ICAOs SMS and the

HAM Safety and Health Approach

Hamburg Airport

Reinhard Fingerle 20.11.2003 Seite 1

Practical approaches to ICAO’s

safety management system at HAM

EAGOSH – 18-19 November 2003

� ICAOs Safety Management System

� Proposal for a Reporting System

� Accident and incident cadaster...

� Limits of method

Hamburg Airport

Reinhard Fingerle 20.11.2003 Seite 2EAGOSH – 18-19 November 2003

International Civil Aviation

Organisation (ICAO)

ICAO Annex 14, chapter 1.3

supported by

ICAO Manual on certification of

aerodromes (Doc 9774)

1.3.6 As of 24.November 2005, a certified

aerodrome shall have in operation a Safety

Management System (SMS).

Doc9774 / 3.2 Section C: AERODROME MANUAL- It contains all

the pertinent information concerning the aerodrome site,

facilities, services, equipment, operating procedures,

organisation and management including the safety

management system.

Hamburg Airport

Definition: safety management system(according to ICAO Doc 9774 AN/969 Manual on Certification of Aerodromes)

is a system for the management of

safety at aerodromes including the

• organizational structure,

• responsibilities,

• procedures,

• processes and

• provisions

for the implementation of aerodrome safety policies

by an aerodrome operator, which provides for the

control of safety at, and the safe use of, the

aerodrome.Reinhard FingerleEAGOSH – 18-19 November 2003 20.11.2003 Page 3

Safety management system

Hamburg Airport

Reinhard Fingerle 20.11.2003 Seite 4

Safety management system

EAGOSH – 18-19 November 2003

The aim of the SMS

Minimizingrisks

Avoiding"safety events"

Minimizingthe effects (monetaryand operational) of

"safety events"

Fulfilling safetystandards of

regulations andlaws

OperationalSafety

improved by

s. ADV proposal

Hamburg Airport

Reinhard Fingerle 20.11.2003 Seite 5

ADV proposal for reporting

EAGOSH – 18-19 November 2003

According to ADV (German Airport Association) a

suitable reporting system to collect, analyze and spread

safety data must be established. It contains:

• Definition of safety aims and assessment of progresses

• Documentation of accidents/incidents including

internal/external results of investigation and initiated

correction measures

• Statistical analysis to show developments and tendencies

• Results of security checks and recommendation of correction

measures

• Documentation of safety events, training courses and measures

• All doubts, assessments and resulting adjustments concerning safety

• Analysis of developments and findings

Hamburg Airport

Reinhard Fingerle 20.11.2003 Seite 6

ADV proposal for reporting

EAGOSH – 18-19 November 2003

Following instruments should be the basis for

SMS reporting:

• Establishment of an Airport Safety Commitee

• Publication of Safety Bulletins

• Training measures

• Safety campaigns

• Exchanges of information

• Safety information available by intranet etc.

• Establishment of an airportwide reporting system to notify

accidents/incidents and safety doubts

• Cooperation with institutions of science and research

• Collection of specialist journals and statute books

Hamburg Airport

• Data collection

- accident/incident report

- safety barometer

- ACI-report

• Visualize happening accidents/incidents

• Discover accident/incident emphasisses

Reinhard FingerleEAGOSH – 18-19 November 2003 20.11.2003 Page 7

airportwide reporting system

example:

accident/incident cadaster at HAM:

Hamburg Airport

It contains the following types:

Reinhard FingerleEAGOSH – 18-19 November 2003 20.11.2003 Page 8

Accident/incident cadaster at

HAM

• not notifiable work accidents

• notifiable work accidents

• accidents / incidents with moving aircraft

• accidents / incidents with stationary aircraft

• damage by jet blast

• equipment to equipment damage

• equipment to facility damage

• damage to container / freight

Hamburg Airport

EAGOSH – 18-19 November 2003 20.11.2003 Page 9

Accident/incident cadaster at

HAM

Reinhard Fingerle

Hamburg Airport

To connect accidents/incidents on an

aerodrome with flight movements we

established an emphasis rate (SPZ).

