Austin-Bergstrom International Airport 

Federal Aviation Administration 

Safety Management System (SMS) 

Pilot Program 

GAP Analysis Findings 

May 27, 2008

ABIA SMS GAP ANALYSIS REPORT 

Prepared by: Jacobs Carter Burgess 

Fort Worth, Texas 
Austin-Bergstrom International Airport (ABIA) 

Gap Analysis Report 

The FAA has identified select airports across the United States to participate in 

the Safety Management System Pilot Program (“SMS”) in an effort to develop a 

nationwide standard and requisite regulation. The FAA has required all airports 

participating in the SMS Pilot Study complete a Gap Analysis as part of the SMS 

developmental process. FAA guidance on the Gap Analysis directs the Gap 

Analysis to identify procedures, policies, documentation and actions airports are 

to implement as part of its SMS program extending beyond current Part 139 

requirements identified in the airport’s Airport Certification Manual (ACM). 

Airports today must balance many shared challenges including safety, security, 

financial, and human resources. Those challenges, individually and collectively, 

generate simultaneous high priorities that demand airport management teams 

balance in an effective manner. The development and implementation of a Safety 

Management System in today’s airports must be tailored to the operational needs 

and resources available at that airport. The development of a SMS Program 

must utilize available resources and workload while meeting the intent of SMS 

and Safety Risk Management (SRM) principles. 

The Austin-Bergstrom International Airport (ABIA), located in Austin, Texas, was 

one of the airports selected by the FAA to participate in the SMS Pilot Program. 

ABIA (Department of Aviation, “DOA”) is a department within the City of Austin 

and thereby interacts as a functionary of city government with the DOA 

maintained under an Executive Director. Both the Executive Director and 

Aviation Director expressed their commitment to safety improvements, which was 

their impetus for the application to the SMS Pilot Program. ABIA has an 

outstanding safety record and a resolve to improve their safety and quality 

management process. They welcome the Gap Analysis and the continued 

development and implementation of their SMS Program and Manual.

The purpose of the GAP Analysis is to document existing gaps or deficiencies in 

the airport’s procedures, policies, documentation and actions existing between 

current operations outlined in the ACM as compared to the principles identified in 

the SMS. There are twenty-one (21) basic elements incorporated in to the SMS 

Manual and Program in the SMS Pilot Study Participants Guide. 

ABIA SMS GAP ANALYSIS REPORT 

Prepared by: Jacobs Carter Burgess 

Fort Worth, Texas 
The FAA published a requirement that the SMS Manual and program should 

“....identify which elements of the airport operator’s existing practices and 

guidance materials currently meet SMS requirements, which elements do not, 

and how these latter practices and documents will be revised in the future for 

consistency with the SMS Plan”. Three classifications have been selected to 

identify to what degree existing SMS elements meet requirements. The three 

classifications are defined as follows: 

1. “Existing” (E) – currently in existence and in use. 

2. “In Progress” (IP) – either in process of being developed, or in process of 

being implemented. 

3. “GAP” (G) – there is no existing policy or procedure currently in place. 

A few elements have a multi-classification due to differing areas of 

responsibilities and procedures and are so noted. Discrepancies not pertinent to 

the GAP Analysis will be discussed under separate cover as specific 

recommendation to ABIA airport. 

In order to conduct the analysis, there must be identified benchmarks and best 

practices learned from interviews, surveys, and analysis, which will then be 

compared to the four elements of SMS: 

• Safety Policy and Objectives 

• Safety Risk Management 

• Safety Assurance 

• Safety Promotion 

The Gap Analysis performed at ABIA compares ABIA’s current status relative to 

the 21 elements of the SMS Manual and Program in the SMS Pilot Study 

Participants Guide. A complete analysis was performed by comparing both the 

ACM and Part 139 to the 21 tenants of SMS identified by the FAA. Presented is 

a checklist in worksheet format along with a narrative summary of how ABIA’s 

procedures relate to the 21 elements. 

The ACM was reviewed by subject and compared to Part 139 and SMS 

requirements. Then, Part 139 was reviewed and compared by line item to 

existing conditions and requirements. The organization and layout of the 

worksheets were designed to facilitate and crosscheck the assessments for the 

Gap Analysis and to provide a basis for the foundation and development of the 

SMS Manual. Methods utilized for determining status and existing conditions 

were interviews, document reviews, and observations at ABIA. 

ABIA SMS GAP ANALYSIS REPORT 

Prepared by: Jacobs Carter Burgess 

Fort Worth, Texas 
SMS GAP ANALYSIS SUMMARY - ABIA

The following is a summary of the GAP Analysis performed at the Austin Bergstrom 

International Airport. This summary correlates to the 21 elements of the Federal 

Aviation Administration’s (FAA) Safety Management System (SMS) Manual and 

Program, as identified in the FAA SMS Pilot Study Participants Guide, dated April 6, 

2007. Those findings are as follows; 

1) Written safety policy statement and communication plan 

Status – GAP

Currently, there is no written safety policy or communication plan. Management is in 

the process of reviewing a draft policy to reflect the best practices of SMS with 

emphasis on a safety policy for the Aviation division. A communication plan will be 

developed later, as part of the SMS Safety Assurance Section, which will reflect the 

organizational goals, objectives and operation. 

2) Identification and description of the airport safety goals 

Status – GAP

Safety goals are presently referenced only in Airport Public Information publications. 

There is no stated airport safety policy which reflects ABIA’s safety goals identified 

and described in a written format although ABIA exhibits a strong commitment to 

airport safety. As the over-all policy statement is formulated and implemented, it is 

recommended that safety goals be expressed from both an operational viewpoint and 

enveloped into the safety culture in a formalized document. 

3) A plan for employee SMS indoctrination and training 

Status – GAP

There currently is no employee SMS indoctrination and training program. SMS 

training program curriculum required under SMS will be developed in the SMS 

training section of the Safety Program Manual. 

4) Documented process to identify training requirements for systems safety 

Status – In Progress 

ABIA currently has a training program which meets the requirement of Part 139 and 

City of Austin policies and regulations. Additional recommendations were made to 

assist with record keeping in movement area recurrent training. Training specific to 

SMS will be further integrated in to new and existing programs. 

5) A plan to validate training effectiveness and the process to gain training 

feedback, including usable metrics 

Status – In Progress

Airport Operations has limited measures currently in place to validate training 

effectiveness through its record keeping functions. Additional measures for 

effectiveness are recommended to be integrated into the SMS Manual as SMS is 

developed and implemented. 

ABIA SMS GAP ANALYSIS REPORT 

Prepared by: Jacobs Carter Burgess 

Fort Worth, Texas 
6) A defined process to communicate safety policies and objectives 

throughout the organization 

Status – Existing 

The Department of Aviation has developed current practices for promoting safety 

awareness at all levels. Regular safety meetings are held resulting in detailed 

debriefs posted on paper and electronically, as required. Safety bulletin boards are 

posted in all main workplaces with newly installed safety/hazard reporting boxes 

where employees can report safety concerns observed, even on an anonymous 

basis. As the Non-Punitive Safety Reporting System is developed, further 

enhancements will be integrated into existing safety communication methods and 

practices. 

7) A plan and description of employee Non-Punitive Reporting Systems, 

existing and planned. 

Status – GAP 

There is currently no formalized Safety Reporting System in place. Several divisions 

within the Department of Aviation currently utilize an informal, but successful safety 

reporting policy. As SMS is developed and implemented, the Department of Aviation 

will need to formalize and expand their current system to address the requirements of 

the SMS program. ABIA’s primary emphasis and focus continues to be safety 

reporting rather than how the non-punitive aspects of the system will affect or protect 

their employees. 

8) An organizational chart identifying the names and safety responsibilities of 

all key personnel such as the following: Top Management, Safety Manager, 

Department Heads/Managers, Established Safety Committees and Chairs. 

Status – Existing

Multiple organizational charts exist with unclear titles and responsibilities which may 

not accurately reflect current organizational structure. ABIA has not chosen to 

specifically identify a single position or person titled “Safety Manager”. The 

Operations Division currently does have an Operations Supervisor with many safety 

responsibilities, some of which include operations safety, training, and the 

coordination of joint monthly Safety Committee meetings. ABIA’s safety management 

concept and procedures has developed beyond a traditional process of chain of 

command reporting into an active process of incident command response. This 

allows for immediate response and implementation of safety procedures and decision 

making abilities by many personnel levels within the organization. ABIA is in the 

process of developing an organizational chart that will clearly identify their 

organizational lines of authority and responsibility, while simultaneously supporting 

139 requirements. 

9) Description of the safety risk management process, including application of 

“The Five Phases of SRM (Safety Risk Management)” as outlined in AC 

150/5200-37, Introduction to Safety Management Systems for Airport 

Operators. 

Status – GAP 

The Department of Aviation currently does not have existing policies and procedures 

for the implementation of SRM and the Five Phases of SRM. As part of the pilot 

program one will be developed and integrated into SMS. 

ABIA SMS GAP ANALYSIS REPORT 

Prepared by: Jacobs Carter Burgess 

Fort Worth, Texas 
10) Guidance on the use of SRM and trend analysis. 

Status – GAP

Currently there is no guidance on the use of SRM, nor data being collected to allow 

for development of trends or trend analysis. The ability to ascertain both short and 

long term trend analysis of risk management will depend on the level of involvement 

of management in the SRM process. 

