### UNITED STATES DEPARTMENT OFTRANSPORTATION FEDERALAVIATION ADMINISTRATION SETTLEMENT AGREEMENT AND ORDER

In the Matter ofJohn F. Kennedy International Airport C"JFK"), FAA Case Nos. 2012AGC10027, 2013EA800015, 2013EA800040; Teterboro Airport C"TEB"), FAA Case No. 2012AGC10028; LaGuardia ("LGA") and NewarkLibertyInternational C"EWR") Airports, FAA CaseNo. 2012AGC10029; EWR,FAA CaseNo. 2013EA800044. I. General. 1. This Settlement Agreement and Order is issued underthe authority provided in 49 U.S.C. 

### §§ 40113, 46102(a), and 46301. 2. This SettlementAgreement and Order concerns the actions ofthe Port Authority of New York and New Jersey ("PANYNJ") under a grant ofauthority by the FAA to operate airports under part 139 oftheFederal Aviation Regulations("!4 CFRpart 139"). The PANYNJ is now, and at all times mentioned inthis document was, the holder ofAirpmt Operating Certificates issued under 14 CFRpart 139 for JFK, TEB, LGA, and EWR. Accordingto the PANYNJ, duringthetime period fi·om December 2011 through June 2012, the ARFF functions at JFK, TEB, LGA, and EWR, were under the command ofthe Superintendent ofthe Pmt Authority Police Depmtment ("P APD"). 3. During the timeperiod fi·om December 2011 through June 2012, theFAA conducted ann11a1 inspections or investigations ofJFK, TEB, LGA, and EWR and found substantial and continuing noncompliance bythePANYNJwithtrainingrequirements specified in 14 CFR part 139 for airportrescue and fire:l:ighting ("ARFF") personnel, as set forth in AppendixA ofthis Order. AppendixA describes the instm1ces ofnoncompliance ofpart 139 at each airport, identified and supported in the following FAAEnforcement Investigative Reports: JF.K, Case No. 2012AGC10027; TEB, Case No. 2012AGC10028; LGA andEWR, Case No. 2012AGC10029. Each instance in which the PANYNJ failed to comply with pmt 139 ARFF training requirements constitutes a separate violation oftheFederal Aviation

· Regulations, In addition, AppendixA describes further noncompliance at JFK and EWR,

identified and supported byJFK Case No. 2013EA800015 and 2013EA800040 and EWR CaseNo. 2013EA800044, that occurred subsequently to the noncompliance with pmt 139 ARFF training requirements. 4. Under 49 U.S.C. 

### § 46301(a), with modifications set forth at 14 CFR part 13, subpattH, the PANYNJ is subject to a civil penalty not to exceed $25,000 for each violation occUlTing before December 29,2010, and a civil penalty not to exceed $27,500 for each violation occurringthereafter, with each day the violation continues constituting a separate violation. Afterconsidering all the facts and circumstances in Case Numbers 2012AGC10027, 2012AGC10028, 2012AGC10029, 2013EA800015, 2013EA800040, and 2013EA800044,

1the FAA has determined that a civil penalty in the amount of$14,925;000.00 is appropriate in resolution ofall six cases. 

### S. The PANYNJ has a history ofrepeated noncompliance with the ARFF personnel training requirements under 14 CFRpart 139. Numerous violations occurring between 2002 and 2004, that were the same as, or substantially similarto, those described in Appendix 

### A, Sections 

### A. through E., led to the execution ofa Consent Order between the 

### FAA and the PANYNJ on February 27,2006. In the Consent Order dated February 27,2006, signed by thePANYNJ ChiefOperating Officer, the PANYNJ agreed "to ensure that all ARFF personnel on the active ARFF duty status at each facility are currently qualified in all areas required under part 139 ofthe FAR" and "to maintain an accurate training record tracking system at each PmtAuthority ARFF facility..." 6. Since the PANYNJ'sreceipt ofa May 1, 2012, Letter oflnvestigation concerning noncompliance with ARFF trainingrequirements at JFK, the PANYNJ has invested resources and taken measures to remedy ARFF training recordkeeping and compliance issues. The measures are listedbelow.

a. PANYNJ filled thepositions ofTraining Sergeants atJFK, LOA, and EWR/TEB with personnel who are now solely dedicated to the management oftraining records for ARFF personnel. b. A P ANYNJ agency-wide Working Group ofARFF personnel was established to coordinate efforts between P ANYNJ PoliceDepmtment (PAPD) and the PANYNJ Aviation Department for all issues concerning part 139 ce1tification.

c. 

### P ANYNJ General ManagerofAirport Certification and Safety was made a directreport to the Director ofAviation, elevating the importance ofcompliance within the agency. d. PANYNJ management directed the Director ofAviation to hire three Airport Certification and Safety Managers at JFK, LOA, and EWR/TEB to oversee compliance and conduct daily audits ofroll calls, under the direction ofGeneral Manager ofAirport Certification and Safety. Thesepositions were filled in September2012.

e. To finther improve ARFF operations, PANYNJ has retained the services ofa former Fire Commissioner for the City ofNew Yorkto provide expertise and suppmton the development ofa stand-aloneunit with analysis focused on staffing levels, and training · management. 7. TheFAA and the P ANYNJ agree that it is in the best interest ofsafety and the public interest for the PANYNJ to implement certain additional corrective measures identified 

### in Appendices B and C ofthis SettlementAgreement and Order to address longstanding operational and structural issues related to ARFF compliance at JFK, TEB, LOA, and EWR thatwere theprimary root causes ofthe systemic training failures identified in AppendixA, Sections A. through C.

