Safety 

Management 

System 

Program Manual

Austin-Bergstrom 

International Airport 

Austin, Texas 

Prepared by: 

Jacobs Carter Burgess 

Safety Management System Team 

Fort Worth, Texas 

October 28, 2008 
TABLE OF CONTENTS 

1.0 INTRODUCTION TO SAFETY MANAGEMENT SYSTEMS (SMS)... 1 

2.0 GAP ANALYSIS.................................................................................. 4 

3.0 HUMAN FACTORS (HF) .................................................................... 5 

4. 0 SAFETY POLICY & OBJECTIVES..................................................... 6 

5.0 SAFETY RISK MANAGEMENT........................................................ 13 

7.0 NON-PUNITIVE REPORTING SYSTEM.......................................... 35 

8.0 SAFETY PROMOTION..................................................................... 37 

9.0 SMS PROGRAM IMPLEMENTATION.............................................. 44 

11.0 APPENDICES................................................................................... 49 

Appendix 1 - Definitions.............................................................................. 50 

Appendix 2 – Human Factors ..................................................................... 55 

Appendix 3 – Performance Indicators ........................................................ 59 

Appendix 4 - The Twenty-One Elements of SMS....................................... 62 

Appendix 5 – Safety Risk Management Decision Report (SRMDR).......... 64 

Appendix 6 - SRMDR Supplemental Hazard Analysis Worksheet............. 66 

Appendix 7 - Forms .................................................................................... 69

12.0 LIST OF FIGURES ........................................................................... 73 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 1

1.0 INTRODUCTION TO SAFETY MANAGEMENT SYSTEMS (SMS) 

 

1.1 Introduction 

This Program Manual describes the application of Safety Management Systems 

(SMS) at the Austin Bergstrom International Airport (ABIA). It is a resource intended 

for the City of Austin Department of Aviation (DoA) executives, managers, safety 

officials, and all employees. This manual further establishes a systems approach to 

safety management which benefits both the safety and business aspects of the 

Airport. It describes the essential components of SMS and also incorporates the 

International Civil Aviation Organization (ICAO) and anticipated Federal Aviation 

Administration (FAA) policy for airport SMS programs. Furthermore, it includes 

valuable lessons learned from a June 2008 Gap Analysis in SMS implementation 

efforts at ABIA. 

1.2 Background and Guidance on SMS

1.2.1 ICAO Requirement for SMS at Member Airports

In November 2005, the International Civil Aviation Organization (ICAO) amended 

Annex 14, Volume I (Airport Design and Operations) to require member States to have 

certificated international airports, establish an SMS Program. The FAA supports 

harmonization of international standards, and is working to make U.S. aviation safety 

regulations consistent with ICAO standards and recommended practices. 

1.2.2 Current Initiatives Within FAA Regarding SMS

The FAA is beginning to implement SMS within its own organizational groups. Current 

initiatives include the following: 

• Flight Standards: Flight Standards is assisting airlines and operators in 

developing SMS programs. They have developed an Advisory Circular (AC) 

120-92, Introduction to Safety Management Systems for Air Operators. 

• Air Traffic: Air Traffic has established Safety Risk Management (SRM) 

processes in their organization, with the publication of FAA Order 1100.161, Air 

Traffic Oversight. Air Traffic has begun nationally training their employees on 

Safety Risk Assessments, Analysis and Mitigation. 

• Airport Operators: In 2007, the FAA Airports published AC 150/5200-37, 

Introduction to Safety Management Systems (SMS) for Airport Operators. This 

introduction provided the basic overview of SMS SRM principles. No formal 

implementation guidance was provided. The FAA later initiated grants to 

several certificated airports to develop SMS programs under an Airports 

Improvement Program Grant. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 2

1.2.3. FAA Pilot Program for SMS at Airports

In 2007, the FAA established a pilot program for developing SMS at airports in the 

U.S. A total of 21 air carrier airports were selected by FAA for inclusion in the pilot 

program and each airport was provided with a $250,000 federal grant to fund their 

SMS program. ABIA was one of the airports selected by FAA to participate in this 

important pilot program that will help FAA develop a nationwide standard for SMS at 

airports with commercial air service. After receiving technical proposals and 

statements of qualifications, the Jacobs Carter Burgess Team was selected by ABIA to 

conduct a SMS study of the airport and prepare this program manual. 

 

1.2.4. Potential Inclusion of SMS Into Part 139 Certification of Airports

The FAA is strongly considering the inclusion of Safety Management Systems into the 

Part 139. This process will require a Notice of Proposed Rule Making (NPRM) to 

incorporate it into federal law. This process may take as long as 2 to 3 years to 

become law and implemented by the FAA. In the interim, airports are being 

encouraged by the FAA, to look at their safety programs and consider implementing 

an SMS program that is tailored to their airport before the FAA adopts regulations 

mandating the implementation of SMS programs. 

1.3 Purpose of SMS 

Historically, aviation safety has been built upon the reactive analysis of past accidents 

and the introduction of corrective actions to prevent the recurrence of those events. 

With today’s extremely low accident rate, it is increasingly difficult to make further 

improvements to the level of safety by using this approach. Therefore, a proactive 

approach to managing safety has been developed that concentrates on the control of 

processes rather than solely relying on inspection and remedial actions on end 

products. This innovation in aviation system safety is called a Safety Management 

System, an expression indicating that safety efforts are most effective when made a 

fully integrated part of the business operation. 

It is now generally accepted that most aviation accidents result from human error. It 

would be easy to conclude that these errors indicate carelessness or incompetence on 

the job, but that would not be accurate. Investigations are finding that the human is 

only the last link in a chain that leads to an accident. These accidents will not be 

prevented by merely changing people; increased safety can only occur when the 

underlying causal factors are addressed. Enhancing overall safety in the most efficient 

manner requires the adoption of a systems approach to safety management. 

Therefore, every segment and level of an organization must become part of a 

safety culture that promotes and practices risk reduction.

Safety management is based on the premise that there will always be safety hazards 

and human errors. SMS establishes processes to improve communication about these 

risks and take action to minimize them. This approach will subsequently improve an 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 3

organization’s overall level of safety. The application of a systematic, proactive, and 

well-defined safety program (as is inherent in a SMS) allows an organization producing 

a product or service to strike a realistic and efficient balance between safety and 

production. The forecasted growth in air transportation over the next 20 years, will 

require new measures and a greater effort from all aviation producers - including 

airport operators - in order to achieve a continuing improvement in the level of aviation 

safety. The use of SMS at ABIA can contribute to this effort by increasing the 

likelihood that airport employees will detect and correct safety problems before 

those problems result in an accident or incident. 

1.4 ABIA SMS Program Manual 

This ABIA SMS Program Manual provides the framework from which ABIA will begin 

to build their program. The program may require some additional outside resources to 

assist ABIA in maturing the program over the next several years. This SMS Program 

Manual describes a Safety Management System (SMS) and explains how a systems 

approach to safety management will benefit both the safety and business aspects of 

the Department of Aviation. 

The SMS Program Manual for ABIA includes the following: 

• A summary of the Gap Analysis that was conducted by the Jacobs Carter 

Burgess Team in June 2008 is provided in Section 2; 

• A discussion on the importance of human factors in the development of an SMS 

for any organization is provided in Section 3; 

• The four key components of SMS, Safety Policy & Objectives, Safety Risk 

Management, Safety Assurance, and Safety Promotion are presented in 

Sections 4, 5, 6, and 7, respectively; 

• A discussion on the importance and usefulness of Non-Punitive Reporting is 

provided in Section 8; and 

• A Program for SMS Implementation at ABIA is presented in Section 9. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 4

2.0 GAP ANALYSIS 

2.1 Overview 

The purpose of the Gap Analysis was to document existing gaps or deficiencies in the 

airport’s current procedures, policies, documentation, actions and operations, as 

outlined in the Airport Certification Manual (ACM). The 21 basic safety elements of 

SMS, were utilized in the evaluation, development and management of the SMS 

Manual and Program. Appendix 2 provides additional information regarding the 21 

SMS safety elements. 

2.2 Airport Certification Manual (ACM) 

Airports with certificated air carrier service must be certified under the Federal Aviation 

Administration (FAA) guidance under the Code of Federal Regulations, Title 14, Part 

139, Certification of Airports. Under the approval of the FAA, Airports establish an 

airport certification that is tailored for their airport, which is in compliance with Part 139. 

This manual establishes the standards and documented processes by which airport 

operators manage and monitor the safety of their airport. 

While the ACM address critical safety elements of an airport, they typically do not 

address the means, processes and analysis for optimal system safety, as an SMS 

program does. 

2.3 SMS GAP Analysis at ABIA 

The Gap Analysis performed at ABIA compared current status relative to the 21 

elements of the SMS Manual and Program in the FAA SMS Pilot Study Participants 

Guide. The Gap Analysis was conducted from April through May 2008 by the Jacobs 

Carter Burgess Team. The Gap Analysis was accomplished through: 

• various interviews with airport staff; 

• review of current documentation; 

• published guidance & best practices; 

• observation of operations at ABIA; 

• surveys; and 

• comparison of the data collected to the ACM, 14 CFR Part 139, and the 21 

safety elements of SMS. 

The GAP Analysis Report identified which of the 21 elements matched the FAA’s SMS 

guidance materials and which of those did not. The report then recommended 

changes that would create continuity with the elements of SMS. 

The GAP Analysis Report was provided to ABIA management, in a separate 

document, for their review and reference, as they begin to implement their SMS 

program. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 5

3.0 HUMAN FACTORS (HF) 

Human Factors is the area of study that seeks to maximize the relationship between 

people and systems in order to improve performance, safety, and reliability. Human 

Factor systems involve the interaction between people, equipment, and organizations. 

Systems include equipment, procedures, or organizations or teams. The integration of 

Human Factor awareness into the SMS processes will create a solid foundation for 

successful and continuous safety improvement. 

 

 

People: The quality of airport operations is dependent upon the numbers of 

personnel available for operations (manpower), the aptitude, skill, experience, 

and training of those employees (personnel quality), and a keen awareness of 

human information processing issues that have significant affects on safety 

(attention, memory, fatigue, visual and audio perception, team communication, 

etc). 

 

Equipment: The design of equipment, and/or procedures on how to use 

equipment, may also have significant impact on system safety. Awareness of 

Human Factors involved in the equipment used by an organization, especially 

new equipment, is critical in identifying issues might result in a safety incident. 

 

Organizations: Organizations are also systems. ABIA is composed of 

different departments, divisions, offices, crews, and tenant organizations that all 

work and interact together. Each develops and operates under many policies 

and procedures, some shared, and some individual for each particular group. 

Human Factors plays a role when procedures from one group are unknown or 

unclear to the others, interact unexpectedly with other procedures, and can 

have detrimental affects on overall safe operations. 

 

SMS and Human Factors are inextricably linked. All employees should be vigilant in 

the detection of system “design vulnerabilities”, (people, equipment, or organizational). 

Department of Aviation personnel must continuously monitor for system parameters at 

“critical mass”, i.e. fatigue, physical requirements, stressors, numbers and quality of 

personnel or equipment, and organizational issues (values, norms, climate, etc.). 

Each of these factors can degrade safety climates slowly, but surely, if they are not 

identified and action taken in a timely manner. 

 

Employees will be responsible to monitor and communicate safety issues and 

concerns. This SMS Manual provides the guidance to establish those methods, 

processes, principles and practices to achieve an improved recognition of human 

factors. 

Additional information on Human Factors is available in Appendix 2, Human Factors. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 6

4. 0 SAFETY POLICY & OBJECTIVES 

4.1 System Safety and SMS 

System safety is the application of engineering and management principles, criteria, 

and techniques to achieve an acceptable level of safety throughout all phases of a 

system. 

Achieving this definition of system safety is the primary objective of SMS. A wellstructured SMS provides a systematic, explicit, and comprehensive process for 

managing risks. This process includes goal setting, planning, documentation, and 

regular evaluation of performance to ensure that goals are being met. 

4.2 Safety Policy 

The Aviation Department Safety Policy defines the fundamental approach to managing 

safety that is to be adopted within the organization. The Safety Policy further defines 

the organization’s commitment to safety and overall safety vision, and empowers the 

organization to fulfill the values and commitments of top management. The 

Department’s new safety policy is:

“The City of Austin Aviation Department is committed to implementing a 

Safety Management System and maintaining a safe, healthy and 

sustainable working environment for our people, our customers, our 

partners and contractors, and those we are employed to serve. 

Employees of the City of Austin Department of Aviation are responsible 

for promoting a safe environment at Austin-Bergstrom International 

Airport.” 

This safety policy is the cornerstone for safety within the Department of Aviation and 

operation of the airport. It provides the framework for management to put in place the 

organization and arrangements for carrying it out. The Department of Aviation will 

actively encourage employee adherence to this policy and the adoption of a similar 

policies by all companies and State and Federal agencies operating on airport 

property. 

