National Academies Press: OpenBook
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. A Guidebook for Safety Risk Management for Airports. Washington, DC: The National Academies Press. doi: 10.17226/22138.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. A Guidebook for Safety Risk Management for Airports. Washington, DC: The National Academies Press. doi: 10.17226/22138.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. A Guidebook for Safety Risk Management for Airports. Washington, DC: The National Academies Press. doi: 10.17226/22138.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. A Guidebook for Safety Risk Management for Airports. Washington, DC: The National Academies Press. doi: 10.17226/22138.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. A Guidebook for Safety Risk Management for Airports. Washington, DC: The National Academies Press. doi: 10.17226/22138.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. A Guidebook for Safety Risk Management for Airports. Washington, DC: The National Academies Press. doi: 10.17226/22138.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. A Guidebook for Safety Risk Management for Airports. Washington, DC: The National Academies Press. doi: 10.17226/22138.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2015. A Guidebook for Safety Risk Management for Airports. Washington, DC: The National Academies Press. doi: 10.17226/22138.
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A I R P O R T C O O P E R A T I V E R E S E A R C H P R O G R A M ACRP REPORT 131 TRANSPORTAT ION RESEARCH BOARD WASHINGTON, D.C. 2015 www.TRB.org Research sponsored by the Federal Aviation Administration Subscriber Categories Aviation • Safety and Human Factors A Guidebook for Safety Risk Management for Airports Kenneth Neubauer Futron AviAtion CorporAtion Norfolk, VA Dave Fleet Futron AviAtion CorporAtion Norfolk, VA Manuel Ayres, Jr. Airport SAFety MAnAgeMent ConSultAntS llC Ann Arbor, MI

AIRPORT COOPERATIVE RESEARCH PROGRAM Airports are vital national resources. They serve a key role in trans­ portation of people and goods and in regional, national, and inter­ national commerce. They are where the nation’s aviation system connects with other modes of transportation and where federal respon­ sibility for managing and regulating air traffic operations intersects with the role of state and local governments that own and operate most airports. Research is necessary to solve common operating problems, to adapt appropriate new technologies from other industries, and to introduce innovations into the airport industry. The Airport Coopera­ tive Research Program (ACRP) serves as one of the principal means by which the airport industry can develop innovative near­term solutions to meet demands placed on it. The need for ACRP was identified in TRB Special Report 272: Airport Research Needs: Cooperative Solutions in 2003, based on a study spon­ sored by the Federal Aviation Administration (FAA). The ACRP carries out applied research on problems that are shared by airport operating agencies and are not being adequately addressed by existing federal research programs. It is modeled after the successful National Coopera­ tive Highway Research Program and Transit Cooperative Research Pro­ gram. The ACRP undertakes research and other technical activities in a variety of airport subject areas, including design, construction, mainte­ nance, operations, safety, security, policy, planning, human resources, and administration. The ACRP provides a forum where airport opera­ tors can cooperatively address common operational problems. The ACRP was authorized in December 2003 as part of the Vision 100­Century of Aviation Reauthorization Act. The primary participants in the ACRP are (1) an independent governing board, the ACRP Oversight Committee (AOC), appointed by the Secretary of the U.S. Department of Transportation with representation from airport operating agencies, other stakeholders, and relevant industry organizations such as the Airports Council International­North America (ACI­NA), the American Associa­ tion of Airport Executives (AAAE), the National Association of State Aviation Officials (NASAO), Airlines for America (A4A), and the Airport Consultants Council (ACC) as vital links to the airport community; (2) the TRB as program manager and secretariat for the governing board; and (3) the FAA as program sponsor. In October 2005, the FAA executed a contract with the National Academies formally initiating the program. The ACRP benefits from the cooperation and participation of airport professionals, air carriers, shippers, state and local government officials, equipment and service suppliers, other airport users, and research orga­ nizations. Each of these participants has different interests and respon­ sibilities, and each is an integral part of this cooperative research effort. Research problem statements for the ACRP are solicited periodically but may be submitted to the TRB by anyone at any time. It is the responsibility of the AOC to formulate the research program by iden­ tifying the highest priority projects and defining funding levels and expected products. Once selected, each ACRP project is assigned to an expert panel, appointed by the TRB. Panels include experienced practitioners and research specialists; heavy emphasis is placed on including airport pro­ fessionals, the intended users of the research products. The panels pre­ pare project statements (requests for proposals), select contractors, and provide technical guidance and counsel throughout the life of the project. The process for developing research problem statements and selecting research agencies has been used by TRB in managing cooper­ ative research programs since 1962. As in other TRB activities, ACRP project panels serve voluntarily without compensation. Primary emphasis is placed on disseminating ACRP results to the intended end­users of the research: airport operating agencies, service providers, and suppliers. The ACRP produces a series of research reports for use by airport operators, local agencies, the FAA, and other interested parties, and industry associations may arrange for work­ shops, training aids, field visits, and other activities to ensure that results are implemented by airport­industry practitioners. ACRP REPORT 131 Project 04­16 ISSN 1935­9802 ISBN 978­0­309­30865­6 Library of Congress Control Number 2015938387 © 2015 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not­for­profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB or FAA endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not­for­profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The project that is the subject of this report was a part of the Airport Cooperative Research Program, conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. The members of the technical panel selected to monitor this project and to review this report were chosen for their special competencies and with regard for appropriate balance. The report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the Governing Board of the National Research Council. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board, the National Research Council, or the program sponsors. The Transportation Research Board of the National Academies, the National Research Council, and the sponsors of the Airport Cooperative Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of the report. Published reports of the AIRPORT COOPERATIVE RESEARCH PROGRAM are available from: Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at http://www.national­academies.org/trb/bookstore Printed in the United States of America

