SAFETY

MANAGEMENT

SYSTEMS

MANUAL

9000 Aviation Boulevard

Concord, North Carolina 28027

(704) 920-5900

(704) 793-1215 FAX
This

SAFETY MANAGEMENT

SYSTEMS MANUAL

IS THE PROPERTY OF CONCORD

REGIONAL AIRPORT

Assigned to

Name: _______________________________

Address: _____________________________

_____________________________

Each employee issued this SAFETY MANAGEMENT SYSTEMS MANUAL shall (1) upon request or (2)

upon separation from the Concord Regional Airport, surrender this publication to the Airport Director or

his/her authorized representative.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

INTRODUCTION

CONTENTS

I

Pg. 1

I. INTRODUCTION

II. PREFACE

III. RECORD OF REVISIONS

IV. REASON FOR REVISION

V. SAFETY MANAGEMENT SYSTEM

1.0 Airport Safety Policy

1.1 Process for Setting Goals

2.0 Manual Purpose

2.1 Manual Control

3.0 General Description of a Safety Management System

3.1 Airport Safety Management System

4.0 Quality Assurance and SMS

4.1 Quality Assurance Programs

5.0 SMS Organization Chart

5.1 Individual and Group Responsibilities Related to SMS

6.0 Training

7.0 SMS Components

8.0 The SMS Committee and How the System Works

8.1 SMS Committee Purpose

8.2 SMS Committee Responsibilities

8.3 SMS Committee Members

8.4 Committee Meetings

9.0 SMS Process Flow Chart

10.0 Employee Reporting

10.1 Confidential, Anonymous, Non-Punitive Reporting

10.2 How to Report

10.3 What to Report

10.4 Reporting Process

11.0 Quality Assurance Findings

12.0 Hazard Identification

12.1 Hazard Identification Process

13.0 Risk Management

13.1 Definitions

13.2 Risk Management Policy

13.3 Hazard Identifications

13.4 Risk Assessment

13.5 Risk Management
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

INTRODUCTION

CONTENTS

I

Pg. 2

13.6 Monitor Results

13.7 Documentation

14.0 Investigation Process

15.0 Documentation and Records Retention

16.0 SMS Assessment

VI. APPENDICES

Appendix A

Appendix B

VII. Forms
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

RECORD OF REVISIONS III

Pg. 1

REVISION

NUMBER

REVISION

DATE

INSERTION

DATE REMARKS

ORIGINAL Original

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

REASON FOR REVISION IV

Pg. 1

REVISION

NUMBER

REVISION

DATE

REVISED

PAGE (S) REASON

ORIGINAL 07-25-2008 ALL Creation/Organization of Safety

Management Systems Manual

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 1

1.0

AIRPORT SAFETY POLICY

The Concord Regional Airport has made it their policy to “Schedule with Safety”. The

Aviation Director has issued a Safety Policy Statement, which outlines the airport’s

commitment to safety. This letter is available to all employees from within this manual

or upon request from the Safety Manager.

Also the safety objectives and goals for the Operations Division, Maintenance Division,

and Other Divisions will be posted annually for employees to view.

The airport safety objectives and goals will be reviewed on an annual basis or when

objectives have been achieved.

The safety policy will be reviewed on an annual basis.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 2

MANAGEMENT COMMITMENT - Safety Policy Statement

At Concord Regional Airport safety is a core value of the airport, where the safety and

health of each employee comes first. Personnel and equipment in the aviation industry

are often exposed to many hazards. I acknowledge this fact and am personally

committed to doing everything possible to eliminate injury and damage in our working

environment. The ongoing process of Concord Regional Airport's Safety Management

System is ultimately the responsibility of Concord Regional Airport Management.

However, each and every employee shall cooperate with management to ensure

implementation of this program.

The Safety Committee at Concord Regional Airport will continue to be proactive to

identify risks that may pose injury to personnel, or damage to equipment. To keep

these risks to a minimum we will continuously examine our operations on the airport

and within its facilities. The management team will respond to incidents, conduct

audits, communicate and document our findings, and constantly train all of our

employees on safety policies.

I have appointed a Safety Committee at Concord Regional Airport which consists of

twelve (12) people. They are: City Safety Manager or Designee, Aviation Supervisor

Maintenance, Aviation Supervisor Operations, Customer Service Specialist, Senior

Aviation Service Worker, Aviation Service Worker, Fire Department Representative, ATC

Tower Representative, Non-Airport City Department Safety Representative, Airport Fuel

Vendor, Airport Business Manager and two (2) Airport Tennant Representatives.

As Aviation Director, I carry the ultimate responsibility for the Safety Management

System. I expect that every employee, contractor, and our customers to be active

participants in our Safety Program. Everyone shall use safe practices in their everyday

operations and report any discrepancies to his/her Manager. The Safety Committee will

be held accountable for recommending and monitoring safer steps for the prevention of

incidents and accidents. In addition, no employee will be disciplined for reporting a

Safety hazard or incident through our "non-punitive" reporting system. Employees that

report these hazards will be recognized and commended by the airport.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 3

1.1 PROCESS FOR SETTING GOALS

The Aviation Supervisor Maintenance and Aviation Supervisor Operations have

established the following processes to set and measure goals for the Maintenance

Division and the Operations Division.

The Maintenance Division performance goals are established through the review of

Reliability Meeting issues, Maintenance Reports and Quality Audits. The SMS

database is utilized to determine the frequency and severity and root causes.

The Quality Assurance Supervisor/Manager reports issues to the Aviation Director in a

Quality Assurance Audit Summary at the end of each calendar year. This report

summarizes the annual maintenance issues, Vendor Audits, Maintenance Inspection

Reports and audits carried out on Concord Regional Airport Maintenance division. This

information is used to measure established performance goals.

The Operations Division performance goals and objectives are established by review of;

Accident/Incident reports, Flight and Flight line Irregularity Reports.

Goals and objectives will be reviewed annually for the purpose of evaluation and to set

new goals.

2.0 MANUAL PURPOSE

This manual describes, or gives direction to, the systems and processes that have been

established in accordance with Title 14 of the Code of Federal Regulations (14 CFR)

Part 139, to ensure that Safety is built into every aspect of day-to-day operations of

Concord Regional Airport. This includes: Airport Operations, Maintenance,

Maintenance Training, Training, and Administration. In preparing this manual and all

interfacing manuals FAR 119.65 FAR 121.135, FAR 125, and FAR 135 were used as

reference. Title 49 USC, subtitle VII, part a, chapter 447, paragraphs 44701 and

44702, FAR Order 8740.10, HBAT 99-19, HBAT 00-08, HBAW 00-07, AC 150-5200-

37, were used as FAA Policy and Guidance.

All personnel are required to be knowledgeable of the content of this manual as it

applies to their specific area of responsibility.

Other Manuals that are incorporated by reference include the following:

 General Maintenance SOP

 Operations SOP

 Training SOP Operations/Maintenance

 Emergency Response Manual (Airport and Fire Department)
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 4

2.1 MANUAL CONTROL

This manual was developed under the authority of the Aviation Director, Concord

Regional Airport and staff.

The Safety Manager shall amend this manual as required to keep it relevant and current

with the latest Federal Aviation Regulations.

3.0 GENERAL DESCRIPTION OF SAFETY MANAGEMENT SYSTEM

A Safety Management System (SMS) is a systematic, explicit and comprehensive

process for the management of safety risks that integrates operations and technical

systems with financial and human resource management, for all activities related to an

air operator, airport or an approved maintenance organization’s operating certificate.

A safety system is a business-like approach to safety. In common with all management

systems, a Safety Management System provides goal setting, planning, and measuring

performance. It concerns itself with organizational safety rather than the conventional

health and safety at work concerns. An airport’s SMS defines how it intends the

management of aviation safety to be conducted as an integral part of business

management activities.

A Safety Management System is woven into the fabric of an organization. It becomes a

part of the culture; the way people do their jobs.

