Airport Incident Reporting Practices (2019)

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67 A P P E N D I X A Survey Responses A survey was distributed to the 11 airports participating in the study. The intent of the survey was to gather preliminary data from which interviews were conducted with a select few of the respondents. Data contained in brackets [ ] are the number of answers for the question or the information responding to the question. Some questions allowed multiple responses. 1. ANYWHERE WITHIN YOUR ORGANIZATION … a. Is there a formal enterprise risk management (ERM) program? Yes [ 5 ] No [ 6 ] b. Is there a Safety Management System (SMS) oversight program? Yes [ 7 ] No [ 4 ] c. Is there a formal Hazard Incident & Risk Mitigation (HIRM), Incident Management System (IMS), or similar program that collects SPI, KPI, hazard or incident data? Yes [ 7 ] No [ 4 ] If there is a formal reporting program, is it … Mandatory [ 2 ] Both mandatory and voluntary [ 6 ] d. Are OSHA 300/301 injury and illness reports or similar recorded and reported at either the federal, state, or local level? Yes [ 9 ] No [ 2 ] 2. NO HARM INCIDENTS a. Are near-misses, close calls, or similar circumstances that result in no harm reported, recorded, or investigated? Yes [ 11 ] No [ 0 ] b. Is the general public encouraged or able to report incidents, hazards, or near-miss situations that do not result in harm? Yes [ 10 ] Unsure [ 1 ] c. Are incidents of positive observation, behavior, actions, or occurrences collected and recorded? Yes [ 6 ] No [ 5]

68 Airport Incident Reporting Practices • To identify trends in accidents and incidents, whether personnel, procedural, or mechanically based [ 4 ]. • To measure performance and organizational sustainability and to benchmark against itself and other organizations [2]. • For reports and insurance purposes [ 2 ]. • To be more proactive in the identification and mitigation of hazardous trends. • To target mitigation efforts, including enforcement of safety regulations. • As part of ERM best practices and to identify opportunities for improvement. • As part of our SMS implementation and to improve safety awareness & culture. • For general safety and security. c. Are your SPIs or KPIs (leading and lagging) common across Yes, common [ 4 ] the whole organization, or different between functional units? No, different [ 2 ] Both [ 4 ] Unsure [ 1 ] d. What different functional units have responsibility for oversight of your incident reporting processes? Operations [ 6 ] Legal [ 2 ] Engineering & Maintenance [ 1] Risk [ 5 ] Finance [ 2 ] Energy & Transport [ 1 ] Safety [ 4 ] Human Resources [ 2 ] Public Safety [ 1 ] Health & Safety [ 2 ] Executive Board [ 1 ] ARFF [ 1 ] e. Who is able to submit hazard and incident reports? Anyone [ 4 ] Risk [ 2] Energy & Transport [ 1 ] Public Safety [ 1 ] Operations [4] Finance [ 2 ] Engineering & Maintenance [ 2 ] f. What methods are used to receive reports on hazard, incident, or performance data? Telephone [ 10 ] Verbal [ 8 ] Suggestion box [ 5 ] Website [ 10 ] Written notice [ 8 ] Web or Phone App [ 2 ] E-mail [ 9 ] Social media [ 6 ] 3. COLLECTION a. Which of the following functional areas and/or departments in your organization (or governing body) collect SPI, KPI, OSHA, or other hazard-incident data: Check any that apply DATA COLLECTED SPI & KPI OSHA & OTHER Executive/Manager [ 5 ] [ 2 ] Finance/Accounting [ 5 ] [ 2 ] Risk Manager [ 7 ] [ 8 ] Legal Department [ 5 ] [ 4 ] Information Technology [ 3 ] [ 3 ] Marketing Department [ 2 ] [ 1 ] Planning Department [ 6 ] [ 2 ] Purchasing/Contract/Vendor Management [ 3 ] [ 2 ] Engineering/Construction [ 6 ] [ 6 ] Public Works Department [ 6 ] [ 4 ] Utility Department [ 3 ] [ 3 ] Human Resources/Personnel [ 4 ] [ 5 ] Environmental [ 4 ] [ 6 ] Communications/Emergency Center [ 4 ] [ 4 ] Airfield Operations [ 8 ] [ 6 ] Terminal Operations [ 6 ] [ 5 ] Ground Transportation/APM/shuttle/train/bus) [ 6 ] [ 6 ] Parking Operations [ 6 ] [ 4 ] Facility/Building/Equipment/Vehicle/Maintenance [ 5 ] [ 7 ] Emergency Response/ARFF [ 9 ] [ 7 ] Police/Security [ 7 ] [ 7 ] Industrial/Commercial Park [ 1 ] [ 1 ] b. For what reasons/purposes does the organization collect SPI or KPI leading/lagging indications or otherwise monitor organizational incidents? • For compliance with regulatory requirements, including airport certification, OSHA, and state/local codes [ 3 ].

