A Guidebook for Safety Risk Management for Airports (2015)

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Using the Guidebook P a r t I This guidebook has five parts. Part I will help readers become familiar with Safety Management System (SMS) and safety risk management (SRM) terms and definitions. Part I identifies key terms and how they relate to one another and explains how to use the guidebook. Readers will also learn how the guidebook can benefit all airports, regardless of size or complexity.

3 One reason for this guidebook is to promote consistency in the use of safety and risk manage- ment terms. To do this, the authors compared FAA and International Civil Aviation Organization (ICAO) references to non-aviation industry references to identify inconsistent nomenclature. When the authors found multiple terms with common meanings and uses, they identified the most commonly accepted terms. Terms used by the FAA Office of Airports (ARP) and ICAO are preferred; where terms from other industries or organizations are used, sources are noted. The glossary will help airport staff use the terms more uniformly, thus reducing confusion and setting up consistency across the industry. Although some of the terms defined are not used in this guidebook, they are included because they are commonly used in industry or by regulators. 1.1 Acronyms AAS FAA Office of Airport Safety and Standards ACM Airport Certification Manual ACRP Airport Cooperative Research Program ARFF Aircraft Rescue and Fire Fighting ARP FAA Office of Airports ATCT Air Traffic Control Tower ATO FAA Air Traffic Organization AVS FAA Office of Aviation Safety FAA Federal Aviation Administration FBO Fixed-Base Operator FOD Foreign Object Damage or Foreign Object Debris FOIA Freedom of Information Act ICAO International Civil Aviation Organization KPI Key Performance Indicator PIREP Pilot Report SA Safety Assurance SAS Safety Assessment Screening SME Subject Matter Expert SMS Safety Management System SOP Standard Operating Procedure SRA Safety Risk Assessment SRM Safety Risk Management SRMD Safety Risk Management Document C H A P T E R 1 Glossary

4 A Guidebook for Safety Risk Management for Airports 1.2 Definitions Accountable Executive—a single identifiable person responsible for the effective and effi- cient performance of the airport’s SMS. (ICAO Doc 9859, 3rd edition Safety Management Manual—SMM) Aircraft Accident—an occurrence, associated with the operation of an aircraft, that occurs between the time any person boards the aircraft with the intention of flight and until all such persons have disembarked; and in which any person suffers death or serious injury, or the air- craft receives substantial damage. (NTSB, Part 830) Aircraft Incident—an occurrence, other than an accident, that is associated with the opera- tion of an aircraft and that affects or could affect the safety of operations. (NTSB, Part 830) Airport Project—an airport construction project that affects the physical characteristics of the airport, airport layout plan approvals, or review of construction safety phasing plans. (FAA Order 5200.11) As Low As Reasonably Practicable (ALARP)—describes a safety risk reduced to a level that is as low as reasonably practicable; that is, any further risk reduction is either impracticable or grossly outweighed by the cost. (ICAO Safety Management Manual) Note: in the latest version of ICAO Safety Management Manual (3rd Edition, 2013) ALARP was removed. It is provided here for reference only. Common Cause Failure—a failure that occurs when a single fault results in the correspond- ing failure of multiple system components or functions. (FAA Order 5200.11) Comparative Safety Assessment (CSA)—a safety analysis that provides a list of hazards asso- ciated with a project proposal, along with a risk assessment of each alternative-hazard combina- tion. A CSA is used to compare alternatives from a risk perspective. (FAA SRM Guidance for System Acquisitions, 2007) Construction Safety and Phasing Plan (CSPP)—a document that outlines procedures, coordi- nation, and control of safety issues during construction activity on an airport. (FAA AC 150/5370-2) Control—see Risk Control. FAA Office of Airports (ARP)—provides leadership in planning and developing a safe and effi- cient national airport system. The office is responsible for all programs related to airport safety and inspections and standards for airport design, construction, and operation (including international harmonization of airport standards). The office also is responsible for national airport planning and environmental and social requirements and establishes policies related to airport rates and charges, compliance with grant assurances, and airport privatization. (http://www.faa.gov/about/ office_org/headquarters_offices/arp/) FAA Air Traffic Organization (ATO)—the operational arm of the FAA. It is responsible for providing safe and efficient air navigation services to 30.2 million square miles of airspace. (http://www.faa.gov/about/office_org/headquarters_offices/ato/) FAA Office of Aviation Safety (AVS)—responsible for the certification, production approval, and continued airworthiness of aircraft; and certification of pilots, mechanics, and others in safety-related positions. (http://www.faa.gov/about/office_org/headquarters_offices/avs/) Hazard—A condition that could foreseeably cause or contribute to an accident. (FAA Order 8040.4A) Note: Section 1.3 discusses this in further detail. Hazard Assessment—a systematic, comprehensive evaluation of a change, operation, system, or safety issue. (DRAFT FAA AC 150/5200-37A)

