. It is common that the airport management has not decided who will be the SMS Manager before the SMS program is developed and implementation starts. The term SMS Champion is used to make clear that the person responsible for the SMS implementation is not necessarily the person who will run the SMS. However, whenever possible, the SMS Champion and SMS Man- ager should be the same person. Similar to the SMS Champion, who is in charge of the SMS implementation, the SMS Man- ager should have access to both top management and line personnel; the SMS Manager should be knowledgeable in the operational activities of the airport and be respected by the whole organization. SMS Implementation 55 Normalizing accident rates makes these numbers comparable To normalize your rates you can multiply your annual accident rate by 10,000 movements and divide by the total number of movements during that year. In this case you are normalizing for 10,000 movements per year. For example, a large airport had 3 runway incursions in 2007. During that year, the number of movements was 200,000. The normalized rate is 0.15 (3 × 10,000 ÷ 200,000) incursions per 10,000 movements per year. The normalization technique helps you compare the rates if your annual number of movements changes and even compare them with the rates for other airports. Depending on the size of the organization, the SMS Manager could be dedicated full time to this function, or this responsibility could be added to existing duties. For example, the SMS Manager could be supported by a team of members from within the organization as required. An SMS Manager could be appointed at the end of the implementation process; however, it is recommended that the SMS Manager get involved as early as possible and have input during the development. Early involvement will help once the manager becomes responsible for daily administration of the system.

At the discretion of each airport, the following are the main characteristics to be considered for the selection process of a good SMS Manager: • Knowledge of the FAA documents and regulatory requirements • Knowledge of the aeronautical system, safety, and SMS processes • Experience with airport activities associated to the SMS scope • Basic theoretical and practical training accomplished for the function • Familiarity with the functions of the position including: — Airport safety risk management — Principles of organization and management — Management and control of SMS processes — Process auditing, mitigation, and corrective actions and feedback — Basic knowledge of airport accident/incident investigations — Basic knowledge of statistics — Basic knowledge of performance, performance indicators, and trend analysis • Dynamic and capable of making correct and timely decisions about safety issues • Solid written and oral communication skills • Ability to relate to airport staff and stakeholders • Familiarity with airports reporting systems • Leadership and capacity to influence SMS staff to support safety promotion initiatives • Computer literacy Each airport should establish the minimum requirements for the SMS Manager job function according to its characteristics and needs. 4.4 Implement Each SMS Process At this stage, you should have a clear picture of where you are going (safety policy), the per- son willing to take you there (SMS Manager), and management support (to provide the neces- sary support and resources). Now you need to define the vehicles that will make SMS possible. In other words, define the SMS elements and develop tools to support their execution. The devel- opment process should consider the integration of those elements already in existence within the airport organization, as well as the development of new ones. 4.5 Provide Training to SMS Staff As with any other business or operational activity, SMS will be most effective if the players are competent in performing their duties and are aware of the tools available to them so they can have meaningful participation in the system. Everybody should receive SMS training, initially and on an on-going basis. However, not all personnel should receive the same level of training. A recent hire probably will need to know the basics of SMS and learn how to follow certain pro- cedures (produce a report, for example), whereas the SMS Manager will most likely need to know about risk management, safety investigation, and interviewing techniques. Information on levels of training and suggested programs is found in Section 6.8. Figure 5 illustrates these SMS implementation steps and references for all of the SMS elements described in Chapter 2. 4.6 Proven Practices The following approaches to SMS implementation have been used and proven effective in both the aviation industry and other high-risk industries. 56 Safety Management Systems for Airports

