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

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3 1.1 Purpose of Guidebook and RCM Tool This guidebook and the stand-alone RCM Tool are designed to help airport management and staff (1) identify U.S. statutes, regulations, executive orders, and OMB circulars that affect the aviation/airside infrastructure, facilities, and activities of federally obligated airports; (2) provide methods and techniques to integrate resources, plans, and procedures for manag- ing compliance with applicable federal regulations; and (3) assist with tracking and managing compliance with applicable federal regulations. This guidebook and the RCM Tool have been prepared primarily for managing compliance with applicable federal regulations pertaining to the planning, development, operation, and management of federally obligated airports, and more specifically to the aviation/airside infra- structure, facilities, and activities of an airport. The following research supported the development of this guidebook and the RCM Tool: • A comprehensive literature review of industry and non-industry CMSs and related resources to track and manage compliance with federal regulations; • Identification of applicable U.S. statutes, regulations, executive orders, and OMB circulars (hereinafter referred to as federal regulations); and • Interviews with 19 airports and/or airport sponsors on the systems and/or resources that have been developed, implemented, and referenced by airport and/or airport sponsor management and staff to track and manage compliance with federal regulations. C H A P T E R 1 Introduction Statutes are laws enacted by Congress. Statutes with continuing effect are generally codified in the United States Code (USC). Regulations are the rules issued by the executive branch departments and agencies of the federal government and codified in the Code of Federal Regulations (CFR). Executive orders are directives of the President of the United States to officers and agencies of the executive branch for management of agency operations and have the full force of law. OMB circulars are instructions, information, and/or policies adopted by OMB (an executive branch office) for executive branch departments and agencies.

4 Guidebook for Managing Compliance with Federal Regulations: An Integrated Approach Research revealed that federally obligated airports are required to comply with more than 60 primary and 339 secondary regulations as well as 17 primary and 21 secondary statutes, exec- utive orders, and OMB circulars promulgated by 17 federal departments, agencies, and offices (further discussed in this chapter). It is important to note that this guidebook and the RCM Tool do not include all federal regulations associated with federally obligated airports. Only those federal regulations associated with the planning, development, operation, and man- agement of aviation/airside infrastructure, facilities, and activities of an airport that have a compliance responsibility are included. Multiple airport departments and associated management and staff members are typically responsible for compliance with federal regulations. Additionally, other municipality depart- ments, agencies, and offices outside of the airport could be involved. This can result in compli- ance efforts being implemented in silos. The silo-effect can result in airport management and staff, without direct responsibility for compliance, not understanding how the respective respon- sibilities directly relate to compliance with other applicable federal regulations and actions or responsibilities of other airport departments and associated management and staff members. It can also result in duplication of efforts. Research also revealed that there are a limited number of industry and non-industry com- pliance management tools and resources available to airport management and staff that can help track and manage compliance with applicable federal regulations. A majority of these compliance management tools and resources are individually focused in the primary areas of safety, environmental, security, 14 CFR Part 139, and Assurances. Further, these tools and resources are limited in scope (e.g., simple compliance checklists) and are not combined as a part of a comprehensive CMS that can be utilized for the identification and management of (1) applicable federal regulations; (2) compliance requirements; (3) related frequency timeframes; and (4) related resources. The interviews revealed that most airports do not have a CMS or associated federal RCM tools and that non-compliance is commonly addressed following an inspection by a fed- eral (or state or local) governing agency. Further, airport management and staff of federally obligated airports indicated that compliance efforts tend to focus on Assurances and FAA regulations. While compliance with Assurances is extremely important in order to maintain AIP grant funding eligibility, non-compliance with the federal regulations incorporated into the Assur- ances and the numerous federal regulations not incorporated into the Assurances can have ramifications that go beyond the loss of AIP grant funding eligibility. While this guidebook and the RCM Tool do not focus on the Assurances, they do include each of the federal regulations incorporated into the Assurances. Further, a separate ACRP project (ACRP Project 03-38, “Understanding FAA Grant Assurance Obligations”) is currently in devel- opment and will be a complementary resource explaining the requirements for compliance with the Assurances and will identify all related resources. In combination, this guidebook and the RCM Tool (and associated educational Quick Reference Guides and compliance Master Schedules, discussed further herein) will provide the foundation for airport management and staff of federally obligated airports to develop and implement a CMS and implement the use of the RCM Tool to facilitate compliance management of applicable federal regulations pertaining to the planning, development, operation, and management of aviation/airside infrastructure, facilities, and activities of the airport.

