Question 92 - FAA Order 6000.50E.pdf

Distribution: Initiated By:

1. Purpose of This Order. This order defines requirements for the development of Generic Site Implementation Plans (GSIPs) and Project Risk Plans (PRP) utilized to document, manage and mitigate risks to the NAS during project implementation. These requirements apply to any change or improvement to a NAS facility, supporting facility or infrastructure that has a definite beginning, end and limited duration, regardless of funding source or who is doing the work. Requirements and activities covered by Maintenance handbooks do not apply. The provisions of this order are a necessary component of Strategic Operational Risk Management requirements for projects.

Operations Personnel will then use the PRP to augment Tactical Operational Risk Management as defined in the current revision of order 6000.15.

2. Audience. This order applies to all FAA employees and contractors who are involved with a NAS project.

3. Where Can I Find This Order? You can find this order on the My FAA Employee Website, select “tools & resources” and then select “orders and notices”.

4. What This Order Cancels. Order 6000.50D.

5. Effective Date. This order is effective XX/XX/XXXX. FAA personnel must complete implementation by XX/XX/XXXX.

6. Explanation of Changes. This order implements the following changes:

a. PRPs replace project plans and the Integrated Risk Management Checklists (IRMC).

b. Safety Risk Management (SRM) policy now references the Safety Management System (SMS) Manual.

c. Overall Operational Risk Management (ORM) policy now resides in Order 6000.15.

d. Clarified the requirements for GSIPs and added a GSIP template in the appendices.

e. Added a PRP template in the appendices.

f. GSIP and PRP examples will be hosted on the National Airspace System (NAS) Project Implementation Risk Management website: http://technet.faa.gov/6000.50

Effective Date:

Implementation Date:

U.S. DEPARTMENT OF TRANSPORTATION

FEDERAL AVIATION ADMINISTRATION

Air Traffic Organization Policy

SUBJ: National Airspace System (NAS) Project Implementation Risk Planning

ORDER

JO 6000.50E

http://technet.faa.gov/6000.50

XX/XX/20XX JO 6000.50E

7. Generic Site Implementation Plan (GSIP) Requirements. The Program Office is responsible for the completion of a GSIP for each program activity they sponsor. A GSIP describes the steps necessary to implement a project in the National Airspace System (NAS), regardless of where you implement the project or by whom. The GSIP is the basis for the development of location specific design and risk plans that you must develop for each project. SRM assessments are required for all GSIPs and the results documented in a Safety Risk Management Document (SRMD). Refer to the ATO Safety Management System (SMS) Manual for all SRM requirements. The program office must complete the GSIP prior to the first project (key site) and provide it to the implementing organization. Appendix A has an example GSIP template. At a minimum, every GSIP must include the following:

a. A thorough description of the scope of the project.

b. A clear identification of all common activities, risks and mitigations.

c. A clear identification of all items requiring local adaptation due to unique site requirements or configurations.

d. A clear identification of Environmental and Occupational Safety and Health (EOSH) considerations for each activity.

e. Any mitigations and assumptions regarding local facility operations (equipment availability, personnel availability, tasks required by local Technical Operations personnel, outages, etc.).

f. An SRM section that identifies all hazards, mitigations, and residual risks identified during the acquisition process as documented in the System Safety Assessment Report (SSAR) or SRMD as applicable.

8. Project Risk Plan Requirements. A Project Risk Plan (PRP) is a living document that promotes coordination and communication thus reducing the risks to the NAS associated with project implementation. A PRP is required for all projects regardless of funding source or project implementer. This section establishes a process to assist project implementers to identify, analyze, communicate and manage risks throughout the lifecycle of a project. Appendix B has an example PRP. Previously completed PRPs will be accessible here <Insert Link>.

Identifying potential risks to the NAS and developing and managing mitigations begins during the planning phase of a project and continues until the project is completed. ORM must be coordinated prior to a site survey when survey activities will create operational risks. Capture this information in the PRP.

a. Risk Plan Process – An analysis to identify, communicate and manage potential risks to the NAS throughout the duration of the project. Document this in the PRP. The process will consist of:

(1) Planning – Analysis of information gathered from project documentation, SMEs, project stakeholders, etc. to generate a preliminary list of activities that may have the potential to negatively affect the NAS.