11) Defined process for documenting the results of SRM, including a 

description of how documents will be stored, i.e., electronic or paper. 

Status – GAP

As there is no SRM currently in effect, there is not a clearly defined process for 

documenting the results of SRM, nor procedures identified for proper management of 

records related to SRM. 

12) Descriptions of how top management will follow up on SRM to ensure 

safety mitigation strategies are appropriate. 

Status – GAP

Because there is no SRM in place there is no method currently established to ensure 

safety mitigation strategies. The Department of Aviation will need to develop policies 

and procedures for the implementation of SRM and the five phases of the SMS 

program as the manual evolves. The Covey Strategic Management Process, which 

has been successfully implemented at ABIA, would provide an excellent vehicle for 

the development and implementation of SRM. By aligning SRM with “The Four 

Disciplines of Execution”, a framework already in place, SMS can be painlessly 

incorporated into current operations. These four disciplines involve: goals, metrics, 

actions and accountability processes 

13) A description of the airport quality management and/or risk management 

program (if applicable) and its integration into the airport SMS. 

Status – GAP

There is currently no airport quality management and/or risk management program. 

As part of the SMS development process, the Department of Aviation will create a 

Risk Management program as part of the SMS manual. 

14) Description of a plan to integrate apron safety management into the airport 

SMS. 

Status – Gap

No apron safety management program currently exists. As part of the developing 

SMS program, the recommendation has been made that ABIA include an apron 

safety program into the implementation of SMS and Manual. 

15) A detailed method to document self-auditing processes and their findings. 

Status – Gap

Currently, there is no method or process in the Operations department for selfauditing in place. Although, no formalized self auditing process exists, ABIA has 

resources (personnel, reporting systems, databases) in other parts of the Aviation 

Department that currently performs audits in program areas such as Finance, Human 

Resources and Information Resources. Currently, ABIA utilizes the Airport Security 

ABIA SMS GAP ANALYSIS REPORT 

Prepared by: Jacobs Carter Burgess 

Fort Worth, Texas 
Operations Compliance System (ASOCS), for day to day airport conditions in 

accordance with Part 139. The ASOCS program may contain performance measure 

features which can have the capability to sort metrics and evaluate data to implement 

measures and procedures for satisfying SMS requirements. The development of the 

ABIA SMS Assurance Program could utilize the existing staff for this requirement. 

Management has identified their interest and commitment to develop a self auditing 

process which will comply and exceed Part 139.327. This program will be reviewed, 

modified, and developed to support the SMS program. 

16) A detailed method to document self-inspection reviews, analysis, and 

findings. 

Status – Existing

The documentation methods under Part 139 and the City of Austin are acceptable. 

The development and implementation of SMS will enhance the existing reviews, 

analysis, findings and documentation. As SMS develops, their current self inspection 

program can be further modified to satisfy SMS requirements. 

17) A description or plan to integrate the tailored SMS program plan into the 

overall operation of the airport. 

Status – GAP

There is no plan currently in existence to integrate an SMS program into airport 

operations. The implementation and integration of SMS will involve management/staff 

decisions, with airport divisions assigned accountability and responsibility for various 

safety actions. 

18) Documented plan for training and education, safety communication, 

competency, and continuous improvement process. 

Status – In Progress

Currently, The Department of Aviation has documented training and education as 

defined under Part 139. Additional enhancements will need to be developed and 

implemented to meet the requirement of the SMS program and integrated into the 

manual. Additional enhancements may include formalized procedures and consistent 

processes throughout the organization in safety communication and safety risk. 

These safety communication requirements may be best implemented through ABIA’s 

Covey Strategic Planning Program, currently in use. At ABIA, each division has the 

directive to develop Wildly Important Goals (WIG’s) to address issues and processes 

which are measured by actual results. 

19) Procedures to promote safety awareness and participation in non-punitive 

reporting systems 

Status – Gap

Currently, there are no formalized procedures to promote safety awareness or allow 

participation in a non-punitive reporting system. However, ABIA does promote safety 

awareness in general training. ABIA has developed an open door safety policy 

throughout the organization that has not been formalized into a non-punitive reporting 

system. As the non-punitive reporting procedures are developed and implemented 

into SMS, employees at all levels will be directed and encouraged to be proactive 

participants in the safety culture. 

ABIA SMS GAP ANALYSIS REPORT 

Prepared by: Jacobs Carter Burgess 

Fort Worth, Texas 
20) Process to document and review lessons learned from within the 

organization. 

Status – GAP 

There is no formal process to document and disseminate lessons learned from within 

the organization. As SMS further develops, a formal process will be developed by 

management who will lead the way in the promotion of a safety culture and promote 

the individual’s safety responsibilities within the organization. 

21) Schedule for implementation and anticipated associated costs. 

Status – In Progress

The Department of Aviation and the SMS consultant group has developed an initial 

program schedule to be reviewed monthly as the project proceeds. Implementation 

costs will be provided separately from the SMS Manual. 

The Following SMS GAP Analysis Summary Table presents the GAP Analysis 

findings in a table format. The worksheet lists the 21 elements followed by three 

columns denoting the current status of each element. The “E” column identifies 

those elements that are existing, the “I” column identifies those elements that are “In 

Progress”, and the “G” column identifies those elements do not currently exist and 

are considered GAP. The COMMENTS column explains the status of each 

element. 

ABIA SMS GAP ANALYSIS REPORT 

Prepared by: Jacobs Carter Burgess 

Fort Worth, Texas 
SMS PROGRAM ELEMENTS E I G COMMENTS

1

Written Safety Policy & Communication 

Plan X To be developed

2

Identification & description of Airport Safety 

Goals X

Exists in Airport Public Information 

Publications only

3

Plan for employee SMS Indoctrination and 

Training X SMS - To be developed

4

Documented process to Ident Training req 

for systems safety X

139 Training documented - SMS sys to be 

developed

5

Plan to validate training effectiveness & 

feedback process X 

Air Ops has training validation - enhance 

with SMS development

6

Process to communicate safety policies & 

objectives X 

Airside 139 Safety awareness items 

adequate

7

Non-Punitive Safety reporting, existing and 

proposed X SMS - To be developed

8

Org Chart with names & safety 

responsibilities of key personnel X 

Does not reflect current organizational 

structure 

9

Description SRM Process & Five Phases of 

SRM X SMS - To be developed

10

Guidance on Safety Risk Management Use 

& Trend Analysis X SMS - To be developed

11

Documentation SRM results - Process & 

Storage X SMS - To be developed

12

SRM follow up ensuring appropriate 

mitigation strategies X SMS - To be developed

13

Plan for SMS Integration to Operations and 

SMS X SMS - To be developed

14

Plan to integrate Apron Safety into airport 

SMS X SMS - To be developed

15 Documentation Self Auditing & Findings X

Self inspect 139 - Self audit needs 

development modification

16 Documentation of Self Inspection Program X

Documentation under 139.327 - Requires 

SRM enhancement

17

Integration Plan for SMS Program into 

airport operations X SMS - To be developed

18

Doc plan trng, comm, compentency & 

improvement process X

Some elements exist - will be further 

developed with SMS

19

Promote Safety Awareness & Non-Punitive 

reporting partic X

Needs incorporation - Will be enhanced 

with non-punitive reporting

20 Document & Review Lessons Learned X SMS - To be developed

21

SMS Implementation Schedule & 

Anticipated Costs X Schedule and Budget to be determined

SMS GAP ANALYSIS SUMMARY TABLE

ABIA SMS GAP ANALYSIS REPORT 

Prepared by: Jacobs Carter Burgess 

Fort Worth, Texas 
ABIA GAP Analysis 

FAR Part 139 Worksheet 

The FAR Part 139 worksheet is designed to compare the 

requirements of Part 139 with the Airport Certification Manual. 

This worksheet is not designed to carry out a Part 139 Certification 

Audit. 

The information derived from the worksheet will be used to 

ascertain what components of Part 139 and the ACM can be 

included as part of the SMS Program and Manual. 

