Airport Safety Risk Management Panel Activities and Outcomes (2016)

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46 A key element of an SRA involving an SRM panel is the facilitation of the brainstorming session. The main objective of the facilitation process is to manage the SRA session to help the panel effectively perform the SRM process on a safety issue. In most cases the SRA session is a one-time opportunity because of the scarcity of key operational experts. Experience and background in brainstorming and risk assessment, as well as extensive preparation, are important for a successful SRA session. SAFETY RISK ASSESSMENT ROLES There are three main roles in conducting safety assessments using SRM panels. The Panel An SRM panel would include representatives from the various organizations and airport functions affected by the safety issue to be discussed. The interactions between panelists with a range of experience and knowledge associated with the safety issue can lead to a much broader and compre- hensive analysis and, most importantly, to a balanced consideration of safety issues and alternatives to mitigate risks. Despite these benefits, it is important to note that it is harder to perform in-depth analysis of individual issues and ideas discussed by the group. It is common that some time may be wasted with irrelevant technical discussions. ACRP Report 131 identifies typical panelists in a SRA as shown in Table 15. The Facilitator Facilitation is a process to help a group achieve its objectives and free the group from potential obstacles. In SRM panels, a facilitator is required to keep an unbiased management of the meeting and avoid conflicts of interest. The facilitator helps obtain the best from a panel by keeping a high level of participation and open discussion, controlling the duration of the session, and determining the breaks. Ideally, the facilitator would be experienced with risk assessments and preferably with the type of safety issue being assessed. The facilitator has the critical role of leading the SRM panel to make the brainstorming session as effective and productive as possible. The tasks in this role involve strictly observing the basic rules of brainstorming, making short notes of the hazards on a flip chart or computer, and subtly steering the hazard identification process along the many dimensions of the operation and spectrum of hazards. A good facilitator performs this role independently from external and internal pressures and leads the effort in a completely rational, unbiased fashion. A good facilitator makes sure the preliminary material and briefing are compatible with the safety issue to be discussed, and that meeting resources such as a conference or meeting room with at least a projector and white board are available. A preliminary brainstorming structure and possibly a list of key hazards would also be prepared for the meeting. Although FAA uses trained personnel or third party consultants to facilitate its SAs, many air- ports opt to have the SMS coordinator or hired consultants facilitate most SRA exercises. Larger airports may prefer to train staff from various departments to conduct internal SRAs, particularly because they are more familiar with the technical issues involved with the SRA topic. For example, an engineer from the department of engineering can be trained to facilitate SRA exercises involving formulation and design of airfield facilities. chapter six FACILITATION OF AIRPORT-LED SAFETY RISK ASSESSMENTS

47 The Note Taker A note taker is also an important element in the SRA session, as pointed out by many survey respondents. The person filling this role will take all notes required to document the SRA. The most effective way to perform this role is to use a computer with a safety assessment worksheet and a projector showing the notes being taken in the template. It is virtually impossible for a facilitator of a large panel to moderate and take notes simultaneously, without jeopardizing the dynamics of the session. Projecting all the notes being written by the note taker can also be distracting to participants and the facilitator should evaluate the best alternative for showing information to panelists during the session. For small airports, where the SRM panel is generally very small, the facilitator may be able to fill this role if necessary. GENERAL FACILITATION PRINCIPLES There is good information readily available on how to facilitate meetings. A summary of best prac- tices is provided in this section based on several sources (EUROCONTROL 2003; Knowledge- Leader 2007; U.S. Navy 2009; Bircham 2015). However, it is important to recognize that facilitation is more than using certain techniques and applying procedures; facilitation is art and it takes talent, in addition to training and practice. Some basic facilitation principles include: During the Safety Risk Assessment Briefing • Invite people to sit at the front of the room. • Control time and avoid taking too much time discussing one issue. • Manage expectations and, if necessary, point out what cannot be met. • Make sure you explain the basic concepts of risk assessment during the briefing, particularly if there are panelists who are new to the concepts. • Overview the whole process so panelists know what to expect. • Set the duration of the SRA session and the intervals between breaks. During the Facilitation • Lead discussion but do not dominate the SRA session. • Be knowledgeable of SRM to be able to provide guiding questions. • The facilitator role is not to respond to panelist questions, but rather be a guide to help panelists perform the SRM process. TABLE 15 TYPICAL SRM PANELISTS Airport operations SMS coordinator Risk management FAA ATC Airlines Subject matter experts Airfield maintenance Airport planning Development and engineering Public safety (police and fire) Environmental management Ground handlers FBOs Fueling services Transportation Source: ACRP Report 131 (2015).