The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. C. D. Mote, Jr., is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Victor J. Dzau is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. C. D. Mote, Jr., are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transporta- tion Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board’s varied activities annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individu- als interested in the development of transportation. www.TRB.org www.national-academies.org

C O O P E R A T I V E R E S E A R C H P R O G R A M S CRP STAFF FOR ACRP REPORT 131 Christopher W. Jenks, Director, Cooperative Research Programs Michael R. Salamone, ACRP Manager Marci A. Greenberger, Senior Program Officer Joseph J. Snell, Program Associate Eileen P. Delaney, Director of Publications Hilary Freer, Senior Editor ACRP PROJECT 04-16 PANEL Field of Safety Connie M. Proctor, Salt Lake City International Airport, West Jordan, UT (Chair) Kent V. Hollinger, MITRE Corporation, McLean, VA Bruce MacLachlan, Lewiston Airport, ID Dawn Mehler, DHL Express (USA), Inc, Plantation, FL Jose R. Ruiz, Southern Illinois University–Carbondale, Murphysboro, IL Thomas M. “Tom” Williams, Meridian Regional Airport, Meridian, MS Matthew J. Griffin, Airports Consultants Council Liaison Bernardo Kleiner, TRB Liaison

F O R E W O R D By Marci A. Greenberger Staff Officer Transportation Research Board ACRP Report 131: A Guidebook for Safety Risk Management for Airports provides guidance on conducting the safety risk management (SRM) process, one of the four components of a Safety Management System (SMS). The guidebook is organized to allow readers who are new to SMS and its components to understand where the SRM process falls within an over­ all SMS; those familiar with the SMS concepts and ready to specifically learn more about the SRM process can go directly to the relevant material. The guidebook provides information on conducting safety risk assessments (SRA) and tailors this information so that it can be scaled for smaller airports with fewer resources. Tools and templates are provided as appendices and typical accident and incident rates are provided to help airport operators understand some potential airport risks. Although a final regulation has not been issued by the FAA to airport operators on estab­ lishing an SMS, the industry has been preparing for this eventuality. There have been airport pilot studies and those lessons learned have been published. It is also believed that many airports currently conduct safety risk assessments; however, the formality expected to be required will be new to airports. Futron Aviation, as part of ACRP Project 04­16, devel­ oped this guidebook to assist airports of all sizes in navigating the safety risk management process. Airport directors, safety managers, and operations, maintenance, and public safety employees will benefit from understanding the SRM process and its application to the daily operation of the airport and unique events, including construction.