STATUS LEGEND 

E Existing 

I In Progress 

G GAP 

RESPONSIBILITY LEGEND

ABIA Austin-Bergstrom Intnl Airport DOM Department of Maintenance 

AIRCAR Air Carrier ED Executive Director 

AO Airport Operations FAA Federal Aviation Authority 

AOM Airport Operations Manager FMM Field Maintenance Manager 

ARFFC ARFF Chief FBO Fixed Base Operator 

BMM Building Maintenance Manager SO Safety Office 

COA City of Austin TEN Tenant 

DOA Department of Aviation 

ABIA SMS GAP ANALYSIS REPORT 

Prepared by: Jacobs Carter Burgess 

Fort Worth, Texas 
Austin Bergstrom International Airport - Part 139 Worksheet

AIRPORT CERTIFICATION MANUAL (ACM) E I G Resp CO

Part 139.200-30

0

1 139.201 General requirement

s

2 (a)Adopts & complies with an ACM that: CO

A Preface

4 (1)Has been approved by the Adiministrator (ADMIN)

X ED-DO

A

ACM 1-1

5 (2)Contents approved by ADMIN

X ED-DO

A

ACM 1-1

6 (3)Cert holders responsibility to operate by ACM - signe

d

X ED-DO

A

ACM 1-1

7 (4)Easy to revise and organize

X ED-DO

A

ACM 1-1

8 (b)Cert holder must: CO

A Preface

9 (1) Keep ACM current at all times

X AOM

ACM 1-1

11 (2) Complete & current copy on airport

X AOM

ACM 1-1

12 (3) Provide portions ACM to those responsible for implementing X AOM ACM 1-1

13 (c)Regional Airports Div Mgr compliance & current copy

X AOM

ACM 1-1

1416 139.301 Record

s

18 (a)Furnish on request by ADMIN, all records required by 13

9

X ABI

A

ACM 2-1

20 (b) Maintain records as follows:

X ABI

A

ACM 2-1

21 (1)Pers Training - 24 Consecutive Calendar Months (CCM) X ABI

A Maintained at Airport O

23 (2)Emergency Personnel, A/C rescue & FF, EMS 24 CCM 

X SO-CO

A Maintained at ARFF St

25 (3)Airport fueling agent inspection - 12 CCM

X ABI

A Maintained at Office of 

27 (4)Fueling personnel trng - 12 CCM

X ABI

A Maintained at Airport O

29 (5)Self Inspection - 12 CCM

X ABI

A Maintained at Airport O

31 (6)Movement & Safety area training - 24 CM

X ABI

A Maintained at Airport O

33 (7)Accident & Incident air carrier grnd vehicle 12 CCM

X ABI

A Maintained at Airport O

35 (8)Airport condition dissemination - 12 CCM

X ABI

A Maintained at Airport O

37 (c)Make/maintain any records req by ADMIN

X ABI

A

ACM 2-1

42 Daily log

X AOM Maintained at Airport O

May 21, 2008 Prepared by: Jacobs Carter Burgess System Safety Team, Fort Worth, Texas 
Austin Bergstrom International Airport - Part 139 Worksheet

AIRPORT CERTIFICATION MANUAL (ACM) E I G Resp CO

43 139.303 Personnel44 (a) Provide sufficient/qualified personnel

X DO

A

ACM 3-1

47 (b) Equip Personnel. with sufficient resources to compl

y

X DO

A

ACM 3-1

50 (c) Train to ACM prior to initial duty & every 12 CCM

X DO

A

ACM 3-1

52 (1) Airport famiiliarization 

X DO

A

ACM 3-1

53 (2) Process to access movement area .329

X DO

A

ACM 3-1

54 (3) Airport Communication / twr and operations

X DO

A

ACM 3-1

55 (4) Duties required under ACM & FAR 139

X DO

A

ACM 3-1

56 (5) Airfield inspections & additional req

X DO

A

ACM 3-1

57 (6) Instruction on Airport Emergency Plan

X DO

A

ACM 3-1

58 (d) Make record of all training - maintain 24 CCM

X ED-DO

A

ACM 3-1

61 (e) Comply with the following training reqmts

X ED-DO

A

ACM 3-1

63 (1) Aircraft rescue and firefighting 139.319

X ARFFC

ACM 10-1

64 (2) Hndlg and storage of HAZMAT 139.321 X TEN

ACM 11-1

65 (3) Self Inspection Program 139.327

X AO

ACM 14-1

66 (4) Pedestrians and Ground Vehicles 139.329

X ED-DOA ACM 15-1

67 (5) Wildlife Hazard management 139.337

X DO&DOM Procedure letter 11/17/

68 (6) Airport condition reporting 139.339

X AO

ACM 14-1

69 (f) Use of independent organization to comply with ACM

N

A

70 (1) ...if authorized by the Adminisrator

N

A

71 (2) Description of responsibilities and duties

N

A

72 (3) Prepare records to satisfaction of Administrator

N

A

7374 139.305 Paved Area

s

75 (a) Maintain and Repair pavement areas

X FMM

ACM 4-1

78 (1) Pavement edge exceedences

X FMM

ACM 4-1

79 (2) Holes

X FMM

ACM 4-1

80 (3) Free of cracks & deterioration

X FMM

ACM 4-1

81 (4) Loose impediment clean up

X FMM

ACM 4-1

82 (5) Chemical solvent clean up removal

X FMM

ACM 4-1

83 (6) Pavement draining

X FMM

ACM 4-1

84 (b) Exceptions to snow and ic

e

X

AO/FM/BM

AMC 4-2

85 (c) Use of Advisory Circulars Advisory - Review A/C86

May 21, 2008 Prepared by: Jacobs Carter Burgess System Safety Team, Fort Worth, Texas 
Austin Bergstrom International Airport - Part 139 Worksheet

AIRPORT CERTIFICATION MANUAL (ACM) E I G Resp CO

87 139.307 Unpaved Area

s

88 (a)Maintain and Repair of unpaved movement areas

X ACM 4-1 - No unpaved 

8990 139.309 Safety Area

s

91 (a) Provide runway & taxiway safety areas of at least

X FMM

ACM 5-2

94 (1) ...that existed on specific dates

X FMM

ACM 5-2

95 (2) Authorized at the time of construction

X FMM

ACM 5-2

96 (b) Maintenance of safety areas X FMM

ACM 5-2

99 (c) Use of Advisory circulars

Advisory - Review A/C'

100101 139.311 Marking Signs and Lighting102 (a) Provide and Maintain marking systems

X FMM

ACM 6-1

10

4 Markings

X FMM Markings not addresse

105 (1) Rwy markings for takeoff and landings

X FMM

ACM 6-1

106 (2) Taxiway center line

X FMM

ACM 6-1

107 (3) Taxiway edge markings as appropriat

e

X FMM

ACM 6-1

108 (4) Holding position markings

X FMM

ACM 6-1

109 (5) ILS critical area markings

X FMM

ACM 6-1

110 (b) Signage

X BMM

111

X Signage not addressed 

112 (1) ...for air carrier operations

X BMM

ACM 6-1

113 (i) taxiing routes on movement areas

X BMM

ACM 6-1

11

4 (ii) holding lines

X BMM

ACM 6-1

115 (iii) ILS critical area signs

X BMM

ACM 6-1

116 (2) Internally lit signs Class I, II, and IV apts

X BMM

ACM 6-1

117 (3) Internally lit signs Class III apts

X BMM

ACM 6-1

118 (c) LIghting

X BMM

ACM 6-1

120 (1) Rwy lighting for takeoff and landings

X BMM

ACM 6-1

121 (2) Taxiway lighting systems

X BMM

ACM 6-1

122 (3) Airport beacon

X BMM

ACM 6-1

123 (4) Approach lighting

X FA

A

ACM 6-3

12

4 (5) Obstruction markings and lighting

X BMM Part of daily inspection 

125 (d) Maintenance of Markings and Lighting

X FMM/BMM

ACM 6-2

128 (e) Lighting interference

X Not mentioned

129 (f) Use of Advisory Circulars

Advisory - Review A/C'

130

May 21, 2008 Prepared by: Jacobs Carter Burgess System Safety Team, Fort Worth, Texas 
Austin Bergstrom International Airport - Part 139 Worksheet

AIRPORT CERTIFICATION MANUAL (ACM) E I G Resp CO

131 139.313 Snow and Ice Control132 (a) ...if located in a snow and ice area

X

AO/FM/BM Paragraphs conflicting 

135 (b) ...control plan must include instructions & procedures for:

X

AO/FM/BM No instructions/Training 

136 (1) Prompt removal as practical

X

AO/FM/BM No instructions/Training 

137 (2) Positioning of removed snow 

X

AO/FM/BM No instructions/Training 

138 (3) Material to adhere to snow and ice

X

AO/FM/BM No instructions/Training 

139 (4) Timely commencement of control operations

X

AO/FM/BM No instructions/Training 

140 (5) Prompt notification to air carriers

X AO 

Airport Operations

141 (c) Use of Advisory Circulars

Advisory - Review A/C'

14

4

145 139.315 Acft rescue & firefi Indx determination146 (a) Index is required for....

X COA - ABI

A

149 (1) length of air carrier aircraft and

X COA - ABI

A

150 (2) Average daily departures of carrier acft

X COA - ABI

A

151 (b) Aircraft lengths are grouped as follows X COA - ABI

A

152 (1-5) see actual regulation

X COA - ABI

A

153 (c) Index determination

X COA - ABI

A

ARFF Index D

15

4 (d) Minimum designagted index must be Index A 

X COA - ABI

A

155 (e) Exceptions and yet comply N

A

156157 139.317 Aircraft rescue Equip. and agent

s ARFFC

160 (a) Index A

N

A

161 (b) Index B

N

A

162 (c) Index C

N

A

163 (d) Index D

X ED-DO

A Established ACM 8-1

16

4 (e) Index E

N

A

165 (f) Foam discharge capacity

X ARFFC

ACM 9-3

166 (g) Agent discharge capacit

y

X ARFFC

ACM 9-3

167 (h) Extinguishing agent substitutions X ARFFC

ACM 9-3

168 (i) AFFF quantity requirements

X ARFFC

ACM 9-3

169 (j) Methods and procedures X ARFFC

17

4

May 21, 2008 Prepared by: Jacobs Carter Burgess System Safety Team, Fort Worth, Texas 
Austin Bergstrom International Airport - Part 139 Worksheet

AIRPORT CERTIFICATION MANUAL (ACM) E I G Resp CO

175 139.319 Acft rescue & firefighting Ops req's

X ARFFC

178 (a) Capabilities

X ARFFC

ACM 8-1

179 (b) Increase in Indexes X ARFFC

ACM 8-1

180 (c) Reduction rescue and firefighting

X CO

A

ACM 8-1

181 (d) Procedures for reduction in capability

X AOM

ACM 9-1

182 (1-3) see reg.

