Applying an SMS Approach to Wildlife Hazard Management (2015)

Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

A I R P O R T C O O P E R A T I V E R E S E A R C H P R O G R A M ACRP REPORT 145 TRANSPORTAT ION RESEARCH BOARD WASHINGTON, D.C. 2015 www.TRB.org Research sponsored by the Federal Aviation Administration Subscriber Categories Aviation • Operations and Traffic Management • Safety and Human Factors Applying an SMS Approach to Wildlife Hazard Management Russell P. DeFusco BASH IncorporAted Colorado Springs, CO Edward T. Unangst, Jr. teWS IncorporAted Colorado Springs, CO Timothy R. Cooley dynAmX ConSulting Castle Rock, CO AND Joanne M. Landry lAndry conSultAntS llc Seattle, WA

AIRPORT COOPERATIVE RESEARCH PROGRAM Airports are vital national resources. They serve a key role in trans- portation of people and goods and in regional, national, and interna- tional commerce. They are where the nation’s aviation system connects with other modes of transportation and where federal responsibility for managing and regulating air traffic operations intersects with the role of state and local governments that own and operate most airports. Research is necessary to solve common operating problems, to adapt appropriate new technologies from other industries, and to introduce innovations into the airport industry. The Airport Cooperative Research Program (ACRP) serves as one of the principal means by which the airport industry can develop innovative near-term solutions to meet demands placed on it. The need for ACRP was identified in TRB Special Report 272: Airport Research Needs: Cooperative Solutions in 2003, based on a study spon- sored by the Federal Aviation Administration (FAA). ACRP carries out applied research on problems that are shared by airport operating agen- cies and not being adequately addressed by existing federal research programs. ACRP is modeled after the successful National Cooperative Highway Research Program (NCHRP) and Transit Cooperative Research Program (TCRP). ACRP undertakes research and other technical activi- ties in various airport subject areas, including design, construction, legal, maintenance, operations, safety, policy, planning, human resources, and administration. ACRP provides a forum where airport operators can cooperatively address common operational problems. ACRP was authorized in December 2003 as part of the Vision 100— Century of Aviation Reauthorization Act. The primary participants in the ACRP are (1) an independent governing board, the ACRP Oversight Committee (AOC), appointed by the Secretary of the U.S. Department of Transportation with representation from airport operating agencies, other stakeholders, and relevant industry organizations such as the Airports Council International-North America (ACI-NA), the American Associa- tion of Airport Executives (AAAE), the National Association of State Aviation Officials (NASAO), Airlines for America (A4A), and the Airport Consultants Council (ACC) as vital links to the airport community; (2) TRB as program manager and secretariat for the governing board; and (3) the FAA as program sponsor. In October 2005, the FAA executed a contract with the National Academy of Sciences formally initiating the program. ACRP benefits from the cooperation and participation of airport professionals, air carriers, shippers, state and local government officials, equipment and service suppliers, other airport users, and research organi- zations. Each of these participants has different interests and responsibili- ties, and each is an integral part of this cooperative research effort. Research problem statements for ACRP are solicited periodically but may be submitted to TRB by anyone at any time. It is the responsibility of the AOC to formulate the research program by identifying the highest priority projects and defining funding levels and expected products. Once selected, each ACRP project is assigned to an expert panel appointed by TRB. Panels include experienced practitioners and research specialists; heavy emphasis is placed on including airport professionals, the intended users of the research products. The panels prepare project statements (requests for proposals), select contractors, and provide technical guidance and counsel throughout the life of the project. The process for developing research problem statements and selecting research agencies has been used by TRB in managing coop- erative research programs since 1962. As in other TRB activities, ACRP project panels serve voluntarily without compensation. Primary emphasis is placed on disseminating ACRP results to the intended users of the research: airport operating agencies, service pro- viders, and academic institutions. ACRP produces a series of research reports for use by airport operators, local agencies, the FAA, and other interested parties; industry associations may arrange for workshops, training aids, field visits, webinars, and other activities to ensure that results are implemented by airport industry practitioners. ACRP REPORT 145 Project 04-17 ISSN 1935-9802 ISBN 978-0-309-37479-8 Library of Congress Control Number 2015950114 © 2015 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FRA, FTA, Office of the Assistant Secretary for Research and Technology, PHMSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the Airport Cooperative Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of the report. Published reports of the AIRPORT COOPERATIVE RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to http://www.national-academies.org and then searching for TRB Printed in the United States of America

The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Ralph J. Cicerone is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to increase the benefits that transportation contributes to society by providing leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board’s varied activities annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

