Federal Aviation

SMS Training – Administration

Who, How, & When?

FAA Update

Presented to: ACI-NA/AAAE Airport SMS Workshop

By: Keri Lyons, FAA Airport Safety and
Operations

Date: Wednesday, August 9, 2017

Roadmap

• Pilot Study Airports

• SNPRM Proposal

• General Thoughts

Federal Aviation 2
Administration
Pilot Study Airports

• Implementation Study

• Information from continuous

implementation

Federal Aviation 3
Administration
SNPRM Proposal
• 2 Prong-approach
– SMS-specific training
– Awareness Orientation

• SMS-specific training
– Given to smaller number of airport employees who have
direct responsibility for implementing the SMS

• Awareness Orientation
– Given to all other individuals with access to the
movement and non-movement areas of the airport

Federal Aviation 4
Administration
General Thoughts

• Scale training like you scale the SMS

• Back to basics
– Add on concepts/complexity through recurrent
training

• OSH training versus SMS-specific training

Federal Aviation 5
Administration
SMS TRAINING—WHO, HOW, WHEN
Airport Safety Management Systems Workshop
Minneapolis, Minnesota | August 8-9, 2017

Special Thanks Our Host:

Airport Safety Management Systems Workshop

August 8-9, 2017
 Roger Studenski,
Manager, Risk and Safety

Jacksonville Aviation Authority

Airport Safety Management Systems Workshop

2 August 8-9, 2017
 Who?

General airport employees will receive

annual refresher training on SMS basics

Those who participate on a SRA panel

will receive SRA training

Airport Safety Management Systems Workshop

3 August 8-9, 2017
 How?

SMS basics training being conducted by

CBT

SRA training will be conducted in a

classroom environment

Airport Safety Management Systems Workshop

4 August 8-9, 2017
 When?

Initial and refresher training will be

conducted annually

Airport Safety Management Systems Workshop

5 August 8-9, 2017
 SRA Training

High quality training is needed

SRA report quality depends on it

SRA facilitator should be well versed on

SMS and the SRA process
Airport Safety Management Systems Workshop
6 August 8-9, 2017
 Airport Safety Management Systems Workshop
7 August 8-9, 2017
 Airport Safety Management Systems Workshop
8 August 8-9, 2017
 SMS TRAINING
WHO, HOW AND WHEN
Airport Safety Management Systems Workshop
Minneapolis, Minnesota | August 8-9, 2017

John Chase
Special Thanks Our Host:
Airport Safety/SMS, Manager
San Antonio, TX Airport Safety Management Systems Workshop
August 8-9, 2017
 Training and Education

Who? Why? How much?

Operational  To ensure that  Appropriate to the
personnel personnel are individual’s
Managers and trained and involvement in the
supervisors competent to SMS
Senior managers perform the SMS
Accountable duties
executive

Airport Safety Management Systems Workshop

2 August 8-9, 2017
 Training and Education continued
A building block approach
Managers,
Operational
Superintendents & Executive Team
personnel
Supervisors
1) Organization 3) The safety process 8) Organizational
safety policy 4) Hazard safety standards
2) SMS fundamentals identification and and national
and overview risk management regulations
5) The management
of change
6) Human Factors
7) Root Cause
Analysis

Airport Safety Management Systems Workshop

Module 09 - 3
August 8-9, 2017
 SMS Training Plan

Safety Module 10
Phased approach to
Management SMS Implementation
System Module 8 Module 9
SMS Planning SMS Operation

Module 5 Module 6 Module 7

Risks SMS Regulation Introduction to SMS

Module 1 Module 2 Module 3

SMS Course Basic Safety Introduction to Module 4
Safety Hazards
Introduction Concepts Management

Airport Safety Management Systems Workshop

4 August 8-9, 2017
 Module 1 – SMS Course Introduction

 Course goals, concept, contents and structure

 Introduction of Instructors and Participants
 Introduction of the Four elements of SMS
– Safety Policy – Procedures and Organization
– Safety Promotions – change in culture trough training and
communication
– Safety Risk Management – through Risk Mitigation,
Assessment, Identification and tracking
– Safety Assurance – Corrective Action and Audits (Internal
and External)

Airport Safety Management Systems Workshop

5 August 8-9, 2017
 Module 2 – Basic SMS Concepts

 Background on Safety Management Systems (SMS)

for airports
 SMS Organizational Chart
 Concept of safety
 The evolution of safety thinking
 A concept of accident causation – Reason model
 The organizational accident
 Organizational culture
 Safety investigation