3.1 CONCORD REGIONAL AIRPORT SAFETY MANAGEMENT SYSTEM

Concord Regional Airport has developed and maintains a fully comprehensive Safety

Management System (SMS) in accordance with AC 150-5200-37 and FAR 139.

The Aviation Director has been appointed by The City Manager for the City of Concord,

North Carolina as the “Accountable/Responsible Executive”. As the

Accountable/Responsible Executive, he accepts full responsibility for the airport Safety

Management System and for ensuring that personnel adhere to the requirements of that

System.

Concord Regional Airport has established an Airport Safety Program. This program is

under the control of the Manager of Safety who reports directly to the Aviation Director.

The program and the person administering it are independent of either the Maintenance

Division or the Operations Division, thereby assuring autonomy.

This program is intended to ensure that the integrity of the Safety Management System

remains intact by regular surveillance, review and audit of the system in accordance

with Federal Regulations.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 5

This program is documented in the volumes of the Concord Regional Airport Manuals.

4.0 QUALITY ASSURANCE AND SMS

Although Quality Assurance Programs (QA) and Safety Management Systems (SMS)

are separate and distinct processes, they are also inseparable. For that reason,

whenever the term SMS is used in this manual, it should be taken to mean; All safety

components that are built into our processes and procedures and the methods used to

verify compliance with these and regulations that are applicable to other airport

operations and their functions.

Quality Assurance is a Pro-Active safety assessment that ensures process control and

regulatory compliance through constant verification by audit and surveillance processes.

Quality Assurance ensures a constant upgrading of systems based on the results of

audits.

Safety Management facilitates continuous improvements in safety through a similar

system of auditing processes and procedures to ensure correct application and

relevancy.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 6

4.1 Quality Assurance Programs

In order to be able to carry out meaningful audits of its processes and procedures, an

airport must have documented those policies, procedures and standards for every

aspect of the operation. Most of the procedures and standards that are used by

Concord Regional Airport divisions are made mandatory by Federal Aviation

Regulations. Others may be airport requirements. Whether they are City, FAR or

airport requirements, in the interest of safety, it is essential for all employees to adhere

strictly to these policies and procedures.

Audits will be conducted to confirm compliance with policies and procedures that are

contained in the following publications:

 Airport/City Audit Procedures

 Technical Advisory Bulletins

 Operational Memorandums and Bulletins

 Safety Management System Manual

Guidelines have been developed for use by the Operations Division and the

Maintenance Division. The Operations guidelines are found in the Operations SOP book

located in the Aviation Supervisor Operations office. The Maintenance guidelines are

found in the Maintenance SOP book located in the Aviation Supervisor Maintenance

office.

These guidelines must be followed unless the employee has received approval from

their immediate supervisor, to deviate from them.

Employees are encouraged to question why certain airport procedures have been

established if they do not appear to make sense. All such queries will be taken into

account as part of the on-going assessment and improvement program, which is an

integral part of SMS.

To ensure regulatory compliance, and compliance with airport and customer procedures

and requirements, Concord Regional Airport has developed and uses the following

programs:

A. Maintenance Quality Assurance,

B. Airport Operations Quality Assurance,

C. Quality Assurance Program.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 7

4.1 QUALITY ASSURANCE PROGRAMS (cont’d)

A. The Maintenance Quality Assurance Program is in accordance with City,

Airport, and FAA regulations, policies and procedures, specifically FAR 139.

Management of this program has been delegated by the Aviation Director to the

Aviation Supervisor Maintenance. A description of this program can be found in

the Airport Certification Manual under the Maintenance Section and the

Maintenance SOP. Audit procedures and forms are located in these two

publications. The program is based on scheduled and random audit and

surveillance of functions of the Maintenance Operations. In accordance with AC

150-5200-37, and FAR 139, a portion of the audits will be carried out during

scheduled maintenance performed at night, if applicable.

Vendor Quality/SMS audits will be carried out to ensure vendor compliance with

the applicable regulations.

B. The Operations Quality Assurance Program has been established to ensure

that Concord Regional Airport policies, procedures and standards, as they apply

to the Airport Operations Area, are maintained. This is accomplished by

scheduled and random audits, including surveillance of all aspects of airport

operations.

 Audit of controlled publications and charts; maps and sectionals,

 Regular review and improvement of the procedures contained in the

Operations SOP and Letters of Agreement,

 Audit of training records,

 Audit of airport employee workers compensation records with City Human

Resources Department,

 Surveillance of employee duty times.

The Aviation Director has assigned the responsibility for the Operations Quality

Assurance Program, to the Aviation Supervisor Operations.

The Operations Quality Assurance Program is contained in the Airport

Certification Manual.

C. The Airport Quality Assurance Program has been established in accordance

with AC 150-5200-37, and FAR 139 and is separate and independent of the

Maintenance or Operations Quality Assurance Program.

This program has been developed to ensure the continued integrity of the

Concord Regional Airport Safety Management System. This will be

accomplished by scheduled and random audits and surveillance of the SMS

processes and records.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 8

4.1 QUALITY ASSURANCE PROGRAMS (cont’d)

The audit will include, but not limited to:

 Accuracy and completeness of documentation of safety reports.

 Review of the corrective actions taken.

 Review of follow-up actions.

 Audit of controlled documents for currency.

Reporting to the Aviation Director, responsibility for this program is held by the

Safety/Quality Assurance Manager.

A description of this program, including responsibilities, is found in this Manual

and will become an appendix of the Airport Operations SOP/Manual.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 9

5.0 SMS ORGANIZATION SAFETY CHART

NOTE: Solid lines indicate formal reporting. Dotted lines indicate informal or

administrative communications.

*** The Assistant Aviation Director will accomplish the duties of the Safety Manager

until such time as the position is filled.

Aviation Supervisor

Operations

Aviation Customer

Service Workers

Aviation Service Workers

Aviation Supervisor

Maintenance

Aviation Maintenance

Workers

Responsible/Accountable

Executive

***Safety Manager

Assistant Aviation

Director
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 10

5.1 INDIVIDUAL RESPONSIBILITIES RELATED TO SMS

A. ACCOUNTABLE EXECUTIVE (AVIATION DIRECTOR)

Reporting to the Assistant City Manager, the Accountable Executive has been

appointed by the City Manager for the City of Concord, North Carolina.

Within Concord Regional Airport, the Aviation Director is the

Responsible/Accountable Executive.

The Aviation Director is responsible for the operations and activities of the

airport, in accordance with AC 150-5200-37, FAR 139 and OSHA

Regulations, as applicable. In addition, the Aviation Director is responsible

for:

 Establishing Safety performance goals and a means of measuring

the attainment of those goals in accordance with current

regulations.

 Ensure regular review of the SMS to determine its effectiveness in

accordance with current regulations. This will be accomplished by

the Manager of Quality Assurance.

B. SMS COMMITTEE CHAIRMAN

The Manager of Safety, who reports to the Aviation Director, chairs the SMS

Committee.

The Chairman will ensure that the following SMS functions are carried out in

accordance with FAR’s, City Policies, Airport Policies and Procedures,

which include:

 Coordinate the activities of the committee with other

members.

 Establish and maintain a reporting system to ensure the

timely collection of information related to hazards, incidents

and accidents that may adversely affect safety.

 Establish and maintain a safety data system to monitor and

analyze trends in hazards, incidents and accidents.

 Ensure SMS and deviation reports are entered into the

database and an investigator is assigned to each file.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 11

 Ensure personnel submitting reports are notified of the

receipt of the report and are informed about the disposition

of the report in accordance state law.

 Communicate to all airport personnel the results of the SMS

investigations and all pertinent safety information.

 Keep and distribute minutes of committee meeting.

During periods where the SMS Committee Chairman (Manager of Safety) is

absent, the Aviation Supervisor Operations shall ensure SMS reports are

entered into the database and assigned an investigator as applicable. The

Chairman will keep open lines of communications with the Aviation Director

but will not bypass the Functional Managers (Aviation Supervisor,

Maintenance, Aviation Supervisor, Operations) on any issue related to safety.

