National Academies Press: OpenBook

Safety Reporting Systems at Airports (2014)

Chapter: Front Matter

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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2014. Safety Reporting Systems at Airports. Washington, DC: The National Academies Press. doi: 10.17226/22353.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2014. Safety Reporting Systems at Airports. Washington, DC: The National Academies Press. doi: 10.17226/22353.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2014. Safety Reporting Systems at Airports. Washington, DC: The National Academies Press. doi: 10.17226/22353.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2014. Safety Reporting Systems at Airports. Washington, DC: The National Academies Press. doi: 10.17226/22353.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2014. Safety Reporting Systems at Airports. Washington, DC: The National Academies Press. doi: 10.17226/22353.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2014. Safety Reporting Systems at Airports. Washington, DC: The National Academies Press. doi: 10.17226/22353.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2014. Safety Reporting Systems at Airports. Washington, DC: The National Academies Press. doi: 10.17226/22353.
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TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2014 Research Sponsored by the Federal Aviation Administration SubScriber categorieS Aviation 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 SYNTHESIS 58 Safety Reporting Systems at Airports A Synthesis of Airport Practice conSultantS Joanne M. Landry Landry Consultants LLC Seattle, Washington Assisted by: David Y. Bannard Foley & Lardner LLP Boston, Massachusetts Chase Stockon Panther International LLC Tampa, Florida and Colin English Reid Middleton, Inc. Everett, Washington

AIRPORT COOPERATIVE RESEARCH PROGRAM Airports are vital national resources. They serve a key role in transportation of people and goods and in regional, national, and inter national commerce. They are where the nation’s aviation sys- tem 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 oper- ating 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 sponsored by the Federal Aviation Administration (FAA). The ACRP carries out applied research on problems that are shared by airport operating agencies and are not being adequately addressed by existing federal research programs. It is modeled after the successful National Cooperative Highway Research Program and Transit Cooperative Research Program. The ACRP undertakes research and other technical activities in a variety of airport subj ect areas, including design, construction, maintenance, operations, safety, security, policy, planning, human resources, and administra- tion. The ACRP provides a forum where airport operators can coop- eratively address common operational problems. The ACRP was authorized in December 2003 as part of the Vision 100-Century of Aviation Reauthorization Act. The primary partici- pants 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 orga- nizations such as the Airports Council International-North America (ACI-NA), the American Association 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) the 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 Academies formally initiating the program. The ACRP benefits from the cooperation and participation of air- port professionals, air carriers, shippers, state and local government officials, equipment and service suppliers, other airport users, and research organizations. Each of these participants has different interests and responsibilities, and each is an integral part of this cooperative research effort. Research problem statements for the ACRP are solicited period- ically but may be submitted to the 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 the 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 end-users of the research: airport operating agencies, service providers, and suppliers. The ACRP produces a series of research reports for use by airport operators, local agencies, the FAA, and other interested parties, and industry associations may arrange for work- shops, training aids, field visits, and other activities to ensure that results are implemented by airport-industry practitioners. ACRP SYNTHESIS 58 Project A11-03, Topic S04-10 ISSN 1935-9187 ISBN 978-0-309-27145-5 Library of Congress Control Number 2014939584 © 2014 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 or FAA 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 project that is the subject of this report was a part of the Airport Cooperative Research Program, conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. The members of the technical panel selected to monitor this project and to review this report were chosen for their special competencies and with regard for appropriate balance. 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 Governing Board of the National Research Council. 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 Research Council, or the program sponsors. The Transportation Research Board of the National Academies, the National Research Council, 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 at Printed in the United States of America

The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol- ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni- cal matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Acad- emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achieve- ments of engineers. Dr. C. D. Mote, Jr., is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Acad- emy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. C. D. Mote, Jr., are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transportation Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisci- plinary, 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 Transporta- tion, and other organizations and individuals interested in the development of transportation.

TOPIC PANEL S04-10 SCOTT M. AYERS, City of Atlanta Department of Aviation, Fayetteville, GA ANN B. CROOK, Elmira Corning Regional Airport, Horseheads, NY FRANK KETCHAM, University of California, Berkeley, Sausalito, CA BERNARDO KLEINER, Transportation Research Board BRUCE MacLACHLAN, Lewiston Airport, Lewiston, ID JULIE SCHREACKE, Dallas/Fort Worth International Airport, DFW Airport, TX ROGER STUDENSKI, Jacksonville Aviation Authority, Jacksonville, FL KERI LYONS, Federal Aviation Administration (Liaison) SYNTHESIS STUDIES STAFF STEPHEN R. GODWIN, Director for Studies and Special Programs JON M. WILLIAMS, Program Director, IDEA and Synthesis Studies JO ALLEN GAUSE, Senior Program Officer GAIL R. STABA, Senior Program Officer DONNA L. VLASAK, Senior Program Officer TANYA M. ZWAHLEN, Consultant DON TIPPMAN, Senior Editor CHERYL KEITH, Senior Program Assistant DEMISHA WILLIAMS, Senior Program Assistant DEBBIE IRVIN, Program Associate COOPERATIVE RESEARCH PROGRAMS STAFF CHRISTOPHER W. JENKS, Director, Cooperative Research Programs MICHAEL R. SALAMONE, Manager, Airport Cooperative Research Program JOSEPH J. BROWN-SNELL, Program Associate EILEEN P. DELANEY, Director of Publications ACRP COMMITTEE FOR PROJECT 11-03 CHAIR JULIE KENFIELD, Jacobsen/Daniels Associates, Garden Ridge, TX MEMBERS RANDALL P. BURDETTE, Virginia Department of Aviation, Richmond, VA KEVIN C. DOLLIOLE, Unison Consulting, Inc., Chicago, IL LINDA HOWARD, Bastrop, Texas ARLYN PURCELL, Port Authority of New York & New Jersey BURR STEWART, Burrst, Seattle, WA FAA LIAISON PAUL DEVOTI AIRCRAFT OWNERS AND PILOTS ASSOCIATION LIAISON JOHN L. COLLINS TRB LIAISON CHRISTINE GERENCHER Cover figure: Dallas/Fort Worth International Airport Operations Department personnel conducting Part 139 Inspections. (Used with permission.)

