Airport Safety Risk Management Panel Activities and Outcomes (2016)

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99 APPENDIX J SRA Report Example The SRA Report presented in this appendix is associated with a fictitious airport and was developed by ASM Consultants as an example for this ACRP Synthesis only.

100 01/09/2016 Safety Risk Assessment Report 01/2016 SWR Airport Prepared by Airport Safety Management Consultants www.asmcons.com

101 QUALITY ASSURANCE AND VERSION TRACKING Authorization Title SWR Safety Risk Assessment – Rehabilitation of Apron Pavement Areas Report number 01/2016 Version 1.0 Prepared by M. Ayres QA by A. Parra Approved by SWR SMS Manager Version tracking Version Action By Date 0.1 Development Ayres 1 Jan 2016 0.2 Review Parra 8 Jan 2016 1.0 Final review SWR SMS Manager 9 Jan 2016

102 TAbLE Of CONTENTS Executive Summary ................................................................................................................................... 1 1. Introduction ........................................................................................................................................... 2 a. Background ...................................................................................................................................... 2 b. SRM Panel and SRA Approval ........................................................................................................ 3 c. Objective .......................................................................................................................................... 4 d. Project Scope and Phases ................................................................................................................. 4 2. Safety Risk Management Process ......................................................................................................... 4 a. Step 1 - Describe the system ............................................................................................................ 5 b. Step 2 - Identify hazards .................................................................................................................. 5 c. Step 3 - Determine risk ..................................................................................................................... 5 d. Step 4 - Assess and analyze the risk ................................................................................................. 5 e. Step 5 - Treat and monitor risk ......................................................................................................... 6 3. Description of the System ..................................................................................................................... 8 a. Mission ............................................................................................................................................. 8 b. Man .................................................................................................................................................. 8 c. Machine ............................................................................................................................................ 8 d. Media ............................................................................................................................................... 8 e. Management ..................................................................................................................................... 9 4. Hazards, Risks and Risk Control .......................................................................................................... 9

103 EXECUTIVE SUMMARY The apron of SWR Airport will be partially closed for the rehabilitation of a deteriorated area on the east side while the airport and the remaining of the apron stay open to regular flights and apron activities. A Contractor is being hired and SWR management decided to conduct an internal Safety Risk Assess- ment (SRA) to identify hazards and risks, and to define risk mitigation actions to ensure construction activities are safe to aircraft operations. Two consultants were hired to facilitate the SRA and a Safety Risk Management (SRM) Panel of SWR stakeholders was appointed to support the SRA exercise. The SRM process followed the five steps recom- mended by the FAA in the Draft AC 150/5200-37–Introduction to Safety Management Systems (SMS) for Airport Operators. Eleven hazards were identified and associated with risks generated by the construction activities. Seven of the risks were classified in the Low level according to SWR Risk Matrix and three of those risks were classified as Medium level, requiring additional mitigation actions to be implemented. No High level risks were identified by the SRM Panel. This report summarizes the SRM process used and the findings. A plan to implement the risk mitiga- tion actions and to ensure those actions will be in place and are effective during the construction period is presented in tabular format. 1. INTRODUCTION This Safety Risk Assessment (SRA) Report describes the process and the results of a safety assessment conducted internally by SWR Airport in January of 2015. The SRA was supported by a Safety Risk Management (SRM) Panel of SWR stakeholders, including SWR operations, engineering, maintenance, ARFF, and one airline and a ground handling organization. The SRA was facilitated by Mr. Bob Smith, a consultant hired by SWR. a. background The apron at SWR Airport has deteriorated in the east section as a result of aircraft loads over the past 25 years. The concrete pavement has structural cracks and rain water has degraded the subbase and the bearing capacity of the pavement. The pavement will be rehabilitated and SWR Airport has made a decision to conduct a Safety Risk Assessment supported by a SRM Panel of SWR stakehold- ers to evaluate risks and take proactive actions to ensure the construction activities will be safe to aircraft operations. SWR Airport has only one apron and it is necessary to execute the rehabilitation of the pavement with- out closing the airport for operations. Construction will take place in the deteriorated area during daylight hours and can affect activities and operations in the apron. Many of the risks identified during this assessment are attributed to the presence of construction staff unfamiliar with airport operations on the aircraft operations area; the performance of routine aircraft operations in the presence of unfamiliar structures; the changes in the environment (lay out, congestion, etc.); and those introduced as a result of construction activities (e.g., generation of FOD, excavations, presence of construction equipment, haul routes, etc.). According to the risk matrix used by SWR Airport (SWR Airport SMS Manual 2016), the risks iden- tified were classified in 3 categories: High, Medium and Low. Those classified as High are considered unacceptable and action should be taken immediately to reduce the risk value. During the workshops, risks in all categories were identified. However a combination of programs, policies and procedures already in place at SWR supplemented by mitigating actions implemented to manage the pavement rehabilitation project has reduced all identified risks to acceptable levels. Some of the key mitigating actions associated with this project are under the responsibility of the Contractor and should be part of the Construction Safety and Phasing Plan (CSPP). Many of these actions are related to the temporary physical protections to be deployed in and around the construction area such as barriers, fencing and markings, the control of FOD and control of access of construction personnel in the apron area.