28. The PANYNJ has completed certain corrective measures outlined in paragraph 6 above and in Appendix B, and has agreed to completebythe dates indicated in Appendix C ("Milestones"), the additional corrective measures outlined in that Appendix. 9. In consideration ofthe PANYNJ's agreement to complete the corrective measures in Appendices Band C, the FAA and the PANYNJ have reached a settlement ofthe regulatory noncompliance matters identified in Appendix A and are both willing to enter into this Settlement Agreement and Order. I0. In determining the terms ofthis SettlementAgreement and Order and the amounts ofcivil penalty to be paid by the PANYNJ, the FAA considered the PANYNJ's current and planned remedial effmts to address the underlying deficiencies at the airports that led to the noncompliance and the associated costs ofimplementing the corrective measures. II. TheFAA andthe P ANYNJ agree that payment ofthe civil penalty set forth in Section II of this Settlement Agreement and Order is fair and reasonable. 12. In consideration ofthe mutual covenants and payments described herein, theFAA and the PANYNJ agree as follows: 

### II. Terms ofSettlement Agreement and Order. 1. ThePANYNJ agrees topaya civil penalty in the amount of$3,500,000.00 no later than 30 days fi·om the date ofthe signing ofthis Settlement Agreement and Order in full and final settlement ofthe apparent regulatory violations identified and described in Appendix A for JFK, Case No. 2012AGC10027; TEB, CaseNo. 2012AGC10028; LGA and EWR, Case No. 2012AGC10029; JFK, Case No. 2013EA800015; JFK, CaseNo. 2013EA800040, and EWR CaseNo. 2013EA800044, thatmight otherwisebe adjudicated by a United States District Court or the Department ofTransportation Office ofAdministrative Law Judges. 2. Ifthe P ANYNJ fails materially to comply with anyprovision ofthis SettlementAgreement and Order, and after exhaustion ofthe administrative review process set forth in Section IV, paragraph 4, the P ANYNJ will pay:

a. a one-time civil penalty in an amount of$1,500,000.00, and b. a civil penalty of$27,500 for each day for each instance that it fails materially to comply with any provision ofthis Settlement Agreement and Order. ]fatthe end of30 days from the date ofthe final determination by the Associate Administrator for Airports under Section IV, paragraph 4 ofthis Settlement Agreement and Order, the PANYNJ has not materially complied with the provision at issue, the stipulated civil penalties shall be triggered, and due and payable within 10 days, without further notice, recourse, or appeal. The PANYNJ agrees that the payment instrument for the stipulated civil penalties will be made payable to the Federal Aviation Administration and shall be addressed to FAA Mike Monroney Aeronmttical Center ATIN: Kathy Gore, General Accounting,

3AMZ-350, 6500 South MacArthur Blvd., Oklahoma City, OK 73169, with a copy to the Assistant ChiefCounsel for Enforcement in FAA Headquarters Office ofthe ChiefCounsel. Thebase case No. 2012AGC10027 will be indicated on the fi·ont ofthe payment instrument.

c. After the FAA finds that the terms ofthis Settlement Agreement and Order have been fully complied with, the PANYNJ will no longer be subjectto the penalties specified in Section II, paragraph 2 ofthis SettlementAgreement and Order. Once PANYNJ has fully complied with the terms, it will advise the FAA in writing. Ifthe FAA finds that the terms have been fully complied with, the FAA will so advise the PANYNJ in writing. 3. The PANYNJ waives its rightto seek administrative orjudicial review ofcivil penalties imposed for a failure materially to comply with the terms ofthis Settlement Agreement and Order. 4. The FAA reserves its right to take civil penalty action or any other enforcement action for any violations ofthe Federal Aviation Regulations or 49 U.S.C. Subpart VII committed by the PANYNJ subsequent to the signing ofthis Settlement Agreement and Order. The PANYNJ may appeal such action or defend such action in accordance with applicable law. 5. As provided in Appendix C, thePANYNJ agrees to establish a separate, stand-alone ARFF Cadre, solelyresponsible for firefighting at JFK, EWR, LGA, and TEB. The ARFF Cadre will be established in accordance with the criteriain Appendix C and will be staffed with key managementpositions, as described in the Overview in Appendix D, which includes an Organizational Chart and Job Descriptions for those key positions. 6. In consideration ofthe covenants andpayments set forth in this SettlementAgreement and Order, the FAA will notrefer the apparent violations identified in AppendixA and JFK, Case Nos. 2012AGC10027, 2013EA800015, and 2013EA800040; TEB, Case No. 2012AGC10028; LGA and EWR, Case No. 2012AGC10029; and EWR Case No. 2013EA800044to the appropriate United States Attorney's Office for the filing ofa complaint in United States District Court or issue a notice ofproposed civil penalty under 14 CFR part 13. 

### III. Terms ofPayment. 1. ThePANYNJ agrees that thepayment instrument under this SettlementAgreement and Order will be made payable to theFederal Aviation Administration and shall be addressed to FAAMike Monroney Aeronautical Center ATTN: Kathy Gore, General Accounting, AMZ-350, 6500 South MacArthurBlvd., Oklahoma City, OK 73169, no later than 30 days from the date ofthe signing ofthis SettlementAgreement and Order, with a copyto the Assistant ChiefCounsel for Enforcement inFAA Headquarters Office ofthe ChiefCounsel. Thebase caseNo. 2012AGC10027 will be indicated on the front ofeach payment instrument.

