module 4a: hazard identification & risk mitigation worksheet · 2017-03-15 · risk mitigation...

10/01/2017

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Copyright © 2015 CAAS. No part of it may be used, circulated, quoted, or reproduced for distribution outside CAAS without prior written permission. Every care has been taken to ensure that the

information contained here is accurate. Nonetheless, CAAS does not warrant the currency, accuracy or completeness of the information contained in this document, nor does CAAS accept liability

for loss or damage including without limitation, indirect or consequential loss or damage, or any loss or damage whatsoever arising from reliance on the information contained in this presentation.

Module 4A:

Hazard Identification & Risk Mitigation

Worksheet

Copyright © 2015 Civil Aviation Authority of Singapore. All rights reserved.

Intermediate Objectives

2

2.1 SRM Strategy

2.2 Purpose of HIRM Worksheet

2.3 HIRM Terminology & Definitions

2.4 Customize HIRM Tool & SOP

2.5 Create Master Hazards Register

2.6 Prioritize Hazards for risk mitigation

2.7 Activate risk mitigation for selected Hazards

2.8 Project Unsafe Event/ Ultimate Consequence

2.9 Evaluate Defenses & Risk Index

2.10 Check Defenses to Risk Index Correlation

2.11 SRM Report

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2.1 Safety Risk Mitigation - Strategy

�Know your operational SRM context within the aviation system -

3

Component MRO

Engine

MRO

Hangar

MRO

Airline

OPS

AIS

AMO

ATO

ANSPDMO

ATM

Engine

Aircraft

C UE H

C UE H

SAR-FF

AGA

CNS

Ground Control

Ground services

C UE H Comp

UE

C UE H

H

C UE HLine

Maint

H

UE

H

C UE HHangar

MaintC UE H

HC

Cargo /

DG handling

C UE HC UE HEngine

Maint

C

Fuel Suppliers

UE HCUE HComp

Maint

H UE

C UE

C UE

UE

C

C

H UC UEC HH UE C

H UE H

C UE

Define H>US>C in

your own

operational

context - within

the aviation

system

C

Copyright © 2015 Civil Aviation Authority of Singapore. All rights reserved. 4

OPS

AIS

AM O

ATO

ANSPDM O

ATM

Engine

Aircraft

C UE H

C UE H

SAR-FF

AGA

CNS

Ground Control

Ground services

C UE H Comp

UE

C UE H

H

C UE HLine

Maint

H

UE

H

C UE HHangar

MaintC UE H

HC

Cargo /

DG handling

C UE HC UE HEngine

Maint

C

Fuel Suppliers

UE HCUE HComp

Maint

H UE

C UE

C UE

UE

C

C

H UC UEC HH UE C

H UE H

C UE

Define H>US>C in

your own

operational

context - within

the aviation

system

C

>>> Define H>TE>C (sht 11A)

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Component MRO

Engine MRO

Hangar MRO

Airline

5

>>> Define H>TE>C (sht 11A)


� Three approaches to define your specific H>TE>UC threads

1. Hazard Approach -

6

SRA Table - Hazard Approach Individual SRM Tasks

H TE UC Task #

UC-1 1

UC-2 2

Nil UC-3 3

UC-4 4

UC-5 5

1. HAZARD (H) Approach

Thread

H-1

TE-1

TE-2

UC-5

H-1

TE-2

TE-1

UC-1

UC-2

UC-3

UC-4

H-1 > TE-1 > UC-1

H-1 > TE-1 > UC-2

H-1 > UC-3

H-1 > TE-2 > UC-4

H-1 > TE-2 > UC-5

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2. Top Event (UE) Approach -

2. TOP EVENT (TE) Approach

SRA Table - TE Approach Individual SRM Tasks

H TE UC Task #

UC-3 3

H-1 UC-1Thread

H-2 TE-1 UC-2

H-3 > TE-1 > UC-3H-3 UC-3

H-1 > TE-1 > UC-1

2 H-2 > TE-1 > UC-2H-2 UC-2

H-1

TE-1

UC-1 1

H-3


3. Consequence (Accident) Approach -

8

SRA Table - UC Approach Individual SRM Tasks

UC TE H Task #

H-1 1

H-2 2

H-3 3

H-4 4

3. ACCIDENT (Ultimate Consequence) Approach

TE-1

TE-2

H-1

H-4

H-2Thread

UC-1

TE-1H-1 > TE-1 > UC-1

UC-1H-2 > TE-1 > UC-1

TE-2H-3 > TE-2 > UC-1

H-3H-4 > TE-2 > UC-1

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Risk Mitigation > ALARP

• Overall intent of a SRM exercise is to drive the risk index

(severity x likelihood) of a Hazard’s projected Consequence

to an acceptable or tolerable level (ALARP).

� A risk mitigation process is essentially achieved through the

modification or enhancement of existing defenses, or

incorporation of additional defenses.

9


Three outcomes from a SRM exercise:

1. Hazard Elimination –

• Eliminate or remove the hazard altogether (and hence its potential

consequences).

• Possible only if the hazard can indeed be totally eliminated or

removed by conventional corrective actions such as repair,

replacement, rectification or disposal.

• Such hazards are usually temporary, transient or isolated in nature

and which do not necessitate resolution through a systematic SRM

protocol.

Example – Unclear/ damaged taxiway sign board. Replace/ repair sign

board (No SRM action required).

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2. Risk Mitigation –

Mitigate against the Hazard’s Consequence by reducing its risk index (likelihood/ severity) to an acceptable or tolerable level. This is achieved through incorporation of new defenses or enhancement of existing defenses. Applicable for hazards which are of a permanent or recurring nature, and which cannot be eliminated through conventional corrective actions alone.

Example - Regular bird migration across an aerodrome. Hazard cannot be eliminated (require systematic SRM action).

11


3. Avoidance – Avoid the Hazard (hence its Consequence) altogether by suspending or cancelling the operational activity or relevant portion of it. This is probably the result of a safety risk index level which remains highly intolerable/ unacceptable in spite of all possible (or economically viable) defenses being considered.

Example – Cancel volcanic airspace operations when volcanic activity is reported, because there are no viable alternate routes.

12

Risk Mitigation Strategies

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Risk Mitigation Actions - Effectiveness

Each proposed defense or mitigation action should be examined from following perspectives:

• Effectiveness - mitigating action can reduce the risk severity/ likelihood.

• Cost/benefit - perceived benefits of the mitigation outweigh the costs.

• Practicality - mitigation can be implemented and how viable it will be.

• Acceptability - mitigation is congruent with stakeholder expectations.

• Enforceability - compliance with new rules, regulations or operating procedures can be monitored.

• Durability - mitigation will be sustainable and effective.

• Residual safety risks - Level of the resultant safety risk after mitigation and which may necessitate further risk control measures subsequently.

� Unintended consequences - Probability of introducing unintended hazards as a result of the new mitigating actions being put in place.

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2.2 Purpose of HIRM Worksheet

Hazard Identification & Risk Mitigation (HIRM) Worksheet [Risk mitigation illustration] Oct 14

2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59

1. E

merg

enc

y

Pro

ce

du

re

2. B

ac

ku

p

Sy

ste

m

3.

Ab

no

rmal

Pro

ced

ure

4.

SO

P

5. S

pe

cia

l

Insp

n

6. G

M

7.

Org

an

iza

tion

Ap

pro

va

l

8.

Pe

rsonn

el

Ap

pro

va

l

9. T

RN

G

10.

