SMR4 Attachment J-11 - Surface Surveillance Program RIO Management SOP Final.pdf

Federal Aviation Administration (FAA)

Air Traffic Organization (ATO)

Surface Surveillance Program

Standard Operating Procedure (SOP)

Risk, Issue, and Opportunity (RIO) Management Plan

Version 2.0 2/1/2024

Federal Aviation Administration, Air Traffic Organization SBS Surface Surveillance Program

Standard Operating Procedure Risk, Issue, and Opportunity (RIO) Management Plan iii

Version History

Version Date Created By Description of Changes

1.0 2/10/2021 Dwight Bradford Initial Version

2.0 2/1/2024 Michael Reed Updated to reflect changes in programs to the

RIO Board.

iv

Table of Contents

1.0 INTRODUCTION

2.0 SURFACE SURVEILLANCE PROGRAM OVERVIEW

3.0 PMO RIO MANAGEMENT

3.1 PMO RIO Management Overview

3.2 Surface Surveillance Program PMO RIO Management Alignment

3.3 Surface Surveillance Program RIO Board Structure and Tier Classification

3.4 Surface Surveillance Program Meetings

3.4.1 Surface Surveillance Program RIO Management Board

3.4.3 Surface Surveillance Program RIO Status Meeting

3.4.4 Surface Surveillance Program Meetings (Other)

3.5 Surface Surveillance Program RIO Management Process Flow Diagrams

3.6 Surface Surveillance Program RIO Management Metrics

4.0 ROLES AND RESPONSIBILITIES

5.0 RIO MANAGEMENT SOFTWARE TOOLS

6.0 RIO MANAGEMENT TRAINING

7.0 QUALITY ASSURANCE

7.1 Configuration Management

7.2 Document Maintenance

7.3 Process Improvement

APPENDIX A ACRONYMS

APPENDIX B RIO SCORECARDS

Table of Figures

Figure 1: PMO RIO Management Board Structure Figure 2: Surface Surveillance Program RIO Initiation Process (Tier 4) Figure 3: Surface Surveillance Program RIO Implementation/Execution and Tracking Process (Tier 4)

1.0 Introduction

The purpose of this Standard Operating Procedure (SOP) is to document the Risk, Issue, and Opportunity (RIO) Management Process employed by the Surface Surveillance Program. The scope of this SOP covers the Surface Surveillance Program implementation the current version of the Air Traffic Organization (ATO) Program Management Organization (PMO) RIO Management Plan (PMO-PLN-0002), and provides additional detail with regards to the specific implementation of the plan by the Surface Surveillance Program. This SOP is consistent with the requirements of the Federal Aviation Administration (FAA) Acquisition Management System (AMS).

This SOP provides guidance for programmatic RIO Management only. It does not address the processes for managing safety risks, occupational risks, security risks, hazards, and any other risks that are not directly related to a published program goal (e.g., cost, schedule, and/or technical goals). These other sources of risks have their own, specialized processes for identifying and managing related risks.

The latest version of the PMO RIO Management Plan (RMP) can be found online on the PMO RIO Management KSN Site:

[https://ksn2.faa.gov/ajm/pmo/about-us/ajm1/ajm13/132/RM/Pages/Home.aspx].

2.0 Surface Surveillance Program Overview

The purpose of the Surface Surveillance Program is to support the implementation, sustainment, and technical refreshment of all surface surveillance systems. Its projects include Airport Surface Surveillance Capability (ASSC), Airport Surface Detection Equipment (ASDE)/ASSC Sustainment, Runway Status Lights (RWSL) Sustainment, and Runway Incursion Device (RID). Each project has a lead who is responsible for executing the project including RIO Management participation.

3.0 PMO RIO Management

3.1 PMO RIO Management Overview

The PMO RMP comprises a comprehensive PMO framework for identifying, analyzing, and managing programmatic RIOs within the PMO. This plan also outlines how the PMO coordinates its RIOs with organizations external to the PMO. RIO Management leverages the entire PMO’s knowledge, increasing the likelihood of the PMO’s success to meet its goals and objectives, and provides a well-rounded picture to senior management. This framework is consistent with guidance found in industry standards, FAA AMS Section 4.13 and the FAA Systems Engineering Manual (SEM) Version 1.0, Section 4.3.

