Safety Management System Manual 4-1



### Chapter 4 

## Safety Management System Program

CHAPTER TITLE PAGE #
Chapter 4 San Antonio Aviation System Safety Management Program ...................................................... 4-3

4.0 Overview of San Antonio Aviation System Safety Management Program ...................... 4-3 4.1 General ...................................................................................................................... 4-3 4.2 Responsibilities and Authorities ................................................................................... 4-4 4.3 Procedures ................................................................................................................. 4-4 4.4 Confidential Reporting System .................................................................................... 4-8 4.5 Audits ........................................................................................................................ 4-10 4.6 SMS Committees 4.6.1 – Executive SMS Steering Committee ................................................................ 4-10 4.6.2 – Safety Management System Review Committee ............................................. 4-13 4.7 Ground Handling Incident, Accident Reporting, and Investigation ................................ 4-15 4.8 Risk Management ...................................................................................................... 4-20 4.8.1 – General .......................................................................................................... 4-20 4.8.2 – Introduction .................................................................................................... 4-20 4.8.3 – Responsibilities and Authorities ....................................................................... 4-20 4.8.4 – Procedures ..................................................................................................... 4-20 4.8.5 – Transfer, Eliminate, Accept, and Mitigate Risk.................................................. 4-24 4.8.6 – Action Plan ..................................................................................................... 4-25 4.8.7 – Performance Assessment and Control Validation ............................................ 4-25 4.8.8 – Modification .................................................................................................... 4-25 4.8.9 – Documentation and Forms .............................................................................. 4.25 Figures: 4-1 SAAS Safety Management Systems Pliers ............................................................ 4-5 4-2 Safety Hotline Log (SMS FM 05) ........................................................................... 4-9 4-3 Risk Management Flow – SMS Committee and Executive Committee ................... 4-14 4-4 Risk Management Flow – Safety Investigation Flow .............................................. 4-14 4-5 Safety Accident Investigation Report (SMS FM 06) ............................................... 4-14 4-6 Risk Management Process Overviews .................................................................. 4-21 4-7 SAAS Risk Matrix ................................................................................................. 4-22 4-8 Severity Definition Chart Clarification ................................................................... 4.23 4-9 Risk Classification Chart ...................................................................................... 4-24 4-10 Safety Risk Management Documentation (SRMD) .............................................. 4-27 4-11 Safety Risk Assessment Worksheet # 1 (SMS FM 07-1) ..................................... 4-30 4-12 Safety Risk Assessment Worksheet # 2 (SMS FM 07-2) ..................................... 4-32 Tables: 4-1 Instructions for Completing the SMS FM 05 .......................................................... 4-104-2 Safety Management System Manual

DRAFT 10 Jul 2010

4-2 Instructions for Completing the SMS FM 06 .......................................................... 4-19 4-3 Instructions for Completing the SRMD ...................................................................4-29 4-4 Instructions for Completing the SMS FM 07-01 ..................................................... 4-31 4-5 Instructions for Completing the SMS FM 07-02 ..................................................... 4-33Safety Management System Manual 4-3

DRAFT 10 Jul 2010 Chapter 4 Safety Management System Program

4.0 Overview of San Antonio Aviation System Safety Management Program: 4.1 General : 4.1.1 The SAAS will use a Safety Management System (SMS) approach to manage safety risk by: 4.1.1.1 Ensuring SMS attributes are integrated throughout the day-to-day operation, which are: responsibility and authority, procedures, controls, process measurement, and interfaces. 4.1.1.2 Implementing and maintaining an information and action feedback cycle to ensure continuous improvement. 4.1.2 The Safety Management Organization plays a key role in helping the SAAS develop and maintain a structured management system to control safety risk. Each Division is ultimately responsible to manage safety risk within its respective area; however, the Safety Management Organization assists management in making decisions to mitigate hazards and manage risks to an acceptable level. 4.1.3 The SAAS’s Safety Management Organization supports the implementation of SMS principles by: 4.1.3.1 Overseeing the collection and analysis of safety data. 4.1.3.2 Working with management to identify hazards and determine the associated risks. 4.1.3.3 Guiding management in developing and implementing intervention strategies to mitigate risks. 4.1.3.4 Tracking and evaluating the effectiveness of the interventions. 4.1.3.5 Promoting safety awareness among all employee groups, tenants, and contractors. 4.1.4 The SAAS will comply with, and wherever possible, exceed regulatory requirements and standards to effectively manage safety risk within the day-to-day operation. 4.1.5 SAAS Safety Management Plan: 4.1.5.1 Each year this plan will be updated for the purpose of helping management effectively manage safety risk in all areas of the operation. 4.1.5.2 SMS Committee will identify safety objectives and safety performance targets, and update the SMS plan to meet those objectives and targets for the upcoming year as part of the safety management plan 4.1.5.3 Senior management will provide resources essential to implement and support the safety management plan. 4.1.5.4 The update to the plan will be completed prior to the beginning of each calendar year. 4.1.5.5 The SMSMG, will lead the Executive SMS Steering Committee in updating the safety management plan. Refer to Section 4.5 in this chapter for specific procedures regarding the development of the safety management plan. 4.1.6 Safety Management Programs, Organization of Manual Content: 4.1.6.1 The policies and procedures for the programs managed by the Safety Division are contained in Chapter 4 and Chapter 6. Inner-office policies and procedures and safety database procedures are contained in the Safety Division Operating Instructions. 4.1.6.2 The SMSMG has the authority to revise the division’s Operating Instructions. These instructions will not be published as a controlled manual, but will be maintained in the Safety Division’s electronic files as well as division hard copy files maintained by the Safety Specialist. 4.1.7 Internal Evaluation Program, Organization of Manual Content: 4.1.7.1 The policies and procedures for the programs managed by the Safety Division are contained in Chapter 5. 4.2 Responsibilities and Authorities:4-4 Safety Management System Manual

DRAFT 10 Jul 2010 4.2.1 The Safety Management System Manager has the authority to modify the processes in this chapter and is responsible for its quality. 4.2.2 Responsibilities and authorities for this process are represented in paragraph 3.4 of this manual. 4.3 Procedures: 4.3.1 Safety Management System Elements: 4.3.1.1 The SAAS has organized the Safety Management function around four essential pillars. 4.3.1.1.1 Safety Policy. 4.3.1.1.2 Safety Risk Management. 4.3.1.1.3 Safety Assurance. 4.3.1.1.4 Safety Promotion. 4.3.1.2 Figure 4-1 provides an overview of the SAAS’s Safety Management System program organized according to these four pillars. 4.4 Confidential Reporting Systems: 4.4.1 General : 4.4.1.1 San Antonio Airport System values the feedback of all employees and has established confidential reporting systems to encourage employees to freely and anonymously communicate safety concerns and be involved in the problem-solving process. The Safety Division is responsible for processing and tracking the safety concerns generated through the SAAS’s confidential reporting systems. 4.4.1.2 SAAS has established the following methods for employees to communicate concerns. 4.4.1.2.1 Safety Reports:

4.4.1.2.1.1 Voluntary Safety Report (VSR), (SMS FM 02) - used to report safety hazards, and suggestions for improvement. 4.4.1.2.2 Safety Hotline - can be used to immediately report a safety hazard or concern or can be used to anonymously report safety hazards or concerns.
WARNING Any hazardous situation or equipment must be immediately placarded or removed from service until the hazardous situation is corrected. 4.4.1.3 Employees should refer to Chapter 1 of this manual for specific instructions on how to submit a Voluntary Safety Report or how use to use the Safety Hotline. 4.4.1.4 This chapter provides additional policies and procedures regarding the SAAS’s confidential reporting systems, including the processing and final outcome of each report. 4.4.1.5 The SMSMG is the sponsor of the safety reports (SMS FM 02) and is authorized to revise them. These forms, once entered into the database, will be kept until the next safety committee meeting, and then will be shredded. 4.4.1.6 Employees may suggest revisions to the forms by submitting their comments to the SMSM using the VSR form. 4.4.1.7 Reporting Form Numbering System: 4.4.1.7.1 The Safety Division will number and track all reports using the following system for the Voluntary Safety Report (VSR) form block 12A.