Oth

ers

Esc

ala

tion

Facto

r [E

F]

Esc

ala

tion

Co

ntr

ol [E

C]

Sev

eri

ty x

Lik

elih

oo

d

Ris

k L

ev

el

1. E

merg

enc

y

Pro

ce

du

re

2. B

ac

ku

p

Sy

ste

m

3.

Ab

no

rmal

Pro

ced

ure

4.

SO

P

5. S

pe

cia

l

Insp

n

6. G

M

7.

Org

an

iza

tion

Ap

pro

va

l

8.

Pe

rsonn

el

Ap

pro

va

l

9. T

RN

G

10.

Oth

ers

Esc

ala

tion

Facto

r [E

F]

Esc

ala

tion

Co

ntr

ol [E

C]

Sev

eri

ty x

Lik

elih

oo

d

Ris

k L

ev

el

1. E

merg

enc

y

Pro

ce

du

re

2. B

ac

ku

p

Sy

ste

m

3.

Ab

no

rmal

Pro

ced

ure

4.

SO

P

5. S

pe

cia

l

Insp

n

6. G

M

7.

Org

an

iza

tion

Ap

pro

va

l

8.

Pe

rsonn

el

Ap

pro

va

l

9. T

RN

G

10.

Oth

ers

Esc

ala

tion

Facto

r [E

F]

Esc

ala

tion

Co

ntr

ol [E

C]

Sev

eri

ty x

Lik

elih

oo

d

Ris

k L

ev

el

1. E

merg

enc

y

Pro

ce

du

re

2. B

ac

ku

p

Sy

ste

m

3.

Ab

no

rmal

Pro

ced

ure

4.

SO

P

5. S

pe

cia

l

Insp

n

6. G

M

7.

Org

an

iza

tion

Ap

pro

va

l

8.

Pe

rsonn

el

Ap

pro

va

l

9. T

RN

G

10.

Oth

ers

Esc

ala

tion

Facto

r [E

F]

Esc

ala

tion

Co

ntr

ol [E

C]

Sev

eri

ty x

Lik

elih

oo

d

Ris

k L

ev

el

E-

PC

1

EF>E-

PC1

EC1>EF

>E-PC1

N-

PC1

EF>N-

PC1

EC>EF>

N-PC1

E-

RM1

EF>E-

RM1

EC>EF>

E-RM1

N-

RM1

EF>N-

RM1

EC>EF>

N-RM1

EF>E-

PC2

EC>EF-

F-PC2

N-

PC2

EF>N-

PC2

EC>EF>

N-PC2

EF>E-

RM2

EC>EF>

E-RM2

N-

RM2

EF>N-

RM2

EC>EF>

N-RM2

EF>E-

PC3

EC>EF>

E-PC3

EF>N-

PC3

EC>EF>

N-PC3

EF>E-

RM3

EC>EF>

E-RM3

EF>N-

RM3

EC>EF>

N-RM3

EF>E-

PC4

EC>EF>

E-PC4

EF>N-

PC4

EC>EF>

N-PC4

EF>E-

RM4

EC>EF>

E-RM4

EF>N-

RM4

EC>EF>

N-RM4

Description of New Preventive Controls [N-PC] Description of Existing Recovery Measures [E-RM] Description of New Recovery Measures [N-RM]

EF>E-PC1: No documented procedure/ instruction for such

reporting expectation.

N-PC2: SOP to be put in place to require that all aircraft

fuselage doors to be closed or sealed during silent hours,

especially when undergoing hangar maintenance checks.

EF>N-PC2: There may be occasions where fuselage doors

cannot be closed due to their being removed or dismantled

for maintenance.

EC>EF>N-PC2: For such cases, aircraft maintenance steps

leading to such doors shall be removed or backed-off from

the door by at least 3 feet, during silent hours.

Description of Existing Preventive Controls [E-PC]

E-PC1: Flight, cabin and maintenance personnel are normally

expected to report any rat sightings within an aircraft.

N-PC1: SOP to be put in place to require flight crew and

maintenance personnel to report rats sighting within aircraft

cabin.

E-RM1: Any operational aircraft reported with rat sighting is

normally subjected to a cabin inspection by maintenance

personnel during stayover check.

N-RM1: Special Inspection sheet (Ref SI/ A320/ 25/ 112) has been

raised to require any operational aircraft with reported sighting or

evidence of rats infestation to be scheduled for de-infestation

action by approved Pest Controller upon aircraft return to main

base.

4C

L3 -

Mo

de

rate

Ris

k

3B

R4

- L

ow

Ris

k

N-RM2: A routine "C" Check Maintenance Job Card has been raised

to call for inspection of all opened aircraft internal fuselage

compartments for evidence of rat droppings and necessary follow

up action. Ref: MJC-1C-53-45; SI/ A320/ 25/ 112.

Mu

ltip

le a

ircr

aft

sy

ste

m(s

) fa

ilure

or

mal

fun

ctio

n (

du

e t

o e

lect

rica

l wir

ing

da

mag

e b

y ra

ts).

Act

ua

l ra

t si

gh

tin

gs

or

evid

en

ce o

f

rat

dro

pp

ings

wit

hin

air

craf

t ca

bin

.

Ra

t (s

) in

fest

atio

n w

ith

in a

n

op

erat

ion

al A

32

0 a

ircr

aft

fu

sela

ge/

cab

in

3D

R3

- M

od

era

te R

isk

3B

R4

- L

ow

Ris

k

Ult

ima

te

Co

nse

qu

en

ce

Existing Preventive Controls [E-PC] Existing

RI & TNew Preventive Controls [N-PC]

Resultant

RI & TExisting Recovery Measures [E-RM]

Existing

RI & TNew Recovery Measures [N-RM]

Resultant

RI & T

>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>> Ultimate Consequence Mitigation (as applicable) >>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>

Table B

1

Ha

zard

/ T

hre

at >>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>> Unsafe Event Mitigation (as applicable) >>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>

Un

safe

Ev

en

t

4. ULTIMATE CONSEQUENCE [UC]: Multiple aircraft system(s) failure or malfunction (due to electrical wiring damage by rats).

Table A

1. OPERATION/ PROCESS: Pest control within A320 aircraft fuselage/ cabin.

2. HAZARD / THREAT [H/T]: Rat (s) infestation within an operational A320 aircraft fuselage/ cabin Hazard Code: OPS-ALPHA-TECH-H1-L2-13

3. UNSAFE EVENT [UE]: Rat (s) infestation confirmed through rat sightings or evidence of aircraft wiring damage by roden activities.

14

� Facilitate the performance and documentation of a safety risk mitigation

project for a specific hazard

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2.3 HIRM Terminologies & Definitions >>> (HIRM sht 2)

Sheet 2: Definitions 06 Feb15

1 Hazard Identification & Risk

Mitigation (HIRM)

A structured procedure to identifiy hazards/ threats within a given operation, process or equipment and the evaluation of preventive

controls (defences, barriers) to mitigate against the projected consequence (s) . This HIRM procedure/ process is also commonly known

as Safety Assessment.

2 Operation/ Process Description of Organization/ Operation/ Process/ Equipment wherein the Hazard is identified/ reported/ originated from.

3 Hazard (H) Undesirable condition or object which may cause or contribute to an Unsafe Event or Ultimate Consequence. A hazard must be

specifically described and validated before commencing SRM process. Only permanent or recurring hazards may warrant SRM process.

