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Section 5

Safety Management System

Flight Operations Manual

i. Revisions

Revisions will be noted by number, most current date in the footer, change bars or italics (as applicable) and by the list of affected pages listed below.

|Revision # |Revision Date |Affected Pages |Revised By |

|1.0 |03/22/2011 |New Template | |

|2.0 |07/12/2018 |All | |

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Contents

5.0 Safety Management System

5.1 Goals

5.2 Policy

5.3 Safety Board

5.4 Accident Prevention Program

5.5 Information Distribution

5.6 Inspection and Audits

5.7 Safety Education and Training

5.8 Analysis

5.9 Reports

5.10 Accident Investigation

5.11 Emergency Response Plan

5.1 Safety Management System (SMS) Goals

(company name) employs a systematic approach to manage safety risks and continually improve the level of safety. It is our intent that safety behavior is ingrained in our culture.

• All employees play a key role in this process by identifying hazards and mitigating risks as part of everyday activities. In a shared responsibility, each employee must act safely and report incidents and occurrences that reduce or have the potential to reduce the level of safety.

• Timely reporting of such information through the established non-punitive safety reporting programs is essential and encouraged. It is the responsibility of each flight operations employee to understand and help achieve the safety goals:

SMS Goals:

• Provide a safe and healthful working environment for all employees;

• Prevent aviation incidents and/or accidents;

• Ensure that sufficient skilled and trained resources are available to implement this safety policy and continually improve the safety performance;

• Minimize damage and severity of injury resulting from aviation mishaps;

• Incorporate safety aspects into flight and maintenance operations planning;

• Reduce operating costs and increase mission capability by protecting human and material assets;

• Identify and eliminate hazardous conditions; and,

• Protect and preserve the environment and its natural resources.

5.2 Safety Management System Policy

The SMS safety program establishes and maintains a program that identifies and manages any risks and hazards.

• All flights will use the Flight Risk Assessment Tool (FRAT) as part of each preflight plan.

o FRAT scores above 25 require management approval. See Section 3: Standard Operating Procedures.

• Responsibility for developing the safety program, evaluating results, and providing advice and guidance on implementation is assigned to the Safety Manager/Officer.

• Conduct internal as well as external safety audits and management reviews and ensure that relevant action is taken.

• The Safety Manager/Officer will publish the program and specify internal safety reporting, investigation, and inspection requirements.

• Responsibility for implementing the safety program rests with the Chief Pilot and Manager, Maintenance.

o Ultimate responsibility rests with the Chief Executive Officer of (company name).

• Accountability for accidents that occur will be assigned to the department responsible for damaged equipment or injured personnel.

5.3 Safety Board

The Safety Manager is responsible for developing, leading, and directing the Safety Management System. The Board is responsible to meet at least quarterly to review safety related hazards, incidents and open action items. The Safety Board includes the following members:

• Safety Manager

• The Chief Pilot

o Manager, Aviation Maintenance

The Safety Board’s primary purpose is to represent their respective disciplines and to serve as contact points in their respective work areas. Additionally, board members are responsible for:

1. Participating in incident/accident investigations;

2. Collecting, investigating and responding to Incident / Hazard Reports generated in their work area;

3. Routinely surveying their work areas to identify hazards;

4. Meeting quarterly to process open Incident / Hazard Reports;

5. Meeting as necessary to process any urgent or serious safety related issue; and,

6. Helping distribute safety related information to their work areas.

Note: Any board member may call a meeting by contacting the Safety Manager / Officer who will coordinate the meeting.

5.4 Accident Prevention Program

The Accident Prevention program is made up of five elements. They are: standardization, compliance, hazard identification, hazard reporting and hazard elimination.

• Standardization - The Chief Pilot, and the Manager, Aviation Maintenance are responsible for developing standards, policies, and practices within their departments.

• Compliance - Compliance with safety policy, procedures, and practices as spelled out in this manual, FAR’s and manufacturer’s manuals, is the responsibility of all aviation personnel.

• Hazard Identification System - The hazard identification system is both an informal and formal reporting system. Aviation department personnel are expected and encouraged to inform their manager of any hazard anytime.

o The preferred method for a hazard report is to use ’ s SMS Hazard Reporting Tool. This ensures the hazard is documented and that the appropriate manager is notified.

Confidentiality of Incident / Hazard Reports is assured by the Safety Manager/Officer and the (Chief Pilot’s manager).

It is the responsibility of the department manager, Aviation Safety Board and the Safety Manager/Officer to respond to all Incident / Hazard Reports.