4.4.1.7.1.1 The letter “V” will be followed by the last two digits of the year and specific number assigned to each report (i.e., V09-0001 is an VSR report submitted in 2009 and assigned the number “0001”.) Each report will be assigned a number based on the consecutive order it was received. 4.4.1.7.1.2 The last component of the tracking number will include a letter that identifies the type of employee that submitted the report or the category marked on the Employee Safety Feedback Form.Safety Management System Manual 4-5

DRAFT 10 Jul 2010 4.4.1.7.1.2.1 A – Airport Administration 4.4.1.7.1.2.2 F – Airport Facilities. 4.4.1.7.1.2.3 M – Airport Maintenance. 4.4.1.7.1.2.4 P – Airport Police. 4.4.1.7.1.2.5 O – Airport Operations 4.4.1.7.1.2.6 E – Airline Employee. 4.4.1.7.1.2.7 Z – Other. 4.4.1.7.1.2.8 Numbers can be added after the last component of the report number to indicate that more than one report was filed by different employee for the same event from the same division (same date / time / location) – O1, O2 etc. 4.4.1.7.1.3 Example of a full tracking number: V09-0001-A (a VSR report submitted by an employee of Airport Operation) or V09-0001-A2 (a VSR report submitted by more than one employee of Airport Operations for the same event.

Figure 4-1 SAAS Safety Management System4-6 Safety Management System Manual

DRAFT 10 Jul 2010 4.4.2 Responsibilities and Authorities: 4.4.2.1 The SMSMG has the authority to modify the processes in this chapter and is responsible for its quality. 4.4.2.2 Responsibilities and authorities for this process are represented in paragraph 3.4 of this manual. 4.4.2.3 The members of the Safety Divisions have the authority to process all safety reports. 4.4.3 Procedure : 4.4.3.1 Initial Processing of All Safety Reports: 4.4.3.1.1 Once the Safety Division (SD) receives a safety report of any kind (VSR), the SD will:

4.4.3.1.1.1 Stamp the date the report was received on the top front of the form next to the Safety logo. 4.4.3.1.1.2 Assign an identification number to the report per procedures outlined in the introduction portion of paragraph 4.4 in this chapter. 4.4.3.1.1.3 Enter the report into the safety database per procedures outlined in the Safety Division Operating Instructions. 4.4.3.1.1.4 Provide the employee who submitted the report with a confirmation of receipt form within five business days of receipt of the report. 4.4.3.1.1.5 Forward a copy of the report to the SMSMG

. 4.4.3.1.2 The SMSMG will initial and date the cover sheet and review the report. The SMSMG or designee will conduct an investigation to determine the validity of the report and to gain additional information concerning the report’s subject matter. The SMSMG or designee will document relevant information and investigation conclusions on the report form. 4.4.3.1.3 The SMSMG or designee will assign a risk code using the Risk Assessment Code Matrix and risk assessment policies and procedures identified in this chapter. The SMSMG will write the risk code on the form and provide a copy of the form to the SS so that the SS can enter the information into the safety database.

NOTE The Event Review Committee will determine the validity of the VSR reports and assign a risk code to each report. 4.4.3.1.4 Once the SMSMG or designee completes the initial investigation and the report is determined to be valid, the SMSMG or designee will identify all associated contributing factors and forward a copy of the report along with a corrective action response letter generated through the safety database (when applicable) to the responsible division manager. 4.4.3.1.5 The responsible division manager will review the report and provide a written response to the SMSMG or designee via the corrective action response letter within 10 business days of receiving the report. The response will include plans for a corrective action or the corrective action taken to address all concerns and contributing factors. If additional time is needed to respond, the responsible division manager will contact the SMSMG or SMSMG’s designee to discuss and establish a new, agreed upon, deadline. 4.4.3.2 Final Processing of Voluntary Safety Report Form (VSR): 4.4.3.2.1 Once the SMSMG receives the VSR Form with the documented corrective action accomplished by the division manager, the SMSMG will provide the appropriate committee with the following information.

4.4.3.2.1.1 Copy of the VSR Form. 4.4.3.2.1.2 Safety Division’s investigation results (if appropriate). 4.4.3.2.1.3 Recommendations for corrective/preventive action (if appropriate). 4.4.3.2.2 Each committee will:

4.4.3.2.2.1 Review the corrective action taken, or suggested, by the responsible division manager and determine if it was appropriate.Safety Management System Manual 4-7

DRAFT 10 Jul 2010 4.4.3.2.2.2 The committee will make any revisions as necessary to finalize the corrective action plan. 4.4.3.2.2.3 Identify a target date for completion of the corrective action (if appropriate). 4.4.3.2.2.4 Document their review of the corrective action and the completion date on the VSR form and return the form to the SMSMG within 10 business days of committee meeting. 4.4.3.2.3 Communicating Results to Employees:

4.4.3.2.3.1 The SMSMG will then advise the submitter, if identified, of the results of the investigation. The SD will notify the submitter via e-mail or by using a memo format created from the safety database. 4.4.3.2.3.2 All communications will come from the Safety Database in the form of a letter signed by the appropriate committee members. A submitter will only receive a reply if the submitter has requested a reply to his/her report. 4.4.3.2.3.3 When communicating important safety information derived from VSR form to employees at large, the SMSMG may choose to use several different methods of communication. These methods may include the (Safety Publication for SAAS) Employee Hotline E-Newsletter, daily briefings, and safety bulletins. 4.4.3.2.4 Tracking Reports and Maintaining Records:

4.4.3.2.4.1 The SD is responsible for tracking and updating the status of each open VSR, and will track the status of each report in the safety database. 4.4.3.2.4.2 The SD will maintain electronic files of all VSRs in the safety database indefinitely to assist the Safety Division in conducting trend analysis. 4.4.3.3 Safety Hotline: 4.4.3.3.1 Policies:

4.4.3.3.1.1 The SAAS has established a Safety Hotline for employees to make an immediate notification of a safety concern or anonymously report hazards or safety concerns. Employees must complete and submit a VSR within five days of placing the phone call if the report is not submitted anonymously. 4.4.3.3.1.2 Refer to Chapter 1 for procedures on using the SAAS Safety Hotline. 4.4.3.3.2 Procedures for Processing Safety Hotline Reports:

4.4.3.3.2.1 Each weekday morning, the SMSMG or designee will call the voicemail box of the Safety Hotline to check for messages. The SMSMG may delegate this responsibility in the following order.

4.4.3.3.2.1.1 Safety Specialist 4.4.3.3.2.1.2 Manager, Wildlife 4.4.3.3.2.1.3 Safety Auditor 4.4.3.3.2.2 The person checking the Safety Hotline will copy messages onto a VSR Form. The report will then be processed in the same manner as a VSR (processing procedures for these reports are included in this chapter. If the report is submitted anonymously, the Report Receipt Form will not be used. 4.4.3.3.3 Control Procedures for Safety Hotline Reports:

4.4.3.3.3.1 The SD will document each message received using the Safety Hotline Monthly Log Form (SMS FM 05) contained in the safety database. The SMSMG will assign an evaluator to complete the following actions every quarter to ensure the Safety Hotline is consistently monitored.

