Safety Reporting Systems at Airports (2014)

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32 As discussed in chapter four, airport departments collect various types of data for each functional area, and the information is commonly stored and managed in separate systems, departmental files, or software programs. EXTERNAL REPORTING The study investigated whether airport staff or management provided safety-related data to outside enti- ties, such as state organizations, research institutions, insurance agencies, or health and safety offices. The study purpose was twofold: (1) to assess the types of external organizations that collect airport data and its use and (2) to document how airport operators collect, manage, and deliver data to external entities. Table 22 provides a summary of agencies and types of reporting, including research, health and safety, other organizational reporting, and insurance claims or companies. The most frequently reported external agency types included state department of transportation, city, county, police, state, state legislature, port authority, and department of labor. Reporting to these entities usually is required by statute or regulation. Because most NPIAS airports are owned by public entities, it is not surprising that some level of external reporting to city, county, or state agencies is expected. Airport representatives indicated frequent reporting to academic (universities), research institu- tions, or other industry groups, such as ACRP, ACI-NA, AAAE, and the Takeoff/Landing Performance Assessment Aviation Rulemaking Committee. One nonhub airport representative noted that the air- port often served as a test bed for local university programs and provided opportunities for collabora- tion with students and professors to investigate emerging technologies and programs. The airport’s particular geography also provided an ideal location for weather studies. With regard to health and safety and insurance claims reporting, airport functions specifically related to health, property, and other formal insurance claims are similar to those of other private or public organizations. EXTERNAL VOLUNTARY REPORTING PROGRAMS To understand the feasibility of future voluntary reporting programs for airport operators, despite the known challenge of public disclosure and sunshine laws (see chapter six), one of the study objectives was to assess existing voluntary reporting programs and document the processes, procedures, and possible limitations for the airport operator. Chapter seven provides a review of the value and uses of proactive data with regard to safety management and proactive measures. Multiple voluntary reporting programs currently exist for pilots, airline crew, dispatch personnel, air traffic controllers, airline maintenance staff, charter airlines, and ground handlers. A list of voluntary reporting programs is presented in Table A2 in Appendix A. One of the earliest programs, the ASRS, was established in 1975 as a result of the Study of the National Air Transportation System founded on the Secretary’s Task Force on the FAA Safety Mission initiative. ASRS receives nearly 6,000 reports on average per month. Other voluntary reporting programs exist that follow a similar function for receiving, analyz- ing, and reporting on hazards, accidents, and incidents. The programs are established on the premise of confidentiality and nonpunitive safety reporting. According to the Air Charter Safety Foundation, “[Aviation Safety Action Program] ASAP fosters a voluntary, cooperative, non-punitive environment for the open reporting of safety of flight concerns. Through such reporting, all participants have access chapter five DATA USE AND SHARING WITH EXTERNAL ENTITIES Many existing safety voluntary re- porting programs are established on the premise of confidentiality and nonpunitive safety reporting.

33 to valuable safety information that might not otherwise be obtainable. This information is analyzed, and corrective action is developed, to help resolve safety issues and possibly eliminate deviations from the federal aviation regulations (FAR). When a report is accepted under ASAP, the FAA will use lesser enforcement action or no enforcement action, depending on whether it is a sole-source report, to address an event involving possible noncompliance with the FARs” (Air Charter Safety Foundation 2014). The information reported by the aviation professionals results in detailed reports for analysis and trending at many organizations, including the FAA. The ASIAS program consolidates more than 150 separate databases and data sources to provide integrated reports for safety management. One of many ASIAS goals is to “proactively identify and evaluate safety issues through aggregation of data and sharing of analysis capabilities. The aviation community has adopted an [SMS] approach to continuously improve aviation safety, as expected by the public and the U.S. Congress. Analysis and sharing of safety information are considered critical pieces of the SMS approach” (Joint Planning and Development Office 2009). Today, no centralized repository of safety-related data exists for airport-specific activities. Accord- ing to the GAO report Enhanced Oversight and Improved Availability of Risk-Based Data Could Further Improve Safety, “FAA oversight in the terminal area is currently limited to certain types of incidents, notably runway incursions and certain airborne incidents, and does not include runway overruns or incidents in ramp areas. In addition, the agency lacks data collection processes, risk- based metrics, and assessment frameworks for analyzing other safety incidents such as runway over- runs, incidents in ramp areas, or a wider range of airborne errors” (GAO 2011). The GAO further indicated in its 2013 report FAA Efforts Have Improved Safety, but Challenges Remain in Key Areas that with regard to runway and ramp safety, “Additional information about surface incidents could help improve safety in the airport terminal area, as data collection is currently limited to certain types Airport Reports to External Agencies Research Health and Safety Other Organizational Required Reporting Insurance 1. State Department of Transportation X 2. City for claims X X 3. ACRP X 4. Department of Labor, State Department of Transportation, ACI-NA, AAAE X X X 5. County Commission X 6. State X 7. ACI-NA X 8. Takeoff/Landing Performance Assessment Aviation Rulemaking Committee, universities X 9. State Department of Transportation X 10. City, police department X 11. State legislature X 12. University X 13. OSHA, Port Authority X X 14. State Department of Transportation, county X 15. Port Authority X 16. OSHA X 17. Insurance provider X TABLE 22 REPORTING TO EXTERNAL AGENCIES

34 of incidents, notably runway incursions, which involve the incorrect presence of an aircraft, vehicle, or person on a runway and certain airborne incidents, and does not include runway overruns, which occur when an aircraft veers off a runway or incidents in ramp areas, which can involve aircraft and airport vehicles” (GAO 2013). ICAO’s Annex 19 regarding reporting systems indicates that: 5.1.1 Each State shall establish a mandatory incident reporting system to facilitate collection of information on actual or potential safety deficiencies. 5.1.2 Each 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). How does the FAA propose to increase safety reports from airport staff and tenants to more effec- tively manage safety through proactive or predictive means? FAA’s SMS Supplemental Notice of Proposed Rulemaking, scheduled for release and comment in 2014 and finalization in 2015, could propose a means of achieving a more formal level of data reporting and analysis. However, FAA’s SMS Notice of Proposed Rulemaking and the Draft SMS Advisory Circular 150/5200-37A, Safety Management Systems for Airports, includes no specific requirement or process for airport operators to report safety data, voluntary or otherwise, to a national repository.