(2) Identify risks - Identification of risks associated with the activities.

(3) Plan risk response – Evaluation to develop mitigation measures.

(4) Develop PRP – Documentation of project details, activities, risks and mitigations.

(5) Finalize and Approve – Routed for review and signatures prior to execution.

(6) Monitor and control – Verification that you implement mitigations and manage new risks throughout the project.

b. Project Risk Plan - At a minimum every PRP should have the following elements, except where noted:

(1) Title/Project Data – Elements listed should include the following where applicable:

(a) Project Title

(b) Ident

(c) Location

(d) JCN

(e) FAC Code

(f) Cost Center Code

(g) Project Implementer

(h) Project Implementer Organization

(i) GSIP Title – a copy or link should be attached to the PRP

(2) Schedule – Provide a schedule of activities associated with this project.

(3) Scope – An executive summary of the overall project describing all the work required to execute the project.

(4) Activities List – A detailed description of the project steps and tasks.

(5) PRP Monitor and Control Review Schedule – Document how often the project team will meet in order to review, discuss and update the PRP.

(6) Project Team Members or Stakeholders – A list incorporating all parties who are actively participating or have an interest in the operation of the systems or services that could have potential impacted during the execution of the project. For a list of potential stakeholders, see

Appendix C.

(7) Risk Mitigation - The documentation of risks and associated mitigations. The size and complexity will vary with each project. The following tools are flexible and scalable depending on the size of the project and may be expanded or condensed as needed.

(a) Issue Register – An optional table useful on large or complex projects to collect and document concerns that require further analysis to determine if a NAS risk exists. You then transfer credible risks to the Risk Register. An issue is a specific problem that could disrupt a project or place its success in doubt. Examples of items that could be included in the Issues Register:

1 Flight Procedures

2 Security requirements

3 Airspace Case studies (7460-1)

4 Age of equipment

5 Local Events

6 Known existing maintenance issues (stuck valves, damaged equipment, etc.)

7 Impact to existing systems on power panels

8 Maintenance moratoriums

9 Adjacent facility outages

10 Current system deficiencies

11 Underground Utilities

(b) Risk Register - The risk register is a table that records credible NAS risks including those identified in the program GSIP, lessons learned from previous projects, etc. The register clearly states risks and leads to proper mitigation/handling of risks. A risk register should include the following:

1 Activity or description of each risk

2 Operational consequences and affected NAS services and systems

3 Outages required

4 Individual or group responsible for mitigation actions

5 Mitigation or reference to mitigation register

(c) Mitigation Register - A table of actions that will reduce each risk to an acceptable level. This section of the PRP is flexible to accommodate actions that could range from a simple task to a complex plan.

(8) During the scope definition phase of the project, you should discuss and agree upon PRP routing review and approval signatures. Reviewers can include any potential stakeholder as required.

(9) PRP Signature– The PRP, when approved, ensures that identified activities take place with proper consideration of factors that may negatively impact the NAS. It serves to document results of various coordination activities leading to the execution of a project. Management representatives from the project implementer, Technical Operations District and Air Traffic organizations must sign the PRP prior to commencement of construction, installation or alteration of a NAS facility. At this point, the execution of this plan and any additional risks would be processed utilizing Operational Risk Management principles as defined in the current revision of 6000.15.

(10) PRP Monitor and Control – Verification that you implement mitigations and manage new risks throughout the project.

Vaughn A. Turner Vice President, Technical Operations Services

Appendix A

APPENDIX A. GSIP TEMPLATE

Federal Aviation Administration

Generic Site Implementation Plan (GSIP)

PROGRAM NAME

Version x.x

Date

GSIP Change Page

Action/ Change made to the GSIP Date of change Version Number

Signature Page

Title: XXX Program

Initiated by:______________________________________Date:________________ Name: (The Program Office (P.O.) or sponsoring organization, which initiated the document.)