Introduction 5 1.2 Overview of Guidebook This guidebook will discuss the reasons for and value of a CMS and outlines the best practices for the development and implementation of a CMS. As such, airport management will be able to use this guidebook to educate airport management and staff within each airport functional area (and across the entire organization) about the value, components, development, and implemen- tation of a CMS generally and the airport’s individual CMS in particular. Further, this guidebook will provide an overview of and outline the instructions on how to use and implement the stand-alone RCM Tool (and associated educational Quick Reference Guides and compliance Master Schedules) and how these tools and resources can best be utilized by airport management and staff to track and manage compliance with applicable federal regula- tions. An overview of each chapter of this guidebook follows: Chapter 1: Introduction This chapter identifies the purpose and provides an overview of this guidebook and RCM Tool (and associated educational Quick Reference Guides and compliance Master Schedules). In addition, this chapter identifies and describes all federal agencies, departments, and offices that have jurisdiction and promulgated applicable federal regulations pertaining to the planning, development, operation, and management of federally obligated airports, and more specifically to the aviation/airside infrastructure, facilities, and activities of an airport. Chapter 2: Compliance Management System This chapter discusses the (1) reasons for developing and implementing an effective CMS; (2) the value of a CMS as a planning, management, and communication tool; (3) best practices for the development and implementation of a CMS; and (4) elements of a CMS. Chapter 3: RCM Tool Instructions This chapter describes the purpose and provides an overview of the RCM Tool (and associated educational Quick Reference Guides and compliance Master Schedules) and outlines the instruc- tions to use the RCM Tool for tracking and managing compliance with federal regulations includ- ing the user generated educational Quick Reference Guides and compliance Master Schedules. Chapter 4: RCM Tool Implementation This chapter outlines the best practices for the implementation of the RCM Tool (and associ- ated educational Quick Reference Guides and compliance Master Schedules). Bibliography and Appendix The appendix includes a glossary of terms and acronyms used in this guidebook and the RCM Tool (and associated educational Quick Reference Guides and compliance Master Schedules) and a bibliography. Resources The RCM Tool, which is used to generate educational Quick Reference Guides and compli- ance Master Schedules, is provided as a digital file on CRP-CD-182. CRP-CD-182 is also avail- able as an ISO image by searching for ACRP Report 156 on the TRB website.

6 Guidebook for Managing Compliance with Federal Regulations: An Integrated Approach 1.3 Overview of RCM Tool By identifying applicable federal regulations, associated compliance requirements, and fre- quency timeframes, the stand-alone RCM Tool will: (1) facilitate the sharing of vital informa- tion and essential knowledge; (2) foster collaboration and innovation; (3) improve efficiency and productivity, across all airport functional areas; and (4) assist in diminishing silos. Most importantly, the RCM Tool will assist airports with tracking and managing compliance with applicable federal regulations. The RCM Tool has been designed to assist airport management and staff with: • Identifying applicable federal regulations associated with the planning, development, opera- tion, and management of aviation/airside infrastructure, facilities, and activities of a federally obligated airport; • Identifying associated compliance requirements (i.e., document, review, exercise, notifica- tion, condition, staff, etc.) and associated frequency (i.e., continuously, periodic, triggered by a particular event, etc.) for each federal regulation; • Identifying commonalities among the compliance requirements; • Identifying opportunities for inherent synergies of meeting multiple compliance require- ments with the same action (e.g., conduct one table-top for FAA’s 14 CFR Part 139, OSHA’s 29 CFR Part 1910, and TSA’s 49 CFR Part 1542); • Identifying how compliance with federal regulations affects the various airport functional areas; and • Development of a Master Schedule for compliance requirements for both routine action items and triggering events with federal regulations. The RCM Tool will also allow airport management and staff to: • Add and update existing federal regulations; • Add and update state or local regulations; • Create specific filtering capabilities (e.g., type of regulation; department, agency, or office; part number/title; compliance requirement type; frequency type; user specific sorting; func- tional area and key guidance; and compliance due dates calendar year); • Add and update airport specific information/guidance related to each regulation; and • Track compliance completion dates and follow compliance due dates. Educational Quick Reference Guides The educational Quick Reference Guides are generated by the user of the RCM Tool