4.3 Safety Goals & Objectives 

4.3.1 Safety Goals

The City of Austin Department of Aviation is committed to achieving the following 

safety goals: 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 7

1. Implement and maintain an appropriate Safety Management System with a 

structure to manage, supervise and safely accomplish all aspects of aviation 

activities which fall within the Department of Aviation’s area of responsibility; 

2. Achieve the highest levels of aviation safety performance by meeting or 

exceeding local, state and federal legislative and regulatory requirements 

regarding airport operations; 

3. Seek to achieve no harm to people and minimal impact on the environment 

through our business operations; 

4. Systematically manage aviation safety matters through periodic and rigorous 

audits and reviews of the safety implications of all our aviation activities; 

5. Consult with staff and encourage active participation at all levels within our 

businesses; 

6. Learn and benefit from our experiences and the experiences of others; 

7. Promote a culture in which all Department of Aviation employees share these 

commitments; and 

8. Increase safety awareness among our business partners and encourage their 

participation in the program. 

4.3.2 Safety Objectives 

To achieve these goals, the City of Austin Department of Aviation will establish, 

develop, implement and maintain effective aviation safety objectives, that should 

incorporate the following: 

• Identify, access, and manage hazards, impacts, and risks from aviation 

activities; 

• Train and deploy competent people and allocate responsibilities and tasks 

commensurate with individual skills; 

• Set, achieve and report against objectives and measurable safety performance 

indicator targets to demonstrate continual performance improvement; 

• Identify areas for improvement through comprehensive incident reporting and 

investigation; and 

• Maintain a culture that encourages the free and honest reporting of safety 

issues. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 8

4.3.3 Safety Accountability 

The long term success of SMS is based on the assignment of responsibilities by 

Department of Aviation top executives. Department of Aviation supervisors must 

understand when safety risk management processes are necessary, and when to 

elevate decisions and the supporting information to a higher management level. 

Key elements of SMS accountability within an organization are; 

• The SMS Program Manual chapter on safety policy addresses the responsibility 

and accountability, including written guidance regarding the safety authorities 

and responsibilities of all key personnel assigned to the airport. 

• Identification of staff that is responsible for administration of the overall SMS. 

Responsible staff report to the highest level of Department of Aviation 

management to assure appropriate consideration of all reports, 

recommendations, and issues. 

• Personnel who are responsible for SMS are employed by the Department of 

Aviation and are provided with the necessary resources to fulfill their duties. 

• The responsibilities associated with SMS are clearly defined within job 

descriptions of Department of Aviation staff along with identified lines of 

communication within the organization. 

• The Department of Aviation has established a safety council. The safety 

council acts as a source of expertise to the Department of Aviation and is cochaired by the organizations top management and the predominant airline. 

4.3.3 Safety Responsibilities

Safety management responsibility and accountability are intertwined. Each 

Department of Aviation employee acknowledges the importance of safety and takes a 

leadership role in the continual development of the principles of SMS in their duties 

and assignments. Although individuals must be accountable for their own actions, top 

management is accountable for the overall performance of the Department of Aviation 

employees that report to them. 

Since accountability is a two-way street, Department of Aviation directors, managers 

and supervisors are also accountable for ensuring that their subordinates have the 

resources, training, experience, etc. which is needed for the safe completion of their 

assigned duties. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 9

The following describes key management responsibilities for SMS: 

Department of Aviation Executive Director:

Subject to the direction and control of the City Manager and Assistant City 

Manager, the Executive Director has overall responsibility for the safety of 

passengers and Department of Aviation employees. The Executive Director 

also has an overall safety consultation, facilitation and monitoring role for the 

airport’s tenants, concessionaires, airlines, contractors, suppliers, and service 

providers. 

The Executive Director’s areas of responsibility include the following: 

• Ensure that the safety policy and management system is produced, kept 

up to date and meets Department of Aviation policies and procedures. 

• Take a leadership role in the airport’s safety program and ensuring that 

safety never becomes subordinate to financial matters. 

• Develop an annual business plan (i.e. including the capital program) that 

is sufficiently resourced to achieve compliance with the airport safety 

policy and management system. 

• Appoint safety conscious managers, monitor their performance and 

ensure that safety is given a high priority within their training and 

development plans. 

• Consider safety issues when making changes in the airport’s 

organization structure and business processes. 

• Clearly define accountabilities and responsibilities for all staff for the 

delivery of safety performance. 

• Set and enforce policies, standards and procedures that contribute to the 

success of the airport’s safety policy and management systems. 

Director, Airport Operations and Maintenance:

The Director is accountable for defining, deploying and monitoring SMS 

strategy and compliance processes to enable the Department of Aviation to 

have safety focused strategic plans and compliance management. The Director 

has prime responsibility for supporting the Executive Director to comply with 

their duties. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 10

The Director’s areas of responsibility include the following: 

• Provide a leadership role in Department of Aviation safety program. 

• Ensure that safety does not become subordinate to financial matters. 

• Champion safety at the Department of Aviation meetings. 

• Support all departments and functions to monitor safety performance 

across lines of responsibility. 

• Ensure safety improvement objectives are set and implemented. 

• Ensure the Operations and Maintenance division policies, standards, 

procedures and practices contribute to the success of Department of 

Aviation Safety Policy and Safety Management System. 

• Appoint safety conscious direct reports, monitor their performance and 

ensure safety is given the highest priority within their training and 

development plans. 

• Ensure Planning and Engineering coordinate with Operational divisions 

to incorporate safety during maintenance and construction projects. 

• Consider safety when making or recommending changes in the airport 

organizational structure and business process. 

• Ensure proper liaison takes place between the activities of Airport police 

officers and TSA in so far as their shared risk activities fall under the 

jurisdiction of the Executive Director. 

• Ensure there is coordination with those who have operational functional 

responsibilities which might affect safety. 

• Enforce compliance with all safety related legislation applicable to the 

management of the airport and facilities. 

SMS Coordinator

The SMS Coordinator is accountable to the Director - Airport Operations and 

Maintenance for defining, deploying and monitoring the Operations 

department’s strategy and compliance process to enable the department to 

have safety focused plans and compliance management. The SMS Coordinator 

is also responsible for maintaining a safe operating environment at the Airport. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 11

The SMS Coordinator’s areas of responsibility include the following: 

• Manage staff and resources to ensure compliance with and maintenance 

of airside safety standards and recommended practices in accordance 

with the requirements of the Federal Aviation Administration, 

International Civil Aviation Organization, Title 14 CFR Part 139, the ABIA 

Airport Certification Manual and Airside Directives. 

 

• Set a compelling purpose and vision for the Operations Division. 

• Lead the Airport’s Safety Management System, including emergency

planning, and co-ordinate, supervise and control resources during 

emergency incidents, aircraft recovery operations, adverse weather 

conditions, equipment service issues and unscheduled movements. 

• Use best efforts to ensure safety does not become subordinate to 

financial matters. 

• Set objectives for safety improvement and provide support to achieve 

them. 

• Use best efforts to ensure policies, standards, procedures and practices 

are aligned at all times. 

• Recruit, motivate and monitor safety conscious direct reports, identifying 

suitable development plans. 

• Notify management of all operational matters that may influence or 

impact their areas of control. 

• Maintain and develop constructive relationships with all stakeholders in 

the safe and efficient operation of the airfield. 

• Use best efforts to ensure Operations business plans are sufficiently 

resourced to achieve compliance with the safety management system. 

• Use best efforts to ensure “best practice” operational standards and 

procedures are identified, documented and implemented. 

• Use best efforts to ensure the safe movement of aircraft by coordinating 

with the Airport Traffic Control Tower, meteorological office, airlines, 

airport fire/rescue and police, especially when affected by adverse 

weather conditions, equipment, incidents, emergencies or other 

disruptions. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 12

• Regulate aircraft ground engine running, night movement, airfield/ramp 

construction, airfield obstruction safeguarding and airfield congestion in 

accordance with statutory regulations and Department of Aviation policy. 

 4.3.4 Department of Aviation SMS Organizational Line of Communications

The fundamental success of SMS relies upon unobstructed lines of communications 

throughout the organization. This communication, whether it be horizontal or vertical, 

reflects the desire of top management to support safety at every level. 

The Department of Aviation is organized in a manner intended to be resilient to 

hazardous situations and its ability to reduce risks. Lines of succession have been 

established across the organization to ensure responsible safety management. The 

organizational flow chart, shown in Figure 3.1 below, is intended to provide for the 

orderly approach to documentation and information management. 

Figure 4.1 - Lines of Succession for Safety Management Systems (SMS) 

Austin Bergstrom International Airport – Aviation Department 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 13

5.0 SAFETY RISK MANAGEMENT 

5.1 Overview 

Risk is defined as the possibility of loss or injury. Safety Risk Management (SRM) is 

the proactive process that can be used to identify, assess, and mitigate risks or 

potential hazards that may lead to loss or injury. 

SRM is both reactive from a historical perspective and proactive from a speculative or 

anticipatory analysis. By reviewing past occurrences and considering changes in 

progress, a probability and severity assessment can be reached utilizing the risk 

matrix process and charts. 

SRM is utilized as an immediate resolution to a dangerous hazard or in planning 

during procedural changes, implementation of new equipment, expanded or new 

personnel responsibilities and physical changes at the airport, etc. When changes are 

proposed or occur within an organization, managers must decide to what extent the 

SRM process will be initiated. The mitigation of the risks, revisions, modifications, and 

contingency arrangements requires conscious management decisions to approve, 

fund, schedule, and implement one or more risk strategies. Any changes to existing 

procedures or systems can introduce added hazards which may result in increase 

risks. 

SRM provides the process for evaluation of the various risks and the systematic 

analysis, mitigation and corrective course of action to eliminate the risk or reduce the 

probability and severity of the risk to an acceptable level. The process can be 

implemented in: 

• The design of systems, procedures, and/or organizations; 

• Any proposed changes to existing systems, procedures, equipment, personnel 

and/or environment; or 

• Hazards identified during operations or safety assurance functions. 

5.2 Safety Risk Management Process 

A project, regardless of size, may have hazards inherent to the planning and 

developing stages before implementation ever begins. The system may involve 

analysis and understanding of hardware considerations such as, equipment, 

machinery, electronic equipment, furnishings or physical areas such as locations, both 

inside and outside, terminal or AOA spaces as well and human factors involvement. 

An organization, whether a small shop or the entire airport may be susceptible to 

hazards due to incomplete understanding and/or personnel training, improper 

planning, inattention to rules and regulations, and ineffective management. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 14

Furthermore, the description and definition of the operational context of a hazard 

under consideration must be as accurate as possible, as the identification phase of the 

process begins. A full description of the physical area and/or activity area is of utmost 

importance to understanding how procedures and processes function within the 

physical environment. 

The Safety Risk Management process consists of five functional phases: 

Phase 1: Describe the procedure, project, system, and/or organization; 

Phase 2: Identify the hazard; 

Phase 3: Analyze the risk; 

Phase 4: Assessing the risk; and 

Phase 5: Mitigation/treatment of the risk. 

These five phases are the heart of the SRM process and define the methodologies 

and strategies to successfully prepare for a historical eventuality or the unseen 

realities of new events. A comprehensive breakdown of each of the five phases of 

SRM are listed below, showing the systematic process, including the intent, scope, 

identification, evaluation levels, mitigation strategies, and the final treatment of the risk 

and process itself. 

5.2.1. SRM Phase 1: Describe the Procedure, Project, System, and/or Organization.

• Define the use, intended function, configuration and/or task; 

• Define the scope, objectives, and utilization interactions; 

• Examine Human Factors considerations; and 

• Examine information technology (hardware/software) components. 

The first phase of SRM is a descriptive and thorough explanation of procedures, 

projects, systems and organizations can assist all personnel in procedural 

understanding. This leads to proper training, eliminating predetermined incorrect 

assumptions, procedures or actions. A hazard may exist within a procedure, or set of 

procedures, that can be mitigated by a simple one or two word change to that 

procedure. 

5.2.2. SRM Phase 2: Hazard Identification

• From reports of hazards, safety concerns, evaluations of system procedures; 

• Data collection – paper/electronic documentation; 

• Analysis and assessment of tracked and historical data; 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 15

• Considerations of lessons learned and previous experiences; and 

• Communication of collected data throughout the process. 

The second phase of SRM is the identification of hazards. Of primary importance to 

the identification of the hazard is the accuracy of perceptions derived in the planning 

discussions of new systems, procedures, projects, organizations and/or safety reports. 

Hazards may be as obvious as the “smoking gun” or buried in a maze of statistical 

history. Frequent review of historical database information reinforces the importance 

of accurately and consistently adding information to established database programs. 

5.2.3. SRM Phase 3: Analyze the Risk for each Hazard

• Identify existing controls; 

• Determine severity and likelihood of risk; 

• Ask the open-ended questions – What if...?, Why did...?; and 

• Determine trigger mechanisms and various outcomes. 

