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33 Based on the survey and interview responses, the guidance presented in ACRP Report 131 (2015), and on the Eurocontrol Safety Assessment Methodology (2006), a summary of common practices and issues related to the various steps of conducting an SRA is presented in this chapter. The guidance presented is applicable to SRAs only; that is, safety assessments that use airport-led SRM panels. The SRA process, from the moment the assessment is triggered to the implementation of risk mitiga- tion actions, is illustrated in Figure 15 and includes four phases. These phases should not be confused with the five steps of the SRM process used by the SRM Panel in the SRA brainstorming session. It is important to understand the process flow, as well as the objective, most effective practices, and the deliverables of each phase of this process. A summarized template for SRA planning appears in Appendix F. Many foreign airports define the SRA process in their SMS manuals. PHASE 1âPLANNING In Phase 1, a risk assessment is triggered by an internal decision made by airport management, by a trigger defined in the airportâs SMS Manual, or in another reference or procedure used by the airport. Table 9 summarizes the objective and the methodologies used in Phase 1. In this phase the airport makes the decision to conduct the SRA and develops a plan for execution. The plan includes the identification and invitation of stakeholders to compose the SRM panel, and preparation of material to explain the safety issue to be discussed. In addition to inviting stakeholders to serve on the SRM panel, the SMS coordinator is responsible for evaluating the need to bring SMEs and facilitators to support the SRA. When scheduling an SRA, if at all possible, it is beneficial to split the sessions between 2 days. In addition to the panel getting some rest, the facilitator will have time to organize notes and prepare documentation for the second session. PHASE 2âPREPARATION AND SCHEDULING In Phase 2, the participants receive pre-meeting information about the safety issue to be discussed and assessed. FAA ARP and ATO use summary documents called Project Proposal Summaries or Change Proposals to summarize the safety issue using plain language, charts, and graphics. The SRA facilitator may also prepare an SRA briefing to help panel participants understand the SRA process and the safety issue that will be discussed. In this phase the SRA brainstorming meeting is scheduled, and scheduling is one of the most critical tasks in the process. The importance of ensuring participa- tion of key people in the SRA cannot be overestimated. Experienced stakeholders can bring light to hazards that were missed during the brainstorming process and point out risk control actions that are not feasible from a practical perspective. Based on the survey conducted for this study, scheduling is one of the most difficult tasks, and the more participants are involved, the greater the difficulty to get confirmation from key people. Upon confirmation, the SRM panel participant receives the summary information about the safety issue chapter four SAFETY RISK ASSESSMENT PROCESS FOR AIRPORTS
34 being assessed. The intent is that the participant understands the safety issue before the brainstorm- ing meeting takes place to identify hazards and assess risks. Some airports hired experienced consultants to facilitate the SRA, and the task of hiring this per- son and a note-taker is also part of this phase. When a consultant is hired, the consultant will help pre- paring the preliminary material and the SRA briefing. Table 10 summarizes the actions for Phase 2. For an SRA, the airport is responsible for setting the agenda, selecting and inviting panel partici- pants, and confirming how decisions will be made (consensus, vote, or unilaterally after reviewing Phase 1 Triggering and Planning of SRA Objective ⢠Initiation of the SRA, preparation of preliminary material, and selection and invitation of stakeholders to participate as panel members. ⢠Help participants understand safety issues involved in advance of brainstorming meeting. Methodology Trigger SRA ⢠SMS triggers defined in the airportâs SMS manual. ⢠Airport management decision. ⢠Triggers described in ACRP Report 131. Identify Stakeholders ⢠Identify stakeholders impacted by safety issue/change/project. Prepare Preliminary Material ⢠Collect information and documentation about safety issue to be assessed, including maps and plans, schedule, implementation phases. ⢠Summarize information to circulate among stakeholders participating in the SRM panel. ⢠Develop SRA schedule. Invite SRM Panel Participants ⢠Submit invitation and proposed schedule. ⢠Submit preliminary material. Checklist ⢠Do we have a well-defined scope for the SRA? ⢠Do we have a list of stakeholders that will populate the SRM panel, with their contact information for inviting participation? ⢠Has the panel list been reviewed, and does everyone agree with the list? ⢠Have we invited the panel participants with proposed date for the SRA session? ⢠Have the key requirements and specifications been captured and summarized in the preliminary material to be circulated among panelists? ⢠Have we submitted a summary of the safety issue and SRA schedule to the panel participants? ⢠Do we have the facilities to run the SRA session(s) with a white board, flip chart, and electronic means? Source: ASM Consultants, based on ACRP Report 131 (2015). TABLE 9 SRA PHASE 1 Phase 2 Preparation of SRA Objective Submit preliminary information and prepare SRA briefing. Methodology Phone calls and electronic messages to invite participants. Attach preliminary information. Develop a structure for the SRA identifying phases and associated activities. Develop preliminary list of hazards. Use briefing template (Appendix G) or adapt FAA briefing. Checklist Have all panel members confirmed participation? Has the preliminary material been submitted to panel participants? Do we have an agreed schedule? Have we developed a structure for hazard identification? Do we have a preliminary list of hazards? Have we prepared a 30-min briefing for the SRA? Do we have handouts, sticky notes, and pencils for the session? Source: ASM Consultants, based on ACRP Report 131 (2015). TABLE 10 SRA PHASE 2 FIGURE 15 Safety assessment process (Source: ACRP Report 131 2015).
