Safety Management Systems for Airports, Volume 2: Guidebook (2009) / Chapter Skim
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From page 89... ...
You will identify the major tasks associated with SMS activities and find out more details about the role of an SMS Manager. Moreover, this chapter contains basic concepts and practical guidance on the following: • Typical tasks for the SMS operation • Safety culture and how to promote it • Useful techniques for safety meetings • How to establish a safety reporting system • Techniques for accident and incident investigations • Procedures for internal safety and SMS assessments • Guidance for safety performance monitoring • Basic guidelines to establish an SMS training program 6.1 Major Tasks for the SMS Operation The SMS Manager will be responsible for running the SMS operation.
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From page 90... ...
Assessing the Impact of Changes Monitor risk control actions taken Ensure that the airport collects data for all performance indicators defined in the SMS documentation Assist and conduct trend analysis for each performance indicator Monitor SPI trends and evaluate safety performance to suggest actions Identify the hazard(s) behind performance indicator trends that point out safety deficiencies Performance Monitoring Identify and assist identifying appropriate potential performance indicators Plan and coordinate internal assessments according to the SMS requirements, help prepare checklists, coordinate the organization of the teams When necessary, help with the analysis and compilation of the information Assist with the Identification of areas that need more attention Ensure that every airport department receives a summary of the SMS assessment Use safety surveys to check the SMS operation in terms of problem areas or bottlenecks in daily operations, perceptions, and opinions of operational personnel, areas of dissent, or confusion Safety Assurance Internal SMS Assessment Ensure that recommended actions that have been approved are adequately implemented
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From page 91... ...
Periodically revise the SMS self-assessment and find out areas where improvement is necessary Check all regular, periodic, and planned reviews regarding safety processes and performance Safety Promotion Safety Assurance Continuous Improvement Monitor the decisions and actions aimed at improving safety to evaluate their effectiveness Keep close coordination with the SMS Champion if there is one Other Tasks Help the line managers with their safety programs Coordination of safety items in meeting agendas Participate in the airport safety meetings Develop, assist, and coordinate safety promotion initiatives Assist with obtaining the necessary resources to carry out mitigation actions, training, and other tasks associated with SMS Ensure the necessary resources are allocated to the SMS operation Table 17. (Continued)
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From page 92... ...
These are examples only; safety culture characteristics can take several forms depending on the organization. Some typical signs of strong and weak safety cultures are depicted in Table 18.
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From page 93... ...
Safety issues may be analyzed but employees are never really told what was done to address the issue. Managers and supervisors promote a questioning attitude regarding safety issues on the part of all employees.
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Nevertheless, asking whether our safety culture is strong or weak and why is a good initiative and demonstrates a willingness to identify and correct weaknesses within the organization. Checklist Approach Using a checklist-based approach toward the five key characteristics of a strong safety culture can provide a more objective assessment.
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From page 95... ...
Safety culture integration seeks to break the silos that often exist within large organizations and that constitute an obstacle to the effective exchange of safety information and management of interfacial safety issues (which are some of the most prevalent safety concerns for an airport operation)
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Management and supervisors visibly sponsor and encourage safety initiatives and practices, for example, by asking for, and being open to, suggestions from all staff on how to improve safety. 1 2 3 4 5 N/A My co-workers feel comfortable sharing safety concerns.
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Managers often are perceived by employees as decision makers who conduct the show from behind their desk and do not really know what is happening on the "shop floor." SMS Operation 97 Safety culture leadership Safety culture integration Employees empowerment Demonstrated management leadership Incentive programs Non-punitive reporting Communication and marketing Integrated training Organizational performance measurement Special events Partnering Table 21. Improving safety culture.
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From page 98... ...
Competitions can be organized around a safety theme. As with the previous cases, these can be individual or team competitions, for example: • Safety logo design competition • Safety poster design competition • Problem solving competitions • Best article on safety, with the winning article to be published in a prominent magazine or newspaper 98 Safety Management Systems for Airports Care should be exercised in developing incentive programs that focus on lowering accident or incident statistics, because this can lead to underreporting.
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From page 99... ...