Org/Code:

Phone Number:

Approved by:______________________________________Date:________________ Name: (The P.O.’s Program Manager) Org/Code:

Phone Number:

Reviewed by:____________________________________Date:_________________ Name: (The AJW-29 Reviewer. The POC working with the document initiator.)

Org/Code:

Phone Number:

Approved by:____________________________________Date:_________________ Name: (The AJW-13 Reviewer) Org/Code:

Phone Number:

SECTION 1: SCOPE/BACKGROUND

[This Section provides a general description of the program and should identify the activities required to plan and implement the project or system. Information such as number of sites, means of implementation, schedule milestones, etc. should be included in this section.]

SECTION 2: System Description (if applicable)

2.1 Functional Description

[In this section, describe the functions the system provides.]

2.2 Physical Description

[In this section, describe the components of the system.]

SECTION 3: ROLES AND RESPONSIBILITIES

[In this section, list the organizations that must be coordinated with in order to implement the project and provide the roles and responsibilities for each organization as they relate to the project.]

3.1 Program Office

3.2 Service Center

3.3 Project Implementer

3.4 Technical Operations Districts

3.5 Air Traffic

SECTION 4: LOGISTICS SUPPORT

[In this section, identify the items that the program office will provide for the project.]

SECTION 5: OPERATIONS SUPPORT/LIFECYCLE SUSTAINMENT

[In this section, identify the organization(s) that will be responsible for continued life cycles sustainment.]

SECTION 6: DESIGN REQUIREMENTS

[In this section, provide information such as siting criteria, space, electrical, bonding, and grounding requirements, etc. not covered in other Orders or Directives that the project implementer should address the design phase.]

6.1 Local Site Adaptation

[In this section, the program office should provide information to support the project implementer with real estate requirements, obstruction and flight procedure considerations, etc. as they plan to implement the project locally.]

6.2 Environmental and Occupational Safety & Health (EOSH)

[In this section, the program office should provide information to support the project implementer with EOSH considerations as they plan to implement the project locally. Items such as electrical and fire life safety, labeling and material handling should be addressed in this section, unless covered by other Orders or Directives.]

SECTION 7: SAFETY MANAGEMENT SYSTEM (SMS) REQUIREMENTS

[In this section, provide the outcome of the safety risk management assessment that the acquisition office completed during the acquisition phase.]

SECTION 8: IMPLEMENTATION REQUIREMENTS

[In this section, list the high-level standards and requirements (e.g. space requirements, system requirements, etc.) associated with the project.] The GSIP is not intended to address all aspects of project implementation for all possible scenarios. Project planning, engineering, surveys, environmental considerations, site preparation, coordination, notifications (NOTAMs), flight check activities, etc. are developed and addressed on a local per site basis.

SECTION 9: RISK MANAGEMENT

[In this section, provide a clear identification of all common activities, risks and mitigations that you will use in a Project Risk Plan. Also, include any risk mitigations and assumptions regarding local facility operations (equipment availability, personnel availability, tasks required by local Technical Operations personnel, etc.).

SECTION 10: APPENDICES

APPENDIX A. POINTS OF CONTACTS

APPENDIX B. LIST OF REFERENCES

APPENDIX C. LIST OF ACRONYMS

APPENDIX D. STANDARD SYSTEM CONFIGURATIONS

APPENDIX E. Safety Risk Management Documentation

Appendix B

APPENDIX B. PRP TEMPLATE AND EXAMPLE

PRP TEMPLATE

PRP EXAMPLE

ATCT Roof Replacement and HVAC Project

Project Risk Plan Version 1.1, 2-5-2018

DOCUMENT ACCEPTANCE and RELEASE NOTICE The signatures on this Project Risk Plan ensure identified activities take place with proper consideration of factors that may negatively impact the NAS. It serves to document results of various coordination activities leading to the execution of a project.

