1 | Page Wednesday, April 06, 2011 April 6, 2011

Seattle, Washington Indianapolis, Indiana

Attn: Ms. Keri Spencer

Office o f Airports Safety and Standards

Federal Aviation Administration 800 Independence Ave, Washington DC, 2 0591 keri.spencer@faa.gov

RE: **Technical** Clarifications and Qu estions

Department of Transportation

Federal Aviation Administration

14 CFR Part 139

Docket No. FAA

– 2010

– 0997; Notice No. 10

– 14

RIN 2120

– AJ38 Safety Management System for Certificated Airports

The following list of technical questions and clarifications has been compiled by Joanne Landry, Landry Consultants and Dave Fleet, Dave Fleet Consulting. This collaborative effort is based on Landry and Fleet’s individual and collective efforts working on various SMS FAA Airport Pilot Studies , comments from

SMS A irport Teleconference attendees (an informal working group of airports, consultants, and industry partners) and Mr. Fleet’s professional career in airport operations. Contact information for Landry and Fleet is presented below if needed

. P lease contact bo th Landry and Fleet with questions or requests for additional information regarding the list of clarifications and questions

.

Joanne Landry Principal, Landry Consultants LLC

4433 28 th PL W Seattle, WA 98199 j oanne@landryconsultants.com

206 714

- 7663

Dave Fleet Principal, Dave Fleet Consulting LLC

PO Box 2995 Indianapolis, IN 46206

d fleet @davefleetconsulting.com

317

- 490

- 0050

Thank you,

Joanne M

. Landr y2 | Page Wednesday, April 06, 2011 Please clarify and or provide responses to the following:

1. Page 62008, Background

a. “As the certificate holder best understands its own operating environment, it is in the best position to address many of its own safety issues

. ”

Question : How will the FAA address compliance and regulatory standards with regard to the variety and diversity of airports if each airport has the ability to manage their SMS program in their own way?

b. “While the FAA would still conduct regular inspections, SMS’s proactive emphasis on hazard identification and mitigation, and on communication of safety issues, provides certificate holders robust tools to improve safety.”

Question : How does the FAA propose to conduct inspections and review SMS programs in conjuncti on with an airports current ACM?

c. “ As the demand for air transportation increases, the impacts of additional air traffic and surface operations, changes in air traffic procedures, and airport construction can heighten the risks of aircraft operations.”

Qu estion: This statement implies the FAA is only considering changes to the airport and airport system. Will the FAA provide direction that only changes should be considered for Safety Risk Assessments after a certain date? Much like the FAA ATO division did with changes to the NAS.

2. Page 62009, Safety Management System Components

a. “The FAA supports conformity of U.S. aviation safety regulations with ICAO standards and recommended practices.”

Question : In the past the FAA ha s used the term “h armonize” with ICAO. Has the FAA’s position changed? Will the FAA reconsider allowing a phased approach to implementation of the components of SMS as ICAO has ? (Also see additional requests for clarification for page 62017)

b. “...enhances safety and ensures compliance with regulatory standards .”

Clarification : please exp lain the compliance and standards aspects of SMS with regard to FAA’s Part 139 oversight and certification program.

c. “Assurance processes include information acquisition, analysis, system assessment, and development of preventive or corrective actions for nonconformance .”

Clarification : please provide examples of possible nonconformance elements associated with an SMS program.

Question : What is the FAA’s definition of nonconformance ? Is this in reference to Part 139 regulation, data metrics, SRA processe s, etc.?

d. The NTSB stated an effective SMS program formalizes a company’s SOPs and establishes methods for ensuring that those SOPs are followed.”

Question : Is the FAA planning on auditing Airport SOPs as part of the SMS program

review?

e. “Accordingly, cert ificated airports could realize similar SMS benefits as an aircraft operator.”

Clarification : what are the anticipated benefits? Will the FAA provide expected benefits to

certificate holders?

f. “AC 150/5200

- 37...provides an introduction to SMS and general gui delines for an airport SMS. While compliance with this AC is voluntary, numerous airports have used it in implementing their SMS. ”3 | Page Wednesday, April 06, 2011 Question : FAA has indicated the AC will be updated; please provide clarification on the timing, format, and content of the update. Will the FAA take into consideration pilot study findings to revise the AC?

3. Page 62010, Pilot Studies

a. “All participating airports conducted a gap analysis o r benchmark study examining differences between their FAA

- approved Airport Certification

Manual (ACM), part 139 requirements, and a typical airport SMS.”

