Airside Operations Safety: Understanding the Effects of Human Factors (2022)

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2022 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 RESEARCH REPORT 246 Research sponsored by the Federal Aviation Administration Subscriber Categories Aviation • Education and Training • Safety and Human Factors Airside Operations Safety UNDERSTANDING THE EFFECTS OF HUMAN FACTORS Kenneth P. Neubauer Edward Shea Futron Aviation Corporation Norfolk, VA Stephen Rice Consumer Perceptions, LLC Daytona Beach, FL Nathan Polsgrove Garver San Antonio, TX Dave Fleet Faith Group St. Louis, MO

AIRPORT COOPERATIVE RESEARCH PROGRAM Airports are vital national resources. They serve a key role in transpor- tation of people and goods and in regional, national, and international commerce. They are where the nation’s aviation system connects with other modes of transportation and where federal responsibility for man- aging 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 pro- grams. ACRP is modeled after the successful National Cooperative High- way 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 RESEARCH REPORT 246 Project 06-08 ISSN 2572-3731 (Print) ISSN 2572-374X (Online) ISBN 978-0-309-68749-2 Library of Congress Control Number 2022946947 © 2022 by the National Academy of Sciences. National Academies of Sciences, Engineering, and Medicine and the graphical logo are trade- marks of the 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, APTA, FAA, FHWA, FTA, GHSA, or NHTSA 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 research 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 Transporta- tion Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board does not develop, issue, or publish standards or specifi- cations. The Transportation Research Board manages applied research projects which pro- vide the scientific foundation that may be used by Transportation Research Board sponsors, industry associations, or other organizations as the basis for revised practices, procedures, or specifications. 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 or logos appear herein solely because they are considered essential to the object of the report. Published research 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 https://www.mytrb.org/MyTRB/Store/default.aspx Printed in the United States of America

e 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. Marcia McNutt is president. e 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. John L. Anderson is president. e 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. e 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. e National 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.nationalacademies.org. e Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. e mission of the Transportation Research Board is to provide leadership in transportation improvements and innovation through trusted, timely, impartial, and evidence-based information exchange, research, and advice regarding all modes of transportation. e Board’s varied activities annually engage about 8,000 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. e 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 AUTHOR ACKNOWLEDGMENTS This research reported herein was performed under ACRP Project 06-08 by Futron Aviation Corporation of Norfolk, VA. Futron Aviation was the prime contractor for this study and was ably supported by the human factors experts of Consumer Perceptions Design, LLC, and the airport operations experts at Faith Group, LLC and Garver. Mr. Kenneth Neubauer, Technical Director for Aerospace Safety at Futron Aviation Corporation, was the principal investigator and lead author, with Mr. Ed Shea, President and CEO of Futron Aviation Corporation, serving as the project manager. The following research team members contributed their expertise in human factors and airport operations, along with the investigation, analysis, and authoring of important report sections: • Dave Fleet, Director of Consulting, Faith Group, LLC • Tim O’Krongley, Aviation Planning Director, Garver • Nathan Polsgrove, Aviation Planning Leader, Garver • Dr. Stephen Rice, Partner, Consumer Perceptions Design, LLC • Dr. Scott Winter, Partner, Consumer Perceptions Design, LLC Futron Aviation Corporation would like to thank Dr. Scott Shappell, founding partner of HFACS, Inc., for his guidance on key human factors concepts discussed in this report and his oversight of the HFACS analytical process he co-developed and that was used in the analysis of the runway incursion data made available by the FAA for this research. CRP STAFF FOR ACRP RESEARCH REPORT 246 Christopher J. Hedges, Director, Cooperative Research Programs Waseem Dekelbab, Deputy Director, Cooperative Research Programs Marci A. Greenberger, Manager, Airport Cooperative Research Program Matthew J. Griffin, Senior Program Officer Brittany Summerlin-Azeez, Program Coordinator Natalie Barnes, Director of Publications Heather DiAngelis, Associate Director of Publications Doug English, Senior Editor ACRP PROJECT 06-08 PANEL Field of Human Resources Shawn M. Schroeder, Savannah Airport Commission, Savannah, GA (Chair) James A. Keane, Port Authority of New York and New Jersey, Jersey City, NJ Douglas Moss, AeroPacific Consulting LLC, Reno, NV Clifford Robinson, Memphis-Shelby County Airport Authority, Memphis, TN Sharon M. Stone, St. Louis Lambert International Airport, St. Louis, MO Michael Uenking, Embry Riddle Aeronautical University, Daytona Beach, FL Joseph Carlini, FAA Liaison Ashley Sng, Airports Council International–North America Liaison