X AOM

ACM 9-1

18

4 (e) Vehicle communication

X ARFFC

ACM 9-1

185 (1-4) see reg.

X ARFFC

ACM 9-1

186 (f) Vehicle marking and lighting

X ARFFC

ACM 9-1

187 (1) flashing or rotating lights

X ARFFC

ACM 9-1

188 (2) Markings of contrasting colors

X ARFFC

ACM 9-1

189 (g) Vehicle readiness X ARFFC

ACM 9-1

190 (1-3) see reg.

X ARFFC

ACM 9-1

192 (h) Response requirements X ARFFC

ACM 10-1

19

4 (1) insure the following

X ARFFC

ACM 10-1

195 (i) respond to every air carrier emergency

X ARFFC

ACM 10-1

196 (ii) Administrator requests

X ARFFC

ACM 10-1

197 (2) Response must achieve the following

X ARFFC

ACM 10-1

198 (i) withing 3 minutes.. Midpoint of furthest runway

X ARFFC

ACM 10-1

199 (ii) within 4 min ...all other vehicles

X ARFFC

ACM 10-1

200 (i) Personnel - Cert must ensure:

X ARFFC

ACM 10-1 10-2

202 (1)Equipped protective clothing & equip as per ADMIN

X ARFFC

ACM 10-1 10-2

203 (2)Prop trained-prior to init duty & every 12 CCM

X ARFFC

ACM 10-1 10-2

20

4 (3)Partic in live-drill b4 init duty & every 12 CCM

X ARFFC

ACM 10-1 10-2

205 (4)Least one trained & current EMS avail air ops

X ARFFC

ACM 10-1 10-2

206 (5)Record all training for each for 24 CCM aft compln

X ARFFC

ACM 10-1 10-2

207 (6)Sufficient personnel during air ops

X ARFFC

ACM 10-1 10-2

208 (7)Proc for alerting rescue & FF auth by ADMIN

X ARFFC

ACM 10-1 10-2

209 (8)N.Amer Emer Resp Guidebook in vehicles

X ARFFC

ACM 10-1 10-2

210 (j) Hazardous materials guidance.

X ARFFC

ACM 11-1

212 (k) Emergency access roads X Don't have emergency 

213 (l) Advisory Circular use

Advisory - Review A/C'

215

May 21, 2008 Prepared by: Jacobs Carter Burgess System Safety Team, Fort Worth, Texas 
Austin Bergstrom International Airport - Part 139 Worksheet

AIRPORT CERTIFICATION MANUAL (ACM) E I G Resp CO

219 139.321 Handling and storing of HAZMAT

X

AO & ARFFC

ACM 11-1

220 (a) Protection of persons and propert

y

X

AIRCAR/FB

O

ACM 11-1

222 (1) designated persons to receive training

X

AIRCAR/FB

O

ACM 11-1

223 (2) Shipper assurances X

AIRCAR/FB

O

ACM 11-1

22

4 (b) Standards for fire & explosive protection

X DO

A DOA for compliance - e

226 (1-7) see reg.

X DO

A Procedure letters 11/17

227 Spill Response Plan?

X DO

A Excellent Spill Respons

229 (c) Fueling agent requirements

X TEN

ACM 11-3

232 (d) Inspect physical facilities X ARFFC

ARFF inspect once eve

CCM

235 (e) Training

X TEN Maintenanceain record

238 (1) Fueling Agent Supervisor

X TEN

ACM 11-3 11-4

239 (2) Fueling personnel

X TEN Trained & recurrent eve

240 (f) Tenent training confirmation X TEN

Written confirmation to 12CCM

243 (g) noncompliance methods X ADO&M Asst Dir of Ops & Main

245 (h) Use of advisory circulars

Advisory - Review A/C'

246247 139.323 Traffic and wind direction indicators

AO-BMM

250 (a) wind cones X

AO-BMM

ACM 12-1

251 (b) traffic pattern indicator around wind cone

X

AO-BMM

ACM 12-1

252 (c) Use of Advisory Circular

Advisory - Review A/C'

25

4

255

May 21, 2008 Prepared by: Jacobs Carter Burgess System Safety Team, Fort Worth, Texas 
Austin Bergstrom International Airport - Part 139 Worksheet

AIRPORT CERTIFICATION MANUAL (ACM) E I G Resp CO

256 139. 325 Airport emergency plan 257 (a) Develop and maintain a plan

X ED-DOA Preface AEP

260 (1) procedures for prompt respons

e

X ED-DOA 

AEP 2-1, 3-1

261 (2) sufficient guidance detail

X ED-DOA 

AEP 2-1, 3-1

262 (3) response to the largest aircraft X ED-DOA 

AEP 2-1, 3-1

263 (b) Instructions for respons

e

X ED-DOA 

AEP 2-1, 3-1

265 (1) Aircraft Incidents & Accidents

X ED-DOA 

Accident Response Pla

266 (2) Bomb incidents

X ED-DOA 

AEP 13-1 & Proc letter 

267 (3) Structual fires

X ED-DOA 

AEP 14-1

268 (4) Fires at fuel farms or fuel storage areas

X ED-DOA 

AEP 19-1

269 (5) Natural disaster X ED-DOA 

AEP 12-1 & ABIA Foul 

270 (6) HAZMAT incidents

X ED-DOA 

AEP 15-1

271 (7) Sabotage, hijack etc

X ED-DOA 

AEP 16-1

272 (8) Power failure for movement lighting

X ED-DOA 

AEP 17-1

273 (9) Water rescue situations

X ED-DOA 

AEP 18-1

275 (c) plan must address X ED-DOA 

AEP 1-1

276 (1) medical services

X ED-DOA 

AEP 8-1

277 (2) local hospital info.

X ED-DOA 

AEP 9-6

278 (3) local ambulance and rescue companies

X ED-DOA 

AEP 9-6

279 (4) transportation of injured

X ED-DOA 

AEP 9-6

280 (5) list of hangar facilities

X ED-DOA Not Found

281 (6) crowd control

X ED-DOA 

AEP 5-1& 20-1

282 (7) Proc. For removing disabled acft.

X ED-DOA Procedure letter 2/8/08

283 (d) Other requirements

X ED-DOA Interagency Aircraft Ac

28

4 (1) Accident survivors

X ED-DOA 

AEP 9-6

285 (2) Removal of disabled aircraft

X ED-DOA CO

A Procedure letter 2/8/08

286 (3)Emergency alarm or notification system

X ED-DOA CO

A

AEP 2-1, 3-1

287 (4)Coordination Airport & Control Tower functions

X ED-DOA CO

A

AEP Proc letter 12/15/2

289 (e) plan for notifying other participants

X ED-DOA CO

A Interagency Aircraft Ac

291 (f) water and marshland recoveries

X ED-DOA CO

A Interagency Aircraft Ac

293 (g) each certificate holder must....

X ED-DOA CO

A

AEP 6-1

295 (1) coordinate with law enforcement

X ED-DOA CO

A

AEP 6-1

296 (2) provide for participation

X ED-DOA CO

A

AEP 6-1

297 (3) all familiar w assignments & trained

X ED-DOA CO

A

AEP 6-1

298 (4) plan review every 12 months

X ED-DOA CO

A

AEP 6-1

299 (h) full scale excercises

X ED-DOA CO

A Every 36 CALENDAR M

300 (i) Security rules and regulations

X ED-DOA CO

A Not Found

302 (j) Use of Advisory Circulars

Advisory - Review A/C'

May 21, 2008 Prepared by: Jacobs Carter Burgess System Safety Team, Fort Worth, Texas 
Austin Bergstrom International Airport - Part 139 Worksheet

AIRPORT CERTIFICATION MANUAL (ACM) E I G Resp CO

307 139.327 Self-inspection program

X

AO & FMM

308 (a) Must inspect airport ....

X AO

ACM 14-1

310 (1) daily

X AO

ACM 14-1

311 (2) when required

X AO

ACM 14-1

312 (3) after an accident

X AO

ACM 14-1

313 (b) provide the following

X

AO & FMM

ACM 14-4

315 (1) equip. for conducting inspections

X

AO & FMM

ACM 14-4

316 (2) equipment for dissemination of info.