Glossary 5 Incident—an occurrence, other than an accident, associated with the operation of an aircraft, that affects or could affect the safety of operations. (49 CFR 830.2) Injury Severity (ICAO Annex 13) • Minor—any injury that is neither fatal nor serious. • Serious—an injury that (1) requires hospitalization for more than 48 hours, commencing within 7 days from the date the injury was received; (2) results in a fracture of any bone (except simple fractures of fingers, toes, or nose); (3) causes severe hemorrhages, nerve, mus- cle, or tendon damage; (4) involves any internal organ; or (5) involves second- or third-degree burns, or any burns affecting more than 5 percent of the body surface. • Fatal—fatal injuries include all deaths determined to be a direct result of injuries sustained in the accident, and within 30 days of the date of the accident. International Civil Aviation Organization (ICAO)—a specialized agency of the United Nations, the ICAO promotes the safe and orderly development of international civil aviation throughout the world. (http://www.icao.int/about-icao/Pages/default.aspx) Key Performance Indicator (KPI)—a set of quantifiable measures that a company or indus- try uses to gauge or compare performance in terms of meeting strategic and operational goals. Within the context of SRM, the KPI will be safety related. (Various sources) Likelihood—the estimated probability or frequency, in quantitative or qualitative terms, of a hazard’s effect. (FAA Order 5200.11) Material Change—any change, relating to a construction project, that is a result of the envi- ronmental or design process and/or alternative selection that changes the physical layout. Such changes could introduce safety risks. (FAA Order 5200.11) National Airspace System (NAS)—the common network of U.S. airspace; air naviga- tion facilities; equipment and services; airports or landing areas; aeronautical charts and information services; rules, regulations, and procedures; technical information; and labor and material. The NAS includes system components shared with the military. (FAA Pilot/ Controller Glossary, 2014) Operational Risk Management (ORM)—a decision-making tool used by personnel at all levels to increase effectiveness by identifying, assessing, and managing risks. By reducing the potential for loss, the probability of a successful mission increases. (Chief of Naval Operations Instruction 3500.39C) Outcome—a specific system state and sequence of events supported by data and expert opinion that clearly describes the outcome. The term implies that it is reasonable to expect the assumed combination of conditions may occur within the operational lifetime of the system. (FAA Order 5200.11) Note: Other terms used in risk management as substitutes for outcome include consequence, effect, and result. Outcome is used throughout the guidebook. Preliminary Hazard Assessment (PHA)—an overview of the hazards associated with an operation or project proposal consisting of an initial risk assessment and development of safety- related requirements. (FAA ARP Desk Reference) Preliminary Hazard List (PHL)—a list of anything that the analyst can think of that can go wrong, based on the concept, its operation, and implementation. (FAA System Safety Hand- book, 2000) Note the FAA System Safety Handbook, 2000, is no longer in use by the FAA and is only used as a resource because it cross references some FAA ATO documents. Qualitative Risk—level of risk based on subjective measures, rather than quantitative metrics. (Various sources)