48 • It is important to study the safety issue and be prepared with preliminary material (e.g., brain- storming structure, checklists, probing questions). • Allow attendees to draw their thoughts together. • Draw in the quiet team members and motivate participation. • Allow silence. • Paraphrase—help participants understand by paraphrasing the input; always check with the originator that the paraphrase is correct. • Write it down verbatim to acknowledge the person’s contribution and value of the idea. • Encourage clarity (e.g., “Say more about that”). • Use ground rules. • Avoid judging panelist comments and being overly critical. • Avoid talking too much; however, talk enough. • Order the input from panelists (e.g., you, then you). • Do not step out of the facilitator’s role; if you do, tell people that you are not in that role. • Listen to every comment made during the SRA session. • Keep to the scheduled agenda. • The facilitator must be neutral—an honest broker. Identification of Risks • Ensure that there is a verb included in the definition of the risk (e.g., instead of stating “the risk of FOD,” use “the risk of FOD causing damage to aircraft engine”). • Ask panelists how they would formulate the definition of the risk. • To regain focus after a long discussion, summarize the discussion or ask a panelist to do it. • Always ask if the definition is clear to everyone. • Keep focus on what is being discussed (e.g., avoid discussing risk level if the risk has not been defined). Risk Assessment • Always attempt to get consensus. • Vote only if that has been defined as a ground rule. • Only re-vote after additional discussions and if panelists want to re-vote. • Hazards should be assessed for resolution and never disregarded or repeated. • Decisions are taken with participation, support, and explanation to optimize buy-in. • Arguments or rationale for a debate or a decision on risk classification will be visibly and con- structively captured because everyone would be heard. • The rules to resolve dissenting opinions are known and agreed. Defining Risk Controls • Ensure risk controls are assigned to a responsible party to implement and that the party agrees with it. • Make sure there is an adjective/verb when you formulate the justification for the risk control (e.g., instead of using safety awareness, use “increase in safety awareness”). • Make sure to add a due date for implementation of the risk control. SRA Reporting • Check the most effective format and structure to report the SRA. • Prepare a preliminary report to circulate among panelists as soon as possible while the discus- sions are fresh. • Review the follow-up requirements. • Describe next steps report to the panel when they should expect the preliminary report. The Naval Safety Center identifies some skills for effective facilitation (Table 16).

49 COMMON FACILITATION ISSUES Difficult People and Situations • Group Think—when members of a group fail to speak up when they do not agree with a deci- sion made by the group or the group leader. In most situations group think leads to incomplete analysis and possibly erroneous decisions. • Cape Cod Syndrome—when a group of people have difficulty making a decision, to the extent that by the time the decision is made there is no more time to discuss other options. • Abilene Paradox—when a group of people decide and act in a way that is contrary to their real desires. The facilitator encourages lateral and free thinking and may appoint a couple of panelists to play “devil’s advocates.” The facilitator can drive the discussion and control the time for discussions; however, the facilitator should not influence the panel decisions. Confusion Between Key Terms • Difference between the hazard, its effect(s) and its cause(s) • Difference between the severity of a hazard (does not exist), the severity of hazard effect, and the likelihood that it can occur • Explain during SRA briefing and have definitions in a Quick Reference Guide or handout for panelists. No Consensus on Risk Likelihood, Risk Severity, or Both • Attempt to extend the discussions for consensus. • If voting is used, it is important that the different opinion be documented in the SRA report. • An alternative is to include both risk levels in the assessment; most likely the risk control actions will serve for both situations and a final assessment can be made when comparing risks according to priority. • Take a break. SUCCESSFUL SAFETY RISK ASSESSMENT SESSIONS A brainstorming meeting can be beneficial to share perspectives and experiences; to build synergy for hazard identification and risk assessment; to get buy-in to decisions; and to develop practical plans to mitigate risks and obtain commitment to follow-up actions. However, there are many pos- sible negative outcomes of an SRA session with SRM panels. Some of the most common concerns that can lead to unsuccessful SRAs can be summarized. TABLE 16 EFFECTIVE FACILITATION Best Qualities of a Facilitator (PREPARE) Perception of important issues Respectful to all group members Expertise with facilitation skills/techniques - Mastery of facilitation techniques - Knowledge and ability to use each appropriately Patience - Allow some tension - Allow discussion of differing views - Ask open-ended questions Attitude is positive, upbeat, and realistic Responsible by meeting course objectives Expert who knows the subject and available resources Source: U.S. Navy (2009).