Phased-In Implementation For an SMS to be effective, a culture change in the organization may be necessary. This does not happen overnight. A successful implementation will require steady, consecutive small steps that allow people the time they need to understand them, get used to them, and eventually embrace them. SMS will require the integration of existing processes and, in many cases, the development of new ones. These tasks of integrating and develop- ing will probably require the personnel involved in SMS implementation to acquire new skills. You will need to build confidence within man- agement and line personnel. Both management SMS Implementation 57 Develop Safety Document the SMS Develop Implementation Plan Develop Safety Policy Objectives Goals Appoint Safety Manager Safety Team Safety Responsibilities Develop SMS Processes Documentation Process SMS Manual Data Management Records Management Legal & Others Safety Risk Management Hazard Identification Risk assessment Investigation Process Reporting Process Emergency Response Process Operating Procedures Corrective Action Plans Training Continuous Improvement of the Safety System Performance Measurement & Monitoring Performance Measurement & Monitoring Audit Impact of Changes Communication Processes Step 2 Step 3 Step 4 Step 5 SMS IMPLEMENTATION STEPS Training Step 6 Step 1 Figure 5. SMS implementation steps. A phased implementation allows for gradual and controlled changes to existing practices. People must be prepared for such changes. Too many new initiatives in a relatively short period of time can be overwhelming.

58 Safety Management Systems for Airports Once you set up your action plan, start implementing one process at a time. Make sure that each element is achieving the desired goals before moving on to the next. Promote each SMS process throughout the organization at every phase of implementation so that all employees understand how it works, what its purpose is, and how they can help. Use Existing Processes and Procedures Many of the processes that are needed to satisfy SMS requirements probably already exist within your airport organization to some extent. For example, many airports have an acci- dent investigation process or an incident/accident reporting system. Make use of as many of your existing processes as you can and integrate them within the SMS context. This will save you a lot of development time and effort, as well as the time to familiarize employees with the process. Select the Right People for Key Positions An enthusiastic individual who is willing to learn will do a lot more for the collective effort than somebody with no interest in getting involved. Someone who may be less qualified but is very enthusiastic could be more valuable to the process. Get Everyone Involved Ask for employee feedback whenever possible. People are more likely to take ownership and pride in things that they helped develop. and line personnel will need to accept this new way of doing business, and more often than not, positive results will need to be demonstrated before the next step can be taken. For example, if you decide to start with a reporting system, make sure that the reports submitted receive a timely and appropriate response. If employees do not see any action (or at least acknowledgement) when they report a safety issue, they likely will stop reporting. If this happens, it will take a much larger effort to get the reporting process re-started. Advertise planned activities and request suggestions from staff. Allow participa- tion in process development workshops and create work groups to address specific issues. Keep it Simple It is extremely important that processes and tasks are kept to a level that is well understood by all. Avoid long, academic discussions and explanations because it will do very little to support the broad understanding at all levels that SMS requires.

SMS Implementation 59 Communicate, Communicate, and Communicate! Successful SMS implementation requires buy-in from the whole organization. Early on, develop a communication plan to ensure that everybody is aware of the new upcoming changes, the need for employee support, and opportunities to get involved. SMS seeks to provide an integrated system of safety processes within an organization. It involves all levels of personnel and departments, and it can certainly benefit from the sharing of information and expertise between departments. The processes developed to support SMS do not have to involve the latest piece of software or a sophisticated methodology used by the research department of a university. A reporting system based on a simple paper form available at every location may do a lot more for you than a software-based tool with access only at selected sites. Do not create another silo (isolated group) with SMS! Airports, like other organizations, tend to develop a collection of silos or relatively isolated groups that have different vocations and cultures resulting from previous training, education, and experience. There is always the danger of creating a new silo when bringing SMS on board. If miscommunication is an issue in your airport (e.g., language barriers(26)), a little money spent to improve it and make sure training and safety procedures are well understood by every- one can save you a lot of money in accidents avoided. Labor Unions Labor unions are generally supportive of any organizational change that can bring about an improvement in employee well-being and working conditions. SMS certainly falls into this cat- egory. The organizational and administrative structure of these organizations can provide a forum for the sharing of information and employee commitment. Possible means to engage labor unions in the SMS processes include explaining the SMS, how the system will be imple- mented, and their specific roles to support it (e.g., getting them involved in the development of non-punitive reporting systems; defining safety objectives; etc.). 4.7 Common Challenges Management Commitment You will never hear management say that they want an unsafe airport; however, it sometimes is hard to get the resources required to make your operation as safe as you want it to be. Tradi- tionally, organizations view safety as an expense or nothing more than a regulatory requirement. It may be difficult to convince management that they need to invest in safety, especially if the air-