C. Aviation Supervisor Maintenance

The position of Aviation Supervisor, Maintenance has been appointed in

accordance with City and Airport Policy and Procedures.

The Aviation Supervisor, Maintenance meets the experience requirements of

Airport/City Policy, Procedures and FAR regulations.

Reporting to the Assistant Aviation Director, the Aviation Supervisor,

Maintenance shall manage the activities of Maintenance Operations in

accordance with policies set forth in the Airport Maintenance SOP. Shall in

accordance with this manual, and Operations SOP, control the Safety

Management System for Maintenance Operations. When findings resulting

from a Quality Assurance Audit or Safety Management System Report are

reported to him , he shall in accordance with airport procedures :

 Determine what, if any, corrective actions are required and carry out

those actions;

 Keep a record of any determination made and the reason for it;

 Communicate any determination regarding a corrective action to the

person managing the SMS for the Maintenance Division and Quality

Assurance Manager;

 Notify the Accountable Executive (Aviation Director) of any systemic

deficiencies and of the corrective action, and
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 12

 Maintain open lines of communication with the Aviation Supervisor

Operations on all matters concerning Aviation and Ground Safety;

 Evaluate all safety related correspondence and forward pertinent

information to the SMS Committee Chairman for distribution.

D. QUALITY ASSURANCE MANAGER

In accordance with City/Airport Policy and FARs, the Aviation Director has

assigned management of the Airport Quality Assurance Program to the

Safety Manager/Quality Assurance Manager. The Safety Manager/Quality

Assurance Manager meets the requirements of the above policies and

regulations.

In accordance with these regulations, delegation includes the responsibility

for management of the SMS segment that is applicable to the Airport

Maintenance functions and Operations functions.

Reporting to the Aviation Director, the Quality Assurance Manager, in addition

to his responsibilities, shall participate as an active member of the SMS

Committee and ensure that the requirements of Quality Assurance are met.

These include but are not limited to:

 Identify hazards and carry out risk management analysis of those

hazards;

 Investigate, analyze and identify the cause or probable cause of all

hazards, incidents, and accidents identified under the SMS;

 Monitor and evaluate the results of corrective actions with respect to

hazards, incidents, accidents and audit findings;

 Monitor the concerns of the civil aviation industry in respect of safety

and their perceived effect on the airport and its divisions;

 Will, in accordance with this manual, report to the Aviation Director, the

hazards, incidents and accidents identified under the SMS, and

 Will maintain open lines of communication with the Operations

Supervisor and Maintenance Supervisor regarding SMS issues related

to both departments.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 13

These requirements are identified under the SMS Committee Responsibilities that are

described below.

E. AVIATION SUPERVISOR OPERATIONS

Reporting to the Assistant Aviation Director, the Aviation Supervisor

Operations is the appointed Operations Manager of the Concord Regional

Airport, in accordance with applicable regulations and local policies and

procedures. The Aviation Supervisor Operations shall manage the activities of

the Airport in accordance with the Airport Certification Manual and all

appropriate SOPs. In addition to these responsibilities, the Aviation

Supervisor Operations is responsible for the control of the Safety

Management System as it applies to Airport Operations. When an audit

finding resulting from the SMS or Operations Quality Assurance Program is

reported to him/her: they shall;

 Determine what, if any, corrective actions are required and carry out

those actions;

 Keep a record of any determination made and the reason for it;

 Communicate the corrective action taken to the Safety Manager;

 Notify the Aviation Director of any systemic deficiency and the

corrective action taken;

 Maintain open lines of communications with the Aviation Supervisor

Maintenance regarding SMS issues related to the Maintenance

Division;

 Evaluate all safety related correspondence and forward pertinent

safety information to the SMS Committee Chairman for distribution;

F. SENIOR AVIATION SERVICE WORKER

In accordance with these SMS procedures, the Aviation Supervisor

Operations shall assign responsibility for the management of the Flight Line

Operations Quality Assurance Program, to the Senior Aviation Service

Worker. Included in this assignment are the following responsibilities relating

to management of the SMS for the Operations Division, in accordance with

this manual, Airport Certification Manual, the Senior Aviation Service Worker

shall work with the Aviation Supervisor Operations to:
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 14

 Conduct a hazard identification and risk management analysis of the

operation of the Airport Flight Line;

 Investigate, analyze and identify the probable root cause and

contributory causes of all incidents, accidents, and safety deficiencies

identified by the program;

 Monitor and evaluate the results of corrective actions with respect to

hazards, incidents, accidents and audit findings;

 Monitor aviation industry safety concerns that could affect the Flight

Line Operations;

 Participate in the activities of the SMS Committee and ensure that the

requirements of Federal Aviation Regulations are met; and

 Will maintain open lines of communication with the Safety

Manager/Quality Assurance Manager on SMS issues related to the

Maintenance and Operations Divisions.

.

These requirements are identified under the responsibilities of the Safety

Committee listed below. Will also report , in accordance with this Manual and

Operations SOP, the hazards, incidents and accidents identified under the

SMS to the Aviation Supervisor Operations .

G. SAFETY MANAGER

Reporting to the Aviation Director, the Safety Manager, in addition to being

the Chairman of the Safety Committee, is responsible for:

 Federal Aviation Regulatory and Occupational Health and Safety

issues in the airport areas of operation;

 Investigating, analyzing and identifying the cause or probable cause of

all hazards, incidents or accidents, relateing to Aviation and

Occupational Health and Safety, identified by the SMS process.

 Administration and continuous improvement of the Airport Safety

Program;

 Administration and coordination of continuous improvement of the

Airport Emergency Response Plan with the Fire Department;
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 15

 Details on these programs can be found in the following, controlled

documents:

 Safety Management System Manual; and

 Airport Emergency Response Plan Manual.

As a member of the SMS Committee, the Safety Manager will maintain open

lines of communications with all division heads on issues related to OSHA

and Aviation Safety.

H. COWORKERS SAFETY GROUP

Concord Regional Airport has assigned OSHA and Aviation Safety

responsibilities to personnel in all divisions.

Reporting to the Safety Manager, the Coworker Safety Group is responsible

for conducting quality audits of Safety Equipment and conditions at their

location that could be hazardous to employees. Unsafe conditions and

equipment must be brought to the immediate attention of the division

manager who will ensure that appropriate corrective action is taken.

All such action is documented and forwarded by the Group to the Safety

Manager. The Safety Manager will review the information to ensure that

appropriate action was taken, and may make further recommendations to the

Director for improved policies, procedures or equipment etc.

6.0 TRAINING

In accordance, FAR 139.303, the Aviation Supervisor Operations and the Aviation

Supervisor Maintenance and all persons directly connected to the airport SMS will

receive and shall successfully complete a safety related, initial training course that

includes the following subjects:

a. Maintenance and Aviation Safety philosophy;

b. Human Factors;

c. Accident Prevention;

d. The responsibilities of safety personnel;

e. Risk Management;

f. Accident/Incident reporting; and

g. Incident investigation.

.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 16

“Initial” and “Recurrent” training on policies and procedures of the airport SMS that are

contained in this manual and manuals incorporated by reference, shall also be provided

to all personnel assigned safety related duties.

The Safety Manager/Training Manager will determine the content and frequency of

recurrent training.

7.0 SMS COMPONENTS

The Concord Regional Airport SMS is all inclusive and incorporates the following major

components:

 An Operations Quality Assurance Program;

 A Maintenance Quality Assurance Program;

 An Occupational Health and Safety Program (including Aviation OSHA) from

City Safety;

 A program of confidential, and anonymous Employee Safety Reporting;

 An SMS Committee; and

 An Airport Emergency Response Plan.

Built into the major components that are listed above are sub-components that are in

accordance with FAR 139.

 A safety Policy on which the system is based.

 A process for setting goals for improvement of Aviation Safety and for

measuring the attainment of those goals.