X

AO & FMM

ACM 14-4

317 (3) Procedures to insure qualified personnel

X AO

ACM 14-4

318 (I) Airport Familiarization

X AO

ACM 14-1

319 (ii) Airport Emergency Plan

X AO

ACM 14-1

320 (iii) NOTAM Procedures

X AO

ACM 14-1

321 (iv) Proc for pedestrians & ground vehicles

X AO

ACM 14-1

322 (v) Discrepancy reporting procedures

X AO

ACM 14-1

323 (4) reporting system to correct unsafe conditions

X AO

ACM 14 1-3

32

4 (c) Each certificate holder must

X AO

ACM 14-1

326 (1) record of inspections every 12 months

X AO

ACM 14-2

327 (2) Give training records to individuals

X AO

ACM 14 4-5

328 (d) Use of Advisory Circulars

Advisory - Review A/C'

329330 139.329 Pedestrians and ground vehicles

X AO Procedures letter 2/28/

331 (a) Limit access to movement areas

X ED-DO

A

ACM 15-2

333 (b) Implement procedures for safe access X AO

ACM 15-1 15-2

335 (c) Insure tower control of peds and vehicles X AO

ACM 15-1 15-2

337 (d) Control without an open control tower N

A

338 (e) consequences of non-compliance 

X AO Public Safety 15-4

341 (f) Maintain the following records

X

AO/SO/CO

A TRAIN system

34

4 (1) description of date of training

X

AO/SO/CO

A TRAIN system

345 (2) description of dates of any accidents

X AO Procedure letter 2/17/0

351 139.331 Obstructions

X

AO CO

A

ACM 15-1

35

4 Removed, marked or lighted

X AO Maintenance-Austin En

355

May 21, 2008 Prepared by: Jacobs Carter Burgess System Safety Team, Fort Worth, Texas 
Austin Bergstrom International Airport - Part 139 Worksheet

AIRPORT CERTIFICATION MANUAL (ACM) E I G Resp CO

356 139.333 Protection of NAVAID

S

X DOA-FA

A

ACM 17-1

359 (a) Prevent NAVAID obstructions

X DOA-FA

A

ACM 17-1

360 (b) Protect NAVAIDS from theft

X DOA-FA

A

ACM 17-1

361 (c) Prevent disruption of signals

X

AO/DOA/FA

A

ACM 17-2

362363 139.335 Public Protection

X DO

A

ACM 18-1

36

4 (a) Cert Holder must provide

X DO

A

ACM 18-1

367 (1)Safegrds to prevent inadvrt entry move area

X DO

A

ACM 18-1

368 (2)Protect people & propertyfrom a/c blast

X DO

A

ACM 18-1

369 (b) Fencing FAA & TSA to facilitate a-1

X DO

A

ACM 18-1

371372 139.337 Wildlife Hazard Management X AO

ACM 19-1

373 (a)Immed action alleviate wildlife hazards

X AO Procedure letter 11/17/

375 (b)Ensure wildlife hazard assess w follow events X DOM

ACM 19-1 & Procedure 

377 (1)Air carrier has mult wildlife strikes

X DOM

ACM 19-1 & Procedure 

378 (2)Air carrier subst damage from wildlife 

X DOM

ACM 19-1 & Procedure 

379 (3)Air carrier engine ingestion of wildlife

X DOM

ACM 19-1 & Procedure 

380 (4)Sizable wildlife w access or flt pattern

X DOM

ACM 19-1 & Procedure 

381 (c)Para b assess by wildlife damage mgmnt biologist X DOM Not mentioned 

382 (1)Analysis of event

X DOM

ACM 19-1 & Procedure 

383 (2) Ident of wildlife & Numbers 

X DOM

ACM 19-1 & Procedure 

38

4 (3)Ident Airport features attracting wildlife

X DOM

ACM 19-1 & Procedure 

385 (4)Describe wildlife hazards

X DOM

ACM 19-1 & Procedure 

386 (5)Rec actions to reduce wildlife hazards

X DOM

ACM 19-1 & Procedure 

387 (d)Assess from b must be sent to ADMIN to consider X DO ACM 19-1

389 (1)The wildlife hazard assessment X DOM

ACM 19-1 & Procedure 

390 (2)Rec actions from assessment X DOM

ACM 19-1 & Procedure 

391 (3)Aero activity at Airport

X DOM

ACM 19-1 & Procedure 

392 (4)Views of Certificate Holder

X DOM

ACM 19-1 & Procedure 

393 (5)Views of Airport users

X DOM

ACM 19-1 & Procedure 

39

4 (6)Other known factors

X DOM

ACM 19-1 & Procedure 

395 (e)When ADMIN det plan needed-cert hldr form plan

X DO ACM 19-1

397 (1)Provd measures to alleviate hazard to air carriers

X DO

ACM 19-1 & Procedure 

398 (2)Plan submitted & apprv by ADMIN

X DO

ACM 19-1 & Procedure 

399 (3)Becomes part of ACM

X DO

ACM 19-1 & Procedure 

May 21, 2008 Prepared by: Jacobs Carter Burgess System Safety Team, Fort Worth, Texas 
Austin Bergstrom International Airport - Part 139 Worksheet

AIRPORT CERTIFICATION MANUAL (ACM) E I G Resp CO

400 (f)Plan must include the following:

X DO

ACM 19-1 & Procedure 

402 (1)Implementing authority

X DO

ACM 19-1 & Procedure 

403 (2)Prioritizing following actions

X DO

ACM 19-1 & Procedure 

40

4 (I)wildlife population mgmnt

X DO

ACM 19-1 & Procedure 

405 (ii)Habitat modification

X DO

ACM 19-1 & Procedure 

406 (iii)Land use changes

X DO

ACM 19-1 & Procedure 

407 (3)Req for & copies wildlife control permits

X DO

ACM 19-1 & Procedure 

408 (4)Ident resources to implement plan

X DO

ACM 19-1 & Procedure 

409 (5)Procedures to be followed during air carr ops X DO

ACM 19-1 & Procedure 

410 (I)Desig pers for implementing

X DO

ACM 19-1 & Procedure 

411 (ii)Prov phys inspc of wildlife areas b4 ops begin

X DO

ACM 19-1 & Procedure 

412 (iii)wildlife hazard control measures

X DO

ACM 19-1 & Procedure 

413 (iv)Effective comm btween wildlife cont & tower

X DO

ACM 19-1 & Procedure 

41

4 (6)Proc review & eval evry 12 mths or aft event

X DO

ACM 19-1 & Procedure 

415 (I)Plan's effectiveness

X DO

ACM 19-1 & Procedure 

416 (ii)Reeval wildlife hazard assessment

X DO

ACM 19-1 & Procedure 

417 (7)Trng prog by qual wildlife damage mgmnt biologist

X DO

ACM 19-1 & Procedure 

418 (g)FAA A/C contain proc acceptable to ADMIN

Advisory - Review A/C'

419420 139.339 Airport Condition Reporting

X DO

A

ACM 20-1

421 (a)Prov for coll & dissemination of Airport condition info to airlines X AO ACM 20-1

423 (b)NOTAM use and systems apprvd by ADMIN X AO ACM 20-1 & Figure 20-

425 (c)Prov info Airport cond that may affect safe conditions

X AO

ACM 20-1

427 (1)Construction

X AO

ACM 20-1

428 (2)Surface irregularities

X AO

ACM 20-1

429 (3)Snow, ice, etc

X AO

ACM 20-1

430 (4)Snow piles

X AO

ACM 20-1

431 (5)Objects contrary to 139.313

X AO

ACM 20-1

432 (6)Malfunction lights, signs, ILS crit area signc

X AO

ACM 20-1

433 (7)Unresolved wildlife hazards 139.337

X AO

ACM 20-1

43

4 (8)Nonavail rescue firefighting capability 139.319

X AO

ACM 20-1

435 (9)Other adverse conditions

X AO

ACM 20-1

436 (d)Record 12 CCM airport cond reports X AO

ACM 20-1

437 Records X AO Notification to air carrie

438 (e)FAA A/C's for NOTAM usage & dissem

Advisory - Review A/C'

May 21, 2008 Prepared by: Jacobs Carter Burgess System Safety Team, Fort Worth, Texas 
Austin Bergstrom International Airport - Part 139 Worksheet

AIRPORT CERTIFICATION MANUAL (ACM) E I G Resp CO

439 139.341 Ident,mark, light construction & unserv areas

X AO

ACM 21-1 21-2

440 (a)Each certificate holder must

X AO

ACM 21-1 21-2

442 (1)Mark & Light if need be as auth by ADMIN

X AO

ACM 21-1 21-2

443 (I)Each constr & unserv area

X AO

ACM 21-1 21-2

44

4 (ii)Constr equip & roadways

X AO

ACM 21-1 21-2

445 (iii)Adjacent area to NAVAIDS

X AO

ACM 21-1 21-2

446 (2)Prov proc for avoiding util, cables, etc

X AO

ACM 21-1 21-2

447 (b)FAA A/C's methods & proc ident constr Advisory - Review A/C'448449 139.343 Any unsafe, cert must withhold servic

e

X DO

A

ACM 22-1 

May 21, 2008 Prepared by: Jacobs Carter Burgess System Safety Team, Fort Worth, Texas 
ABIA GAP Analysis 

SMS SPM Analysis Worksheet 

This Jacobs Carter Burgess SMS Worksheet is designed to be a 

user friendly examination of airport operations in a sequence that 

follows the organization of the Airport Certification Manual. 

The resulting information will be used to ascertain practices and 

procedures in place, to identify those elements of Part 139, which 

will be part of the SMS implementation. 

Comparing this worksheet with the Part 139 worksheet will serve as 

a crosscheck for the accuracy and completeness of the compiled 

data. 