42. The PANYNJ agrees that this debt isjustly due and owing by thePANYNJ, having arisen by this Settlement Agreement and Order because ofapparent violations under 49 U.S.C. 

### § 46301 and the Federal Aviation Regulations. 3. ThePANYNJ agrees that in the event ofdefault or failure to fully carry out the monetary obligations ofthis Settlement Agreement and Order, the FAA may sue to enforce collection ofthe monetary obligations contained in this Settlement Agreement and Order. 

### IV. Waiver ofRights and Enforcement ofthe Terms ofthis Agreement. 1. ThePANYNJ waives any and all rights to further notice ofthe allegations in Appendix A concerning violations ofl4 CFR part 139. 2. ThePANYNJ waives any right to appeal or otherwise seekjudicial or administrative review ofthis SettlementAgreement and Order. 3. The FAA reserves the right tojudicially enforce the terms and provisions ofthis Settlement Agreement and Orderunder49 U.S.C. § 46106. 4. TheFAA Associate Administrator for Airports, upon the written recommendation ofthe FAA Office ofAirpmt Safety and Standards and theFAAEastern Region Office ofAirports, will determine whether the PANYNJ has successfully completedto the satisfaction ofthe FAAthe corrective measures identified in Appendix C bythe dates indicated in that Appendix and any obligations in Appendix D. The recommendation will include the rationale underlying the determination and shall specify what, ifanything, the FAA believes the PANYNJ must do to complywith its obligations under this SettlementAgreement and Order. A copy will be provided to the PANYNJ, which will have 30 days from receipt to rebutthe recommendation to the Associate Administrator for Airports, who will make the final determination within 30 days ofreceipt ofthePANYNJ's rebuttal. This determination must be reasonable and based on the facts and merits ofthe pmties' respective positions. If at the end of30 days from the date ofthe final determination bythe Associate Administrator for Airports, the PANYNJhas not materially complied with the obligation at issue, the additional civil penalties set fmth in Section II, paragraph 2 ofthis Settlement Agreement and Order shall betriggered, and due and payable within 10 days, without f\nther notice, recourse, or appeal. 5. These terms shall constitute a full settlement and release ofany and all civil penalties that could have been sought from the PANYNJ as a result ofthe alleged violations in AppendixA and the following enforcement investigative repmts: JFK, Case No. 2012AGC10027; TEB, Case No. 2012AGC10028; LGA and EWR, Case No. 2012AGC10029; JFK, Case No. 2013EA800015; JFK, Case No. 2013EA800040, and EWR Case No. 2013EA800044. 6. This Settlement Agreement and Order is civil in nature and is not intended to, nor does it, address any possible criminal matters. Nordoes it preclude suspension or revocation ofany airport operating certificate(s) based on future evidence raising a reasonable question

5regarding the PANYNJ's qualification to hold such ce1iificate(s) or showing a lack of qualification to hold such certificate(s). 

### 7. As ofthe date ofthis Settlement Agreement and Order, the FAA has found no basis in the evidence gathered for a referral for any criminal action to any other agency. Further, the FAA is aware ofno evidence as ofthe date ofthis Settlement Agreement and Order that wouldwan·ant suspension or revocation ofthe PANYNJ's Airport Operating Certificates at JFK, EWR, LGA, or TEB. V. No Admissions. Execution ofthis Settlement Agreement and Order and payment ofthe agreed-upon amount of civil penalty to the FAA do not constitute a finding ofviolation bythe FAA or an admission of any wrongdoing by the P ANYNJ. In addition, this Settlement Agreement and Order is being entered into for settlement and compromise purposes only in accordance with Federal Rules of Evidence and applicable state rules. VI. Capacity to Execute Agreement. The representative ofeachparty signing this SettlementAgreement and Order warrants thathe or she is duly authorized to do so. VII. Photocopy/Facsimile/PDF. A photocopy, facsimile, or 

### PDF copy ofthis SettlementAgreement and Order shall have the same force and effect as an original ofthis Settlement Agreement and Order. VIII. No Individual Liability. No Commissioner, officer, agent or employeeofthe PANYNJ shall be charged personally by the FAAwith any liability orheld liable to the FAA under any term or condition ofthis Settlement Agreement and Order, orbecause ofits execution or attempted execution or because ofany breach or attempted or alleged breach thereof.

6

### IX. Modification ofAgreement. ThePANYNJ and the FAA agree that this Settlement Agreement and Order may be modified for cause, provided both parties consent to such modification.



### SO AGREED: FORTHE FEDERAL AVIATION ADMINISTRATION

Kathryn B. 

### Thomson ChiefCounsel Dated this 8"' ofApri12013.

FORTHEPORTAUTHORITY OF NEW YORKAND NEW JERSEY

PatrickFoye Executive Director Dated this 81" 

### day ofApri12013.

7

## APPENDIX A NONCOMPLIANCE WITH 14 

### CFR PART 139

A. JFK, FAA Case No. 2012AGC10027 !. The Port Authority ofNew York and New Jersey ("PANYNJ') operates and controls JFK. 2. As the certificate holder, the PANYNJ is required to comply with.all requirements of 14 CFR pa1i 139, including but not limited to the requirement under 14 CFR § 139.201(a) to comply with its Airpmt Certification Manual ("ACM") and the requirements under 14 CFR 