FOREWORD This synthesis of airport practice describes safety reporting methods and systems for Title 14 Code of Federal Regulations Part 139 (Part 139) certificated airports by assessing current practices, processes, and systems employed to collect and analyze safety data and information. The range of airport types participating in the study included large, medium, small, non-hub, general aviation, and joint civilian/military joint-use airports at various locations throughout the United States. Information used in this study was acquired through a review of the literature and inter- views with airport operators and industry experts. Joanne Landry, Landry Consultants LLC, Seattle, Washington, collected and synthesized the information and wrote the report. The members of the topic panel are acknowledged on the preceding page. This synthesis is an immediately useful document that records the practices that were acceptable within the limitations of the knowledge available at the time of its preparation. As progress in research and practice continues, new knowledge will be added to that now at hand. Airport administrators, engineers, and researchers often face problems for which infor- mation already exists, either in documented form or as undocumented experience and prac- tice. This information may be fragmented, scattered, and unevaluated. As a consequence, full knowledge of what has been learned about a problem may not be brought to bear on its solution. Costly research findings may go unused, valuable experience may be overlooked, and due consideration may not be given to recommended practices for solving or alleviat- ing the problem. There is information on nearly every subject of concern to the airport industry. Much of it derives from research or from the work of practitioners faced with problems in their day-to-day work. To provide a systematic means for assembling and evaluating such useful information and to make it available to the entire airport community, the Airport Coop- erative Research Program authorized the Transportation Research Board to undertake a continuing project. This project, ACRP Project 11-03, “Synthesis of Information Related to Airport Practices,” searches out and synthesizes useful knowledge from all available sources and prepares concise, documented reports on specific topics. Reports from this endeavor constitute an ACRP report series, Synthesis of Airport Practice. This synthesis series reports on current knowledge and practice, in a compact format, without the detailed directions usually found in handbooks or design manuals. Each report in the series provides a compendium of the best knowledge available on those measures found to be the most successful in resolving specific problems. PREFACE By Gail R. Staba Senior Program Officer Transportation Research Board

CONTENTS 1 SUMMARY 3 CHAPTER ONE INTRODUCTION Safety Data and Part 139 Reporting, 3 Voluntary Safety Data Reporting, 5 Synthesis Study Approach and Objectives, 6 Study Elements and Investigation, 6 Literature and Data Search, 7 Airport Representative Interviews, 7 Survey Respondents, 7 10 CHAPTER TWO EXISTING PART 139 DATA REQUIREMENTS Part 139 Compliance, 10 Part 139 Data Collection, 10 Part 139 Data Collection Tools, 12 Part 139 and Voluntary Data Collection Programs, 12 Software Systems, 13 Reporting and Collection Methods, 15 17 CHAPTER THREE AIRPORT SAFETY DATA COLLECTION Safety Data Reporting Entities, 17 Methods to Collect and Analyze Information, 20 27 CHAPTER FOUR STAFF RESPONSIBILITIES AND FUNCTIONS Staff-Dedicated and Collateral Duties, 27 Department Functions and Data Management, 27 32 CHAPTER FIVE DATA USE AND SHARING WITH EXTERNAL ENTITIES External Reporting, 32 External Voluntary Reporting Programs, 32 35 CHAPTER SIX LEGAL CONCERNS Data Protection: What Is the Issue and Why Does It Matter?, 35 State Sunshine Act Laws: Why Data May Be Subject to Disclosure, 36 Legal Aspects of Other FAA Data Collection Programs, 37 Analysis of the Survey Data, 38 39 CHAPTER SEVEN SPECIAL CONCERNS Data and Preventive Uses, 39 Safety Management System, Voluntary Reporting, and Improved Data Analysis, 39 Data Trending and Performance Measurements, 40

42 CHAPTER EIGHT CONCLUSIONS Most Significant Benefit, 42 Most Significant Challenge, 42 Final Interviewee Comments, 42 Summary of Findings, 43 Additional Research Proposed, 43 45 ACRONYMS 46 REFERENCES 48 APPENDIX A DETAILED SURVEY RESPONSES 56 APPENDIX B INFORMATION TECHNOLOGY PRIMER 60 APPENDIX C SURVEY QUESTIONNAIRE 65 APPENDIX D AIRPORT RESPONDENT INFORMATION Note: Many of the photographs, figures, and tables in this report have been converted from color to grayscale for printing. The electronic version of the report (posted on the Web at retains the color versions.

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TRB’s Airport Cooperative Research Program (ACRP) Synthesis 58: Safety Reporting Systems at Airports describes safety reporting methods and systems for airports certificated under Title 14 Code of Federal Regulations Part 139 by assessing current practices, processes, and systems used to collect and analyze safety data and information.


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