Q uestion : Some participating airports went beyond the ACM and Part 139

, will these findings be included in future ACs or other supporting documentation?

4. Page 62010, Benefits

a. “The FAA envisions an airport’s SMS would uncover previously unknown hazards and risks, providing an airport the opportunity to proactively mitigate risk.”

Clarification : This statement implies the existing operation should be analyz ed, not just changes to operations . Can the FAA clarify if SMS applies to the existing operation (including

current Part 139 regulation) or only changes?

5. Page 62010, Discussion of the Proposal

a. “(2) a new 139.4 02 that would prescribe the components of an airport SMS;”

Clarification : what does the FAA intend by the term “prescribe” in the above and also 139.403? Is the intent to provide airports with general guidelines or as the NPRM mentions later (page 62011, Flexibility) adaptable, scal able, general framework of SMS and maximum amount of flexibility or does the FAA anticipate structured guidelines?

Further Clarification : will the Rule provide prescriptive requirements and the AC more detail

and structure for airport to allow for flexibility?

6. Page 62011, Regulation of the Non

- Movement Area

a. “The FAA does not intend to require airports to extend their SMS to the landside environment such as terminal areas. Nevertheless, an airport may voluntarily expand its

SMS to all airside and landside environments.”

Question : If airport operators decide at their location to implement SMS throughout the airport environment (including landside and terminal operations) will the FAA provide guidance on how FAA certification will address this issue, beyond what is described later in

the NPRM. Will the FAA provide guidance to the certificate holders as to how documentation

of these areas should be managed (for ease of inspection and data management )?

7. Page 62011, Minimum Elem ents of SMS

Clarification : Airports are seeking consistent terms throughout FAA regula tory documentation and guidance; can airports assume the terms “components” is the official

reference to describe Policy, Risk, Assurance, and Promotion (known as pillars in ICAO)? While this may seem trivial, airports and other industry partners would like to establish standard that are specific to the FAA and US. This would imply that other lines of business at the FAA are using similar terms.

a. Bullet point #4: “train individuals accessing the airside environment on SMS and operational safety.”

Clarification : Please define what is intended by the term “individual”? Does this

assume all airport staff or all tenant and airport staff combined ?4 | Page Wednesday, April 06, 2011 Further Clarification : Pl e ase provide clarification on NPRM Safety Enhancements Part 139, Certification of Airports (Page 5510, Summary) requirements for “establish minimum standards for training of personnel who access the airport nonmovement area (ramp and apron) to help prevent accidents and incidents in that area” and its relationship to the proposed SMS training initiative.

8. Page 62011, Safety Policy

a. Bullet 7, Establishes and maintains an acceptable level of safet y for the organization.”

Question : How does the FAA intend to guide, inspect, or review the concept of acceptable level of safety?

9. Page 62012, Safety Policy

a. “The statement typically would contain the following:

i. ...”The encouragement for employees to report safety issues without fear of reprisal;”

Clarification : Can t he FAA define “employees” in this context? Can the FAA define “reprisal”

in this context?

ii. “A commitment to provide the necessary safety resources”

Question : how does the FAA foresee airports managing the additional costs associated with providing necessar y safety resources within the current and future airport funding programs?

iii. ...”A commitment to make safety the highest priority.”

Clarification : Does the FAA mean “the highest” or among the highest ?

b. Bottom of middle column: “In these cases, the FAA expects the certificate holder would participate in the FAA’s risk analysis instead of performing an independent risk analysis

under its SMS.”

Clarification : Does the FAA intend to bear all costs, logistical management, facilitation,
documentation, and coordinati on required for a risk assessment? Will the FAA provi de all these services on a timeline that supports the certificate holder ’s project schedules ? Or does the FAA expect the certificate holder to work with the FAA ARP to determine who will

coordinate the r isk assessment for each individual project as presented? Please provide examples and detail s

.

10. Page 62012, Safety Risk Management

a. “While each certificate holder’s SRM processes may be unique to the airport’s operations and organizational structure, the F AA would require it to incorporate SRM’s five steps.”

Question : would it not be beneficial for airports to have a standardized template for conducting the SRM process through safety risk assessments (SRAs ) ? Especially as SRAs

relate to coordination with other FAA lines of business such as the ATO and as part of FAA

Order 5200.11 for SRAs conducted as part of planning, design, and construction efforts?