Survey Responses 69 b. How does the organization collect, record, and track hazards and incidents? Check all that apply Excel spreadsheet or similar [ 8 ] Custom software program [ 5 ] Manual written system [ 3 ] Off-the-shelf software program [ 2 ] Other – [ MS Access ] c. In reviewing incident data or reports, how is the data reviewed/assessed/ investigated? Check all that apply By one designated individual [ 7 ] By a small group (2–4 people) [ 8 ] By a large group (>5 people) [ 4 ] By outside consultant/professional [ 0 ] d. Who is/are the individuals involved in the review or assessment of incidents? Safety Manager [ 3 ] OPS [Operations] Certification Manager [ 2 ] Risk Manager [ 3 ] Emergency Preparedness Manager [ 1 ] Department Manager [ 3 ] Human Resource Manager [ 1 ] SMS Manager [ 1 ] Safety Health Manager [ 1 ] Vice Presidents Ramp Manager [ 1 ] COO [ 1 ] Vehicle Accident Review Board [ 1 ] e. How quickly are incident reports reviewed? Within 1 hour [ 1 ] Within 3 days [ 3 ] Within 6 hours [ 2 ] Within 1 month [ 1 ] Within 24 hours [ 7 ] 4. AGGREGATION, EVALUATION, AND ANALYSIS a. Are leading indicators used for assessing the attainment of safety or performance objectives? Yes [ 7 ] No [ 2 ] Unsure [ 2 ] If Yes, please list what indicators or metrics your organization uses to measure the safety of your organization. • Safety Observations and Compliance adherence. • Safety Training Attendance. • Completion rate of Hazard Identification Corrective Action forms. • Wellness Participation. • Amount of safety training. • Amount of near-miss reporting. • Number of runway incursions. • Number of surface incidents. • Incident rates. • Number of safety audits. • Safety committee attendance. • Implementation rate of safety recommendations/suggestions. • Number of safety training activities. • 14 CFR Part 139 and other safety-related data. g. Which airport stakeholders or tenants collect incident-hazard-SPI-KPI data on your airport? Check all that apply DATA COLLECTED SPI & KPI OSHA & OTHER Airlines [ 10 ] [ 11 ] Cargo Operator [ 6 ] [ 8 ] Military [ 2 ] [ 1 ] Charter Aircraft Operator [ 3 ] [ 4 ] Corporate Aircraft Operator [ 3 ] [ 4 ] FBO/Ground Handler/Fuel Suppliers [ 7 ] [ 10 ] Flight School or other Specialized Operation [ 2 ] [ 3 ] Aircraft Maintenance/Repair Organization [ 3 ] [ 4 ] Concessionaires [ 6 ] [ 9 ] Caterers and other Vendors [ 3 ] [ 6 ] Ground transportation operators [ 4 ] [ 7 ] Terminal operators [ 2 ] [ 3 ]

