Airport Safety Risk Management Panel Activities and Outcomes (2016)

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TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2016 www.TRB.org Research Sponsored by the Federal Aviation Administration SubScriber categorieS Aviation • Security and Emergencies 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 SYNTHESIS 71 Airport Safety Risk Management Panel Activities and Outcomes A Synthesis of Airport Practice conSultantS Manuel Ayres, Jr. and Allen Parra Airport Safety Management Consultants, LLC Ann Arbor, Michigan

AIRPORT COOPERATIVE RESEARCH PROGRAM Airports are vital national resources. They serve a key role in transportation of people and goods and in regional, national, and international commerce. They are where the nation’s aviation sys- tem connects with other modes of transportation and where federal responsibility 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 oper- ating problems, to adapt appropriate new technologies from other industries, and to introduce innovations into the airport industry. The Airport Cooperative Research Program (ACRP) serves as one of the principal means by which the airport industry can develop innovative near-term 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 sponsored by the Federal Aviation Administration (FAA). ACRP carries out applied research on problems that are shared by airport operating agencies and not being adequately addressed by existing federal research programs. ACRP is modeled after the successful National Cooperative Highway Research Program (NCHRP) and Transit Cooperative Research Program (TCRP). ACRP undertakes research and other technical activities in various airport subject areas, including design, construction, legal, mainte- nance, operations, safety, policy, planning, human resources, and administration. ACRP provides a forum where airport operators can cooperatively address common operational problems. ACRP was authorized in December 2003 as part of the Vision 100—Century of Aviation Reauthorization Act. The primary par- ticipants 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 indus- try organizations such as the Airports Council International-North America (ACI-NA), the American Association of Airport Execu- tives (AAAE), the National Association of State Aviation Officials (NASAO), Airlines for America (A4A), and the Airport Consul- tants Council (ACC) as vital links to the airport community; (2) 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 Academy of Sciences for- mally initiating the program. 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 organizations. Each of these participants has different interests and responsibilities, and each is an integral part of this cooperative research effort. Research problem statements for ACRP are solicited periodi- cally but may be submitted to TRB by anyone at any time. It is the responsibility of the AOC to formulate the research program by identifying the highest priority projects and defining funding levels and expected products. Once selected, each ACRP project is assigned to an expert panel appointed by TRB. Panels include experienced practitioners and research specialists; heavy emphasis is placed on including airport professionals, the intended users of the research products. The panels prepare project statements (requests for proposals), select contractors, and provide technical guidance and counsel throughout the life of the project. The process for developing research prob- lem statements and selecting research agencies has been used by TRB in managing cooperative research programs since 1962. As in other TRB activities, ACRP project panels serve voluntarily with- out compensation. Primary emphasis is placed on disseminating ACRP results to the intended users of the research: airport operating agencies, service providers, and academic institutions. ACRP produces a series of research reports for use by airport operators, local agencies, the FAA, and other interested parties; industry associations may arrange for workshops, training aids, field visits, webinars, and other activities to ensure that results are implemented by airport industry practitioners. ACRP SYNTHESIS 71 Project A11-03, Topic S04-14 ISSN 1935-9187 ISBN 978-0-309-38969-3 Library of Congress Control Number 2016933712 © 2016 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 not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FRA, FTA, Office of the Assistant Secretary for Research and Technology, PHMSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit 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 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 National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessari- ly those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; 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 by going to http://www.national-academies.org and then searching for TRB Printed in the United States of America

The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Ralph J. Cicerone is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to increase the benefits that transportation contributes to society by providing 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 committees, task forces, and panels 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 individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