The third phase of SRM is the analysis of risk. Once the confines of the hazard area 

have been defined and the hazard has been identified, analysis of the hazard can 

begin. Depending on the area and identification, existing controls for the procedure, 

project, system /or organization must be identified and reviewed. Asking the open 

ended questions like “Why did...?” and “What if...?”, will assist in finding the cause for 

an event occurring and/or preparing for the crucial decision-making process or 

operational changes. Embedded within are various “trigger mechanisms”, precipitating 

events, or certainties of various outcomes. Through the analysis of each risk, the 

severity and likelihood of the risk can be determined. 

5.2.4 SRM Phase 4: Assess the Hazard

• Assess the severity and likelihood of occurrence; 

• Prioritize the risk and results; 

• Select hazards requiring detailed risk mitigation; 

• Ascertain the management level for decision-making authority; and 

• Identify the party responsible for the risk acceptances. 

The fourth phase of SRM is assessing the hazard or degree of risk. With the 

determination of the severity and likelihood of the hazard, assessment using the Risk 

Matrix table can define the risk and assist in assigning a priority to the risks or to each 

individual risk involved. Some risks will require detailed risk mitigation and other may 

have a more simplistic solution. Management levels of decision-making authority 

should be set forth and recognized within the SRM process. Management will also be 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 16

responsible for identifying and assigning managers responsible for the risk 

acceptances. 

5.2.4. SRM Phase 5: Mitigate and Treat the Risk

• Identify mitigation options – Select best response and risk treatment plans; 

• Define management levels required to ascertain risk decisions; 

• Document risk options and treatment; 

• Hazard reduction or elimination; 

• Reapply SRM process on substituted or eliminated risks 

• Track changes and monitor for effectiveness; 

The fifth phase of SRM is mitigating and treating the risk. Regardless of the method of 

notification of a hazard or the upcoming risk associated with proposed changes, the 

SMS Coordinator will consider best response options. Depending on the severity of 

the hazard or the complexity of an upcoming project, the SMS Coordinator will 

respond to the appropriate level of management required and implement the 

notification process. Each step of the process, regardless of the complexity, will be 

documented on the Safety Risk Management Document Report (SRMDR), which will 

certify that the hazards were properly identified, analyzed, assessed and mitigated. If 

the SRMDR results in a judgment of no risk or is of such severity as to cause a Safety 

Risk Management Panel (SRMP) to be convened, the process will acceptably reduce 

or eliminate the hazard. Upon 

completion, the SRM process 

will be reapplied on the 

substituted or eliminated risks 

to validate the thoroughness of 

the process. The mitigation 

changes will be continually 

tracked for their effectiveness 

and, if required, training and 

retraining shall be implemented. 

5.2.5 Safety Risk Management 

Life Cycle 

Safety Risk Management is a 

continuous cycle that must be 

repeated to ensure the systems 

integrity. The five phases of 

SRM provided guidance from the 

beginning of hazard identification 

through the mitigation of those hazards. An effective SRM program is further 

enhanced with the continuous assessment of the system to ensure that mitigation 

Figure 5.2 - The SRM Life Cycle 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 17

implemented is effective and that no new hazards are being introduced as a result of 

that mitigation implementation. 

Figure 5.2, The SRM Life Cycle, illustrates the continuous SRM Life Cycle process 

that must be implemented to complete the system safety process. 

5.3 Risk Assessment

Each hazard identified for assessment shall be evaluated from the standpoint of both 

severity and likelihood of occurrence. Each hazard will be plotted on the Risk matrix to 

determine their initial Risk and then their resulting Mitigated Risk. Mitigated Risks with 

a remaining HIGH rating is unacceptable. 

Using the Predictive Risk Matrix shown in Figure 5.1, the severity and likelihood values 

will identify a chart position to determine the level of risk associated with the hazard. 

The definitions of Likelihood and Severity are provided in Figures 5.2 and 5.3, 

respectively. This simple to use four by four Predictive Risk Matrix block chart has 

been developed for ABIA to facilitate the assessment of the level of risk. 

.High Risk level occurrences are unacceptable and should be promptly mitigated 

to an acceptable level of safety. 

Moderate-High level of occurrences, are generally unacceptable, but with the 

implementation of appropriate controls, the occurrence could become an 

acceptable risk. 

Medium level of occurrences, are generally acceptable, providing the appropriate 

safety controls have been established. 

Low level occurrences, pose little or no risk and have adequate levels of control 

established. 

Figure 5.1 - Predictive Risk Matrix 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 18

 Figure 5.2, Likelihood Levels, provides definitions for different levels of likelihood: 

Improbable, Remote, Probable, and Frequent. When assessing the Likelihood of each 

hazard, the use of these definitions will provide the most consistent results for multiple 

hazard assessment. 

 

 

Figure 5.3, Severity Levels, provides definitions for different levels of severity: 

Catastrophic, Major, Minor, and Minimal. When assessing the Severity of each 

hazard, the use of these definitions will provide the most consistent results for multiple 

hazard assessment. 

5.4 Safety Risk Reporting 

Safety reporting methods are an essential tool for tracking and collecting critical 

information for analysis and mitigation of hazards. Consistency in collecting critical 

data is best performed through the use of well designed reporting forms, which details 

the specific information essential for further analysis. Collected data can then be 

integrated into airport electronic records for long term trend analysis. 

Figure 5.2 – Likelihood Levels 

Figure 5.3 – Severity Levels 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 19

Effective safety risk reporting methods include: 

• Safety reporting forms with associated policies defined and printed on the 

safety reporting forms and displayed at distribution points; 

• Safety reports containing Date, Time, Description, and any extenuating 

conditions, such as weather. Reports will contain Name, Department, phone 

and e-mail contacts which will be detached from the report by the SMS 

Coordinator. Anonymous reports will be accepted, but discouraged; 

• Computer safety reporting programs that are separate from log-in, access and 

personal computer modes;

• Safety Reporting forms distributed to all departments and openly displayed; 

• Collection boxes available at numerous locations for ease in collection; 

• A published telephone HOT Line for reporting safety concerns; or 

• In person 

5.5 Communications 

The SRM lifecycle is shown in Figure 5.2. The communication of safety issues and 

risk resolutions are critical elements of SRM program. Information sharing of what risk 

existed, how it was identified, why it occurred, and how the risk was mitigated better 

educates all personnel to develop a keen awareness of safety hazards. This in turn 

develops a strong safety culture throughout the organization and develops trust and 

appreciation for making a safer working environment for all. 

Communicating feedback can be accomplished through: 

• Safety recognition and/or awards programs; 

• Stakeholder meetings, such as Safety Council, SMGCS Working Group, 

Wildlife & BASH, Emergency Plan, Snow & Ice and Project Coordination or 

Construction meetings; 

• Bulletin boards; 

• Newsletters; 

• Computer briefings at sign-in; and 

• E-mails to personnel.
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 20

• NOTAMS

5.6 Benefits of SRM

The proactive management of risks and continuous safety monitoring through the 

SRM Life Cycle process will provide a formalized and proactive approach to systems 

safety at ABIA. Incident reporting programs, including self-inspections, are necessary 

to identify immediate hazard concerns and latent human, equipment, and procedural 

deficiencies existing before accidents occur. Information gathered from SRM reporting 

systems leads to internal feedback and trend monitoring programs, allowing the 

measurement and assessment of hazards and the methods to proactively counteract 

the risk before accidents/incidents occur. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 21

6.0 SAFETY ASSURANCE 

There are several different methods to assure that safety goals and objectives are 

being met. These methods include: 

• Performance Indicators 

• Trend Analysis 

• Safety Data 

• System Safety Audits 

• Corrective Action 

Each of these methods elaborated in more detail below. 

6.1 Performance Indicators 

Identification and tracking of performance indicators is critical to any program or 

system, and even more so with a safety system such as SMS. With SMS however, 

the intent is to not be anchored in the past, but rather to look ahead and identify and 

resolve issues before they result in accidents/incidents. 

In the initial stages of implementing SMS, the selected performance indicators and the 

data to support them must be those that focus on the degree of compliance with 

regulatory requirements and the successful implementation and existence of the new 

system. As the system matures, the performance indicators and the data to support 

them need to evolve into areas that more fully evaluate system effectiveness. 

Performance indicators should identify potential areas of weakness so that SMS 

efforts can be properly focused. 

Initially, as SMS is being implemented, the performance indicators will be more global 

in nature. As the system becomes more mature, the performance indicators can be 

expanded based on workforce selected issues. In the most mature stage of 

implementation, performance indicators will be much more diverse with individual work 

centers developing their own set of performance indicators and identifying the data 

necessary to support them. At any stage in system development though, performance 

indicators and the data needed to support them can constitute a smattering of 

indicators across the entire development spectrum. Simply put, SMS data 

requirements must be established in support of selected performance indicators and 

revised as the indicators change with system development. 

In the area of regulatory compliance, the Airport currently collects an abundance of 

data concerning the airfield through the Airport Security and Operations Compliance 

System (ASOCS) and the Computerized Maintenance Management System (CMMS) 

databases. That data can adequately support performance indicators centered on 

regulatory compliance. Data to support performance indicators that concern SMS 

implementation are less readily available and in most cases will have to be developed. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 22

The following performance indicators will be used initially as a minimum to measure 

implementation of the ABIA SMS: 

• Management's visible participation in safety; 

• Employees’ understanding of the SMS; 

• Employees’ evaluation of management’s commitment to SMS; 

• Voluntary Safety/Lessons Learned Reporting; 

• Employee Safety Surveys; 

• Audit Findings; and 

• SMS Training 

The data to support the first three will come primarily from employee surveys, and data 

for SMS training will be available in the Training Registration and Administration 

IntraNet (TRAIN) database. New record keeping or analysis systems will have to be 

developed and implemented for the others. 

Table 6.1, Examples of Performance Indicators, presents 14 examples of potential 

performance indicators for ABIA. Also shown in Table 6.1 are the specific 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 23

performance measures, how they should be accomplished, and who has the 

responsibility for collecting and reviewing the performance indicator information. As 

shown, the SMS Coordinator has the responsibility for gathering, compiling, and 

analyzing the performance indicator data. 

Table 6.1 is additionally provided in full size in Appendix 3, Performance Indicators.

6.2 Trend Analysis 

Trend Analysis is an integral part of any SMS performance indicator program and an 

extremely valuable tool for the timely identification of embryonic hazards allowing 

timely analysis and mitigation before these hazards result in accidents/incidents. It is, 

however, essential that trend analyses be based on properly identified and tracked 

performance indicators both “lagging or trailing” and “leading,” and it must be 

understood that these indicators will have to be modified or changed over time to 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 24

continue to produce realistic snapshots of an organization’s safety program 

effectiveness. 

Trailing or lagging indicators recount history – past events. They can include such 

things as accident/incident numbers, runway incursions, bird strikes, etc. Trailing 

indicators are the most common indicators used by airports in tracking the success or 

failure of their safety programs, but they do so in hindsight. They do little in the way of 

providing proactive, look ahead forecasting of potential safety problems and program 

performance. That is not to say that they cannot be of some assistance in identifying 

trends. 

Future trends can sometimes be identified by using the performance of trailing 

indicators if done so over longer periods of time and projecting that trend forward. For 

instance, a trailing indicator could numerically remain well within the acceptable 

guideline or performance standard for each month over a period of a couple of years 

giving a sense that the system is in good shape and nothing needs to be done. But 

showing that same data in a two-year trend analysis could indicate a trend that shows 

performance, though still acceptable, has actually been trending downward with the 

ever increasing potential of an unacceptable accident/incident occurring in the not too 

distant future if that trend is not reversed. In this way lagging indicators can be used 

as a forecasting tool, but they are not as effective as a good set of leading indicators 

especially when evaluating overall safety program performance. 

Leading indicators look at things that do not necessarily affect system performance as 

it presently exists. Instead, they provide an evaluation of conditions and activities that 

precede and affect the occurrence of accidents or incidents in the months or years to 

come. Such things include changes in the operational and safety environments, 

training and management involvement in safety. The following are good examples of 

leading indicators for analyzing an organization’s safety program: 

• The degree of commitment to safety and health; 

• How highly both management and workers value a safe workplace; 

• The level of awareness that workers and management have of job related risks; 

• Whether inspection and preventative maintenance programs are followed; 

• The level or quantity of training provided; 

• Total hours of training provided; and 

• The degree of activity of the Safety Council, Committees and Panels. 

All of these can be leading indicators that show trends toward a continuation of 

acceptable or improving safety levels or issues that need to be evaluated and 

potentially mitigated. For instance, there may be a situation where all mandatory 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 25

training is being accomplished satisfying one of the trailing indicator performance 

standards or benchmarks, but the number of hours of additional safety training has 

been declining over the last couple of years. This may portend a lessening of safety 

and an increased potential for accidents or incidents that will not show up by solely 

analyzing trailing indicators until actual accidents/incidents occur. However by 

identifying this adverse trend through the tracking of a leading indicator such as “Total 

Training Hours,” a thorough evaluation can be conducted thorough the Safety Risk 

Management (SRM) review process and appropriate mitigation or changes to previous 

mitigation implemented. 

