Federal Aviation Federal Aviation Administration Administration Office of Hazardous Materials Safety Modal Briefing on Compliance and Enforcement Activities Presented to: COSTHA Annual Conference “Value of Compliance” April 27 – 29, 2015 By: Angel Collaku, Compliance and Enforcement Division Manager for FAA’s Hazardous Materials Safety Program Telephone: (202) 267-9397 Email: angel.collaku@faa.gov Date: April 29, 2015
TOPICS • FAA’s Hazardous Materials Safety Program Presentation of Data • The FAA’s HM Voluntary Disclosure Reporting Program • Anatomy of the Evolving Industry Standard Over the Carriage of Lithium Batteries on Passenger Aircraft • CY 2014 Incident Reports Federal Aviation 2 Administration
Enforcement Data From FY 2004 – Present Federal Aviation 3 Administration
HMSP Program Data FAA Enforcement History as % of Total FAA Cases Opened FY2004 - FY2014 ARP 100% AIR 90% 80% AAM 70% (Drug 60% and Medical) 50% AFS 40% ASH- 30% Security 20% ASH- 10% HMSP 0% FY14 FY04 FY05 FY06 FY07 FY08 FY09 FY10 FY11 FY12 FY13 Federal Aviation 4 Administration
HMSP Program Data FY 2014 5.6% 67.9% 14.7% AIR, 4.9% 6.9% Federal Aviation 5 Administration
HMSP Program Data FAA HAZMAT Enforcement History, FY2005-FY2014 Cases FY05 FY06 FY07 FY08 FY09 FY10 FY11 FY12 FY13 FY14 # HM Cases 5,620 2,436 2,276 2,541 2,736 2,429 2,384 1,914 2076 1820 Opened # HM CP Cases 655 454 421 370 479 440 464 440 430 260 Closed Amount Collected from HM 6.82 6.40 5.84 5.19 10.59 5.47 6.23 7.82 7.04 3.69 Cases ($M) Federal Aviation 6 Administration
HMSP Program Data Inspection Activities, FY2010-FY2014 FISCAL AIR OFF- FREIGHT SHIPPER REPAIR TOTAL YEAR CARRIER AIRPORT FORWARDER STATION FY2010 1,813 152 214 5,681 383 8,243 FY2011 2,329 189 536 5,185 181 8,420 FY2012 3,221 302 291 5,026 132 8,972 FY2013 2,355* 467 279 3,980 717 7,798* FY2014 2,048* 344 459 3400 240 6491* *FY2014 Air Carrier Activities include inspections conducted under ASH’s Hazardous Materials Safety Program’s Safety Management System (SMS) Federal Aviation 7 Administration
HMSP Program Data % of Opened Hazmat Cases by Type of Operation, FY2008-FY2014 FOREIGN FISCAL REPAIR AIR SHIPPER PASSENGER AIR OTHER* YEAR STATION CARRIER CARRIER 62.9% 23.9% 0.5% 10.1% 2.0% 0.7% FY2008 58.1% 29.1% 0.2% 10.4% 1.4% 0.8% FY2009 64.3% 22.8% 0.2% 10.4% 1.4% 1.0% FY2010 66.4% 22.8% 0.4% 7.9% 1.6% 0.9% FY2011 67.5% 20.1% 0.4% 9.9% 1.3% 0.8% FY2012 60.2% 26.0% 0.7% 9.8% 2.3% 1.0% FY2013 68.1% 19.6% 0.2% 9.3% 2.1% 0.7% FY2014 * Other includes military, persona/business, schools, manufacturers, utilities, and other operations Federal Aviation 8 Administration
FAA’s Hazardous Materials Voluntary Disclosure Reporting Program Federal Aviation 9 Administration
FAA’s Aviation -Related Voluntary Reporting Programs • The FAA is a leader in the use of voluntary disclosure programs: – ASIAS – Aviation Safety Information Analysis and Sharing – ASAP – Aviation Safety Action Program – ATSAP – Air Traffic Safety Action Program – T-SAP – Technical Operations Safety Action Program – FOQA – Flight Operational Quality Assurance Program – LOSA – Line Operations Safety Audit – VDRP – Voluntary Disclosure Reporting Program Federal Aviation 10 Administration
FAA’s Hazardous Materials Voluntary Disclosure Reporting Program • FAA’s HM VDR Program – The basic facts: – Implemented in 2006 – Applies to functions regulated under part 175 – Approximately 120 submissions made under the program – Submissions made to FAA field operations for handling – Comprehensive fix is intended outcome – No civil penalty Federal Aviation 11 Administration
FAA’s Hazardous Materials Voluntary Disclosure Reporting Program • FAA’s HM VDR Program – How are we doing? – DOT’s Inspector General (IG) recently audited the program (audit report issued in March 2015) – The IG was critical of the program and made nine recommendations – We immediately made a policy change to address concerns, which the IG was pleased with and noted so in its final report – We are revising the FAA Advisory Circular 121-37 to make further changes Federal Aviation 12 Administration