104 A few new initiatives were suggested during the workshops that SWR may want to consider. Their implementation may help to further reduce risk. Lastly, it is recommended that once all these measures are implemented, they be monitored. Monitoring will ensure that the selected measures are effective and will allow for adjustments should any be necessary. b. SRM Panel and SRA Approval Name Organizaon Posion Date Approval J. Smith NWR Airfield Ops Manager 01/09/2016 K. Maker NWR Engineering Project Manager 01/08/2016 L. Benign NWR Airfield Ops Safety Manager 01/09/2016 M. Jobs NWR Airfield Ops Supervisor 01/08/2016 N. Save NWR ARFF Supervisor 01/08/2016 O. Wings ABC Airline Safety Manager 01/09/2016 P. Grounds XYZ Handling Supervisor 01/09/2016 M. Ayres Consultant Facilitator 01/09/2016 A. Parra Consultant Note Taker 01/09/2016 c. Objective The objective of this SRA was aimed at identifying the potential hazards introduced by the construction activities to rehabilitate the east area of SWR apron. Moreover this SRA assessed the risks associated with the hazards, classified the risks according to the risk matrix presented in SWR SMS Manual, established risk mitigation actions and responsibilities to implement and monitor these actions. d. Project Scope and Phases The project will be executed in one phase and the entire east area of the apron will be closed for aircraft opera- tions because of the construction activities. Project tasks will include demolition of existing slabs, excavations to remove deteriorated subbase material, replacement of subbase, casting of new concrete slabs. The project will be completed two months after the start, and the area will be reopened to operations one month after the work has been completed to allow for curing of the concrete. The total duration of the project is three months. 2. SAfETY RISK MANAGEMENT PROCESS The risk assessment process conducted for this SRA was that recommended by the FAA AC 150/5200-37 and incorporated to SWR SMS Manual. The process consists of five steps, as follows: a. Step 1 - Describe the system The first step in performing SRM is to describe the system under consideration. The system description includes the functions, general physical characteristics and resources, and operations of the system. b. Step 2 - Identify hazards Hazard identification is the act of identifying any condition with the potential of causing injury to personnel, damage to equipment or structures, loss of material, or reduction of the ability to perform a prescribed function. c. Step 3 - Determine risk This step is to identify the type of risk associated with each hazard listed in the previous phase. One hazard may have one or more risks associated with it.

105 d. Step 4 - Assess and analyze the risk Risk assessment is the process which associates “hazards” with “risks.” The process involves both esti- mating and classifying risks. The simplest way to estimate the risk associated with a specific hazard is to ask the following two questions: – What possible harm could the hazard present (the potential outcome)? – How likely is it that harm could occur (the likelihood)? After estimating the potential outcome and the likelihood, this information is used to classify risk according to SWR risk matrix presented in Figure 1. Risk classification is necessary to identify how serious is the risk and to define the priorities to treat these risks. e. Step 5 - Treat and monitor risk Risk treatment alternatives should address the risk probability, the risk severity, or both. More detailed information on these steps is presented in ensuing sections of this report. 3. DESCRIPTION Of ThE SYSTEM For this SRA the 5M Model is used to describe the system and set the bounds of the risk assessment exercise. a. Mission The scope of the project is to rehabilitate the deteriorated pavement in the east area of the apron and ensure that the rehabilitated pavement area complies with standards and is safe to aircraft operations. b. Man The human resources involve the construction workers and airport personnel appointed to manage and coordinate the project execution, ensure that construction work complies with design specifications and that risk mitigation actions are in-place and are effective. Figure 1 SWr risk Matrix.

