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Safety Reporting Systems at Airports (2014)

Chapter: Chapter One - Introduction

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Suggested Citation:"Chapter One - Introduction ." 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:"Chapter One - Introduction ." 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:"Chapter One - Introduction ." 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:"Chapter One - Introduction ." 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:"Chapter One - Introduction ." 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:"Chapter One - Introduction ." 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:"Chapter One - Introduction ." 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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3 This synthesis study, Safety Reporting Systems at Airports, investigates safety data collection, storage, use, and reporting at a range of airports certificated under Title 14, Code of Federal Regulations Part 139 (Part 139). These airports vary in size and operations. The goal is to present findings regarding safety data resources, collection, functions, and information management for airport operators and managers. Specifically, the study considers two aspects of safety data reporting by Part 139 airport operators: mandatory (required as part of regulatory compliance or management oversight) and vol- untary [such as safety management systems (SMS), which at the time of this report is not required of Part 139 airports, safety committees, or safety groups]. Figures 1 and 2 describe the various forms of safety reporting for both mandatory and voluntary safety data, including internal and external agencies and departments. SAFETY DATA AND PART 139 REPORTING As illustrated in Figure 1, airports certificated under Part 139 collect a variety of safety-related data for internal and external purposes to maintain safe operations. The intent of safety data reporting is to ensure airport operators are providing the most accurate and current information for aviation activities, ranging from design and planning, construction, airfield and airspace changes, daily operations, accident and incident trends, and staff health and safety. All reporting programs are managed within various government agencies, including FAA, NTSB, and the Occupational Safety and Health Administration (OSHA) or equivalent, such as state, county, or city health and safety programs. A brief description of each of the programs is presented here. Airport Certification Manual Records and Reports to Maintain Part 139 Certification Under Part 139, airport operators are required to collect and retain a variety of infor- mation, such as training records, fuel spill data, self-inspections, and airport condition reports. Airport operators also compile and document emergency, wildlife hazard, and snow removal processes and procedures in stand-alone plans referred to within the airport certification manual (ACM). This information is subject to review by FAA air- port certification safety inspectors (ACSIs) to maintain the airport operating certificate (AOC). The FAA has also established centralized data reporting programs for foreign object debris (FOD) and wildlife strikes. Airport, Runway, and Facilities Information Reported to the FAA’s 5010-1 Airport Master Record Program The FAA Form 5010-1 is a computer report downloaded from the FAA Air Traffic’s National Air- space Systems Resources database that provides detailed airport data. Form 5010-1 provides a basis for planning and airport inspections and can be viewed online or downloaded to a Microsoft Excel spreadsheet. chapter one INTRODUCTION One aspect of the FAA’s safety oversight of Part 139 airports is to review data collected to ensure compliance with the airport’s air- port certification manual (ACM). A national FAA-hosted Wildlife Strike Database provides a central- ized location to report and manage strikes. http://wildlife.faa.gov/

4 Obstruction Evaluation/Airport Airspace Analysis Program Notices According to FAA, the mission of the Obstruction Evaluation/Airport Airspace Analysis program is to conduct aeronautical studies to analyze obstacle data on airport construction proposals regarding airport airspace matters. These aeronautical studies analyze the impact of airport construction and potential hazards to navigation on the National Airspace System. Title 14 CFR Part 157 requires notice, which is submitted on Form 7460-1 Notice of Proposed Construction or Alteration; Mandatory/ Regulatory Safety Reporting Part 139 National Transportation Safety Board (NTSB) 5010 Airport Master Record Program Airport Certification Manual (ACM) Accident and Incident Reports Airport, Facility, and Runway Data Obstruction Evaluation/Airport Airspace Analysis Program (OE/AAA) Geographic Information System (GIS) Data AC 70/7460-1 Obstruction Marking and Lighting Form 7460-1 Notice of Proposed Construction or Alteration Form 7480-1 Notice of Landing Area Proposal Airport Surveying Data Training, Inspection, Compliance, Corrective Actions Discrepancies, etc. Occupational Health and Safety Program (OSHA) or Equivalent Staff Accidents, Incidents, Lost Time, etc. FIGURE 1 Mandatory (regulatory) safety data reporting. FIGURE 2 Voluntary safety data reporting. Voluntary Safety Reporting Airport Safety Management System (SMS) Airport Staff Safety Reporting Airport Tenant Safety Reporting Staff Safety Department Meetings or Committees Airport/Tenant Safety Committees Ramp Safety and Other Safety Related Committees Formal Reporting through Software or Other Methods Formal Requirements to Report Airline Safety Reporting ASIAS *ASAP ASRS FOQA VDRP WBAT *See Chapter 5 and Appendix A for a list of Airline Programs