6 A Guidebook for Safety Risk Management for Airports Quantitative Risk—level of risk based on objective data and metrics. (Various sources) Risk—see Safety Risk. Risk Analysis—the process during which a hazard is characterized for its likelihood and the severity of its effect or harm. Risk analysis can be either quantitative or qualitative; however, the inability to quantify or the lack of historical data on a particular hazard does not preclude the need for analysis. (DRAFT FAA AC 150/5200-37A) Risk Assessment—the process by which the results of risk analysis are used to make deci- sions. The process combines the effects of risk elements discovered in risk analysis and com- pares them against acceptability criteria. A risk assessment can include consolidating risks into risk sets that can be jointly mitigated, combined, and then used in making decisions. (FAA Order 5200.11) Risk Assessment Code (RAC)—the ranking of risks based on the combination of likelihood and consequence (severity) values. A widely used SRM term throughout DoD and governmental agencies. (DoD MIL-STD-882E) Risk Control—reduction of risk severity and/or likelihood, via the application of engineer- ing and/or administrative hazard controls. Risk control can also be anything that mitigates or ameliorates the risk. (FAA System Safety Handbook) Note: In this guidebook, risk mitigation is used instead of risk control. Risk Matrix—table depicting the various levels of severity and likelihood as they relate to the levels of risk (e.g., low, medium, or high). (FAA Desk Reference) Risk Mitigation—any action taken to reduce the risk of a hazard’s effect. (DRAFT FAA AC 150/5200-37A) Note: Further definition is provided in Section 1.3. Root Cause Analysis—analysis of deficiencies to determine their underlying root cause. (FAA AC 120-79A) Safety—the state in which the risk of harm to persons or property damage is acceptable. (FAA Order 8000.369A); The state in which the possibility of harm to persons or of property damage is reduced to, and maintained at or below, an acceptable level through a continuing process of hazard identification and safety risk management. (ICAO Doc 9859, Safety Management Manual—SMM) Safety Assessment—completion of the applicable SAS, the SRM 5-step process of identifying and analyzing hazards and documentation of the SRA panel’s findings, as applicable. (FAA ARP Desk Reference) Safety Assessment Screening (SAS)—an FAA form (5200-8, 5200-9 or 5200-10) used to document the ARP Safety Assessment process. Specifically, the SAS form is used to document the appropriate level of assessment, the five steps of SRM, and the final signatures and approvals. (FAA ARP Desk Reference) Safety Assurance—the process and procedures of management functions that evaluate the continued effectiveness of implemented risk mitigation strategies, support the identification of new hazards, and function to systematically provide confidence that an organization meets or exceeds its safety objectives through continuous improvement. (FAA AC 150/5200-37) Safety Evaluation—procedures to monitor performance with respect to safety objectives, SMS requirements, and/or safety initiatives. (FAA AC 150/5200-37) SMS Manual—an airport-developed document that describes the SMS components and how they will be established and will function. An SMS manual may resemble the Airport Certification

Glossary 7 Manual (ACM). Whereas an ACM describes how an airport operates, an SMS Manual describes how the SMS functions. (FAA AC 150/5200-37) Safety Management System (SMS)—a formal, top-down, organization-wide approach to managing safety risk and ensuring the effectiveness of safety risk controls. An SMS includes systematic procedures, practices, and policies for managing safety risk. (FAA Order VS 8000.369A) Safety Objective—a measurable goal or desirable outcome related to safety. (FAA AC 150/5200-37) Safety Performance Indicator (SPI)—a data-based safety parameter used for monitoring and assessing safety performance. (ICAO Doc 9859, Safety Management Manual—SMM) Safety Policy—defines the fundamental approach to managing safety that is to be adopted within an organization. Safety policy further defines the organization’s commitment to safety and overall safety vision. (AC 150-5200-37) Safety Promotion—the combination of safety culture, safety training, and communication activities that support the implementation and operation of the SMS in an organization. (AC 150-5200-37) Safety Risk—the composite of predicted severity and likelihood of the potential effect of a hazard. (FAA Order 8040.4A) • Initial—the predicted severity and likelihood of a hazard’s effects or outcomes when it is first identified and assessed; includes the effects of pre-existing risk controls in the current environment. • Current—the predicted severity and likelihood at the current time. • Residual—the remaining predicted severity and likelihood that exists after all selected risk control techniques have been implemented. Safety Risk Assessment—assessment of a system or component, often by a panel of system subject matter experts (SMEs) and stakeholders, to compare an achieved risk level with the tolerable risk level. (Various sources) Note: during the FAA SMS Pilot Studies multiple airports adopted the term SRA to describe the 5-step process, defined within SRM: (1) define the system, (2) identify the hazards, (3) assess the risks, (4) analyze the risks, and (5) mitigate the risks. In this guidebook, safety risk assessment is used exclu- sively when describing the 5-step process and the conduct of that process with a panel of SMEs. Safety Risk Control—anything that mitigates the safety risk of a hazard. Safety risk controls necessary to mitigate an unacceptable risk should be mandatory, measurable, and monitored for effectiveness. (FAA AC 150/5200-37) Safety Risk Management—a standard set of processes to identify and document hazards, analyze and assess potential risks, and develop appropriate mitigation strategies. (FAA ARP SMS Desk Reference) Safety Risk Management Document (SRMD)—an ATO-specified description of the safety analysis for a given proposed change. An SRMD documents the evidence to support whether or not the proposed change to the system is acceptable from a safety risk perspective. SRMDs are maintained by the organization responsible for the change for the lifecycle of the system or change. (FAA Order 5200.11) Safety Risk Management Panel—a group formed to formalize a proactive approach to system safety and a methodology that ensures hazards are identified and unacceptable risk is mitigated