Communication and Marketing Some communication and marketing initiatives can be aimed specifically at integrating safety culture across the entire organization. As with the other initiatives previously mentioned, the following examples need to be adjusted to fit the size and characteristics of each airport.
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For example, the following indicators, when normalized against a reasonable timeframe, could be considered positive safety culture integrators: • Number of incidents • Percentage of incidents considered serious (over the last month, for example) • Number of employee suggestions that have resulted in concrete safety improvements • Number of outstanding safety action items • Percent of strategic safety activities completed (in the current year)
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From page 101... ...
Partnering It is essential to the success of airport planning as well as to its SMS to establish the philosophy and practice of continuously involving and consulting with the airport stakeholders. Without proper and regular consultation with the FAA, airport tenants, and service providers, airport plans may be flawed.
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From page 102... ...
It should be a two-way process, with feedback from lower levels going all the way to the top. Discussion topics may include any safety-related subject, for example: • The airport's vision, mission, values, and principles • SMS processes • Continuous improvement actions • SOP • Safety objectives and performance indicators • Specific safety issues and lessons learned • Safety promotion Cascading involves each manager sitting down with his/her immediate team for a series of meetings.
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SMS Operation 103 Cascading meetings are most effective for organizations like large hubs. Smaller airports will benefit little from this technique; however, they should still hold meetings to discuss their safety issues.
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Cascading meetings are not always effective. Some of the reasons include the following: • Managers may resist holding the meetings • The issues are poorly delivered and lack effectiveness • Understanding of the issues is not consistent • Feedback process is sanitized • Effectiveness of the process is not evaluated Possible means for safety reporting include the following: • Hardcopy forms and drop-boxes available at various airport locations • An intranet and/or Internet SMS webpage with safety reporting capability • An airport safety phone hotline • Managers and supervisors meetings • Daily briefings, tasking, and debriefings • Intranet/Internet messages 6.4 Safety Reporting With SMS and a strong safety culture to support it, airport employees gain self-confidence to report hazards, incidents, accidents, and errors.
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From page 105... ...
An example of a safety reporting form is depicted in Table 22. SMS Operation 105 Reporting systems are one of the most significant ways of obtaining safety information.
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From page 106... ...
by omitting relevant details. If you do provide your name, it will only be used by the SMS Manager to enhance the understanding of the event with follow-up actions should that be required; and, under no circumstances, will your identity be disclosed to any person or organization without your express permission.
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From page 107... ...
. An accident investigation SMS Operation 107 SAFETY REPORT PROCESSING FORM (To be completed by SMS Manager)
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From page 108... ...
However, you do not need to provide this training to all staff within the organization; you might want to focus on training lead investigators first, for example. Section 6.6 provides additional information on internal safety investigations.
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From page 109... ...
SMS Operation 109 Management Safety Policy & Decisions, Personal Factors, Standard Procedure, Environmental Factors Unsafe Condition Unplanned Release of Energy and/or Hazardous Material ACCIDENT Personal Injury Property Damage Unsafe Act ROOT CAUSES INDIRECT CAUSES (SYMPTOMS) DIRECT CAUSES Figure 15.
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From page 110... ...
Some of the direct and indirect causes of an accident are due to failures within a management system. Questions concerning safety policy and procedures, inspection schedules, employee supervision and training should be addressed.
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From page 111... ...
It can be seen clearly that this technique will allow for multiple root causes, ranging from mechanical to human and organizational factors. "5 Whys" The following is a simple example of the questioning technique used in the "5 Whys." In this example, depicted in Figure 18, a driver that was hired by a contractor to conduct a construction job on the airside failed to follow the directions from the escort vehicle.
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Management should address all recommendations from accident and incident reports by updating safety policy and procedures if necessary. 112 Safety Management Systems for Airports
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The arrow indicates the priority that should be adopted for these actions. 6.6 SMS and Internal Safety Assessments Continuous improvement is one of the core concepts addressed by an SMS.
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From page 114... ...
The SMS self-assessment process also offers a unique mechanism that "checks and balances" the SMS to ensure that its pillars and elements are working effectively. Internal safety assessments help evaluate how effectively individual units of the airport (e.g., maintenance, ARFF, dispatch)
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Safety assessments normally focus on areas that are most deficient; however, every airport unit should be assessed regularly (e.g., every other year)
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From page 116... ...