 A process for identifying Hazards to Aviation Safety and for evaluating and

managing the associated risk.

 A process for ensuring that personnel are trained and competent to perform

their duties.

 A process for internal, non-punitive, reporting and analyzing of hazards,

incidents and accidents and, for taking corrective actions to prevent their

recurrence.

 A document containing all Safety Management System processes and a

process for making personnel aware of their responsibilities with respect to

them.

 A process for conducting periodic reviews or audits of the Safety

Management System and reviews or audits for cause and corrective action of

safety concerns, incidents or accidents.

 Any additional requirements for the Safety Management System that are

prescribed under the Code of Federal Regulations.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 17

8.0 THE SMS COMMITTEE AND HOW THE SYSTEM WORKS

Maintained by the SMS Committee, the SMS program is based on pro-active and

reactive processes.

Pro-active by means of:

 Audits;

 Policy and Procedure Assessment; and

 Hazard Identification.

Reactive by means of reports based on:

 Hazard Identification;

 Accident/Incident Reports;

 Database Assessment and Review; and

 Risk Analysis.

8.1 SMS COMMITTEE PURPOSE

The purpose of the Committee is two fold:

 To advise as to the policies and procedures of the Airport Safety Management

System in accordance with FAR 139 and AC 150-5200-37.

 To advise as to the policies and procedures of the US Occupations Health and

Safety Regulations, and the Aviation Occupational Health and Safety

Regulations, in accordance the US Department of Transportation, and US

Department of Labor Regulations.

NOTE: In case of duplication requirements between the US Labor Regulations

and the US Aviation (FAA) Regulations, the more stringent will be applied.

8.2 SMS COMMITTEE RESPONSIBILITIES

 The committee will review the timely collection of information related to

hazards, incident and accidents that may adversely affect safety;

 Review reported hazards and carry out an analysis of those hazards;

 Investigate, analyze and identify the cause or probable cause of all hazards,

incidents and accidents identified under the Safety Management System;
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 18

 Monitor and analyze trends in hazards, incidents and accidents;

 Monitor and evaluate the results of corrective actions with respect to

hazards, incidents and accidents and report findings to the Aviation

Director;

 Monitor the concerns of the civil aviation industry in respect of safety

and their perceived effect on the Maintenance and Operations

Divisions;

 Determine the adequacy of the training provided to the person

responsible for Maintenance, Operations and other personnel who are

assigned duties related to the Safety Management System;

 Report to the Aviation Supervisor Maintenance and Aviation

Supervisor Operations, the hazards, incidents and accidents identified

under the Safety Management System or as a result of a Quality

Assurance audit of the Maintenance Division, Operations Division or

the Safety Management System .

8.3 SMS COMMITTEE MEMBERS

Chairman - Safety Manager/Training Manager

Member - City Safety Manager

Member - Maintenance Supervisor

Member - Operations Supervisor

Member - Customer Service Specialist

Member - Senior Aviation Service Worker

Member - Fire Department Representative

Member - ATC Tower Representative

Member - City Department Non-Aviation Rep

Member - Airport Tennant Representative

Member - Airport Tennant Representative

Member - Airport Business Manager

Members of the SMS Committee are responsible for: monitoring risk

assessment, accident/incident investigation and determining the root cause of all

safety concerns, accidents, incidents, unscheduled events and nonconformances that relate to their area of expertise.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 19

The Committee will review the follow-up of all corrective actions that are

implemented by the Aviation Supervisor Maintenance or Aviation Supervisor

Operations.

The Committee Chairman is responsible for: “Filtering” reports to the

responsible Committee member and ensuring complete documentation of all

safety related issues. In addition, the Chairman will ensure that a secure

database of all safety related issues is maintained indefinitely.

8.4 COMMITTEE MEETINGS

The Committee will meet at a minimum of six (6) times per year, at pre-scheduled

dates, determined by the Chairman of the SMS Committee. The Chairman will present

all raised safety concerns, incident or accident reports, audit reports, pilot reports,

employee reports, relevant deviation reports and any system enhancement

recommendations that may have been received.

Using the SMS Process Flow Chart (Figure 1 below), the committee members address

all safety concerns that are directed to them.

The Committee will review all actions taken resulting from auditing and establish a

follow-up schedule.

They will review relevant pilot reports and deviation reports to ensure adequate action

has been taken to mitigate recurrence of the event.

Using the historic database, the Committee will look for trends that identify systemic

problems.

System enhancement recommendations will be reviewed and forwarded to the

appropriate head if the Committee concurs with recommendations.

The Chairman will ensure documentation and strict control of all documentation of

safety related issues and the ongoing monitoring of corrective actions.

NOTE: The Aviation Supervisor Maintenance or Aviation Supervisor

Operations, as applicable, holds responsibility for determining and implementing

corrective actions after consulting with the Aviation Director.

The dotted line that surrounds the SMS Flow Chart is named “System Evaluation”, and

represents the independent audit of the SMS that is carried out under the Quality

Assurance Program.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 20

9.0 SMS PROCESS FLOW CHART

10.0 EMPLOYEE REPORTING

All employees are responsible for reporting observed hazards, incidents or accidents to

their supervisor or the Safety Manager. This will ensure that all events receive the

appropriate investigation in order to:

 Identify the underlying initial contributing factor(s) that caused the event (root

cause), and identify the action required to minimize the chance of recurrence;

 Satisfy any regulatory requirement for reporting and investigating as per the

Code of Federal Aviation Regulations;

 Provide a factual record of the circumstances of the event or hazard to allow

others to learn from the situation; and
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 21

 Categorize the underlying causes and establish the appropriate remedial and

continuous improvement action.

All reports are treated as strictly confidential. The reporter may remain anonymous if

they choose. However, in case more information is required, it is preferred that the

reporter identify themselves. In all cases, employees will receive feedback on what, if

any, action was taken or planned. Employees who choose to remain anonymous will

receive feedback by means of a general notification in memo form or through other

communiqué systems.

10.1 CONFIDENTIAL, ANONYMOUS, NON-PUNITIVE REPORTING

In accordance with AC 150-5200-37, Concord Regional Airport has a policy that

ensures employees who report mishaps, risk exposures, safety hazards, incidents or

accidents will not be subject to disciplinary action by the airport with few exceptions

such as the following (which could create or worsen risk exposures):

 Premeditated or intentional acts of violence against people or damage to

equipment/property;

 Actions or decisions involving material negligence which, in the airport’s

judgment, no reasonably prudent employee of relevant training and experience

would take; or

 Failure to report safety incident or risk exposures as required by Concord

Regional Airport’s operating procedures and/or this policy.

Employees who act irresponsibly in one of these ways remain exposed to disciplinary

action. An employee’s compliance with reporting requirements will be a factor to be

weighed in Concord Regional Airport’s decision-making in such circumstances.

Outside theses specific and rarely invoked exceptions, employees who make honest

mistakes or misjudgments will not be subject to blame, provided that they report such

incidents in a proper fashion.

10.2 HOW TO REPORT

Employees shall choose any method to report their concerns as long as it is a written

report containing as much pertinent information as possible. However, employees are

urged to use the SMS Report Form. This multi-purpose report is designed to meet all

the SMS reporting requirements and eliminate the workload and confusion associated

with multiple reports. When submitted, the SMS Report Form is automatically sent to

the Safety Manager and either of the Supervisors or all three.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 22

Alternative reporting options include e-mail to the Safety Manager, e-mail to the

Supervisor, e-mail to the respective Division Safety Committee Member or fax to any of

these safety representatives.

Verbal reports may be used to start the investigative process but must be followed up

with a written report.

Reports should contain all the details fully describing the incident or conditions that

present a hazard.