Airport Safety Management Systems Workshop

6 August 8-9, 2017
 Module 3 – Introduction to Safety Management

 Need for Safety Management

 Strategies for Safety Management
 The imperative of change
 Safety Management – Eight building blocks
 Four responsibilities for managing safety
 The Management Dilemma

Airport Safety Management Systems Workshop

7 August 8-9, 2017
 Module 4 – Hazard Identification
 Definitions
– Hazard
– Consequence
 First fundamental – Understanding hazards
 Second fundamental – Hazard identification
 Third fundamental – Hazard analysis
 Fourth fundamental – Documentation of hazards

Airport Safety Management Systems Workshop

8
August 8-9, 2017
 Module 5 – Risk

 Definition of risk
 First fundamental – Risk management
 Second fundamental – Risk probability
 Third fundamental – Risk severity
 Fourth fundamental - Risk assessment
 Fifth fundamental – Risk control/mitigation

Airport Safety Management Systems Workshop

9
August 8-9, 2017
 Risk Management Process Overview
6. Continuous Monitor Solutions

Describe New or Identify the Identify the

Modified System, Hazard(s) Hazard Causes
Operation, or Procedure Determine Risk
Analyze Existing
SRM PLAN Severity and
Controls
(Objective) Likelihood
Identify the
Stakeholders of Identify the
the System Consequences

1. Describe the System 2. Identify Hazards 3. Analyze Risk

Prioritize Hazards Rank Hazards

Document
Residual Risk
and Acceptance

Yes
Implement Changes
to the System Is risk
Acceptable?
5. Take Action

No
Define Additional
Risk Control Strategies

Yes
Is Risk
Select / Validate Acceptable?
Risk Control Strategies Implement Risk Control Strategies Verify Risk Control Strategies

No
Airport Safety Management
4. AssessSystems
Risk / TreatWorkshop
Risk
10 August 8-9, 2017
 Module 6 – SMS Regulations

 FAA Safety Program and Safety Management System

requirements
– What is a Safety Program (SP)
– What is a Safety Management System (SMS) Program
 What is SMS regulatory requirements?
– Acceptable level of Safety (ALOS) – Implementation, scope
and legal considerations
 Safety performance of the SAAS SMS program
 Performance-based regulatory environment

Airport Safety Management Systems Workshop

11 August 8-9, 2017
 Module 7 – Introduction to SMS

 SMS – Introductory Concepts

 SMS features
– First fundamental – System description
– Second fundamental – Gap analysis
– Third fundamental – SMS and QMS
 Clarifying terms

Airport Safety Management Systems Workshop

12 August 8-9, 2017
 SMS – Introductory Concept

 A toolbox
– The scope of SMS
encompasses most of the
activities of the organization
– SMS must start from Senior
Management, and safety must
be considered at all levels of
the organization
– SMS aims to make continuous
improvement to the overall
level of safety.
– All SAAS stakeholders have a
role to play in SMS

Airport Safety Management Systems Workshop

13 August 8-9, 2017
 SMS Cycle Description
• Define Scope and objectives
Describe Risk Management
• Define Stakeholders
• Identify criteria and plan for risk management effort include any modeling
the System • Describe system/change (use, environment, & intended function, including future configuration)

Describe
• Identify hazards (what can go wrong) that exist at SAAS:
Identify the System
 Use structured approach
Hazards  Be comprehensive (and do not dismiss hazards prematurely)
 Employ lessons learned and experience supplemented by checklist
Monitor Identify
Solutions
• For each hazard: Hazards
Analyze  Identify existing mitigations/controls
Risk SMS
 Determine risk (severity and likelihood) of outcome – [Qualitative or quantitative (preferred)]

CYCLE
• Rank Hazards according to the severity and likelihood of their risk
Assess Analyze
• Select hazards for detailed risk treatment (based on risk)
Risk Take Action
Risk

• Treat the Risk: Assess Risk

Take  Identify feasible mitigation options
Action  Develop risk treatment plan(s)
 Implement and verify

• Monitor Solutions:
Monitor  evaluate every 30 days for 120 days to ensure implemented solution is working
Solutions  Implement change permanently and make approximately changes in SOP/Manual etc