C O O P E R A T I V E R E S E A R C H P R O G R A M S ACKNOWLEDGMENTS The research team comprised Dr. Russell DeFusco, Principal Investigator and Qualified Airport Wildlife Biologist; Dr. Edward Unangst, Jr., Program Manager and Qualified Airport Wildlife Biologist; Dr. Timothy Cooley, Computer Engineering Modeler; and Ms. Joanne M. Landry, Safety Management Systems Technical Expert. The team was awarded the project and began work in January 2014. CRP STAFF FOR ACRP REPORT 145 Christopher W. Jenks, Director, Cooperative Research Programs Michael R. Salamone, ACRP Manager Theresia H. Schatz, Senior Program Officer Terri Baker, Senior Program Assistant Eileen P. Delaney, Director of Publications Sharon Lamberton, Editor ACRP PROJECT 04-17 PANEL Field of Safety Julie M. Schreacke, American Airlines, DFW Airport, TX, formerly DFW Airport (Chair) Michael J. Begier, U.S. Department of Agriculture, Wildlife Services, Washington, D.C. Ken Jacobs, Tetra Tech AMT, Crownsville, MD Paul Khera, Alaska DOT and Public Facilities, Juneau, AK Jeffrey Kolodzinski, The Port Authority of New York and New Jersey, Jamaica, NY John E. Ostrom, Metropolitan Airports Commission - Minneapolis-St. Paul International Airport, St. Paul, MN Seth B. Young, The Ohio State University, Columbus, OH Keri Lyn Lyons, FAA Liaison Christopher J. Oswald, Airports Council International - North America Liaison Bernardo Kleiner, TRB Liaison

ACRP Report 145 introduces and guides the application of a risk-based approach to wild- life hazard management (WHM) programs and outlines additional steps for integrating such programs into an airport’s Safety Management System (SMS). This guidance includes a description of an SMS approach to WHM and includes a glossary of key terms; a listing of relevant resources and databases; an overview description of four components of SMS; a comparison of current WHM standards to those used in SMS; a description of innova- tive protocols and procedures—in narrative and visual formats—for developing WHM programs in the style of SMS; and applicability to airports of various sizes and operations regardless of SMS implementation, wildlife program, or Part 139 certification. This report also provides a customizable tool—the Wildlife Hazard Management Risk Assessment Tool (WHaMRAT)—and templates that are usable for assessing wildlife risk at airports. The tool includes a resource summary of existing database wildlife hazard descriptions; numerical values for hazard severity and likelihood by species, derived from the FAA Wildlife Strike Database; and a practical, simplified electronic or manual risk analysis template, which includes the incorporation of variables on or off the airport. The presence of wildlife near airports is a safety issue and carries with it growing eco- nomic losses in the aviation industry. Airports may soon be required to adopt a proactive risk-based approach like an SMS to manage many operational aspects of the airport busi- ness, including wildlife. The applicability and efficacy of utilizing data-driven, risk-based methodologies for wild- life management have been debated due to the highly variable nature of wildlife presence related to various species, size, flocking and movement patterns, season, time of day, region, disturbances in the vicinity of airports, and other related factors. To date, little guidance was available on how to apply SMS principles to WHM programs at airports of various sizes and operations. Under ACRP Project 04-17, research was conducted by BASH Incorporated in associa- tion with TEWS Incorporated, DynamX Consulting, and Landry Consultants LLC. A gap analysis for wildlife management and SMS was conducted at a variety of airports that had current SMS projects, Wildlife Hazard Assessments (WHAs), or Wildlife Hazard Manage- ment Plans (WHMPs). Criteria were used that determined if candidate airports had the nec- essary information, involvement in SMS, or wildlife hazards that would allow the research team to use such airports in their model development and/or model test. Development of the tool (WHaMRAT) was based on input from the participating airport surveys and the experience and expertise of the research team. F O R E W O R D By Theresia H. Schatz Staff Officer Transportation Research Board

1 Chapter 1 Introduction and Project Overview 1 1.1 Background 1 1.2 Objective 2 1.3 Deliverables 3 Chapter 2 Wildlife Hazard Management Background 6 2.1 Wildlife Hazard Assessments and Wildlife Hazard Management Plans 8 2.2 Wildlife Hazard Site Visits 10 Chapter 3 Safety Management System Overview 12 Chapter 4 The Safety Management System and Wildlife Hazard Management 12 4.1 Safety Policy 15 4.2 Safety Risk Management 20 4.3 Safety Assurance 22 4.4 Safety Promotion 23 4.5 Safety Management Programs 28 Chapter 5 Introduction to the Wildlife Hazard Management Risk Assessment Tool (WHaMRAT) 31 Chapter 6 The EZ-Version WHaMRAT 31 6.1 The EZ-Version WHaMRAT Wildlife Data Worksheet (Severity) 34 6.2 The EZ-Version WHaMRAT Wildlife Data Worksheet (Likelihood of Strike) 35 6.3 The EZ-Version WHaMRAT Operations Data Worksheet 36 6.4 The EZ-Version WHaMRAT Habitat and Mitigation Worksheet 41 Chapter 7 The Advanced-Version WHaMRAT 41 7.1 The Advanced-Version WHaMRAT Wildlife Data Worksheet (Severity) 44 7.2 The Advanced-Version WHaMRAT Wildlife Data Worksheet (Likelihood of Strike) 45 7.3 The Advanced-Version WHaMRAT Operations Data Worksheet 45 7.4 The Advanced-Version WHaMRAT Habitat and Mitigation Worksheet 46 7.5 Utility of the WHaMRAT 47 Chapter 8 Case Study Examples 48 Chapter 9 Conclusions and Suggested Research 48 9.1 Conclusions 48 9.2 Suggested Research C O N T E N T S

50 Glossary 54 Abbreviations 55 References A-1 Appendix A Development and Test Airports B-1 Appendix B Summary of WHM and SMS Survey Findings C-1 Appendix C The WHaMRAT User Guide Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at www.trb.org) retains the color versions.