Airport Incident Reporting Practices (2019)

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82 A P P E N D I X D Example of Safety Indicators and Metrics for 14 CFR Part 139 PLAN FOR GAP ANALYSES AND IDENTIFYING SAFETY INDICATORS AND METRICS A GAP analysis is a means by which an airport can assess its level of performance in implementing a Safety Management System (SMS). A GAP evaluation attempts to determine the variation that exists between expected performance and actual performance. GAP analyses primarily address the SMS pillar of “Safety Risk Management.” In the model of human error developed by James Reason, GAPs are the holes that exist in the layering of safety actions that are intended to prevent accidents or injury from occurring. Holes or GAPs allow for an alignment of circumstances, factors, or events that result in accidents or injuries or otherwise compromise safety actions. To perform a GAP analysis, one must first know what kind of incidents, accidents, or errors can exist or be made in an organization and what risks and hazards exist in an airport’s everyday operation. Knowing the kind of events, circumstances, factors, accidents, and injuries allows for the implementation of safety measures to close the holes (or GAPs) in the system. However, most airports organizations do not fully understand what holes or GAPs exist because they lack safety performance criteria other than “no accidents or injuries,” and they are not fully aware of the risks and hazards associated with their operations. How safe an airport organization is depends in part on measuring the organization’s safety performance, and in identifying and managing the risks and hazards involved. The airport organization needs to identify what level of risk and safety performance it is going to establish for its airport. From assessment or determination of expected organizational safety performance, a GAP analysis will help identify where additional safety measures may need to be implemented or where existing safety measures may be reduced without affecting overall safety. To that extent, an airport organization must ask: “How do we know we are conducting a safe operation?” To help answer that question, one can ask: “What are some INDICATORS of whether we operate in a safe manner?” By choosing proper safety indicators, one can better determine what standards of performance the organization will attempt to obtain and how to assess that performance. Safety indicators can be either quantitative (i.e., number, amount) or qualitative (i.e., follows procedures, demonstrates competency or knowledge) in nature. The more they are described in measurable terms, the better to determine if safety goals are being met. The following are suggested safety indicators that may apply to each section of 14 CFR Part 139, Certification of Airports. Please review the indicators and metrics and determine if they are a good indicator or a good measure of safety for your organization. Cross out those that you do not think are good indicators. Add indicators or refine those listed as you go through the list. Continuously ask yourself: How can I demonstrate or prove to someone else that our ___ (insert title of each Part 139 section heading) ___ is safe, the risk is acceptable, or the operation is in compliance with the regulations? Then choose the appropriate indicators. SAFETY INDICATORS and METRICS: (1) Pavement: Number of closures per year (by time? by % available? break down into maint/snow/accident) Number of inspection deviations (# of times edges exceed 1-2-3 inches?) (# holes discovered ! within centerline?) (# of aircraft deviations or pilot/air traffic control tower (ATCT) reports) (# of times sweep runway for loose aggregate) Number of runway cleanings Length of time equipment is used on the pavement

Example of Safety Indicators and Metrics for 14 CFR Part 139 83 Amount of hot/cold patch or other repair material used Amount of FOD picked up Qualifications of inspection personnel Degree to which inspection personnel feel trained and qualified Extent to which inspection personnel do not recognize a problem Qualifications of maintenance personnel Degree to which maintenance personnel feel trained and qualified Extent to which maintenance is repeated on a problem area Extent to which maintenance personnel do not recognize a problem (2) Safety Areas Number of aircraft that have gone off into the safety areas (# of aircraft deviations) (# or amount of damage incurred? break down into RESA/Rwy/Txy) Number of inspection deviations or write ups (# of times grading, filling or rut repair?) (% of time water makes the safety area unusable?) (# of times ARFF or Snow vehicles use safety area?) (# of broken signs, lights or couplings) (# of objects in the safety areas?) Number of NOTAMs issued Percent of time not available for use (construction or other) Numbers of person hours spent maintaining Number or amount of time spent inspecting Amount of FOD collected Length of time between discrepancy report and corrected Number or amount of wildlife attracted to safety area Degree to which frangibility exists Qualifications of inspection personnel Degree to which inspection personnel feel trained and qualified Extent to which inspection personnel do not recognize a problem Qualifications of maintenance personnel Degree to which maintenance personnel feel trained and qualified Extent to which maintenance is repeated on a problem area Extent to which maintenance personnel do not recognize a problem (3) Marking Number or amount of time spent marking/painting Degree to which markings meet dimensional criteria Number of NOTAMs issued Length of time between discrepancy report and corrected Level of reflectivity in glass beads (readings/coverage) Thickness of paint Percentage or amount of peeling/lifting of paint Amount of low visibility conditions Number of gallons of paint used Number of pounds of glass bead used Degree of eradication of old markings Length of time between painting Amount/percentage of marking obscuration (water ponding, rubber buildup, etc.) Number of runway incursions Number of critical area penetrations Amount of money spent Number of work hours spent Square footage of ponded water Linear footage of cracks greater than 1/2 inch wide Amount of crack sealer used Percent of grooves filled with dirt/rubber Percentage of vegetation growth Length of time between discrepancy report and corrected Friction and braking action measurements Runway Surface Condition Sensing instrument operation Pavement maintenance management procedures followed Number of pilot/user complaints and/or inquiries