70 Airport Incident Reporting Practices Seminar/Workshops [ 2 ] Self-review of manual or similar [ 2 ] Classroom instruction [ 1 ] Online or web-based computer-based training [ 1 ] OTHER - Management staff meetings, new employee orientation g. Does your organization train employees of vendors/concessions/ contractors or require them to be trained on KPI-SPI-Incident-Hazard reporting and similar metrics? Yes [ 3 ] No [ 8 ] h. Does your organization perform or assess organizational surveys on safety climate or culture? Yes [ 5 ] No [ 5 ] Unsure [ 1 ] i. Can you give examples of management support and commitment in the development and use of a hazard and incident management reporting system and resultant safety culture? Please describe • An event of importance, that involves uncertainty pertaining to the safety and security of the airport, that caused, or could have caused, injury or property damage, and that provides an opportunity for improvement in the way of preventative measures and/or exploiting opportunities. • An event requiring response. • No formal definition, generally is any unusual occurrence with a potentially significant adverse impact to safety, finances, or reputation of the Authority. • An occurence which may lead to a hazard and/or loss. b. Do other functional areas and/or departments define “incident” differently than described in the previous question? Yes [ 3 ] No [ 5 ] Unsure [ 3 ] c. How do managers, department heads, or your governing body evaluate or know where they currently stand in terms of controlling hazards and risks? Please describe [ see OPEN RESPONSE below ] d. To what extent do you believe KPI-SPI-Incident-Hazard Reporting is well understood in your organization (check the one best answer)? Understood by most throughout the organization [ 3 ] Understood by a few functional areas/departments [ 6 ] Not well understood at all [ 2 ] e. Does your organization train employees on SPI-KPI-Incident- Hazard Reporting or similar metrics? Yes [ 5 ] No [ 5 ] Unsure [ 1 ] f. What method of training does the airport provide for familiarization with incident reporting and SPI, KPI, lead/lag, or other indicators [check all that apply] On-the-job or Mentoring [ 8 ] In-house computer-based training [ 3 ] 5. MANAGEMENT/ORGANIZATION CULTURE & CLIMATE a. How is the term “incident” defined within the airport organization? • Any mishap, behavior, error, deviation, or action that could or has caused a hazard, injury, or accident. • An event with an adverse effect on an asset of the organization (person, property, environment, financial). • No definition available. • Anything occurring outside of standard. • An occurrence which affects safety which may or may not involve damage or injury. f. Are analyses used to investigate reported hazards or incidents, such as root cause, failure mode and effect, bowtie, fault tree, or similar analyses? Yes [ 9 ] No [ 2 ] g. Is a dashboard or other benchmark method used to display incident data? Yes [ 7 ] No [ 4 ] h. Are safety or risk audits regularly performed? Yes [ 9 ] No [ 1 ] Unsure [ 1 ]

Survey Responses 71 6. DISSEMINATION a. Do you share your incident reporting efforts or metric results with other stakeholders? Yes [ 8 ] No [ 3 ] b. With whom do you report or share incident data? [ 7 ] Internal organizational departments [ 6 ] Federal regulatory agency (FAA, OSHA, EPA, etc.) [ 6 ] Employee [ 5 ] Insurers/Risk managers [ 4 ] State regulatory agency or similar (DOT, OSH, EPA, etc.) [ 3 ] Safety professionals [ 2 ] Local government or policymakers [ 2 ] Trade or specialty organizations (ACI, AAAE, RIMS, etc.) [ 1 ] Local emergency organizations [ 0 ] Vendors/Contractors/Concessionaires [ 0 ] General public [ 0 ] News media c. Do other organizations, tenants, or business entities share incident-hazard-SPI-KPI data with you? Yes [ 4 ] No [ 7 ] If Yes, who are they? [ Tenants, Business stakeholders, Airlines, Business partners ] d. What precautions do you take, if any, to protect the data collected or to protect the person(s) reporting a hazard or incident? Redacting [ 2 ] HIPPA not shared [ 2 ] Need to know [ 1 ] Legal & HR review [ 1 ] Secure network [ 1 ]