SMS and safety assessments are no different. The following are some of the key principles that need to be observed when performing an SMS or an internal safety assessment.
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If improvements are necessary, the assessment team will provide recommendations. Table 24.
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From page 118... ...
Frequency The frequency and scheduling of SMS and internal safety assessments should be related to the risks identified with specific activities or functional departments and the results of previous assessments. In general, such assessments are performed annually or biannually.
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From page 119... ...
A checklist to assess the ARFF unit is different from the one used for maintenance or an airport tenant. SMS Operation 119 Pre-Assessment Tasks On-site Assessment Tasks Post-Assessment Tasks Define assesssment tool to be utilized Entry Meeting Measure observations Define assessment scope Site Tour Conduct interviews Develop assessment plan On-site document review Request and review the airport's documentation Record observations Prepare assessment report Exit Meeting Select the assessment team Data collection Figure 19.
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From page 120... ...
Develop Assessment Plan The assessment plan is the master document that will lay out the activities, requirements, and details of the assessment process. It should include the following at a minimum: • An introduction defining the purpose and the scope of the assessment • Tentative dates and locations of the assessment • A description of the assessment methodology and approach • A detailed schedule of planned activities • Members of the team, including their roles and responsibilities • Logistic requirements This plan should be developed and presented to those being assessed in advance of the assessment itself.
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From page 121... ...
assessment, to familiarize the team with the operations and the organizational structure of the unit or department and assist in selecting key people to interview. The following are some examples of typical documents that would be helpful to review: • SMS policy statement • Certificates/permits/approvals • Hazard identification records • Procedures and practices • Past assessment/incident reports • SMS documentation such as the SMS Manual, hazard log, accident investigations • Organization charts • Performance indicators and trend analysis • Training records (for internal safety assessments only)
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122 Safety Management Systems for Airports The assessment team members should be encouraged to review and organize their notes as soon as possible after completing an interview or site visit. It is easy to lose track of insights and observations after only a few days.
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• Details of observations • Results of the assessment • Recommendations for corrective actions • A list of documents reviewed The final assessment report usually is prepared by the team leader, with input from the assessment team. SMS Assessments SMS Assessment Tables SMS assessments are similar to the gap analysis process, in that they both examine and evaluate the SMS elements.
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From page 124... ...
. The tables shown in Annex A are organized as follows: • The first column contains SMS expectations • The second column is for describing the references -- the source of observations or information collected during the document review or interviews • The third column is for the score assigned to each expectation -- the scoring methodology is described in the following SMS Scoring Methodology section • The fourth column is for the observations/information collected by the assessment team that justify the assigned score References During the assessment, team members should collect as much information as possible to use as references to support their observations, including the name, position, and department of the person being interviewed; the observation location and time; and the document title, publication date, and reference number.
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From page 125... ...
Internal Safety Assessments SMS is a systematic approach to managing safety risks within an organization. SMS achieves this objective by establishing a series of processes and procedures that, once developed and implemented, will help an organization identify and address potential risks in relevant areas.
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From page 126... ...
They differ greatly depending on the size and type of operation. Their risks and "safety status" or "safety health" will also vary depending on things such as their safety culture, level of maturity of the SMS, organizational structure, and management style; however, there are common functional areas that should be targeted during an internal safety assessment.
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• Do personnel perform regular housekeeping inspections? Airport Tenants and Contractors This area deals with airport tenants and contractors and their effect on airport safety.
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This is an example of the interface between occupational safety and health, assets, and people. • Do the procedures that they use apply to all weather conditions?
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. SMS Operation 129 If the airport wants to measure the level of safety at the ramp, a simple safety performance indicator in this case may be the number of accidents that have occurred on the ramp in any given month.
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. 130 Safety Management Systems for Airports Some representative performance indicators can be as follows: • Number of airside vehicle operation infractions per month • Number of FOD reports • Number of bird strikes • Number of runway incursions • Percentage of employees with basic SMS training Collecting information on the number of violations should be done carefully to avoid bias.
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From page 131... ...