Comment : Standardization could reduce confusion, improve training for both FAA and airports, and increa se overall efficiencies.

b. “ Operational changes may overlap with SRM requirements under the FAA Air Traffic Organization’s SMS. Examples of these changes include runway extensions or the construction of new taxiways. In these cases, the FAA expects that the certificate holder would participate in the FAA’s risk analysis instead of performing an independent risk analysis under its SMS. ”

Question : W ho will determine the lead on ATO/ARP SRAs? As part of the SM S Implementation Pilot Studies (in which SRAs are b eing conducted as part of the scope of work), airports are taking the lead on certain movement area SRAs. Will the FAA provide5 | Page Wednesday, April 06, 2011 additional guidance based on the pilot study findings that ill assist airports and ATO in making that determination?

c. There are many ways to accomplish this hazard identification, but all must use the following four elements:

(1) Operational expertise; (2) Training in SMS (and, if possible, hazard analysis techniques); (3) A simple, but well

- defined, hazard analysis tool; and (4) A dequate documentation of the process.

Question : will the FAA provide examples, templates, or other informational guides to assist airports with these requirements?

Additional Question : How does the FAA plan to review this particular requirement?

Page 62013, Risk matrix /Risk Management

General question : will the FAA provide guidance to FAA certification inspectors that airports may design and employ a different matrix than the example presented in the AC

150/5200

- 37?

General question : will the FAA cons ider requiring a single risk matrix to provide continuity and standards across all airport operators?

Comment : As part of the SMS Implementation Pilot Study SRA efforts, it has been noted that attempting to merge multiple matrices from ATO, Airlines, and Airports is complex. Standardization of matrices and terms within the matrix may facilitate the SRA process. Note that airports should be able to define thresholds within the matrix to account for the variety of airport size and type of operations.

Que stion : Does the FAA intend to use the term Safety Risk Assessment (SRA) as a standard for the process of assessing or analyzing risk? This question relates to the ATO’s use of Safety Risk Management Document (SRMD) and Safety Risk Management

Decision Mem o (SRMDM) which are similar processes yet employ different terms.

Comment : Similar terminology would be encouraged for Order 5200.11

11. Page 62015, SRM

a. “ Each certificate holder would determine its acceptable level of risk and other levels of

risk when estab lishing its predictive risk matrix. ” ...” These levels of risk would be based on the certificate holder’s acceptable level of risk and may vary from airport to airport. ”

Question : how does the FAA intend to audit, inspect, or review this aspect of the SMS

pro gram especially if it is anticipated that the acceptable level of risk will vary from airport to airport?

b. “Ultimately, the certificate holder would formally accept the risk or approve the mitigation plan as required by its SMS.”

Clarification : Does the FA A intend for this stat e ment to be the case for those SRAs performed by the FAA ATO? Will the FAA further clarify who accepts the residual risk(s) and mitigation plan? Does the FAA intend for all organizations (management) who participate in the mitigation plan to accept the residual risk?

c. “ This proposal would require a certificate holder to retain these documents and records for the longer of either 36 consecutive calendar months after the risk analysis of identified

hazards or 12 consecutive calendar mon ths after implementing mitigation measures .”

d. Question : Would a longer retention period for mitigations provide better trending and analysis data? This may be especially useful for mitigations that include changes in process or practices to determine if i nstitutionalization of the change results in improved safety.6 | Page Wednesday, April 06, 2011 12. Page 62016, Safety Assurance

a. Referring to audits, “ The certificate holder would determine whether this review is completed by airport personnel or by a third party .”

Question : Does the FAA int end to provide qualified staff or guidelines for staff qualifications to conduct audits relating to quality assurance programs?

Question : How is the airport expected to fund the costs of third party audits?

Question : Could airports conduct audits of ea ch other?

b. General Questions relating to quality assurance, audits, and the FAA inspection/review of the program.

Question : How does the FAA plan on inspecting or reviewing this audit portion of the SMS program? Will the FAA assume it has access to thir d party or internal audit reports?

Question : Relating to audit reports, if a n unmitigated high risk (or possible discrepancy) is discovered and documented as part of an internal or third party report, will the FAA

take a non

- punitive approach to the finding if it is discovered in an FAA review? ( Also

see the question relating to t his item for page 62017)

c. “Therefore, the FAA has concluded that requiring a confidential hazard reporting system will protect the reporter’s identity and achieve the goal of protection from reprisal.”