based on the regulation filter selections of the user (e.g., type of regulation; department, agency, or office; functional area, etc.). The Quick Reference Guides will provide airport management and staff essential need-to-know information on the federal regulations filtered in the RCM Tool (and also the state or local regulations added into the RCM Tool by users) that can be consulted in the field. The Quick Reference Guides include a brief summary of the subject matter of each regulation and provide a summary of all information provided in the RCM Tool (as discussed further in Chapter 3: RCM Tool Instructions). The complete text of the regulations may not be included since regulations are readily accessible on U.S. government websites, so that the most current version of each regulation is used. The Quick Reference Guides are not intended to replace review of the regulations. Reference to the regulations will be necessary to assure complete understanding of the regulation, associated compliance requirements, and ultimately com- pliance with the regulation. Frequently asked questions and associated answers on the basic compliance actions required are provided for each regulation, including identification of other associated regulations and resources. Hyperlinks to these regulations and resources can be found in the RCM Tool.

Introduction 7 Compliance Master Schedules The compliance Master Schedules are also generated by the user of the RCM Tool based on the regulation filter selections made by the user (e.g., type of regulation; department, agency, or office; functional area, etc.). However, as compared with the educational Quick Reference Guides, the compliance Master Schedules are based on information inserted into the RCM Tool by the user. Only those regulations with a specific compliance due date will be identified on the Master Schedules. For example, if a regulation requires a specific activity on an annual basis, the user has the ability to enter a date one year from the most recent date of compliance. Using the information inserted by the user into the RCM Tool, the Master Schedules provide airport management and staff with a visual representation of the timeline of upcoming compli- ance due dates based on the filter selections of the user. These Master Schedules are organized in a linear and sequential manner, identifying the upcoming compliance due dates. In addition, the Master Schedules identify those individuals responsible for compliance with the regulations. 1.4 Applicable Federal Departments, Agencies, and Offices Based on the research findings, the following 17 federal departments, agencies, and offices (listed in alphabetical order) were identified to have promulgated applicable federal regulations pertaining to the planning, development, operation, and management of aviation/airside infra- structure, facilities, and activities of a federally obligated airport. • Customs and Border Protection (CBP) – A federal law enforcement agency of the Depart- ment of Homeland Security, CBP enforces federal regulations by protecting U.S. borders from the crossing of illegal people and materials. With respect to airports, the CBP staffs the Ports of Entry at U.S. international airports to prevent the importation of illegal people and materials. • Department of Agriculture (USDA) – The USDA, a cabinet-level department of the U.S. gov- ernment, promulgates and enforces federal regulations on food, agriculture, natural resources, rural development, nutrition, and related issues. With respect to airports, the USDA’s Wildlife Services provides wildlife damage management to protect property and safety and works with airports to reduce wildlife hazards to protect public safety and reduce property damage. • Department of Defense (DOD) – The DOD, a cabinet-level department of the U.S. govern- ment, promulgates and enforces federal regulations that are related to the national security and the U.S. Armed Forces. With respect to airports, the DOD is involved in the use of airport property for DOD organizations. • Department of Homeland Security (DHS) – The DHS, a cabinet-level department of the U.S. government, promulgates and enforces federal regulations to protect the territory and people of the United States and responds to terrorist attacks, man-made accidents, and natu- ral disasters. With respect to airports, the DHS forms and implements policies and programs to enhance aviation security. • Department of Housing and Urban Development (HUD) – The HUD, a cabinet-level department of the U.S. government, promulgates and enforces federal regulations on hous- ing and metropolises to create strong and sustainable communities and quality affordable homes. With respect to airports, HUD forms and implements policies on accessibility by persons with disabilities. • Department of the Interior (DOI) – The DOI, a cabinet-level department of the U.S. govern- ment, promulgates and enforces federal regulations to manage and conserve federal land and natural resources and administer tribal community programs. With respect to airports, the DOI forms and implements policies to protect endangered and threatened wildlife and plants as well as migratory birds that are on or near airports.