4 Threat (T) Threats are essentially hazards which are more imminent/ immediate/ visible (hence more threatening) to an operation; in comparison

to more latent or less apparent (generic) hazards. Known or anticipated Threats should be proactively mitigated for, possibly with higher

priority over more latent hazards.

5 Unsafe Event (UE) Most credible unsafe situation, not yet amounting to an Ultimate Consequence or Accident. Usually an intermediate event/ situation

before an Ultimate Consequence/ Accident. Identification of an Unsafe Event is applicable only where there is a need to distinguish and

establish mitigating actions upstream and downstream of such an intermediate event (before the Ultimate Consequence/ Accident). If

this intermediate UE state is not applicable for a particular operation, then it may be bypassed as appropriate.

6 Ultimate Consequence Ultimate event or accident; most credible ultimate outcome.

7 Preventive Control (PC) A mitigating action or defence to block or prevent a Hazard/ Threat from escalating into an Unsafe Event or Ultimate Consequence.

Exisitng PCs refer to current/ known/ established PCs which have been in place before the current HIRM exercise. New PCs refer to new/

additional/ modified PCs being recommended, proposed or which have been put in place as a result of the current HIRM exercise.

8 Recovery Measure (RM) A mitigating action, barrier or defence to block or prevent an Unsafe Event from escalating into an Ultimate Consequence or Accident.

Existing RMs refer to current/ known/ established RMs which have been in place before the current HIRM exercise. New RMs refer to

new/ additional/ modified RMs being recommended, proposed or which have been put in place as a result of the current HIRM exercise.

9 Barrier A generic term, referring to a PC or RM, or a set thereof.

10 Barrier Strength Value (BSV) The Value of a specific Barrier's (PC/ RM) quality or strength.

Consolidated Barrier

Strength Value (CBSV)

The Consolidated (SUM) Value of a set (line) of Barrier's (PCs/ RMs) pertaining to a given UE/ UC.

11 Escalation Factor (EF) Possible latent or organizational condition/ factor which may weaken the effectiveness of a Preventive Control (or Recovery measure) .

Use where applicable only.

12 Escalation Control (EC) A mitigating action or defence to block or prevent an Escalation Factor from compromising or weakening a Preventive Control (or

Recovery Measure) . Use where applicable only.

13 Risk Index (RI) Risk Index refers to the combined Likelihood & Severity of an Unsafe Event or Ultimate Consequence, as projected (anticipated) from an

identified Hazard .

14 Existing Risk Index &

Tolerability

Determination of Existing Risk Index and Tolerability shall take into consideration Existing PCs/ RMs only. If the Existing Risk Index's

Tolerability is unacceptable, it is then apparent that evaluation of New (additional) PCs/ RMs would be necessary to reduce the Risk Index

to a new acceptable level. This may include modification or enhancement of existing PCs/ RMs.

15 Resultant Risk Index &

Tolerability

Resultant Risk Index and Tolerability is based on the combined Existing PCs/ RMs together with the New PCs/ RMs put in place as a

result of the completed risk management exercise.

15


2.4 (a) Customize HIRM Worksheet (sht 4)

Hazard Identification & Risk Mitigation (HIRM) Worksheet [Risk mitigation illustration] Oct 14

2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59

1.

Em

erg

en

cy

Pro

ced

ure

2. B

ac

kup

Syste

m

3. A

bno

rma

l

Pro

ced

ure

4.

SO

P

5. S

pe

cia

l

Insp

n

6. G

M

7.

Org

aniz

ati

on

Appro

val

8. P

ers

onn

el

Ap

pro

val

9.

TR

NG

10.

Oth

ers

Esc

ala

tion

Fac

tor

[EF

]

Esc

ala

tion

Con

trol [E

C]

Se

veri

ty x

Lik

elih

ood

Ris

k L

eve

l

1.

Em

erg

en

cy

Pro

ced

ure

2. B

ac

kup

Syste

m

3. A

bno

rma

l

Pro

ced

ure

4.

SO

P

5. S

pe

cia

l

Insp

n

6. G

M

7.

Org

aniz

ati

on

Appro

val

8. P

ers

onn

el

Ap

pro

val

9.

TR

NG

10.

Oth

ers

Esc

ala

tion

Fac

tor

[EF

]

Esc

ala

tion

Con

trol [E

C]

Se

veri

ty x

Lik

elih

ood

Ris

k L

eve

l

1.

Em

erg

en

cy

Pro

ced

ure

2. B

ac

kup

Syste

m

3. A

bno

rma

l

Pro

ced

ure

4.

SO

P

5. S

pe

cia

l

Insp

n

6. G

M

7.

Org

aniz

ati

on

Appro

val

8. P

ers

onn

el

Ap

pro

val

9.

TR

NG

10.

Oth

ers

Esc

ala

tion

Fac

tor

[EF

]

Esc

ala

tion

Con

trol [E

C]

Se

veri

ty x

Lik

elih

ood

Ris

k L

eve

l

1.

Em

erg

en

cy

Pro

ced

ure

2. B

ac

kup

Syste

m

3. A

bno

rma

l

Pro

ced

ure

4.

SO

P

5. S

pe

cia

l

Insp

n

6. G

M

7.

Org

aniz

ati

on

Appro

val

8. P

ers

onn

el

Ap

pro

val

9.

TR

NG

10.

Oth

ers

Esc

ala

tion

Fac

tor

[EF

]

Esc

ala

tion

Con

trol [E

C]

Se

veri

ty x

Lik

elih

ood

Ris

k L

eve

l

E-

PC

1

EF>E-

PC1

EC1>EF

>E-PC1

N-

PC1

EF>N-

PC1

EC>EF>

N-PC1

E-

RM1

EF>E-

RM1

EC>EF>

E-RM1

N-

RM1

EF>N-

RM1

EC>EF>

N-RM1

EF>E-

PC2

EC>EF-

F-PC2

N-

PC2

EF>N-

PC2

EC>EF>

N-PC2

EF>E-

RM2

EC>EF>

E-RM2

N-

RM2

EF>N-

RM2

EC>EF>

N-RM2

EF>E-

PC3

EC>EF>

E-PC3

EF>N-

PC3

EC>EF>

N-PC3

EF>E-

RM3

EC>EF>

E-RM3

EF>N-

RM3

EC>EF>

N-RM3

EF>E-

PC4

EC>EF>

E-PC4

EF>N-

PC4

EC>EF>

N-PC4

EF>E-

RM4

EC>EF>

E-RM4

EF>N-

RM4

EC>EF>

N-RM4

Description of New Preventive Controls [N-PC] Description of Existing Recovery Measures [E-RM] Description of New Recovery Measures [N-RM]

EF>E-PC1: No documented procedure/ instruction for such

reporting expectation.





cannot be closed due to their being removed or dismantled

for maintenance.


leading to such doors shall be removed or backed-off from

the door by at least 3 feet, during silent hours.


E-PC1: Flight, cabin and maintenance personnel are normally

expected to report any rat sightings within an aircraft.

N-PC1: SOP to be put in place to require flight crew and

maintenance personnel to report rats sighting within aircraft

cabin.

E-RM1: Any operational aircraft reported with rat sighting is

normally subjected to a cabin inspection by maintenance

personnel during stayover check.

N-RM1: Special Inspection sheet (Ref SI/ A320/ 25/ 112) has been

raised to require any operational aircraft with reported sighting or

evidence of rats infestation to be scheduled for de-infestation

action by approved Pest Controller upon aircraft return to main

base.