5.4 Hazard Identification (cont.)

RISK ASSESSMENT GRID

| | |

|Severity Level |Likelihood Level |

Rating |Physical Injury |Damage to Environ-ment |Damage to Assets |Potential Increased cost or Revenue Loss |Damage to Corporate Reputation |

A

Unknown but possible in the aviation industry |

B

Known in the aviation industry |

C

Occurred in the Company |

D

Reported > 3X / YR within the Company |

E

Reported > 3X /YR at a particular location | |0 |No

Injury |No Effect |No Damage |No Increased cost or Lost Revenue |No Implication |  |  |  |  |  | |1 |Minor Injury |Minor Effect |Minor Damage

< US $50K |Minor Loss

< US $50K |Limited Localized Implication |  |Acceptable |  |  | |2 |Serious Injury |Contained Effect |Substantial Damage

< US 250K |Substantial Loss

US $1M |Massive Loss

> US $1M |Inter-national Implication |  |  |  |  |  | | | | | | | | | | | | | | The risk assessment to be carried out as per the following seven step process:

1. Development of a complete description of the system to be evaluated and of the environment in which the system to be operated;

2. Identification of hazards;

3. Estimation of the severity of the consequences of hazard occurring

4. Estimation of the likelihood of a hazard occurring;

5. Evaluating of risk;

6. Mitigating of risk; and

7. Development of safety assessment documentation.

• Hazard Elimination

Hazard Elimination is accomplished through the combined efforts of the Safety Board and flight department managers.

5.5 Information Distribution System

General safety information is distributed to all applicable aviation employee groups by the Safety Manager/Officer on an ongoing basis.

5.6 Inspections and Audits

Inspections regarding hazard elimination are the responsibility of the Aviation Safety Board as described herein. The inspection report is kept on file by the Safety Manager/Officer.

The Biannual Safety Audit is the responsibility of the Safety Manager/Officer. The audit report is for the (Chief Pilot’s manager). The audit is intended to inspect for conformance to this manual and generally accepted safety practices. The results of the audit are presented to the flight department managers.

Findings and recommendations, when applicable, will generate changes to this manual, policies and procedures. The Chief Pilot has the overall responsibility to respond to the audit findings.

5.7 Safety Education and Training

GENERAL

Flight department personal will receive training regarding the SMS program, the SMS Hazard Reporting Tool and Flight Risk Assessment Tool.

The Safety Manager/Officer will receive formal safety training from a recognized safety institution. The flight depart managers will receive, at minimum, safety orientation training from a recognized institution.

1. Flight Operations - Training

Training will be provided on a continuing basis on topics such as survival equipment, cabin evacuation, first aid, CPR / defibrillator and other medical aspects for aviators. These elements of training will be coordinated with the Chief Pilot.

2. Maintenance - Training

Specialized training will be provided on a continuing basis on topics such as hazardous materials handling, special equipment operation, OSHA requirements, first aid, and any other relevant topic. These elements of maintenance training will be coordinated by the Manager, Aviation Maintenance.

5.8 Analysis

The Safety Manager/Officer is responsible for recording and tracking incidents and accidents.

• The SMS Gap Analysis tool will be used when applicable.

The SMS incident / hazard reports are tracked and surveyed by the Safety Manager for trends.

Additional performance indices such as crew duty hours, flight hours, and duty days, aircraft material condition and aircraft safety equipment will be monitored by the Aviation Safety Board.

5.9 Reports

1. SMS INCIDENT / HAZARD REPORT:

The SMS incident / hazard report tool is to be used by employees to report any incident or hazard in their work area that could compromise safety.

2. ACCIDENT REPORT:

The Aviation Safety Board is responsible for completing the accident report after an investigation of an accident or incident. The report will follow the ICAO format as closely as possible and include history, analysis, findings and recommendations.

5.10 Accident Investigation

The Safety Manager/Officer and the Aviation Safety Board are responsible for all accident or incident investigations. Additionally, the Safety Manager/Officer is to serve as liaison between the company and accident investigation authorities.

The Aviation Safety Board is responsible for submitting the Accident/Incident Report after the completion of an accident or incident investigation.

The captain involved is responsible for notifying the FAA and the NTSB as applicable. If, for any reason, the captain cannot notify the NTSB and/or the FAA, the first officer is responsible. If neither pilot is able to notify them, then the Chief Pilot is responsible.

5.11 Emergency Response Plan

The Chief Pilot, Manager Aviation Maintenance and the Safety Manager/Officer are responsible for developing, communicating and drilling the flight department emergency response plan.

Key elements of the plan are:

• Emergency contact list

• Notification guide

• Command center setup

• Roles and responsibilities

* See Sections 7 & 8 for the Emergency Response Plan

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July 12, 2018

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