8 Guidebook for Managing Compliance with Federal Regulations: An Integrated Approach • Department of Justice (DOJ) – The DOJ is responsible for prosecution and defense of crimi- nal and civil litigation in which the U.S. government has an interest, most federal law enforce- ment, and administration of civil rights and disability access programs. With respect to airports, DOJ enforces federal regulations regarding civil rights and access to public facilities. • Department of Labor (DOL) – The DOL, a cabinet-level department of the U.S. government, promulgates and enforces federal regulations to ensure occupational safety, wage and hour standards, and unemployment insurance benefits and tracks certain economic statistics. With respect to airports, the DOL provides under the Davis–Bacon Act critical wage protection for construction workers and has provided a level field for contractors bidding on federal projects. • Department of Transportation (DOT) – The DOT, a cabinet-level department of the U.S. gov- ernment, promulgates and enforces federal regulations to ensure development, coordination, and preservation of a safe, efficient, economical, and convenient transportation system. With respect to airports, DOT oversees the safety functions of the FAA Administrator and has del- egated to the FAA the management of airport financial assistance and environmental programs. • Environmental Protection Agency (EPA) – The EPA, an independent federal agency, pro- mulgates and enforces federal regulations to protect human health and the environment. With respect to airports, the EPA regulates air emissions, water runoff, and waste management. The EPA also works with airports on voluntary pollution prevention programs and energy con- servation efforts. Most states have environmental agencies that enforce the EPA regulations. • Federal Aviation Administration (FAA) – The FAA, a modal administration of DOT, pro- mulgates and enforces federal regulations with respect to U.S. civil aviation safety, air traffic control, and airport financial assistance. With respect to airports, the FAA implements safety certification for commercial airports and administers the Airport Improvement Program. • Federal Communications Commission (FCC) – The FCC, an independent U.S. government agency, promulgates and enforces federal regulations with respect to interstate and international communications. With respect to airports, the FCC forms and implements policies pertaining to 911, public safety, communications assistance for law enforcement, and alert warning systems and handles the licensing of spectrum for public safety entities. • General Services Administration (GSA) – The GSA, an independent U.S. government agency, promulgates and enforces federal regulations with respect to acquisition of goods and services by federal agencies, travel policies for federal employees, and utilization and disposition of per- sonal and real property. With respect to airports, the GSA forms policies relating to prohibiting discriminatory actions for public programs receiving federal financial assistance. • Immigration and Customs Enforcement (ICE) – A federal law enforcement agency of the DHS, ICE enforces federal regulations governing border control, customs, trade and immigration to promote homeland security and public safety. With respect to airports, ICE staffs the Ports of Entry at U.S. international airports. • Occupational Safety and Health Administration (OSHA) – OSHA, an agency within the DOL, promulgates and enforces federal regulations with respect to occupational safety and health. Most OSHA regulations apply to airports in some capacity, mostly with respect to facility and non-airfield operations. Twenty-seven states and territories have agencies that enforce OSHA regulations. • OMB – The OMB, an office within the Executive Office of the President of the United States, oversees the performance of federal departments, agencies, and offices and administers the fed- eral budget. For airports, OMB issues circulars describing accounting principles for auditing of federal grant funds and for disposition of grant-funded property. • Transportation Security Administration (TSA) – The TSA, an agency within the DHS, promulgates and enforces federal regulations with respect to transportation security. With respect to airports, the TSA forms policies for aviation security and enforces airport, aircraft operator, and air cargo security programs.