Guidebook for Managing Compliance with Federal Regulations: An Integrated Approach (2016)

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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 156 TRANSPORTAT ION RESEARCH BOARD WASHINGTON, D.C. 2016 www.TRB.org Research sponsored by the Federal Aviation Administration Subscriber Categories Aviation Guidebook for Managing Compliance with Federal Regulations: An Integrated Approach AviAtion MAnAgeMent Consulting group, inC. Centennial, CO Bennett AviAtion Consulting, inC. Potomac, MD ADp Airport Consulting, llC Highland Village, TX leADing eDge strAtegies, llC Arvada, CO 2g environMentAl, llC Marietta, GA eA engineering, sCienCe, AnD teChnology, inC. Hunt Valley, MD

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 156 Project 10-21 ISSN 1935-9802 ISBN 978-0-309-37539-9 Library of Congress Control Number 2016937675 © 2016 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 committees, task forces, and panels 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 CRP STAFF FOR ACRP REPORT 156 Christopher W. Jenks, Director, Cooperative Research Programs Michael R. Salamone, ACRP Manager Marci A. Greenberger, Senior Program Officer Jeffrey Oser, Senior Program Assistant Eileen P. Delaney, Director of Publications Margaret B. Hagood, Editor ACRP PROJECT 10-21 PANEL Field of Operations Joshua D. Abramson, C.M., Easterwood Airport, College Station, TX Megan M. Atkins, Columbia Metropolitan Airport, West Columbia, SC Sarah J. Demory, City of Boise, Boise, ID David J. Full, Reynolds, Smith, and Hills, Inc., San Francisco, CA Stephen M. Quilty, SMQ Airport Services, Lutz, FL Paul James Eubanks, Airports Council International–North America Liaison Christine Gerencher, TRB Liaison

ACRP Report 156: Guidebook for Managing Compliance with Federal Regulations: An Integrated Approach provides guidance on managing compliance with federal regulations pertaining to the operation and management of airports including planning and develop- ment. Accompanying the guidebook is the Regulation Compliance Management (RCM) Tool, an index of the applicable statutes, federal regulations, executive orders, OMB Cir- culars, and other documents with their compliance requirements. Additionally, the RCM Tool is designed to track compliance and allow the addition of state and local regulations/ requirements. The guidebook and tool will be useful for airport management and staff at all levels and all functions so that they can work together to ensure compliance in an efficient manner. Regulatory compliance requirements can include documentation, inspections, exercises (e.g., practice or training), notifications, and other activities. Many of these requirements have specific time requirements and others occur after a triggering event. Due to the breadth of regulations and sponsor assurances from federal agencies, there is no one person or department at an airport who is responsible for compliance on a day-to-day basis. This can lead to duplication of efforts if front line staff members do not fully understand how their jobs/tasks are driven by regulatory compliance. This guidebook provides information about those regulations and how to integrate them into a compliance management program. The RCM Tool allows a user to customize and print out a Quick Reference Guide of those regulations that apply to them with the informa- tion the user needs to know. A “master schedule” of requirements based on those applicable regulations can be developed as a resource for those requirements that are based on time or compliance dates. Aviation Management Consulting Group and the research team culled through more than 100 federal regulations, statutes, executive orders, and OMB circulars, and interviewed airport sponsors about tracking and managing compliance. The research resulted in this guidebook to assist airports in understanding how to put together a compliance manage- ment system and the RCM Tool to identify applicable federal regulations and to track compliance. Once a customized master schedule is developed by using the search filters to narrow the applicable regulations, airport management and staff can seek ways to comply with more than one regulation by combining activities. F O R E W O R D By Marci A. Greenberger Staff Officer Transportation Research Board

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. 1 Summary 3 Chapter 1 Introduction 3 1.1 Purpose of Guidebook and RCM Tool 5 1.2 Overview of Guidebook 6 1.3 Overview of RCM Tool 7 1.4 Applicable Federal Departments, Agencies, and Offices 9 Chapter 2 Compliance Management System 9 2.1 Introduction 9 2.2 Reasons for a CMS 10 2.3 Value of a CMS 12 2.4 Development and Implementation Process 15 2.5 Elements of a CMS 17 Chapter 3 RCM Tool Instructions 17 3.1 Introduction 18 3.2 Purpose of the RCM Tool 19 3.3 Overview of the RCM Tool 25 3.4 Using the RCM Tool 42 Chapter 4 RCM Tool Implementation 42 4.1 Introduction 42 4.2 RCM Tool Manager and User 44 4.3 Airport Functional Areas 44 4.4 RCM Tool Regulations 45 4.5 Past Compliance Actions 46 4.6 Integration of RCM Tool 50 Bibliography 51 Appendix A Glossary of Terms and Acronyms C O N T E N T S