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Federal Aviation Administration

Federal Aviation 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

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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

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Enforcement Data From FY 2004 – Present

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HMSP Program Data

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% FY04 FY05 FY06 FY07 FY08 FY09 FY10 FY11 FY12 FY13

FAA Enforcement History as % of Total FAA Cases Opened FY2004 - FY2014

ARP AIR AAM (Drug and Medical) AFS ASH- Security ASH- HMSP FY14

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HMSP Program Data

FY 2014

5.6% 14.7% AIR, 4.9% 6.9% 67.9%

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HMSP Program Data

Cases FY05 FY06 FY07 FY08 FY09 FY10 FY11 FY12 FY13 FY14 # HM Cases Opened 5,620 2,436 2,276 2,541 2,736 2,429 2,384 1,914 2076 1820 # HM CP Cases Closed 655 454 421 370 479 440 464 440 430 260 Amount Collected from HM Cases ($M) 6.82 6.40 5.84 5.19 10.59 5.47 6.23 7.82 7.04 3.69

FAA HAZMAT Enforcement History, FY2005-FY2014

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HMSP Program Data

FISCAL YEAR AIR CARRIER OFF- AIRPORT FREIGHT FORWARDER SHIPPER REPAIR STATION TOTAL

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*

Inspection Activities, FY2010-FY2014

*FY2014 Air Carrier Activities include inspections conducted under ASH’s Hazardous Materials Safety Program’s Safety Management System (SMS)

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HMSP Program Data

FISCAL YEAR SHIPPER PASSENGER REPAIR STATION AIR CARRIER FOREIGN AIR CARRIER OTHER*

FY2008 62.9% 23.9% 0.5% 10.1% 2.0% 0.7% FY2009 58.1% 29.1% 0.2% 10.4% 1.4% 0.8% FY2010 64.3% 22.8% 0.2% 10.4% 1.4% 1.0% FY2011 66.4% 22.8% 0.4% 7.9% 1.6% 0.9% FY2012 67.5% 20.1% 0.4% 9.9% 1.3% 0.8% FY2013 60.2% 26.0% 0.7% 9.8% 2.3% 1.0% FY2014 68.1% 19.6% 0.2% 9.3% 2.1% 0.7%

% of Opened Hazmat Cases by Type of Operation, FY2008-FY2014

* Other includes military, persona/business, schools, manufacturers, utilities, and other operations

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FAA’s Hazardous Materials Voluntary Disclosure Reporting Program

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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

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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

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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

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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
• perations under the policy
• Using data from the VDR program with other data to augment

ability to identify trends of non-compliance

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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

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Anatomy of the Evolving Industry Standard Over the Carriage of Lithium Batteries on Passenger Aircraft

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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?

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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

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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

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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

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Reportable Incidents

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Reported Air Incidents in CY 2014

• Reportable incidents are a large driver of our inspection

program.

• Total number of reportable incidents resulting in filing of

DOT 5800.1 reports for CY 2014 was 1425 in the aviation

• mode. 1430 for CY 2013
• The top three air carriers that reported incidents through

DOT 5800.1 reports during this period: FedEx Express: 625 (680 CY13) UPS: 439 (500 CY13) Alaska Airlines: 194 (113 CY13)

NOTE: PHMSA data collection processes limit one 5800.1 report per UN ID#. Therefore, for incidents involving 2 or more individual UN ID #s, multiple reports are required to be filed by the reporter for the same event. Individual events = 1325.

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HM Air Incidents by Transportation Phase – CY2014

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HM Air Incidents by Hazard Division – CY2014

Note: 27 of the 289 Class 9 commodities were indicated as Lithium Battery products

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National HM Air Incidents – CY2014

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HM Air Incidents by Result – CY2014

Note: Column total equals 1330 which indicates that more than one “result”

• ccurred in a single incident in several reportable incident events.

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HM Air Incidents by Failure Cause – CY2014

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HM Air Incidents by Failure Cause – CY2014

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Look for Us on the Web!

• Main FAA hazmat web page:

http://www.faa.gov/Go/HazmatSafety

• FAA hazmat page for passengers:

http://www.faa.gov/Go/PackSafe

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IF YOU HAVE ANY QUESTIONS, FEEL FREE TO CONTACT ME Email: Angel.Collaku@FAA.GOV Telephone: (202) 267-9397