8 A Guidebook for Safety Risk Management for Airports before the change is made. An SRM Panel provides a framework to ensure that, once a change is made, the change will be tracked throughout its lifecycle. (FAA Order 5200.11) Note: this term is synonymous with Safety Risk Assessment (SRA) Panel. This guidebook uses SRA Panel as the common term. Severity—the measure of how severe the results of a hazardous condition’s outcome are predicted to be. Severity is one component of risk. The safety risk of a hazard is assessed on the combination of the severity of and the likelihood (probability) of the potential outcome(s) of the hazard. (FAA Order 8040.4A) Single Point Failure—a failure of an item that would result in the failure of the system and is not mitigated by redundancy or an alternative operational procedure. (FAA Order 5200.11) Small Airport—a non-primary airport with less than 20 employees working full time. (defined by the author for this guidebook) System—an integrated set of constituent pieces combined in an operational or support envi- ronment to meet a defined objective. Elements include people, hardware, software, firmware, information, procedures, facilities, services, and other support facets. (FAA Order 8040.4) Note: See the 5M Model. System State—an expression of the various conditions, characterized by quantities or quali- ties, in which a system can exist. (FAA ATO SMS Manual) Triggers for SRM—the requirements, precursors, or organizational plans that lead to initiation of the SRM process. Note: Triggers are explained in more detail in Part V, Chapter 16. Validation—the process of proving the functions, procedures, controls, and safety standards are correct and the right system is being built (that is, the requirements are unambiguous, cor- rect, complete, and verifiable.) (FAA Order 5200.11) 5M Model—A model often used to help define an operational system, composed of five elements: Mission, huMan, Machine, Management, and environMent (also called Media). (Various sources) 1.3 Key Terms and Standardization Some safety and risk management terms are commonly used when addressing the subject. A few key terms are defined further to ensure consistent understanding in the airport industry and to minimize misuse or interchanging of terms. Safety A well understood definition of the term safety is necessary given that the SRM process deals predominately with safety risks. Three definitions of safety follow: • Safety—freedom from harm or danger: the state of being safe; the state of not being danger- ous or harmful. (Merriam-Webster) • Safety—freedom from unacceptable risk. (FAA) • Safety—the state in which the risk of harm to persons or property damage is reduced to, and maintained at or below, an acceptable level throughout a continuing process of hazard iden- tification and risk management. (ICAO)