84 Airport Incident Reporting Practices Number or amount of time spent correcting signs Degree to which signs meet standards Number of NOTAMs issued Length of time between discrepancy report and corrected Degree of reflectivity (readings) Number of delaminated, faded or crooked signs Amount/percentage of signage obscuration (bird guano, fading, weeds) Number of runway incursions Number of critical area penetrations Number of pilot/user complaints and/or inquiries Percentage of time lighted Number of bulbs burned out Amount of wildlife nesting/infestation Qualifications of inspection personnel Degree to which inspection personnel feel trained and qualified Qualifications of maintenance personnel Degree to which maintenance personnel feel trained and qualified Extent to which maintenance is repeated on a problem area Extent to which maintenance personnel do not recognize a problem (5) Lighting Number or amount of time spent replacing bulbs Number or amount of time spent aligning lights (alignment) Degree to which lights meet luminosity criteria (readings) Number of NOTAMs issued Length of time between discrepancy report and corrected Amount of low visibility conditions Number of person-hours spent cleaning/repairing Amount/percentage of light obscuration (dirt, grass) Number of runway incursions Number of critical area penetrations Number of pilot/user complaints and/or inquiries Number of ramp/apron incidents related to lights Qualifications of inspection personnel Degree to which inspection personnel feel trained and qualified Qualifications of maintenance personnel Degree to which maintenance personnel feel trained and qualified Extent to which maintenance is repeated on a problem area Extent to which maintenance personnel do not recognize a problem (6) Snow and Ice Control Length of time spent removing snow (promptness) Length of time to clear Priority 1 areas (clearance time) Length of time to respond to snow call (trigger response) Degree (percentage) to which pavement surfaces are cleared and dry Runway Taxiway Apron Number and type of NOTAMs issued Length of time between discrepancy report and corrected or response Number and condition of braking action Number of aircraft complaints on braking action Number of pilot/user complaints and/or inquiries on snow conditions (4) Signage Number of ramp/apron incidents related to markings Amount of hazardous areas that are marked Qualifications of inspection personnel Degree to which inspection personnel feel trained and qualified Qualifications of maintenance personnel Degree to which maintenance personnel feel trained and qualified Extent to which maintenance is repeated on a problem area Extent to which maintenance personnel do not recognize a problem Amount of low visibility conditions Length of time not able to conduct winter operations due to the weather

Example of Safety Indicators and Metrics for 14 CFR Part 139 85 Amount/percentage of obscuration Number of lights broken during removal operations Number of signs broken during removal operations Percent of signs/lights obscured by ice/snow or drifts Amount of time NAVAIDs available/not available Number of ramp/apron accidents or incidents related to winter operations Number of aircraft/vehicle accidents and/or incidents Amount of time taken to notify air carriers/tenants of conditions Degree to which employees are fatigued Amount of rest time or continuous duty Amount of delay incurred by aircraft (terminal delay, taxi delay, gate delay) Compliance with the snow plan Sand and/or deice material available Validation of material to specifications Availability of Material Safety Data Sheet (MSDS) Equipment in ready condition Age of equipment Validation of friction measurement devices Adequate staff Pre- and post-season review of plan Snow plan procedures followed Amount of storage space available Amount of snow disposal area available Height of snow banks Distance pilots/vehicle operators can see intersections Presence of snow drifts/snow fences Contractor availability and requirements Number of personnel available (not available) for snow removal Qualifications of personnel to operate certain type of equipment Qualifications of inspection personnel Qualifications of maintenance personnel How well did Snow Control Center function? Number of ATCT miscommunications/radio breakdown Degree of satisfaction from tenants/FAA Number of runway incursions Number of critical area penetrations Availability and accuracy of weather forecasting Weather reporting equipment available Compliance with NPDES [National Pollutant Discharge Elimination System] permit or other environmental requirements Runway/taxiway Maintenance area Ramp/apron area Runoff/recycled amount Percentage of different snow and ice conditions (dry/heavy/ice/sleet/etc.) Amount of FOD picked up during/after winter operations Amount of frost heave, pavement scaling or cracking, flaking of markings Degree to which ice adheres to pavement Number of gallons/pounds of deicing fluid/pellets Square footage area covered Number of passes or applications Amount of time snow removal equipment inoperative or not available Number of equipment breakages or breakdown Amount of blades or broom material used Degree to which signs/lights markings are visible (7) Aircraft Rescue and Firefighting: Equipment and Agents Equipment in ready condition Age of equipment Amount of service time the equipment is available Amount of maintenance man-hours performed on vehicles/equipment Number of equipment breakdowns Number of repair-hours spent due to breakdowns Length of time equipment out of service for preventive and/or breakdown

