Story ID: 
Industry Embraces FAA's New 'Compliance Philosophy'
By: Kerry Lynch
Caption: Industry believes new approach will foster collaboration, data sharing and safety.
Word Count: 1258
As business aviation and airline ops reach ever higher levels of safety, the FAA and industry are looking at the agency’s recently rolled out “compliance philosophy” as the next step forward in improving collaboration and further reducing the number of accidents.

The new policy, described last month by FAA Administrator Michael Huerta during a Flight Safety Foundation breakfast, shifts the agency’s approach from enforcement after unintentional violations to providing training and other remediation to ensure compliance. The policy relies on use of data to enable inspectors to focus on areas that need the most attention.

The idea, Huerta said, is to foster an open exchange of data between the FAA and industry. “Mutual cooperation and mutual trust is very, very difficult to achieve,” he said. “We don’t want operators who might inadvertently make a mistake to hide it because they fear being punished. If there is a failing, whether human or mechanical, we need to know about it, to learn from it and make the changes necessary to prevent it from happening again.” The philosophy is about finding and fixing the problem, and then making sure it stays fixed, he added.
Empowering Inspectors
The FAA released an order in June that implemented the policy, and the agency has spent considerable time working with its inspectors on the changed approach, Huerta said. He noted that this is “a significant cultural change for any agency. We are talking about this a lot with the inspectors.” The inspectors are more empowered to exercise judgment on using a compliance approach, but Huerta also stressed that the inspectors are given a framework and they know that they have resources to fall back on when they need them.

“We are using data, not calendar dates, to determine when and where to conduct surveillance and inspections,” Huerta said, adding, “We are emphasizing that we expect our employees to use critical thinking, which is essential to successful implementation of the compliance philosophy.”

Huerta noted that the agency previously had heard concerns from inspectors that they felt constrained by the rigidity of the former policies. “We need flexibility to use data,” he said.
Applying Airline Model
Huerta called the policy the next evolution in safety. After a spate of accidents in the 1980s and 1990s, the airline industry set a goal of reducing fatal accidents by 80 percent, a goal that drew skepticism from many in the industry. But by turning to the data-driven approach of the Commercial Aviation Safety Team, the airline industry has reduced fatal accidents by 83 percent over 10 years.

“The system has gotten so safe, a lot of people don’t think about it. But we in aviation think about it every day,” Huerta said. To reach the next level, he said, the industry must look at trends to identify risk. The agency needs to “assess shades of gray, and that’s much more complicated.”

Last summer, the Administrator had told an audience during the Experimental Aircraft Association’s AirVenture the new philosophy “is a big cultural change, not just for us at the FAA but across the entire industry.” Huerta emphasized more recently that “industry is committed, and this is part of the evolution. Fifteen years ago the FAA couldn’t just approach an operator and say, ‘Give me all your data,’ but the industry now is working to collect more data to be able to share and pool information to identify trends.”

Billy Nolen, senior v-p of safety, security and operations for Airlines for America, agreed. He noted that people who drive fast on the roads would not stop and tell local police that they had just been speeding. But in aviation, “that is what we are asking you to do,” Nolan said. The industry, however, recognizes that an informed culture creates a “really rich, strong safety culture.”

As for the policy shift, Nolen said, “we’re thrilled” the FAA has taken that approach. “We’ve come a long way,” he said. He acknowledged that the use of the philosophy can be subject to interpretation, and work still needs to be done to “calibrate” the approach.

But the new compliance philosophy works in tandem with a push by airlines to employ a “just culture” that encourages reporting of issues. This is important because a review of tens of thousands of reports reveals that minor issues account for the overwhelming majority. But those minor issues could suggest a trend. A “just culture” enables the industry to train for the unexpected, by fostering the development of a large volume of data that people industry-wide can use to assess trends, he said. “We’re not there yet, but that’s what we have to do.”

Mark Millam, vice president of technical for the Flight Safety Foundation, echoed that sentiment, saying he was pleased with Huerta’s remarks because they suggest that the agency is encouraging data-sharing and focusing on risk. “We are learning more and more through voluntary safety reporting,” he said.

While much of the focus has been on the airlines, Huerta stressed that the FAA is implementing this policy in its dealings with all facets of the industry: from charter and repair stations to manufacturers. In fact, the Administrator had already engaged the general aviation community through his comments at AirVenture in July. But he also noted that it will be implemented only where possible, and not all operations will be treated the same.

The change comes as the business and general aviation communities also turn to data sharing based on lessons learned from the commercial world. “[The National Air Transportation Association] applauds the FAA’s recently announced decision to shift its oversight emphasis from enforcement action to safety compliance. The value of improving safety performance through voluntary safety reporting systems is now widely recognized throughout industry,” said NATA president and CEO Thomas Hendricks. “The effectiveness of this change requires an open and transparent exchange of information and data between the FAA and the aviation community. NATA supports the initiative and will continue to work with the agency to realize the full benefits of this important policy change.”

Hendricks noted operators have long believed a focus on compliance is more effective than relying solely on enforcement. “Initiatives like the Air Charter Safety Foundation’s Aviation Safety Action Program are strengthened by the agency’s commitment to this new path,” Hendricks said.

While the FAA is giving inspectors more leeway to exercise judgment, NATA noted that the agency has provided detailed guidance to ensure it is applied consistently. The association plans to monitor the application of this judgment.  Hendricks acknowledged that the transition could take years to mature, but he noted that “Administrator Huerta’s personal advocacy sends a strong message of agency commitment to this important policy change.”

While the emphasis is on compliance, Huerta cautions that this is not a get-out-jail-free card. “That doesn’t mean we’re going to go easy on compliance, or that we’re ignoring minor issues, or making anyone feel they have a free pass,” he said. “We still have zero tolerance for intentional reckless behavior or inappropriate risk taking. Enforcement is, and always will be, one of the tools we will use to ensure compliance.”

The agency will enforce in cases of willful or flagrant violations, or for refusal to cooperate in corrective action, he said.