Trend analyses should normally be performed with "Quantitative" data. This 

means survey questions should be multiple choice, true or false, rank order or 

constant sum. Survey questions that have textual input (Qualitative) should normally 

be avoided when the data is intended for use in a trend analysis since that introduces 

subjectivity into the process. However, sometimes textual input can point to an 

area(s) that would benefit from further, in-depth investigation. 

The key in any trend analysis is the selection of the most appropriate indicators, both trailing 

and leading, with which to evaluate a system and have enough data to produce valid analyses. 

6.3 Safety Data Development & Management 

6.3.1 Existing Databases

The Aviation Department utilizes several non-integrated database programs and 

database tools, as shown in Figure 7.1, ABIA Data management Systems. Those 

affecting operations on the airfield are: 

• TRAIN (Training, Registration 

and Administration Intra Net); 

• TMA CMMS (TMA 

Computerized Maintenance 

Management System); 

• ASOCS (Airport Security and 

Operations Compliance 

System); 

• RMS (Records Management 

System); 

• VERSADEX Computer Aided 

Dispatch (CAD); 

• Microsoft Excel; 

• SQL (Structured Query 

Language). 

Figure 7.1, ABIA Data Management 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 26

In the cases of TRAIN and ASOCS, these programs have only limited statistical 

functions, but reports from these programs can be imported into Excel for further 

processing and SQL can be used for more complex processing if necessary. 

Microsoft Access is also available for use at the Airport. 

TRAIN is a program that was developed within the City of Austin Information 

Technology Department about 12 years ago to fill a need the Department had to track 

training of their personnel. Since that time, use of the program has expanded to every 

department in the City including the Department of Aviation. There are abundant 

choices of reports available within the program, and additional reports can be 

developed to meet specific needs as has been done for other city departments in the 

past. 

This program will continue to be used for scheduling and documenting training except 

in those cases where other proprietary systems must be used such as for the NonMovement Area Training which is a proprietary system. 

TMA CMMS is a computerized maintenance work order system that collects a vast 

amount of data on maintenance activities throughout the airport. An abundance of 

standard reports are available from this system and the system also has the capability 

to generate “third party” or ad hoc reports. 

This system can effectively provide needed data in support of numerous potential SMS 

performance indicators. 

ASOCS is used by Airfield Operations as the official record of 14 CFR Part 139 

activities and also by Operations Security personnel. The two users of this system 

each have dedicated servers so there is no integration between them. This system 

has a good capability to generate user defined reports to satisfy a multitude of needs 

in support of SMS and to be an effective source of data to support numerous potential 

SMS performance indicators. 

RMS is used by Fire and EMS for their official records. It contains a vast amount of 

data on fire and EMS events that occur on the Airport, but there is no segregation 

between airside and landside events as there is only one “address” for the entire 

airport. Additionally, the Federal Health Insurance Portability and Accountability Act 

(HIPAA) rules limit availability of medical information for incident analysis beyond 

those investigations conducted by the Fire Department and EMS themselves to 

whether an individual was “injured, treated and/or transported.” This provides only 

minimally useful information for any incident analysis or “lessons learned” program. 

The system is operated and controlled by the City of Austin Fire Department and any 

possibility of gaining approval for someone outside that Department to access the 

system directly is extremely doubtful. However, it may be possible that reports from 

this database can be made available to an SMS Coordinator. 

VERSADEX is used for police functions. It contains a vast amount of data on police 

events that occur on the Airport, but like RMS, there is no segregation between airside 

and landside events as there is only one address for the entire airport. As with RMS, 

HIPAA rules severely limit medical information available for incident analysis outside of 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 27

a police investigation and use in any “lessons learned” program. When a review of the 

daily police “blotter” reveals an incident that may be of interest to an airport 

department, the basic information from that incident is shared with the appropriate 

airport department(s), but no monthly reports concerning incidents/accidents on the 

Airport are produced. 

The system is operated and controlled by the City of Austin Police Department, and 

like the Fire Department’s RMS, it is extremely doubtful that approval could be gained 

for anyone outside the Department to have direct access. 

A significant amount of data is warehoused in several non-integrated database 

systems that have the potential to adequately support many of the data needs of SMS 

once the performance indicators and the data needed to support them are determined. 

Their full potential will be utilized before other systems are considered, especially in 

the initial stages of SMS Development. 

6.3.2 Available Databases 

There are several aviation specific statistical databases or business intelligence tools 

on the market, but none have been identified as being used in any airport safety 

environment as yet. Rather, they are generally focused on airline and other aircraft 

operator applications. It is, however, anticipated that the industry will respond with a 

number of offerings specifically for airport use once the FAA establishes a requirement 

for Safety Management Systems nationwide. 

The programs currently available and which are envisioned to be the ones that would 

be modified to more fully satisfy the needs of airport operators are very capable 

programs that can access most major database resources. But, history indicates that 

they require experienced personnel to properly and efficiently utilize them. They have 

been shown to need considerable staff time to set up and run the analyses that may 

not be justified from a cost/benefit standpoint for individual airports especially at this 

early point in the FAA’s roadmap to establishing airport SMS requirements. Therefore, 

it is doubtful that ABIA would provide the level of demand to justify neither the direct 

cost for such tools nor the cost to keep personnel adequately familiar with their 

operation for this embryonic program that is initially limited to the airfield portion of the 

airports. 

On the positive side, there is one database program that was initially developed for 

airline use that appears very attractive if it could be revised to better serve the specific 

needs of airports. This program is the Aviation Safety Information System (AVSiS) 

that was originally developed for use by airline safety managers in Great Britain to give 

them the “big picture” of safety within their organizations. It was purchased by the 

National Air Transport Association (NATA) here in the United States for use by its 

member Part 135 carriers. This system is currently being investigated by the Port of 

Seattle for its use in the airports application, but even they acknowledge that it will 

require major modifications to effectively accommodate the needs of airports. To 

pursue this or at least determine if such changes can be made, the Port of Seattle 

through its SMS Team conducts regular teleconferences with other interested parties 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 28

is forming an Airports Working Group to work with NATA who appears enthusiastic 

about the prospect of expanding its use to airports to line out the changes and 

enhancements needed to meet airport needs. If successful, this is a program that 

ABIA should consider as a safety enhancement measure if the data for all of the 

Airport’s safety programs can be hosted on the system. 

Hosting all of the Airport’s safety data on this system would not necessarily mean that 

there would be a single person overseeing safety programs throughout the Airport. 

Rather, it would mean is that there is a central electronic repository for safety data that 

could be accessed by various approved managers for their use in monitoring and 

improving safety performance across the Airport. 

An alternative and perhaps more cost-effective approach would be for the FAA to 

sponsor the safety database system, with all airports providing data. Ideally, under 

this approach both airports and the FAA could run analyses. The FAA would have the 

ability to use data from individual airports, to compile data on a regional and 

nationwide scale, with benchmarks and trend analysis standards established within the 

program. 

In summary, the programs currently available and which are envisioned to be the ones 

that would be modified to more fully satisfy the needs of airport operators require 

experienced personnel to properly and efficiently utilize them. Considerable staff time 

is also required to set up and run the analyses. Therefore, the Department of Aviation 

cannot presently justify either the programs or the personnel to operate them. 

6.3.3 Safety Data Development and Management Implementation

The various databases available in the Department of Aviation are adequate to 

support initial SMS requirements, and should be utilized to their full capabilities before 

new systems are considered. Slight changes in Performance Indicators themselves 

may allow existing databases to adequately support SMS as well when that would not 

otherwise be possible. To accomplish this, the SMS Coordinator as the individual 

responsible for safety data development and management for SMS shall: 

• Identify what data is needed to support individual performance and trend 

indicators, 

• Determine which databases contain the needed data, 

• Identify what existing reports can be used to extract the data or develop new 

reports that may be required, 

• Adjust performance measures, if feasible, to allow use of existing data and 

reports, 

• Develop new reporting requirements when needed data is not already available, 

identify the database to be used for warehousing the data and develop reports 

to extract the data. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 29

6.4 System Safety Audits 

The goal of the SMS audit program is not to focus on actual physical conditions. 

Rather, it is to focus, at least initially, on evaluating the SMS management practices 

that are in place and determine if the system is being implemented at a level 

consistent with industry best practices. 

6.4.1 Audit Program

The Department of Aviation will develop an SMS Audit program that utilizes a checklist 

based on the Twenty-One elements of SMS contained in the Safety Management 

System Pilot study Participant’s guide that was published by the FAA’s Office of 

Airport Safety and Standards (dated April 6, 2007). These Twenty-One elements are 

listed in detail, in Appendix 5, The Twenty-One Elements of SMS. These audits will be 

performed no less frequently than annually with the first one occurring within twelve 

months following publication of the SMS Manual. 

The majority of these audits will be conducted with internal resources, principally the 

SMS Safety Coordinator. In the event a more disinterested resource is desired, use of 

the Department of Aviation’s internal auditor or some other City resource will be 

considered before utilizing an audit resource external to the Department and the City 

of Austin. 

6.4.2 Audit Program Implementation

To implement the SMS Audit Program that will identify deficiencies, identify corrective 

actions and monitor those actions to completion, the SMS Coordinator as the 

individual responsible for administration of the SMS Audit Program and evaluation of 

audit findings shall: 

• Develop an Audit Checklist based on the Twenty-One Elements of SMS; 

• Develop a tracking system to monitor correction of audit findings; 

• Establish appropriate performance indicators to gage the effectiveness of the 

audit program and identify data necessary to support them. 

6.5 Corrective Action 

A corrective action is a change implemented to address a weakness identified in a 

system, normally a management system. Effective management of corrective actions 

provides a vehicle for effective management actions to improve safety and overall 

performance. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 30

6.5.1 Corrective Action Program

Corrective actions can come from a multitude of sources and can get quite numerous. 

Those that come from sources such as a Safety Risk Management (SRM) Process, 

SMS audit or self-inspection, after action reviews (incident, accident, project, etc.) will 

need to be monitored through utilization of a tracking system. Routine corrective 

actions such as those resulting from discrepancies identified during Part 139 Airfield 

Inspections will be specifically tracked by SMS if the item is open more than 30 days 

The fundamental rules for any corrective action are: 

• Clearly state the corrective action required 

• Identify the responsible party or office 

• Establish an aggressive but attainable target date for completion 

• Monitor progress toward meeting that date 

A simple tracking system will be developed utilizing Microsoft Excel or a similar 

program to monitor progress toward closing corrective actions. Whatever the choice, 

the chosen system must allow for an adequate level of analysis and performance 

tracking. 

The establishment and tracking of appropriate performance indicators to evaluate the 

Department of Aviation’s performance in meeting target dates for Corrective Actions is 

essential to a successful program. 

6.5.2 Corrective Action Program Implementation

To implement a SMS Corrective Action Program that will track corrective actions to 

completion, provide monthly progress reports and measure performance, the SMS 

Coordinator as the individual responsible for administration of the SMS Corrective 

Action Program shall: 

• Develop a Corrective Actions tracking system; 

• Establish appropriate performance indicators to measure effectiveness of the 

Corrective Action Program; 

• Include SMS Corrective Actions will be included as a standard agenda item for 

all meetings of safety committees involving airfield stakeholders. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 31

6.6 Lessons Learned 

 “Lessons Learned” is knowledge acquired from human error or an adverse 

experience. In some instances, lessons learned can also result from innovation. The 

knowledge derived from lessons learned provides the foundation for employees within 

an organization to improve a process or activity to work safer, more efficiently, and 

with a higher quality product.

6.6.1 Lessons Learned Program

A Lessons Learned Program is an important component of ABIA’s Safety 

Management System (SMS). It allows for continuous system improvement and 

feedback, and like other aspects of SMS, there must be a means of measuring results. 

Lessons Learned do not come solely from such things as after accident/incident 

reviews, after project reviews or some management related activity as is often the 

perception although they are prime sources. Instead, there are a multitude of sources 

both inside and outside an organization that can provide valuable knowledge to 

improve the safety environment. 

Individuals within an organization are good sources of lessons learned, especially 

when it comes to offering innovation or better ways to accomplish a task. Therefore, it 

is essential in any Lessons Learned Program to provide a means for individuals to 

make submissions in the same way as they are afforded the opportunity to report 

hazards or potential hazards they may observe or otherwise become aware of. No 

matter what the source of the Lesson Learned, it must be significant, valid, and 

relevant to the organization. 

The Lesson Learned process itself is relatively simple. It calls for: 

• Identifying Lesson Learned validity and applicability to the organization; 

• Determining target group(s) for distribution; 

• Determining appropriate distribution method(s); 

• Making timely distribution; 

• Accepting feedback; and 

• Measuring results. 

