Airport Safety Risk Management Panel Activities and Outcomes (2016)

Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

56 This study has reviewed current practices used by Part 139 airports to conduct safety assessments with the support of safety risk management (SRM) panels. The objective was to identify gaps and information that can be used to fill those gaps, and to share experiences with safety assessments (SAs) and safety risk assessments (SRAs). To support the information provided in this report, a literature review and survey of foreign airports, military practices and other industries was performed to identify most effective practices and tools that could be used or adapted for use by Part 139 airports. SURVEY FINDINGS Responses from a survey submitted to Part 139 airports, foreign airports, military bases, and safety management system (SMS) consultants that participated in the FAA SMS Implementation Study led to some important conclusions and key gaps that can lead to further research studies. The survey’s most important conclusions include: • The majority of airports surveyed find airport-led SRAs beneficial to undertaking airfield proj- ects and change procedures. Airports with the most mature SMS use SRAs in a routine basis. Airports that use or have used the SRA techniques find them helpful to systematically identify and treat hazards, thus fulfilling a capability that was not available to airports. • Some foreign airports surveyed that have implemented SMS for more than 10 years have reported significant savings through avoiding accidents and reducing insurance costs. • The most common triggers for SRAs are airfield changes and CIPs that include formulation, design, and construction or renovation of airfield infrastructure. • Typical participants of SRM panels include airport staff (operations, engineering, maintenance, ARFF, SMS, public safety), FAA [ARP (Office of Airports) and ATO (Air Traffic Organiza- tion)], airlines and consultants, ranging from a few panel members for smaller airports to more than 30 participants for larger airports and more complex safety issues. • Typical duration of SRAs range from 2 to 4 hours of brainstorming; however some airports reported SRAs taking less than 2 hours or several days, particularly when larger panels are divided into smaller groups. Airports with mature SMS programs and military organizations indicated that they make extensive use of preliminary risk assessments, and pre-meeting infor- mation is circulated among panel members to avoid long brainstorming meetings. • Airports typically hire consultants to facilitate airport-led SRAs until they gain enough experi- ence to have their own staff do this work. For FAA-led SAs, the FAA either assigned a local facilitator or requested a third-party consultant. • Airports believe that monitoring and control of risk control actions defined in SRAs can be improved. SRAs do not end with documentation and approval; it is necessary to ensure imple- mentation and monitor risk controls for effectiveness. • Typical tools used in SRAs include worksheet templates, risk matrix, panel briefings, projectors, whiteboards, and quick reference guides. Examples of these tools are presented in the appendi- ces of this report. • Some airports reported difficulties in ensuring implementation of risk control actions by non- airport stakeholders, particularly when the action could impact a stakeholder’s operations. In a few cases at foreign airports, risk control actions were not approved because of the action’s high cost. chapter eight CONCLUSIONS

57 • Airports with more mature SMS have been using SRAs to evaluate safety issues on the air- side as well as on the landside, and have found SRAs to be a routine and beneficial decision- making tool. • Many of the Part 139 airports surveyed reported that they would benefit from additional SRA tools, including panel training programs and materials, as well as additional regulatory and expert guidance from those with experience in the SRA process. MAIN GAPS IDENTIFIED Survey responses identified a few gaps that raise questions by airport staff. Filling these gaps can assist Part 139 airports in conducting SRAs that are more effective and are completed faster and at a lower cost. One major surprise was to find out that some airports perceive SRAs as the basic methodology to operate the SRM component of their SMS, and this confusion is making airport staff more resistant to adopting SMS principles. There is still little experience with SRAs outside the small group of airports that participated in the FAA SMS Implementation Study. The resistance to application of safety assessments by Part 139 airports often involves: • The challenges of scheduling an SRA, • The time and workload that it takes to complete the SRA process, and • The feeling that the techniques that have been used are complex and may not be the most effec- tive approach. Most airport staff working with SMS would like to obtain additional directions, particularly prac- tical guidance, tools and templates that would allow them to conduct the SRAs with less workload, and assurance that risk control actions defined during the process will be implemented. Another main concern is the lack of guidance or training programs available to prepare airport staff to use the SRM process and to facilitate SRAs. Some of the key concerns are: • Lack of training, particularly facilitation, and experience, • Little guidance focused on safety issues experienced by airports, • Lack of experience with the entire SRM process, and • Challenges to ensure that risk mitigation actions will be in place. TOOLS AND TEMPLATES A number of tools and templates listed in Table 22 are presented in the appendices to this report and can be used by Part 139 airports. Some of the information available was reproduced from refer- ences listed in this report, and adapted or created based on information obtained in the surveys and interviews. FUTURE RESEARCH Taking into consideration the findings and gaps identified in this report, suggestions for further research to fill those gaps are presented. Development of Guidance to Use the Bow-Tie Models with Airport Examples As pointed out earlier, the bow-tie model for risk assessment is becoming more common in the airport industry, particularly at foreign airports with a mature SMS. This risk assessment approach allows effective integration with the safety assurance component of SMS, and the bow-tie diagram provides a helpful visual depiction of risk illustrating the links, assigned risk control responsibilities of stake- holders, and the identification of critical proactive and reactive risk controls with an assessment of their effectiveness. Practical guidance applied to airport safety issues on the use of bow-tie models for airport SRM and SRAs can be helpful for Part 139 airports, particularly when airport staff becomes more familiar with SMS and its processes.