Gathering Data After the airport safety objectives and goals are set, it is necessary to define the safety performance indicators that will be used to measure performance and check if the objectives are being met. Trend analysis is based on quantitative information collected for these performance indicators (e.g., number of incidents at the ramp, number of bird strikes)
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From page 132... ...
. Trends for Safety Performance Indicators 29 32 16 11 8 5 17 12 5 7 10 11 0 5 10 15 20 25 30 35 2003 2004 2005 2006 2007 2008 Year N um be r o f O cc ur re nc es Ramp Accidents Bird Strikes Measuring Trends There are two methods to determine trends: visual and statistical.
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From page 133... ...
. Root Causes of Runway Incursions by Vehicle Drivers in 2007 0 1 2 3 4 5 6 7 8 9 Operation of emergency/snow removal vehicles Unfamiliarity with airport (contractor)
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Figure 23. Bird strikes trend using a 12-month moving average.
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Trend Analysis Reports As a minimum, the following information should be reported for each trend analysis: • Display plots of the observed data over time • Comments in narrative form on the stability of the rates and approaches used to improve it • Report average percent change for periods when the rate is fairly constant • Interpret in narrative form the trend and how it relates to achieving the safety objectives of the airport SMS Operation 135 Number of Job-Related Injuries 0 1 2 3 4 5 6 7 8 9 1 2 3 4 5 6 7 8 9 Month N um be r O f A cc id en ts Figure 24. Trend for job-related injuries at the ramp.
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Causes could be related to the increase in operations, or to the frequency of low visibility conditions, or to both factors. 6.8 Safety Training and Education Your airport needs to establish and provide a training program to staff to maintain excellent safety levels.
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job-specific training • Recurrent safety training • Indoctrination and initial training incorporating SMS • Training that includes human factors and organizational factors Currently, training programs are administered by individual airports and safety training is focused on 14 CFR Part 139 requirements, which at this point does not address SMS. This section of the guidebook describes a systemic approach to safety training and suggests four levels of safety and SMS training programs to cover the needs of different staff levels and SMS functions in the airport organization.
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From page 138... ...
138 Safety Management Systems for Airports Needs Analysis Design Training Develop Training Instruction Program Evaluation Review Training Identify tasks associated with each job Determine knowledge and skills required to safely perform tasks Define delivery method Define training objectives Design test items and methods Define training sequence Develop lesson plans Prepare training materials Identify resources: instructors, training facilities, equip., etc. Prepare instructors Schedule and deliver training Test participants Perform evaluation Identify needs for improvement D oc um en ta tio n Safety risk management and safety reviews D oc um en ta tio n Figure 27.
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From page 139... ...
SMS Operation 139 Item Description Prerequisites: None Duration: 30 min to 1 hour Schedule: Offered regularly, as required Intended for: All new airport employees and personnel from other organizations authorized to operate at the airport Topics: Safety policy and objectives, safety roles and responsibilities, how to report safety issues, familiarization with airport areas, rules and regulations, communication procedures, and general emergency procedures Testing: Quiz at the end of the session (pass/fail) Item Description Prerequisites: SMS indoctrination Duration: As required Location: On-the-job training (office, field, etc.)
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From page 140... ...
In addition to these four types of safety training, individuals who require key safety skills will need to receive up-to-date refresher training. The frequency should vary according to the degree of the risk, the use of the skills, the rate at which skills can be forgotten, and when any significant 140 Safety Management Systems for Airports Item Description Prerequisites: SMS indoctrination Duration: 1 ½ day Schedule: Offered as required Intended for: Managers and Supervisors Topics: SMS legal requirements and regulations; SMS roles and safety responsibilities; procedures for setting policies, objectives and goals; establishing safety performance indicators; safety communication; demonstration of commitment to the airport safety policy; developing SOPs; cascading meeting; how to manage safety risks including hazard identification, risk assessment, prioritization and treatment; management of change; safety culture and promotion; and continuous improvement.
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From page 141... ...
This may include the following: • Training completed before joining the airport organization • Training completed during the employment phase • Further training programmed or considered desirable Documentary evidence such as copies of training certificates, college certificates, and the like may be attached or referred to in the training record or maintained in a personnel file. SMS Operation 141 At small airports, a formal systemic approach to training is not feasible and the process should be simplified.
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