Dissemination is one of the most important elements of any Lessons Learned 

Program. It is essential that target groups be properly identified along as well as the 

most efficient method for dissemination of information. While distribution by email may 

be the preferred method to get Lessons Learned to management levels of the 

organization, it will not work well for non-management employees who do not have 

convenient access to computers. In the latter case, posting the information on a 

bulletin board in their work center, including a pre-shift/post-shift briefing or safety 

meeting may be the most appropriate method. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 32

When disseminating Lessons Learned, it is beneficial to keep the form of that 

document relatively standard so that the information is easily assimilated by the target 

audience time after time. The document (paper or electronic) will state: 

• The purpose of distributing the Lesson Learned (intended for use in future 

safety meetings, provide immediate information to employees to prevent 

reoccurrence, inform employees of innovations allowing them to work safer; 

• The source of the Lesson Learned (accident/incident review, submitted Lesson 

Learned, etc.); 

• What Happened (a short, simple summary of the accident/incident, submitted 

Lesson Learned, etc.); 

• What went right (stating positive things provides reinforcement for actions); 

• What was learned (where did things go wrong); 

• Recommended Corrective Actions or How to Prevent Reoccurrence 

(recommendations to prevent reoccurrence to include target dates for any 

necessary actions and the responsible individual or office for each); and 

• Consideration should also be given to adding a section on Best Work Practices 

(a list of incident related best practices that will reinforce positive work habits) 

and providing contacts where the reader can get help or more information 

(Supervisor, SMS Coordinator, Safety Office, etc.). Note: When it comes to 

Recommended Corrective Action or How to Prevent Reoccurrence, a restating 

or paraphrasing an existing policy, process, procedure, etc. is inadequate and 

does not qualify as a legitimate Lesson Learned. 

The Department of Aviation currently operates a Lessons Learned Program through 

use of accident or incident reviews at Safety Committee Meetings and posting of 

accident/incident reports on Safety Bulletin Boards that contain the essential elements 

of a Lessons Learned Program (root cause, contributing factors and 

recommendations). The inclusion of Airfield SMS related Lessons Learned on these 

bulletin boards in appropriate work centers will be an effective and economical means 

of getting SMS Lessons Learned to those who need this information, but do not have 

convenient access to a computer. In a similar manner, the addition of SMS Lessons 

Learned to the agendas of the airfield related Safety Committee Meetings will provide 

an efficient means of disseminating this information to committee members and 

generating committee discussion/feedback. Relevant Lessons Learned will be given 

in appropriate employee training courses. In this way, a Lesson Learned becomes a 

longer term tool to improve safety. 

Efficiently soliciting Lessons Learned or feedback on published Lessons Learned from 

airfield stakeholders will be established. Safety Reporting forms, which are normally 

readily available to airport employees and many non-employees alike, will provide a 

simple, readily available means for an individual to report a lesson learned input or 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 33

provide feedback on a publicized Lesson Learned. It is essential that Lessons 

Learned Program performance indicators be identified and monitored. Those 

indicators for ABIA are: 

• Number of Lessons Learned provided compared to the number disseminated; 

• Number of Lessons Learned implementing actions completed within original 

target date compared to total implemented actions; 

• Number of repeat incidents previously discussed in Lessons Learned compared 

to the total number of incidents; 

• Number of repeat incidents previously discussed in Lessons Learned compared 

to the total number of Lessons Learned distributed; and 

• Total number of Lessons Learned generated by management compared to the 

total generated. 

For a Lessons Learned Program to be successful, the following points must be kept in 

mind. Lessons Learned: 

• Must be kept simple; 

• Need management support at all levels; 

• Need to involve every affected person (organizations and individuals); 

• Distribution must be tailored in terms of target audience(s) and method(s); 

• Needs a process to receive feedback; 

• Performance needs to be measured; and

• May not produce 100% success .

6.6.2 Lessons Learned Program Implementation

The Department of Aviation will implement a Lessons Learned Program that provides 

a simple process to identify knowledge that would be of benefit to an organization 

and/or the individuals within it, disseminate that knowledge to the appropriate groups, 

accept feedback and measure program effectiveness. To implement our Lessons 

Learned Program, the following will be accomplished: 

• The SMS Coordinator will be the responsible individual to review, evaluate, and 

disseminate Lessons Learned and measure program effectiveness through the 

establishment and tracking of appropriate performance indicators; 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 34

• Make Lessons Learned a fundamental element of any after-project/after 

incident review activity; 

• Include appropriate Lessons Learned in appropriate employee training courses; 

• Expand the Airport Safety Office Hazard Reporting Form to include Lessons 

Learned reporting; 

• Allow SMS Lessons Learned information to be included on the Safety Office 

Bulletin Boards in appropriate work centers; 

• Include SMS Lessons Learned as a standard agenda item for all meetings of 

safety committees involving airfield stakeholders; and 

Establish and track appropriate performance indicators to measure effectiveness of 

the Lessons Learned Program.
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 35

7.0 NON-PUNITIVE REPORTING SYSTEM 

In 1992, the FAA developed the Aviation Safety Action Program (ASAP) found in 

Advisory Circular (AC) 120.66b, for pilots and aircraft maintenance personnel at 

selected air carriers. The program has been a remarkable success, and has exceeded 

the goal of a confidential safety reporting system. Non-punitive reporting is an integral 

segment of the Safety Management System (SMS) and has been implemented in the 

FAA Air Traffic Organization (ATO). A non-punitive reporting system is a fundamental 

component of SMS. 

The benefits of a non-punitive reporting system are: 

• Provides strong incentives to report safety concerns; 

• Establishes direct-line communications of safety information to managers; 

• Reveals a more accurate view of airport operations safety issues. 

• Reporting is confidential without fear of reprisal; and 

• Builds mutual trust between management and employees; 

To create an open culture with safety excellence in the forefront, organizations must 

avoid an overly punitive reaction to events and errors. The employee must be 

encouraged to report errors without fear of recrimination. This will lead to learning 

opportunities and embracing changes for promotion of the overall safety at ABIA. A 

strong safety culture is one that reinforces accountability across all levels of the 

organization. It is a system of accountability that does NOT focus on the human error 

or the unintended consequences but rather focuses on the quality of our decision 

making process. 

7.1 Non-Punitive Reporting Process 

Department of Aviation employees are expected to report any event or observation 

they feel represents a potential hazard. All Safety Reports shall be submitted to the 

SMS Coordinator for processing as described in Section 5.6, Safety Risk Reporting. 

The specific components of the non-punitive reporting systems may vary. Initially, the 

implementation of general guidelines will establish a foundation for a successful 

program. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 36

7.2 Policy Statement 

The Department of Aviation will establish a policy that identifies the elements of the 

non-punitive reporting program. It should include the means and method for reporting 

potential or real safety issues; time limits for reporting; and under what circumstances 

the non-punitive reporting program would not apply. 

7.3 Reporting Time Frame 

The time frame for reporting a hazardous situation should be as soon as possible but 

should not to exceed a reasonable time period from the time the submitter becomes 

aware of a hazard. 

7.4 Types of Reports 

The report of an unsafe or hazardous situation may be made orally or in writing. If the 

hazard represents an imminent risk or a severe safety concern, immediate notification 

to the proper authorities is expected. 

7.5 Tracking 

The SMS Coordinator will track non-punitive reports in accordance with established 

policies until the risk has been mitigated or accepted. 

7.6 Non Qualifying Reports 

Reports that involve criminal activity, substance abuse, intentional disregard for rules 

and regulations or falsification will be referred to the appropriate supervisor for further 

handling. 

The qualification process will be determined through a panel consisting of some or all 

of the following subject matter experts as appropriate; 

• Law Enforcement 

• Fire Safety / ARFF 

• Human Resource 

• Operations 

• Maintenance 

• SMS Coordinator 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 37

8.0 SAFETY PROMOTION 

8.1 Culture 

The main goal of safety promotion is to create a “safety culture” that allows SMS to 

succeed. Culture is management’s representation of what the organization believes 

and practices. Safety is a collective commitment that, with the proper implementation, 

places the responsibility for safety in the hands of every employee. The result is an 

environment that encourages the identification, reporting, and correction of safety 

issues at every level. 

The safety culture of the Department of Aviation is defined as a product of individual 

and group values, attitudes, perceptions, competencies, and patterns of behavior. 

Culture is relatively stable, enduring, and resistant to change. 

Organizations that wish to create a positive and effective Safety Culture must have 

organizational values and beliefs are shared by all. The essential values in a positive 

and effective safety culture include integrity, honesty, initiative, innovation, 

responsibility, openness in sharing information, and commitment to constant 

improvement and continuous learning. 

An organization with these values will provide an environment where the employee’s 

sense of self is woven into the organization’s values, and where the employees feel 

they are “a part” of something important, good, and larger than self. 

8.2 Training & Education 

8.2.1 SMS Training and Development

The success of any program is measured by the success of its training and 

educational expertise. All Department of Aviation employees will be provided with a 

clear understanding of SMS policies and procedures to perform their duties safely. 

 

Training is the cornerstone of the Department of Aviation safety and accident 

prevention program. All division managers are responsible for developing personnel 

training programs that ensure adherence to the policies and procedures within their 

areas of responsibility and that are properly aligned for the skills and competencies 

necessary for each person to perform their duties in an effective and safe manner. 

Division Supervisors and above are responsible for continued development of training 

programs that address changes to the organizations policies, goals, and objectives. 

Training programs include the process by which an assessment of potential hazards 

related to an employee’s job descriptions might be revealed. The commitment to train 

all employees, regardless of their professional discipline, is an indication of the 

Department of Aviation’s dedication to implement Safety Management System. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 38

Division Managers will review its safety and training, periodically, to identify problem 

areas, determine specific safety objectives and re-develop coordinated, focused 

training programs. 

8.2.2 SMS Coordinator

The SMS Coordinator will work with each Division Manager to identify SMS-specific 

training needs and, to the extend practical, the delivery of training sessions. To 

achieve that objective, training programs will be developed by: 

• Identifying the jobs and the tasks associated with each job, and determining the 

related knowledge and skills required to safely perform those tasks; 

• Defining the training objectives and the methods by which training will be 

delivered, and designing test items and testing methods to establish whether 

training objectives have been met; and 

• Establishing the sequence in which the training topics will be presented, 

development of lesson plans, development and assembly of training manuals, 

gathering all required training materials, and assigning instructors. 

8.2.3 SMS Training Evaluation

The effectiveness of training programs will be evaluated through: 

• Post-training evaluation questionnaires; and 

• Surveys of the effectiveness of training programs with randomly selected 

participants. 

The SMS Coordinator will assist managers with this training evaluation process, and 

will maintain a central database of this effort for future consultations. 

8.2.4 SMS Training Records

To insure responsible safety management, formal documentation is required to 

provide the authoritative basis for the SMS. Personnel training records must be 

updated within two weeks of the training being completed and is the oversight 

responsibility of the SMS Coordinator. Training records will be retained in accordance 

with Department of Aviation policies. Each Division Manager is responsible for sending 

safety related training records to the SMS Coordinator by the first of each month. 

8.2.5 SMS Indoctrination Training Programs

All new Department of Aviation employees will complete SMS Indoctrination Training, 

as may be directed by the SMS Coordinator, during their probationary period. This 

indoctrination training includes safety management program policies and procedures 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 39

as well as individual responsibilities and accountabilities related to SMS. This training 

will include, but not be limited to: 

• SMS policies and procedures; 

• Safety Risk Management (SRM) risk assessment and hazard recognition; 

• Safety Report filing procedures; and 

• Non-punitive safety reporting policy and guidelines. 

SMS Recurrent Training will be provided to each employee on an annual basis. 

Recurrent training materials will include “lessons learned” from previous SRM studies 

and SRMD filings. 

SMS recurrent training will emphasize on the job awareness of job-specific safety 

hazards. It will cover at a minimum the following: 

• Changes to policies, procedures, rules, and regulations; 

• On the job hazards; 

• Equipment and environmental safety procedures; 

• Safety Reporting Protocols; 

• Roles of key safety personnel; 

• SMS communications and sharing of information; and 

• Changes to Emergency Preparedness Plans. 

Training programs will be updated when unforeseen or unexpected circumstances 

dictate, such as the results of an SRM process due to changes of equipment, 

procedures, physical property, and/or personnel. 

8.3 Organizational Development 

Organizational Development is a systematic process to optimize individual and 

organizational performance, is essential for SMS success. It consists of two major 

components: 

• Leader Development; and 

• Strategic Planning. 

8.3.1 Leadership Development 

Leadership Development is the continuous and deliberate process of developing 

leadership skills, knowledge, and behaviors. Quality leaders do not happen by 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 40

accident. Leadership is an observable set of skills and abilities that can be learned 

and fine tuned over a time. Skilled leaders: 

 

• Model the Way - They are admired, respected and trusted because they:

o Share sacrifices and risks; 

o Set the moral and ethical standard; and 

o Establish caring relationships with those they work with. 

• Inspire a Shared Vision 

o Clearly articulate the vision; 

o Demonstrate commitment to the vision; and 

o Inspire and show enthusiasm and optimism. 

• Challenge the Process 

o Stimulate & encourage innovation; 

o Allow subordinates to question assumptions; and 

o Mistakes are part of the learning process.

• 

• Encourage & Enable others to Act 

o Personalized interaction; 

o Provide new learning experiences; and 

o Leadership by “Walking around”. 

