7.6 IMPLEMENTING OPERATIONAL RISK MANAGEMENT

Running head: IMPLEMENTING OPERATIONAL RISK MANAGEMENT 1
Implementing Operational Risk Management to Improve
Small Unmanned Aircraft Systems (sUAS) Missions
Robert J. Winn
Embry-Riddle Aeronautical University-WW-ASCI638


Abstract
The unmanned aircraft system (UAS) industry has been growing at a significant rate. This growth has identified the need to establish risk assessment and hazard analysis mitigations to address unforeseen safety issues related to these systems and their operations. The UAS operational phase can be subdivide into several general stages: planning, staging, launch, flight, and recovery. Applying the appropriate hazard analysis tool within each stage will allow for early identification and ultimately early resolution of safety issues. This research paper will identify a small UAS (SUAS) that is currently in use in either the commercial or military sector and present an Operational Risk Management (ORM) assessment tool that can be used by the sUAS operators to safely assess their ability to accomplish the mission. This paper will also show the development of the ORM assessment tool by presenting a Preliminary Hazard List (PHL), a Preliminary Hazard Assessment (PHA) and the Operational Hazard Review and Analysis (OHR&A) and when used together provides sUAS operators the ability to safely integrate the National Airspace System (NAS).
Keyword: Analysis, Assessment, Hazard, Operations, Risk,


Implementing Operational Risk Management to Improve
Small Unmanned Aircraft Systems (sUAS) Missions
System safety is essential for both manned and unmanned systems when operating in the NAS. In a paper presented by Donald E. Gramp of the FAA, dated October 29, 2010, he stated:
“Small unmanned aircraft, as with other unmanned aircraft, are operated by a pilot physically separated from the aircraft. This renders the pilot incapable of conforming to the provisions of 14 CFR 91.113 with respect to seeing and avoiding other aircraft while operating in visual meteorological conditions. It also presents unique challenges in terms of maintaining the electronic connectivity essential to the safe operation and seamless integration of sUAS into the NAS. The hazard analysis included in this assessment reflects the implications of these attributes”.
The following hazards listed in order of greatest risk to the NAS are included in this assessment:
• Fly-away protection failure
• Loss of control
• Lost visual contact with UA
• Pilot/observer error
• Loss of voice communication with ATC
• Loss of voice communication (pilot/observer)
Thru hazard analysis, operators can potentially identify hazards associated with a particular phase or stage of the operation. A typical system safety task for hazard identification involves the preparation of a preliminary hazard list (PHL). This is accomplished by reviewing lessons learned, accident reports, and other historical data (Stephans, 2012). Having identified potential hazards, a subjective evaluation regarding probability, severity and exposure to those hazards is performed. The purpose of the evaluation is to determine the level of risk associated with the hazards; if it is deemed acceptable, if it can be eliminated, reduced or if the operation needs to be cancelled altogether. A robust risk management program (RMP) consists of three major parts: a hazard assessment, a prevention program and an emergency response program (Stephans, 2012).
For the benefit of this research paper, the AeroVironment Raven RQ-11B sUAS will be analyzed to identify potential hazards associated with a particular phase of its operation(s).
Raven
The Raven is the most widely used sUAS in the world. It can be hand launched and is controlled by a ground based operator either manually or preprogrammed for autonomous operation using advanced avionics and GPS navigation.
Preliminary Hazard list
The Preliminary Hazard List (PHL) is developed by individuals most familiar with the sUAS operation and a particular stage or phase of that operation. By brainstorming possible safety concerns associated with a stage or phase of operation, the PHL is created. The PHL tool (Fig.1) is instrumental in evaluating any one of the specific stages in the RAVENs operations (e.g. planning, staging, launching, flight and recovery). Once the hazards have been listed a determination as to the probability and severity of the hazards must be performed.
Probability/Severity
Probability is classified as frequent, probable, occasional, remote, or improbable. Severity is categorized as catastrophic, critical, marginal, or negligible (Barnhart, 2011). Once the hazards have been classified an initial risk level (RL) must be identified. Assessed risks are expressed as a Risk Assessment Code (RAC) which is a combination of one severity category and one probability level. For instance, if we determined that launching the RAVEN from a field that has trees nearby then a probability of impacting a tree would be classified as Probable and be rated a probability level “B” (reference Fig. 1) and the severity category described as Marginal would be rated a “3” (reference Fig. 2).

Figure 1-Probability matrix adapted from MIL-STD-882E
Department of Defense Standard Practice System Safety


Figure 2-Severity matrix adapted from MIL-STD-882E
Department of Defense Standard Practice System Safety


Risk Assessment Code
Assessed risks are expressed as a Risk Assessment Code (RAC) which is a combination of one severity category and one probability level. In our example our RAC is expressed as “3B”. Therefore, when used in conjunction with the risk assessment matrix (RAM) (Fig.3) found in MIL-STd-882E a risk level of Serious is determined.

Figure 3-Risk assessment matrix adapted from MIL-STD-882E
Department of Defense Standard Practice System Safety

Preliminary Hazard Analysis
The preliminary hazard analysis (PHA), allows us to determine ways to mitigate the previously identified hazards and initial risks. As depicted in Figure 4 a Raven staging and launch process is broken down into identified hazards, its probability of occurrence, the severity of risk, and mitigating actions. Using the RAC/RAM previously expressed of 3B/Serious we can determine that the Mitigation Action for Item S-3 is; “ensure clear launch flight path; issue launch warning.” And thereby the Resultant Risk Level (RRL) is classified as Medium downgraded from serious.

Figure 4-Preliminary Hazard List/Analysis adapted from EWOB dated July 16, 2014

Operational Hazard Review and Analysis
The Operational Hazards Review and Analysis tool (Fig. 5) is used to identify and evaluate hazards throughout the entire process or operations. The OHR&A is essential to ongoing hazards evaluation and provides the necessary feedback to assess the effectiveness of mitigating actions. Similar in form to the PHL/A, the different column in an OHR&A is the Action Review column which lists the mitigating actions identified in the PHL/A and determines if they were satisfactory (Barnhart, 2011).

Figure 5 Operational Hazards Review and Analysis retrieved from EWOB dated July 16, 2014

Operational Risk Management
Risk management activities are designed to assist the project manager and team members in understanding previously identified risks, the probability and consequences of failure and to identify and implement appropriate mitigations. As can be seen in Figure 6, Subtask 2 Implementation mitigations and those directly responsible for management of the activity are identified.

Figure 6-Organizational Risk Management Worksheet Retrieved from EWOB dated July 16, 2014.

References
AV-AeroVironment (2012, October). AeroVironment’s Puma All Environment (Ae) small Unmanned Aircraft System (sUAS), Puma AE White Paper, presented at the initial project safety review FAA/LA-ACO, Lakewood, CA.
Barnhart, Richard K., Shappee, Eric, and Marshall, Douglas M. Introduction to Unmanned Aircraft Systems. London, GBR: CRC Press, 2011. ProQuest ebrary. Web. 1 December 2015.
EWOB (2014) Managing Risks in sUAS Operations retrieved from http://lewob.blogspot.com/2014/07/managing-risks-in-suas-operations.html
Gramp, D.E. (2010) Small Unmanned Aircraft System (sUAS) Notice of Proposed Rulemaking Safety Risk Management Assessment Retrieved from https://avssp.faa.gov/avs/afs80/afs-86/Shared%20Documents/Small%20Unmanned%20Aircraft%20System%20(sUAS)%20Notice%20of%20Proposed%20Rule%20Making%20Safety%20Risk%20Management%20Assessment.pdf