Safety Management System (SMS)

Presented to: 2012 Pacific Aviation Director’s Workshop, Guam

By: Juan S.A. Reyes, A.C.E., ACSI

Date: March 13-15, 2012

Federal AviationAdministrationSafety Management

System (SMS)

Honolulu Airports District Office

2Federal AviationAdministration

Safety Management SystemMarch 13-15, 2012

Safety Management System (SMS) at Airports

The SMS for Certificated Airports Notice of Proposed

Rulemaking (NPRM) was issued on October 7, 2010.

This action would require each certificate holder to

establish a Safety Management System (SMS) for its

Entire airfield environment (including movement and

non-movement areas) to improve safety at airports

hosting air carrier operations.







Advisory Circular (AC) 150/5200-37,

Introduction to Safety Management Systems

for Airport Operators.

This AC provides an introduction to SMS and

general guidelines for an airport SMS.

While compliance withthis AC is voluntary,

numerous airports haveused it in implementing their

SMS.



The Final Rule has yet to be determined

As the FAA continues to consider :

All public and industry comments The experiences of airports that have already implemented an SMS The benefits and costs of the rule so we can tailor it to impose the

minimum burden and costs needed for an effective program Whether the requirement should apply to all certificated airports or

only to airports above a certain activity level For airports subject to an SMS requirement, how various elements of

SMS might apply to airports of different sizes and resources Existing Part 139 requirements so we can avoid duplication The level of FAA oversight needed for individual SMS plans SMS training needs for FAA employees and airport operators and

staff



We have already introduced SMS to airports

in several ways:

External SMS Efforts – Part 139 Rulemaking – Airport SMS Pilot Studies – Additional Guidance on SMS at Airports

Internal SMS Efforts — FAA SMS and Safety Risk Management in Airport Projects



SMS Overview

SMS is a formalized approach to managing

safety by developing an organization-wide

safety policy, developing formal methods of

identifying hazards, analyzing and mitigating

risk, developing methods for ensuring

continuous safety improvement, and creating

organization-wide safety promotion

strategies.



The FAA has already taken a number of actions to help introduce SMS to U.S. airports,including developing an SMS advisory circular , sponsoring the development of additional guidance, and initiating SMS PilotStudies.

If a regulation on SMS is adopted the FAA will update the SMS Advisory Circular and issue additional guidance as necessary for its implementation, including a detailed checklist and

possibly a model SMS plan document.



SMS Elements

• Safety Policy and Objectives

• Safety Risk Management

• Safety Assurance

• Safety Promotion.



Safety Policy and Objectives

Policy provides the foundation or framework

for the SMS. It outlines the methods and tools

for achieving desired safety outcomes. Safety

Policy also details management's

responsibility and accountability for

safety.



Safety Risk Management

As a core activity of

SMS, SRM uses a set of

standard processes to

proactively identify

hazards, analyze and

assess potential risks,

and design appropriate

risk mitigation

strategies.



Safety Assurance

Safety Assurance is a set of processes that monitor the organization's performance in meeting its current safety standards and objectives as well as contribute to continuous safety improvement. Safety Assurance processes include information acquisition, analysis, system assessment, and development of preventive or corrective actions for nonconformance



Safety Promotion

Safety Promotion includes processes and procedures used to create an environment where safety objectives can be achieved. Safety promotion is essential to create an organization's positive safety culture. Safety culture is characterized by knowledge and understanding of an organization's SMS, effective communications, competency in job responsibilities, ongoing training, and information sharing.



FAA SMS Studies

The FAA initiated a number of collaborative

efforts studying SMS application at U.S.

certificated airports. These efforts included

developing advisory guidance, researching

airport SMS recommended practices, and

conducting airport pilot studies.



FAA SMS Studies

Back in April 2007, the FAA conducted a pilot

study to evaluate SMS development at

certificated airports of varying size and

complexity. The study also compared current

part 139 requirements and SMS requirements.



FAA SMS Studies

The first round of

pilot studies

included over 20

airports. The FAA

later established a

second round of pilot

studies on development

at smaller airports.



The FAA has determined that an SMS

requirement would improve safety at part 139

certificated airports. The FAA reached this

conclusion based on detailed study of ICAO's

Annex 14 requirements, review of NTSB's

recommendations, and the airport SMS pilot

studies.



With the expected growth in air

transportation, we will need to make greater

efforts and adopt new measures to continue

improving aviation safety. The use of

Safety Management Systems (SMS) at airports

can contribute to this effort by helping

airports detect and correct safety problems

before they result in aircraft accidents or

incidents.



The FAA supports harmonization of international standards, and has worked to make U.S. aviation safety regulations consistent with ICAO standards and recommended practices. The agency intends to implement the use of SMS at U.S. airportsto meet the intent of the ICAO standard in a way that complements existing airport safetyregulations in 14 CFR Part 139.



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Safety Management System (SMS)