5 Form 7460-2 Notice of Actual Construction or Alteration; and Form 7480-1 Notice of Landing Area Proposal (FAA 2009). Geographic Information System Data The FAA’s geographic information system program is intended to ensure that airport surveying data are collected, processed, and made available for airport use and planning and for instrument approach procedure development; to provide guidance on the proper collection and submission of airport sur- veying data to the National Geodetic Service for validation; and to allow airport operators and their consultants access to detailed technical guidance on the performance and accuracy requirements of airport and aeronautical surveys (FAA 2009). NTSB Reports for Accidents and Incidents under Title 49 CFR 830 NTSB investigations identify accident and incident root causes; the results subsequently are pub- lished for review by the aviation community for safety awareness and potential improvements within aviation operations. The FAA’s Office of Accident Investigation & Prevention oversees aircraft acci- dent investigation and activities related to NTSB investigations and findings. The FAA Office of Accident Investigation & Prevention website offers links to the NTSB data, the Aviation Safety Information Analysis and Sharing (ASIAS) database for Preliminary Accident and Incident Reports, and additional safety databases, including FAA Accident and Incident Data System, Aviation Safety Reporting System (ASRS), and NTSB Safety Recommendations. OSHA or Equivalent for Health and Safety Oversight, Including Reporting of Accidents, Incidents, or Injuries of Airport Staff According to OSHA, state and local government workers are excluded from federal coverage under the Occupational Safety and Health Act of 1970 (the “OSH Act”). Section 2 (11) of the OSH Act encourages states to develop and operate their own state occupational safety and health programs. Many states, counties, and cities have established OSHA-equivalent programs that require similar airport operator reporting of employee injuries and accidents (OSHA 2014). VOLUNTARY SAFETY DATA REPORTING In addition to collecting, managing, and reporting mandatory safety data, many airports gather voluntary safety-related information from staff and tenants through data collection programs such as SMS and informally through safety meetings and safety groups. Types of data collected within a voluntary reporting program can include accident or incident information, near misses, safety concerns, hazardous conditions or behaviors, and other safety items that would not typically be reported to airport staff or management outside of a voluntary reporting program. Voluntary safety reporting at airports introduces challenges owing to the nature of airport ownership and management primarily by government entities that intro- duce public disclosure of airport-related data. A detailed discussion of public disclosure, the freedom of information act (FOIA), and state sunshine laws is presented in chapter six. Figure 2 provides a summary of voluntary safety data programs, including a list of airline reporting systems briefly described in “Safety Data and Part 139 reporting” as part of the NTSB and FAA ASIAS programs; these programs are discussed in greater detail in chapter five. The purpose of collecting airline information for this synthesis study was to gain a broader perspective of existing aviation safety data programs to better understand voluntary safety reporting throughout the aviation industry. A recent introduction and importance of voluntary safety reporting programs at U.S. airports is a result of four FAA SMS pilot study programs conducted from 2007 through 2011 at airports certificated under Part 139. The possible requirement for airports to report voluntary data has been an ongoing topic of discussion under the FAA’s proposed SMS rule making and as part of the International Civil Aviation In addition to formal SMS pro- grams, airports often establish safety committees and groups to collect voluntary safety data.