3.2 Surface Surveillance Program PMO RIO Management Alignment

In keeping with the PMO’s RIO Management policy, the Surface Surveillance Program has implemented the PMO’s RIO Management Process. This includes, but is not limited to, the use of the PMO RMP, the PMO’s Active Risk Manager (ARM) Software, and the PMO’s training packages. The Surface Surveillance Program is fully compliant with the most recent PMO RIO Management Policies.

3.3 Surface Surveillance Program RIO Board Structure and Tier Classification

Surface Surveillance Program RIO Management has been structured to support the Surface Surveillance Program along with the needs of the PMO. The RMB structure in the PMO has been organized into four Tiers based on the PMO organizational structure. The Tiers are defined as:

• Tier 1: PMO Vice President (VP) Level RM

• Tier 2: Director Level RM

• Tier 3: Program Level RM

• Tier 4: Program and/or Project Level RM

The Surface Surveillance Program has established a Tier 4 RIO Management Board (RMB) within the PMO RIO Management Process. Ties to the PMO RIO Management Structure can be found in Figure 1 below and Appendix A of the PMO RMP.

3.4 Surface Surveillance Program Meetings

The Surface Surveillance Program board chairs have built a team culture that promotes a proactive RIO management environment to ensure that:

Every team member is responsible for identifying RIOs

RIO Management policy is conducted through the entire lifecycle of the program

Team members are not reluctant to assign high (red) RIOs levels

Management views changes in the RIO count as a sign of an actively managed program, rather than indications of a failing program

People are not punished for identifying RIOs

The Surface Surveillance Program RMB meets monthly to evaluate programmatic RIOs and their specific cause, specific impact, and action plans. The RMB provides a forum for participants to provide input.

3.4.1 Surface Surveillance Program RIO Management Board

The Surface Surveillance Program RMB is scheduled to be conducted on the 2nd Thursday of each month with ad hoc RIO meetings occurring as required. The PMO RMB Structure (see Figure 1) provides a graphical depiction of the Surface Surveillance Program RMB along with other boards in its management structure.

Figure 1: PMO RIO Management Board Structure

The Surface Surveillance Program RIO Board members are comprised of the SBS Surface Team Program Manager and the Surface Surveillance Project Management and Acquisition Lead (Board Chairs), Project Leads, Technical Leads, Technical Refresh Portfolio Lead, System Engineering Management Lead, Implementation Management Lead, Risk Manager, and a representative from each of the following organizations:

National Airway Systems Engineering (AJW-14)

FAA Logistics Center Radar Product Group (AJW-L900)

FAA Logistics Center Nav/Weather Product Group (AJW-L700)

NAS Integration & Support Group (AJW-13)

Air Traffic Systems Surveillance Branch (ANG-E54)

NATCA

PASS

Only the Surface Surveillance Program RIO Board members can vote on the disposition of a RIO. The Board Chairs have veto power and the final say as to the disposition of a RIO.

In order for RIO Board actions to become official, a quorum must be achieved. A proper representative from the Program Office, Tech Ops, NATCA, PASS, and the Risk Manager must be present. Participation can be waived by a representative manager, the SBS Surface Team Program Manager, or the Surface Surveillance Project Management and Acquisition Lead on a case-by-case basis.

If a quorum representative requirement is waived, the Risk Manager ensures that the quorum representative is provided with the outcome of the RIO Board meeting.

3.4.2 Surface Surveillance Program RIO Review

A Surface Surveillance Program RIO Review is conducted on the 1st and 4th Thursdays of the month.

During these reviews, the Surface Surveillance Program RIO Manager reviews the status of RIO management activities with the board chairs and Project Leads. In addition to reviewing existing and proposed RIOs, this meeting is used to prepare for the upcoming RIO Board meeting, including setting the agenda.

3.4.3 Surface Surveillance Program RIO Status Meeting

The Surface Surveillance Program RIO Manager provides RIO status to the SBS RIO Manager monthly and to the SBS Group Manager (AJM-42) and other management on an as-requested basis. Additionally, status is provided on an as-requested basis for program reviews.

3.4.4 Surface Surveillance Program Meetings (Other)

The Surface Surveillance Program RIO Management also provides RIO status during Surface Surveillance Program meetings. These additional meetings provide Surface Surveillance Program Management and their team enhanced exposure to their RIOs.

