1 2011 ACI-North America Insurance &. Risk management Conference January 13, 2011. Federal Aviation Administration (FAA). Safety management Systems (SMS). What Lies Ahead for Airports? Paul Esposito, p , ESIS. Ginga Griffin, ESIS. 2011 ESIS , Inc. All Rights Reserved. Any opinions or positions expressed in this presentation are the presenter's own and are not necessarily those of any ACE company. Experience Ginga Griffin Provided insurance/liability-based risk reduction surveys and reports for more than 200 airports over the last 11 years Ri k management Risk g t consultant lt t Best practice sharing Paul Esposito Over 20 years of assessment and implementation support to industry and government agencies Consultant in developing leading metrics, best practices, and Safety culture P ti i t iin each Participates h FAA SMS pilot il t 2.
2 2011 ESIS , Inc. All Rights Reserved. ESIS Role FAA SMS Pilots Integral g partner p in all aspects p of FAA pilots p & studies Phase I Implementation Study Gap analysis Risk assessment Risk assessment Perception survey SMS manual Gap analysis Risk management g Database evaluation and Perception survey development Phase II. G analysis Gap l i SMS manual SMS plan Perception survey 3. 2011 ESIS , Inc. All Rights Reserved. Our Objectives What is the current status of the FAA SMS? What are some airports doing as next steps? What tools are available? 4. 2011 ESIS , Inc. All Rights Reserved. Current Status of the FAA SMS. 2011 ESIS , Inc. All Rights Reserved. FAA SMS History AC (Advisory Circular) 150/5200-37, Intro to SMS for Airport Operators.
3 2007. ACRP (Airport Cooperative Research Program), SMS Overview, 2007. j FAA Pilot Project, 2008. FAA Proof of Concept Study, 2008. FAA Pilot Project II, 2008. ACRP SMS Guidebook, 2009. ICAO (International Civil Aviation Organization) Safety management Manual, Doc 9859,, 2009. FAA Follow-On Implementation Study, 10/11/09. FAA ARP (Office of Airports) Internal SMS Order ( ), 8/30/10. NPRM (Notice of Proposed Rule Making), 10/10. 6. 2011 ESIS , Inc. All Rights Reserved. 14 Code of Federal Regulations (CFR) Part 139, Certification of Airports 7. 2011 ESIS , Inc. All Rights Reserved. FAA SMS Fundamentals Safety Safety Risk Safety Assurance Safety Promotion Policy management Policy Requirements Inspections Training &.
4 Objectives Hazard Reporting Systems Education Responsibility & Identification non-punitive Design & Delivery Authority Hazard Analysis Tracking Systems Competency Accountability Risk Assessment Safety Performance Lessons Learned Resources Risk management Indicators & Metrics Recognition/. Top M. T Managementt I. Investigations ti ti Trend Analysis Encouragement Support Integration of Documentation Preventive Maintenance Committees Emergency g y Preparedness Integration SMS Evaluation Processes Culture Culture System 2011 ESIS , Inc. All Rights Reserved. What Some Airports p Are Doingg 2011 ESIS , Inc. All Rights Reserved. Major Decision Points How much of the airport activities do you want to cover?
5 AOA vs. total activities GA tenants GA, tenants, and . and Organization Operations p lead? Timetable? Committees? Resources In-house or consultants, advisors, scope of delegation Prioritization and staging (phases). Corrective actions and implementation SMS IImplementation l t ti Plan Pl 10. 2011 ESIS , Inc. All Rights Reserved. Risk Assessment Matrix Figure 3-1, Predictive Risk Matrix 11. SMS Advisory Circular (AC 150-5200-37). February 28, 2007 2011 ESIS , Inc. All Rights Reserved. Defense in Depth Layers of Protection & Hierarchy of Controls The circles represent holes or potential failures in a control. With multiple layers of protection, what is the chance of each layer failing at the same time?
6 The more severe the potential hazard hazard, the more layers of protection you may need. need SMS risk management is more than a one one--time assessment! 12. 2011 ESIS , Inc. All Rights Reserved. Develop & Manage SMS Metrics Leading and Lagging Metrics Each metric is measured, trended, & compared to a target or expectation For example, p , from the inspection p process: p Frequency Inspections on schedule? Failure From Risk Any failures or non-conformance? Assessments In particular, high risk controls? Trends Any recurring trends? Closure Are corrections tracked fully? Q lit Quality Are inspectors' findings proper? 13. 2011 ESIS , Inc. All Rights Reserved. SMS Dashboard Sample Part 139.
7 Trends CA Closure Critical Controls Equipment Controls 14. 2011 ESIS , Inc. All Rights Reserved. Available Tools 2011 ESIS , Inc. All Rights Reserved. ACE/ESIS SMS Products & Services ESIS has years of SMS experience, practiced tools, andd iimplementation l t ti strategies t t i tto hhelp l airports. i t Gap analysis Snap-Gap Snap Gap analysis Implementation plan SMS risk assessments SMS plan manual Perception/culture surveys E-risk (database software) and data collection Dashboards Annual audits 16. 2011 ESIS , Inc. All Rights Reserved. Additional Tools FAA SMS. ystems/. Pilot working group SharePoint (password required). p // p / p 17. 2011 ESIS , Inc. All Rights Reserved.
8 Anyy Questions? ESIS Health, Safety & Environmental Services 2011 ESIS , Inc. All Rights Reserved.