port already has a good safety record. If management’s commitment to safety is to be believed and acted on by the airport organization as a whole, management has to show commitment through real actions—allocation of the necessary resources to implement and maintain an SMS, participation in safety events and activities, and so forth. 60 Safety Management Systems for Airports When you design SMS processes, make sure you take into consideration cultural differences. For example, certain societies cherish openness and sharing of infor- mation, while others are more reserved. If an organization has a significant num- ber of members that belong to each of these two groups, a reporting system that does not respect and guarantee confidentiality and anonymity might draw much information from the first group but not from the second. This would limit the value of the information collected and the effectiveness of the whole process. Change takes time. Do not get discouraged. Any initial negative reaction could be mitigated by trying to maximize the integration of existent practices, making staff part of the process by sharing responsibilities with them, and taking a phased-in approach to implementation, leading by example, creating forums for open communication, etc. To address this challenge, you could discuss with management the many benefits of SMS. Communicate that not investing in safety actually can cost more in terms of time, money, reputation, and potentially unrecoverable losses. Behavioral Change SMS will require change, and people are naturally resistant to change. Too often, the importance of this human characteristic is disregarded. If not handled properly, it can lead to misunderstand- ing and frustration. Maintaining Momentum SMS implementation will require a continuous and consistent effort. There is a need to plan the development phase carefully to ensure that all efforts are designed to obtain the greatest return and that, once they are started, these efforts will not be interrupted by foreseeable events. Cultural Characteristics Different backgrounds define our values and beliefs. This impacts how different groups inter- act with each other. SMS is mainly about cultural change. The steps you take to effect the desired change have to be harmonized with the culture of the organization as a whole while respecting the distinctiveness of every group.

Taking Responsibility for Safety Traditionally, a Safety Officer or SMS Manager has been looked at as the only person respon- sible for safety within the organization. If somebody raised a safety concern, he/she was told to address it through the safety office. SMS intends to change that. Safety is a responsibility that is shared by all parties and integrated into the everyday operation. SMS Implementation 61 If there is no obvious link between your organization and the third parties in your airport environment, create one. Where your operations overlap, provide the necessary link for coordination of safety processes and practices and sharing of information. For example, if an FBO rarely participates in any coordination activity within the airport, members of the FBO can be invited to integrate such committees when you create a safety committee. To address this challenge, you should discuss with line management that safety is their responsibility and that the SMS Manager’s role is to support them in the fulfillment of this task. This support can be given by offering advice, coordinating safety activities, sharing information, and providing an independent view when it comes to incident and accident investigations. Airport Stakeholders Most aviation organizations employ a number of service providers, contractors, and suppliers on a temporary or permanent basis to support operational and administrative activities. In short, the operating environment is not necessarily isolated, but shared by many other organizations that are not directly under its control. The degree of interaction with these stakeholders varies, but almost inevitably, their activities will interface or overlap during operational practices. Some of these overlaps are obvious (e.g., an air operator with a ground handler). In these cases, their business “link” is direct and apparent. Normally, a contractual obligation provides a mech- anism for discussion and coordination of business activities, including safety. Other relation- ships are not so apparent (e.g., airport operator and air traffic control). There may be direct overlapping of operations without a direct administrative link that allows for coordination. All interactions with airport stakeholders should be part of an organization’s SMS. At the very least, the interfaces should be reviewed to ensure that they do not compromise safety. An organ- ization has responsibilities for its activities. So when it contracts out functions, it must assure itself that the contracted company does not endanger the organization’s own SMS. One possi- ble means to achieve this objective is to incorporate into contracts and leases some clauses that facilitate the integration of critical safety elements such as communication, training, agreement to follow the airport rules and regulations, reporting of incidents and accidents, and so forth.

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Safety Management Systems for Airports, Volume 2: Guidebook Get This Book
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TRB's Airport Cooperative Research Program (ACRP) Report 1: Safety Management Systems for Airports, Volume 2: Guidebook explores what constitutes an airport safety management system (SMS). The report examines SMS components 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 management can benefit both the safety and business aspects of airports.

http://onlinepubs.trb.org/onlinepubs/acrp/acrp_rpt_001a.pdf

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