ACRP Research Report 246: Airside Operations Safety: Understanding the Effects of Human Factors provides a review of the current state of human factors research and the related resources that are available to U.S. airport operations personnel. U.S. airport operators have always had various reporting requirements to follow when runway incursions, including vehicle/pedestrian deviations (V/PDs), have taken place, but the industry has lacked a thorough review of those incidents that involve airport personnel and vehicles and the factors that led to them taking place. Since the human element is both the greatest asset and weakest link in airside operations safety, airport executives and operations personnel could use more information to assess the role that human factors contribute to these incidents, assess the associated risks with these situations, and derive effective mitigation strategies to reduce their occurrence. Incursions and V/PDs occur not only on runways but in other areas of the airfield. Further, current mitigation strategies disproportionately rely on an individual’s senses of sight (through the use of markings, signage, and lighting) and hearing (e.g., radios), as well as on current technologies and processes. This report will provide airport executives and operations personnel a better understanding of what works, what does not, and how to best implement mitigation strategies across their workforce and tenant base. ACRP Project 06-08 was led by Futron Aviation Corporation, with support from Consumer Perceptions Design, LLC; The Faith Group, LLC; and Garver. A thorough review of existing datasets drove the project. Leaning on the experience of the research team, past incidents were reviewed, new technology was analyzed, and recommendations were put forth. This research report will be accompanied by an executive summary that will provide airport leaders a summation of this topic and new strategies that can be employed. The executive summary will be available on the National Academies Press website (www.nap.edu) by search- ing for ACRP Research Report 246: Airside Operations Safety: Understanding the Effects of Human Factors. F O R E W O R D By Matthew J. Griffin Staff Officer Transportation Research Board

1 Chapter 1 Why Examine Airside Human Factors? 1 1.1 Background 4 1.2 Goals and Objectives of the Research 4 1.3 Research Methodology 8 1.4 Using the Report 10 Chapter 2 Human Factors Defined 10 2.1 What Are Human Factors? 12 2.2 Introduction to Decision Making for Airport Managers and Operators 14 2.3 Communications 16 2.4 Introduction to Situational Awareness 18 Chapter 3 The Risks to Airports 19 3.1 Human Factors Risks Leading to V/PDs 20 3.2 Violations in Greater Detail 21 3.3 Decision Errors 22 3.4 Decision Error Events Without Second-Level Contributors 23 3.5 Mitigating the Risks Posed by Decision Errors 24 Chapter 4 Airside Personnel – Attributes/Traits and Hiring Practices 24 4.1 Beneficial Attributes and Traits 26 4.2 Challenging Attributes and Traits 27 4.3 Effective Hiring Practices 28 4.4 Toronto as a Model 29 Chapter 5 Airside Driver Training 29 5.1 Researching Current Training 30 5.2 Current Airside Driving Training Review 32 5.3 Modifying Airside Driver Training to Address Decision Errors 34 5.4 Driver Training Revision Suggestions 36 Chapter 6 Managing Fatigue Risk 36 6.1 Background 38 6.2 Three Fatigue Concepts Airside Personnel Should Understand 41 6.3 Fatigue and Irregular Operations – Practices to Mitigate Risks 41 6.4 Developing Airport Programs to Manage Fatigue Risk 44 Chapter 7 Technology Solutions for Enhanced Decision Making 45 7.1 Communications Improvement Technologies 46 7.2 Mobile and Vehicle Technologies 47 7.3 Fatigue and Personal Monitoring Technologies 48 7.4 Training Improvement Technologies C O N T E N T S

51 Chapter 8 Improving Airport Investigations 51 8.1 Why Invest in Improving Airport Safety Investigations? 53 8.2 The Role of the FAA in V/PD Investigations 54 8.3 Improving Airport Investigations from a Human Factors Perspective 56 Chapter 9 Conclusions and Recommendations 56 9.1 Key Research Takeaways 57 9.2 Recommendations for Airport Leaders 58 9.3 Recommendations for Future Research 60 References 62 Abbreviations and Acronyms 63 Appendix A Data Analysis on FAA V/PD Reports 80 Appendix B Human Factors Investigation Guide 88 Appendix C Research White Paper 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.nap.edu) retains the color versions.