The RIO Manager may participate in other organizations’ RIO activities (i.e., Program Management Review (PMR)) to support Surface Surveillance Program involvement.

3.5 Surface Surveillance Program RIO Management Process Flow Diagrams

RIO Initiation (Tier 4)

Team Member(s) Tier 4 RIO Manager(s)

Tier 4 RIO Review Tier 4 RMB

-S2- Develop RIO, Set Status to ”Draft”

(Assisted by Team Members and

SMEs)

Process Step(s) 1, 2, & 3

Note: The RIO Status changes to “Pending”

Yes

Tier 4 Implementation &

Tracking

Terminate Process

Note: The RIO Status changes to “Proposed”

-D3- Content

Concurrence?

No

No

-S3- Review RIO

Process Step(s)

-D5- Content

Concurrence?

-D2- Valid RIO?

No

-S4- Review RIO

Process Step(s)

-D4- Val d RIO?

Note: The RIO Status changes to “Not Approved”

Yes

Note: The RIO Status changes to “Approved”

-D1- Content

Concurrence?

Yes

Yes

No

-S1- Initial Identification of RIO

Process Step(s)

Note: The RIO Status changes to “Not Approved”

No

Note: The RIO Status changes to “Draft”

Note: The RIO Status changes to “Draft”

Yes

Figure 2: Surface Surveillance Program RIO Initiation Process (Tier 4)

RIO Implementation /Execution & Tracking (Tier 4)

Team Member(s) Tier 4 RIO Manager(s)

Supporting RIO Review(s)

Status Meetings or Tier 2 RMB

Tier 4 RMB

-S8- Review Current

RIO Status

Process Step(s)

Note The RIO Status stays “Approved”

Tier 4 Implementation

Note The RIO Status changes to “Disposition Ready”

Tier 3 Implementation &

Tracking

-S9- Evaluate RIOs

Process Step(s)

Status Meeting

No

De-Elevated

-S11- Review Current

RIO Status

Process Step(s)

-S7- Re-Analyze & Assess RIOs

Process Step(s)

Yes

-S6- Track & Monitor

RIOs

Process Step(s)

-D9- Elevation Change

Required?

Yes

Approved

Yes

Terminate Process

RMB

Note RIO Feedback if applicable

-S10- Approve RIOs/

Updates

Process Step(s)

-D11- Status Type?

-D8- Content

Concurrence?

-D10- Content

Concurrence?

Disposition Ready

No

-D7- Continue Tracking?

-D6- Meeting Type?

NoYes

No

-S5- Implement/

Execute RIO Plans

Process Step(s) 4 Note The RIO

Status changes to “Closed,” “Retired,” or “Realized”

Figure 3: Surface Surveillance Program RIO Implementation/Execution and Tracking Process (Tier 4)

3.6 Surface Surveillance Program RIO Management Metrics

The Surface Surveillance Program RIO Management generates metrics to assist with evaluating the health of the RIO Management Process (Table 1). These metrics, defined in Appendix G of the PMO RMP, are divided into three categories: Board Management, Record Management, and Training to ensure full coverage of the activity. Each metric also has a corresponding threshold which is managed by the Board. When these thresholds are not achieved, the Surface Surveillance Program RIO Manager implements appropriate corrective actions. These metrics and thresholds enable management to monitor both the health of the RIO Management Process and the health of the organization. Metrics are collected on a quarterly basis, and Metric reports are posted on the Surface Surveillance Program RIO Management KSN site.

Table 1: RIO Management Metrics

Metrics Threshold Purpose

Bo ar d M gm t.

Percent of boards held according to the published reoccurring frequency defined in the program’s

SOP.

80% Note: Metric should be evaluated based on data from the previous 12 months.

Demonstrates that the board meetings are being held in accordance with the appropriate governing RIO Management SOP.

Attendance at board meeting(s) The chair, board, and a representative to speak on each agenda item.

Demonstrates that minimum participation is present at the RIO Management Boards.

Re co rd M gm t.

Percentage of Approved "High" Risks and Issues that have a staleness classification of "Green"

90% Note: RIO Staleness is categorized (Green, Yellow, or Red) by the number of days since modifications were made to a RIO in the database.