4.4.3.3.3.1.1 Review the Safety Hotline Monthly Log Form to determine if calls are being documented.4-8 Safety Management System Manual

DRAFT 10 Jul 2010 4.4.3.3.3.1.2 Call the Safety Hotline to leave a message instructing the person checking the hotline to call him back. 4.4.3.3.3.2 Database procedures for completing the Safety Hotline Monthly Log form Figure 4-2 are contained in the Safety Division Operating Instructions. 4.4.3.3.4 Safety Hotline Log Form (SMS FM 05) will be kept to ensure that the safety hotline is being checked each weekday. 4.5 Audits : 4.5.1 General : 4.5.1.1 SAAS has implemented an Internal Evaluation Program (IEP) using the FAA Advisory Circular 120- 59A as a guide to proactively identify hazards and safety risk within the operation. 4.5.1.1.1 The Safety Division administers the Internal Evaluation Program to provide independent evaluations of division processes. Policies and procedures for the IEP are presented in Chapter 5 of this manual. 4.5.1.1.2 If regulatory non-compliance is discovered while conducting an audit, inspection, or evaluation, the Safety Management System Manager or designee will fill out a report and have the procedures / processes fixed immediately. 4.5.2 Responsibilities and Authorities: 4.5.2.1 Each division manager is responsible for: 4.5.2.1.1 Scheduling and conducting self-audits of safety-related functions within his/her respective area of responsibility using a standardized audit tool or checklist. 4.5.2.1.2 Address any deficiencies found during an audit in a timely manner. 4.5.2.1.3 Document the division’s policies and procedures regarding self-audits in the division’s operating manual. 4.5.2.1.4 Maintain audit records for 3 years. 4.5.2.2 The Safety Management System Manager has the authority to review audit findings and correctiveaction resulting from a division’s self-audit, an evaluation conducted under the IEP, or any third-party safetyrelated audit. 4.5.3 Procedures: 4.5.3.1 Division Self-Audits: 4.5.3.1.1 Refer to each division’s operating manual for procedures regarding self-audits. 4.5.3.2 External Evaluations: 4.5.3.2.1 The external evaluation process is an independent analysis of policies and procedures conducted annually by an independent external source that provides a method for documenting and communicating, corrections and/or corrective actions, documented department policies and procedures, and non-compliances with Federal Aviation Regulations. The process is also designed to ensure Regulatory Compliance and System Safety attributes are developed within COSA and Aviation Division policies and procedures.Safety Management System Manual 4-9

DRAFT 10 Jul 2010 Figure 4-2 – SMS FM 05 – Safety Hotline Log4-10 Safety Management System Manual

DRAFT 10 Jul 2010 Table 4-1 Instructions for Completing SMS FM 05 Block Number Title Instructions
1 Month of Log / Year Enter the Month and Year for which the Log is being created (e.g. January)
2 Certification Certification Statement
3 Print Name Print Name of person who is certifying the information on the form is correct and accurate at the close-out at the end of the month. 4 Signature Signature of person whose name is entered in Block 3 5 Date Signed Enter the date this form was signed 6 Day This block has 31 lines for entry for each day of the month (When the month only has 28, 29 or 30 day in the month – in the next line enter the “ Last Line Entry”)
7 Hotline Checked VIA Phone – No / Yes E-Mail – No / Yes Fax – No / Yes This block is used to show what Hotline was checked for safety reports that may have been left on the Hotline: Check the appropriate box for each.

8 Initials Place your initials in this block – this will allow the audit team to determine who accomplished the check for that particular day 9 Tracking Number Enter a tracking number in this block for the report that was taken via the phone, e-mail, or fax. The tracking number is from the Safety Database 10 Brief Description of Message Enter description of the Message – then fill out the appropriate Safety Report Form.

4.5.3.2.1.1 The SMSMG will locate an external vendor to perform annual IEP evaluations. 4.5.3.2.1.2 The SMSMG will schedule the evaluation with the external vendor. 4.5.3.2.1.3 The SMSMG will receive the evaluation report directly from the vendor. 4.5.3.2.1.4 The SMSMG will distribute the External Evaluation Report to top management. 4.5.3.2.1.5 The SMSMG will brief the Aviation Director and the Assistant Director – Airport Operations, how the Safety Division plans to address/correct the findings of the external vendor. 4.6 SMS Committees: 4.6.1 Executive SMS Steering Committee: 4.6.1.1 General: 4.6.1.1.1 The Executive SMS Steering Committee is to:

4.6.1.1.1.1 Review corrective actions implemented by SMS Committee in response to hazards identified through the safety reporting system, division self-audits, internal and external audits, and incident and accident investigations. 4.6.1.1.1.2 Review Quarterly trend reports.Safety Management System Manual 4-11

DRAFT 10 Jul 2010 4.6.1.1.1.3 Approve recommendations made by the SMS Committee that will increase the safety culture of SAAS 4.6.1.1.1.4 Evaluate the SMS plan. 4.6.1.1.1.5 Encourage interfaces between SAAS and SAAS customers 4.6.1.1.2 The Executive Committee will meet:

4.6.1.1.2.1 January and June of each year for the first two years, starting in Jan 2010. 4.6.1.1.2.2 In 2012, the committee will meet once a quarter (JAN, APR, JUL and SEP). 4.6.1.2 Responsibilities and Authorities: 4.6.1.2.1 The Aviation Director or designee will chair the committee. 4.6.1.2.2 The Safety Management System Manager will schedule meeting, develop the agenda, and record the minutes. 4.6.1.2.3 The following individuals will participate in the committee.

4.6.1.2.3.1 Executive Team:

4.6.1.2.3.1.1 Assistant Director – Operations. 4.6.1.2.3.1.2 Assistant Director – Facilities Management and Construction. 4.6.1.2.3.1.3 Assistant Director – Finance and Administration. 4.6.1.2.3.2 Management:

4.6.1.2.3.2.1 Airport Operations Manager. 4.6.1.2.3.2.2 Facilities Manager. 4.6.1.2.3.2.3 Fiscal Operations Manager. 4.6.1.2.3.2.4 Planning & Development Manager. 4.6.1.2.3.2.5 Properties Manager 4.6.1.2.3.2.6 Stinson Airport Manager. 4.6.1.2.3.3 Outside Agencies:

4.6.1.2.3.3.1 Airline Representative 4.6.1.2.3.3.2 FAA Representative – local FSDO 4.6.1.2.3.3.3 Tenant Representative – HEB Safety. 4.6.1.2.3.4 Briefer’s:

4.6.1.2.3.4.1 Safety Management System Manager. 4.6.1.3 Procedure: 4.6.1.3.1 Introduction:

4.6.1.3.1.1 The SMSMG will develop and distribute the meeting agenda at least five business days before the scheduled meeting date. Only items on the agenda will be discussed during each meeting. 4.6.1.3.1.2 Agenda items will not be closed until any assigned actions are complete. The chairperson will assign follow up actions along with completion dates. 4.6.1.3.1.3 The chairperson will approve meeting minutes and the SMSMG will distribute them via e-mail to each committee member no later than two weeks after the meeting. The SMSMG will also send the meeting minutes to the Safety Specialist, who will post them on the SAAS Intranet. 4.6.1.3.1.4 The SMSMG or designee will monitor the progress of the agreed upon actions. The chairperson will be briefed on the status of the agreed upon actions as the deadlines for completion expire. 4.6.1.3.2 Reviewing Corrective Actions:4-12 Safety Management System Manual

DRAFT 10 Jul 2010 4.6.1.3.2.1 The committee will review corrective actions implemented to address safety problems or concerns. 4.6.1.3.3 Reviewing Safety Trend Reports:

4.6.1.3.3.1 The committee will review a quarterly safety trend report provided by the SMSMG. This report includes:

4.6.1.3.3.1.1 All open reports submitted by employees (Voluntary Safety Report). 4.6.1.3.3.1.2 Incident/accident reports. 4.6.1.3.3.1.3 OSHA reportable accidents/injuries. 4.6.1.3.3.1.4 Items related to the Company’s compliance with OSHA regulations. 4.6.1.3.3.1.5 Voluntary self-disclosures reported during the previous quarter (if applicable). 4.6.1.3.3.1.6 Letters of Inquiry from the FAA (if applicable). 4.6.1.3.3.2 The committee will use the safety trend data to review the effectiveness of SAAS’s safety program(s) and suggest improvements when necessary. This will be one method of process measurement for safety program(s). 4.6.1.3.4 Senior Management Briefing :