35 opinions). A checklist of tools and equipment required for the brainstorming meeting prepared by HartsfieldâJackson Atlanta International Airport is presented in Appendix H. PHASE 3âCONDUCTING THE SAFETY RISK ASSESSMENT In Phase 3 the SRA is conducted according to the plan developed in Phase 1. The details of this step are presented in chapters 5 and 6 of this report and summarized in Table 11. The purpose of the SRA meeting is to understand the impacts to operations and identify the hazards associated with the safety issue discussed, infer potential outcomes and levels of risks related to the hazards, and deliberate on the mitigation actions to balance the safety outcome and resource constraints. PHASE 4âSAFETY RISK ASSESSMENT REPORTING In Phase 4 the SRA Report is prepared. In most situations the report is prepared by the facilitator, pos- sibly with the help of a note taker (a note taker can improve the dynamics of the brainstorming session and make it more effective, particularly when there are many panelists). Initially, a preliminary report is prepared and circulated among panel members for review. The reviews are consolidated in a Final SRA Report, and it is circulated among panel participants for approval. If the SRA is internal to the airport, some airports will require a responsible manager to sign the approval of the report. Table 12 presents a summary of actions for Phase 4, and Table 13 provides an example structure for SRA report. Phase 3 Conduct the SRA Objective Conduct the SRA brainstorming meeting to identify hazards, assess risks, and determine actions to control risks. Methodology ⢠SRA briefing. ⢠5-step risk assessment process recommended by the FAA. ⢠5M to describe the system. ⢠Brainstorming and preliminary list of hazards to identify hazards. ⢠Brainstorming and consensus to assess risks. ⢠Consensus to assign responsibilities for implementation of risk control actions. ⢠Risk register and checklists to monitor implementation of risk control actions. Checklist ⢠Have we delivered the briefing and explained the SRA process? ⢠Have we presented a structure for the brainstorming process of hazard identification? ⢠Do we have an SRA worksheet with hazards, risks, and control actions? ⢠Do we have the notes taken during the brainstorming session? ⢠Have we pointed out to panelists the next steps of the SRA process? Note: Examples of SRM worksheets used during SRA sessions are presented in Appendix I. Source: ASM Consultants, based on ACRP Report 131 (2015). TABLE 11 SRA PHASE 3 Phase 4 SRA Report Objective Consolidate results of the SRA meeting. Methodology ⢠SRA Report template (see report templates and examples in Appendices J, K, and L). ⢠Review of report by SRM panel. ⢠Consolidation of SRM panel reviews. ⢠SRA approval. ⢠Create risk register. Checklist ⢠Have we prepared a preliminary SRA Report? ⢠Has the report been circulated and approved by panelists? ⢠Do we have a summary of risk control actions and the most critical risks? ⢠Have we included the SRA information in the airportâs risk register? ⢠Do we have a plan to implement and monitor risk mitigation actions? ⢠Do we have a Final SRA Report approved by the panelists? Source: ASM Consultants, based on ACRP Report 131 (2015). TABLE 12 SRA PHASE 4
36 FAA ARP documents the SA by combining the following contents (FAA ARP SMS Desk Refer- ence, V1.0 2012): ⢠Completed Safety Assessment Screening form signed by the panelists, the appropriate FAA representative, and the airport sponsor ⢠Project proposal summary ⢠Hazard identification and analysis tool worksheet ⢠Hazard mitigation plan completed as defined by the panel ⢠Narrative of issues discussed and further explanation of findings and dissenting opinions, when applicable ⢠Pictures and other illustrations. Although the structure presented is not required for SRA reports, it provides a good organization that can be used by airports to document their SRAs conducted by an SRM panel. A sample SRA Report is shown in Appendix J, and two additional templates are shown in appendices K and L. A few of the airports that participated in the FAA Implementation Study have developed their own templates to simplify documenting the SRA, as shown in Appendix K. A worksheet with description of hazards, potential outcomes, and current and residual risk levels with associated risk mitigation actions, is the key information to document in the SRA report. One important component of an SRA Report is the plan to ensure that risk mitigation actions will be in place. Based on the survey conducted in this study, many airports have found it challenging to ensure that risk control actions derived from the SRA are actually monitored and implemented. Chapter seven describes most effective practices used by Part 139 and foreign airports for planning of safety assurance measures. Cover page Version tracking Approval signature pages, including list of SRM panel members Table of contents Executive summary Introduction Description of safety issue/change Implementation phases and activities Description of the system Risk assessment templates with hazards, risks, and control actions Summary of risks and mitigation actions with responsibilities Plan to ensure implementation of risk mitigation actions Appendices - Project phasing - Pictures, drawings, plans, and illustrations - Map of most critical hazards - SRA worksheets - SRM panel attendees - Other Source: PDX SRM Report. TABLE 13 CONTENTS OF AN SRA REPORT