6 Organization (ICAO) safety initiative. SMS, as described in FAA Order 8000.369A Safety Manage- ment, is “The formal, top-down, organization-wide approach to managing safety risk and assuring the effectiveness of safety risk controls. It includes systematic procedures, practices, and policies for the management of safety risk” (FAA 2013). In 2001, ICAO, an agency of the United Nations with international aviation coordination and oversight, adopted a new standard requiring that all 192 member states (including the United States) establish SMS requirements for certain aviation service providers. In July 2013, ICAO published Annex 19 SMS, which addresses standards and recommended practices to assist member states in managing aviation safety risks. Specifically, Annex 19 calls out the requirement for member states to implement both mandatory and voluntary reporting programs, “Each [Member] State shall establish a mandatory incident reporting system to facilitate collection of information on actual or potential safety deficiencies. Each [Member] State shall establish a voluntary incident reporting system to facilitate collection of information on actual or potential safety deficiencies that may not be captured by the mandatory incident reporting system” (ICAO 2013). The introduction of voluntary safety reporting programs in conjunction with existing Part 139 reporting requirements was a key aspect of the synthesis study. Airport representatives were asked to describe both mandatory and voluntary programs to document data types; software systems; manual data collection, analysis, and reporting; system integration (if any); staff responsibilities; reporting and data uses; challenges; and benefits. SYNTHESIS STUDY APPROACH AND OBJECTIVES The objective of this synthesis study is to provide a summary report of mandatory and voluntary safety data collection strategies, systems, processes, and uses at U.S. airports of various size and operations. Although intended for airports certificated under Part 139, the results may be useful to all airport managers, operators, and industry. This report comprises eight chapters and four appendices: Chapter one—Introduction Chapter two—Existing Part 139 Data Requirements Chapter three—Airport Safety Data Collection Chapter four—Staff Responsibilities and Functions Chapter five—Data Use and Sharing with External Entities Chapter six—Legal Concerns Chapter seven—Special Concerns Chapter eight—Conclusions Appendix A—Detailed Survey Responses Appendix B—Information Technology Primer Appendix C—Survey Questionnaire Appendix D—Airport Respondent Information STUDY ELEMENTS AND INVESTIGATION The study approach for this project included: 1. Investigating available literature and Internet sources regarding mandatory and voluntary safety data programs within FAA, and additional aviation and airlines programs, to compile a list of safety reporting types, purposes, and uses. 2. Researching use of software programs identified within the airport staff interviews and writing an information technology primer to provide basic technology background for software selec- tion, procurement, and implementation. 3. Conducting airport staff interviews on the uses of data as management tools at airports cer- tificated under Part 139; the airports were of varying sizes and operations and were located across the United States.

7 4. Compiling and presenting results from airport staff interviews to report trends and findings. 5. Providing a legal perspective on data protection and liabilities. 6. Presenting a discussion of benefits and challenges relating to safety data from airport staff interviews. LITERATURE AND DATA SEARCH To support the airport staff interviews conducted, a detailed literature review was performed using numerous industry, Internet, and publication resources, including a broad range of published ACRP reports. Source documents focused largely on U.S. resources to ensure Part 139 perspective and relevance was maintained. FAA resources were extracted from specific websites, advisory circulars, and regulatory guidance and compliance documents supporting Part 139, including ACM require- ments. A number of Government Accountability Office (GAO) reports were refer- enced, as were other industry reports regarding safety and data collection and analysis; some were specifically oriented to FAA data collection practices. The table of U.S. aviation voluntary reporting systems (Appendix A, Table A2) was compiled by web searches; the ASIAS reporting program information was reviewed by an FAA representative for accuracy. All other airline, air traffic, and maintenance voluntary reporting program details presented in Table A2 are documented from infor- mation gathered on the Internet. AIRPORT REPRESENTATIVE INTERVIEWS The synthesis study approach for identifying and interviewing airport operations or management staff included an e-mail survey requesting a phone interview, sent to 40 airport representatives. Thirty- five (87%) of the 40 indicated their interest in participating in an interview. Detailed questions (see Appendix C) were developed and sent to the airport representative before the scheduled interview. Early in development of the survey, it was determined that using an online or written survey instru- ment for the synthesis study data gathering would limit the project findings and constrain the ability to ask for clarification or discuss specific aspects of the responses. Five of the 35 airports completed the forms before the call, and two airports did not participate in phone discussion and provided responses solely through e-mail correspondence. Appendix D provides a list of airports that participated in the study interviews. All survey responses were consolidated into a Microsoft Excel spreadsheet, stan- dardized, deidentified, sorted, and analyzed. Responses are presented within this document in various formats, tables, and figures. SURVEY RESPONDENTS The safety data survey participants all represented airports certificated under Part 139. Data regard- ing the National Plan of Integrated Airport Systems (NPIAS) airport hub and class size are provided in Tables 1 and 2. NPIAS Hub Size Total Count by Hub Size Service Type Large hub 10 Primary Medium hub 9 Primary Small hub 5 Primary Nonhub 9 Primary Other 2 1 Reliever, 1 general aviation TABLE 1 AIRPORTS IN SURVEY BY NPIAS CATEGORY The research team reviewed litera- ture and software systems, surveyed 35 airport representatives, and com- piled results for this report.