4C

L3 -

Mo

de

rate

Ris

k

3B

R4

- L

ow

Ris

k

N-RM2: A routine "C" Check Maintenance Job Card has been raised

to call for inspection of all opened aircraft internal fuselage

compartments for evidence of rat droppings and necessary follow

up action. Ref: MJC-1C-53-45; SI/ A320/ 25/ 112.

Mu

ltip

le a

ircr

aft

syste

m(s

) fa

ilu

re o

r

malf

un

cti

on

(d

ue

to

ele

ctri

cal

wir

ing

dam

age

by

ra

ts).

Act

ual

rat

sig

hti

ngs o

r ev

iden

ce o

f

rat

dro

pp

ings w

ith

in a

ircr

aft

cab

in.

Rat

(s)

infe

stati

on

wit

hin

an

op

era

tio

na

l A

32

0 a

ircr

aft

fu

sela

ge/

cab

in

3D

R3

- M

od

era

te R

isk

3B

R4

- L

ow

Ris

k

Ult

ima

te

Co

nse

qu

en

ce



Resultant

RI & TExisting Recovery Measures [E-RM]

Existing


Resultant

RI & T


Table B

1

Ha

zard

/ T

hre


Un

safe

Ev

en

t


Table A


2. HAZARD / THREAT [H/T]: Rat (s) infestation within an operational A320 aircraft fuselage/ cabin Hazard Code: OPS-ALPHA-TECH-H1-L2-13


10/01/2017

9


2.4 (b) Customize SRM Procedure (sht 3)Safety Risk Mitigation (SRM) Process - Schematic

Where there is an Ultimate

Consequence (UC) in addition to an

Unsafe Event (UE), then the same

process as described for Preventive

Controls (PC) is to be applied for

Recovery Measures (RM) in columns

31 to 59.

Recovery Measures will address

defenses between the Unsafe Event

and its Ultimate Consequence.

10-11. Upon final completion of SRM

Worksheet, proceed to fill out the

SRM Report form and process the

completed SRM report (with the

completed SRM Worksheet) for

management approval.

4. If there are any known Escalation Factors (EF), then an associated Escalation Control (EC) will be

required. If a EC is not already existing, then it should be addressed under New-Preventive Control,

later.

5-6. Based on the annotated Existing Preventive Controls (E-PCs), assess and annotate the Existing

Risk Index (Severity & Likelihood) & its Tolerability in columns 14-15.

7. If the Existing Risk Index & Tolerability is deemed unacceptable, then proceed to identify or

recommend New Preventive Controls (N-PC)or Escalation Factors (EF) in applicable columns

provided (16-25).

8-9. Assess the Resultant Risk Index & Tolerability (columns 28-29) based on the annotated

Existing Preventive Controls plus the annotated New Preventive Controls, and associated ECs if any.

If the Resultant Risk Index is still deemed unacceptable, then you may need to review and enhance

the Existing as well as New Preventive Controls in order to obtain a more tolerable Risk Index.

1. Annotate required H, UE & UC information in Table A.

2. Repeat H, UE & UC information in Table B, columns 1, 30, 59 accordingly.

3. Identify and annotate Existing Preventive Controls (E-PC) in applicable columns provided (2 to

13).


2.5 Create Master Hazards Register (sht 11>>>)

18

Sheet 11 Hazard & Risk Management Database (Register) 22Sep16 <<<

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18

Generic Hazard/

Threat

(Original Report)

Source of

Information*

Specific Hazard/

Threat*

Hazard

ID Code

Corrective

Action*

[Yes/ No]

SRM

Action*

[Yes / No]

SRM Priority

Level*

(H, M, L)

Dept / SectProject

I/C

Date

Activated

Date

Completed

/ Rpt Ref

Existing RI &

Tolerability

(UE/UC)

Resultant RI &

Tolerability

(UE/UC)

Next

Review

Date

Ex

am

ple

A320 aircraft

operation.

Cabin crew reported one

large rat sighted in

aircraft rear galley area

during cruise.

Inflight

incident

notification

report ref:

A320/ OPS/

012/ 2005.

[H] - Rats

infestation of

A320 aircraft

OPS-

ALPHA-

H1-M-

013

Nil Projected - Aircraft

wiring/ equipment

damage by rats.

No Yes Medium A320

Operations

ABC

1

2

3

Hazard ID Code:

Sector (1) - Organization (2) - Hazard No (3) - Priority Level (4) - Year (5)

1

2 Organization: Five letters code (eg ALPHA - Alpha Airline)

3

4

5

Hazard ID Code Illustration:a) OPS-ALPHA-H001-M-013 [Air Operations - Alpha Airline - Hazard #1 - Moderate Priority - Year 2013]

b) AGA-GATB-H005-L-012 [Aerodrome - Timbaktu Airport - Hazard #5 - Low Priority - Year 2012]

1

2

3

4

5

6

7

Sector: AGA / ANS / OPS / DMO / AMO / MDO* (*MDO - Materials Distribution Organizations, including fuel distribution)

*Explanatory Notes:

Reported/ Projected (UE/ C): Annotate UE/ C description as a "Reported" occurrence or a "Projected" occurrence. If multiple H>UE>C combinations involved, register each combination under a new Row (Each single H>UE>C

combination will constitute one potential SRM Task)

Priority Level: Hazard prioritization Level [High (Accident), Medium (Serious Incident), Low (Incident)].

Hazard No: Hazard number (eg H001) as assigned by the organization concerned within a given Year.

Year: Year when the Hazard was registered in the organization's Hazard Register.

Source of Information: Hazard information as may be extracted from - Voluntary Hazard Rpt, Occurrence Notification/ Investigation Rpt, Internal Audit Rpt, External Audit Rpt, Hazard Survey Rpt, Operational Data Review Rpt

Corrective Action: If the Hazard can be effectively eliminated through conventional corrective action (eg disposal, repair, replacement, modification), annotate YES with the action taken/ recommended. Otherwise annotate NO.

SRM Action: Annotate YES to indicate systematic SRM action is recommended (or has been taken already). Annotate NO if systematic SRM action is not recommended (or not necessary).

SRM Project Registration: This column for registration of assigned (new) SRM project, or a previously completed SRM project (with respect to the specific H>UE>C thread).

Specific Hazard/ Threat: If more than one Hazard/ Threat identified, register such additional Hazard/ Threat under new row/ item

Priority Level: SRM or Corrective Action Priority Level based on (Annex 13) occurrence category of the projected (or reported) Unsafe Event or Consequence. Accident - High; Serious Incident - Medium; Incident - Low.

Hazard Registration

Recommended ActionArea/

Operation/

Equipment

Ite

m

Hazard [H] / Threat [T]

SRM Project Registration*

SRM Project Assignment SRM Project CompletionUnsafe-Event [UE]

(Reported /

Projected)*

Consequence [C]

(Reported /

Projected)*

10/01/2017

10


Register & Validate the Hazard

19

Generic Hazard/

Threat

(Original Report)

Source of

Information*

Specific Hazard/

Threat*

Hazard

ID Code

Corrective

Action*

[Yes/ No]

SRM

Action*

[Yes / No]

SRM Priority

Level*

(H, M, L)

Dept / SectProject

I/C

Date

Activated

Date

Completed

/ Rpt Ref

Existing RI &

Tolerabil ity

(UE/UC)

Resultant RI &

Tolerabil ity

(UE/UC)

Next

Review

Date

Exa

mp

le

A320 aircraft

operation.




during cruise.