86 Airport Incident Reporting Practices Tires properly inflated and in good condition Amount of wiper washer fluid Proper levels of oil Amount of agent available Validation of agents Validation of discharge rates Usage rates Amount stockpiled Amount of time to refill (8) Aircraft Rescue and Firefighting: Operational Number and type of emergencies responded to Number of alerts responded to (successfully) Average time of response to alert Number of practice alerts conducted Number of times index reduced Procedures for recall of personnel and equipment Adequate number of ARFF personnel Qualifications of ARFF personnel Degree to which ARFF personnel feel trained and qualified Records available Physical condition of firefighter/rescuer/technician Knowledge and ability of airfield, equipment, firefighting operations, etc. Ability to or personnel to find way on airfield at day/night Knowledge of type of aircraft using airport Knowledge of personnel safety requirements and operations Ability to use equipment (fire hoses, nozzles, turrets, other appliances) Ability to use breathing apparatus Ability to apply agent Ability to use structural equipment and appliances Ability to perform emergency plan duties Ability to perform emergency evacuation Understanding of HAZMAT and cargo hazards Experience with live fire Ability to work as a team Training and experience in basic emergency medical services Monitoring of frequencies when ATCT closed Mean time between failure of alarm system Mean time between failure of backup alarm system Number of times ARFF responds to alarms Number of hours emergency access road or gates not available Number of times mutual aid called to inform of change to airport procedures Capability of communications equipment Amount of repair on communications equipment Ability to transmit/monitor various frequencies Condition of personal protective equipment Condition of ARFF accessories (hoses, nozzles, breathing apparatus) Vehicle rotating beacon and lights operational Amount of fuel in the tanks (9) Handling and Storage of Hazardous Material: Cargo Number of times North American Emergency Response Guidebook accessed Ability of personnel to look up hazardous materials/identify dangerous goods Certificates on file of those authorized to handle HAZMAT Observation of those certified to handle HAZMAT Procedures in place for special handling Number of responses to spills or releases Amount of spills and/or releases Number of placards/identification of storage areas of HAZMAT Reports by fire marshal that meet standards Number of observations made of HAZMAT handling Number of accidents/incidents resulting from HAZMAT Degree to which access to HAZMAT limited Number of discrepancies found during inspection or surveillance Length of time to correct discrepancy Documentation of notification of discrepancy or noncompliance

Example of Safety Indicators and Metrics for 14 CFR Part 139 87 Currency of training records Degree to which procedures followed for special handling Number of responses to spills or releases Amount of spills and/or releases Number of times contamination found in fuel Number of times monitoring alarm in fuel storage goes off Number of placards/identification of storage areas of fuel vehicles Reports by fire marshal that meet standards Degree of compliance with NFPA [National Fire Protection Association] or local fire standards Number of observations of fueling operations Number of accidents/incidents resulting from fueling exposure Degree to which access to fueling areas limited Number of discrepancies found during inspection or surveillance Length of time to correct discrepancy Documentation of notification of discrepancy or noncompliance Number of notifications made to FAA due to non-compliance (11) Traffic and Wind Direction Indicators Number of times lights found inoperative Amount of maintenance performed Number of times indicator checked for freedom of travel Number of complaints received from pilots Amount of time indicators blocked by snow Number of times segmented circle viewed from the air Frequency that segmented circle painted or condition inspected (12) Airport Emergency Plan Safety indicators have not been determined for this section yet Recommend airport personnel brainstorm this section (13) Self-Inspection Number of discrepancies found Length of time for a discrepancy to be corrected Number of special inspections Number of incidents/accidents resulting from missed discrepancy Number of times inspection vehicle not available Length of time to report discrepancy to tenants or to issue NOTAM Frequency that notification equipment is not available or inoperative Quality and thoroughness of inspection Amount of training an individual has acquired Length of time to complete a full inspection Currency of training records Number of inspections performed by each qualified individual (10) Handling and Storage of Hazardous Material: Fuel Certificates on file of those authorized to receive/dispense fuel/oils/glycol Number of observations of those certified to handle fuel or hazardous substances Quality of training program Number of different types of NOTAMs (local, distant, FDC, military) Extent to which NOTAM procedures are followed Quality of interaction with ATCT Quality of radio communication Missed or misunderstood communication Repeated instructions (14) Pedestrian and Ground Vehicles Extent to which ground vehicle operations procedures are followed Number of runway incursions Quality of radio communications Number of times an escort is necessary Quality of training program Number of times gates left open Amount of times gates inoperative Incidents of individuals gaining access to the movement/non-movement areas Number of vehicle-aircraft incidents or deviation Quality of signage/marking/and lighting Currency of training records Knowledge of those who have been trained or authorized

