Federal AviationAdministrationFederal AviationAdministration

By: Ken JacobsFAA Airport Planning and Environmental DivisionAPP-400

Date: March 2, 2011

FAA Safety Management Systems

SMS and the Airport SMS and the Airport Planning and Planning and

Development ProcessDevelopment Process

34th Annual Airports Conference

Hershey, PA

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The Bottom Line…The Bottom Line…

We Must Do SMS To Improve Safety

SMS Will Be Applied To Our Decisions Involving Airport Planning And Development Projects

(FAA Airports– ARP)

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Airport Planning and DevelopmentAirport Planning and Development

Master

Planning

Design

Alternatives

Selection

Airport

Layout

Plan

Environmental

Decisions

Funding

Construction

Operation!!

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Airport Planning and DevelopmentAirport Planning and Development

Master

Planning

Design

Alternatives

Selection

Airport

Layout

Plan

Environmental

Decisions

Funding

Construction

Operation!!

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Airport Infrastructure and OperationsAirport Infrastructure and Operations• Infrastructure and Operations

– Infrastructure can (almost) always be operated in a safe manner

– Therefore, system operations ultimately determine system safety

• SMS balances production goals with safety goals– Therefore, airport infrastructure must provide for a safe operation while

satisfying aeronautical demand

– Airport productivity to meet aeronautical demand can be measured in terms of system capacity, efficiency and utility

• Infrastructure– Provided (primarily) by the Airport– Approved and funded through AIP and PFC

• Operations– Provided by…– Flight Operations: Air Traffic (ATO), Flight Standards, etc

– Airport Operations: Airport

– Aircraft Operations: Pilot

Airport Planning and Development

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Jeopardy Category: Aviation SafetyJeopardy Category: Aviation Safety

Answer: Safety Management Systems

“How do we prevent accidents and disruptions that have never happened

before?” Ken Jacobs, 2011

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Why Do We Need To Do SMS?Why Do We Need To Do SMS?

James Reason's Swiss cheese model of defenses. Reprinted from the BMJ [71] (copyright 2000) with permission from the BMJ Publishing Group Ltd.

Controls

Controls prevent hazards from causing an unacceptable loss

• Equipment (aircraft, etc)

• Pilots

• Airport Operators

• Airport Standards

• Rules, Directives

• Notices

• Procedures, etc., etc.

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Another Reason Why…Another Reason Why…

• FAA Order 8000.369 requires ARP to:– Develop SMS requirement for regulated parties (Part 139

certificated airports)

– Integrate SMS concepts throughout the ARP organization

– Coordinate safety risk management with airports

• FAA’s efforts will also harmonize with international standards and recommended practices– ICAO State Safety Program for ‘state’ aviation

organization

– ICAO Annex 14 (SMS for certificated airports)

the ARP

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SMS ComponentsSMS Components• Safety Policy

– Commitment to continually improve safety

– Defines methods, processes and organizational structure

• Safety Risk Management– Safety-related decisions

– Assesses hazards, risks and controls

• Safety Assurance– Evaluates safety performance

• Safety Promotion– Promotes safety culture

Feedback

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

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Two ARP SMS InitiativesTwo ARP SMS Initiatives

• SMS for Airports we regulate under 14 CFR Part 139, Certification of Airports – Oversight as regulator

– Notice of Proposed Rulemaking

– External SMS

• SMS for FAA airport planning and development services, including airport standards and airport project review, coordination, and approval. – Product/service provider in partnership with airport sponsors

– Implement through internal FAA Order (5200.11) and Implementation Guidance (Draft: 1/31/2011)

– Internal SMS

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Two ARP SMS InitiativesTwo ARP SMS Initiatives

Airports Regulated under Part 139 – NPRM

– A complete SMS:• Safety Policy

• Safety Risk Management (SRM)

• Safety Assurance

• Safety Promotion

– SMS Manual

– Focus on Airport Operations

ARP Planning and Development Services– An FAA Requirement– Safety Risk Management

Only (for Airport Sponsors)

– FAA airport planning and development approvals

• Airport Layout Plans

• Construction Safety and Phasing Plans

• Modification of Standards

• Part 150 noise compatibility programs

– All airports by 2014

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Safety Risk Management (SRM)Safety Risk Management (SRM)

Mitigate RisksMitigate RisksIdentify actions, controls, or other measures to reduce the likelihood of consequences associated with a hazard. Reduce the predicted risk level to medium or low.

Assess RisksAssess Risks Severity and likelihood are used to determine associated risk using predictive risk matrix.

Analyze RisksAnalyze RisksFor each hazard, identify the worst case outcomes that are responsible or credible within the operational lifetime of the system. Determine consequences; likelihood and severity.

Identify Hazards

Identify Hazards

Identify any condition or situation that could create adverse safety consequences for the airport, users, and surrounding community. Include operational, personnel, organizational, and environmental factors.

Describe System

Describe System

Identify all related systems and include operational, procedural, organizational, and environmental factors as well as physical characteristics.

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Safety Assessments: The ProcessSafety Assessments: The Process

• Initiate Safety Assessment Screen form (SAS)

• Develop Project Proposal Summary

• Stakeholder review and refinements

• SRM panel preparations

• SRM panel meeting

• Final SAS signatures with supporting documentationThe objective is to decide on the need for an SRM panel as soon as possible. If needed, begin planning for the panel immediately.

The objective is to decide on the need for an SRM panel as soon as possible. If needed, begin planning for the panel immediately.

SRM is best performed through a meeting with subject matter experts representing various stakeholders with safety and operational responsibilities.

SRM is best performed through a meeting with subject matter experts representing various stakeholders with safety and operational responsibilities.

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• Initial screening (SAS form)– FAA Project Manager

• SRM Panel Member Certification– Fully considered hazards and mitigation– Not an agreement with findings (risks)– Dissenting opinions are included in the final report

• Airport Sponsor– Acknowledges hazards– Certifies obligations and mitigation requirements

• FAA Approval– Approves processes and procedures, including mitigations to

ensure an acceptable level of safety

Safety Assessments: The SignaturesSafety Assessments: The Signatures

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Project Proposal SummaryProject Proposal Summary

A clear, concise description of the airport and proposed change

Used by stakeholders and panel members (if needed) to quickly understand relevant safety and operational factors

Includes:– Physical Description– Operational Characteristics– Proposed Changes

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Project Proposal SummaryProject Proposal Summary

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SMS Implementation: Guidance (Internal)SMS Implementation: Guidance (Internal)

• FAA Order 5200.11, FAA Airports Safety Management System, signed August 30, 2010– ARP SMS requirements

• FAA Office of Airports Safety Management System Implementation Guide– How-to guide

– Draft for internal review. Comments Feb 28

– Draft for industry outreach/review: March 2011

– Finalize internal SMS guidance in April 2011

• SMS requirements will be added to applicable Advisory Circulars as they are updated over time

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Jeopardy Category: Safety EdiblesJeopardy Category: Safety Edibles

Answer: A model describing how controls can prevent hazards from becoming in a loss (or accident)

“What is Swiss Cheese”

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Jeopardy Category: Planning & DevelopmentJeopardy Category: Planning & Development

Answer: The only component of SMS required for FAA to approve airport planning and development projects

“What is Safety Risk Management”

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Jeopardy Category: Airport RegulationsJeopardy Category: Airport Regulations

Answer: The regulation that requires airports to develop a Safety

Management System Manual

“What is (14 CFR) Part 139”

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FAA Airports (ARP) SMSFAA Airports (ARP) SMS

Let Use Hear From You!Let Use Hear From You!