Inflight

incident

notification

report ref:

A320/ OPS/

012/ 2005.

[H] - Rats

infestation of

A320 aircraft

OPS-

ALPHA-

H1-M-

013


wiring/ equipment

damage by rats.

No Yes Medium A320

Operations

ABC

1

2

3

Hazard Registration


Operation/

Equipment

Item

Hazard [H] / Threat [T]

SRM Project Registration*

SRM Project Assignment SRM Project CompletionUnsafe-Event [UE]

(Reported /

Projected)*

Consequence [C]

(Reported /

Projected)*

Generic Hazard/

Threat

(Original Report)

Source of

Information*

Specific Hazard/

Threat*

Hazard

ID Code

Corrective

Action*

[Yes/ No]

SRM

Action*

[Yes / No]

SRM Priority

Level*

(H, M, L)

Ex

am

ple

A320 aircraft

operation.




during cruise.

Inflight

incident

notification

report ref:

A320/ OPS/

012/ 2005.

[H] - Rats

infestation of

A320 aircraft

OPS-

ALPHA-

H1-M-

013


wiring/ equipment

damage by rats.

No Yes Medium

1

2

3

Hazard Registration


Operation/

Equipment

Ite

m

Hazard [H] / Threat [T]Unsafe-Event [UE]

(Reported /

Projected)*

Consequence [C]

(Reported /

Projected)*


2.6 Prioritize Hazard for Risk Mitigation (sht 12)

Generic Hazard/

Threat

(Original Report)

Source of

Information*

Specific Hazard/

Threat*

Hazard

ID Code

Corrective

Action*

[Yes/ No]

SRM

Action*

[Yes / No]

SRM Priority

Level*

(H, M, L)

Ex

amp

le

A320 aircraft

operation.




during cruise.

Inflight

incident

notification

report ref:

A320/ OPS/

012/ 2005.

[H] - Rats

infestation of

A320 aircraft

OPS-

ALPHA-

H1-M-

013


wiring/ equipment

damage by rats.

No Yes Medium

1

2

3

Hazard Registration


Operation/

Equipment

Ite

m

Hazard [H] / Threat [T]Unsafe-Event [UE]

(Reported /

Projected)*

Consequence [C]

(Reported /

Projected)*

10/01/2017

11


Hazard Prioritization Procedure (Illustration) Criteria Prioritization in relation to the occurrence category (severity) of the

Hazard’s credible Consequence.

Methodology a) Project the Hazard’s worst credible Consequence

b) Project this Consequence’s likely occurrence classification ie it will be

deemed to be an accident, serious incident or incident (per Annex 13

definition)

c) The Hazard’s prioritization is thus: Occurrence category of credible Consequence Hazard Priority

Accident High

Serious Incident Medium

Incident Low

Remarks This Option takes into consideration the severity of the Hazard’s projected

Consequence only.


2.7 Activate Risk Mitigation Process (sht 12)Sheet 11 Hazard Identification & Risk Management Register (Database) 14/7/2016 <<<

Generic Hazard

Description

(Original Report)

Source of

Information*

Specific Hazard

Decription

Hazard

ID Code

Corrective

Action*

[Yes/ No]

SRM Action*

[Yes / No]

Priority

Level

(H, M, L)

Dept NameDate

Activated

Date

Completed

/ Rpt Ref

Existing Risk

Index &

Level

Resultant

Risk Index &

Level

Next

Review

Date

a) Aircraft wiring/

equipment damage by rat

(s)

No Yes Medium A320

Operations

ABC

b) Aircraft cabin / galley/

food contamination by

rat droppings/ urine

No Yes Low Cabin Crew /

Inflight

Catering

XYZ

1

2

3

Hazard ID Code:

Sector (1) - Organization (2) - Hazard No (3) - Priority Level (4) - Year (5)

1)

2) Organization: Five letters code (eg ALPHA - Alpha Airline)

3)

4)

5)

Example of Hazard ID Code:i) OPS-ALPHA-H001-M-013 [Air Operations - Alpha Airline - Hazard #1 - Moderate Priority - Year 2013]

ii) AGA-GATB-H005-L3-012 [Aerodrome - Timbaktu Airport - Hazard #5 - Low Priority - Year 2012]

a)

b)

c)

d)

e)

Ex

am

ple

On

ly

A320 aircraft

operation.


large rat sighted in aircraft

rear galley area during

cruise.

Sector: AGA / ANS / OPS / DMO / AMO / MDO* (*MDO - Materials Distribution Organizations, including fuel distribution)

*Explanatory Notes:

OPS-

ALPHA-

H1-L2-

013

Inflight incident

notification

report ref:

A320/ OPS/

012/ 2005.

Rat (s) infestation of

A320 aircraft

Safety Risk Mitigation Action

SRM Project Team/ SAG Risk Mitigation Project Completion

Hazard Registration

Hazard Validation & Recommended

ActionArea/

Operation/

Equipment

Credible Unsafe-Event/

Consequence*

[tentative]

Ite

m

Hazard (Threat/ Deficiency/ Unsafe-condition/ Object)

Priority Level: Hazard prioritization Level [High (Accident), Medium (Serious Incident), Low (Incident)] based on occurrence category (A13) of the hazard's projected Unsafe Event/ Consequence.

Hazard No: Hazard number (eg H001) as assigned by the organization concerned within a given Year.

Year: Year when the Hazard was registered in the organization's Hazard Register.

Source of Information: Hazard information as may be extracted from - Voluntary Hazard Rpt, Occurrence Notification/ Investigation Rpt, Internal Audit Rpt, External Audit Rpt, Hazard Survey Rpt, Operational Data Review Rpt

Credible Unsafe Event / Consequence: Tentative projection to facilitate hazard prioritization when assigning for SRM action only (refer Priority Level column)

Corrective Action: If the Hazard can be effectively eliminated through conventional corrective action (eg disposal, repair, replacement, modification), annotate YES with the recommended corrective action. Otherwise annotate NO.

SRM Action: Annotate YES to indicate systematic SRM action is recommended (essentially permanent/ recurring hazards). Annotate NO if systematic SRM action is not recommended (essentially temporary/ transient hazards).

Priority Level: SRM action Priority Level based on (Annex 13) occurrence category of the projected Unsafe Event or Consequence > Accident - High; Serious Incident - Moderate; Incident - LowDept NameDate

Activated

Date

Completed

/ Rpt Ref

Existing Risk

Index & Level

Resultant Risk

Index & Level

Next

Review

Date

A320

Operations

ABC

Cabin Crew /

Inflight

Catering

XYZ

Safety Risk Mitigation Action

SRM Project Team/ SAG Risk Mitigation Project Completion

10/01/2017

12


2.8 Project Unsafe Event/ Ultimate Consequence (sht 13)

Table

A Hazard Identification & Risk Mitigation (HIRM) Worksheet [Risk mitigation illustration] 27 Mar 14


2. HAZARD / THREAT [H/T]: Rat (s) infestation within an operational A320

aircraft fuselage/ cabin Hazard Code: OPS-ALPHA-TECH-H1-L2-13

3. UNSAFE EVENT [UE]: Rat (s) infestation confirmed through rat sightings or evidence of aircraft wiring damage by

roden activities. 4. ULTIMATE CONSEQUENCE

[UC]: Multiple aircraft system(s) failure or malfunction (due to electrical wiring damage by rats).