Glossary 9 From an airport perspective, any of the definitions can suffice. The FAA’s definition is the simplest, while ICAO’s definition is the most complete. All definitions address that which can do harm within the organization. Airports should develop or adopt a definition for safety that is compatible with their safety policies and objectives. For this guidebook, the FAA definition is the accepted definition. Hazard Airport personnel must have a clear, consistent understanding of the term hazard. Many air- ports in the early stages of SRM implementation use hazard synonymously with the term risk; however, these are different although related terms. A hazard must exist for the airport to be at risk. A hazard is defined as any existing or potential condition that can lead to injury, illness, or death to people; damage to or loss of a system, equipment, or property; or damage to the envi- ronment. A hazard is a condition that is a prerequisite of an accident or incident. A hazard might or might not result in a situation of high risk. (Various sources) Airport personnel need to learn the difference between a hazard and the risks posed by a haz- ard. The SRM process functions effectively only when the organization actively identifies con- ditions or potential conditions that can result in undesirable or harmful outcomes; the airport identifies hazards, then assesses and mitigates the risks. Risk Hazards present risk. Risk is the composite of predicted severity and likelihood of the poten- tial outcome of a hazard. Risks may be categorized as follows: • Initial—the severity and likelihood of a hazard’s risk when it is first identified and assessed, including the effects of pre-existing risk controls in the current system. • Current—the predicted severity and likelihood of a hazard’s risk at the current time. • Residual—the risk that remain after all risk mitigations have been implemented or exhausted and all risk mitigations have been verified. Outcome An outcome is the potential undesirable result of a hazard or the ill effects potentially resulting from exposure to a hazard. In this guidebook, outcome is used rather than conse- quence or effect. Safety Risk Assessment (SRA) According to the FAA and as defined in the ARP Desk Reference Guide, an SRA is one element of SRM and involves the SRM 5-step process by identifying hazards and analyzing, assessing, and mitigating risks and documenting findings. An SRA may be developed and conducted by a single person or a panel of SMEs and stakeholders with a facilitator. The SRA and SRM processes differ as follows. SRM is the component of SMS that deals directly with safety hazards, their potential outcomes, and the risks associated with them. SRM defines the management tools and responsibilities and the triggers that cause an SRM action to happen. SRA is the act of conducting the 5-step process and addressing the hazardous conditions of a system or planned event.

10 A Guidebook for Safety Risk Management for Airports Risk Mitigation Mitigating airport risks is the result of a proactive SRM process. The FAA ARP defines risk mitigation as follows: Risk Mitigation—an airport operator-developed option or an alternative strategy to modify or reduce the risk of an identified hazard. Mitigations can be used to reduce the hazard’s effects on the system. Risk mitigation is also referred to as a risk control. Most risk management strategies address medium and high-risk hazards. Low-risk hazards may be accepted after considering risk. Risk management activities should identify feasible options to manage risk according to the following categories: • Avoidance—selecting a different approach or not participating in, or allowing, the operation or procedure. • Acceptance—accepting the likelihood, probability, and consequences associated with the risk. • Control—developing options and alternatives that minimize or eliminate the risk. • Transfer—shifting the risk to another area. In this guidebook, mitigation and mitigate are used instead of control. Baseline Safety An airport uses an SMS to improve safety performance. In order to measure change, airport management must establish a safety performance baseline. Safety performance cannot be mea- sured daily like the number of departures or gallons of fuel pumped into aircraft. Safety perfor- mance is assessed over extended periods. The baseline level of safety performance is established before SMS implementation. Airport management should review and analyze past safety performance measures and identify a period when performance was judged acceptable. This could be for a 3-month period, a 6-month period, or as long as a year. The longer the selected period, the more patient the organization must be in assessing the success of SMS initiatives. Key decisionmakers should receive regular updates on safety performance compared with baseline safety. These updates help decisionmakers make informed decisions on the use of resources. Current safety data enhances discussions on whether safety resources are being used effectively and where resources should be otherwise allocated.

