Aviation Safety: Improved Data Quality and Analysis Capabilities Are Needed as FAA Plans a Risk-Based Approach to Safety Oversight Page: 2 of 45
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' GAO
Accountability Integrity* Reliability
Highlights
Highlights of GAO-10-414, a report to
congressional requesters.
Why GAO Did This Study
To improve aviation safety, the
Federal Aviation Administration
(FAA) plans to have in place the
initial capabilities of a risk-based
approach to safety oversight,
known as a safety management
system (SMS), by the end of fiscal
year 2010. FAA is also
implementing new procedures and
technologies to enhance the safety,
capacity, and efficiency of the
national airspace system. Data are
central to SMS and FAA's ability to
test the impact of these changes on
safety.
This congressionally requested
report addresses FAA's (1) current
and planned use of data to oversee
aviation safety, (2) access to data
for monitoring aviation safety and
the safety performance of various
industry sectors, and (3) efforts to
help ensure data quality. To
perform this work, GAO reviewed
13 databases that contain data on
key aviation safety events, assessed
data quality controls for the
databases, and interviewed agency
and industry officials, as well as 10
experts in aviation safety and data.
GAO recommends efforts to
improve FAA's capability to use
data for oversight, including
developing a comprehensive data
management plan; identifying and,
to the extent feasible, addressing
reasons for nonparticipation in
voluntary reporting programs; and
applying data quality controls to
more databases, as appropriate.
The agency agreed to consider
GAO's recommendations.
View GAO-10-414 or key components.
For more information, contact Gerald L.
Dillingham, Ph.D., at (202) 512-2834 or
dillinghamg @gao.gov.AVIATION SAFETY
Improved Data Quality and Analysis Capabilities Are
Needed as FAA Plans a Risk-Based Approach to
Safety OversightWhat GAO Found
FAA analyzes data on past safety events, such as engine failures, to prevent
their recurrence and plans to use data to support a more proactive approach
to managing risk. For example, weather and air traffic control data helped
identify factors associated with injuries from turbulence. As part of SMS, FAA
plans to analyze data proactively to support a risk-based approach to safety
oversight. For example, FAA plans to use data to model the impact of
proposed changes in procedures and technologies on the safety of the
national airspace system. Experts said that identifying risks is necessary to
maintain the current level of safety and possibly achieve a higher level of
safety in the future. Because SMS relies on data to identify emerging risks,
FAA has an effort under way to enhance its access to industry data and
improve its capability for automated analysis of multiple databases.
According to FAA, this effort will allow for more efficient safety analyses.
FAA is also developing a plan for managing data under SMS, but the plan does
not fully address data, analysis, or staffing requirements. Without such
requirements, the plan will not provide timely guidance for implementing
SMS.
FAA has access to some voluntarily reported data, which are important for
SMS, but not all carriers and aviation personnel participate in FAA's voluntary
reporting programs. Such data are gathered electronically by equipment on
aircraft or reported by aviation personnel or carriers following noncriminal,
unintentional violations or safety events. Industry personnel have some
incentives to participate in voluntary programs, such as promised immunity
from disciplinary action, but concerns about sanctions and the cost of
equipment have deterred full participation, especially by smaller carriers.
While FAA has some information on reasons for nonparticipation and has
taken some steps to promote greater participation, it lacks carrier-specific
information on why air carriers are not participating. FAA also lacks data to
assess the safety performance of certain industry sectors, such as air cargo
and air ambulance operators. GAO has previously made recommendations to
address this lack of data. FAA concurred with GAO's prior recommendations
and is taking actions to address them.
To help ensure data quality-that is, data that are reliable (complete and
accurate) and valid (measure what is intended)-FAA has implemented a
number of data quality controls that are consistent with GAO's standards for
data quality, but some weaknesses exit. For example, all the databases GAO
reviewed had at least some controls in place to ensure that erroneous data are
identified, reported, and corrected. However, about half the databases lack an
important control-managers do not review the data prior to entry into the
data system. FAA is taking steps to address its data weaknesses, but
vulnerabilities remain, potentially limiting the usefulness of FAA's data for the
safety analyses planned to support SMS.United States Government Accountability Office
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United States. Government Accountability Office. Aviation Safety: Improved Data Quality and Analysis Capabilities Are Needed as FAA Plans a Risk-Based Approach to Safety Oversight, report, May 6, 2010; Washington D.C.. (https://digital.library.unt.edu/ark:/67531/metadc299772/m1/2/: accessed April 18, 2024), University of North Texas Libraries, UNT Digital Library, https://digital.library.unt.edu; crediting UNT Libraries Government Documents Department.