10.3 WHAT TO REPORT

In order not to over burden the reporting system or the employee with unnecessary

paperwork, it is not required that all minor workplace hazards be addressed by means

of the official reporting system. Common sense is the key to deciding what should or

should not be reported. Some events or concerns are considered to be mandatory,

while others are not. An unsafe practice or condition in the workplace may not require

the filling out and submission of a report if:

 It is corrected immediately and was obviously caused by a “one off” event that

was not the result of a system or procedural failure. An example of this would

be;

 Someone neglecting to use the appropriate safety equipment although:

 The equipment was available;

 There was a policy in place that required its use;

 The appropriate training had been provided; and

 The person complied with the policy when reminded of his/her oversight.

HOWEVER, WHEN IN DOUBT, REPORT IT.

The airport also encourages employees to identify and report on any process or

procedure that does not fulfill the specific written requirements of the job they are

performing. The reporter is also encouraged to offer solutions for enhancement of the

process or procedure.

The following list is not all-inclusive. It is intended to give the employee an

understanding of what conditions to be vigilant of and what type of events requires

mandatory reporting. Again, if any doubt exists as to whether or not something is

reportable, report it:
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 23

 Any incident that requires a Service Difficulty Report (SDR) to be filed as per

FAR 139. (NOTAMS)

 Reportable aviation occurrences as defined in the National Transportation Safety

Board Aeronautical Information Manual Part 830 must be reported to the NTSB

without delay.

 Any incident where the aircraft sustains damage requiring repair.

 Any air ground incident (accident) in which someone suffers injury or death.

 Any incident where the aircraft sustains damages or structural failure that

adversely affects the structural strength, performance and/or flight

characteristics.

 Suspected Hard landings observed by flight or ground personnel.

 Runway incursions.

 Excessive duty times by employees.

 Lack of adequate training and recurrent training.

 Poor communications between operational areas.

 Incorrect or inadequate procedures and failure to adhere to standard procedures.

 Lack of, or out of date, technical and flight publications or charts and plates.

 Inadequate tool and/or equipment control.

 OSHA/Aviation OSHA related concerns or events.

Other reports that are fed into the SMS for investigation, analysis and possible

corrective action include the following:

 Relevant Deviation Reports.

 Finding and Non-Conformance Reports resulting from internal audit.

.

The Quality Assurance Auditors and Supervisors will supply these reports as

appropriate.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 24

Audit findings, including findings that result in Non-Conformance, will usually be

addressed during the audit period. However, the finding and resulting corrective action

must be supplied to the Committee Chairman. This will ensure that all system failures

are captured and entered in the database for historical reference and future follow-up.

(See, Audit Findings below).

10.4 REPORT PROCESSING

All reports are forwarded to the attention of the SMS Committee Chairman/Safety

Manager.

Employee Safety Reports will be reviewed by the Chairman upon receipt to

determine which direction the report should be

channeled. This will be; the Aviation Supervisor

Maintenance, the Aviation Supervisor Operations, or

the Safety Manager, or a combination if the report has

combined maintenance and operations implications.

Pilot Reports are forwarded by the customer service or operations

division to the Chairman who will retain a copy and

forward a copy to the Safety Manager for committee

resolution.

Deviation Reports are forwarded by the operations division to the

Chairman who will retain them for committee

resolution.

Quality Assurance Findings are forwarded by the auditor and supervisors, to the

Committee Chairman who will retain them for the

committee.

With the exception of Quality Assurance Audit

Findings which are described below, all reports will be

addressed by the responsible person (Supervisor or

Safety Manager) with the level of priority they

determine as necessary.

The Quality Assurance Findings will be analyzed, with

the reports and recommendations given to their

“Functional Division Head” (Maintenance or

Operations) for corrective action.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 25

The Aviation Supervisor Maintenance or Aviation

Supervisor Operations will take whatever action, or

non action deemed necessary and report such action

back to their committee member (Quality Assurance

Manager or Safety Manager) and also up to the

Assistant Aviation Director or Aviation Director.

The Aviation Supervisor Maintenance or Aviation

Supervisor Operations will provide feedback on

corrective actions to their respective divisions so that

staff can see the results of their commitment to safety.

Audit Findings and Non-conformances are addressed at the time of the audit and as

described in the applicable manuals (Maintenance

SOP, Operation SOP, and ACM). Conclusions of the

findings and non-conformances are tabled at the SMS

Committee meetings. The Committee will ensure that

a follow-up review of the corrective action taken.

All pertinent information from audit and nonconformance findings will be entered into the SMS

database.

11.0 QUALITY ASSURANCE FINDINGS

Audit findings will be investigated by the Quality Assurance Auditor (internal or

external), Supervisor, or Safety Manager as applicable, to the extent necessary to

determine the root cause and any contributory factors.

The results of the investigation will be forwarded to the Aviation Supervisor

Maintenance or Aviation Supervisor Operations as applicable.

The Aviation Supervisor Maintenance and Aviation Supervisor Operations will

determine what, if any corrective action is required and take that action. This will be

accomplished with pertinent division personnel. The Aviation Supervisor Maintenance

and the Aviation Supervisor Operations will document all corrective action and nonaction and include the following minimum information:

 Reference to the original audit finding and any relative information.

 The immediate or short-term corrective action that was taken.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 26

 The long-term corrective action, taken or planned.

 A summary of the logic applied to arrive at the corrective action.

 If the decision was that no action was necessary; the reason for this decision.

 Details on any follow-up to corrective action that may be required and the

scheduled date of that follow-up.

 Copies of this documentation will be forwarded to the Assistant Aviation Director

or Safety Manager as applicable, who will ensure that it is recorded into the SMS

database.

12.0 HAZARD IDENTIFICATION

The SMS committee shall gather information from a variety of sources to determine the

existence of hazards. These information sources include:

1. Hazard/Incident/Accident Reports,

2. Minor injury reports,

3. Safety Inspection reports,

4. Industry data, (i.e. manufacturers and other operators)

5. Safety data recording systems, (SDRs, etc.)

6. Government reports,

7. Other relevant information, and

8. Committee reviews of:

 Existing safety programs,

 MSDS (Material Safety Data Sheets) for new products introduced into the

airport or city, and

 Airport and industry trends.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 27

12.1 HAZARD IDENTIFICATION PROCESS

The SMS committee shall, at the scheduled meetings, review any information received

from the sources above. The purpose of the review will be to identify specific hazards

and the potential impact on airport operations and/or the health and safety of

employees.

All hazards reported to, or identified by, the committee shall be documented in a

database. The committee shall review information in the database to identify airport

trends.

Hazards identified through this process shall be assessed using the risk management

process in order to determine the most effective method to eliminate or mitigate the

hazard.

Any hazard reported to, or identified by, a committee member that poses an immediate

risk to airport operations or the health and safety of employees or airport equipment

shall immediately be brought to the attention of the division supervisor. The risk shall

be assessed and appropriate action taken. The committee member will report to the

committee the circumstances of these occurrences.

13.0 RISK MANAGEMENT

13.1 DEFINITITIONS

Hazard: Anything that, given the right set of circumstances can

cause injury to personnel and/or damage airport

facilities, equipment or reputation.

Risk: Risk is measured in terms of severity and probability

that an identified hazard will cause damage.

Probability: An expression of the likelihood a “hazard” could

cause an occurrence.

Severity: The consequences that could arise from a “worst

case scenario” for a particular hazard.

Mitigation: Measures taken to eliminate a hazard or reduce the

probability or severity of a risk.

Risk Tolerance: Risk tolerance is the amount of risk Concord Regional

Airport is willing to accept.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 28

Risk Management: Risk management is the process of identifying risk,

assessing their implications, deciding on a course of

action, and evaluating the results.

13.2 RISK MANAGEMENT POLICY

Concord Regional Airport will identify and analyze hazards and determine the most

effective preventive measures the airport can use to eliminate or mitigate the risk the

hazard poses to the airport.

13.3 HAZARD IDENTIFICATION

Concord Regional Airport shall use three methods to identify hazards: process analysis,

trend analysis and reports from personnel.

Process Analysis:

Individual steps of a process are detailed and analyzed by management and

employees involved to determine the existence of hazards and identify possible

preventive measures to put in place to mitigate potential side effects of these

hazards.