58 Development of Bow-Tie Templates Applied to Airport Safety Issues In addition to guidance using the bow-tie model, development of airport-specific bow-tie templates and electronic tools for common airport hazards (e.g., FOD, bird strikes, runway excursions and undershoots, runway incursions) can help many Part 139 airports achieve increased awareness and understanding of the safety risk leading to these most common airport risks. Guidance for Other Risk Assessment Methodologies As shown in Table 8, a number of techniques for hazard identification and risk analysis have been applied to safety issues associated with airports. Many of the methodologies are seldom used because there is little guidance and few examples of real airport safety issues. Future research addressing the use of those methodologies specifically applied to airport safety issues would be helpful to the industry. Training Programs on SRAs The survey found that one major gap in the industry is the lack of training programs specifically addressing SRAs and including all phases of the risk assessment process using SRM panels, includ- ing planning, facilitation, reporting, and developing risk mitigation action plans. A few airports reported participation of staff in SRA sessions conducted by other airports. Host- ing airports offer an opportunity for other airports to gain practical experience in the SRA process. Tool/Template Description Sample Checklist for Inspection of Risk Control Actions (Appendix C) Sample checklist that airports can use to ensure that risk control actions are in place when and where required. Quick Reference Guide for Safety Assessments (Appendix D) Handout template that can be distributed to SRM panelists for participation in the brainstorming session. Checklist for Airfield Construction (Appendix E) This checklist can be used during SRA sessions to assess risks related to airfield formulation, design, and construction, which represent the majority of airport safety issues requiring an SRA. Template for SRA Planning (Appendix F) This template can be used as a guide to plan the entire SRA process, and includes the phases explained in chapter four. Briefing Template for Safety Assessments (Appendix G) Template of PowerPoint presentation to present to SRM panels when initiating an SRA. Sample Checklist for SRA (Appendix H) Template with list of equipment, tools, and participants for SRA sessions. Sample Worksheets for Safety Assessments (Appendix I) Typical template used by the FAA and ICAO for SRAs, including template to use the bow-tie model. SRA Report Example—Comprehensive (Appendix J) Example of SRA Report for an airfield construction project. SRA Report Template (Appendix K) SRA Report template used by Hartsfield–Jackson Atlanta International Airport. Simple SRA Report (Appendix L) Simplified one-page worksheet template for reporting SRAs. Common SRA Triggers (Appendix M) Table reproduced from ACRP Report 131: A Guidebook for Safety Risk Management for Airports (2015). Risk Register (Appendix N) Explains what a risk register is and describes the basic information that should be included. Safety Risk Management Worksheet—Action Plan (Appendix O) Template used by ATL to develop action plans to mitigate risks. TABLE 22 SRA TOOLS AND TEMPLATES

59 Another training opportunity is participation in the SMS Online Group meetings held on a regular basis and managed by Scott Ayers (ATL) and Joanne Landry (Landry Consultants). Some of the industry associations might show interest in developing SMS and SRM training programs if SMS becomes a Part 139 requirement. ACI-NA, AAAE, and ACC may desire an active role in developing and presenting training modules for airport SMS. Guidance and Tools to Create a Risk Register for Airports The survey identified the need to improve how risk mitigation actions are tracked for implementa- tion and monitored for performance. Alternatives have been suggested in this report; however, it is necessary to provide comprehensive information on how Part 139 airports can implement some of these alternatives and, in particular, create a risk register to manage risks identified from the airport’s risk assessments. In addition, risk register tools based on electronic spreadsheets could be helpful in tracking risk control actions defined in SRAs, particularly for smaller airports where a more complex and faster database solution is not necessary. Guidance for Development of Risk Mitigation Plans An implementation plan that describes the actions, responsibilities, and timing of those actions can also help airports track completion of risk controls derived from SRAs. Additional and more com- prehensive guidance specific to airports can help Part 139 airports fill one of the important gaps identified during the survey. Guidance for Facilitation of SRAs and Participation in SRM Panels This report summarizes the brainstorming facilitation techniques used in the industry and identifies some desirable characteristics for members of SRM panels. A guidebook addressing participation and facilitation of SRM panels could be helpful to the airport industry in the United States as it moves on with upcoming SMS rulemaking for Part 139 airports.