Survey of Performance-Based and Risk-Based Oversight Strategies and Methods

Details

• Creators:
  Gilbert, Tricia ; Lamont, Jennifer ; Bell, Alan
• Corporate Creators:
  Systems Enginuity, Inc. (SEI)
• Corporate Contributors:
  United States. Department of Transportation. Federal Aviation Administration
• Subject/TRT Terms:
  Performance-based Regulation Performance Based Specifications Risk Analysis Safety Management
• Publication/ Report Number:
  DOT/FAA/TC-25/34
• DOI:
  https://doi.org/10.21949/p93y-w636
• Resource Type:
  Tech Report
• Geographical Coverage:
  United States
• Corporate Publisher:
  United States. Department of Transportation. Federal Aviation Administration. William J. Hughes Technical Center
• Abstract:
  Recent changes in aviation safety oversight in the Federal Aviation Administration (FAA) and globally have incorporated performance-based oversight (PBO) that assesses an organization's management system effectiveness in achieving defined safety objectives. PBO is intended to be complementary to traditional compliance-based oversight that examines conformance to prescriptive rules and regulations, as well as risk-based oversight (RBO) that aligns oversight focus and frequency with risk. To address the FAA’s Future of Oversight research objectives, this report documents the results of a literature survey and catalog of current oversight mechanisms in aviation and other industries, focusing on performance-based and risk-based oversight. Findings inform potential areas for additional research or improvements under the FAA’s Future of Oversight research program. This report describes the literature survey approach and interviews conducted with FAA aviation safety experts that identified current challenges and future considerations for adapting oversight approaches for PBO and performance-based regulations regarding safety management in aviation. A survey of safety management systems across industries, including aviation, nuclear energy, oil & gas, and public transit, among others, is documented along with literature review results and findings on PBO and RBO concepts, methods, and implementation, as well as lessons learned.
• Format:
  PDF
• Funding:
  692M15-23-F-00049
• Collection(s):
  FAA Technical Library
• Main Document Checksum:
  urn:sha-512:8eb1b24ffb8574f966adab5f8650cc6c744be1a0fa4efa0da4b6559e5a2cb0f4004476e22dc2a385635976bc0701e99c913790cb1983cd5b2648ec9b02065555
• Download URL:
  https://rosap.ntl.bts.gov/view/dot/88555/dot_88555_DS1.pdf
• File Type:
  [PDF - 890.72 KB ]