### § 139.319(i)(2) to ensure that "all rescue and firet1ghting personnel are properlytrained to perform their duties in a manner authorized by the Administrator." 3. As setforth in the ACM for JFK, at all times mentioned in this letter, the PANYNJ delegated to the Port Authority Police Department ("PAPD") the authority to train all airport rescue and firefighting ("ARFF") personnel at JFK and maintain the required ARFF training records for thosepersonnel. 4. TheACM for JFK incorporates the part 139 ARFF training curriculum requirements. 5. From December 5-12, 2011, the FAA conducted an annual certification safety inspection of JFK. 6. DuringtheDecember 2011 annual inspection, theFAAAirport Ce1tification Inspector requested that the PANYNJ provide ARFF training records for the 2011 calendaryear at JFK. 7. ThePANYNJ failed to furnish those records to the FAA during the inspection. 8. TheFAA provided the PANYNJ extensions oftime until April30, 2012, to make ARFF training records available to the FAA for inspection. 9. The PANYNJ failed to submitthe ARFF training records timely by April30, 2012. I0. The PANYNJ did not provide complete ARFF training records to the FAA until June 6, 2012. 11. On May 1, 2012, the FAA issued a letter ofinvestigation to the PANYNJ advising that despite its requests, it had notreceivedARFF training records for active personnel and that the lack oftraining records for active firefighters may indicate a violation ofthe ACM. 12. On May 9; 2012, the PANYNJ issued a Command Order directing that Tour Commanders "ensure that Officers and Sergeants assigned to ARFF Crash Fire Rescue posts are fully compliant with FAA 139 training requirements when reviewing and approving a roll call."

813. On each day during the time period from December I, 2010, through June 5, 2012, the PANYNJ failed to ensure that all rescue and firefighting personnel at JFK were trained to perform their duties in a manner authorized by the Administrator as set fmih in JFK's ACM. 14. From December I, 2010, through June 5, 2012, untrained rescue and firefighting personnel repeatedly performed active ARFF duty at JFK. 15. Notwithstandingthe May 9, 2012, Command Order, the PANYNJ allowed 77 police officers who were untrained to serve on 357 shifts during thetime period fi·om May 11, 2012 through June 5, 2012 at 

### JFK. 16. Based on the facts set forth in paragraphs A. 13 through 15 above, the PANYNJ failed to comply with the ACM for JFK as approved by the Administrator. By reason ofthe foregoing facts and circumstances, it appears that the PANYNJ violated the following sections ofthe Federal Aviation Regulations with regard to JFK:

a. 14 CFR 

### § 139.201(a), in that itfailedto comply with its ACM as approved by the Administrator. b. 14 CFR 

### § 139.301(a), in that it fuiled to furnish upon request by the Administrator records required to be maintained under part 139.

c. 14 CFR 

### § 139.319(i)(2), in that it failed to ensure that all rescue and firefighting personnel areproperlytrained to performtheir duties in a manner authorized by the Administrator.

9B. TEB, FAA Case No. 2012AGC10028 

### 1. ThePANYNJ operates and controls TEB. 2. As the certificate holder, the PANYNJ is required to comply with all requirements of 14 CFR pati 139, including but not limited to therequirement under 14 CFR 

### § 139.20l(a) to comply with its ACM and the requirements under 14 CFR § 139.319(i)(2) to ensure that "all rescue and firefighting personnel are properly trained to perform their duties in a manner authorized by the Administrator." 3. As set forth in the ACM for TEB, at all times mentioned in this letter, the PANYNJ delegated to the PAPD the authority totrain all ARFF personnel atTEB and maintain the required ARFF training records for those personnel. 4. The ACM for TEB incorporates the part 139 ARFF training curriculum requirements. 5. TheACM for TEB also incorporates thepmt 139 fueling personnel training requirements. 6. The ACM for TEB requires thatall fueling agents engaged in handling and dispensing fuel at the airport, shall submit written certification to airpmt management once every 12 months that the above training standards have been accomplished. The records shall be maintained for at least 12 months. 7. Though not required for an airport ofits size, on January 20, 2012, TEB voluntarily updated its ACM to incorporate pmt 139 initial driver training requirements at Section 329(1) ofthe ACM, which provides in relevantpart: All personnel that have unescmted access to the movement areas and safety areas are required to complete Teterboro Airpmt's Ground Vehicle Operations Training Program that is part ofthe initial and recurrent part 139 training program. 8. From June 12-14,2012,the FAA conducted an annual certification safety inspection ofTEB. 9. Duringthe time period from January 

### 1, 2011, through June 9, 2012, the PANYNJ failed to ensure for 39 days that all rescue and firefighting personnel at TEB weretrained to perform their duties inthe manner authorized bythe Administrator as set forth in TEB's ACM. 10. During the time period from January 1, 2011, through June 9, 2012, the PANYNJ failed to complete for 153 days initial driver training for rescue and firefighting personnel as set forth in TEB's ACM. 11. During the time period fi·om January 1, 2011, through June 9, 2012, the PANYNJ failed to ensure for 269 days that all employees atTEB who fuel aircraft, accept fuel shipments, or otherwise handle fuel received recurrent training every 24 consecutive calendar months in fire safety.

1012. Based on the facts set forth in paragraphs B.9 through 11 above, the PANYNJ failed to comply with the ACM for TEE as approved by the Administrator. By reason ofthe foregoing facts and circumstances, it appears that the PANYNJ violated the following sections ofthe Federal Aviation Regulations with regard to TEB:

a. 14 CFR 

### § 139.20l(a), in that it failed to comply with its ACM as approved by the Administrator. b. I 4 CFR § l39.319(i)(2), in that it failed to ensure that all rescue and firefighting personnel are properly trained to perform their duties in a manner authorized by the Administrator.

c. 14 CFR § 139.321(e)(2), in that it failed to ensure that all other employees who fuel aircraft, accept fuel shipments, or otherwise handle fuel mustreceive at least initial on**the~ob** training and recunent instruction every 24 consecutive calendar months in fire safety.