Airport Safety Management Systems Workshop

14 August 8-9, 2017
 Module 8 – SMS Planning

 The components of SMS

– Safety policy and objectives
• Management commitment and responsibility
• Safety Accountabilities
• Appointment of key safety personnel
• SMS documentation
– Safety risk management
• Hazard identification
• Risk assessment and mitigation
– Safety assurance
• Safety performance monitoring and measurement
• The management of change
• Continuous improvement of the SMS
– Safety promotion
• Training and education
• Safety communication
Airport Safety Management Systems Workshop
15 August 8-9, 2017
 Module 9 – SMS Operation

 SMS – Upon completing this module the participants will

be able to describe the requirements associated with the
operation of an SMS
– The organization shall develop and maintain formal means
for safety communication that:
• ensures that all personnel are fully aware of the SMS
• conveys safety critical information
• explains why particular safety actions are taken
• explains why safety procedures are introduced or changed

Airport Safety Management Systems Workshop

16 August 8-9, 2017
 Module 10 – SMS Phased Approach

 To provide a manageable series of steps to follow in

implementing an SMS.
 To effectively manage the workload associated with SMS
implementation.
 Four implementation phases are proposed.
 Each phase is based upon the introduction of specific
SMS elements.

Airport Safety Management Systems Workshop

17 August 8-9, 2017
 Executive Teams / Executive SMS Committee

 Additional Training
– Accountable Executive Responsibilities
– Responsible Executive Responsibilities
– Airport / SMS Manager Responsibilities
– Function of Executive SMS Committee
– Function of SMS Committee
– Function of Landside and Airside Working Groups
– Establishment of SMS Policies, Goals
– Just Culture Practices
– Safety Risk Assessment Procedures
– Safety Promotion

Airport Safety Management Systems Workshop

18 August 8-9, 2017
 Management Team / SMS Committee

 Additional Training
 Accountable Executive Responsibilities
 Responsible Executive Responsibilities
 Airport / SMS Manager Responsibilities
 Function of Executive SMS Committee
 Function of SMS Committee
 Function of Landside and Airside Working Groups
 SMS Policies, Goals
 Just Culture Practices
 Safety Promotion

Airport Safety Management Systems Workshop

19 August 8-9, 2017
 Management Team / SMS Committee continued

 Management Team Additional Training

 Safety Risk Management
 Assurance Training
 Root Cause Analysis
 Human Factors
 SAAS Safety Risk Assessment Process
 Records and Training Documentation

Airport Safety Management Systems Workshop

20 August 8-9, 2017
Additional Training as Required by the SMS Manual

 Based on the individual duties

– Airfield Drivers Training FAA
• Movement Area – Every Year
• Non-Movement Area – Every two years
– Defensive Drivers Training City Every 3 years
– Blood Borne Pathogens OSHA Initial – Ref every year
– Forklift Training OSHA Initial – Ref every 2 years
– Confined Space OSHA Initial - Ref as required
– Respirator Protection OSHA Initial – Ref every year
– Personal Protective Equip OSHA Initial – Ref every year
– First Aid / CPR / AED City Initial – Ref every 2 years
– Wildlife Training FAA Initial – Ref every year

Airport Safety Management Systems Workshop

21 August 8-9, 2017
 ®

This concludes this presentation, are there any questions?

Our Number One Priority

Airport Safety Management Systems Workshop
22 August 8-9, 2017
 ACI-NA AND AAAE—
SMS RESOURCES AND TRAINING
Airport Safety Management Systems Workshop
Minneapolis, Minnesota | August 8-9, 2017

Special Thanks Our Host:

Airport Safety Management Systems Workshop

August 8-9, 2017
 ACI-NA and AAAE:
Your Partners in SMS Training
 Both AAAE and ACI-NA
provide airport SMS
training, guidance, and
resources
 They also provide you
with access to industry
expertise—both in the
U.S. and globally
Safety promotion poster, Brussels Airport

Airport Safety Management Systems Workshop

August 8-9, 2017
 SMS RESOURCES—ACI-NA AND ACI WORLD
Chris Oswald, Vice President-
Safety & Regulatory Affairs, ACI-NA

Special Thanks Our Host:

Airport Safety Management Systems Workshop

3 August 8-9, 2017
 ACI-NA and ACI World—SMS Resources
 ACI-NA’s Operations & Safety Working Group
– Forum for discussion of airport safety issues; SMS a
key area of focus
– Canadian expertise--that have been running SMS
programs for the past 5 years
 ACI World
– Resources: SMS Handbook, SMS tools, safety key
performance indicators
– Airport Excellence in Safety Program
– Global Training Hub and Online Training Center