Green: < 30 Days Yellow: 30-60 Days Red: > 60 Days

Demonstrates the RIO Management team is actively managing their "High" RIOs.

Evidence of RIO Management Activity

At least one change in any of the defined criteria for the entire portfolio in the last 30 days.

This metric demonstrates the RIO Management team is actively managing their portfolio of RIOs.

Tr ai ni ng

Percentage of RIO Managers who have completed the latest formal RIO Management Process Training

100% Demonstrates that the RIO Managers have received the required process training.

Percentage of RIO Managers who have completed formal RIO Management Software Training

100% Demonstrates that the RIO Managers have received the required tool training.

Percentage of Managers (chair & board members) who have completed formal Executive RIO Management Process Training

90% Demonstrates that the Managers have received the required process training.

Percentage of Team Members who have completed the latest eLMS RIO Management Process Training

80% Demonstrates that the team members have received the required process training.

4.0 Roles and Responsibilities

Section 5 of the PMO RIO Management Plan defines Roles and Responsibilities associated with RIO Management (Table 2). The Surface Surveillance Program has personnel performing or interfacing with each of the defined roles.

Table 2. RIO Team Roles and Responsibilities

Title Responsibilities

Tier 4 Board Chair (i.e., Group, Program and Project Managers)

• Implement the PMO RMP

• Establish their respective RM organization (i.e. OBS) including the makeup of their RMB and allocate resources needed to support the PMO

RMP

• Assist with managing RIOs in their control in accordance with the PMO

RMP

• Participate in their respective Tier 2 RMB on an as needed basis.

• Participate in and chair their respective recurring RMB and RIO Review

Meetings

• Coordinate with their respective RIO Manager(s), and External

Stakeholder leadership, when required

• Ensure better coordination when assigning RIO owner, plan owners, and or step owners prior to approval of the RIO. Especially when the individuals are external to the organization.

Other Board Participants (i.e.

Deputy Director or Manager, Technical Advisors, Business Management Group, Managers of the next lower tier level)

• Implement the PMO RMP

• Participate in their respective recurring RMB and RIO Review Meetings

• Coordinate with their respective RIO Manager(s), and External

Stakeholder leadership, when required

• Ensure better coordination when assigning RIO owner, plan owners, and or step owners prior to approval of the RIO. Especially when the individuals are external to the organization.

Tier 4 RIO Managers

• Support their respective Tier 3 Manager in implementing the PMO RMP

• Assist individual team members with all aspects of executing the PMO

RMP (e.g., identification, assessment, and developing plans)

• Ensure RIO status and metrics are reported

• Assist the RMWG in ensuring training is provided in accordance with

Section 6.3 of this plan

• Facilitate their respective Tier RMB and supporting RIO Review Meetings

• Participate in the higher tier RMB on an as needed basis

• Assist with managing RIOs in their control in accordance with the PMO

RMP

• Assist with coordinating RIOs in their control with external stakeholders when required

• Represent RM during internal/external Audits.

• Maintains KSN sites.

Title Responsibilities

RIO Owner • Support the PMO RMP

• Develop and manage their respective RIOs in accordance with the PMO

RMP

• Assess their respective Tier level RIOs, develop plans, and monitor results

• Ensure their respective RIO status and metrics are reported to applicable program management

• Participate in RMBs and other supporting meetings

RIO Plan/Step Owner

• Support the PMO RMP

• Assist the RIO Owner in creating approach options and assist with the development of supporting steps

• Manage their respective RIO steps in accordance with the PMO RMP

• Assess their respective steps and monitor results

• Participate in RMBs and other supporting meetings

RIO Team Member • Identify new risks, issues, and opportunities

• Assist in the analysis and assessment of RIOs based on their individual areas of expertise and experience

• Contribute to the identification of plan approach(es) for identified RIOs and assist with the development of supporting steps.