11C. LGA and EWR, FAA Case No. 2012AGC10029 

### I. The PANYNJ operates and controls LGA and EWR airports. 2. As the certificate holder, the PANYNJ is required to comply with all requirements of 14 CFR part 139, including but not limited to the requirement under 14 CFR 

### § 139.201(a) to comply with its ACM and the requirements under 14 CFR 

### § 139.319(i)(2) to ensure that "all rescue and firefighting personnel are properlytrained to perform their duties in a manner authorized by the Administrator." 3. As set forth in the ACM for LGA and EWR, respectively, at all times mentioned in this letter, the PANYNJ delegated to the PAPD the authority to train all ARFF personnel. 4. The ACM for LGA incorporates the part 139 ARFF training curriculum requirements. 5. The ACM for EWR incorporates the part 139 ARFF training curriculum requirements. 6. As a result ofthe annual inspection findings at JFK and TEB set forth in Section A. and B. above, the FAA conducted a special inspection ofARFF training, covering the time period from January 1, 2011, through June 9, 2012, at LGA, EWR, and Stewart International Airpmt, all ofwhich are airports under the operation and control ofthe PANYNJ. 7. TheFAAfound StewartInternational Airpmt in compliance with ARFF training requirements. 8. Dmingthe time period fi·om January 1, 2011, through June 9, 2012, the PANYNJ failed to ensure for 341 days that all rescue and firefighting personnel at LGA were trained to perform their duties in the manner authorized by the Administrator as setforth in LGA's ACM. 9. Duringthetimeperiod from January 1, 2011, throughJune 9, 2012, the PANYNJ failed to ensure for 378 days that all rescue and firefighting personnel atEWR weretrained to perform their duties in the manner authorized bythe Administrator as set forth in EWR's ACM. 10. Based on the facts set forth in paragraphs C. 8 above, the PANYNJ failed to comply with the ACM for LGA as approved by the Administrator. 11. Based on the facts set fmth in paragraphs C. 9 above, the PANYNJ failed to comply with the ACM for EWR as approved bythe Administrator.

12By reason ofthe foregoing facts and circumstances, it appears that the PANYNJ violated the following sections ofthe Federal Aviation Regulations with regard to LGA and EWR respectively:

a. 14 CFR § 139.20l(a), in that it failed to comply with its ACM as approved bythe Administrator. b. 14 CFR § 139.319(i)(2), in that it failed to ensure that all rescue and firefighting personnel are properly trained to perform their duties in a manner authorized by the Administrator.

13D. JFK,FAA CaseNo. 2013EA800015 1. The Port Authority ofNew York and New Jersey ("PANYNJ") operates and controls JFK. 2. As the certificate holder, the PANYNJ is required to comply with all requirements of 14 CFR part 139, including but not limited to the requirement under 14 CFR 

### § 139.20l(a) to comply with its Airport Certification Manual ("ACM") and the requirements under 14 CFR 

### § 139.3l9(i)(2) to ensurethat "all rescue and firefighting personnel are properly trained to perform their duties in a manner authorized by the Administrator." 3. The ACM for JFK incorporates the ARFF part 139 training curriculum requirements. 4. On December 3, 2012, the PANYNJ failed to ensure that all rescue and fii·efighting personnel at JFK were trained to perform their duties in a manner authorized bythe Administrator as set forth in JFK's ACM. 5. On December 3, 2012, an untrained rescue and firefighting individual performed active ARFF duty at JFK. 6. Based onthe facts setforth in paragraphs 4 and 5 above, the PANYNJ failed to comply with the ACM for JFK as approved by the Administrator. Byreason ofthe foregoing facts and circumstances, it appears that thePANYNJ violatedthe following sections oftheFederal AviationRegulations with regard to JFK:

a. 14 CFR 139.201(a), in that it failed to comply with its ACM as approved by the Administrator. b. 14 CFR 139.319(i)(2), in that itfailed to ensurethat all rescue andfirefighting personnel are properlytrainedto performtheir duties in a manner authorized by the Adminish·ator.

14E. JFK, FAA Case No. 2013EA800040 1. The Port Authority ofNew York and New Jersey ("PANYNJ") operates and controls JFK. 2. As the certificate holder, the PANYNJ is required to comply with all requirements of 14 CPR part 139, including but not limited to the requirement under 14 CFR 

### § 139.201(a) to comply with its Airport Certification Manual ("ACM'') and the requirements under 14 CFR § 139.319(i)(2) to ensure that "all rescue and firefighting personnel are properlytrained to perform their duties in a manner authorized bythe Administrator." 3. TheACM for JFK incorporates the ARFFpart 139 training curriculum requirements. 4. On January 2 and 3, 2013, the PANYNJ failed to ensure that all rescue and firefighting personnel at JFK were trainedto perform their duties in a manner authorized by the Administrator as set forth in JFK's ACM. 5. On January 2 and 3, 2013, an untrained rescue and firefighting individual performed active ARFF duty atJFK. 6. Basedon the facts set forth in paragraphs 4 and 5 above, thePANYNJ failed to comply with the ACM for JFK as approvedby the Administrator. Byreason ofthe foregoing facts and circumstances, it appears that the PANYNJ violatedthe following sections oftheFederal AviationRegulations with regard to JFK:

a. 14 CFR 139.201(a), in that it failed to complywith its ACM as approved bythe Administrator. b. 14 CFR 139.319(i)(2), in that

### it failed to ensure that all rescue and firefighting personnel are properly trained to perform their duties in a manner authorized bythe Administrator.