Trend Analysis:

The SMS committee and management personnel will review and compare safety

records to determine if repetitive, isolated incidents are indicative of an unrecognized

hazard. When hazards are identified, they will be analyzed to determine the most

efficient preventive measure available to mitigate the effects of the hazard.

Personnel Reports:

Employees are to report hazards using the monthly inspection forms or the airport

Hazard/Incident/Accident report. Management will investigate report and identify

and implement any required preventive measures.

13.4 RISK ASSESSMENT

All identified hazards will be reviewed and assigned to either the corrective action

program or be subjected to risk analysis. The corrective action program will be used

when a hazard has a straightforward and affordable solution, which must be complied

with due to either regulatory or operational requirements. All other hazards shall be

subjected to a risk assessment. This assessment will be assigned to a supervisor and

may involve the responsible division supervisor. Each assessment will be reviewed at

committee meetings. The risk statement tab of the Incident Report Database form is

used to document the process.

The risk assessment process is broken down into five steps:
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 29

Step 1: Determine a Severity rating.

The assessor will determine the severity of the consequences a hazard

presents in a reasonable worst-case scenario. The assessor shall rate the

severity against the various criteria of the assessment form and assign a

High, Medium or Low rating to each criterion. The assessor then shall assign

an overall rating to the hazard based upon the different criteria and his

knowledge and experience.

The Severity Ratings are:

 Catastrophic

 Critical

 Major

 Minor

 Negligible
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 30

Step 2: Determine a Likelihood rating.

The likelihood that a hazard will cause an incident is calculated by assessing

the effectiveness of any existing preventive measures already in place. The

assessor shall list the preventive measures on the form and rate these

against the following criteria:

1. Justified

Considering the resources required to implement the preventive measure:

are the benefits justifiable?

2. Address the Issue

Is the preventive measure addressing the hazard it is designed to

prevent?

3. Sufficient

Does the preventive measure have sufficient capacity to deal with the

issue it is designed to prevent?

4. Reliable

Is the preventive measure adhered to? Can it be trusted to be effective?

Are there any conditions where it may not be effective?

5. Assigned

Is there someone responsible to ensure the preventive measure is used?

Can they follow-up and modify the system to strengthen the preventive

measure if required?

6. Specific Instructions

Are there specific instructions for the preventive measure? Do these

effectively describe proper procedures for the functions and operations of

the preventive measures?

7. Communicated, Trained, Documented

Are the preventive measures described in company publications and

documentation? Are these continuously verified to ensure they remain

current, clear and effective? Are personnel trained on how to use the

preventive measures?

8. Tested, Practical

Have the preventive measures been tried in practice? Are they practical?
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 31

The assessor must assess all eight criteria. If any criteria is weak or missing,

the effectiveness of the preventive measure will be reduced. The effectiveness

rating for preventive measures is:

1. Extremely Unlikely - highly unlikely to occur due to very effective and

robust prevention systems

2. Unlikely - reduced chances of occurrence due to good

prevention systems

3. Likely - could occur due to deficiencies in the prevention

systems

4. Extremely likely - likely to occur due to inadequate prevention systems

5. Certain - very likely to occur due to absent prevention systems

When there are more than one preventive measure, an overall rating of the

various preventive measures is assigned.

Step 3: Determine the Exposure Level

The exposure level is determined using the knowledge of current airport

practices, policies and procedures. Past experience and knowledge of future

operations is used to assign an exposure level. The exposure levels are:

1. Never - Occurs once every two or three years

2. Hardly Ever - Occurs once per year

3. Often - Occurs once or more per month

4. Very Often - Occurs once or more per week

5. Continuously - Occurs once or more per day
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 32

Step 4: Assign a risk priority rating to the hazard.

The Incident Report Database calculates the risk priority rating of a hazard. The Severity

Rating, the Likelihood Rating and the Exposure Level are entered into the database on the

Risk Statement Tab. The database then automatically calculates a risk priority rating.

The calculations made are as follows:

Variables

1. Severity

a. Catastrophic (110);

b. Critical (100);

c. Major (65);

d. Minor (15);

e. Negligible (10).

2. Likelihood

a. Extremely Unlikely (0);

b. Unlikely (20);

c. Likely (70);

d. Extremely Likely (90);

e. Certain (110).

3. Exposure

a. Never (0);

b. Hardly Ever (.5);

c. Often (1);

d. Very Often (1.1);

e. Continuously (1.4).

Equations

1. Risk = Likelihood + Severity

2. Risk Analysis = (Risk * Exposure)

3. Risk Relative = Risk Analysis / 3.08 (Note: result is rounded to nearest whole number)

4. Risk Zone = (Risk Analysis) = <104 (Low); <145 (Medium); >145 (High)

5. Relative Calculated Risk = Risk Zone

Example:

Exposure = Very Often = 1, Likelihood = Likely = 70, Severity = Major = 65

 Risk = Likelihood (70) + Severity (65) = 135

 Risk Analysis = Risk (135) * Exposure (1.1) = 148.5

 Risk Relative = Risk Analysis (148.5) / 3.08 = 48

 Risk Zone = (Risk Analysis) = “High”

 Relative Calculated Risk = Risk Zone (High)
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 33

(The source of this formula is The Medallion Foundation of Alaska.)

The risk priority rating is used as guidance to assign priorities to ensure mitigating or rectifying

action is taken. The following levels will be used when setting the priorities.

Rating Level Priority

75-100 Improvement is a high priority: Act immediately.

50-75 Improvement is priority: Act this year.

40-50 Issue is important. Continue to monitor, improve as needed.

25-40 Improvement is not a priority. Review opportunity next year budget.

Less than 25 Improvement is not a priority.

Step 5: Assess Potential Preventive Measures

Identify other potential preventive measures the airport could use to help reduce the severity of

the consequences or the likelihood of occurrence.

The assessor shall assess the effectiveness of these potential measures and assign an

effectiveness rating to the measure. Then plot the likelihood rating with the consequences

rating and exposure level to determine the risk priority rating of the hazard with new preventive

measures.

13.5 RISK MANAGEMENT

The responsible supervisor will be provided with the risk assessment form. The supervisor will

review the risk rating for the hazard and any potential preventive measure and determine the

best approach for the airport to follow to either eliminate or mitigate the hazard.

13.6 MONITOR RESULTS

Decisions taken by supervisors to eliminate or reduce a risk shall be disseminated to all

employees affected. An implementation plan will be developed and carried out. The SMS

committee will monitor the implementation to ensure completion of the process.

Monitoring will ensure the following four things occur:

 A responsible person is assigned:

Somebody will be assigned the responsibility to implement the mitigating process.

This person will require the authority to perform his duties.

 A due date is set:

A date by which the mitigating process is to be implemented .

 The mitigating process:
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 34

The responsible person will have the choice of eliminating, mitigating, monitoring or

transferring the hazardous condition. They shall document the course of action

chosen and provide substantiation for this choice. The substantiation is not required

if the recommended course of action is chosen.

Complex mitigating action can be broken into implementation targets. This will allow

the responsible person to delegate portions of the mitigation action and provides

them a tool to monitor progress.

Once the mitigating process is completed the responsible person will document the

action taken and enter the date completed in the Date completed field of the

database.

 A review date is set:

The SMS committee shall review the effectiveness of any mitigating process

implemented to ensure the process is both effective and cost efficient. Individual

members of the committee may be tasked to review the process and report to the

committee on the effectiveness of the process.

The committee will also review any items determined to require budgetary

considerations before the next business year’s budget is developed. This review will

be to prioritize the items that should be considered in the budget plan and present

these to the Aviation Director.

13.7 DOCUMENTATION

All hazards subjected to the risk analysis process will be documented on the Risk Assessment form

(Appendix A).

Items generated by the SMS system will be assigned a tracking number matching the SMS file

number of the generating item.