Initiated By: ________________________________________________ DATE: ___/___/___ (Project Implementer) (First Last, Title)

Approved By: _______________________________________________ DATE: ___/___/___ (Front Line Manager) (First Last, Title)

Identification Project Description Replace the ATCT roof and the HVAC units in the base building

JCN (s)

CIP XYZ.01-00

Service Area Western Service Area

Tech Ops District Office XYZ Group

Location XYZ, Oregon

Cost Center Code XYZ12

LOC ID and Facility Type XYZ TOWB

Project Implementer FAA Employee, Project Engineer - AJW-2W123

Project Baseline Date 02/04/16

GSIP Title

Table of Contents

1 Purpose

2 Project Schedule

3 Project Scope

4 Monitor and Review

5 Project Team Members

6 Issues Register

7 Risk Register

8 Mitigation Scope of Work Register (MSOW)

1 Purpose A Project Risk Plan (PRP) is a living document that promotes coordination and communication thus reducing the risks to the NAS associated with project implementation. You must monitor the PRP throughout the project life cycle and can evolve depending on the project phase.

This document will achieve the following:

• Formally identify, analyze, and mitigate risks during the project implementation.

• How often you review the PRP and who will be involved.

• A complete Risk Register containing all risks identified for the project and their risk mitigation strategies.

2 Project Schedule

Project Task Start Date Completion Date

Site Survey 11/23/15 12/28/15

Engineering 02/02/16 06/03/16

Construction 06/12/17 09/08/17

Work Completion date 09/15/17 04/13/18

3 Project Scope

General Project Description

This project replaces packaged outdoor HVAC units on the cab and base building at the air traffic control tower in XYZ, OR. Work includes but is not limited to: Removal of five (5) HVAC units, associated ductwork, electrical power circuits, and controls;

installation of five (5) fully redundant HVAC, associated ductwork, electrical power circuits, and new controls.

This project also replaces the existing built-up roofing system from the cab, base building and EG roof. Work includes, but is not limited to: Removal of the existing built up roofing system, insulation, walking pads, and metal flashing down to the existing metal deck and parapet wall substructure; installation of a new fully adhered PVC roofing system, new metal flashing, and walking pads.

Activity Number Activity Description

100 Site mobilization

110 Crane set up

120 Set up temporary cooling

130 Demolish exterior duct work and condensing units

140 Demolish existing roof

150 Set new condensing units

160 Provide new HVAC controls

170 Provide new exterior ductwork

180 Provide new electrical power distribution

190 Bond condensers, ductwork, and structures to the earth electrode system

200 Perform HVAC operation tests, balancing, and adjustments

210 Complete performance tests

220 Install new roof

230 Demobilize

4 Monitor and Review

Frequency of Project Risk Plan Review Site Survey

10% Design Review

90% Design Review

Each design scope change

Preconstruction meeting

Each weekly construction progress review meeting

Required equipment outage

Construction contract modification

5 Project Team Members

1 Identify PRP role as initiator, approver, and reviewer.

Name Title Email Organization Role1 Phone

1 FAA Employee AT Manager faa.employee@faa.gov XYZ ATCS Approver 123-456-7890

2 FAA Employee District Manager faa.employee@faa.gov AJW-XYZ Reviewer 123-456-7890

3 FAA Employee SSC Manager faa.employee@faa.gov WWR16-XYZ Reviewer 123-456-7890

4 FAA Employee TOM faa.employee@faa.gov WWR1-XYZ Approver 123-456-7890

5 FAA Employee SECM faa.employee@faa.gov AJW-XYZ Reviewer 123-456-7890

6 FAA Employee Project Engineer faa.employee@faa.gov AJW-XYZ Initiator 123-456-7890

7 FAA Employee Safety Engineer faa.employee@faa.gov AJW-XYZ Reviewer 123-456-7890

8 FAA Employee Terminal Manager faa.employee@faa.gov AJW-XYZ Reviewer 123-456-7890

9 FAA Employee SSC Coordinator faa.employee@faa.gov WWR16-XYZ Reviewer 123-456-7890

10 FAA Employee POCC faa.employee@faa.gov AJW-XYZ Reviewer 123-456-7890

11 FAA Employee Resident Engineer faa.employee@faa.gov AJW-XYZ Reviewer 123-456-7890

6 Issues Register

1 Identify anything that might have a negative effect.

2 Enter information /status updates for each review cycle.

Issue No.