4.6.1.3.4.1 Should the Director require additional information beyond the data contained in the quarterly report, the Director will ask the SMSMG to provide the additional information 4.6.1.3.5 Developing and Evaluating the San Antonio Airport System Safety Management Plan:

4.6.1.3.5.1 The Committee will develop a safety management plan for the upcoming year during the last quarter of the calendar year. 4.6.1.3.5.2 Two weeks prior to the meeting, the SMSMG will provide the Committee with:

4.6.1.3.5.2.1 The previous year’s safety management plan 4.6.1.3.5.2.2 Trend analysis information based on data gathered over the past year from the various reporting systems, Internal Evaluation findings, and any external audits/findings (FAA, etc). 4.6.1.3.5.2.3 A draft safety management plan for the upcoming year. 4.6.1.3.5.3 All Committee members will review the data to identify:

4.6.1.3.5.3.1 Areas where safety risks have increased. 4.6.1.3.5.3.2 Areas where safety risks have decreased. 4.6.1.3.5.3.3 Changes within the organization that require additional review to determine if safety risk has been affected (e.g. reduction in workforce). 4.6.1.3.5.4 One week prior to the scheduled meeting, the Committee members will provide the SMSMG with any recommended changes to the draft safety management plan. The SMSMG will review and incorporate recommended changes and present the updated draft safety management plan at the scheduled meeting. 4.6.1.3.5.5 The Committee will discuss and finalize the safety management plan as part of the regularly scheduled quarterly meeting. The SMSMG will submit the plan to the Aviation Director for signature prior to October 1 of the upcoming year. (COSA USES FISCAL YEAR) 4.6.1.3.6 Committee Records:

4.6.1.3.6.1 The SMSMG will maintain an electronic copy of the committee records for 10 years. 4.6.1.3.6.2 The committee records will be destroyed after 3 years.Safety Management System Manual 4-13

DRAFT 10 Jul 2010 4.6.2 Safety Management System Review Committee (SMSRC): 4.6.2.1 Policies: 4.6.2.1.1 The (SMSRC) consists of:

4.6.2.1.1.1 Voting Members – Safety Management System Manager; Airport Operations Manager; Facilities Manager; Stinson Airport; Manager Property and Business Development Manager; and the Airfield Maintenance Manager. 4.6.2.1.1.2 Non-Voting Members – Are managers from other divisions that will be invited to attend the meeting as the safety reports dictate. 4.6.2.1.1.3 Each voting and non-voting member will have a designated alternate to attend the SMSRC meetings in his absence. 4.6.2.1.1.4 The committees will meet at least once a month, or as necessary, to review and analyze Safety Reports. 4.6.2.2 SMSRC Procedures for reviewing Safety Reports: 4.6.2.2.1 An agenda will be prepared and distributed to the SMSRC members at the beginning of the meeting. 4.6.2.2.2 The SMSRC will review each report that is listed on the agenda. 4.6.2.2.3 The SMSRC members will rate any hazards identified in the report according to likelihood and severity using the risk management procedures documented in this manual. An identified risk level (High, Medium, or Low) will then be assigned to the report. The risk level will be recorded on the agenda. 4.6.2.2.4 The SMSRC members will discuss whether the event identifies a systemic problem or a one-time occurrence. 4.6.2.2.5 The SMSRC members will try to determine the root cause(s) of the event by interviewing personnel, reviewing paperwork, or conducting inspections/investigations related to the event. 4.6.2.2.6 If necessary, the SMSRC will then issue recommendations or corrective actions to resolve the problem and prevent reoccurrence. All recommendations or corrective actions should be reached through the consensus of the committee voting members. 4.6.2.2.7 Items may be carried over to subsequent SMSRC meetings if more time is necessary to gather information or to reach consensus regarding corrective action. The item will be noted as being open in the minutes of the meeting. 4.6.2.2.8 Once the committee has issued recommendations or corrective action, or has determined that no action is necessary, it will indicate that the item is closed in the minutes of the meeting. 4.6.2.3 Once all open or new reports have been discussed and consensus on any action to be taken has been reached, or if the scheduled meeting time has expired, the committee will schedule the next meeting and adjourn. 4.6.2.4 The SD will publish and distribute meeting minutes quarterly. 4.6.2.5 Communicating Results to Employees: 4.6.2.5.1 Safety-related information from the Safety Report will be communicated back to SAAS employees by at least one of the following methods.

4.6.2.5.1.1 The SD will send a response (if requested), in the form of a letter or memo that will include any corrective action taken and the date that the report was closed. The SD will place the letter in an envelope and forward it to the employee’s mailbox at the airport. 4.6.2.5.1.2 The SD will send e-mail notification to appropriate divisions when the status of a report moves to “closed.” 4.6.2.5.1.3 A newsletter or safety bulletin will include the de-identified textual description of selected safety reports and the corrective action(s) that resulted from the report. 4.6.2.5.1.4 Urgent safety-related issues that are reported through the Safety Report may be communicated to the employees by a Safety bulletin.4-14 Safety Management System Manual

DRAFT 10 Jul 2010

4.6.2.5.2 The SMSM may choose to not distribute some reports for confidentiality reasons

Figure 4-3 – Risk Management Flow

Figure 4-4 – Risk Management Flow – Safety Investigation FlowSafety Management System Manual 4-15

DRAFT 10 Jul 2010 4.7 

### Ground Handling Incident, Accident Reporting, and Investigation:

WARNING In the event of an aircraft accident (i.e., bomb threat, hijacking, aircraft missing, etc.), employees should immediately access the Emergency Response Quick Guide(ERQG) and implement procedures based on the type of emergency. Each person should have a copy of this ERQG next to their phone. 4.7.1 General: 4.7.1.1 This section addresses procedures for managing minor ground handling incidents and accidents that involve SAAS facilities, personnel, and Aircraft. For major incidents and accidents that must be reported to the NTSB and require implementation of the Airport Emergency Plan, refer to the policies and procedures documented in the SAAS Emergency Response Manual. 4.7.1.2 All ground handling incidents and accidents involving SAAS property must be reported, tracked, and properly investigated. Employees who fail to report a ground handling incident or accident may receive disciplinary action up to, and including, termination. 4.7.1.3 The facts discovered during any investigation will not be used to apportion blame or to facilitate disciplinary action, except in cases of criminal misconduct, an intentional disregard for safety, or a violation of the COSA’s drug and alcohol policy. 4.7.1.4 The SAAS reserves the right to require drug and/or alcohol testing following any ground handlingincident or accident. Refer to the COSA Anti-Drug and Alcohol Misuse Prevention Program Manual for postaccident testing procedures. 4.7.1.5 Ground handling incidents or accidents involving property other than SAAS, ground equipment, or facilities is not subject to the policies and procedures contained in this section unless SAAS employees are involved in the occurrence. 4.7.1.6 Additional policies and procedures for reporting and investigating employee injuries may apply. Refer to Chapter 6 Section 6.1 also check into the COSA requirements within this manual for additional information. 4.7.1.7 If a potential violation of a regulation is discovered during an investigation, refer to the paragraph 5.3 in of this manual for further instructions. 4.7.2 Responsibilities and Authorities : 4.7.2.1 The SMSM or designee has the responsibility and authority to modify these procedures and ensure compliance. 4.7.2.2 The Safety Specialist has the responsibility to coordinate these procedures. 4.7.2.3 The Airport Operations Supervisor (AOS) has the responsibility to initiate this process in coordination with the Safety Management System Manager. 4.7.3 Procedure : 4.7.3.1 Initial Response to Ground Handling Accident/Incident: 4.7.3.1.1 Employees/contractors must immediately report all ground handling accidents or incidents involving SAAS equipment, facilities, or employee injury to the Airport Manager/Supervisor of the affected airport. The Airport Manager/Supervisor will use the following information to determine the SAAS’s response.