STATUS LEGEND 

E Existing 

I In Progress 

G GAP 

RESPONSIBILITY LEGEND

ABIA Austin-Bergstrom Intnl Airport DOM Department of Maintenance 

AIRCAR Air Carrier ED Executive Director 

AO Airport Operations FAA Federal Aviation Authority 

AOM Airport Operations Manager FMM Field Maintenance Manager 

ARFFC ARFF Chief FBO Fixed Base Operator 

BMM Building Maintenance Manager SO Safety Office 

COA City of Austin TEN Tenant 

DOA Department of Aviation 

ABIA SMS GAP ANALYSIS REPORT 

Prepared by: Jacobs Carter Burgess 

Fort Worth, Texas 
AUSTIN-BERGSTROM INTERNATIONAL AIRPORT - GAP ANA

SMS SPM ANALYSIS WORKSHEE

T E I G Resp COMM

1 Safety Policy & Objectives2 Safety Policy in place?

X ED & AD In development

3 Safety organization appropriate to airport? X

Safety Manager and responsSMS

4

ABIA Monthly Safety Meetings?

X

A

O

5 Safety policy approved by senior management?

X In development

6 Policy reviewed by senior management?

X In development

7 Understand Responsibilities & Accountabilities? X Job titles & Responsibilities n

8 ACM 3-1 Lines of Succession Airport Operations X ED & AD

Delineated as per ACM - neeresponsibilities

9 Planning & Goals?

X

Airport Public Information Pu

10 Safety Goals11 Top Management driven?

X To be developed

12 Top Management commitment safety improvement?

X ED & AD SMS Pilot Program

13 Top Management commitment implement SMS?

X ED & AD SMS Pilot Program

14 Top Management commit to Non-Punitive Reporting?

X To be developed

15 Top Management commit to Provide Resources?

X ED To comply with 139

16 Top Management commit make Safety highest priority? X Needs to be stated in Safety 

17 Top Management Approval for Implementation?

X ED & AD Final approval

18 Top Management Promote Policy & Review Process

X ED & AD Needs to be expanded and e

19

Aviation Department Safety Committee?

X

AOM To be formed

20 Safety Reporting 21 Non-Punitive Safety reporting? 

X To be developed

22 Safety Risks/Deficiencies?

X To be developed

23 Events/Occurrences?

X

AOM Comply with 139 

24 Safety Resources - Top Management25 Finances committed to Safety Policy?

X ED & AD

26 Finances committed to Human Resources? X ED

27 Manager appointed to Manage SMS Ops? X

A

O Operations Supervisor

28 Emergency Response Procedure

s

29

Approved & Documented?

X ED & AD Department of Aviation (DOA

30 Reviewal Process? X

A

D Review of Plan every 12 mon

31 Procedural Dissemination Process? X

AOM Distribution Lists & Safety me

32 Prescribed drills/exercises? X

A

D Full scale every 3 years

33

Airport Emergency Plan Training?

X

A

D Trng Curriculum 11/27/2007

34 Validation?

X FAA validates in annual inspe

May 26, 2008 Prepared by: Jacobs Carter Burgess System Safety Team , Fort Worth, Texas 
AUSTIN-BERGSTROM INTERNATIONAL AIRPORT - GAP ANA

SMS SPM ANALYSIS WORKSHEE

T E I G Resp COMM

35 ABIA Interagency Aircraft Accident Response Plan

Component of City of Austin ACM

36 Responsibilities? X COA & ED Periodically reviewed by all a

37 Training?

X

A

O Classroom initial & annual re

38 Regulations, Exemptions, Standards39

Awareness responsibility Procedures? X

AOM

40 Compliance responsibility?

X

A

D

41 Periodic Reviews?

X FAA validates in annual inspe

4243 Manuals/Documentation/Records

44

Airport Certification Manual (ACM)?

X

AOM

45 ACM revision currency?

X

AOM

46 ACM Currency Procedures & Responsibility? X

AOM

47 Responsibility to communicate changes?

X

AOM

48 Top Management Awareness & Review? X ED & AD

49 Implementation responsibility?

X

AOM

50 Doc Mandatory 139 Required - Daily Log? X

AOM

51

Document & Records control, dissemination & 

disposition?

X FAA validates in annual inspe

52 Accident/Incident Records?53 .301 Procedures for recordkeeping?

X

AD &AOM 139.329 f 2 - maintain for 12 

54 Airport Conditions Report55 .301 Procedures for recordkeeping?

X

AOM

56 Procedures being followed? X

AOM & SO 12 CCM

57 Validation?

X FAA validates in annual inspe

58 Other Required Records59 Procedures for recordkeeping? X

ABI

A

ACM 139 

60 Trend analysis & monitoring reports? X

Analysis & reports not eviden

developed

6162 Safety Risk Management

63 Description SRM Process? X To be developed SMS SPM

64 Determine Risks/Hazards - SRM

65 Internal Reporting System?

X To be developed SMS SPM

66 Report Responsibility? X To be developed SMS SPM67 Identification 

68 Quality & Risk Management?

X To be developed SMS SPM

69 Internal communications of reports?

X To be developed SMS SPM

70 SRM - Probability/Severity Identification?

X To be developed SMS SPM

May 26, 2008 Prepared by: Jacobs Carter Burgess System Safety Team , Fort Worth, Texas 
AUSTIN-BERGSTROM INTERNATIONAL AIRPORT - GAP ANA

SMS SPM ANALYSIS WORKSHEE

T E I G Resp COMM

71 Analyz

e

72

Action Responsibility?

X To be developed SMS SPM

73 Probability Analysis Plan?

X To be developed SMS SPM

74 Asses

s

75

Action Responsibility?

X To be developed SMS SPM

76

Action Plan/Process? X To be developed SMS SPM

77 Evaluate acceptable Risk?

X To be developed SMS SPM

78 Mitigation strategies - SRM

79

Action Responsibility?

X To be developed SMS SPM

80 Management follow-up & Review?

X To be developed SMS SPM

81 SRM - Monitor process & progress?

X To be developed SMS SPM

82 SRM - Corrective & Preventive Action Plan?

X To be developed SMS SPM

83 SRM - Tracking & Trend Analysis?

X To be developed SMS SPM

84 Documentation SRM results? X To be developed SMS SPM8586 SRM - Airport Functions & Responsibilities

87 Airport Condition Reporting .301b888 Training?

X

AOM Course 139-

8

89 Procedures? X

AOM

90

Airport Condition Reports/NOTAMS 139.339 

X

AOM 12 CCM

91 Daily log? X AOM

Mandatory 139 req, division ievents

92 Paved Areas .30

5

93 Maintenance Repair Pavement, Ramps, Etc?

X FMM

94 Procedures? X Daily Inspection as part of se

95 Completion Inspection?

X

A

O

96 Training

X

AOM & SO COA TRAIN sys - 24 CCM

97 Safety Areas .30

9

98 Maintenance Safety Areas

?

X FMM

99 Procedures/Responsibilities? X FMM

ACM 5-2

100 Completion Inspection?

X

AOM

101 Training 

X

AOM

102 Markings, Signs, Lighting .311103 139.311 Maintain Pavement Markings?

X

ACM 14-1

104 Procedures? X FMM Daily ACM 6-2 

105 Completion Inspection?

X

A

O

At completion

106 Training?

X Course 139-

4

May 26, 2008 Prepared by: Jacobs Carter Burgess System Safety Team , Fort Worth, Texas 
AUSTIN-BERGSTROM INTERNATIONAL AIRPORT - GAP ANA

SMS SPM ANALYSIS WORKSHEE

T E I G Resp COMM

107 POFZ Markings

X

108 Procedures? X 

Maintenance addressed, but identified

109 Maintain Signage System?110 Procedures?

X

Maintenance addressed, but identified

111 Training?

X Course 139-

4

112 Maintain Airfield Lighting?

X BMM Lead Electrician on duty

113 Procedures? X 

ACM - no mention taxi edge 

lighting sys

114 Completion Inspection?

X

A

O Proc letter 2/14/08 & 3/15/08

115 Runway Holding Position Lights?

X Not in accordance with AC 12

116 Procedures? X

ACM 6-3

117 Completion iInspection?

X

ACM 6-3

118

Airfield Lighting training

X Course 139-

5

119 Maintain Airport Beacon?

X

ACM 6-2 e

120 Procedures? X Not addressed in AC

M

121 Completion Inspection?

X Not addressed in AC

M

122 MaintainApproach Lighting Systems?

X FAA ACM 6-2

123 Procedures? X FAA ACM 6-2124 Completion Inspection?

X FAA

125 Inspection marking and/or light obstructions?

X

A

O Part of Daily Inspection 16-1

126 Procedures? X FM/BM Field/Building Maintenance

127 Completion Inspection?

X

A

O

Airport Operations

128129

Snow & Ice Control .313 Responsibility? AOM ACM 7-1

130 Prompt snow /ice removal?

X FFM Conflicting info Para's A & B

131 Procedures?

X ACM 7-2 Airport Operations, 

132 Completion Inspection?

X

ACM 7-2

133 Positioning snow/ice off surfaces?

X Not addressed in AC

M

134 Procedures? X Not addressed in AC

M

135 Completion Inspection?

X

ACM 7-2

136 Authorized anti snow/ice materials?

X FAA - need more specificity a

137 Procedures? X Not addressed in AC

M

138 Completion Inspection?

X Not addressed in AC

M

May 26, 2008 Prepared by: Jacobs Carter Burgess System Safety Team , Fort Worth, Texas 
AUSTIN-BERGSTROM INTERNATIONAL AIRPORT - GAP ANA

SMS SPM ANALYSIS WORKSHEE

T E I G Resp COMM

139 Timely snow/ice control?

X

AO/FM/BM

ACM 7-1, 7-2

140 Procedures? X

ACM 7-2

141 Notifications non snow/ice removal areas?

X

AOM NOTAMS to Tenants & San A

142 Completion Inspection?

X

AOM Monitoring & information on s

143 Maintaining & Updating snow/ice removal plan?

X Not addressed in AC

M

144 Training snow/ice removal process?

X Not addressed in AC

M

145 Procedures? X Not addressed in AC

M

146 A/C Rescue & Firefighting .315 .317 .319147 ARFF Availability during Airport Operations X ARFFC 24/7 - 3 Shifts ACM 8-1, AR148 Procedures? X

ARFFC

149 ARFF Response & Recall Req?

X

ARFFC

ACM Letter Agreement - AEP

150 Procedures? X

ARFFC Monthly review & Drill Test

151 Emergency Radio Contacts

X

ARFFC

ACM Letter Agreement - AEP

152 Procedures? X

ARFFC

153 Emergency vehicles properly marked

?