106 c. Machine This component involves construction equipment and construction materials needed to perform the works. Most of the cement treated subbase and concrete to cast the slabs will be mixed in the contractor plant located 5 miles from the airport. d. Media The construction area is shown in Figure 2. It is defined by the paved area of 56m (width) by 100m (length) in the east most portion of SWR apron. A temporary gate for control of access and a haul route will be used by construction personnel and equipment to access the construction area. Equipment staging area and contractor offices will be outside the airport fence, as shown in Figure 2. During the construction and curing of concrete, Taxiway A will be closed and access to the apron. e. Management A Contractor was hired by SWR to rehabilitate the paved east area of the apron. An independent consultant was also hired to perform quality assurance of construction works. The project will be managed by SWR Engineering and SWR Airfield Operations will monitor safety issues and risk mitigation actions impacting operations. Frequent special inspections will be performed by Airfield Operations to ensure the Construc- tion Safety and Phasing Plan (CSPP) is followed and that safety issues are resolved in a timely manner. 4. hAzARDS, RISKS AND RISK CONTROL Table 1 presents a summary of the Hazards, Risks, Potential Outcomes, Likelihood and Risk Levels identified by the SRM Panel during the brainstorming session. Risk Levels are given as High (H) in red; Medium (M) in yellow; and Low (L) in green. These risk levels are associated with the risk matrix described in SWR SMS Manual. No high level risks were identified by the SRM Panel. Table 2 is a continuation of Table 1 and presents additional risk mitigation actions with the associated residual risks. Table 2 also presents the responsibilities for implementation of actions defined by the SRM Panel and describes how the actions will be implemented and monitored for safety assurance. • The SWR Project Manager will ensure that risk mitigation actions under the responsibility of the Contractor and described in this section will be included in the Contractor CSPP. • Hazards and risks identified in the SRA will be recorded in SWR Risk Register and will be moni- tored by the SWR SMS Manager. Figure 2 SWr Airport–Characterization of Construction Area.

Hazard # Hazard Description Causes System State Potential Outcome Existing Controls Severity Likelihood Initial Risk SWR-1 Ingestion or Displacement of Foreign Object Debris Demolition of concrete slabs and construction traffic Construction activities near active operational area Damage to aircraft by engine ingestion during taxiing or injury to ground personnel by jet blast Daily inspection by airfield officers FOD management plan in CSPP Monitoring of FOD by construction supervisors Major Probable M SWR-2 Inoperative NAVAIDs Demolition of concrete slabs and excavations to remove deteriorated subbase causing power and water outage or leaks in underground pipelines Active runway under instrument or night conditions during construction Loss of navigational references by pilots during instrument approach leading to runway excursions and severe damage to aircraft Locate utilities before excavations Hazardous Extremely Remote M SWR-3 Loss of Situational Awareness by Pilots Change in apron geometry owing to closed construction areas Closure of Taxiway A and part of the apron closed to aircraft operations Aircraft entering closed areas resulting in damage to aircraft NOTAMs Barricades and other signs Major Extremely Remote L SWR-4 Loss of Situational Awareness by Construction Workers Workers unaware of boundaries to operational areas and unfamiliar with airport activities Presence of workers and construction equipment near active operational areas Damage to aircraft and/or construction equipment; serious injuries to construction workers Daily briefings to construction personnel Contractor supervision during work hours Barricades and temporary signs Hazardous Extremely Remote M SWR-5 Delayed Response by ARFF Contractor workers unaware of existing emergency routes or ARFF unaware of changes to emergency routes Emergency conditions require quick access by ARFF Delay to respond to emergencies in movement areas or in the apron, increased severit injuries y of Barricades and temporary signs Construction management coordination with ARFF Safety meetings Major Extremely Remote L TABLE 1 HAZARDS, RISKS, AND RISK VALUES (continued on next page)

Hazard # Hazard Description Causes System State Potential Outcome Existing Controls Severity Likelihood Initial Risk SWR-6 Failure to coordinate construction activities with TWR, OPS, ARFF Changes to existing conditions owing to construction closures Section of existing emergency route or taxiways temporarily closed Pilots and ARFF unaware of changes entering construction areas leading to accidents NOTAM Construction coordination Weekly construction safety meetings Major Extremely Remote L SWR-7 Jet blast of aircraft during breakaway thrust after pushback Jet blast launching debris or displacing equipment in construction areas Construction area near active apron areas and operation of aircraft Injuries to construction workers caused by debris or displaced construction equipment Weekly construction safety meetings Use of PPE by construction workers FOD Management Plan in CSPP Major Remote M SWR-8 Increased wildlife activity Construction worker food waste attract birds to airport areas Active runway operations during construction period Bird strikes causing major damage to aircraft (engines, fuselage, wings) Daily briefings to construction workers Major Extremely Remote L SWR-9 Loss of situational awareness by pilots or workers Improper coordination of construction activities Closed taxiway and east portion of apron Major damage to aircraft entering closed construction areas Publish NOTAM with status of closed areas Weekly construction safety meetings Major Extremely Remote L SWR-10 Tall equipment on airfield during construction Construction equipment penetrating Part 77 surfaces Construction equipment near active runway and other operational areas Aircraft collision with construction equipment causing severe damage to aircraft and serious injuries to passengers or workers Obtain FAA approval for tall equipment Hazardous Extremely Improbable L SWR-11 Congestion on ramp Weekly construction safety meetings Minor Remote L Smaller apron increase congestion in apron area Apron area reduced owing to construction area Congested area leading to collision of equipment and aircraft TABLE 1 (continued)