If the form is completed electronically, it should be saved in PDF format to prevent the file from being

inadvertently modified if opened for review. Completed reports shall be kept in the appropriate file

folder of the Safety Database directory.

Integrated Risk Assessment forms completed on paper will be scanned and a copy will be kept in the

appropriate file folder of the Safety Database directory. The hard copy will be kept by the Safety

Manager and will be accessible to the SMS committee and members of the airport management.

14.0 INVESTIGATION PROCESS

All incidents and accidents will be investigated to identify the root cause of the occurrence. Hazards

that do not show obvious solutions shall also be investigated. The following are components of an

investigation.

 Reference Material:
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 35

Identify and review all documentation pertinent to the occurrence. The investigator must be

familiar with policy and procedures as well as regulations that may have an impact on the

occurrence. Examples of reference material are:

 Regulations

 Customer Requirements

 Airport policies and procedures

 Maintenance/Operations SOPs, etc.

 Interview Personnel Involved:

Personnel involved in an occurrence and witnesses to the occurrence need to be interviewed

to find out what happened. The purpose of the interview will be to identify issues that

contributed to the occurrence. The results of the interview must be documented.

 On Site Investigation:

On occasion it may be necessary to attend the site of the occurrence to see if there are

environmental conditions that may have contributed to the occurrence. Pictures may be used

to document the existence of these conditions.

 Document Extent of Damage:

Pictures of damage caused by an occurrence shall be taken and provided to the SMS

committee for review and to support the database file. The financial impact of the occurrence

shall also be estimated.

 Document Extent of Injuries:

If personnel are injured as a result of the occurrence, the extent of the injuries as well as the

impact on the personnel involved shall be documented. All injuries requiring medical attention

shall also be reported to the City HR and Safety Departments for required reports to be filed.

Once an investigation is completed, the investigator shall document the investigation. The

investigator shall summarize what happened, identify root causes and provide suggestions for

corrective action. The investigation shall be recorded into the database.

The results of safety investigations shall not be used to apportion blame. If management feels

disciplinary action is required, a duplicate investigation will not be required.

15.0 DOCUMENTATION AND RECORDS RETENTION

All documents and records developed for the SMS Program will be retained in accordance with North

Carolina General Statutes 121 and 132.

16.0 SMS AUDIT AND ASSESSMENT

The Safety Management System described in this manual will receive constant monitoring and review

by Concord Regional Airport’s Quality Assurance Program. In addition, management may complete
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 36

an audit of the SMS initially within 6 months of commencement of the program and annually,

thereafter.

All audit findings and assessments will be documented on the appropriate checklist and findings of

the audit forwarded to the Safety Manager and Aviation Director.

The Supervisory Staff with the assistance of the Safety Manager will implement corrections and

changes to the SMS as directed by the Aviation Director.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 37

VI. APPENDICES

Appendix A-Risk Assessment Forms

Appendix B-Data Collection Program

VII Other Forms
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 38
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 39
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 40

Appendix B

1. Using the SMS Database

The database is a run time version of FileMaker Pro. A copy of the program is not required to open

and use the database. The file resides on the safety disk partition of the server and is accessible only

to management, Quality Assurance Manager, and the Manager of Safety.

Accessing the program is through a virtual machine. Logging into the database is limited to a selected

number of persons at a time due to a run time limitation. The virtual machine, however, allows

multiple persons to access the system where the database is located. If someone is already logged

into the database, it will be possible to see who is working on the database. The virtual machine

where the database is located is accessible over the Internet, allowing remote users to access the full

functionality of the database.

There are two types of accounts created on the database. The Investigator type of account has full

access to all the functions of the database but cannot delete a file. Most users have this type of

account. The Manager type of account has full access including the ability to delete a file. Only the

Manager of Quality Assurance, Manager of Safety, and Director of Aviation will have this type of

access. Since file numbers cannot be re-used once issued, files will not be deleted. If a file is entered

in error, the statement Entered in Error will be placed in the summary block on the first tab.

2. Entering Data

Off the home page, clicking the Incident Reporter button will bring up the Incident Reporter database.

This report form is divided into 9 tabs. The following persons complete the tabs progressively.

 Incident Tab

The Incident Tab is used to open the report. The Manager of Safety completes this tab for all

safety and SMS items reported through the reporting system. The Manager of Safety, and

Quality Assurance Manager may also use this tab to document audit findings that need to be

entered and tracked.

When a file is received through the SMS reporting process, the Manager of Safety will reply to

the reporter to indicate the report has been received and entered in the database. The reply

will indicate the SMS file number and who has been assigned to investigate.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 41

Entering Data (cont'd)

Files will be processed through either the Corrective Action Program or through the Risk Analysis.

If Risk Analysis is chosen, the risk analysis process from the SMS manual must be followed.

 Details Tab The investigator completes the Details Tab. More information on the reported

incident can be added on this tab. The text in this box should be de-identified.

 Risk Statement Tab The investigator will enter a risk into the text box and then assess the

severity, exposure and likelihood of the risk. The tab calculates a weighted score for the risk

used to prioritize response. Every hazard listed in the SMS database is to receive a risk

assessment. For most hazards, the Risk Statement Tab will be sufficient to fully assess the

risk presented by the hazard. If the calculated weighted score for the risk is determined to be

High, the hazard must be subjected to a full Risk Assessment as per the process in the SMS

manual .

 Investigation Notes Tab The investigator uses the Investigation Notes to document the status

of the investigation. A due date for the investigation is entered and the Director of safety will

monitor these due dates to ensure progress is made in the investigation.

The Investigation Notes shall include information acquired in the investigation and list reference

material identified as part of the investigation. The notes shall also include a copy of the incident

report that generated the file.

 Proposed Action Tab he investigator will complete the Proposed Action Box and enter the

name of the director that is responsible to ensure corrective action. A due date will also be

entered for the corrective action. The investigator in conjunction with the responsible director

shall set this due date.

Proposed actions are suggestions by the investigator for corrective action to address the root

cause(s) identified in the investigation. Whenever possible, options should be provided to the

responsible director.

 Action Taken Tab

The responsible director uses the Action Taken Tab to document the action taken to address

the safety issue identified in the root cause. A drop down box allows four general

classifications for the action and the responsible director documents the rectification of the

hazard in the Action Taken box.

 Implementation Targets Tab

The Responsible Director may use the Implementation Targets to identify steps required and

who is responsible when corrective action required is a complex process that requires
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 42

multiple steps. This is the preferred location to document immediate action taken to correct a

hazard. (Short Term Action)

Once all the implementation targets are complete and the action is completed, the date is

entered in the Action Taken Date Completed box.

 Follow-Up Tab

A follow-up review, if applicable, will be scheduled to ensure the corrective action has been

complied with and is effective.

The investigator of a file shall schedule a follow-up review once corrective action has been

completed. Completed follow-ups will be reported to the committee for inclusion as part of

meeting minutes.

A follow-up report will be used to ensure the follow-ups are completed as scheduled.

 Photo Tab

The photos tab at the end provides an opportunity to add up to 6 pictures to help show the

problems reported.

3. Multiple Cause Factor/Multiple Division Responsibilities

Some incidents may require involvement by multiple investigators. When this occurs, each

investigator shall document his contributions to the investigation. Each entry into the database should

be identified by the name of the investigator that made the entry. When this occurs, the suggestions

in the proposed action should be a consensus of the investigators involved.

Some investigators will reveal multiple root causes that fall under the responsibilities of more than

one supervisor. When this occurs, the directors involved should each document their actions in the

action and implementation target tabs. The supervisors should cooperate to share the available tabs.

Each entry in the database should be identified at the end of the entry by name of the supervisor that

made the entry.

4. Integrity of the Data

No person may change the text entered by another person in the database. If an error or omission is

identified, the person that made the discovery may add a comment at the end of the text and shall

identify himself by adding his name to the comment.