4.7.3.1.1.1 If an incident or accident involving an aircraft takes place while the aircraft is fully or partially under the control of ground personnel, but before the flight crewmembers have boarded the aircraft, local management will implement procedures contained in this section. 4.7.3.1.1.2 If an incident or accident occurs after the flight crewmembers have boarded the aircraft with the intention of flight, local management will implement the SAAS’s airport emergency plan. 4.7.3.1.2 Once local management has determined the event occurred under full or partial control of the ground personnel, they will immediately notify. Need to work on these procedures, once I have a better understandin g of the proper plan4-16 Safety Management System Manual

DRAFT 10 Jul 2010 4.7.3.1.2.1 Airport Operations Supervisors (AOS). 4.7.3.1.2.2 Airline Station manager if aircraft is damaged or suspected to be damaged. 4.7.3.1.2.3 Senior manager in charge of the appropriate Airport. 4.7.3.1.3 Command Center must notify Airline personnel in the event of an incident or accident involving damage to an aircraft in accordance with the AEP. 4.7.3.1.4 The Airline or contract supervisor/manager in charge at the location of the accident/incident will perform the following actions.

4.7.3.1.4.1 Take care of immediate emergency situations relative to personnel, equipment, aircraft, or facilities. 4.7.3.1.4.2 Secure the accident site. 4.7.3.2 Investigation of Ground Handling Accident/Incident: 4.7.3.2.1 The most senior management personnel for the operation involved in the accident/incident (or designee) must conduct an investigation to determine the cause and to ensure that all required paperwork is completed. A manager from any division involved in the accident/incident should be an active participant in the investigation. 4.7.3.2.2 The most senior management personnel for the operation involved in the accident/incident (or designee) must complete a Safety Accident Investigation Report (Reference Figure 4-5).

NOTE The affected Airline Safety Division may assume control and responsibility of the investigation at any time. 4.7.3.2.3 When the accident investigation form is completed, all documents and photographs must be emailed, faxed, or mailed to the SMSMG

. 4.7.3.2.4 The manager or supervisor of the airline or contract employee(s) directly involved in an accident or incident will;

4.7.3.2.4.1 Suspend or reassign the employee(s) to duties that do not involve Company aircraft until completion of the investigation. 4.7.3.2.5 The manager or supervisor for COSA or contract employee(s) directly involved in an accident or incident will:

4.7.3.2.5.1 Refer to the COSA’s Anti-Drug and Alcohol Misuse Prevention Program Manual and follow appropriate procedures for drug testing IAW COSA AD 4.79A (See Appendix ??) 4.7.3.3 Incident and Accident Record Management: 4.7.3.3.1 The Maintenance division must accumulate all cost documents relating to the repair and forward them to the SMSMG. This must be done as soon as possible, but no later than 30 days from the date of the repair. 4.7.3.3.2 All accident/incident reports will be maintained for five years. 4.7.3.4 Safety Accident Investigation Report (SMS FM 06) – Reference Figure 4-5: 4.7.3.4.1 This form is utilized to obtain the facts pertaining to an incident or accident. 4.7.3.4.2 Instruction to complete SMS FM 06 - Reference Table 4-2. 4.7.3.4.3 Availability:

4.7.3.4.3.1 This form can be found on the Safety SharePoint site divisional forms site. 4.7.3.4.4 Disposition:

4.7.3.4.4.1 This form will be completed by the most senior company management personnel involved in the operation. 4.7.3.4.4.2 The form will be sent electronically to the Safety Division, or faxed to the Safety Division fax number, 210-207-9805.Safety Management System Manual 4-17

DRAFT 10 Jul 2010 Figure 4-5 – Safety Accident Investigation Report (SMS FM 06)4-18 Safety Management System Manual

DRAFT 10 Jul 2010

Figure 4-5 – Safety Accident Investigation Report (SMS FM 06) continuedSafety Management System Manual 4-19

DRAFT 10 Jul 2010 Table 4-2 – Instructions for completing SMS FM 06
Block Number Title Instructions
Items marked with an asterisk will be filled out by the Safety Division Items with italicized will be completed by the investigator Item 1 through 20 will be completed by the investigator as appropriate
1 Division involved Check the appropriated box, if other is checked add comments 2 Position of employee responsibility Check the appropriated box, if other is checked add comments 3 Is this the employee’s regular job Check Yes – if this is the employee is regular job, other wise check No 4 Is employee certified Is the employee certified to due his job – check yes or no 4A If yes to # 4 date last certified Enter date of last certification
4B Certificate Number Enter employee certificate number 5 Does SAAS or Company have training material to prevent this type of accident/incident Check Yes – if there is training material available for review, other wise check NO

5A If yes to # 5 – Did employee receive this training Check appropriate box – if yes is checked, enter date of training also

6 Time in present position Check the appropriate box – for the length of time employee has in their current position of employment 7 Hours worked prior to accident Check the appropriate box – for the length of time employee was working prior to accident 8 Number of previous accident Check the appropriate box – for the number of previous accidents the employee has been involved in 9 Lighting conditions Check the appropriate box – self-explanatory
10 Weather conditions Check the appropriate box – self-explanatory
11 Surface Conditions Check the appropriate box – self-explanatory, if other is checked enter comments (short comment) 12 Were there any witnesses present Check the appropriate box – if yes was checked enter the name and phone number of the witnesses (if necessary use additional paper) 13 Equipment involved belongs to Check the appropriate box – self-explanatory, if other is checked, enter comments (enter name of owner of equipment) 14 Type of equipment involved Check the appropriate box – self-explanatory, if other is checked, enter comments (enter name/type of equipment)
15 If a vehicle was involved what was the cause (Tug, Belt-loader, Fuel / De-ice Truck, K-Loader, Van or CTV) Check the appropriate box – self-explanatory

16 Caused by other than vehicle Check the appropriate box – self-explanatory, if other is checked, enter comments (as to what caused accident or incident)
17 Was an Aircraft involved No / Yes ACFT Tail Number Check the appropriate box – self-explanatory, if Yes is checked, enter Aircraft tail number

18 Phase of flight Check the appropriate box – self-explanatory 19 Did an injury occur Check the appropriate box – self-explanatory, if Yes is checked, enter the additional required information and complete SMS FM 07 Supervisor Injury Investigation Report 20 Description of the circumstances leading up to the event Give a detailed account of the circumstances leading up to the event and explanation of the event4-20 Safety Management System Manual

DRAFT 10 Jul 2010 4.8 Safety Risk Management: 4.8.1 General: (Reference Matrix – Figure 4-7) 4.8.2 Introduction: 4.8.2.1 The safety risk management process is designed to proactively and/or reactively assure that risk is identified, evaluated, documented, eliminated, or controlled within the process’ defined risk parameters. A set of Safety Risk Assessment Worksheets (SMS FM 07, 07-1 AND 07-2 (Reference Figure 4-11 & 4-12)) are available to provide SAAS personnel with the guidance necessary to adhere to the defined risk parameters. The principles of risk management are to accept risk only when necessary and when the benefits outweigh the costs, make risk decisions, and integrate risk management into planning at all levels within SAAS. The safety risk management process includes, but is not limited to, the following steps: 4.8.2.1.1 Identify current and/or potential hazard scenarios to equipment, property, and personnel. 4.8.2.1.2 Assess the severity and likelihood that consequences will occur. 4.8.2.1.3 Monitor acceptable risk determined to be within the Department’s safety performance criteria. 4.8.2.1.4 Mitigate unacceptable risk to a level that is acceptable. 4.8.2.1.5 Evaluate the effectiveness of measures implemented to mitigate risk. 4.8.2.2 Scope: 4.8.2.2.1 Risk management is applicable to all divisions within the SAAS organizational structure. 4.8.2.2.2Risk assessment is initiated when the need to utilize the risk management process is identified 4.8.2.2.3Risk assessment applies special technical managerial skills to the identification and control of hazards throughout the life cycle of a project, program, and/or an activity 4.8.3 Responsibilities and Authorities: 4.8.3.1 Safety Management System Manager: 4.8.3.1.1 Revises and defines risk management procedures. 4.8.3.1.2 Ensures COSA personnel are trained on risk management procedures and policies. 4.8.3.2 Division Heads: 4.8.3.2.1 Responsible for being informed of, and maintaining compliance with, risk management procedures. 4.8.4 Procedures: 4.8.4.1 The flow chart in Figure 4-6 outlines the company’s risk management process. 4.8.4.2 System Identification: 4.8.4.2.1 Identify the system initiating the use of the risk management process. The risk management process may be initiated due to any one of the following reasons:

4.8.4.2.1.1 An incident or accident occurs. 4.8.4.2.1.2 Submission of a safety report. 4.8.4.2.1.3 Staffing reductions. 4.8.4.2.1.4 Senior Management changes. 4.8.4.2.1.5 Large Turnover in personnel. 4.8.4.2.1.6 FAA letters of investigation. 4.8.4.2.1.7 Voluntary Self Disclosures 4.8.4.2.1.8 Introduction of a new fleet type to SAAS 4.8.4.3 System Objective: 4.8.4.3.1 Identify the objective(s) (desired output) of the system under review. This may apply to an existing or newly developed system.Safety Management System Manual 4-21

DRAFT 10 Jul 2010 Figure 4-6 – Risk Management Process Overview

Continuous Monitoring

Identify Hazards Identify the Hazard(s) Identify the

Hazard Causes

Identify the Consequences Analyze Existing Controls Analyze Existing

Analyze Risk Determine Risk Severity and Likelihood

Assess Risk Rank Hazards Prioritize Hazards

Is risk Acceptable?

YES YES

NO NO Document Residual risk & acceptance Implement change to the System Describe new or modified system, operation, or procedure or modified system,

SRM PLAN (Objective) Identify the Stakeholders of the system
Describe the System

Take Action Define additional risk control strategies Define additional risk control

Select / Validate risk control strategies risk control Is risk Acceptable?

Implement risk control strategies risk control Verify risk control strategies risk control Continuous Monitor Solutions

Safety Risk Management Decision Flow SRMD Continuous Monitoring

Identify Hazards Identify the Hazard(s) Identify the

Hazard Causes

Identify the Consequences Analyze Existing Controls Analyze Existing

Analyze Risk Determine Risk Severity and Likelihood

Assess Risk Rank Hazards Prioritize Hazards

Is risk Acceptable?

YES YES

NO NO Document Residual risk & acceptance Implement change to the System Describe new or modified system, operation, or procedure or modified system,

SRM PLAN (Objective) Identify the Stakeholders of the system
Describe the System

Take Action Define additional risk control strategies Define additional risk control

Select / Validate risk control strategies risk control Is risk Acceptable?

Implement risk control strategies risk control Verify risk control strategies risk control Continuous Monitor Solutions

Safety Risk Management Decision Flow SRMD Continuous Monitoring

Identify Hazards Identify the Hazard(s) Identify the

Hazard Causes

Identify the Consequences Analyze Existing Controls Analyze Existing

Analyze Risk Determine Risk Severity and Likelihood

Assess Risk Rank Hazards Prioritize Hazards

Is risk Acceptable?

YES YES

NO NO Document Residual risk & acceptance Implement change to the System Describe new or modified system, operation, or procedure or modified system,

SRM PLAN (Objective) Identify the Stakeholders of the system
Describe the System

Take Action Define additional risk control strategies Define additional risk control

Select / Validate risk control strategies risk control Is risk Acceptable?

Implement risk control strategies risk control Verify risk control strategies risk control Continuous Monitor Solutions

Safety Risk Management Decision Flow SRMD

4.8.4.4 System Description: 4.8.4.4.1 Describe the interactions among personnel, tools, procedures, materials, equipment, facilities, and software operating in a specific environment to perform the system objective. The system description may identify some, or all of the following information

4.8.4.4.1.1 WHO is responsible for performing and/or overseeing the tasks and functions that contribute to the system objective (i.e. names, titles, etc.)? 4.8.4.4.1.2 WHAT is being accomplished and/or utilized to achieve the system objective (i.e. procedures, equipment, materials, etc.). 4.8.4.4.1.3 WHEN are tasks and resources required to be accomplished and utilized (i.e. phase of flight, time intervals, etc.). 4.8.4.4.1.4 WHERE are tasks and resources required to be accomplished and utilized (i.e. facilities, locations, etc.). 4.8.4.4.1.5 WHY does the system objective exist (regulations, operational needs, manufacturer data, etc.). 4.8.4.5 Hazard Identification: 4.8.4.5.1 SAAS identifies hazards through both reactive and proactive means. Hazards may include active failures and latent or unsafe conditions. The documented hazard should identify the condition as well as the resulting consequence to allow for proper risk analysis and assessment; this is also known as the hazard scenario. The following sources of information may be used to identify potential hazards.

4.8.4.5.1.1 Safety reports. 4.8.4.5.1.2 Observations. 4.8.4.5.1.3 Manual reviews.4-22 Safety Management System Manual

DRAFT 10 Jul 2010 4.8.4.5.1.4 Internal or external audits or inspections. 4.8.4.5.1.5 Reports from various safety programs or organizations (NASA, FAA etc.). 4.8.4.5.1.6 Workplace meetings (SMS Committee, Technical Work Groups etc.). 4.8.4.6 Risk Analysis and Risk Assessment : 4.8.4.6.1 Risk analysis is the process of determining the severity (what will happen) and likelihood (when it can happen) of consequences derived from the hazard identification process. Risk analysis should ultimately determine the level of risk associated with a hazard and should not be confused with risk assessment. Figure 4-7 – SAAS Risk Matrix

4.8.4.6.2 Risk Assessment Matrix – Likelihoodis based on a five point scale. It can also be referred to as probability.

4.8.4.6.2.1 Extremely Improbable – “Never heard of in Industry” – Very unlikely to occur (not known to have occurred) Value “0”. 4.8.4.6.2.2 Improbable– “Heard of in industry” – Unlikely to occur, but possible (has occurred rarely) Value “1”. 4.8.4.6.2.3 Remote– “Has happened once at airport or once in industry” – Likely to occur sometimes (has occurred) Value “2”. 4.8.4.6.2.4 Occasional– “Has happened more than once at airport or more than once in industry” – Likely to occur many times (has occurred infrequently) Value “3”. 4.8.4.6.2.5 Frequent– “Has happened more than five times at airport” – Likely to occur numerous times (has occurred frequently) 4.8.4.6.3 Risk Assessment Matrix – Severityof occurrence is based on a five point scale also.

4.8.4.6.3.1 Negligible – Little to no consequences. 4.8.4.6.3.2 Minor– Nuisance, insignificant. 4.8.4.6.3.3 Moderate– Reduction in safety margins, injury to person(s). 0 1 2 3 4

Negligible Minor Moderate Major Catastrophic

4 Has happened more than five times at airport Fatalities Catastrophic Damage Catastrophic

Effects Catastrophic

Impact H21 H22 H23 H24 H25

3 Has happened more than once at airport or industry Major Injury or

*PTD Major Damage Major Effects Major Impact M15 M16 M17 H19 H20

2 Has happened once at airport or once in industry Moderate Injury

or Health Effects Moderate

Damage Moderate

Effects Moderate

Impact L9 L10 M13 M14 H18

1 Heard of in industry Minor Injury or Health Effects Minor Damage Minor Effects Minor Impact L5 L6 L7 L8 M12

0 Never heard of in

Industry No Injry or

Health Effects No Damage No Effects No Impact L1 L2 L3 L4 M11 Risk Assessment MatrixLikelihood Consequence Severity

People Assets Environment Reputation

Green = Continuous Improvement - Low Risk Yellow = Control to ALARP - MediumRisk Red = Tolerability to be endorsed by management - High Risk *PTD = Permanent Total DisabilitySafety Management System Manual 4-23