11 The U.S. aviation system is one of the safest in the world. This is the result of decades of examining and reviewing incidents and accidents and making improvements based on the find- ings. After-action efforts—in response to aircraft incidents and accidents, ground movement incursions (by vehicles, equipment, or pedestrians), and incidents that have hampered the safe operation of aircraft—have resulted in regulations and guidance to reduce the likelihood of incidents, accidents, and incursions occurring. For airports, 14 CFR Part 139 is, in many ways, a proactive and systematic approach to managing risks. The FAA developed the regulations based on the lessons learned by airports over time. The result is processes, procedures, and physical requirements to reduce the likelihood of incidents, accidents, and incursions occurring. Airport operators deal with risk every day and in everything they do. The risk is sometimes within their control, and sometimes it is not. Regulations and guidance developed and enforced by the FAA are a way to manage the risk inherent in the National Airspace System (NAS). Although this approach has been successful for more than 50 years, as air traffic increases, safety performance needs to improve. With traffic growth, the number of accidents tends to increase if the level of safety remains constant. To preserve public confidence, the aviation industry, using new technologies and approaches like SMS, needs to further reduce the chances of accidents. The implementation of NEXTGEN technologies and processes over the coming decade will bring changes to the NAS and require airports to adapt accordingly. SMS is a way to adapt current safety programs and methods to meet the requirements of these changes. Safety Risk Manage- ment, the key operational component of an SMS, is a creative method that looks into the future, rather than solely reacting to past events as the catalyst for improving safety. As the industry becomes more complex and aircraft become more sophisticated, demands on airports will increase. If public confidence in the safety of the air transportation system is to be maintained, everyone involved must play a role. Simply following regulations will not be enough. Regulations too often are developed in reaction to past events. Managing risk needs to be proactive and consider the specific characteristics of each airport. This guidebook gives airport operators the means and methods to perform SRM and considers the wide spectrum of airport characteristics. Airport owners and operators will benefit from regular use of this guide- book, regardless of airport size or complexity. 2.1 Background The FAA is developing regulations to require 14 CFR Part 139 certificated airports to develop and implement SMS. This is a result of the International Civil Aviation Organization (ICAO) requirement for all member states (the United States being one) to develop and implement SMS for the regulator and the international airports of member states. C H A P T E R 2 Introduction

12 A Guidebook for Safety Risk Management for Airports The airport industry knows that SMS will become a regulatory requirement. SMS will require more knowledge and training for airport staff and stakeholders. SMS references that provide objective and practical guidance specifically addressing airport needs are needed. The need for SRM guidance became clear during the FAA pilot studies on SMS. Given this situation combined with a desire to address pending regulation, the industry identified the need for this guidebook. In developing this guidebook, the authors used many lessons learned from the FAA-sponsored SMS Pilot Studies. Key information about SRM learned during the pilot studies helped to identify tools and support data that were missing and that should be developed to help airports run their SRM processes. The guidebook also reflects experiences from other countries and other industries that have adopted SMS. The guidebook presents concepts that are important to proper implemen- tation and application of SRM, but many of these concepts (such as SRM and SRA triggers) can be difficult to understand or apply correctly. Questions about when the SRM process can and should be applied, and what considerations go into the decision to convene a panel and conduct an SRA arise often during early SMS implementation efforts. The guidebook provides explanations and examples for important concepts like these. The guidebook also consolidates information on the resources available, uses research and experience to fill the gaps, and provides guidance and examples to help the industry move forward with SMS to improve the managing of safety. 2.2 Guidebook Audience This guidebook was developed for airport staff responsible for SMS. The person or team responsible for an airport’s safety should have in-depth knowledge of SMS and SRM; however, everyone working at an airport is responsible for safety. This guidebook can help anyone—airport staff, consultant or stakeholder—better understand SRM concepts, their practical application in dealing with airport issues that affect safety, and how SRM can enhance job performance. The guidebook provides airports with tools to develop, set up, and perform SRM. Airports are the link between aircraft operators, the FAA, and the traveling public. With the right resources to manage safety risks, airports can improve the overall safety of the aviation industry and specifi- cally improve safety for their airport users. SRM used by one airport positively affects not only the airport staff, but everyone involved with, working on, or traveling from that airport and can even reach outside the immediate airport environment and improve the safety for the surround- ing community and its activities. Regardless of past or pending regulations, SRM is a proven way to manage safety—determining hazards and their associated risks and mitigating them, before accidents occur, thus improving the overall safety performance of the National Airspace System (NAS). SRM processes are not restricted to managing safety risk. The techniques can be used in every line of business. Other airport lines of business, such as environmental management, use similar approaches to manage the risk of their activities. Risk management, through use of the meth- ods and tools in this guidebook, can be applied to all aspects of the airport, including property development, concessions, and Fixed-Base Operator (FBO) operations. Using a common risk management approach is helpful from a standardization perspective. A common approach will reduce confusion among organizational divisions and increase understanding and acceptance of risk management throughout the airport community.