Issues Description1 Assigned to Date Priority Actions & Progress Notes2

Date Resolved

7 Risk Register

1 This can be useful in identifying appropriate mitigation actions.

2 Mitigation Scope of Work – Specify the reference number for the MSOW Register.

Index

ID

Activity or Description of Risk

Identification of Consequences and the NAS

System Impacted 1

Outage

Date of Review

Individual responsible for mitigation action(s)

Mitigation Action

Timeline

MSOW2

Register

ID #

100 - Site mobilization .1 Working on ladders greater than

6’ Safety risk for individuals performing the work

No 02/16/16 FAA Employee, AJW-XYZ

During Construction

110 - Crane set up .1 Using a crane Fiscal and equipment damage from improper use of the crane Yes 02/16/16 FAA Employee, AJW-XYZ

During Construction

120 - Set up temporary cooling .1 Removal of HVAC equipment Loss of NAS equipment service because of over temperature

Yes 02/16/16 FAA Employee, AJW-XYZ

During Construction

130 - Demolish exterior duct work and condensing units .1 Removal of HVAC equipment Loss of NAS equipment service because of over temperature

No 02/16/16 FAA Employee, AJW-XYZ

During Construction

.2 Construction activities with noise greater than 65 dB such as sawing, drilling, etc.

Disruption to air traffic control No 02/16/16 FAA Employee, AJW-XYZ

During Construction

140 - Demolish existing roof .1 Working on ladders greater than

6’ Safety risk for individuals performing the work

No 02/16/16 FAA Employee, AJW-XYZ

During Construction

.2 Reroof Activities Water infiltration No 02/16/16 FAA Employee, AJW-XYZ

During Construction

Activity

ID

Activity or Description of Risk

Identification of Consequences and the NAS

System Impacted 1

Outage

Date of Review

Individual responsible for mitigation action(s)

Mitigation action timeline

MSOW2

Register

ID #

150 - Set new condensing units .1 Construction activities with noise greater than 65 dB such as sawing, drilling, etc.

Disruption to air traffic control No 02/16/16 FAA Employee, AJW-XYZ

During Construction

160 - Provide new HVAC controls .1 Working on ladders greater than 6’ Safety risk for individuals performing the work

No 02/16/16 FAA Employee, AJW-XYZ

During Construction

.2 Removal of HVAC or electrical Loss of fire protection system No 02/16/16 FAA Employee, AJW-XYZ

During Construction

170 - Provide new exterior ductwork .1 Construction activities with noise greater than 65 dB such as sawing, drilling, etc.

Disruption to air traffic control No 02/16/16 FAA Employee, AJW-XYZ

During Construction

180 - Provide new electrical power distribution .1 Unsafe contact with electrical circuits Lockout/tagout Injury from electric shock or arc flash

No 02/16/16 FAA Employee, AJW-XYZ

During Construction

.2 Replacing panel breakers Loss of NAS equipment service due to power outage

No 02/16/16 FAA Employee, SSC

Coordinator

During Construction

.6 Humidifiers H-11A & H-11B will be de-energized

Increase static electricity in the VSR equipment room

Yes 02/16/16 FAA Employee, SSC

Coordinator

During Construction

18.1

.7 Panel C-E will be de-energized Loss of TMU Monitors in the control room floor

Yes 02/16/16 FAA Employee, SSC

Coordinator

During Construction

18.1

.8 Fire alarm shut down Loose zone #2 photoelectric smoke detectors

Yes 02/16/16 FAA Employee, SSC

Coordinator

During

18.2

Activity

ID

Activity or Description of Risk Identification of Consequences and the NAS System Impacted 1