SPZ = accidents/incidents * 1000

(arrivals+departures)

EAGOSH – 18-19 November 2003 20.11.2003 Page 10

Accident/incident cadaster at

HAM

Reinhard Fingerle

Hamburg Airport

Analysis of damage 2003August 2003

EAGOSH – 18-19 November 2003 20.11.2003 Page 11

Accident/incident cadaster at

HAM

Total: 51.572 51.597 -25Pos. No. of

arrivalsNo. ofdepar- tures

Difference Description ofposition

0 11 17 0 1 0 5 11

17 2176 2347 -171 Apron 1 4 1 4 0,88 1 0,2219 1700 1837 -137 Apron 1 1 2 3 0,85 0 016 2117 2289 -172 Apron 1 2 1 1 3 0,68 1 0,2320 1492 1634 -142 Apron 1 2 2 0,64 0 013 1891 2090 -199 Apron 1 1 1 1 2 0,5 1 0,2542 3972 3985 -13 Apron 1 2 2 0,25 0 0

Accident/incident emphasis cadaster 2003 (DAMAGE -accident/incident emphasisses with a minimum of two incidents)No. of accidents/incidents 29 16

Reinhard Fingerle

Hamburg Airport

EAGOSH – 18-19 November 2003 20.11.2003 Page 12

Accident/incident cadaster at

HAM

Reinhard Fingerle

Hamburg Airport

Analysis of work accidents 2003

EAGOSH – 18-19 November 2003 20.11.2003 Page 13

Accident/incident cadaster at

HAM

Total: 51.572 51.597 -25Pos. No. of

arrivalsNo. ofdepar- tures

Difference Description ofposition

0 11 17 0 1 0 5 11

585 50 30 20 Apron 2 1 1 0 0 2 2571 1113 1119 -6 Apron 1 1 1 1 1 0,45 2 0,964 1.807 1.767 40 Apron 1 1 1 0 0,0 2 0,5615 2124 2284 -160 Apron 1 1 2 1 0,23 2 0,45

No. of accidents/incidents 29 16Acci-/incident emphasis cadaster 2003 (WORK ACCI-/INCIDENTS - acci-/incident emphasisses with a minimum of two incidents)

Reinhard Fingerle

�Retrospective analysis:

+ Good practice

+ Ensured mishap- data base

+ Return on investment more easy

- “Shit happened before”

Hamburg Airport

Reinhard Fingerle 20.11.2003 Page 14EAGOSH – 18-19 November 2003

Comparison of strategies in

risk assessment

�Prospective Analysis:

- Looking for “the needle in a haycock”

- Needs a standardized scale to

estimate the hazards- when found

- Return on investment is difficult

+ No one was injured / nothing destroyed

Hamburg Airport

20.11.2003 Page 15

Retrospective safety / risk rates

described by IATA, ACI, HAM

Reinhard FingerleEAGOSH – 18-19 November 2003

IATA-Guidelines for a Safety

Management System (Ramp Inci-/Accident Report AHM 693

Risk Activity Assessment AHM 683)

ACI- Apron Safety Handbook (ground incident / accident reporting

and analysis procedures)

Target rates at Hamburg Airport

Retrospective

“Damage Rate” The Frequency of damage to aircraft on the apron

expressed in terms of number of occurrences per 1,000 departures for one

given carrier.

“Safety Level” The number of incidents / accidents per 1,000 aircraft

movements is a measurement of apron safety at any particular

airport. The average of incident /

accident rates from ACI

worldwide (Data for every ACI-category)

or respective region

(total of ACI-categories) may be taken as a reference level.

The ACI - “Safety

Level” with Data for the

full year in EUR- region for airports with more than 70,000 annual

Aircraft movements is

our reference level. To picture apron high risk areas we use an incident

/ accident (sum of all ACI- categories) rate per 1,000

aircraft-movements on each stand - so called

“Emphasis Rate -SPZ“.

Hamburg Airport

Reinhard Fingerle 20.11.2003 Page 16EAGOSH – 18-19 November 2003

Comparison of strategies in Safety /

Risk assessment

Risk assessment:

Establishing target levels of safety

Ideally, zero risk is the target level for operational safety.

In practice there has to be a quantitative target level of

safety

Hamburg AirportProspective safety / risk rates described

by IATA, ACI, HAM

IATA-guidelines for a safety

management system(Ramp Inci-/Accident Report AHM 693

Risk Activity Assessment AHM 683)

ACI- Apron Safety

Handbook(Ground Incident / Accident

reporting and analysis

procedures)

target rate developed at

Hamburg Airport

Prospective

„Mishap Probability”

The result of a procedure to

identify and estimate the

hazards associated with the

operations or tasks around the

aircraft.

