safety management systems gap analysis survey for u.s. airports hamid shirazi richard speir manuel...
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SAFETY MANAGEMENT SYSTEMS GAP ANALYSIS SURVEY FOR U.S. AIRPORTS
Hamid Shirazi
Richard Speir
Manuel Ayres
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OUTLINE
Background Project Objective Safety Management Systems Pillars and Elements of SMS Airport Survey and Questionnaire Survey Responses and Results Interview Surveys and Findings
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BACKGROUND Close to 80% of aircraft accidents occur at or in the
vicinity of the airport; $2-4 billion per year in ramp accidents; $3 billion per year in birdstrikes
ICAO has mandated SMS for international airports since 2005
FAA has implemented 2 pilot SMS programs and is getting ready to release an NPRM on airport SMS
Survey was part of ACRP 4-05 project: Guidebook for Airport Safety Management System
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ACRP Report 1 – Vol 2: Guidebook
Guidebook for planning and implementation of Airport Safety Management Systems (ASMS) applicable to Part 139 airports
Objective, simple to understand and practical reference to help airport operators develop and implement their SMS.
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SAFETY MANAGEMENT SYSTEMS FAA AC 150/5200-37:
“A formal, top-down business-like approach to managing safety risk which includes systematic procedures, practices, and policies for the management of the safety.”
SMS is a tool to translate an organization’s concerns about safety into effective actions to mitigate hazards.
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PILLARS and ELEMENTS of SMS
Policies & Objectives• Policy Statement• Safety Objectives• SMS Organization• Documentation• Coordination of Emergency Planning
Policies & Objectives• Policy Statement• Safety Objectives• SMS Organization• Documentation• Coordination of Emergency Planning
Safety Risk Management• SRM Process• Reporting System• Internal Safety Investigation• Improving SOPs• Impact of Changes
Safety Risk Management• SRM Process• Reporting System• Internal Safety Investigation• Improving SOPs• Impact of Changes
Safety Assurance• Performance Monitoring• SMS Assessment• Internal Safety Assessment• Management Review
Safety Assurance• Performance Monitoring• SMS Assessment• Internal Safety Assessment• Management Review
Safety Promotion• Training and Education• Safety Communication• Continuous Improvement
Safety Promotion• Training and Education• Safety Communication• Continuous Improvement
SMS & Safety Culture Environment
SMS
Policies & Objectives• Policy Statement• Safety Objectives• SMS Organization• Documentation• Coordination of Emergency Planning
Policies & Objectives• Policy Statement• Safety Objectives• SMS Organization• Documentation• Coordination of Emergency Planning
Safety Risk Management• SRM Process• Reporting System• Internal Safety Investigation• Improving SOPs• Impact of Changes
Safety Risk Management• SRM Process• Reporting System• Internal Safety Investigation• Improving SOPs• Impact of Changes
Safety Assurance• Performance Monitoring• SMS Assessment• Internal Safety Assessment• Management Review
Safety Assurance• Performance Monitoring• SMS Assessment• Internal Safety Assessment• Management Review
Safety Promotion• Training and Education• Safety Communication• Continuous Improvement
Safety Promotion• Training and Education• Safety Communication• Continuous Improvement
SMS & Safety Culture Environment
SMS
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ACRP 4-05 – Airport Survey Task Assessed how airports deal with safety issues and
identified SMS elements that are in place Prepared a questionnaire and conducted an airport
survey with Part 139 airports Complemented survey with interview with airports
participating in 1st Pilot Program on SMS Obtained responses, prepared a statistical summary
and conducted a general Gap Analysis Gap Analysis: identification of existing safety pillars
compared with SMS program needs
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AIRPORT SURVEY Task
Survey comprised 50 questions Web-based Hard copies
Questionnaire submitted to more than 550 Part 139 airports
Intent was to solicit ample responses from a cross section of airport types and various airport staff positions within each organization
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Sample Questions from SurveyMy Airport’s policy clearly addresses management’s approach to airside safety. 1 2 3 4 5 N/A
There is a standard process to identify airside safety hazards and evaluate the risks. 1 2 3 4 5 N/A
Safety Risk Management
Safety Policy and Objectives
Historical and current airside safety trends are routinely shared with all staff. 1 2 3 4 5 N/A
Safety Assurance