TOPIC PANEL S04-14 SCOTT AYERS, City of Atlanta Department of Aviation, Fayetteville, Georgia NATHAN CUVALA, T-O Engineers, Inc., Boise, Idaho MARY REKER, Able Engineering & Component Services, Inc., Mesa, Arizona STEVEN E. RUNGE, Houston Airport System, Houston, Texas ELIZABETH C. SMART, Lambert–St. Louis International Airport, St. Louis, Missouri ROGER STUDENSKI, Jacksonville Aviation Authority, Jacksonville, Florida TAIYA CARTER, Federal Aviation Administration (Liaison) KERI LYN LYONS, Federal Aviation Administration (Liaison) NELSON LAM, Airports Council International–North America (Liaison) SYNTHESIS STUDIES STAFF STEPHEN R. GODWIN, Director for Studies and Special Programs JON M. WILLIAMS, Program Director, IDEA and Synthesis Studies JO ALLEN GAUSE, Senior Program Officer GAIL R. STABA, Senior Program Officer DONNA L. VLASAK, Senior Program Officer TANYA M. ZWAHLEN, Consultant DON TIPPMAN, Senior Editor CHERYL KEITH, Senior Program Assistant DEMISHA WILLIAMS, Senior Program Assistant DEBBIE IRVIN, Program Associate COOPERATIVE RESEARCH PROGRAMS STAFF CHRISTOPHER W. JENKS, Director, Cooperative Research Programs MICHAEL R. SALAMONE, Senior Program Officer JEFFREY OSER, Program Associate EILEEN P. DELANEY, Director of Publications ACRP COMMITTEE FOR PROJECT 11-03 CHAIR JULIE KENFIELD, Jacobsen/Daniels Associates, LLC, Garden Ridge, Texas MEMBERS JOSHUA D. ABRAMSON, Easterwood Airport, College Station, Texas DEBBIE K. ALKE, Montana Department of Transportation, Helena, Montana DAVID N. EDWARDS, JR., Greenville–Spartanburg Airport District, Greer, South Carolina DEBORAH FLINT, Los Angeles World Airports, Los Angeles, California LINDA HOWARD, Independent Aviation Consultant, Bastrop, Texas ARLYN PURCELL, Port Authority of New York & New Jersey, New York, New York CHRISTOPHER J. WILLENBORG, Massachusetts Military Asset and Security Strategy Task Force, Chicopee, Massachusetts FAA LIAISON PATRICK W. MAGNOTTA AIRCRAFT OWNERS AND PILOTS ASSOCIATION ADAM WILLIAMS AIRPORTS CONSULTANTS COUNCIL MATTHEW J. GRIFFIN AIRPORTS COUNCIL INTERNATIONAL–NORTH AMERICA LIYING GU TRB LIAISON CHRISTINE GERENCHER Cover figure: The SRM Process. Source: ASM Consultants.

FOREWORD This synthesis of airport practice compiles information and tools that help Part 139 air- ports conduct Safety Risk Assessments (SRAs) effectively. To identify the existing tools and state of the practice, a survey and interviews were conducted with Part 139 airports, foreign airports, military organizations, and Safety Management System (SMS) consul- tants who have been supporting airports with SMS implementation and leading Safety Risk Management panels. This report enhances ACRP Report 131: A Guidebook for Safety Risk Management for Airports with additional tools and templates, and presents the conclusions from the survey and interviews as well as the main findings from the litera- ture review. Several tools and templates, including a Quick Reference Guide and a template for the SRA briefing, are provided in the appendices of this report. Manuel Ayres, Jr., and Allen Parra, Airport Safety Management Consultants, LLC, Ann Arbor, Michigan, collected and synthesized the information and wrote the report. The members of the topic panel are acknowledged on the preceding page. This synthesis is an immediately useful document that records the practices that were acceptable within the limitations of the knowledge available at the time of its preparation. As progress in research and practice continues, new knowledge will be added to that now at hand. Airport administrators, engineers, and researchers often face problems for which infor- mation already exists, either in documented form or as undocumented experience and prac- tice. This information may be fragmented, scattered, and unevaluated. As a consequence, full knowledge of what has been learned about a problem may not be brought to bear on its solution. Costly research findings may go unused, valuable experience may be overlooked, and due consideration may not be given to recommended practices for solving or alleviat- ing the problem. There is information on nearly every subject of concern to the airport industry. Much of it derives from research or from the work of practitioners faced with problems in their day-to-day work. To provide a systematic means for assembling and evaluating such useful information and to make it available to the entire airport community, the Airport Coop- erative Research Program authorized the Transportation Research Board to undertake a continuing project. This project, ACRP Project 11-03, “Synthesis of Information Related to Airport Practices,” searches out and synthesizes useful knowledge from all available sources and prepares concise, documented reports on specific topics. Reports from this endeavor constitute an ACRP report series, Synthesis of Airport Practice. This synthesis series reports on current knowledge and practice, in a compact format, without the detailed directions usually found in handbooks or design manuals. Each report in the series provides a compendium of the best knowledge available on those measures found to be the most successful in resolving specific problems. PREFACE By Gail R. Staba Senior Program Officer Transportation Research Board