88 Airport Incident Reporting Practices (15) Obstructions Number of obstructions that have been reviewed or aeronautical studies Number of obstruction lights inoperative Length of time to correct obstruction light outage Number of inquiries made to airport or local permitting office for information (16) Protection of NAVAIDs Number of inquiries made to airport or local permitting office for information Length of time a NAVAID outage has occurred Length of time PAPI/VASI/ [Precision Approach Path Indicator/Visual Approach Slope Indicator] beacon inoperative Integrity of fencing or access controls Number of vandalism, theft, or other reports Number of visits of FAA personnel for NAVAID maintenance/correction Number of flight checks (17) Public Protection Number of persons injured Number of complaints Condition of signs or warnings Provision and condition of fences, gates, or objects preventing inadvertent entry (18) Wildlife Hazard Number of strikes reported Number of sitings Extent to which the plan is followed Safety indicators have not been fully determined for this section yet Recommend airport personnel brainstorm this section (19) Airport Condition Reporting Number of different types of NOTAMs (local, distant, FDC, military) Extent to which NOTAM procedures are followed Degree to which NOTAM is understood by others Extent to which NOTAMs are corrected by FSS Availability of NOTAMs on ATIS or AWOS Currency of NOTAM records Length of time NOTAMs are in effect Number of complaints (20) Construction and Unserviceable Areas Number of safety or coordination meetings held Number and quality of training sessions held Currency of training records Knowledge of those who have been trained or authorized Quality of radio communications Complaints from tenants/users/ATCT/aircraft Extent to which the safety plan is followed covering: ARFF Amount of time clear routes exist from firefighting and rescue stations. Notifications when working on water lines or utilities affecting station Security Identification of construction personnel and equipment Security control on temporary gates and relocated fencing Additional security measures required if TSA Part 1542 is involved Shutdown and/or protection of airport electronic/visual navigational aids Location of power & control lines for electronic/visual NAVAIDs Location of utilities (may reference another sheet) Provision for temporary utilities and/or immediate repairs Marking, Lighting, and Signage Quality of signage/marking and lighting Correct threshold treatment & appropriate temporary lighting & marking Installation and maintenance of temporary lighting & marking Marking/lighting of construction equipment Marking/lighting of construction areas Marking and lighting of closed airfield pavement areas Type of barricades, height, and/or location Utilities and NAVAIDs

Example of Safety Indicators and Metrics for 14 CFR Part 139 89 Aircraft Operations Suspension or restriction of aircraft activity on airport operations areas Airport Operations Additional equipment, vehicles, or personnel needed to maintain safety Traffic directors/wing walkers, as needed to ensure clearance Incidents of individuals gaining access to movement/non-movement areas Number of vehicle-aircraft incidents or deviation Extent to which ground vehicle operations procedures are followed Number of runway incursions Number of times an escort is necessary Number of times gates left open Responsibilities Initiation, currency, and cancellation of NOTAMs Procedures for ensuring chain of notification and authority to change safety-oriented aspects of the construction plan Designation of responsible reps of all involved parties and their availability Construction Activities Location of construction personnel parking and transportation to/from site Location of construction offices Location of construction plants Designation of waste areas and disposal Debris cleanup responsibilities and schedule Location of haul road(s) Review phasing for minimizing disruption of aeronautical activity Coordination of construction activities during winter operations snow plan Phasing of work Storage of construction equipment & materials when not in use Smoke, steam, and vapor controls Blasting regulation and control Dust control (21) Non-complying conditions Number of notices to the FAA Number of deviations Number of NOTAMs Number of closures of runway/taxiway/apron After the identification of the metrics and indicators for the selected areas of Part 139, performance standards are to be established for each area. Given the standards to be maintained, the identification of those measures currently used to track performance will be identified. Considered in the tracking process will be procedures, policies, documents, and actions that the airport currently uses or needs to implement as part of its SMS. The identification of tracking capability (or lack thereof) is the GAP analysis to be evaluated. The development of the SMS will involve the identification of tracking measures as just one component toward the identification of risk and hazard evaluation and the implementation of safety defenses and actions.