My co-workers are involved in activities that promote airside safety. 1 2 3 4 5 N/A
Safety Promotion
Emergency response exercises are conducted and reviewed periodically. 1 2 3 4 5 N/A
Emergency Response Plan
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SURVEY RESPONSES 101 valid surveys in 2 months
about 20% of Part 139 certified airports
37 states were represented
88% of responders were in Airport Operations 44% were upper management (VP or Director) 41% were middle managers (Deputy or Manager)
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Airport Responses: Hub Type
Large Medium Small Other0%
10%
20%
30%
40%
50%
60%
50% 49%
17% 15%
Airport Category
Air
po
rt R
esp
on
ses
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Airport Responses: Class Category
Class I Class II Class III Class IV0
10
20
30
40
50
60
70
80 74
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3
12
Airport Category
Air
po
rt R
esp
on
ses
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Airport Responses: FAA Regions
Alaska
Northw
est Mounta
in
Weste
rn P
acific
Gre
at Lakes
Central
Southw
est
Southern
Eastern
New E
ngland
0%
5%
10%
15%
20%
25%
30%
0%
17%14%
21%
27%
21%23%
12%
8%
FAA REGION
% R
ES
PO
ND
ING
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Surveys Analysis Average of scores for safety pillars were
obtained based on their elements Results from airports were grouped based on
airport sizeHub airports: Large, Medium and SmallNon-hub airports (other): GA, reliever
Results from airports were grouped based on airport classClass I to Class IV
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Average Scores by SMS Pillars
4.07 4.06
3.87
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4.53
3.4
3.6
3.8
4
4.2
4.4
4.6
Policy andObjectives
RiskManagement
Assurance Promotion EmergencyResponse
Category
Ave
rag
e S
core
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Findings from Surveys- SMS Pillars Safety assurance an area with good room for improvement
Surprisingly, overall higher scores for safety risk management
Not as strongly effective safety communication between departments of hub airports as compared with non-hub airports
Lower scores for effectiveness of training
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Little feedback from reports, suggestions and concerns on airside safety
Comparably lower scores for airport classes II and III on lessons learned from safety reviews and investigations
Lower scores for airport workers following safe work rules, safety policies, and procedures for classes II and IV airports
Lower than average responses for existence of updated training materials for Class II airports
Findings from Surveys- SMS Pillars
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Safety Culture Index
Safety Leader-ship & Com-
mitment
Employee Involvement & Ownership
Safety Com-munication &
Feedback
Safety Training Safety Attitude & Motivation
3.7
3.8
3.9
4
4.1
4.2
4.14
4.03
3.9
4.064.09
Key Safety Culture Indicator
Av
era
ge
Sc
ore
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Second Survey – Interview w/ Pilot Program Participants
In 2007, the FAA created an Airport SMS Pilot Study that included 22 volunteer airports.
Our Team interviewed 15 airports to identify: SMS gaps unique solutions variations on their SMS organizational structure risk criteria and type of risk matrix main difficulties
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Second Survey – Interview w/ Pilot Program Operators
Many have a safety policy; however, it may not be a formal policy or does not contain the SMS elements
No systematic Safety Risk Management process in-place
No non-punitive or confidential hazard reporting systems
Some have a few safety performance indicators; however, they do not cover the spectrum of airport safety concerns
Little trend analysis to help identify weaknesses associated with safety.
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Findings from Interview SurveysExamples of Existing Resources How to Use It in Your SMS
Intranet and/or an internet website
SMS webpage for reporting hazards and
other safety issues
Newsletter specific section on safety
Regular meetings with managers and airport
stakeholderssafety as a mandatory agenda
Daily self-inspections of the airside areas
Extend to landside and terminal, and introduce processes to pass the information to the SMS
Manager
Control of documents and records
Implement them as applicable to SMS
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Findings from Interviews Surveys
Safety committees
Existing safety objectives
Airports comply with OSHA regulations
Make them part of SMS organizational structure
maintain and extend
adapt and use OSHA elements for Airport SMS
Examples of Existing Resources How to Use It in Your SMS
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QUESTIONS?