Question : Is it the FAA’s intent to restrict a certificate holder’s abi lity to investigate and punish for gross negligence? Example: alcohol and or drug abuse.

13. Page 62016, Safety Promotion

a. General Question relating to promotion activities:

Question : Funding for promotion was not included in the SMS Implementation Study

du e to FAA limitations; is it expected that no FAA funding will be available to airports for this aspect of the SMS program?

Question : Relative to the above question, how are airports expected to “ demonstrate its commitment to safety promotion in several w ays. An airport could allocate sufficient resources for the initial and recurrent training of its staff. ” If funding sources are limited or

nonexistent?

Question : It appears that record retention and reporting are considered important aspects of promotio n; therefore how does the FAA anticipate the use of technology to support promotion without allocated funding?



### b. “ The FAA proposes the SMS training requirement would apply to airport employees based on information obtained during the pilot studies. However , the FAA believes greater benefits may be achieved if that training requirement was applied to all individuals

with access to the movement and non

- movement areas, and it is considering that broader SMS training requirement. ”

Question : How does this abov e statement relating to SMS and staff training correspond to the following extract from Docket FAA

– 2010

– 0247; Safety Enhancements Part 139 (Page 5512) “A person would complete this training prior to accessing the nonmovement

area and at least yearly th ereafter. The FAA intends to make this requirement effective one year after publication of the final rule to allow certificate holders time to develop a Training program and complete training for all personnel accessing the nonmovement

area. After the effe ctive date of this proposal, if adopted, all persons would complete the training prior to accessing the non

- movement area, unless escorted by a trained

individual.”7 | Page Wednesday, April 06, 2011 14. Page 62017, Proposed Implementation Plan R e quirements General Questions

Question : I f lessons learned from the current ly active SMS Implementation Study reflect that a longer implementation period is revealed or recommended, will the FAA consider changing the timelines proposed under implementation?

Clarification : We agree that all phases of the SMS program are interconnected , but

p lease clarify what the FAA means by phased

- in approach relating to the ti melines and the 4 SMS components.

a. “ Further, the FAA intends to publish any accompanying Advisory Circulars prior to the final rule and widely communicate the requirements to airports through the various industry organizations and FAA airport conferences. ”

Q uestion : How many and what topic areas are planned for Advisory Circulars?

15. Page 62017, The FAA’s Role and Oversight

a. “However, if during the course of an inspection, these processes are determined to have failed in discovering discrepancies with part 139 or have created new discrepancies...”

Clarification : Will the FAA define “failed”? Does failed constitute one, two, or three identified discrepancies? Will the “failed” discrepancies be ranked, such that physical (lights, pavement, signage) reflect a higher indication of system failure than an administrative errors in record keeping?

b.

... the FAA would take appropriate action to ensure the airport corrects these non

compliant conditions. ” (Also see question relating to audits for page 62016)

Ques tion : Is the FAA intending to r eview and correct findings in a non

- punitive manner?

16. Page 6201 8

, R ulemaking Analyses and Notices

a. We are deferring to other experts for this section of the NPRM

17. Page 6201 9

, B enefits of this Rule

a. “ Over the 10

- year period of analysis, the potential benefits of potentia lly averted accidents range from $170 to $256 million. ”

b. Clarification : are these c osts relevant to airport operators or airline operators?

18. Page 6201 9

, R egulatory Flexibility Determination

a. “ Agencies must perform a review to determine whether a rule will have a significant economic impact on a substantial number of small entities. If the agency determines that it will, the agency must prepare a regulatory flexibility analysis as described in the

RFA. ”

... Therefore, the FAA certifies this proposed rule, if promulgated, would not have a significant impact on a substantial number of small entities.

Question : W ere the Second Pilot S t udy results (from small airports) reviewed specifically

with regard to this determination?

19. Page 620 20

, C omments Invited

a. “ 7. Should the FAA consider expandin g the SMS training requirements to all individuals (rather than just airport employees) accessing the movement and non

- movement areas? What are the specific practical and economic implications of such a requirement? ”

b. Question : does the recent Docket No. FAA

– 2010

– 0247; Safety Enhancements Part 139

NPRM f or e shadow an FAA decision regarding this topic?

20. Page s 620 2 1

, 620 2 2 ,and 620 2 3

, N o additional questions or clarifications