CONTENTS 1 SUMMARY 3 CHAPTER ONE INTRODUCTION Safety Assessments versus Safety Risk Assessments, 4 Background, 5 Objective, 5 Definitions, 5 Acronyms, 7 Report Content, 8 9 CHAPTER TWO STUDY TASKS Literature Review, 9 Survey and Interviews, 9 Survey Responses, 14 Conclusions of Survey, 26 28 CHAPTER THREE UNDERSTANDING THE SAFETY ASSESSMENT METHODOLOGY Risk Assessment Methodologies Used by Airports, 28 Benefits of Safety Risk Management Panels, 32 33 CHAPTER FOUR SAFETY RISK ASSESSMENT PROCESS FOR AIRPORTS Phase 1—Planning, 33 Phase 2—Preparation and Scheduling, 33 Phase 3—Conducting the Safety Risk Assessment, 35 Phase 4—Safety Risk Assessment Reporting, 35 37 CHAPTER FIVE HAZARD IDENTIFICATION AND RISK ASSESSMENT TECHNIQUES Hazard Identification Concepts, 37 Common Hazard Identification Techniques, 39 Bow-Tie Model for Risk Assessment, 42 46 CHAPTER SIX FACILITATION OF AIRPORT-LED SAFETY RISK ASSESSMENTS Safety Risk Assessment Roles, 46 General Facilitation Principles, 47 Common Facilitation Issues, 49 Successful Safety Risk Assessment Sessions, 49 Safety Risk Assessment Facilitation Training, 51 52 CHAPTER SEVEN SUPPORT MATERIALS AND TOOLS FOR AIRPORT-LED SAFETY RISK ASSESSMENTS Safety Risk Assessment and Safety Assessment Triggers, 52 Risk Mitigation Issues and Solutions, 52

56 CHAPTER EIGHT CONCLUSIONS Survey Findings, 56 Main Gaps Identified, 57 Tools and Templates, 57 Future Research, 57 60 REFERENCES 62 APPENDIX A SURVEY QUESTIONNAIRE 66 APPENDIX B LIST OF ORGANIZATIONS AND CONSULTANTS PARTICIPATING IN THE SURVEY 67 APPENDIX C SAMPLE CHECKLIST FOR INSPECTION OF RISK CONTROL ACTIONS 68 APPENDIX D QUICK REFERENCE GUIDE FOR SAFETY ASSESSMENTS 75 APPENDIX E CHECKLIST FOR AIRFIELD CONSTRUCTION 76 APPENDIX F TEMPLATE FOR SRA PLANNING 77 APPENDIX G BRIEFING TEMPLATE FOR SAFETY ASSESSMENTS 92 APPENDIX H SAMPLE CHECKLIST FOR SRA 95 APPENDIX I SAMPLE WORKSHEETS FOR SAFETY ASSESSMENTS 99 APPENDIX J SRA REPORT EXAMPLE 112 APPENDIX K SRA REPORT TEMPLATE 115 APPENDIX L SIMPLE SRA REPORT 117 APPENDIX M COMMON SRA TRIGGERS (ACRP REPORT 131 2014) 118 APPENDIX N RISK REGISTER 120 APPENDIX O SAFETY RISK MANAGEMENT WORKSHEET—ACTION PLAN 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.