15F. EWR Case No. 2013EA800044 I. ThePANYNJ operates and controls EWR airport. 2. As the certificate holder, the PANYNJ is required to comply with all requirements of 14 CFR part 139, including but not limited to the requirement under 14 CFR § 139.20l(a) to comply with its Airport Certification Manual ("ACM") and the requirements under 14 CFR 

### § 139.303(c) to ensure that it trains "all personnel who access movement areas and safety areas and perfmm duties in compliance with therequirements ofthe ACM and the requirements of 14 CFRpart 139. 3. TheACM for EWR incorporates requirements for wildlife hazard managementtraining in accordance with 14 CFR § 139.337. 4. During the time period from March 2011 through August 2012, the PANYNJ failed to ensure that four airport personnel received required recurrent training on wildlife hazard management in accordance with the EWRACM. 5. Duringthe time period from March 2011 through August 2012, the four airport personnel referenced in paragraph 4 worked a total ofseven shifts when theyhad not received the required recurrent training on wildlife hazard management. 6. Based onthe facts set forth in paragraphs 4 and 5 above, the PANYNJ failed to comply with the ACM for EWRas approved by theAdministrator. By reason ofthe foregoing facts and circumstances, it appears that the PANYNJ violatedthe following sections oftheFederal Aviation Regulations with regard to EWR:

a. 14 CFR 

### § 139.20l(a), inthat it failed to complywith its ACM as approved bythe Administrator. b. 14 CFR 

### § 139.303(c), in that it failed to train all personnel who access movement areas and safety areas and perform duties in compliance with the requirements ofits ACM and 14 CFRpart 139.

16

## APPENDIXB Corrective Measures to Remediate Systemic ARFFTraining Noncompliance- Completed 

### 1. The PANYNJ may not delegate ARFF responsibilities under 14 CFR part 139 to the Police Depat1ment, and within 30 days ofthe date ofthis Settlement Agreement and Order, the Airport Certification Manuals for JFK, EWR, LGA, and TEB ("ACMs") must be amended to reflect this prohibition. COMPLETED ON: November 16, 2012. 2. Within 30 days ofthe date ofthis SettlementAgreement and Order, the PANYNJ agrees, in a manner approved by the Administrator, to amend its ACMs, to include the following:

a. An organizational chart reflecting the structural changes in this Appendix. b. The process ofhow the PANYNJ maintains and oversees the requirements of 14 CFR part 139 atJFK, EWR, LOA, and TEB, including the maintenance ofARFF training records through the PANYNJ Department ofAviation.

c. A description ofARFF operations at JFK, EWR, LOA, and TEB, including revised initial and recurrent training program, procedures, shift assignments, Department ofAviation oversight, and personnel trainingrecords management. COMPLETED ON: November 16,2012. 3. Within 30 days ofthe date ofthis SettlementAgreement and Order, thePANYNJ agrees, in a manner approved by the Administrator, that the PANYNJ's Department ofAviation will possess all authority to develop, implement, maintain, and overseepolicies, training, operations, and recordkeeping for all 14 CFR part 139 activities, including ARFF. The PANYNJwill:

a. Create a centralized, quality control manager who reports to the Director ofthe Depat1ment ofAviation responsible for 14 CFRpm1139 oversight and compliance atall airports operated and controlled bythe PANYNJ. COMPLETED ON: November 16, 2012. b. Develop and add to the ACMs a procedure for ensuring dailythat all records, including ARFF shift assignments, meet both the PANYNJ's and 14 CFRpart 139 requirements. COMPLETED 

### ON: November 16,2012. 4. Within 30 days ofthe date ofthis SettlementAgreementand Order, the PANYNJ agrees to amend its ACMs to ensure that any changes made to the qualified ARFF roster will be sent to the Department ofAviation to confirm compliancewith 14 CFRpart 139 within 24 hours of any changes. COMPLETED ON: November 16,2012.175. On or before March 31, 2013, the PANYNJ will submit changes to its ACMs to provide that it must conduct:

a. Monthly internal audits ofARFF training and shift assignments to ensure that no ARFF personnel were assigned to a shift who did not meet 14 CFR part 139 requirements. Internal audits may not be conducted by the same personnel assigned to daily quality control review; and b. Annual external audits ofARFF training and shift assignments to ensure that no ARFF personnel were assigned to a shift who did not meet 14 CFR part 139 requirements. COMPLETED ON: March 28,2013.

18

## APPENDIXC Corrective Measures to Remediate Systemic ARFF Training NoncomplianceObligations and Milestones to be Completed



### 1. On or before October 31, 2013, the PANYNJ will establish and implement a redundant credentialing system that will be fully operational and designed to prohibit the assignment of unqualified ARFF personnel (those who do not have required training) to ARFF shifts and will submit a change to incorporate the automated credentialing system in the ACM. 2. On or before March 31, 2014, the PANYNJ will establish a stand-alone ARFF Cadre, separate from the PortAuthority Police Department, under the authority ofthe PANYNJ for which the criteria, requirements, and terms ofestablishment are documented in the ACM for each airport. The terms ofestablishment and requirements for the Port Authority ARFF Cadre, which must be included in the ACMs, are the following:

a. The terms governingthe establishment oftheARFF Cadre and its full operation cannot be modified without the consent oftheFAA. b. ARFF Cadre Firefighters will perform only ARFF duties and no collateral duties as Police Officers, except for the following: 