• Collaborate with the RIO Owner and program stakeholders to manage the RIO, within the scope of their areas of responsibility

• Participate in RMB meetings

RIO Tool Administrator

• Support the PMO RMP

• Maintain configuration control of the RIO Tool to ensure the requirements of the PMO RMP are met

• Modify locally-controlled aspects of the PMO RIO Tool when required

– Manage user access

– Modify folder structure

– Create custom reports

• Participate in RIO Tool CM process External Stakeholders

• Participate in RMBs as appropriate

• Coordinate with PMO as needed in identifying, analyzing, and managing

RIOs related to their organization

• Participate in the RMWG

5.0 RIO Management Software Tools

The following tools, and their dependent file formats, are used for Surface Surveillance Program RIO Management:

Active Risk Manager (ARM)

Knowledge Services Network (KSN):

[https://ksn2.faa.gov/ajm/AJM-232plus/ASSC/SSP/SitePages/Home.aspx]

6.0 RIO Management Training

Section 6.3 of the PMO RIO Management Plan defines the training available for individuals that participate in the PMO RIO Management Process (Internal and External Stakeholders). The PMO offers three training classes which are applicable and are available for Tier 4 Programs. These classes are updated to remain in alignment with updates to the PMO RMP. The PMO maintains the training records for all associated individuals. The PMO RIO Management Work Group (RMWG) provides status reports when requested.

PMO Training Workshops:

RIO Manager Process Training: Focuses on RIO management techniques along with a detailed discussion of the PMO RIO Management Process.

RIO Management Process Overview Briefing: Overview of the PMO RIO Management process and the reports provided. This briefing is intended to be given to senior management, as well as Surface Surveillance Program team members who require a basic knowledge of the RIO Management Process.

o Note: This course is also available on the FAA eLMS System, Course ID number 60004716. Contractors are required to obtain Contracting Officer approval to take this training, per the eLMS Contractor Approval process.

RIO Management Tool Training: Provided to RIO Managers and RIO Tool Administrators only, this training focuses on how to use and maintain the RIO Management Database.

RIO training is provided on an ongoing and as-needed basis. Participants are initially provided appropriate training based on their assigned duties. Training courses are also available for process participants when either their duties change or when new versions of the training is released. The PMO RMWG works with the Risk Manager to identify the individuals who require training.

7.0 Quality Assurance

7.1 Configuration Management

This SOP shall be changed only with concurrence from the Board Chairs. Change history is tracked on the Version History page located in the front of this SOP. The changes are tracked by revision control number and include the date of the change and the action associated with the change.

RIO work products are controlled through the KSN site, specified in section 4. The required work products for each RMB include a RMB Material Package, a Post RMB Report, and a RMB attendance sheet. Quarterly Process Health Metrics Reports are also required and are posted on the KSN site, per section 2.6. The KSN site also provides a location to control optional work products, e.g., RIO Registers, RIO Summaries, and RIO Review Materials.

7.2 Document Maintenance

This SOP is subject to program level document configuration and change management processes. The SOP is reviewed annually and updated as required in accordance with the Surface Surveillance Program Quality Assurance process. More frequent reviews and revisions may be undertaken in order to keep the plan current.

7.3 Process Improvement

The Surface Surveillance Program team periodically reviews and audits the RIO management process and associated work products and takes appropriate action on any findings, in accordance with the PMO RIO Management Plan.

Appendix A Acronyms

ACE Advanced Control Equipment ADS-B Automatic Dependent Surveillance – Broadcast AMS Acquisition Management System ARM Active Risk Manager ASDE Airport Surface Detection Equipment ASDE-X Airport Surface Detection Equipment – Model X ASSC Airport Surface Surveillance Capability ATO Air Traffic Organization CM Configuration Management COTS Commercial off the Shelf eLMS eLearning Management System FAA Federal Aviation Administration FLS Field Lighting System ILC Individual Light Controller KSN Knowledge Services Network MLAT Multilateration NAS National Airspace System NASE National Airways Systems Engineering NATCA National Air Traffic Controllers Association NISG NAS Integration & Support Group PASS Professional Aviation Safety Specialist PFD Process Flow Diagrams PM Program Manager PMO Program Management Organization PMR Program Management Review RID Runway Incursion Device RIO Risk, Issue, and Opportunity RMB RIO Management Board RMP RIO Management Plan RMWG RIO Management Work Group RWSL Runway Status Lights SBS Surveillance and Broadcast Services SEM Systems Engineering Manual SLEP Service Life Extension Program SMR Surface Movement Radar SMRr Surface Movement Radar Model-r SMRi Surface Movement Radar Model-i SOP Standard Operating Procedure SW Software Tech Ops Technical Operations

Appendix B RIO Scorecards

Risk/Issue Scorecard

Opportunity Scorecard