(Appendix 1 describes each inspection program.) 2). Appendix II  describes the industry partnership programs. FAA’s Safety Oversight System Focuses on Risk Identification and Mitigation Through System Safety, Leveraging of Resources, and Enforcement of Safety Regulations, but Benefits Are Not Being Fully Realized

In recent reports, we found that FAA’s safety oversight system has  programs that focus on risk identification and mitigation through a system  safety approach, the leveraging of resources, and enforcement of safety  regulations, but that the benefits of these programs are not being fully  realized. The inspection  workload for non-legacy airlines is still heavily oriented to the NPG’s non- risk based activities. FAA also leverages its resources through its industry partnership  programs. These partnership programs are designed to assist the agency in  receiving safety information, including reports of safety violations. FAA’s enforcement process, which is intended to ensure industry  compliance with safety regulations, is another important element of its  safety oversight system. FAA Has Made Training an Integral Part of Its Safety Oversight System but Several Actions Could Improve Results

FAA’s use of a risk-based system safety approach to inspections requires  inspectors to apply data analysis and auditing skills to identify, analyze,  assess, and control potential hazards and risks. Therefore, it is important  that inspectors are well-trained in this approach and have sufficient  knowledge of increasingly complex aircraft, aircraft parts, and systems to  effectively identify safety risks. FAA has made training an integral part of its safety inspection  system and has established mandatory training requirements for its  workforce as well as designees. We have reported that FAA has generally followed effective management  practices for planning, developing, delivering, and assessing the impact of  its technical training for safety inspectors, although some practices have  yet to be fully implemented. However, FAA’s records show that FAA approves about 90  percent of these requests, and inspectors are making good progress in  receiving training. FAA Has Evaluated Some Safety Programs, but the Lack of Evaluative Systems and Nationwide Data Impedes FAA’s Ability to Continuously Monitor Its Safety Programs

It is important for FAA to have effective evaluative processes and accurate  nationwide data on its numerous safety oversight programs so that  program managers and other officials have assurance that the safety  programs are having their intended effect. Our most recent work has shown the lack of such  processes and limitations with data for FAA’s inspection programs for  non-legacy airlines, designee programs, industry partnership programs,  and enforcement program. We also found that FAA lacked requirements or criteria for periodically  evaluating its designee programs. FAA inspection offices  maintain independent, site-specific databases because they do not find the  nationwide enforcement database—the Enforcement Information System  (EIS)—as useful as it could be because of missing or incomplete historical  information about enforcement cases. This is a work of the U.S. government and is not subject to copyright protection in the  United States.
Why GAO Did This Study

The U.S. commercial aviation industry has an extraordinary safety record. However, when passenger airlines have accidents or serious incidents, regardless of their rarity, the consequences can be tragic. The Federal Aviation Administration (FAA) works to maintain a high level of safety through an effective safety oversight system. Keys to this system are to: (1) establish programs that focus resources on areas of highest safety risk and on mitigating risks; (2) provide training and communication to ensure that inspectors can consistently carry out the agency's oversight programs; and (3) have processes and data to continuously monitor, evaluate, and improve the numerous oversight programs that make up the safety oversight system. This statement focuses on these three key areas and is based on recent GAO reports on FAA's inspection oversight programs, industry partnership programs, enforcement program, and training program.

What GAO Found

FAA's safety oversight system includes programs that focus on risk identification and mitigation through a risk-based system safety approach, leveraging of resources through designee and partnership relationships, and enforcement of safety regulations, but the benefits of these programs are not being fully realized. For example, FAA's system safety approach includes the addition of a program that emphasizes risk identification to its traditional inspection program for overseeing some airlines, which is not based on risk. However, it is likely that the benefits of this approach could be enhanced if the inspection workload was not as heavily oriented to the traditional inspection program's non-risk based activities. FAA leverages its resources through its designee programs, in which designated individuals and organizations perform about 90 percent of certification-related activities, and through its industry partnership programs, which are designed to assist the agency in receiving safety information. An outgrowth of FAA's inspection process is its enforcement program, which is intended to ensure industry compliance with safety regulations. However, GAO has expressed concerns that this program may not be as effective as it could be in deterring violations. FAA has made training an integral part of its safety oversight system, but several actions could improve the results of its training efforts, including ensuring that inspectors are well-trained in FAA's system safety approach and have sufficient knowledge of increasingly complex aircraft and systems to effectively identify safety risks. FAA has established mandatory training requirements for its workforce and designees. We have reported that FAA has generally followed effective management practices for planning, developing, delivering, and assessing the impact of its technical training for safety inspectors. GAO has found inadequate evaluative processes and limitations with data for FAA's inspection programs, designee programs, industry partnership programs, and enforcement program. For example, FAA lacked requirements or criteria for evaluating its designee programs. In another example, FAA's nationwide enforcement database is not as useful as it could be because of missing or incomplete historical information about enforcement cases.