### i. On days they are not scheduled to perfmm ARFF duties, ARFF Cadre Firefighters may attend only firearms training and any othertrainingrequired under State law up to 36 hours to maintain their status as sworn Police Officers. ii. ARFF CadreFirefighters are prohibited fi·om performing non-ARFF duties, including police duties, except to the extentpermitted under 14 CFR 

### § 139.113.

c. ARFF Cadre Firefighters will not perform overtime for police duties or any non-ARFF function. d. The PANYNJ intends to recruit ARFF CadreFirefighters fi·om the current and future pools oftrained and documented P APD Police Officers. Any additions to the ARFF Cadre will be subjectto the same limitations on the ARFF Cadre as set fmih in Appendix C ofthis SettlementAgreement and Order.

e. ARFF Cadre Firefighters will commit to a minimum offive years ofservice to the ARFF Cadre, except for 1) retirement, 2) voluntary or involuntary termination from PANYNJ service, or 3) opportunity for promotion to another rank. f. The ARFF Cadre will report to the Depatiment ofAviation. In addition, the ARFF Fire Chiefwill report to the ChiefSecurity Officer and will oversee ARFF technical standards as reflected in AppendixD.

193. On or before September 30, 2013, the ChiefSecurity Officer will be initially trained in 14 CFR part 139 via industry-related courses such as Basic Airport Safety and Operations Specialist School ("ASOS"). · 4. On orbefore March 31, 2014, the PANYNJ will accomplish the following milestones with respect to the ARFF Cadre:

a. Understanding thatthe goal is to retain the ARFF Fire Chiefas soon as is practicable, the ARFF Fire Chiefwill be hired and on duty and present atthe PANYNJ offices or facilities. b. Understanding thatthe goal is to retain the ARFF Facility Captains as soon as is practicable, the ARFF Facility Captains will be hired and on duty and present at their respective facility.

c. The PmtAuthority will selectthe ARFF Cadre personnel, and they will be on dnty and present attheir respective facility. d. ThePortAuthority will implement a 12-honr shift duration for the stand-alone ARFF Cadre. 5. On orbefore October 31, 2013, the PANYNJ will submitto the FAA for its review draft updated ACMs and AEPs that incorporatethenewARFF Cadre, how it will function, and howthe ARFF Cadre will respond to airport emergencies. AppendixD to this Settlement Agreement and Order sets fmth an overview fur those ARFF functions, the ARFF organizational chart, and a description ofkey ARFF managementpositions. 6. On orbefore March 1, 2014, the PANYNJ will submitupdated ACMs andAEPs acceptable to the FAAthat incorporatethe new ARFF Cadre, how itwill function, andhow the ARFF Cadrewill respond to airport emergencies. 7. All current and future ARFF Cadre personnel will receive National FireProtection Association (NFPA) training or its equivalent at a level above therequirements set forth in 14 CFR 

### § 139.319. This training is in addition to the required 14 CFRpart 139 ARFF training. Thistraining will be developed and completed in accordance with thefollowing milestones:

a. On orbefore December 31, 2013, the PANYNJ will submit to the FAA for approval a training curriculum thatwill provide for at least 75 hours ofinitial, and 40 hours of annual recurrent, coursework and skill training from a combination ofFirefighter I and Firefighter II training as defined by the NFPA. b. On orbefore October 31, 2014, all ARFF Cadre personnel onboard as ofMarch 31, 2014, will complete 75 hours ofinitial coursework and training in accordance withthe curriculum approved by the FAAunderAppendix C, subparagraph 8.a. ofthis Settlement Agreement and Order. Each subsequent year following completion ofthe 75 hours of

20coursework and skill training, ARFF Cadre personnel will complete at least40 hours of recurrent coursework and skill training in accordance with the curriculum approved by the FAA under Appendix C, subparagraph 8.a. ofthis Settlement Agreement and Order. Any ARFF Cadrepersonnel who can demonstrate to the satisfaction ofthe FAA that they have successfully completed NFPA Firefighter

## ·n training or its equivalent are exempt fi·om the initial75 hours oftraining agreed upon by the PANYNJ and the FAA.

c. Individuals added to the ARFF Cadre after March 31,2014, must complete the 75 hours ofinitial training within a year oftheir start date with the ARFF Cadre and the 40 hours ofrecurrent training each subsequent year. 8. On or before March 1, 2014, the PANYNJ will make a good faith effort to submitto the FAA for approval updates to all mutual aid agreements, as necessary, to incorporate and reflect the new ARFF Cadre functions and responsibilities. 9. On or before January 1, 2014, the PANYNJ will submitto the FAA a plan acceptable to the FAA for ensuring safety onthe airfield and the performance ofall safety-related functions as. they relate to the PANYNJmutual aid partners, to the extentthemutual aid agreements cannot be updated byMarch 1, 2014. 10. Each mutual aid agreement is subject to approval bythe FAA in accordance with pmt 139 of the Federal Aviation Regulations. 11. Within 30 days ofthe date ofthe signing ofthis SettlementAgreement and Order, the PANYNJ will submitto the FAA aplan for how thePANYNJwill meet the obligations and implementation dates in Appendix C. Beginning 30 days from the date ofthe signing ofthis SettlementAgreement and Order, the PANYNJ and the FAA agree to have monthly status meetings where the PANYNJ will provide the FAA with status repmts on its completion of this plan to accomplish the obligations in Appendix C.