Hazard Identification & Risk Mitigation (HIRM) Worksheet [Risk mitigation illustration] 27 Mar 14

2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 591

. E

me

rge

nc

y

2.

Ba

cku

p

Sys

tem

3.

Ab

no

rma

l P

roc

ed

ure

4.

SO

P

5.

Sp

ec

ial

Ins

pn

6.

GM

7.

Org

an

iza

tio

n

Ap

pro

va

l

8.

Pe

rso

nn

el

Ap

pro

va

l

9.

TR

NG

10

. O

the

rs

Es

ca

lati

on

F

act

or

[EF

]

Es

ca

lati

on

C

on

tro

l [E

C]

Se

ve

rity

x

Lik

elih

oo

d

Ris

k L

ev

el

1.

Em

erg

en

cy

2.

Ba

cku

p

Sys

tem

3.

Ab

no

rma

l P

roc

ed

ure

4.

SO

P

5.

Sp

ec

ial

Ins

pn

6.

GM

7.

Org

an

iza

tio

n

Ap

pro

va

l

8.

Pe

rso

nn

el

Ap

pro

va

l

9.

TR

NG

10

. O

the

rs

Es

ca

lati

on

F

act

or

[EF

]

Es

ca

lati

on

C

on

tro

l [E

C]

Se

ve

rity

x

Lik

elih

oo

d

Ris

k L

ev

el

1.

Em

erg

en

cy

P

roc

ed

ure

2.

Ba

cku

p

Sys

tem

3.

Ab

no

rma

l P

roc

ed

ure

4.

SO

P

5.

Sp

ec

ial

Ins

pn

6.

GM

7.

Org

an

iza

tio

n

Ap

pro

va

l

8.

Pe

rso

nn

el

Ap

pro

va

l

9.

TR

NG

10

. O

the

rs

Es

ca

lati

on

F

act

or

[EF

]

Es

ca

lati

on

C

on

tro

l [E

C]

Se

ve

rity

x

Lik

elih

oo

d

Ris

k L

ev

el

1.

Em

erg

en

cy

2.

Ba

cku

p

Sys

tem

3.

Ab

no

rma

l P

roc

ed

ure

4.

SO

P

5.

Sp

ec

ial

Ins

pn

6.

GM

7.

Org

an

iza

tio

n

Ap

pro

va

l

8.

Pe

rso

nn

el

Ap

pro

va

l

9.

TR

NG

10

. O

the

rs

Es

ca

lati

on

F

act

or

[EF

]

Es

ca

lati

on

C

on

tro

l [E

C]

Se

ve

rity

x

Lik

elih

oo

d

Ris

k L

ev

el

E-

PC1

EF>E-

PC1

EC1>EF

>E-PC1

N-

PC1

EF>N-

PC1

EC>EF>

N-PC1

E-

RM1

EF (to

E-

RM1)

EC1 (to

EF)

N-

RM1

EF (to

N-

RM5)

EC1 (to

EF)

EF>E-

PC2

EC>EF-F-

PC2

N-

PC2

EF>N-

PC6

EC>EF>

N-PC6

EF1

(to E-

RM2)

EC (to

EF1)

N-

RM2

EF1 (to

N-

RM6)

EC (to

EF1)

EF>E-

PC3

EC>EF>

E-PC3

EF>N-

PC7

EC>EF>

N-PC7

EF2

(to E-

RM3)

EC (to

EF2)

EF>E-

PC4

EC>EF>

E-PC4

EF (to

E-

RM4)

EC (to

EF)

2. HAZARD / THREAT [H/T]:



Table B

1

Ha

za

rd /

Th

rea

t >>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>> Unsafe Event Mitigation (as applicable) >>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>

Un

safe

Ev

en

t

Existing Preventive Controls [E-PC]

Table A


Existing


Resultant

RI & T

Existing


Hazard Code: OPS-ALPHA-TECH-H1-L2-13Rat (s) infestation within an operational A320 aircraft fuselage/ cabin

Mu

ltip

le a

ircr

aft

sy

ste

m(s

) fa

ilu

re o

r

ma

lfu

nct

ion

(d

ue

to

ele

ctri

cal

wir

ing

d

am

ag

e b

y r

ats

).

3B

R4

- L

ow

Ris

k

Ult

ima

te

Co

nse

qu

en

ceResultant

RI & T


Ra

t (s

) in

fest

ati

on

co

nfi

rme

d t

hro

ug

h r

at

sig

hti

ng

s o

r e

vid

en

ce o

f ra

t d

rop

pin

gs.

4C

L3

- M

od

era

te R

isk

Existing Recovery Measures [E-RM]

Ra

t (s

) in

fest

ati

on

wit

hin

an

op

era

tio

na

l

A3

20

air

cra

ft f

use

lag

e/

cab

in

3D

R3

- M

od

era

te R

isk

3B

R4

- L

ow

Ris

k


2.9 Evaluate Preventive Controls & Risk Index [H>UE]

2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30

1.

Em

erg

ency

2. Backu

p

Syst

em

3. Abnorm

al

Pro

cedure

4. SO

P

5. Special

Insp

n

6. G

M

7. O

rganiz

ation

Appro

val

8. Pers

onnel

Appro

val

9. TR

NG

10. O

thers

Esc

ala

tion

Fact

or [E

F]

Esc

ala

tion

Control [E

C]

Severity

x

Likelih

ood

Risk L

evel

1.

Em

erg

ency

2. Backu

p

Syst

em

3. Abnorm

al

Pro

cedure

4. SO

P

5. Special

Insp

n

6. G

M

7. O

rganiz

ation

Appro

val

8. Pers

onnel

Appro

val

9. TR

NG

10. O

thers

Esc

ala

tion

Fact

or [E

F]

Esc

ala

tion

Control [E

C]

Severity

x

Likelih

ood

Risk L

evel

E-

PC1

EF>E-

PC1

EC1>EF

>E-PC1

N-

PC1

EF>N-

PC1

EC>EF>

N-PC1

EF>E-

PC2

EC>EF-F-

PC2

N-

PC2

EF>N-

PC6

EC>EF>

N-PC6

EF>E-

PC3

EC>EF>

E-PC3

EF>N-

PC7

EC>EF>

N-PC7

EF>E-

PC4

EC>EF>

E-PC4

Description of New Preventive Controls [N-PC]


cannot be closed due to their being removed or dismantled for

maintenance.


leading to such doors shall be removed or backed-off from the

door by at least 3 feet, during silent hours.

N-PC2: SOP to be put in place to require that cabin crew

stationed at galley door during catering truck food delivery

service, do keep a lookout to prevent any rat migration from

catering truck into aircraft cabin.


E-PC1: Flight, cabin and maintenance personnel are expected to

report any rat sightings within an aircraft.




Table B

1

Hazard

/ T

hre


Unsa

fe E

vent



Resultant

RI & T

Rat (s

) in

fest

ation c

onfirm

ed thro

ugh rat

sightings

or evid

ence

of ra

t dro

ppin

gs.