A file report shall be saved in PDF format at each stage when the investigation is completed, the

corrective action is completed and a follow-up review is completed. The most current report shall be

saved in the appropriate folder of the Safety Database directory.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 43

5. Time Limitations

The following guidelines shall be used to determine due dates for the following phases of a file’s

progression.

• Investigation Due date

Shall be scheduled one(1) calendar week from the date the file is entered into the database.

• Implementation Due Date

Shall be scheduled to ensure corrective action is taken without delay. The following items need

to be considered.

 Risk Rating of the issue

 Budgetary requirements

 Purchasing lead times

 Training requirements

 Manpower requirements

 Any other issues that may affect implementation

• Follow-up due dates

Corrective action should be scheduled to allow time for implementation. Follow-up due dates

can be as much as a full year from the action-completed date to allow for seasonal issues to

be reviewed when they would be applicable.

Responsible directors may provide extensions to due dates for extenuating circumstances.

When this occurs, the reason for extension and the original due date must be documented on

the appropriate tab. The new due date will be entered into the due date box. The committee

will review any extension to a file to ensure this process is not abused.

6. Reports

The report button brings up a page where trend and summary reports may be found.

The committee will use summary reports to monitor files and the progress of investigations and

rectification action. The reports are:

Action Completed Report Displays files that had action completed within a date range.

(i.e.: last meeting date to current meeting date)
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 44

Open Safety Reports Has all files currently under investigation or pending

rectification

Resolution Due Dates Has all files pending rectification action

Investigation Due dates Has all files pending Investigation action

Report by risk rating List files by risk rating

Upcoming follow-up reviews List any files scheduled for follow-up within the next 31 days

The committee and directors shall use Trend Reports to review past occurrences to determine seem

to be developing. When a trend is identified, it will be assigned an SMS file number and be

investigated and be investigated and acted upon as if it were reported through the SMS reporting

system.

7. Reference Material

Copies of Emails, investigation material, photos and reports associated with a file shall be kept in a

file folder identified by the SMS file number in the Safety Database director of the Safety Drive on the

company server. This information shall be available for review of the file as necessary.
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 45

FORMS

FORM TITLE FORM NUMBER

City Accident /Incident Report SMS Concord NC

Accident/Injury/Illness/Exposure

Report and Investigation Report

CRA Accident/Incident Form SMS Airport Accident/Incident

Form

CRA Post Accident Investigation SMS Post Accident

Investigation Form

CRA Equipment/Vehicle SMS CRA Equipment/Vehicle

Post Accident Investigation

Form
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 46

Accident / Injury / Illness / Exposure

Report and Investigation

Instructions: This form is to be completed on all accidents that involve personal injury, infectious exposure, or property damage.

Please print or type. Fill in all blanks. Write N/A if a blank does not apply to this accident/injury/illness/exposure.

When completed, return this form to the Safety & Health Officer within two (2) working days from date of incident.

To be completed by Co-Worker immediately following the incident:

Date of Accident: Time of Accident: AM PM

Date Reported to Supervisor: Name of Supervisor:

Location of Incident:

Co-Worker Name: Social Security Number: Sex:

Department: Birth date: Home Phone:

Home Address:

Co-Worker’s brief description of Incident:

Exposure to Infectious Disease

Name of person to whom exposed:

Age of person to whom exposed: Sex of person to whom exposed: Male / Female

Home address of person to whom exposed:

Suspected or Confirmed Disease:

Type of incident (auto accident, trauma, arrest, etc.):

Person transported to: Transported by:

What was co-worker exposed to: Blood / Tears / Feces / Urine / Saliva / Vomit / Sputum / Sweat / Other

What part of body was exposed: Right / Left

Describe any open cuts, sores, rashes, etc. that became exposed:

Did co-worker receive medical attention?

No medical attention necessary Co-worker declined medical attention

Medical attention received:

Co-Worker Signature: _________________________________________________________________________________________
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 47

Concord Regional Airport

Accident/Incident Report

Date of Accident/Incident: _______________

Location of Accident/Incident: ____________________________________________________________________________________

Employees Involved: E1. __________________________ E2. __________________________ E3. _________________________

Civilians Involved: C1. __________________________ C2. __________________________ C3. _________________________

Was Police/Fire Called? _________________________________ Case Number: ________________________________

Was Anyone Involved Injured? _______________ Who Was Injured? 1. _________ 2. _________ 3. _________ 4. _________

Type of Injury(s): ______________________________________ Was Medical Treatment Needed? ________________________

Treated Where? _______________________________________ Transported How? ____________________________________

Treatment Rendered? ____________________________________________________________________________________________

______________________________________________________________________________________________________________

Weather Conditions at Time of Accident/ Incident? ____________________________________________________________________

CRA Equip./Vehicle(s) Involved: 1. ________________________ 2. ________________________ 3. ________________________

Civilian Equip. / Vehicle(s) Involved Yr. ______ Make ______ Mod. ______ Tag # __________ Color ______

Aircraft Involved: Yr. __________ Mk. __________ Md. __________ S/N ___________________ N-Number ____________________

Aircraft Owner(s): ______________________________________ Phone Number: _______________________________________

Aircraft Owner(s) Address: _______________________________________________________________________________________

Date and time E1 was drug tested: __________________ @ ____________ Sent Where?___________________________ __________

Date and time E2 was drug tested: __________________ @ ____________ Sent Where? _____________________________________

Describe Accident/Incident: ______________________________________________________________________________________

_____________________________________________________________________________________________________________

_____________________________________________________________________________________________________________

_____________________________________________________________________________________________________________

_____________________________________________________________________________________________________________

_____________________________________________________________________________________________________________

_____________________________________________________________________________________________________________

_____________________________________________________________________________________________________________
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 48

Post Accident Investigation Form

Date Of Accident: _______________________

Location of Accident: ________________________________________

CRA Employee’s Involved: ____________________________________

_________________________ _______________________

Was Police/Fire Called? ________ Case Number: _________________

Was Anyone Injured? ___________ Who Was Injured? _____________

_________________________ _______________________

Was Treatment Needed? _________ Treated Where? _______________

What Type Treatment Was Rendered? ____________________________

___________________________________________________________

CRA Equipment/Vehicle(s) Involved: ____________________________

______________________________ ____________________________

Was CRA Equipment/Vehicle Damaged? _________________________

Was CRA Equipment/Vehicle Faulty? ____________________________

If So, How? _________________________________________________

Was Employee Aware Of Problem With Equipment/Vehicle? _________

If So, Who Authorized Use of Equipment/Vehicle? __________________

Was Equipment/Vehicle Post Accident Form Completed? _____________

Were Any Aircraft or Other Vehicles Involved? _____________________

Owner(s) _______________ Make: ________________________

Model: _______________ Year: ________________________

N-Number: _____________
SAFETY

MANAGEMENT

SYSTEMS

MANUAL

SAFETY MANAGEMENT SYSTEM V. 1.0

Pg. 49

Equipment/Vehicle Post Accident Investigation Form

Date Equipment/Vehicle Inspected: ___________________________

Equipment/Vehicle Number: __________ Type: _________________

Was Post Accident P.M. Sheet Completed? _______________________

Damage Done to Equipment/Vehicle: ____________________________

___________________________________________________________

___________________________________________________________

___________________________________________________________

___________________________________________________________

Was Damage Done Prior To or Caused By Accident? ________________

If Prior To, Was Damage/Problem Reported? _______________________

Who Reported The Prior Damage/Problem? ________________________

Was Equipment/Vehicle Out of Service @ time of Accident? __________

If So, Who Took Equipment/Vehicle Out of Service? ________________

How Long Had Equipment/Vehicle Been Out of Service? _____________

Was Equipment/Vehicle Taken Out of Service Due To Accident? _______

Are Copies of Past Six (6) Months Maintenance Logs Attached? ________

Are Copies of Past Six (6) Months P.M. Sheets Attached? ______________

Who Pulled Prior Maintenance Logs and P.M. Sheets? _________________

Post Accident Form Completed By: ________________________________