Hazard # Initial Risk Existing Risk Mitigation Actions Additional Risk Mitigation Actions Residual Severity Residual Likelihood Residual Risk Responsibility for Implementation How to Implement Safety Assurance SWR-1 M Daily inspection by airfield officers FOD management plan in CSPP Monitoring of FOD by construction supervisors Increase daily inspections in construction area Major Extremely Remote L Daily inspections by Airfield Operations Contractor to develop and approve a plan to manage FOD Increase to 6 daily inspections in the construction area when work is in progress Record safety issues associated with the construction work in a separate form SWR-2 M Locate utilities before excavations Prepare and use procedure to carefully demolish pavement and excavate subbase in areas were utilities are located Hazardous Extremely Improbable L Contractor (CSPP) SWR Engineering to obtain existing plans Contractor to locate existing utilities based on surveys and existing plans Contractor develops procedures and submits for approval by SWR Engineering Execution of procedures will be checked by SWR Engineering staff SWR-3 L NOTAMs Barricades and other signs - Major Extremely Remote L NOTAMs: Airfield Ops Barricades: Contractor Airfield Ops in coordination with SWR Engineering and Contractor will prepare NOTAMs Contractor will develop plan to place barricades limiting closed construction areas Airfield Ops will prepare checklist for daily inspection of construction areas and vicinities (continued on next page) TABLE 2 RISK MITIGATION ACTIONS AND IMPLEMENTATION PLAN

TABLE 2 (continued) Hazard # Initial Risk Existing Risk Mitigation Actions Additional Risk Mitigation Actions Residual Severity Residual Likelihood Residual Risk Responsibility for Implementation How to Implement Safety Assurance SWR-4 M Daily briefings to construction personnel Contractor supervision during work hours Barricades and temporary signs Basic safety training to construction workers Hazardous ExtremelyImprobable L Contractor (CSPP) Contractor will have daily briefings with workers highlighting the importance of staying within construction area. A basic safety training approved by SWR will be provided to highlight the importance of staying away from operational areas Airfield Ops will prepare checklist for daily inspection of construction areas and vicinities Access to construction areas will be denied to workers without safety training SWR-5 L Barricades and temporary signs Construction management coordination with ARFF Safety meetings - Major ExtremelyRemote L Contractor (CSPP) Contractor daily briefings to construction workers. Changes to emergency routes to be discussed in weekly safety meetings Airfield operations will pass information to ARFF when changes to emergency routes are implemented SWR-6 L NOTAM Construction coordination Weekly construction safety meetings - Major Extremely Remote L Airfield Ops SWR Engineering Contractor Airfield Ops in coordination with SWR Engineering and the Contractor will identify need to submit NOTAMs owing to project changes Airfield Operations will check published NOTAMs for correctness SWR-7 M Weekly construction Use temporary Major Extremely Remote L Contractor Contractor will submit plan to Airfield Operations will safety meetings Use of PPE by construction workers FOD Management Plan in CSPP blast fence to protect construction area place temporary blast fence for approval by SWR Engineering check effectiveness of blast fence after pushback of aircraft in position A4 during one week

Hazard # Initial Risk Existing Risk Mitigation Actions Additional Risk Mitigation Actions Residual Severity Residual Likelihood Residual Risk Responsibility for Implementation How to Implement Safety Assurance SWR-8 L Daily briefings to construction workers Use covered bins to collect food waste Ban food in construction areas Major ExtremelyImprobable L Contractor (CSPP) Contractor will install covered bins and ensure the bins will not be displaced by jet blast Airfield inspections will check if bins are covered and presence of food waste in construction areas SWR-9 L Publish NOTAM with status of closed areas Weekly construction safety meetings - Major ExtremelyRemote L Airfield Ops SWR Engineering Contractor Airfield Ops in coordination with SWR Engineering and the Contractor will identify need to submit NOTAMs owing to project changes Airfield Operations will check published NOTAMs for correctness SWR- 10 L Obtain FAA approval for tall equipment - Hazardous ExtremelyImprobable L Contractor Contractor will submit FAA Form 7460-1 for approval of tall equipment Airfield Ops will ensure only tall equipment approved by the FAA is used by Contractor SWR- 11 L Weekly construction safety meetings - Minor Remote L Airlines and Ground Support organizations using the apron Organizations to develop own plans to manage activities in reduced apron area Airfield Operations to monitor apron activities and report hazards and risks in weekly safety meetings The SWR Project Manager will ensure that risk mitigation actions under the responsibility of the Contractor and described in this section will be included in the Contractor CSPP. Hazards and risks identified in the SRA will be recorded in SWR Risk Register and will be monitored by the SWR SMS Manager.