The above describes attributes of leadership. How do you propose that Leadership 

Development be performed in the organization? 

8.3.2 SMS Strategic Planning

Strategic Planning involves purposeful long term planning and attention to: 

• Identification of SMS Mission, Vision, Values, and Key Functions; 

• Aligning of Internal Processes with Key Functions; 

• Developing metrics to proactively rate performance of Key Functions and 

Internal Processes; and 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 41

• Incorporation of SMS Leader Development as a critical component for 

implementation. 

Leader Development and Strategic Planning are integral to a viable and robust SMS 

Program. 

Management must show true commitment to: 

• Safety as #1 priority; 

• Full Implementation of SMS; 

• Continuous safety Improvement; 

• Culture of openness and initiative; and 

• Providing necessary resources. 

These actions must be factored into leader development and strategic planning of the 

organization in order to ensure leaders create and commit to the values of a quality 

safety culture. 

8.4 SMS Management Awareness 

The Department of Aviation will develop safety management awareness and 

understanding throughout the entire organization communicating through: 

• Safety seminars; 

• Safety newsletters, notices and bulletins; 

• Communicating safety lessons-learned; 

• Bulletin boards and electronic reporting through email and a SMS website; and 

• Safety campaigns on specific SMS issues identified and emphasized. 

Supervisors will further educate themselves through specific a SMS training program 

that includes: 

• Risk management; 

• Accident/Incident investigation; 

• Audits; and 

• Performance measurement. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 42

8.5 Communications 

The Department of Aviation management encourages a free and open exchange of 

safety information across all levels of employees and between all departments. 

Keeping staff informed about current safety issues through relevant training, safety 

literature, participation in safety courses and seminars, etc. improves the safety health 

of the organization. Departmental managers, in cooperation with the SMS 

Coordinator, are to encourage interdepartmental discussions on common safety 

issues, whether in the planning of activities or in response to safety reports or 

concerns. 

Employees are encouraged to bring up safety issues with their supervisor. The 

discouragement of safety reporting and communication, whether tacit or explicit, will 

not be tolerated. The SMS Coordinator will develop and coordinate an internal 

communication strategy aimed at promoting safety and the safe conduct of all 

Department of Aviation activities. In addition to written communications, it is important 

for employees to witness evidence of the commitment of top management to safety. 

All supervisors shall actively and demonstratively support the internal safety 

communication strategy. The safety communication strategy should include, for 

example: 

• Safety bulletin boards; 

• Safety newsletters; 

• Safety posters; 

• Safety awards, recognitions; 

• Safety events and 

• Stakeholder meetings. 

8.6 Safety Incentive Programs and Events 

The Department of Aviation shall establish various incentive programs designed to 

recognize an employee’s special effort to improve or enhance the organizations safety 

culture. The SMS Coordinator will oversee the development of programs that support 

the promotion of safety. The nature of these programs shall be defined and 

communicated to the ABIA community as they become available. 

Safety incentive events such as safety stand-downs, safety fairs, and safety 

campaigns will be aimed at promoting safety and encouraging employee participation. 

The SMS Coordinator will endeavor to arrange these kinds of activities on a quarterly 

basis, and will seek the cooperation and participation of external stake-holders. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 43

8.7 Safety Promotion and Training Checklist Summary 

• Management recognizes that all levels of the organization require training in 

safety management and that the needs vary across the organization; 

• Job descriptions reflect competency requirements; 

• All personnel receive safety indoctrination training and participate in specific 

ongoing training for safety management; 

• The organization has an effective program for the timely promotion of safety 

issues; 

• Additional safety awareness training is provided when the operating 

environment changes (seasonal changes and changes in operational 

conditions, regulatory requirements, etc.; and 

• Employees understand that safety management has nothing to do with 

attributing blame. 

8.9 Safety Council 

Safety Council’s are vitally important to the organization by allowing discussion, input, 

and disagreements on safety performance and promotion to be voiced from various 

departments, tenants, airlines, and other interested parties. Membership should 

consist of representatives from both Department of Aviation staff and Airport tenants to 

provide a forum to discuss safety issues, policies, and procedures, both current and 

proposed. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 44

9.0 SMS PROGRAM IMPLEMENTATION 

The implementation of a Safety Management System into an organization will not be 

accomplished overnight. A well thought-out implementation plan will help ensure the 

programs’ success, while not over burdening the organization’s human and financial 

resources. 

10.1 Department of Aviation Implementation Approach 

The implementation of the Department of Aviation SMS Program will be a phased 

approach, starting with the Operations and Maintenance Divisions. These two 

organizations will implement SMS into their organizations first. As SMS knowledge, 

skills and abilities are mastered, additional SMS features and organizations will be 

added. 

The Department of Aviation plans to expand SMS to other departments and Airport 

stakeholders as the program matures. This expansion may require additional 

resources and financial planning on the part of management to experience the full 

benefit of an improved safety culture. 

10.2 SMS Staffing Requirements 

All start-up programs, such as implementing SMS Program, can require a significant 

amount of an organizations time. The assistance of the SMS consultant has provided 

Department of Aviation a running start in the programs development and 

implementation. To ensure the programs success, the Department of Aviation will be 

required to devote the required resources to accomplish the SMS Coordinators’ role in 

the organization. 

10.3 Financial Implementation of the Department of Aviation SMS Program 

The Department of Aviation’s goal is to implement the SMS Program with existing 

staffing and resources. Eventually, SMS staffing support and resources are expected 

to grow as the program matures. Ultimately, the Department of Aviation community 

should have a SMS specialist, who’s responsibility is to sustain a continued 

improvement in the safety culture by reducing the risk of accidents and incidents. 

Staffing a SMS professional (Department of Aviation or contract employee) is 

expected to cost $85,000.00 annually. 

Additionally, the implementation and integration of software applications and hardware 

to measure performance metric criteria will also benefit the goal of long term success. 

Technology support for implementing SMS will require software applications, software 

development for databases, hardware and integration support. These technology 

support elements are planned to be a one-time expense, but should not exceed a 

capital investment between $150,000 and $200,000. Software programs and support 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 45

may also be a phased-in approach as performance measures and trend analysis 

activities become more defined. 

10.4 Implementation Guidelines

The following list of implementation activities have been developed for the ABIA SMS 

Program implementation. These activities will provide a scheduled detailed sequential 

approach toward building the Safety Culture, employee Knowledge Base, and 

Confidence with implementing SMS. 

Those activities are as follows; 

Year One, First Quarter

1. Publish an organizational chart identifying positions and safety responsibilities 

of all key personnel. 

2. Appoint the ABIA SMS Coordinator as the primary point of contact for all 

matters related to the implementation of SMS, maintenance of the SMS 

Handbook, and SMS training 

3. Publish safety policy statement and describe how it is communicated to 

Department of Aviation employees. 

4. Identify, describe, and recommend airport safety objectives. 

5. Communicate to all Airport tenants the Safety Policy and Objectives, and 

commitment to SMS and improving the safety culture of the organization. 

Communicating feedback to staff and personnel can be accomplished through: 

• Safety recognition and/or awards programs 

• Staff meetings 

• Bulletin boards 

• Newsletters 

• Computer briefings at sign-in 

• E-mails to personnel 

6. Provide SMS Overview and Safety Risk Management training to all Department 

of Aviation Operations and Maintenance employees. 

7. Develop Initial trend analysis models. 

8. Create self-inspection findings performance metrics. 

9. Prepare recommendations for developing the databases, models, and analytical 

tools to be used for risk management. 

10. Document process to identify training requirements for systems safety. 

11. Identify or develop plan to validate training effectiveness and the process to 

gain training feedback, including useable metrics. 

12. Identify or develop defined processes to communicate safety policies and 

objective throughout the organization. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 46

13. Develop process for documenting and storing results of SRM. 

14. Describe how existing quality and risk management activities will be integrated 

into the SMS. 

15. Conduct training and education, safety communication, competency, and 

continuous improvement processes. 

Year One, Second Quarter

1. Implement a plan for employee SMS orientation and training with outline of 

proposed curriculum and resources. 

2. Implement how top management will follow-up on SRM to ensure risk mitigation 

strategies are appropriate. 

3. Establish self-auditing processes. 

4. Develop strategic plan to integrate the tailored SMS program into the overall 

operation of the airport. 

5. Develop Final SMS Plan and Schedule for implementation along with 

anticipated costs. 

6. Establish Safety Council to provide peer review of safety reports, hazard 

analysis, and safety communication. 

7. Develop a plan to integrate apron safety management into the SMS. 

8. Distribute copies of SMS Hand Book to Department of Aviation supervisors and 

tenant management 

Year One, Third Quarter

1. Initiate lessons learned safety assurance program. 

2. Publish the Department of Aviation Directive that formally establishes the 

systematic business processes for the identification of hazards and the 

analysis, assessment, and mitigation of safety risks. 

• Describe the system, procedure, and/or organization 

• Hazard identification 

• Analyze the risk 

• Assess the risk 

• Mitigate the risk 

3. Establish Safety Performance Indicators to act as a benchmark for analysis of 

future improvements in safety culture. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 47

Year One, Forth Quarter

1. Conduct internal audits of hazard assessments, risk analysis, and safety 

performance indicators. 

• Ensure planned remedial actions of a risk have been implemented 

• Monitor the effectiveness of the mitigation 

• Consider the future relevance of the mitigation 

• Establish an audit/assessment checklist with planned reviews 

2. Create a high level Monthly Safety Report for the Department of Aviation. 

Year 2, First Quarter

1. Conduct recurrent training of objectives and procedures. 

2. Updated training materials to ensure employees know and comply with new 

safety requirements associated with their job and within the organization 

• Safety Risk Management Decisions 

• Human Factors 

• Team Building 

• Reaffirm understanding of SMS and its relevance to employees, to their 

positions and to the culture of the organization 

Year Two, Second Quarter

1. Review performance indicators and the data to support them to ensure they are 

evolving into areas that more fully evaluate system effectiveness 

• Indicators that better identify areas of weakness so that efforts can be 

properly focused. 

• Indicators that are more Global in nature. 

• Indicators that have matured, becoming increasingly relevant to workforce 

selected issues. 

2. Initiate a Employee Safety Survey to compare the results of the first survey 

accomplished in August of 2008. Measure any perceived safety culture 

changes and re-set targets as needed. 

3. Synthesize the following leading indicators for analyzing Aviation safety 

program 

• The degree of commitment to health and safety 

• How highly both management and workers value a safe workplace 

• The level of awareness that workers and management have of job related 

risks 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 48

• Whether inspection and preventative maintenance programs are followed 

• The level/quantity of training provided 

• Total hours of training provided 

• The degree of activity of Safety Committees 

Year Two, Third Quarter

• Initiate a Department of Aviation Policy for a Non-punitive safety reporting 

system applicable to all Department of Aviation employees 

• Identify the elements of the Volunteer Safety Reporting program 

• Describe methods for filing safety reports; 

o Recipients of the report – who within the organization gets the report and 

what is done with the information 

o Time limits for reporting - reporting a hazardous situation as soon as 

possible but not to exceed 24 hours from the time the submitter becomes 

aware of a hazard 

o Under what circumstances the non-punitive reporting program would not 

apply – intentional acts, negligence, criminal behavior 

o Types of Reports - orally or in writing, 

o Safety Committee Review – perform SRM, implement corrective actions 

if applicable 

o Disseminate all factors to those who have a need to know. 

o Tracking progress of the corrective actions until the hazard has been 

eliminated to the fullest extent possible 

o Non qualifying reports that appear to involve criminal activity, substance 

abuse, intentional disregard for rules and regulations or falsification will 

be referred to the appropriate office for further handling. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 49

11.0 APPENDICES

The following is a list of included Appendices; 

Appendix 1 - Definitions 

Appendix 2 - Human Factors 

Appendix 3 - Performance Indicators 

Appendix 4 - The 21 Elements of SMS 

Appendix 5 - Safety Risk Management Document Report 

Appendix 6 – SRMDR Supplemental hazard Analysis Worksheet 

Appendix 7 - Forms 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 50

Appendix 1 - Definitions 

Acceptable level of risk – risk determined by management that has been reduced to 

a level that can be accepted by the organization after considering all safety and 

legal obligations. 

 Accident – An unplanned event or series of events that results in death, injury or 

damage to, or loss of, equipment or property. 

Apron (Ramp) – an area on an airport prepared for the purpose of providing aircraft 

with parking space for the embarkation and disembarkation of passengers, the 

loading or unloading of mail or cargo, aircraft servicing, or undergoing 

maintenance. 

Audit – Objective assessments to evaluate conformity with policy, standards and 

contractual requirements. Internal audits are conducted within the department or 

organization and external audits can be conducted by regulatory offices or 

contractually through an outside vendor. 

Best Practice – Method or procedure recognized by industry as being operationally 

effective in achieving stated objectives. 

Cause – A reason, condition, task, or activity that brings about a hazardous act or 

state. 

Comments – Notes, implementation or timeline requirements or other pertinent 

information. 

Corrective Action – A change implemented to address a weakness identified in a 

system, normally a management system. 