FAA’s Hazardous Materials Voluntary Disclosure Reporting Program • FAA’s HM VDR Program – What are our next steps? – The IG recommendations addressed the following areas: • More uniform and standard application of procedures across the nation • Providing Headquarters with greater visibility to achieve such standardization • More thorough analysis and documentation of comprehensive fixes and carrier self-audits • Verification of satisfactory completion of comprehensive fixes by the FAA • Providing more training to the individuals responsible for operations under the policy • Using data from the VDR program with other data to augment ability to identify trends of non-compliance Federal Aviation 13 Administration
FAA’s Hazardous Materials Voluntary Disclosure Reporting Program • FAA’s HM VDR Program – Next steps? – Revising Advisory Circular 121- 32, titled “FAA Hazardous Materials Voluntary Disclosure Reporting Program.” Expect crystal clarity about : – what is covered, – what is not, – when “acceptance” is no longer possible and any warning to carrier, – what is expected from a comprehensive fix, – when we would consider re-opening a closed issue • FAA’s HM VDR Program – Other changes? – Other changes will include: • Automating our system – either using the AFS VDR application or developing our own • Potentially allowing VDR submissions to address ALL HMR and HM-based FAR violations, including COMAT Federal Aviation 14 Administration
Anatomy of the Evolving Industry Standard Over the Carriage of Lithium Batteries on Passenger Aircraft Federal Aviation 15 Administration
Real-Time Changes Involving the Carriage of Lithium Batteries • Last year’s presentation: – Focus on the “parade of horribles” • FAA Tech Center studies • UPS 006 // UPS 1307 // Asiana South Korea Sea • Multiple battery Incidents on the FAA’s Battery Incident List • Installed battery problems • The United States Congress tying of the DOT and FAA’s hands… – I said that the environment was bleak and wondered what would happen • What Has Happened Since Then? Federal Aviation 16 Administration
Real-Time Changes Involving the Carriage of Lithium Batteries • Factors Influencing the Discourse – Additional studies demonstrating the risks of batteries and failures involving mitigation strategies – Greater public recognition of and attention to the problems associated with lithium batteries transported in the air mode – Recognition by aircraft manufacturers that airframes are neither designed nor certificated to accommodate batteries that are: burning / heating / generating explosive gasses / releasing pressure • Industry’s Response … A Changing Industry Standard? – Attempts to hold the line ??? • The battery industry asserts that the threat is not as great as what some make it to be • Effect of IATA’s December 2014 “Mitigation Strategies” paper – But in the end . . . we walk alone • Every company has a legal obligation to look at its own risk profile and make decisions based on all available information that reasonably impacts operations…. • Business entities are constantly assessing and re-assessing their exposure to risk, including safety risk through due diligence reviews Federal Aviation 17 Administration
Real-Time Changes Involving the Carriage of Lithium Batteries Due Diligence Requires Reasonable Consideration of: – Potential Events: Almost nothing worse than air carrier having its aircraft involved in a catastrophic accident with fatalities – Situation worse when: negligence (domestic) or accident resulting from … (international ) – Significant Repercussions: • Reputational harm • Financial harm Federal Aviation 18 Administration
Real-Time Changes Involving the Carriage of Lithium Batteries Have Lithium Battery Concerns Reached Critical Mass in the Passenger Carriage Environment? Cargo? – Information pointing to lithium batteries as a greater threat than captured in regulations appears to have reached critical mass – Government standards for lithium battery transportation capped by Congress…no discretion to raise ”minimum” govt. standards – Industry standard becomes arguably even more important factor when government shuts off the regulatory spigot – Apparent that the growing influence of company lawyers, risk analysis personnel has begun to outweigh the business side – Airframe manufacturers /// Insurer issues – Evolving industry standard for passenger carriers? Information presented at PHMSA’s public meeting that 21 carriers have made changes to lithium battery carriage policies, including section II implications for the following U.S. carriers: Delta United American Federal Aviation 19 Administration
Reportable Incidents Federal Aviation 20 Administration
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