P A R T I Using the Guidebook 3 Chapter 1 Glossary 3 1.1 Acronyms 4 1.2 Definitions 8 1.3 Key Terms and Standardization 11 Chapter 2 Introduction 11 2.1 Background 12 2.2 Guidebook Audience 13 Chapter 3 Using the Guidebook 13 3.1 Guidebook Organization 14 3.2 Key Concepts 16 Chapter 4 Small Airports P A R T I I Safety Risk Management Concepts 19 Chapter 5 The Big Picture—SRM and SMS 22 Chapter 6 Risk and Risk Management 22 6.1 Hazards 23 6.2 Risk 25 6.3 Risk Management 27 6.4 Risk Classification 27 6.5 SRM and SMS Component Interaction 30 Chapter 7 SRM Phases 30 7.1 Planning Phase 31 7.2 Preparation Phase 32 7.3 Execution Phase 34 Chapter 8 SRM at Small Airports P A R T I I I The SRM Process and Application 37 Chapter 9 SRM 5-Step Process 37 9.1 Step 1—Describe the System 39 9.2 Step 2—Identify Hazards 41 9.3 Step 3—Analyze the Risks 43 9.4 Step 4—Assess the Risks 47 9.5 Step 5—Mitigate the Risks C O N T E N T S

50 Chapter 10 Applying the SRM Process 52 Chapter 11 SRM Applied to Small Airports 52 11.1 Conducting Effective SRM with Limited Resources 52 11.2 Overcoming Challenges 53 11.3 Making It Simple 53 11.4 Using Simple Tools for Risks and Controls P A R T I V SRM in Daily Operations 57 Chapter 12 SRM in Daily Operations 57 12.1 SRM as a Component of Operational Effectiveness 58 12.2 SRM in Operational Settings 61 Chapter 13 Time-Critical SRM—ABCD Model 64 Chapter 14 Implementing Mitigation Actions 64 14.1 Working with Likelihoods and Outcomes for Risk Mitigation 68 14.2 General Considerations 70 14.3 Making Decisions About Risk Mitigations 71 14.4 Ensuring Risk Mitigations Are in Place 72 14.5 Monitoring Mitigation Actions and Risk 73 14.6 Mitigation Actions 74 Chapter 15 Daily SRM for Small Airports P A R T V Safety Risk Assessment (SRA) 81 Chapter 16 Introduction to SRA 82 16.1 Benefits of an SRA 82 16.2 Responsibility to Conduct an SRA 83 16.3 When Is an SRA Needed? 86 16.4 Categories of SRA Triggers 90 16.5 Support Material 92 Chapter 17 Conducting an SRA 92 17.1 Before—SRA Preparation and Planning 96 17.2 Conducting an SRA 99 17.3 After—SRA Documentation 103 Chapter 18 Facilitating an SRA 103 18.1 Preparing to Facilitate an SRA 106 18.2 Facilitating the SRA 109 18.3 Recording/Documenting the Proceedings 110 Chapter 19 SRA for Small Airports 110 19.1 SRA Planning 110 19.2 Conducting the SRA 110 19.3 Documenting the SRA 111 Appendix A SRM and the FAA 117 Appendix B SRM Handbook

123 Appendix C SRM Process Tools 132 Appendix D SRM Templates 179 Appendix E Preliminary Hazard Lists (PHLs) 197 Appendix F Typical Accident and Incident Rates 199 Appendix G Typical KPIs and Associated Data 201 Appendix H Basic Probability and Statistics for SRM Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at www.trb.org) retains the color versions.

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TRB’s Airport Cooperative Research Program (ACRP) Report 131: A Guidebook for Safety Risk Management for Airports provides tools, examples, and guidance to help airports manage safety risks using the safety risk management (SRM) process. The guidebook includes scalable features of the SRM processes so that it may be useful to smaller airports with limited resources.

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