Current Risk – Level of risk attributed to the hazard. (High, Moderately High, Medium, 

Low) 

Description – A word depiction of the real or perceived hazard. 

Existing Control – System, process, procedure, or policy currently in place to counter 

the hazard. 

Gap Analysis – Identification of existing safety components, compared to SMS 

program requirements. Gap analysis provides an operator an initial SMS 

development plan and roadmap for compliance. 

Hazard – Any existing or potential condition that can lead to injury, illness or death to 

people; damage to or loss of a system, equipment or property; or damage to the 

environment. A hazard is a condition that is a prerequisite to an accident or 

incident. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 51

Incident – An event that has the potential to lead to an accident. 

Indicators, leading & trailing or lagging – leading indicators are predictors of future 

safety performance based on selected criteria. Trailing or lagging indicators are afterthe-fact measures of safety performance. 

Lessons Learned - Knowledge acquired from an innovation or an adverse experience 

that causes a worker or an organization to improve a process or activity to work 

safer, more efficiently or with higher quality. 

Likelihood – The estimated probability or frequency, in quantitative or qualitative 

terms, of a hazard’s effect. The frequency or regularity in which the hazard can 

occur, (frequent, probable, remote, improbable). 

Oversight – A function that ensures the effective promulgation and implementation of 

safety standards, requirements, regulations and associated procedures. 

Quality Assurance – planned and systematic actions necessary to provide adequate 

confidence that a product or service will satisfy given requirements for safety and 

quality. 

Potential Effect – The effect(s) the hazard would have on the system state if not 

mitigated. 

Records – Evidence of results achieved and activities performed. In this context, they 

are distinct from documentation as what is written is permanent and does not change 

over time. 

Recommended Safety Mitigation – Additional procedures, actions, activities or 

processes imposed on the system state to lessen the likelihood and/or seriousness of 

the hazard. 

Residual Risk – A re-measuring of the risk level once recommended safety 

mitigations are implemented. 

 

Risk – the consequence of accepting a hazard. 

Risk Assessment – process for evaluating the level of risk and comparing whether 

the analyzed risk level and the acceptable risk level is tolerable. 

Safety – The condition to which environment, health, occupational and aviation risks 

are managed to acceptable levels. 

Safety Assessment – A systematic and comprehensive evaluation of an implemented 

system to see if all safety requirements are met 

Safety Assurance – SMS process management functions that systematically provide 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 52

confidence that organizational products/services meet or exceed safety requirements. 

Safety Culture – The product of individual and group values, attitudes, competencies 

and patterns of behavior that determine the commitment to, and the style and 

proficiency of, the organization's management of safety. Organizations with a positive 

safety culture are characterized by communications founded on mutual trust, by 

shared perceptions of the importance of safety, and by confidence in the efficacy of 

preventive measures. 

Safety Management System (SMS) – The formal, top-down business-like approach 

to managing safety risk. It includes systematic procedures, practices, and policies for 

the management of safety (including safety risk management, safety policy, safety 

assurance, and safety promotion). 

Safety Objective – Safety goals or desired outcomes, which are measurable. 

Safety Policy – Defines the fundamental approach to managing safety that is to be 

adopted within an organization. Safety policy further defines the organization’s 

commitment to safety and overall safety vision. 

Safety Promotion – A combination of safety culture, training, and data sharing 

activities that support the implementation and operation of an SMS in an organization 

Safety Risk – The composite of predicted severity and likelihood of the occurrence 

defines the potential effect of a hazard. 

Safety Risk Control – Any action that mitigates the safety risk of a hazard. Safety 

Risk Controls necessary to mitigate an unacceptable risk should be mandatory, written 

in requirements language, measurable, and monitored to ensure effectiveness. 

Safety Risk Panel (SRP) – The SRP will consist of Aviation Department subject 

matter experts, either directly or indirectly involved with the change and as required, 

and representatives of airlines, concessionaires, or other ABIA tenants (external to 

Aviation Department employees) for their expertise and counsel, as appropriate. The 

involvement of these resources will help ensure that all aspects and consideration 

have been explored, debated, assessed, analyzed, and mitigated. A SRP will be sized 

for the specific safety issue presented and may consist of from 3 to 25 members. The 

SMS Coordinator will determine the level of participation required. 

Safety Risk Management (SRM) – A formal process within the SMS composed of 

describing the system, identifying the hazards, assessing the risk, analyzing the risk, 

and controlling the risk. The SRM process is embedded in the operational system; is 

not a separate/distinct process. 

Safety Risk Management Decision Report (SRMDR) – The SRMDR is the primary 

SMS report that will be completed for every assessment regardless of the complexity. 

This report must be retained for trend and data analysis. If subsequent or additional 

assessment is required for the same subject, then the subsequent SRMDR will be filed 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 53

with the previous report. 

Self-Assessment Plan – A formal, management-approved document that describes 

an airport operator’s self-assessment activities and how often they occur, provides a 

schedule for completing the assessments, and identifies the reports to be generated. 

Serious Injury – an injury which is sustained by a person in an accident and which: 

(1) requires hospitalization; (2) results in a fracture of any bone; (3) involves 

lacerations which cause severe hemorrhage, nerve, muscle or tendon damage; (4) 

involves injury to any internal organ; (5) involves second or third degree burns on more 

than 5% of the body; (6) involves harmful exposure to radiation. 

Severity – The consequence or impact of a hazard in terms of degree of loss or harm. 

The level or extent to which property damage, injury or loss of life is contributable to a 

hazard. (Catastrophic, Major, Minor, Minimal) 

SMS Output – The result or product of an SMS process; in this context, it is the result 

of a process, which is intended to meet a requirement described in this Manual (e.g. 

results of safety risk analyses, safety audits, safety investigations, and trend analysis 

of safety performance indicators). 

Supplemental Hazard Analysis Worksheet – This worksheet is utilized to assist 

teams assessing hazards by documenting their approach, assumptions, and findings. 

These worksheets should be kept with the Safety Risk Management Decision Report 

(SRMDR) as back-up material, if needed at a later date for such things as audits or 

investigations. 

System(s) – An integrated set of elements that are combined in an operational or 

support environment to accomplish a defined objective. These elements include 

people, hardware, software, firmware, information, procedures, facilities, services and 

environment. 

System State – The state of a system (or particular environment) and refers to that 

environment/system's condition at a particular moment in time or under certain 

conditions. The current configuration, policy, procedure, or process from within which 

the hazard exists. 

Top Management – The person or group of people that directs and controls an 

organization. Sometimes it is also referred to as senior management 

Tracking Number - A unique number assigned each hazard for the purpose of 

referencing the hazard during the analysis. 

Trigger Mechanisms - Environmental component that causes or enhances the 

probability of a hazard to occur. Trigger mechanisms include (but are not limited to): 

• Personnel Quality issues: aptitude, skill, experience, or training, 

• Manpower issues: The number of people available to operate and maintain 

systems and procedures; 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 54

• Weather conditions (rain, snow, ice, wind, etc), 

• Fatigue, 

• Distractions, 

• Stress, 

• Equipment failures or use issues 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 55

Appendix 2 – Human Factors 

Human Factors (HF) is the area of study that seeks to maximize the relationship 

between people and systems in order to improve performance, safety, and reliability. 

Systems include equipment, procedures, or organizations or teams. Purposely 

integrating HF into SMS creates a bedrock foundation for successful and continuous 

safety improvement. HF integration into SMS involves the overlap and interaction of 

three factors: 

• People 

• Equipment 

• Organizations 

PEOPLE: By taking advantage of what we know about how people process 

information and interact with each other we can better design the systems that we use 

in the workplace. Different aspects of human information processing include: 

• Perception (seeing, hearing, etc) 

• Attention and mental workloads (fatigue can play a crucial role) 

• Memory (fatigue plays a role here too) 

• Problem-solving and decision-making 

• Communication: 

o Between individuals 

o Within and across groups 

• Social interaction factors (sharing info or reluctance to share info) 

For example, read the following sentence in Figure 5.1 and count the number of letter 

F’s seen: 

“FINISHED FILES ARE THE RESULT OF YEARS OF SCIENTIFIC STUDY 

COMBINED WITH THE EXPERIENCE OF YEARS.” 

Figure 1, Perceptual Example No. 1
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 56

Many hundreds of people who read this sentence for the first time miss several of the 

“F’s”. The F’s are all there, right in front of their eyes, but they just don’t see them. 

For those who have seen this sentence before, it’s harder to “trick” the brain, they 

usually spot all the F’s right away. There are several theories as to why this happens 

which involve how the brain processes visual (and other sensory) information. The 

simple fact of the matter is that sometimes you just can’t see what’s right in front of 

you. (There are six F’s in the above sentence.) 

The implication for HF within SMS is to ensure that people within the organization 

always try to view operations and procedures from another vantage point. After the 

fact, it is quite easy to see that a dangerous procedure or situation was allowed to 

exist, but oftentimes, beforehand, it was not that noticeable. The saying goes 

something like this, “You can’t see the forest, for the trees.” 

Sometimes perceptual processes cause us to “see” something 

that’s not there. Figure 5.2 provides a simple example of a 

perceptual process. When looking at the graphic depicted in 

Figure 5.2 a defined, very bright white triangle may appear to 

float above the page. Is there really a white triangle floating 

above the page? Of course not, but....it does seem to be 

there. 

As illustrated by these two perceptual examples.... 

“Sometimes we don’t see what’s there, and 

other times, we see something that isn’t

there!!!” 

Personnel need to be on the lookout for the “F’s we can’t see” and the issues we think 

are perfectly fine, but just an illusion. HF concepts that deal with how people process 

both sensory, attention, and interpersonal communication information can be subtle 

and hard to pinpoint, however, awareness and vigilance is key in identifying these 

factors that can contribute to safety degradation. 

Two other People issues in SMS must also be addressed. They include: 

• Manpower: The number of people available to operate and maintain 

systems and procedures 

• Personnel Quality: Aptitude, skill, experience, training, and other 

characteristics necessary to optimize safety and performance 

These “People” issues have significant affects on the SMS. Skilled, high quality 

personnel, trained properly, in the right numbers, are key to high system safety. 

 

Figure 2, What Do You See? 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 57

Equipment: The design of equipment or procedures on how to use equipment, may 

also have significant impact system safety. An equipment system may be as simple 

as a radio or as complex as an Air Traffic Control Tower. Awareness of the HF issues 

involved in the equipment used by an organization, especially new equipment, is 

critical in identifying issues that may be degrading safety before these issues actually 

result in a safety incident. 

For example, perhaps an older model vehicle used in operations has a history of 

popping out of gear when in “park”. New vehicles cannot be purchased until the next 

fiscal year. It is known that as long as the emergency brake is employed, the vehicle 

is safely parked. Awareness of this safety issue can influence daily briefings, safety 

updates, training, and preventive maintenance inspections by users and mechanics. A 

general “awareness” across department “systems” helps guarantee, employees will be 

vigilant when parking this vehicle or maintaining it. 

Organizations: Organizations are also systems. Different departments, divisions, 

offices, crews, and tenant organizations all work and interact together. Each develops 

and operates under many policies and procedures, some shared, and some individual 

for each particular group. 

HF plays a role when procedures from one group are unknown or unclear to the 

others, and can have detrimental affects on overall safe operations. The more 

procedures and policy knowledge is shared and understood across and within groups, 

the greater the awareness and vigilance for procedural factors that might have serious 

safety implications. 

In conclusion, SMS and Human Factors are inextricably linked. It is important to be 

vigilant in the detection of system “design” vulnerabilities, whether that system is a 

piece of equipment, a procedure, or crew or staff working together. Personnel must 

continuously monitor for system parameters at “critical mass”, i.e. fatigue, physical 

requirements, stressors, numbers and quality of personnel or equipment, and 

organizational issues (values, norms, climate, etc.). All of these factors can degrade 

safety climates slowly, but surely, if they are not identified and action taken in a timely 

manner. 

Employees at 

every level need 

to monitor and 

communicate 

safety issues 

and concerns. 

They must be on 

constant look 

out for: “The 

alignment of 

nature and circumstances 

that create pathways in which 

accidents may occur.” 