The method is based on a two-

dimensional matrix (like the so

called risk graph) with Hazard

Probability and Hazard

Severity which guides to a

number.

The appropriate risk

assessment code leads you to

priorities to reform operations

to get safer processes.

?

“Accident Hazard

Measure - Gm”

The result of a procedure to

identify and estimate the

hazards for all operations at

the airport.

The method is based on a

modified FMEA (Failure

Mode and Effect Analysis).

Gm is the product from

Hazard Probability and

Hazard Severity.

The appropriate risk

assessment code leads you

to priorities to reform

operations to get safer

processes.

20.11.2003 Page 17Reinhard FingerleEAGOSH – 18-19 November 2003

Hamburg Airport

20.11.2003 Page 18Reinhard FingerleEAGOSH – 18-19 November 2003

Example for prospective risk

assessment at HAM

estimated hazard:

Infection by HAV

(Hepatitis-A-Virus)

caused of contact with

the faeces by cleaning

up the Aircraft

“F”-Severity: (worst case) 2

4 to 8 week clinical inhabitation

“W”-Probability: 1

by looking at the way of descent

“Gm” Accident hazard

measure: 2x1

2 leads to take “desirable”

action (e.g. Face-shield) to

protect the employees

1. Work out the accident hazard rate „Gm“

by safety auditing of operations

2. The appropriate risk assessment code

leads you to priorities to reform

operations and get more safer processes

Hamburg Airport

Reinhard Fingerle 20.11.2003 Page 19EAGOSH – 18-19 November 2003

Practical retrospective risk assessment

at HAM with ACI safety level

ACI-Report (Data for full Year)Year 2001 2000

HAM HAMAircraft movementsparticipating Airports

No. Rate No. Rate No. Rate No. Rate No. Rate No. Rate

1 No of incidents/accidents, of which: 8.591 0,4 6.920 0,9 100 0,8 5.526 0,2 3.262 0,56 175 1,062 Incidents/accidents involving aircraft 1.826 0,1 1.217 0,2 31 0,2 1.883 0,1 1.076 0,18 33 0,20

3Incidents/accidents involving Equip. & facilities 6.765 0,3 5.703 0,8 69 0,6 3.643 0,1 2.186 0,38 142 0,86

25.846.942ACI

5.819.418 164.932ACI

ACI-EUR (>70,000 AC-movements)

23.098.966 7.522.149 125.348353

ACI-EUR (>70,000 AC-movements)

40 359 29

Look for differences between the ACI-EUR and HAM survey and work out the

causes of accident / incident in the different sectors of ground operations

Hamburg Airport

EAGOSH – 18-19 November 2003 20.11.2003 Page 20

Safety barometer at HAM

Acci-/incidents according to sum of ACI-Categories A, B, C per 1000 flight movementsA: Damage to moving aircraftB: Equipment to facility damageC: Damage by jet blast

0,00

0,10

0,20

0,30

0,40

0,50

0,60

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

2002 2003 2000/2001

Reinhard Fingerle

Hamburg Airport

EAGOSH – 18-19 November 2003 20.11.2003 Page 21

Safety barometer at HAM

HAM-Airport-Group: Work accidents

1000 - employees - quote

0,00

25,00

50,00

75,00

100,00

125,00

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

2002 2003 3 - year - average

Reinhard Fingerle

�Retrospective analysis:

- For better assessment with a safety level

according to ACI, data for the EUR-region

in detailed categories would be helpful!

�Prospective analysis:

Especially to analyse the return on investment

more standardized data were needed for costs of:

- damage to aircraft

- operational consequences

- damage to handling equipment

- injury to personnel!

Hamburg Airport

Reinhard Fingerle 20.11.2003 Page 22

Limits of methods and missing guidelines

for better risk assessment at airports

EAGOSH – 18-19 November 2003

Thank you

Reinhard Fingerle

Hamburg Airport

20.11.2003 Page 23

The end?

EAGOSH – 18-19 November 2003

Runway Safety is no accident

Hamburg Airport

Reinhard Fingerle 20.11.2003 Page 25EAGOSH – 18-19 November 2003