1. Running Head: SYSTEM MANAGEMENT SAFETY FOR AIRPORTS 1
SYSTEM MANAGEMENT SAFETY FOR AIRPORTS
by:
Aaron Lancaster
SFTY 440: System Safety Management
Embry-Riddle Aeronautical University
Worldwide Campus
January 2012

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Airport Safety Management Systems
Safety must be managed within every organization. This is often best accomplished using
a systematic approach. The FAA is considering one such approach for airports. By standardizing
the application of Safety Management Systems (SMS) the FAA seeks to improve upon the safety
requirements of 14 CFR 139 (Part 139) by implementing SMS in order to comply with ICAO
standards (FAA, 2007).
The FAA is working to implement SMS internally through the Airport Research
Programs (ARP) being conducted by the Transportation Research Board (TRB). The ARP will
evaluate the impact of implementing SMS on various size airports. Since SMS could be very
expensive to implement in some cases, the FAA will then take into account the cost-impact of
implementation in the requirements placed on airports of various sizes (FAA, 2011).
The FAA is also working to implement SMS externally through requirements to be added
to 14 CFR 139 for certified airports. The FAA introduced SMS to airport operators in 2007 via
Advisory Circular “AC 150/5200-37” which outlined the FAA's intentions to research and
implement SMS (FAA, 2011).
Motivation
The vast amount of effort and expense required to implement SMS begs the question,
“Why SMS?” The answer is both regulatory and philosophical in nature. ICAO established
standards in DOC 8959: Systems Safety Manual that all organizations providing international
service will implement SMS. Key objectives set by ICAO include identifying hazards, enforcing
hazard remediation in order to maintain preset safety levels, continuously monitor and regularly
assess safety levels, and continuously improve the organizations safety posture (ICAO, 2005).
International requirements aside, SMS is an enabler to a safer and more efficient organization.

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The FAA has realized this and is thus working to establish reasonable expectations of U.S.
airports. While the requirements of Part 139 certification greatly improve airport SMS, they are
not a replacement for SMS (FAA, 2011). The initial investment required for implementing SMS
may seem high when the future rewards are not yet realized. However, risk analysis will show
the potential rewards are great. Additionally, even organizations who already have a basic safety
program in place can shift their organizational posture from reactive to proactive to predictive
through implementation of SMS (FAA, 2011).
Description & Applications
SMS for Airports
The four pillars of SMS, safety policy & objectives, promotion, risk management, and
assurance, are very important in establishing a robust SMS program (FAA, 2007). The SMS
pillars vary in number and naming in different regions of the world. However, the elements are
always the same. In this section we will look more closely at the common elements and how they
shape the airport SMS (TRB, 2009).
Elements of Airport SMS
The elements of SMS are similar for airports as they are for many other implementations.
The system must be established by instituting policy documents that establish authorities and
responsibilities. These documents must also establish the policies and procedures with which
personnel must be familiar with in order for the SMS to function effectively. SMS documents
must also define the SMS players within the organization and their roles. Finally, SMS
documents should coordinate emergency planning (TRB, 2009).
SMS promotion is comprised of several elements. Training and education must be

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performed in order to familiarize personnel with policies and procedures and to gain adoption
and ownership in their implementation. SMS champions must communicate safety issues to the
organization so that personnel are aware of emerging issues affecting the organization. Finally,
promotion of SMS relies on continuous improvement of the SMS via review and modification as
the organization and operations grow (TRB, 2009).
SMS risk management is at the center of the system effort toward a safer operational
environment. At heart of risk management is the SMS risk management process established by
SMS documentation. Complementing this process is a mature reporting system that allows for
members of the organization to report hazards identified through any means (incident, accident,
or observed) without penalty. This reporting system should be accompanied by internal safety
investigations that look into hazard reports and establish facts. Standard Operating Procedures
(SOPs) should standardize practice within the organization. SOPs should be modified to reflect
current procedures and document best practices. All changes resulting from the risk management
process should be analyzed to determine the impact to the organization's operations before
implementation (TRB, 2009).
Safety assurance completes the SMS through performance measurement and monitoring,
internal SMS assessment, and management review. Performance metrics and monitoring will
enable the organization's SMS authorities to determine the effectiveness of the program through
identification and tracking of safety performance indicators. Internal SMS assessments or audits
will reveal the depth of implementation within the organization. The results of the audit will
enable SMS decision makers to make improvements to the SMS implementation in order to
achieve higher levels of safety success. Often internal audits are more effective when performed
by third-party auditors to eliminate conflicts of interest and personal or professional bias. Finally,

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management review on a regular interval will provide management with the opportunity to take a
close, concentrated look at the safety system and establish the near- and long-term SMS
objectives of the organization (TRB, 2009).
SMS Implications
SMS implication faces obstacles to widespread acceptance. Airports, due, to their varied
size and budget, cannot be expected to implement one-size-fits-all solutions from a cost
perspective. Additionally, there are perceived risks and rewards involved.
Airport Diversity
Due to the diversity of airport size and scale of operations implementations will vary
greatly in complexity but should not vary in effectiveness. In fact, the cost of SMS scales with
the organization and therefore is proportionally less for smaller, less cost-tolerant, organizations.
For example, where smaller airports are limited by personnel the limited scope and complexity
of the operation may not require or necessitate as many personnel to implement an effective SMS
as at larger airports. From this perspective, SMS could be implemented at the smallest airports,
even those that are not certified under Part 139.
Risk vs. Reward
Smaller airports must realize that their lack of cost-absorbance is a factor not only to
investment costs in SMS but also the costs associated with any incidents or accidents that might
have been prevented from implementing SMS before they occurred. As mentioned earlier in this
paper, risk analysis will reveal the organization's exposure level. This is a process of SMS that
less mature programs may not effectively accomplish.
For larger, certified airports, early adoption may have added financial benefits. ICAO has

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already mandated SMS implementation. The FAA is not far from following the same direction.
This will position many airports, especially uncertified airports, such that they must move
quickly to meet regulatory requirements. The cost of implementing SMS in on a short timeline
could be very high. Adopting SMS early could defray a significant amount of this cost by
leveraging federal funding. Regardless, the FAA will require SMS implementations at all airports
no later than June, 2014 (FAA, 2011).
Conclusion
In this paper we have seen the FAA's motivation and work in the area of SMS. We have
also seen how regulatory requirements and philosophical motivations promote the adoption of
SMS. We examined the pillars of SMS and the elements of which they are comprised. Finally,
we took a look into the diversity of airports and how SMS will prove attainable and beneficial to
even the smallest of operations.

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REFERENCES
Advisory Circular 150/5200-37. (2007). Federal Aviation Administration.
FAA Office of Airports. (2011). SMS: FAA Airports Efforts. Retrieved January 02 2012, from
FAA website: http://www.faa.gov/airports/northwest_mountain/airports_news_ events/
annual_conference/2011/media/safety_managemenrt_systems.pdf
Safety Management Manual (SMM) DOC 9859. (2009). Retrieved January 02 2012, from
International Civil Aviation Organization website: http://www2.icao.int/en/ism/Guidance
%20Materials/DOC_9859_FULL_EN.pdf
Transportation Research Board. (2009). ACRP Report 1: Safety Management Systems for
Airports, Vol. 2: Guidebook. Transportation Research Board of the National Academies.
Retrieved January 02 2012, from TRB website:
http://onlinepubs.trb.org/onlinepubs/acrp/acrp_rpt_001b.pdf