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## APPENDIXD Overview ofSeparate ARFF Cadrefor the Port Authority ofNew York aud New Jersey

The Port Authority will manage all part 139 requirements through the Depattment ofAviation, including Ail-craft Rescue and Firefighting (ARFF). ByMarch 31, 2014, the Port Authority will establish a separate ARFF Cadre thatreports to the Department ofAviation. Newark International (EWR)/Teterboro (TEB), John F. Kennedy International (JFK), and LaGuardia Airport (LGA) (the "Facility" or collectively, the "Facilities") will each have its own ARFF Captain, who reports to his or herrespective Manager ofOperations. The Department of Defense (DOD) provides all ARFF services to Stewatt International (SWF). ARFF Captains are the Commanding Officers ofthe ARFF Cadre at the Facilities. The ARFF Captains are responsible for meeting part 139 ARFF requirements. These ARFF Captains report directly to the Managers ofAirport Operations. ARFF personnel in theARFF Cadre report to the ARFF Captain at their respective Facility. They will be selected and assigned in accordance with the Collective Bargaining Agreement (CBA). All hiring, promotion and discipline will be handled in accordance with the CBA. The ARFF Captain, who is a member ofthe Department ofAviation, will initiate disciplinary action. The Fire Chief, who reports to the ChiefSecurity Officer (CSO), is a technical expert and is responsible for personnel matters in accordance with the CBA. TheFire Chiefhas overall responsibility for developing and delivering standardized ARFF training in coordination withthe General Manager ofAirpmt Cettification and Safety. TheARFFFire Chiefwill oversee the ARFF Training Academy operation. Additionally, the Fire Chiefwill work closely with the General Manager ofAirport Certification and Safety, the Airpmt General Managers, and the FacilityARFF Captainsto ensure thatpart 139 ARFF requirements are met. The CSO is a direct report to the Executive Director. The CSO is responsible for the security and safety ofall PmtAuthority facilities and oversees all' security and safety operations to include the Port Authority Public SafetyDepartment, theARFF Training Academy, andthe Security Depattment. TheFire Chief, the ChiefofthePortAuthority Police, and the Director of the Security Department, have the same positional authority and report to the CSO.

22ARFFPosition Descriptions (See Appendix E) ChiefSecurity Officer (CSO) The ChiefSecurity Officer (CSO), who reports to the Executive Director, is responsible for the security and public safety ofall Facilities. The CSO oversees all securityand public safety operations to include the Port Authority Public Safety Department, the Security Department, and the ARFF Fire Chief. The CSO will also oversee the development ofstandardized policies and procedures related to the security and public safety ofPort Authority assets. The CSO is responsible for assuring thattraining is available and conducted to meet Port Authority personnel requirements for the areas mentioned above, including ARFF Cadre personnel at each Facility. Fire Chief TheFire Chiefrepmts to the ChiefSecurity Officer and is responsible for ARFF personnel matters in accordance with the CBA. The Fire Chiefsupervises the ARFF Training Captain and is the technical ARFF subject matter expertfor the Pmt Authority. The Fire Chiefcoordinates with the General Manager ofAirport Certification and Safety and ARFF Fire Captains to develop and deliver standardized ARFF training, technical standards, and standard operating procedures to ensure that part 139 ARFF requirements are met. The PANYNJ will develop and use minimum qualification standards acceptable to the FAA for the ARFF Cadre Fire Chief. Captain oftheARFF TrainingAcademy The Captain ofthe ARFF Training Academy reports to the Fire Chiefand will develop and implement the ARFF training curriculum to include initial and recurrent training and airportspecific training programs and materials. The Captain ofthe ARFF Training Academy will be responsible for providing completed training records to ARFF Captains atthe facilities. Director ofAviation TheDirector ofAviation has overall authority and responsibility for all PmtAuthority airports and is responsible for the airports' compliance with all aspects ofpart 

### 139 including ARFF. The Department ofAviation is responsible for maintaining official training records for the ARFF Cadre at the airport and in accordance with each airport's Airport Certification Manual. General Manager, Airport Certification and Safety The General Manager ofAirport Certification and Safety reports to theDirector ofAviation. The General Manager ofAirport Cettification and Safety oversees compliance with part 139 ce1tification and safety standards at all PmtAuthority airports. TI1e General Manager ofAirport Certification and Safety acts as a principal liaison to the FAAfor airpmt certification matters and coordinates with the Fire ChiefonARFF training. Airport General Manager The General Manager reports to the Director ofAviation and has overall responsibility for the Airportas delegated bythe Director ofAviation. This includes authority and responsibility for part 139 compliance. In addition, the General Manager has budgetary authorityto allocate resources necessary to implement and operate the ARFF Cadre.

23Manager, Airport Operations The Manager ofAirport Operations reports to the General Manager for overseeing all part 139 regulatory requirements including ARFF. The ARFF Captain is a direct report. ARFF Captain The ARFF Captain is the Commanding Officer ofthe ARFF Cadre at the facility and supervises ARFF Personuel. He or she reports directly to the Manager, Airport Operations. The ARFF Captain is responsible for ensuring that only qualified and trained personnel are assigned to ARFF positions. TheARFF Captain implements part 139 ARFF requirements at each Facility. The ARFF Captain coordinates with the Fire Chiefon training, personnel, and technical standards at their Facility.

24Ir-ChiefSecurityOfficerDIChiefofChiefofFireChiefPoliceSecurity''''Captain''ARFF'''Training''''''!ARFFCaptainAPPENDIXEARFFOrganizationalChartExecutiveDirectorGeneralManager,-----------AirportCertification&SafetyILandside25IDirectorofAviation_I_AirportGeneralManagerDeputyGeneralManagerIManagerAirportOperationsIAirsideSecurity