Airport Safety Management Systems Workshop

4 August 8-9, 2017
Resources—ACI SMS Handbook
 Provides guidance for
airport operators develop
and implement SMS
 Features input from all
five ACI regions
 Available at:
http://www.aci.aero/Pub
lications/New-
Releases/ACI-Safety-
Management-Systems-
Handbook
Airport Safety Management Systems Workshop
August 8-9, 2017
Resources—ACI SMS Handbook

Plan Do Check Act

Airport Safety Management Systems Workshop

August 8-9, 2017
 Resources—
SMS Gap Analysis and Audit Tool

Gap Timetable/
Implementation
Components Analysis
Action Plan Status
Findings

Airport Safety Management Systems Workshop

August 8-9, 2017
 Airport Excellence in Safety Program
(APEX)
 Developed to help airports
identify and mitigate safety
vulnerabilities
 Peer-to-peer assessment and
assistance on application of best
practices

Airport Safety Management Systems Workshop

August 8-9, 2017
 APEX in Safety
 Select North American
airports that have
 Learn from SMS experts hosted APEX teams
in person – build
relationships – SAN
 Access to worldwide – SAT
expertise and – SEA
networking – SFO
 Mentoring, training and – YTZ
exchange of best
practice to address – YYZ
identified gaps – YQM
Airport Safety Management Systems Workshop
August 8-9, 2017
 ACI Classroom and Online Training
Classroom Online
 Global Safety Network  Airport Operations Diploma
Diploma  Safety Management Systems
 Airport Safety Management (Int’l)
Systems Implementation  Safety Management Systems
(USA)

Airport Safety Management Systems Workshop

August 8-9, 2017
 Coming in December
SMS Implementation for US Airports*

4-8 December 2017

Honolulu, HI, USA

*AMPAP Elective

Airport Safety Management Systems Workshop

August 8-9, 2017
 For More Information—
Contact Us!

Chris Oswald Paul Eubanks

Vice President— Senior Director—
Safety & Regulatory Affairs Policy & Regulatory Affairs
coswald@aci-na.org peubanks@aci-na.org
202-293-4539 202-293-4534

Airport Safety Management Systems Workshop

12 August 8-9, 2017
 SMS RESOURCES & TRAINING—AAAE
Caroline Bonynge, ASC, ACE, C.M.
Manager-Training and Business Development, AAAE

Special Thanks Our Host:

Airport Safety Management Systems Workshop

13 August 8-9, 2017
 AAAE Resources
 AAAE OSPEM & SMS Working Group
– Collaborate
– Best Practices
– Implementation
– Industry Support
– Industry Resource

Join the AAAE Committee and check out the Communities page
at aaae.org

Airport Safety Management Systems Workshop

14 August 8-9, 2017
 AAAE Training
 Onsite Training
– Safety Management Systems (2 Days)
– ACE Safety Management Systems (4 Days)
 Online Training Options
– IET
– Digicast

Airport Safety Management Systems Workshop

15 August 8-9, 2017
 AAAE ACE SMS Review Course
 Airport Certified Employee (ACE) –
Safety Management Systems
• Gain the essential skills and methodology
needed to plan and implement SMS.
• Explore methods and achieve safety
beyond compliance and regulatory
requirements.
• Offers Professional Designation

Airport Safety Management Systems Workshop

16 August 8-9, 2017
 AAAE Airport Training Partnerships
 Airport partners:
• PHX • SFO
• HNL • SQL
• KOA • ELP
• ITO • GCW
• OGG • PIT
• USAF • MKE
• LAX • ATL
• HAS

Airport Safety Management Systems Workshop

17 August 8-9, 2017
 AAAE IET Training
 IET-LS – Interactive Employee Training Learning
System
 Safety Management Systems
– Customizable
– Web/Training Room
– Dynamic reporting suite that integrates with badging
applications.

Airport Safety Management Systems Workshop

18 August 8-9, 2017
 For More Information—
Contact:
Caroline Bonynge, ASC, ACE, C.M.
Manager
Training and Business Development
American Association of Airport Executives
Phone: 703-797-9008
Email: caroline.bonynge@aaae.org

Airport Safety Management Systems Workshop

19 August 8-9, 2017
THANK YOU!

Airport Safety Management Systems Workshop

20 August 8-9, 2017