Rat (s

) in

fest

ation w

ithin

an o

pera

tional

A320 a

ircr

aft

fuse

lage/ ca

bin

3D

R3 - M

odera

te R

isk

3B

R4 - L

ow

Ris

k

10/01/2017

13


Assess Severity Value of Risk Index

� Assess severity value of an Unsafe Event (or Consequence)

in relation to the Severity Descriptions within the Severity

Table (Sht 5)

25

Sheet 5: Severity Table (Basic) <<< 11-Nov-13

Level Descriptor

1 Insignificant

2 Minor

3 Moderate

4 Major

5 Catastrophic Loss of aircraft or multiple lives.

Severity Description (customise according to nature of

organization’s operations)

No significance to aircraft related operational safety.

Degrade or affect normal aircraft operational procedures or

performance.

Partial loss of significant/ major aircraft systems or result in

abnormal F/Ops procedure application.

Complete failure of significant/ major aircraft systems or result in

emergency F/Ops procedure application.


Assess Likelihood Value of Risk Index

26

Sheet 6: Likelihood Table 07-Jan-14

Level Descriptor Likelihood Description

E Certain/ frequent Is expected to occur in most circumstances.

D Likely/ occasional Will probably occur at some time.

C Possible/ remote Might occur at some time.

B Unlikely/ improbable Could occur at some time.

A Exceptional/ impossible May occur only in exceptional circumstances.

Note: The Likelihood (Level) of a given UE/ UC is to be derived from the "Consolidated

Barrier Strength Value (CBSV)" of its line of PCs/ RMs. Refer to Sheet 6A of the Excel

HIRM Worksheet.

10/01/2017

14


Assess Likelihood Value of Risk Index

27

Step 1 - Assess Consolidated Barrier Strength Value (CBSV) of Unsafe Event (or Consequence) - Sht 6A

Step 2 - Derive Likelihood value of Unsafe Event (or Consequence) based on the CBSV obtained – Sht 6A

Table 1 - Barrier Strength Value (BSV)

Weak, superficial or insignificant Barrier

Barrier Strength Description Barrier Strength

1

2

3

4

5

Barrier Strength

Poor

Fair

Satisfactory

Good

Excellent Best or most robust Standard/ Regulation/ Practice

Effective, recognised and established Barrier

Reasonable or acceptable Barrier

Barely viable or adequate Barrier

Table 2 - Consolidated Barrier Strength Value Assessment

<<< Consolidated BSV*

Barrier Sequence

1

Assessed BSV

2

4

3

3

2

4

5

2

3

1

15

6

7

8

*Note to Consolidated BSV:

1. BSV summation of the actual number of barriers OR

optimum number of barriers, whichever is the lesser.

2. Where actual number of barriers exceed the optimum

number of barriers, select the barriers with the highest

BSVs.

Table 3 - Optimum Number of Barriers

Severity Value of

UE/ C Severity Descriptor

4 Major

5 Catastrophic

2 Minor

3 Moderate 4 20 Table 4C

Optimum Number of

Barriers Optimum CBSV*

Applicable CBSV-

Likelihood Table

1 Insignificant 2 10 Table 4A

6 30 Table 4D

8 40 Table 4D

3 15 Table 4B

Details in HIRM Wsht Sht 6A >>>


Evaluate Recovery Measures & Risk Index [UE>UC]

30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59

1. E

merg

ency

Pro

cedure

2. B

ackup

Syste

m

3. A

bnorm

al

Pro

cedure

4. S

OP

5. S

pecia

l

Inspn

6. G

M

7.

Org

aniz

ation

Appro

val

8. P

ers

onnel

Appro

val

9. T

RN

G

10. O

thers

Escala

tion

Facto

r [E

F]

Escala

tion

Contr

ol [

EC

]

Severity

x

Lik

elih

ood

Ris

k L

evel

1. E

merg

ency

Pro

cedure

2. B

ackup

Syste

m

3. A

bnorm

al

Pro

cedure

4. S

OP

5. S

pecia

l

Inspn

6. G

M

7.

Org

aniz

ation

Appro

val

8. P

ers

onnel

Appro

val

9. T

RN

G

10. O

thers

Escala

tion

Facto

r [E

F]

Escala

tion

Contr

ol [

EC

]

Severity

x

Lik

elih

ood

Ris

k L

evel

E-

RM1

EF (to

E-

RM1)

EC1

(to EF)

N-

RM1

EF (to

N-

RM5)

EC1 (to

EF)

EF1

(to E-

RM2)

EC (to

EF1)

N-

RM2

EF1

(to N-

RM6)

EC (to

EF1)

EF2

(to E-

RM3)

EC (to

EF2)

EF (to

E-

RM4)

EC (to

EF)

Description of Existing Recovery Measures [E-RM] Description of New Recovery Measures [N-RM]

Mu

ltip

le a

ircr

aft

syst

em

(s)

failu

re o

r

malf

un

ctio

n (

du

e t

o e

lect

rica

l w

irin

g

dam

age b

y r

ats

).

3B

R4 -

Lo

w R

isk

Ult

imate

Co

nse

qu

en

ceResultant

RI & T


Rat

(s)

infe

stati

on

co

nfi

rmed

th

rou

gh

rat

sigh

tin

gs

or

evid

en

ce o

f ra

t

4C

L3 -

Mo

dera

te R

isk

Existing Recovery Measures [E-RM] Existing


Un

safe

Ev

en

t

E-RM1: Any operational aircraft reported with rat sighting

is subject to a cabin inspection by maintenance personnel

during stayover check.

N-RM1: Special Inspection sheet (Ref SI/ A320/ 25/ 112) has

been raised to require any operational aircraft with reported

sighting or evidence of rats infestation to be scheduled for de-

infestation action by approved Pest Controller upon aircraft

return to main base.

N-RM2: A routine "C" Check Maintenance Job Card has been

raised to call for inspection of all exposed aircraft internal

fuselage compartments for evidence of rat droppings and

necessary follow up action.

28

Same process to evaluate

Recovery Measures & Risk

Index as H>UE

10/01/2017

15


2.10 Check Scope of Defenses to RI Correlation (sht 9)Sheet 9: Defences (PC/ RM) to Risk Index Correlation Guide ######

Severity LikelihoodRisk

Index #Risk Level 1. ERP

2. Backup

System

3.

Abnormal

Procedure

4. SOP

5. Special/

Duplicate

Inspn

6.

Guidance

Material

7.

Organizati

on

Approval

8.

Personnel

Approval

9. TRNG10. Others

(specify)

Global (industry

organization)

NAAService

Provider

Catastrophic (5) Certain / Frequent (E) 5E

Catastrophic (5) Likely / Occasional (D) 5D

Major (4) Certain/ Frequent (E) 4E

Catastrophic (5) Possible / Remote (C) 5C

Major (4) Likely / Occasional (D) 4D

Moderate (3) Certain / Frequent (E) 3E

Catastrophic (5) Unlikely / Improbable (B) 5B

Catastrophic (5) Exceptional / Impossible (A) 5A

Major (4) Possible/ Remote (C) 4C

Major (4) Unlikely / Improbable (B) 4B

Moderate (3) Likely / Occasional (D) 3D

Moderate (3) Possible/ Remote (C) 3C

Minor (2) Certain / Frequent (E) 2E

Minor (2) Likely / Occasional (D) 2D

Insignificant (1) Certain / Frequent (E) 1E

Major (4) Exceptional / Impossible (A) 4A

Moderate (3) Unlikely / Improbable (B) 3B

Moderate (3) Exceptional / Impossible (A) 3A

Minor (2) Possible/ Remote (C) 2C

Minor (2) Unlikely / Improbable (B) 2B

Insignificant (1) Likely / Occasional (D) 1D

Insignificant (1) Possible/ Remote (C) 1C

Minor (2) Exceptional / Impossible (A) 2A

Insignificant (1) Unlikely / Improbable (B) 1B

Insignificant (1) Exceptional / Impossible (A) 1A

Note: This Table is an illustration/ guide to the likely scope of PC/ RM categories which might be expected to be considered (where applicable) in relation to

the indicated Risk Index and levels. In principle, a wider scope of defenses can be expected for higher risk levels.