DRAFT 10 Jul 2010 4.8.4.6.3.4 Major– A significant reduction in safety margins, serious injury to person(s), major equipment damage. 4.8.4.6.3.5 Catastrophic– Equipment / facilities destroyed fatality or multiple fatalities Figure 4-8 – Severity Definitions Chart Clarification
Consequence People Assets Environment Reputation 0 = Negligible  No Injuries  No damage

 Minor Technical delay  No Impact  No loss of public confidence

1 = Minor  First Aid Injury or

 No disability or lost time  Technical delay or

 Ground Equipments inoperable
or

 ACFT Grounded causing Operator to incur relatively minimal costs  Release - Contained  May be lowered, but public finds situation acceptable

2 = Moderate  Lost Time Injury

or

 Passenger Injured (Broken Bones)

 No Disability  Technical delay or

 Ground Equipments inoperable
or

 Ground Equipment damaged ACFT or

 ACFT Grounded causing Operator to incur substantial costs  Small (< 50 Gallons) release - Uncontained  Significantly lowered w/high profile media coverage

3 = Major  Disability or

 Severe Injuries  Major Technical delay or

 Ground Equipments inoperable
or

 Ground Equipment caused major damage to ACFT causing delays to return ACFT to service or

 ACFT Grounded causing Operator to incur substantial costs  Moderate (> 50 Gallons but < 100 Gallons) release - Uncontained  Shaken to the point where significant numbers of the public will not fly on a particular aircraft or airlineSEVERITY

4 = Catastrophic  Fatal Injuries to personnel or passenger

 Public exposed to life threatening hazard  Loss of ACFT

 Loss of Equipment  Large (> 100 Gallons) release - Uncontained  Shaken to the point where significant numbers of the public will not use SAT Airport

4.8.4.6.4 Risk Levels seem lowerwhen:

4.8.4.6.4.1 They are voluntarily accepted. 4.8.4.6.4.2 They have chronic consequences. 4.8.4.6.4.3 They are common and/or old. 4.8.4.6.4.4 They have uncertain consequences. 4.8.4.6.4.5 They have controllable technology.4-24 Safety Management System Manual

DRAFT 10 Jul 2010

4.8.4.6.5 Risk Levels seem higherwhen:

4.8.4.6.5.1 They are not voluntarily accepted. 4.8.4.6.5.2 Consequences are catastrophic. 4.8.4.6.5.3 They are new or unusual. 4.8.4.6.5.4 They have a high potential for fatality. 4.8.4.6.5.5 They have immediate consequences. 4.8.4.6.5.6 They lack personal controllability. Figure 4-9 – Risk Classification Chart

Risk Classification
RED High Risk – Unacceptable, requires action

Yellow Medium Risk – May be acceptable with review

by appropriate authority; requires tracking and probable action
Green Low Risk – Acceptable without further action

4.8.4.7 Risk assessment is the process of consolidating risk into risk sets and prioritizing risks based upon the risk level determined during the analysis. 4.8.4.7.1 The four steps of risk assessment:

4.8.4.7.1.1 Sort 4.8.4.7.1.2 Combine 4.8.4.7.1.3 Prioritize 4.8.4.7.1.4 Document 4.8.5 Transfer, Eliminate, Accept, and Mitigate Risk: 4.8.5.1 The decision making process must take place at a level within the SAAS that will allow effective action to be taken. The decision maker(s) must have the authority to allocate resources to reduce or eliminate the risk, and implement the appropriate controls. 4.8.5.2 Decide what action will be taken to deal with the risk. One of four options may be chosen. The acronym TEAM may be used to remember these four options. 4.8.5.2.1 Transfer - Management of the risk is not within the authority of the organization or individual that performed the risk analysis. The hazard and its associated level of risk will be communicated to the organization or individual that is responsible for, and has the authority to manage the risk. 4.8.5.2.2 Eliminate - A course of action is developed and implemented to remove the risk from the system. 4.8.5.2.3 Accept - The risk is acceptable. Accept risk only when necessary and when the benefits outweigh the costs. 4.8.5.2.4 Mitigate - Action is taken to reduce either the likelihood and/or severity of the risk to an acceptable level. 4.8.6 Action Plan: 4.8.6.1 Based on the decision to transfer, eliminate, accept, or mitigate the risk, develop an action plan to accommodate the action required. The following items should be considered when developing an action plan. 4.8.6.1.1 Design for minimum risk. 4.8.6.1.2 Incorporate safety devices.Safety Management System Manual 4-25

DRAFT 10 Jul 2010

4.8.6.1.3 Provide warning devices. 4.8.6.1.4 Develop procedures and training. 4.8.6.1.5 Establish accountability. 4.8.6.1.6 Establish time lines and completion dates. 4.8.6.1.7 Make implementation clear. 4.8.6.1.8 Provide support. 4.8.7 Performance Assessment and Control Validation: 4.8.7.1 Performance assessments are intended to measure the implementation of the action plan, when developed, and consists of performance descriptions, progress measurements, and performance thresholds. 4.8.7.1.1 Performance descriptions identify what was expected to be accomplished. 4.8.7.1.2 Progress measurements identify what has been accomplished. 4.8.7.1.3 Performance thresholds identify if accomplishment of the action plan was achieved. 4.8.7.2 Control validation is intended to measure the effectiveness of the action plan by continuing to track and evaluate the risk and determine if a new or modified plan is necessary. Once the action has been determined to be implemented and effective, the risk may then be closed. 4.8.8 Modification: 4.8.8.1Once it is determined that a new action plan is necessary, either it did not work or it is not working, the risk management process should repeat itself beginning with hazard identification. This will be followed by risk analysis and assessment, decision-making, and validation of control. It is important to remember and document the reasons the plan did not work 4.8.9 Documentation and Forms: - The proper documentation of an SRA is an important part of conducting the assessment. Both the results of the assessment and the decision made when determining if safety assessments are required are document and kept on file for 5 years for the proposed change. 4.8.9.1 Safety Risk Management Documentation (SRMD) 4.8.9.1.1 SRMD is a report that thoroughly describes the SRM process for a given proposed change and documents the evidence to support that the proposed change to the system is acceptable. SAAS will use SRMD document template, this template can be found on the SAAS SharePoint Site. See Figure 4-10 4.8.9.1.2 The SRMD Contains as a minimum:

4.8.9.1.2.1 SRMD Title of SRA 4.8.9.1.2.2 Subject: and SRA Number 4.8.9.1.2.3 Compliance Statement 4.8.9.1.2.4 Purpose Paragraph 4.8.9.1.2.5 Location of SRA 4.8.9.1.2.6 Attendees (SRA PRINCIPAL STAKEHOLDER – OFFICE and NAMES) 4.8.9.1.2.7 Identified Hazard or Concern 4.8.9.1.2.8 Overall Assigned Risk Level 4.8.9.1.2.9 System Description 4.8.9.1.2.10 Overall Action Plan 4.8.9.1.2.11 Attached Copies of SRA works sheets SMS FM 07-1 and SMS FM 07-2 to document assigned task and completion of tasks. 4.8.9.1.2.12 Signature of Creator of the SRMD and approving official. 4.8.9.1.3 Benefits of an SRMD are as follows:

4.8.9.1.3.1 Strengthens SRA skill 4.8.9.1.3.2 Encourages a safety culture4-26 Safety Management System Manual

DRAFT 10 Jul 2010 4.8.9.1.3.3 Establishes responsibility and accountability 4.8.9.1.3.4 Makes sharing of safety risk data more manageable 4.8.9.1.3.5 Ensures operational safety data are monitored to reduce hazards 4.8.9.2 Safety Risk Assessment Worksheets: 4.8.9.2.1 The SRA worksheets are used to document identified hazards and documents an action plan. 4.8.9.2.2 Availability:

4.8.9.2.2.1 This form can be found on the Safety SharePoint site under the Safety Division forms section. 4.8.9.2.3 Disposition:

4.8.9.2.3.1 These forms will be completed by Division manager or Safety Division personnel. 4.8.9.2.3.2 These forms will be filed with the Safety Division electronically or in hard copy.Safety Management System Manual 4-27

DRAFT 10 Jul 2010 Figure 4-10 – Safety Risk Management Document – Page 1 and 2

Page 14-28 Safety Management System Manual

DRAFT 10 Jul 2010 Page 2Safety Management System Manual 4-29

DRAFT 10 Jul 2010 Table 4 – 3 Safety Risk Management Document (SRMD)
Item Number Title Instructions
Item 1 through 16 will be completed by the SRA Owner as appropriate 1 Safety Risk Management Document Enter the Title of the SRA
2 From the Desk of: Enter the name of the SRA Owner 3 Duty Title Enter the Duty Title of the SRA Owner
4 Phone numbers Enter the phone numbers for each: Office Phone – Cell Phone – Office FAX
5 Email Address Enter the email address of the SRA owner
6 TO: Enter the name of each person that the SRA owner want to review this SRMD as a minimum SMS Manager and Appropriate Assistant Director (Note: the SMS Manager may take it to one of the Committee
7 Date: Enter Date that this SRMD is completed 8 Subject Enter the SRA assigned number for the division in the following format: Year / Enter the current year “2010” SRA Number / Enter the numerical number of the SRA that has been completed in SRA owner Division. e.g. if this is the third one accomplished with in the division enter 003 Division Codes / as stated in paragraph 4.4.1.7.1.2 of this chapter
9 Attendees Enter the required information as indicated at the top of each column, also you should have a sign in sheet for them to sign in on that will be attached to the SRMD.
Para - 1.4 Location Enter the location where this SRA has taken place e.g. SAT or SSF and physical address of the meeting
Para - 1.5 Overview Enter a short overview of the SRA Para - 1.6 System Description Enter a short explanation of the System that this SRA effects
Para - 1.7 Identified hazard or Concern Enter a short explanation of the hazard or concern with reference to safety Para - 1.8 Overall assigned risk level Enter the overall assigned risk level for this SRA
Para - 1.9 Overall Action Plan Enter the overall action plan that will be taken by the Aviation Department to correct this hazard
Para - 1.10 Remarks: Enter any additional comments in the remarks section 10 Signature element First Line of Signature element: Enter Name of person that will be signing this document Second Line of Signature element: Enter the Title of the person that will be signing 11 Date Signed Enter the Date that this document will be signed
12 Attachments: Enter all supporting documents as attachments 13 Approving Official for SRA

List recommendation number(s) Check the appropriate box Enter the recommendation number(s) for each recommendation that his approved, if the “Approve only recommendations” block is checked 14 Enter Signature Element of the Approving Official First Line of Signature element: Enter Name of person that will be signing this document Second Line of Signature element: Enter the Title of the person that will be signing
15 Initials Enter the Initials of the Approving officials 16 Date Signed Enter the Date the approving official signed/initial this SRMD4-30 Safety Management System Manual

DRAFT 10 Jul 2010

Figure 4-11 – Safety Risk Assessment Worksheet – Sheet Number 1Safety Management System Manual 4-31

DRAFT 10 Jul 2010

Table 4-4 – Instructions for completing Risk Management Worksheet (SMS FM 07-1)
Block Number Title Instructions
NOTE: A Risk Management worksheet (SMS FM 07-1 and SMS FM 07-2) should be filled out for each Hazard or Concern identified during the process of assessing risk.
1 Airport: SSF or SAT Check the appropriated box – SSF = Stinson ARPT / SAT = San Antonio International ARPT 2 Department / Division Fill in the Division name that is filling out form 3 Name of Division Manager Fill in the name of the division manager of the division that is in block # 3
4 Date Enter Date the form was filled in 5 Identify the Hazard or Concern Enter the Hazard found or safety concern item 6 Safety Risk Assessment Number Enter Year (2010) - Enter the number that you have completed (0001), Enter office code per paragraph 4.4.1.7.1.2
7a Describe the system or operation that is being added or changed Enter a description of the system i.e. operation, equipment and/or procedures being added or changed. The description that is produced in this step defines the scope of the risk assessment 7b Identify the Stakeholders Enter the staff, employees, customers or tenants that may be affected by this possible change 7c Identify criteria and plan for risk management effort Enter the criteria and plan of action for the risk management effort

8 Hazard Identification (What can go wrong) 8a Identify the Hazard Causes Enter the Hazard causes for the hazard listed in block # 5 8b Identify the Consequence # 1 Enter the Consequence for the Hazard listed in block #5 if more than one fill in block 7c 8c Identify the Consequence # 2 Enter the Second Consequence unveiled in this process if one was discovered 9 Risk Analysis and Assessment (Use the Risk Matrix in the SMS Manual)
9a Likelihood

0 = Negligible 1 = Minor 2 = Moderate 3 = Major 4 = Catastrophic Check the appropriate box – for each Consequence that applies for the Identify Hazard or Concern in item 5 (reference the Risk Matrix in this manual)> 0 = Never heard of in industry 1 = Heard of in industry 2 = Has happened once at airport or once in industry 3 = Has happened more than once at airport or more than once in industry 4 = Has happened more than five times at airport 9b Severity

0 = Negligible 1 = Minor 2 = Moderate 3 = Major 4 = Catastrophic Check the appropriate box – for each Consequence that applies for the Identify Hazard or Concern in item 5 (reference the Risk Matrix in this manual).

9c Risk Level

Low Medium High Check the appropriate box – for each Consequence that applies for the Identify Hazard or Concern in item 5 (reference the Risk Matrix in this manual). You must enter numerical number also, e.g. L 10, check the low box and enter 10 on the line below.
9d Overall Risk Level This assessed as the overall rating for the risk level, e.g. L 10
9e Prioritize List the Priority level for action to bee taken based on the work sheet 10 Decision Making

Transfer Eliminate Accept Mitigate Check the appropriate box – self-explanatory reference the Risk Management Process Overview Reference Figure 4-4 in the manual

Action Plan Enter a short statement on what the action plan is that is to be taken to transfer, eliminate, accept or mitigate the risk 11 Participant List (A thru T) Enter the names of all the participants that participated in the risk assessment of this Hazard4-32 Safety Management System Manual

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Figure 4-12– Safety Risk Assessment Worksheet – Sheet Number 2

Table 4-5 – Instructions for completing Risk Management Worksheet (SMS FM 07-2)Safety Management System Manual 4-33

DRAFT 10 Jul 2010 Block Number Title Instructions
NOTE: A Risk Management worksheet (SMS FM 07-1 and SMS FM 07-2) should be filled out for each Hazard or Concern identified during the process of assessing risk.
1 Airport: SSF or SAT Check the appropriated box – SSF = Stinson ARPT / SAT = San Antonio International ARPT 2 Department / Division Fill in the Division name that is filling out form 3 Name of Division Manager Fill in the name of the division manager of the division that is in block # 3
4 Date Enter Date the form was filled in 5 Identify the Hazard or Concern Enter the Hazard found or safety concern item 6 Safety Risk Assessment Number Enter the number from SRA Work Sheet 1 that correspondence with this worksheet. 7a Action Plan Steps Enter the steps to be taken in the action plan as stated on SMS FM 07-01
7b Milestone Date Enter the date for each milestone for each action plan steps 7c Responsible Person Enter the name of the person that is responsible to complete the action plan step 7d Completion Date Enter the date this step was completed
8 Performance Assessment 8a Performance Description Enter the description as how the performance of the plan is going 8b Progress Measurement

Meeting expectations Not meeting expectations Check the appropriated box

8c Remarks Enter remarks 7a through 7b
9 Additional or Alternate Action Enter comments as to what additional or alternate action is needed4-34 Safety Management System Manual

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