50 Common Concerns • Panelists are unclear about the meeting’s goals or have their own goals. • Panelists are unclear about the process that will be followed and the expectations of the group. • Panelists have individually defined responsibilities and tightly defined jobs. • The group plays political games. • Part of the available information is not given to panelists. • Some participants do not trust each other. • The session is poorly prepared and led. • There are no ground rules. • Some panelists avoid supporting decisions because they were not involved or consulted. Facilitator Techniques Open-ended Questions Avoid questions that can be answered with a simple “yes” or “no.” Redirection Invite panelists to answer a question. Examples The facilitator should share personal experiences and invite panelists to do the same. Intervention Long discussions or distracting situations should be interrupted and the panel be brought to discussion on SRA topics. Projection The facilitator makes projections into the future (e.g., many of the panelists here will be involved with this issue during the implementation). Role-plays Ask panelists to play specific roles in a potential scenario. Bridging Connect several topics within a discussion to help panelists identify the links. Transitioning Change topics with minimal impact to discussions. Eliminating Weak Ideas A good idea, but . . . • . . . people won’t like it. • . . . it needs more study. • . . . let’s make a survey first. • . . . against the company policy. • . . . the directors won’t go for it. • . . . ahead of its time, people are not ready for it. • . . . let’s sit on it a while. • . . . we’ve never done it that way before. Has anyone else tried it successfully? Helping Good Ideas Yes, . . . • . . . that’s a good idea/point/comment. • . . . great, let’s try it. • . . . what resources would we need to do it? • . . . tell me more. • . . . how can we make it work? • . . . can you draw up a plan of action? What can I do to help this happen? • . . . that sounds interesting, tell me more. Source: U.S. Navy (2009).

51 • Panelists adopt win-or-lose attitudes or avoid conflict management. • The panel relies on one leader. Many of the concerns that negatively impact the outcome of an SRA are associated with the per- formance of panelists in the brainstorming session. Some suggestions for panelists on how they can help the session run more effectively are listed here. Running Effective SRA Sessions • Have a basic understanding of the SRM and SRA processes. • Read and understand the preliminary information. • Follow the brainstorming rules. • Postpone judgment during the hazard identification. • Think about potential hazards that might negatively impact safety. • Write your risks/concerns on sticky notes. • Avoid over and under participation. • Be unbiased. • Be realistic. • Use common sense. • Help the group (provide examples, etc.). • Meet the schedule. • Avoid criticism but play devil’s advocate when necessary. • Keep electronic communications off. • Be patient when discussions are not related to your area. Finally, an important element of SRA sessions is the set of Brainstorming Rules that the facilitator presents during the initial briefing. Key SRA Rules • One person talk at a time • Breaks every hour • Any idea is welcomed for discussions, no matter how exaggerated it is • Quantity counts at this stage, not quality • Build on the ideas put forward by others • Every person and every idea has equal worth • No sidebar conversations. Key information to help the facilitation exercise during SRA brainstorming sessions can be sum- marized in a handout for panelists. An example of Quick Reference Guide (QRG) for SRAs is pre- sented in Appendix D. SAFETY RISK ASSESSMENT FACILITATION TRAINING The FAA maintains a number of in-house training courses for FAA-staff conducting facilitation. These courses typically are not available to non-FAA facilitators. However, third-party consultants providing facilitation services for ARP-led panels may take online courses, including: • ARP SMS Overview: online training on basic SMS components; and • ARP SRM Facilitation: online training describing the requirements of ARP SRM facilitation (ARP SMS Desk Reference 2012). There are several general facilitation courses available to the industries and training programs to become a certified facilitator; however, these courses do not focus on risk assessments of aviation safety issues. It is important to note that there are two basic skills desirable to become an effective SRA facilitator: proficiency with facilitation techniques and SRM expertise.