Figure 3, Swiss Cheese Multilayered Safety Model 

Adapted from James Reason, the Reason Model
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 58

If one considers a working environment as a piece of Swiss cheese and the holes in 

the cheese line up, we allow circumstances to domino into a safety incident. The 

objective then is to keep the holes of the Swiss cheese out of order. It is important not 

to allow easy pathways to develop, where one factor after another is allowed to exist 

and set up the environment for a safety incident. 
Appendix 3 – Performance Indicators 

Table 6.1 

Examples of Performance Indicators 

SMS Program Manual for ABIA 

No. Performance Indicator Specific Measures How to Measure 

1 Management’s Visible 

Participation in Safety 

• Employees’ perceptions of the effectiveness of 

safety visits to work centers by senior managers from employee surveys 

• Employees’ perceptions of management 

commitment to safety from employee surveys 

Employee Surveys SMS C

SMS C

2 Senior Manager Safety 

Visits 

• Number completed vs. number scheduled • Employees’ perception of their effectiveness Employee Surveys 

SMS CSMS C

3 Employees’ Understanding 

of SMS 

• Percent of correct answers on random follow-up 

survey 30 days following training and periodically thereafter 

Employee Surveys SMS C

4 Safety Committees • Effectiveness of safety committees (are they more 

than a coffee break) 

• Number completed vs. number scheduled 

Employee Surveys Meeting record(s)(e.g. sign-in sheet, meeting agenda) 

SMS C

5 Voluntary Safety Hazard 

Reporting

• Number of submissions • Number of issues acted upon/closed by initial 

suspense 

• Average time to close 

SMS C

SMS CSMS C

6 Voluntary Lessons 

Learned Reporting 

• Number of submissions SMS C

7 Safety Audits • Number completed vs. number scheduled SMS C
ABIA Safety Management System Program Manual 

Table 6.1 

Examples of Performance Indicators 

SMS Program Manual for ABIA 

No. Performance Indicator Specific Measures How to Measure 

8 Safety Surveys • Number completed vs. number scheduled SMS C9 Safety Survey/Audits 

Findings 

• Number closed by initial suspense • Average time to close 

SMS C

SMS C

10 SMS Training 

Number and/or percentage of personnel trained 

• Percent of correct answers on Random follow-up 

survey 30 days following training 

SMS C

SMS C

11 Ad Hoc Training (training 

resulting from SRM decision reports, etc.) 

• Percentage of required individuals trained within 30 

days of establishing requirement. 

• Percent of correct answers on random follow-up 

survey 30 days following training 

SMS C

SMS C

12 Weekly Employee Safety 

Meetings 

• Number conducted vs. number scheduled • Effectiveness of safety meetings from employee 

surveys (are they more than a coffee break) 

Meeting record(s)(e.g. sign-in sheet, meeting agenda) Employee Surveys 

Shift SSMS C

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 60
ABIA Safety Management System Program Manual 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 61

Table 6.1 

Examples of Performance Indicators 

SMS Program Manual for ABIA 

No. Performance Indicator Specific Measures How to Measure 

13 Corrective Actions • Number of Part 139 discrepancies open beyond 30 

days. (It is no longer considered to be “routine” if a discrepancy is open beyond 30 days.) 

• Percent of corrective actions that were closed on or 

before the target date. 

• Number of corrective actions that are still open 

beyond original target date. 

• Average number of days beyond original target date 

it took to close corrective actions. 

SMS C

SMS CSMS CSMS C

14 Lessons Learned • Number of Lessons Learned provided compared to 

the number disseminated. 

• Number of Lessons Learned implementing actions 

completed within original target date compared to total implemented actions. 

• Number of repeat incidents in Lessons Learned 

compared to the total number of incidents. 

• Number of repeat incidents in Lessons Learned 

compared to the total number of Lessons Learned distributed. 

• Total number of Lessons Learned generated by 

management compared to the total generated. 

SMS C

SMS CSMS CSMS CSMS C

Source: Jacobs Carter Burgess Team, October 2008 
Appendix 4 - The Twenty-One Elements of SMS 

The 21 Elements of a Safety Management System (SMS) are as follows: 

1. A written safety policy statement and description of how it is communicated to 

airport employees. 

2. Identification and description of the airport safety goals. 

3. A plan for employee SMS indoctrination and training. SMS indoctrination 

training should provide an outline of proposed curriculum and resources. 

4. Documented process to identify training requirements for systems safety. 

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

feedback, including useable metrics. 

6. A defined process to communicate safety policies and objectives throughout the 

organization. Include examples of how information will be communicated and 

any processes for follow-up. 

7. A plan and description of employee non-punitive reporting systems, existing 

and planned. 

8. An organizational chart identifying the names and safety responsibilities of all 

key personnel, such as the following: 

 

• Top Management 

• Safety Manager 

• Managers and Supervisors 

• Established Safety Committees and Chairpersons 

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

“The Five Phases of SRM (safety risk management),” as discussed in AC 

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

Operators. 

10. Guidance on the use of SRM and trend analysis. 

11. Defined process for documenting the results of SRM Decision Reports 

(SRMDR), including a description of how documents will be stored, i.e., 

electronic or paper. 

12. Description of how top management will follow up on SRMDR to ensure safety 

mitigation strategies are appropriate. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 63

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

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

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

SMS. (The FAA’s review of the plan will be limited to measures for preventing 

accidents or incidents involving aircraft.) The plan could include the following: 

• A description of current apron safety management practices, such as 

reporting requirements to the National Transportation Safety Board 

(NTSB), Flight Standards, or the Occupational Safety Health 

Administration (OSHA). 

• An explanation of how current apron safety management practices meet 

the intent of SMS. This could include the safety plans and practices of 

tenants and operators at the airport, which should complement the 

airport SMS. 

15. A detailed method to document self-auditing processes and their findings. Selfauditing may be part of the airport self-inspection process. If it is, explain how 

the self-inspection process addresses systems safety, i.e. if the self-inspection 

program identifies a hazard on the airport it should determine the risk and 

document the process for follow-up. 

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

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

operation of the airport. 

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

competency, and continuous improvement processes. 

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

reporting systems. 

20. Process to document and review lessons learned from within the organization. 

21. Schedule for implementation and anticipated associated costs. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 64

Appendix 5 – Safety Risk Management Decision Report (SRMDR)

1. Report Date: 9/11/2008 

2. Current System, Procedure, or Activity: 

3. Proposed Change: 

4. Project, Re-configuration, Operation, Equipment, Task or Activity: 

5. Hazard Identification (real or perceived): 

6. Risk Analysis: 

7. Trigger mechanisms: 

8. Existing controls: 

9. Human Factors: 

10. Risk Assessment: 

a. Severity: 

b. Likelihood: 

11. Mitigation and/or Treatment of Risks: 

12. Communications and Training Requirements: 

13. Monitoring and Tracking Responsibility: 

14. Safety Risk Management Decision Report Approval 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 65

ABIA SMS Coordinator Approval Date

Is Director Level Approval Required?      Yes / No

ABIA Director of Operations Approval Date

ABIA Director of Maintenance Approval Date
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 66

Appendix 6 - SRMDR Supplemental Hazard Analysis Worksheet 

(To be completed for each identified hazard)

Date: 

Hazard Tracking Number: Hazard Element Number:

Hazard Description: 

Cause of Hazard: 

System State: 

Possible Effect: 

Human Factors: 

Existing Controls or Requirements: 

Severity: 

Severity Rational: 

Likelihood: 

Likelihood Rational: 

Current/Initial Risk: 

Recommended Mitigation: 

Predicted Residual Risk: 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 67

Preliminary Hazard Analysis Worksheet Definitions 

Tracking Number - A unique number assigned each hazard for the purpose of 

referencing the hazard during the analysis. 

Description – A word depiction of the real or perceived hazard. 

Cause – A reason, condition, task, or activity that brings about a hazardous act or 

state. 

System State – The current configuration, policy, procedure, or process from within 

which the hazard exists. 

Potential Effect – The effect(s) the hazard would have on the system state if not 

mitigated 

Severity – The level or extent to which property damage, injury or loss of life is 

contributable to a hazard. (Catastrophic, Major, Minor, Minimal) 

Existing Control – System, process, procedure, or policy currently in place to counter 

the hazard. 

Likelihood – The frequency or regularity in which the hazard can occur. (Frequent, 

Probable, Remote, Improbable) 

Current Risk – Level of risk attributed to the hazard. (High, Moderately High, Medium, 

Low) 

Recommended Safety Mitigation – Additional procedures, actions, activities or 

processes imposed on the system state to lessen the likelihood and/or seriousness of 

the hazard. 

Residual Risk – A re-measuring of the risk level once recommended safety mitigations 

are implemented. 

Comments – Notes, implementation or timeline requirements or other pertinent 

information. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 68

Preliminary Hazard Analysis Worksheet 

ID Description Cause 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 69

Appendix 7 - Forms 

The following Forms are included in this SMS Manual; 

o SAFETY RISK MANAGEMENT SMS COORDINATOR DOCUMENTATION 

o SAFETY REPORTING FORM 

o LESSON LEARNED REPORTING FORM 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 70

SAFETY RISK MANAGEMENT SMS COORDINATOR DOCUMENTATION

Date Report Received: ______/______/______ 

Description of System – Procedure – Equipment – Personnel_______________ 

___________________________________________________________________ 

Hazard/Risk identified as reported______________________________________ 

___________________________________________________________________ 

Hazard/Risk Assessed/Analyzed_______________________________________ 

___________________________________________________________________ 

Level of Risk Assessed as:____________________________________________ 

Additional Risks associated with hazard? – Y/N___ List as separate documents 

By Manager(s) / Titles: _____________________, _________________________, 

Change(s) Required? – Y/N ____ If No, Manager Approval__________________ 

Change(s)/Action(s) Options___________________________________________ 

Mitigation Decision and Implementation Plan_____________________________ 

_____________________________________________________________________

_________________________________________________________________ 

Manager Approval ___________________Title/Management Level____________ 

Start Date Est.__________________ Completion Date Est.___________________ 

Entered in SRM Database?_____________ 

Communications - Y/N - SMS Coordinator Responsibility 

FAA________ COA________ ABIA Divisions _________ Stakeholders___________ 

ATO________ Staff_______ Event Reporter_______ Employees_____________ 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 71

SAFETY REPORTING FORM

This form should be used to report any hazard or safety concern that has caused or 

could cause an accident or incident. Send to the ABIA SMS Coordinator as soon as 

possible after the hazard has been recognized, identified, and/or observed. Obviously, 

if the hazard is an emergency or severe safety concern, contact Operations and/or 

Director of Operations and Maintenance office immediately and/or ABIA emergency 

numbers – Include List - 911 

EVENT DESCRIPTION

(To be completed by person reporting the event) 

DATE:___/____/____ TIME: ______________AM/PM 

LOCATION:___________________________________________________________

_____________________________________________________________________ 

DESCRIPTION: _______________________________________________________ 

_____________________________________________________________________ 

_____________________________________________________________________ 

_____________________________________________________________________ 

_____________________________________________________________________ 

WEATHER CONDITIONS:_______________________________________________ 

(SMS Coordinator: Tear here and discard securely before processing) 

Your Name_______________________ Division or Work____________________ 

Group __________________________ 

Contact number ________________ E-mail address_______________________ 

Confidentiality Statement

Providing your name can help the ABIA Safety process by allowing yourself to be 

contacted for additional details regarding the safety concern. Your name will be 

known ONLY to the SMS Coordinator under the policy agreed to by the ABIA 

Executive Director and will NOT be released without your permission. You may also 

submit this reporting form anonymously by filling out the top section of the form with 

only the details of the event. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 72

LESSON LEARNED REPORTING FORM

(Sample) 

A Lesson Learned is knowledge acquired from an innovation or an adverse experience 

that causes a worker or an organization to improve a process or activity to work safer, 

more efficiently or with higher quality. 

This form should be used by anyone desiring to report an innovation or adverse 

experience that others can learn from or to comment on a previously published Lesson 

Learned. 

LESSON LEARNED DESCRIPTION

(To be completed by person reporting the event) 

DATE:___/____/____ TIME OF EVENT: ______________AM/PM 

LOCATION:________________________________________________________________ 

WHAT HAPPENED or 

INNOVATION:_______________________________________________________________

___________________________________________________________________________

______________________________ 

WHAT WENT RIGHT or 

ADVANTAGES:______________________________________________________________

___________________________________________________________________________

______________________________ 

WHAT WAS LEARNED: 

___________________________________________________________________________

____________________________________________ 

RECOMMENDATION or 

COMMENTS:________________________________________________________________

_________________________________________________________________________ 

(use back of form if more space is needed) 

........................................................................................................................... 

(SMS Coordinator: Tear here and discard securely before processing) 

Your Name_______________________ Division or Work _______________________ 

Group ___________________________ 

Phone number ___________________ E-mail address _______________________ 

Confidentiality Statement

Providing your name can help by allowing you to be contacted for additional details regarding 

the Lesson Learned. Your name will be known ONLY to the SMS Coordinator under the policy 

agreed to by the ABIA Executive Director and will NOT be released without your permission. 

You may also submit this reporting form anonymously by filling out the top section only. 
ABIA Safety Management System Program Manual 

 

Jacobs Carter Burgess Safety Management System Team, October 2008 Page 73

 

 12.0 LIST OF FIGURES 

Figure 4.1 - Lines of Succession for Safety Management Systems (SMS) Page 12 

Figure 5.2 - The SRM Life Cycle Page16 

Figure 5.1 - Predictive Risk Matrix Page 17 

Figure 5.2 – Likelihood Levels Page 18 

Figure 5.3 – Severity Levels Page 18 

Figure 7.1, ABIA Data Management Page 25 

Figure 1, Perceptual Example No. 1 Page 55 

Figure 2, What Do You See? Page 56 

Figure 3, Swiss Cheese Multilayered Safety Model Page 57