_ _

Op

tio

na

l

_ _

Op

tio

na

l

_

Op

tio

na

l

Op

tio

na

l

Yes

_

Op

tio

na

l

_

Op

tio

na

l

_

Op

tio

na

l

_

Op

tio

na

l

Op

tio

na

l

_ Yes Yes

Op

tio

na

l

Op

tio

na

l

Yes Yes Yes

Op

tio

na

l

Op

tio

na

l

Yes Yes

Op

tio

na

l

Yes

Yes Yes Yes YesYes

Possible PC/ RM Control LevelConsideration of PC/ RM Categories to Risk Levels (where applicable)

Yes Yes Yes Yes YesYes YesYes YesYes Yes Yes

Yes

Op

tio

na

l

Risk Index Description

R5 -

Negligible

Risk

R2 -

High Risk

R3 -

Moderate

Risk

R4 -

Low Risk

R1 -

Extreme

Risk

_

Op

tio

na

l

__ _

Yes Yes Yes


2.11 SRM Project Report (sht 10)

SAFETY RISK MITIGATION REPORT

Organization Name SRM Report No:

Operation / Process / Area

Date:

Specific Hazard Description

Department:

Section:

Hazard ID Code** Reserved

Project start date: Project completion date: Next Review date:

*Existing Risk Index & Level*: *Resultant Risk Index & Level:

Documents Attached (as indicated below):

Item Document Yes/ No

1 Schematic output of the completed SRM project (eg completed HIRM Wsht or BTXP Diagram)

2 Summary of modified/ new defenses and required actions.

3 Other attachments (documents, drawings, references, standards, exceptions, etc.), if any

SRM Project Team Leader:

Sign-Date Name Designation

SRM Project Team Members:

Reviewed by SMS/ Safety/ Quality Manager:

_________________ ________________________________ ____________________________

Sign-Date Name Designation

Approved by (Department Head, etc):

Date Name/ Designation Signature

Note: Upon approval, forward Copy to SMS Office for HRM Master Register update/ closure

**Refer HIRM Wsht, Tab #11 – Hazard & Risk Management Register. *Refer HIRM Wsht Tab #8 – Risk Levels

10/01/2017

16


Excel HIRM Worksheet

This is the Excel HIRM Worksheet >>>


HIRM Worksheet – Quiz 1

Purpose of the HIRM Worksheet illustrated in this Section is:

a) to facilitate the performance and documentation of a safety risk

mitigation process for specific individual hazards

b) to facilitate the performance and documentation of a safety risk

mitigation process involving multiple hazards and consequences

simultaneously

c) Assist organizations in the development of their SRM procedures and

documentation requirements

d) (a) and (c) are correct

32

10/01/2017

17



Based on the HIRM definitions addressed in this Section, the term

“Unsafe Event” can mean:

a) Most credible unsafe situation, as projected from a given Hazard

b) Most credible unsafe situation, not yet amounting to an Ultimate

Consequence

c) An intermediate Event/ Situation before an accident

d) All above are correct

33



Based on the HIRM definitions addressed in this Section, the term

“Escalation Control” would mean a mitigating action or defense to

block or prevent :

a) an Escalation Factor from compromising or weakening a Preventive

Control

b) a Preventive Control from compromising or weakening an Escalation

Factor

c) an Escalation Factor from compromising or weakening a Recovery

Measure

d) both (a) and (c) are correct

34

10/01/2017

18



Based on the HIRM Worksheet addressed in this Section, the 10

categories of defenses shown in the Worksheet are meant to be

absolutely comprehensive and applicable to all operational context

and organizations:

a) TRUE

b) FALSE

35



Based on the SRM Procedure addressed in this Section, the

“Resultant Risk Index” of an Ultimate Consequence should be

based on:

a) the combined Existing Preventive Controls plus New Preventive

Controls which have been put in place

b) the combined Existing Recovery Measures plus New Recovery

Measures which have been put in place

c) the combined Existing Escalation Factors which have been put in place

d) the combined New Escalation Factors which have been put in place

36

10/01/2017

19



Based on the SRM Procedure addressed in this Section, the

Likelihood value of an Unsafe Event/ Consequence may be more

objectively derived by correlating the consolidated barrier strength

value of the unsafe event/ consequence with the Likelihood table:

a) TRUE

b) FALSE

37



The purpose of a Master Hazards Register is:

a) to collate all valid hazards within an organization as well as to

account for their subsequent SRM actions

b) to serve as an accident and serious incident reports Register and to

account for their subsequent investigation actions

c) to serve as a voluntary Error and Violation reports Register and to

account for their subsequent enforcement/ disciplinary actions


38

10/01/2017

20



The “Defenses to Risk Index Correlation” matrix shown in this

Section is meant to illustrate the rationale that :

a) Unsafe Events or Ultimate Consequences with high risk index levels

should warrant a more comprehensive scope of defenses to be put in

place

b) Preventive Controls or Recovery Measures with high risk index levels


place

c) Escalation Factors or Escalation Controls with high risk index levels


place


39


Based on the HIRM Worksheet illustrated in this section, the code

annotated as “EF>N-PC1” in a Preventive Control cell would have the

following meaning:

a) This is the Escalation Factor to the New-Preventive Control No 1

b) This is the Escalation Control to the New-Preventive Control No 1

c) This is the Escalation Factor to the New-Recovery Measure No 1

d) This is the Escalation Control to the New-Recovery Measure No 1


40

10/01/2017

21


Based on the HIRM Worksheet illustrated in this section, the code

annotated as “EC>EF1>E-RM2” in a Preventive Control cell would

have the following meaning:

a) This is the Escalation Factor to Escalation Control No 1 affecting

Recovery-Measure No 2

b) This is the Escalation Control to Escalation Factor No 1 affecting

Existing-Recovery Measure No 2

c) This is the Escalation Control to Existing-Recovery Measure No 2

affecting Escalation Factor No 1

d) This is the Escalation Control to Escalation Factor No 1 affecting New-

Recovery Measure No 2


41


Purpose of raising a Safety Risk Mitigation (SRM) Report upon

completion of a SRM project is:

a) To allow management approval of the completed SRM project to be

documented

b) To provide documentary proof that a systematic safety risk mitigation

process had been conducted with respect to the specified hazard

c) To serve as evidence of the organization’s on-going SRM activities



42

10/01/2017

22


Congratulations!

for completing this Section 2 on HIRM Worksheet.

You are now able to:

� Understand and apply HIRM Terminology & Definitions� Customize HIRM Tool & SOP� Create Master Hazards Register� Prioritize Hazards for risk mitigation� Activate risk mitigation for selected Hazards� Project Unsafe Event/ Ultimate Consequence� Evaluate Defenses, Risk Index & Tolerability� Check Defenses to Risk Index Correlation� Raise a SRM Project Report

43


Other SRM Tools – eg BTXP

Further information on BTXP SRM software tool in HIRM sht 14.

>>> BTXP 5 mins >>> BTXP Master

44