13 The guidebook provides tools, examples, and guidance to help airports manage safety risks using the SRM process. Airport operators can use the guidebook to develop scalable SRM processes and procedures. The guidebook provides sections and chapters that can standalone. An airport manager need not need absorb all contents to start using SRM. For example, Appendix B, which provides the basics for a handbook to conduct a safety risk assessment (SRA), is effective as a standalone tool. If theory and background behind process and tools are needed, users can easily find and extract such material for education and training when necessary. All readers, regardless of their knowledge of SMS and SRM, should become familiar with the overall content and structure and then review applicable chapters more thoroughly. This guidebook is a resource—for ideas, examples, lessons learned, methods, techniques, templates, and tools for use at their airport—airports should not consider it as required or prescriptive doctrine. This guidebook reflects input from various industries and can provide the foundation for how the airport management conducts its daily business, rather than SRM being just part of safety business. 3.1 Guidebook Organization The guidebook has five major parts. Each part has several chapters, as shown in Figure 3-1. Each part builds on the previous part and provides the user with information and tools necessary to develop and set up SRM. The appendices have additional material, such as tools, templates, and information on baseline risks, to help airports carry out SRM processes. • Part I discusses the guidebook’s structure (see Figure 3-1). Part I presents key terms and explains how key ideas, hints, and concepts are highlighted. • Part II presents basic SRM concepts. Part II helps the reader understand SRM, where it fits within the airport SMS, and its relationships with other SMS components. Part II also addresses how SRM improves airport systems and projects. • Part III explains how to apply SRM. Part III also describes (1) how to use the five steps of the SRM process to address hazards and identify actions to mitigate risks and (2) the continual interaction between SRM and Safety Assurance (SA). • Part IV presents SRM processes in the operational sense. Part IV describes how routine haz- ards are dealt with every day and how they are documented for further analysis. When non- routine hazards are present, such as those associated with airfield construction or special events, Part IV helps the user recognize SRM triggers and when to gather a team to conduct an SRA. Part IV also describes the decision and implementation processes for risk mitigations. C H A P T E R 3 Using the Guidebook

14 A Guidebook for Safety Risk Management for Airports • Part V focuses on procedures for evaluating more complex hazards using SRA techniques and templates. Part V addresses SRA planning, facilitation, and reporting, including specific facilitation techniques and support material available in the appendices, such as preliminary lists of hazards and baseline risks. 3.2 Key Concepts The guidebook is organized so that important concepts are easily located. The Contents and Figure 3-1 tell where to find parts, chapters, and key concepts. The appendices include vari- ous tools, templates, and samples. For example, there is a sample SRM handbook that can be removed, reproduced, and used to guide the formal application of SRM. To direct the user to key SRM aspects and identify where and when they apply, the guidebook uses text boxes with icons as indicators. They are as follows: Figure 3-1. Guidebook outline. This icon and text box point out Key Aspects of the guidebook.

Using the Guidebook 15 This icon and text box point to important concepts and how they Apply to Small Airports. This icon and text box point out Potential Bottlenecks and practi- cal alternatives to overcome such bottlenecks. This icon and text box point to Examples and Practical Recom- mendations.

16 For this guidebook, a small airport is non-primary and has fewer than 20 employees working full time. Most small airports have limited resources and staff to manage an SMS and to run SRM processes. Despite these limits, small airports can benefit from using SRM concepts and applying the templates and tools presented in this guidebook. At the end of each part, a section is devoted to helping small airports set up SRM using avail- able resources. The Small Airport icon points out guidance for small airports throughout the guidebook. C H A P T E R 4 Small Airports Regardless of pending regulatory requirements, small airports can use the SMS and SRM concepts described in this guidebook to manage safety issues at the airport actively and effectively.