X

ARFFC

ACM 9-1

154 Emer Vehicles Maintained & Ready?

X

ARFFC

ACM 9-1

155 Procedures? X

ARFFC Daily inspections

156 ARFF Index for airport being met?

X

ARFFC

ACM 8-1, Index D

157 ARFF Equipment & Agents?

X

ARFFC

ACM 9-3

158

Vehicle turret discharge capacity req?

X

ARFFC

ACM 9-3

159 Adequate agent/water available being met?

X

ARFFC

160 Emergency Response Requirements

?

X

ARFFC 3 Minutes to midpoint ACM 1

161 Immediate Replacement inop Emer Vehicles?

X DO

A

ACM 8 -1

162 Procedures? X

ARFFC

ACM 8-1

163 Reports? X ED & AD Regional Airports Division Ma

164 Sufficient trained ARFF to meet req 139?

X

ARFFC

ACM 10-1

165 Ensuring rapid response to Emergencies

X

ARFFC

166 Emergency personnel equipped protective gear?

X

ARFFC

AC 150/5210-17 & ACM 10

167 PPE, Hardhats, Eye protection, Face protection.

X

ARFFC Safety Office

168 Rescue & ARFF properly trained for duties? X 

ARFFC

ACM 10 - 1 Monthly testing

169 Procedures? X

ARFFC Recurrent trng every 12 mon

170 Personnel live drill before initial duty?

X

ARFFC Texas A&M and/or Salt Lake 

171 Procedures? X

ARFFC

ACM 10 - 1

172

May 26, 2008 Prepared by: Jacobs Carter Burgess System Safety Team , Fort Worth, Texas 
AUSTIN-BERGSTROM INTERNATIONAL AIRPORT - GAP ANA

SMS SPM ANALYSIS WORKSHEE

T E I G Resp COMM

173 Emergency Medical Service Personnel

X

ARFFC Records 24 months

174 Procedures? X

ARFFC Recurrent training every 12 m

175 Training

X

ARFFC COA TRAIN sys - Records 2

176

Emergency Medical Service available during Air 

Ops? X ARFFC ACM 10-2

177 Alert System & Maintenance Emer Pers

?

X

ARFFC Tested 0800 dail

y

178 Procedures? X

ARFFC

AEP & IAARP

179 .303 & .327 Emergency Check Lists for Vehicle

s

X

X

ARFFC Grid map needs improvemen

180 Inspection?

X

ARFFC

At start of each shift

181 Fire or Bomb Threat Evacuation (Terminal)

X

A

D Procedure Letter 

182

N. American Emergency Response Guide in 

vehicles? X ARFFC

183

Emergency Roads maintained all weather 

operations? X No Emergency Roads

184 Severe Weather Operations/Notifications

X

AOM

185186 HAZMAT - Handling & Storage .321

AOM/ARFF 

Airport Operations & ARFF M

187 Does Airport act as Cargo Handling agent? No188 Proper Cargo Identification?

X TEN

189 Procedures? X TEN190 Applicable Cargo handling?

X TEN Tenant handling

191 Procedures? X TEN192 Material Safety Data Sheets - MSDS

X TEN Req by OSHA - Tenants - Sp

193 Special HAZMAT Storage Areas

?

X

AIRCAR/FB

O Designate areas

194 Procedures? X

AIRCAR/FB

O Prescribe rules & procedure

195 HAZMAT Advisory Signage?

X TEN 139.321 (a)( 3)

196 Procedures? X TEN197 Storage Areas Properly Maintained?

X TEN

198 Procedures? X TEN DOT EPA TCEQ TDH199 HAZMAT Manual Readily Available?

X TEN MSDS, OSHA

200 Procedures? X TEN201 Responsibility, Revisions, Validation?

X TEN

202 Spill Response?

X TEN DOA & Dir Facilities Services

203 Procedures? X TEN

Spill Response Plan F-11 - Ssecondary

204 Training? X TEN

Spill Responder training & Sp15

205 Notifications?

X TEN EPA, FAA, TCEQ, COA, DOA

May 26, 2008 Prepared by: Jacobs Carter Burgess System Safety Team , Fort Worth, Texas 
AUSTIN-BERGSTROM INTERNATIONAL AIRPORT - GAP ANA

SMS SPM ANALYSIS WORKSHEE

T E I G Resp COMM

206 HAZMAT Training?

X TEN Spill Responder Training 

207 Procedures? X TEN First Responder Awareness T

208 HAZMAT Contamination Suits - Required? No - HAZMAT Teams from 209 Baggage Alert

s

X ED & AD Procedure Letter

210 Fueling - Aircraft & Vehicles211 Fuel Handling - Fire & Explosion?

X DO

A

212 What are standards?

X DO

A

213 Procedures? X TEN

214 Compliance with Fueling Standards?

X TEN Tenants/Contractors

215 Procedures? X TEN Tenants/Contractors216 Immediate Action fueling Standards breached?

X TEN Tenants/Contractors

217 HAZMAT & SWPPP Procedures?

X TEN/AOM DOA Environmental Complia

218 Fueling truck inspections?

X

ARFF quarterly checks

219 Fueling Training220 Airport Fueling Agent Inspector

X

ARFFC

ARFF every 3 months

221 Procedure? X

ARFFC

ARFF Records for 12 CCM

222 Records X

ARFFC

223 Airport Fueling Personnel Training? X TEN Certification report to Airport 

224 Records X TEN Records at each FBO

225 Procedure? X TEN Supervisor - Recurrent every 226 Fuel farm Inspections?

X

ARFFC

227 Procedures? X

ARFFC

228 Validation?

X

ARFFC

229 Emergency Fuel Shutoffs?

X TEN Contractor fueler Manager

230 Inspection?

X TEN

231 Portable Fire Fighting Agents?

X TEN

232 Procedures? X TEN233 Inspection?

X TEN

234235 Airport Emergency Plan .325

X DOA & FAA - Scope & Objec

236 Prompt Response?

X ED/AD

ARFF

237 Procedures? X ED/AD

ATC Initiates

238 Responsibility & Dissemination?

X ED/AD Review AEP every 12 month

239 Validation?

X ED/AD Full scale Emergency Exercis

May 26, 2008 Prepared by: Jacobs Carter Burgess System Safety Team , Fort Worth, Texas 
AUSTIN-BERGSTROM INTERNATIONAL AIRPORT - GAP ANA

SMS SPM ANALYSIS WORKSHEE

T E I G Resp COMM

240 AEP Plan & Guidance?

X ED/AD

ACM 9-2 Outdated

241 Procedures Documented & Implemented?

X DOA/CO

A Review of Plan every 12 m w

242 Procedures review? X

A

D Full scale every 3 years

243 Validation & Review?

X

A

D Distribution Lists

244 Training?

X No Training provisions menti

245 Removal disabled aircraft?

X

AOM

246 Procedures? X

AOM Procedures Letter 2/08/200

8

247 AEP Notifications in Emergencies?

X COD/ED ATC notifies ARFF

248 Procedures? X

Alert 1, 2, 3 121.9 128.35 T

249 AEP Coord with Agencies/Organizations?

X COA/ED Incident Command Post - Un

250 Validation?

X Daily 0800 Test

251 Communications?

X Ring-down system & Pagers

252 Aircraft bomb threat?

X Procedure letter 2/09/08 & A

253 Procedures? X

AOM

AEP

254 Security Breach?

X Procedures Letter

255 ABIA Interagency Aircraft Accident Response Plan X COA/ED Separate from AEP - dated 1

256 Self-Inspection Program .327 Daily airfield, General, Specia

257 Airport Daily Inspections?

X

AOM

258 Procedures? X FMM/BMM

ACM 14-1, -2 

259 Deficiencies?

X

ACM 14-1 -- Airport Inspectio

Report

260 Validation?

X

AOM

261 139.327 Training?