8 TABLE 2 AIRPORTS IN SURVEY BY PART 139 AOC CLASS Part 139 Classification Total in Survey Group Class I 32 Class II 0 Class III 1 Class IV 2 TABLE 3 SMS PILOT STUDY PROGRAM PARTICIPATION AND IMPLEMENTATION Airport Hub Size SMS Pilot Study Participation (Yes/No) Count SMS Program Implemented (Yes/No) Count Large Yes 5 Yes 7 No 5 No 3 Medium Yes 2 Yes 6 No 7 No 3 Small Yes 0 Yes 0 No 5 No 5 Non-hub Yes 3 Yes 5 No 6 No 4 GA/Reliever Yes 2 Yes 2 No 0 No 0 Total Yes 12 (34%) Yes 20 (57%) No 23 (66%) No 15 (42%) Airports surveyed represented states throughout the United States, including Alaska, Alabama, Arizona, California, Florida, Georgia, Iowa, Idaho, Illinois, Indiana, Kentucky, Maryland, Michigan, Minnesota, Missouri, Nevada, New York, Ohio, Oregon, South Carolina, Tennessee, Texas, Utah, Virginia, Washington, and Wyoming. A list of participating airports is provided in Appendix D. To further classify types of survey respondents, four groups were identified and defined with regard to voluntary collection of safety data; the objective was to assess whether airports with SMS programs in place were more likely to have voluntary safety reporting programs. The four groups were: • Airports that have an SMS program and a voluntary safety data reporting program. • Airports that have an SMS program and no voluntary safety data reporting program. • Airports that have no SMS program and a voluntary safety data reporting program. • Airports that have no SMS program and no voluntary safety data reporting program. As illustrated in Table 3, more than half (57%) of the airport representatives surveyed have implemented an SMS program. Twelve (34%) airports surveyed participated in one of the FAA’s four SMS Pilot Studies, indicating that the other six airports have implemented a formal SMS outside of the FAA SMS Pilot Studies. As shown in Table 4, of the 35 airports surveyed, 17 (49%) have both an SMS and a voluntary reporting program, 11 (31%) have neither SMS nor voluntary reporting programs, four (11%) have an SMS but no voluntary reporting program, and three (9%) have no SMS yet have a voluntary reporting program in place.

9 Survey findings suggest that SMS implementations often result in development of voluntary reporting programs (49%/11%), which reflects the typical SMS program requirement to develop a voluntary safety reporting program. Survey findings also show that the 31% of the respondents with no SMS have not implemented a voluntary reporting program. The small percentage of staff surveyed from airports that have an SMS and no voluntary program, commented that the airports planned to roll out a pro- gram eventually. Airport representatives reporting they have a voluntary program but no SMS said that reporting was part of the overall airport culture and had been established in the past outside of a formal SMS program. TABLE 4 SUMMARY OF VOLUNTARY AND SMS REPORTING PROGRAMS No. SMS and Voluntary Programs Total Count Percentage Total 1 SMS and voluntary 17 49% 60% 2 SMS and no voluntary 4 11% 3 No SMS and voluntary 3 9% 40% 4 No SMS and no voluntary 11 31% The survey results suggest that SMS implementations typically result in voluntary reporting programs.

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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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