Outage Date of Review

Individual Responsible for

Mitigation Action(s)

Mitigation Action

Timeline

MSOW2R

egister

ID #

.9 Elevator will be taken out of service

“A” positon consoles can’t be taken down to 1st floor for repair

Yes 02/16/16 FAA Employee, SSC Coordinator

During Construction

18.3

.10 IDS will be de-energized Equipment taken out of service Yes 02/16/16 FAA Employee, SSC Coordinator

During Construction

18.1

.11 Panel EA will be shut down Loss of TMU printers in the control room floor

Yes 02/16/16 FAA Employee, SSC Coordinator

During Construction

18.1

190 - Bond condensers, ductwork, and structures to the earth electrode system .1 Working on ladders greater than

6’ Safety risk for individuals performing the work

No 02/16/16 FAA Employee, AJW-XYZ

During Construction

200 - Perform HVAC operation tests, balancing, and adjustments .1 Working on ladders greater than

6’ Safety risk for individuals performing the work

No 02/16/16 FAA Employee, AJW-XYZ

During Construction

.2 Remove HVAC or electrical appurtenance that disrupts FCP

Partial or full loss of the fire protection system

No 02/16/16 FAA Employee, SSC Coordinator

During Construction

210 - Complete performance tests .1 Working on ladders greater than

6’ Safety risk for individuals performing the work

No 02/16/16 FAA Employee, AJW-XYZ

During Construction

220 - Install new roof .1 Reroofing activities Water infiltration during construction No 02/16/16 FAA Employee, AJW-XYZ

During Construction

.2 Painting, curing, or sealing activities

Reduced indoor air quality No 02/16/16 FAA Employee, AJW-XYZ

During Construction

230 - Demobilize .1 Working on ladders greater than

6’ Safety risk for individuals performing the work

No 02/16/16 FAA Employee, AJW-XYZ

During

8 Mitigation Scope of Work Register (MSOW)

MSOW

ID #

Mitigation Scope of Work

10 • Insure the safety plan is strictly followed

• Use proper fall protection apparatus

11 • Follow activity hazard analysis

• Comply with facility procedures

• Only have licensed personnel operate the crane

12 Require the Contractor to provide temporary air conditioning.

13 Schedule this work for nonpeak hours 14 • Only as much roofing will be removed as can replaced by the end of the work day

• No opening in the roof cover shall be attempted in threatening weather

• Any opening made shall be resealed prior to suspension of work the same day

• Contractor shall provide weather protection as required

15 Schedule this work in non-peak hours 16 • Notify fire department of outages

• Be aware of smoke detector locations and other fire protection elements 17 • Follow LO/TO procedures and use proper PPE

• All penetrations of electrical and electronic equipment will be performed with the equipment de-energized

MSOW

ID #

Work Description

18 • Require the Contractor to perform critical electrical work during a scheduled outage

18.1 • Schedule outage with MOCC

18.2 • Provide a 120 VAC circuit from critical power panel

18.3 • Two extra A position consoles will be moved to the second floor and placed in reserve 19 • Reduce outdoor air intake

• Use zero VOC adhesives

• Install power generator on ground instead of roof

• Set space to negative air pressure

Appendix C

APPENDIX C. POTENTIAL PRP STAKEHOLDERS

Air Traffic Manager NATCA Rep Air Traffic POC (Other)

Technical Operations District Technical Operations Manager SSC Manager SSC Coordinator

PASS Representative

ATSS POC

Engineering Services Group Managers ES Center Manager Project Engineer Resident Engineer Design Engineer EOSH Engineer Project Integrators Installation Crew Lead

Acquisitions Contracting Officer CO Supervisor Contractor Project Manager Contractor

Technical Services

TSOG

SECM

OESG

NAS Plans Program Coordinator (NPPM)

PRG

PIM

PIM Analyst

NAS Planning Specialist NPI Supervisor Requirements Specialist

FAA Security Flight Standards Flight Procedures FAA Airports Division Airport Authority

Airport Manager Airport POC Airlines Operators