X Course 139-

7

262 Special Needs Inspections?

X

AO&FMM Unusual conditions, accident

263 Hazardous deficiencies? X Possible NOTAM & ATIS264 Post Accident/Incident/Event Inspections?

X

AOM & FMM

265 Procedures? X

AOM & FMM

266 Documentation?

X To be maintained 5 years

267 Equipment to perform inspections adequate?

X

AOM Two way radios & Amber rota

268269270 Inspectors Qualified & Trained?

X 139.303 Recurrent 12 CCM 

271 Procedures? X

AOM ACM 14-5 Records kept 24 C

272 Validation?

X FAA Cert Inspection

273 Prompt corrections unsafe conditions found?

X

ACM 14-3 - Notams - Add to 

274 Procedures? X

AO & FMM

May 26, 2008 Prepared by: Jacobs Carter Burgess System Safety Team , Fort Worth, Texas 
AUSTIN-BERGSTROM INTERNATIONAL AIRPORT - GAP ANA

SMS SPM ANALYSIS WORKSHEE

T E I G Resp COMM

275 Self-Inspection Records?

X

ACM 14-1, 2 & Acc Preventio

276 Procedures? X

AOM

Airport Operations Mgr - 12 

277 Responsibility?

X

A

D Reviewed by management

278 Pedestrians & Ground Vehicles .329279 Limit access to movement & safety areas? X ED

Training - Airfield Driver SafeOperations

280 Procedures? X

ACM 15-1

281 Validation?

X Records 24 cm - FAA Certific

282 Training on non-compliance?

X

AOM

ACM 15-4

283 Procedures? X Notify Airport Public Safety o

284 Prevention of unauthorized entry?

X ED

ACM 15-1

285 Procedures? X

ACM 15-1, 2 Entry awarene

286 Wildlife Hazard Management .337

ACM 19-1 & Procedures Lett

287 Wildlife Hazard Assesment X DO

A DOA when req - ACM 19-1 & 

288 Adequate resources for wildlife plan?

X

A draft plan has been identifi

289 Wildlife permits?

X USDA - Manage herd

290 Wildlife hazard communications?

X .337 f 5 iv

291 Database? X Procedure letter - 11/17/200

6

292 Designated & Trained Wildlife Personnel? X

Procedure letter - 11/17/2006 Coordinator

293 Airport Condition Reporting .339

X

ACM 20-1

294 Dissemination to Air Carriers?

X

ACM 20-1

295 Procedures? X

A

O Request NOTAM from San A

296 Records? X 12 CCM airport conditions re

297 Construction & Other Unservicable Areas .341 X

Object Free Areas are not Sarestrictive

298 Construct safeguards regarding NAVAIDS

?

X

ACM 21-2 - Not complete - .3

299 NOTAM Issue Procedures X FMM Procedure Letter ACM 21-1

300 Marking, identifying, lighting construction areas? FMM301 Procedures? X

ACM 21-1 21-2

302 Marking & Identifying equipment & roadways? FMM303 Procedures? X

ACM 21-1 21-2

304 Marking & Lighting NAVAIDS FMM305 Procedures? ACM 21-1 21-2306

May 26, 2008 Prepared by: Jacobs Carter Burgess System Safety Team , Fort Worth, Texas 
AUSTIN-BERGSTROM INTERNATIONAL AIRPORT - GAP ANA

SMS SPM ANALYSIS WORKSHEE

T E I G Resp COMM

307 Non-Complying Conditions .343

ACM 22-1

308 Limiting Air Carriers to safe portions airport

ACM 22-1

309 Procedures? X DO

A DOA monitor airport

310311 Safety Assuranc

e

312 Performance Indicators313 Accident, Incident, event Reviews?

X

A

D Vehicle Collision Review Com

314 Planned reviews?

X DOA Employees - Vehicle Co

315 Investigation Procedures & Responsibilities? X Varies - appears to be ad hoc 316 Self-Auditing317 Procedure to ensure all events investigated?

X No procedure plan

318 Internal audits 

X No internal audits

319 Responsibility?

X

Audited Readiness Assuranc

320 Safety Oversight Risk Strategies321 Investigation Procedures & Responsibilities? X Will be developed SMS

322 Training competency?

X

323 Planned/unplanned changes procedures? X Will be developed SMS324 Planned/unplanned changes equipment? X Will be developed SMS325 Planned/Unplanned changes Personnel? X Will be developed SMS326 Planned/Unplanned changes fixtures? X Will be developed SMS327 Feedback Reporting328 Non-Punitive inputs & reports?

X Will be developed SMS

329

Analysis reviewing procedures? X Will be developed SMS

330 External Safety reporting procedures?

X Will be developed SMS

331 Communicate Findings & Status reporting?

X Will be developed SMS

332 Communicate findings internally? 

X No process outline

d

333 Promote Safety Integration334 Recommendations?

X

335 External/Independent Audits/Assessments? X Will be developed SMS336 Evaluations of corrective actions?

X Will be developed SMS

337 Training Review?

X Will be developed SMS

338 Documentation & Record Keeping? X Will be developed SMS339 Documentation Review Lessons Learned Process? X Will be developed SMS340

May 26, 2008 Prepared by: Jacobs Carter Burgess System Safety Team , Fort Worth, Texas 
AUSTIN-BERGSTROM INTERNATIONAL AIRPORT - GAP ANA

SMS SPM ANALYSIS WORKSHEE

T E I G Resp COMM

341 Safety Promotion342 Training & Education343 Plan for employee SMS Indoctrination Training?

X

AOM In development

344 Means for measuring Safety training?

X None noted

345 Safety training for indoctrination & recurrent training?

X

AOM Airport Operations - FAR 13

346 Process to identify training requirements?

X Will be enhanced with SMS d

347 Job specific training?

X

AOM

348 Human Factors integrated into training?

X None noted

349 Computer Based Instruction (CBI)? X Partial - hands on350 Standardization checks on instructors? X None noted351 Validation training effectiveness?

X No evidence of means to me

352353 139.301 Record Retention 

354 Airport Personnel Training 139.303 & 139.327 24 CCM X AOM

355 Emergency Personnel Training 139.319 24 CCM

X Not noted

356

Airport Fueling Agent Insp 139.321 12 CCM

X

AOM

357 Fueling Agent Personnel 139.321 12 CCM

X

AOM

358 Self Inspection 139.327 12 CCM

X

AOM

359 Movement Area Training 139.329 24 CM

X

AOM

Airport Operations Excel prog

360 Safety Area Training 139.329 24 CM

X

AOM

361

Accident & Incident Reports 139.329 12 CCM

X

AOM & SO COA TRAIN Sys

362

A/P Condition Reports/NOTAMS 139.339 12 CCM

X

AOM

363 Recordkeeping Procedures & Recurrent Trainin

g

X

AOM & SO COA TRAIN Sys

364 Emergency Preparedness Response Training365 Emergency response training for specific pers? X None noted other than marsh

366 Training records on file 24 months?

X

ARFFC

367 Procedures for recordkeeping? X Not noted

368 AEP Training? X

No trng mentioned ACM AEP 139-2

369 Emergency Medical Service Personnel370 Training records on file 24 months?

X

ARFFC

ARFF Station

371 Procedures for recordkeeping? X

ARFFC

ARFF Station 

372 Fueling Training373 Fueling Agent Inspection?

X

ARFFC

ARFF every 3 months

374 Procedure? X

ACM 11-3

375 Procedure being followed? X Inspection reports ARFF for 1

376 Validated?

X

ARFFC

May 26, 2008 Prepared by: Jacobs Carter Burgess System Safety Team , Fort Worth, Texas 
AUSTIN-BERGSTROM INTERNATIONAL AIRPORT - GAP ANA

SMS SPM ANALYSIS WORKSHEE

T E I G Resp COMM

377 Fueling Personnel Training Records?

X

AOM Paper File - written cert every 

378 Procedure being followed? X Supvr - Recurrent Trng every 

379 Movement Area & Safety Area Training

?

380 Procedures? X AOM

Prior Initial Duty then at least course

381 HAZMAT Storage 

382 Procedures? X TEN Tenants train DOA standards

383384 Wildlife Hazard Management 385 Wildlife Coordinator?

X No Wildlife Coordinator desig

386 Procedures? X Plan drafted, not activated387 Training?

X Course 139-1

0

388389 Non-Punitive Safety Reporting

X To be developed SMS

390391 Safety Communications392 Communications allowing Safety functioning X AD/AOM

Daily log, Safety Committee mboards

393 Electronic?

X Developing

394 Written? 

X

AOM Operations Daily Log

395 Meetings?

X

AOM Monthly Safety Meetings

396 Bulletins, NOTAMS, Security?

X

AOM Daily Log, bulletin boards

May 26, 2008 Prepared by: Jacobs Carter Burgess System Safety Team , Fort Worth, Texas 
ABIA SMS GAP ANALYSIS REPORT 

Prepared by: Jacobs Carter Burgess 

Fort Worth, Texas 

Austin-Bergstrom International Airport 

Federal Aviation Administration 

Safety Management System (SMS) 

Pilot Program 

SMS Team Members 

Jacobs Carter Burgess, Fort Worth, Texas 

Richard Compton Project Manager 

Rick Paddock Policy & Objectives 

Alisa Rich Environmental Risk 

Joe Oyler Risk Management & Safety Promotion 

Bruce Bickhaus Risk Management & Safety Promotion 

Deborah Reiswebber Human Factors & Organizational Development 

Victor Nartz Quality Assurance 

Leslie Sagar Quality Control / Quality Assurance 

Austin-Bergstrom International Airport 

Loren Lintner Project Manager 

Mary Anne Bertuglia Airport Operations Manger 

Patti Edwards Director of Operations & Maintenance 

Jim Smith Executive Director