Innovation and the Regulatory Process. Graham Greene Research Project Manager Civil Aviation Authority

Transcription

1 Innovation and the Regulatory Process Graham Greene Research Project Manager Civil Aviation Authority

2 Coverage of Presentation How innovation feeds into the regulatory process where does it come from how do we manage it What is the likely outcome Perspective of national regulator Case studies Class G airspace Colour vision test for air traffic controllers

3 Civil Aviation Authority Self-funding Commercial Subsidiary CAA International Research Wide portfolio, long history

4 Innovation - reasons To address accident recommendations Changes in operational practice Awareness of an emerging threat New technology Economics All within a context of maintaining or improving aviation safety

5 The issue of Priorities Given that regulatory resources are likely to limited, it s important to be able to identify innovative priorities General safety policy attempt to save the maximum lives within the shortest possible timeframe ATM often more about efficiency Cost-benefit aspects

6 Cost-Benefit A Major Issue Two issues: Cost-benefit of undertaking the research itself Cost-benefit of the intended improvement resulting from the research to safety/atm The need for clarity in the regulatory process likely to be an expense for industry that needs to be defensible

7 The Rôle of Research To identify information needs Consider how the needed information may be obtained Consider which organisation is best able to undertake the work Disseminate the results Feed results into regulatory system Check if the information is enough/suitable for purpose if not, re-initiate research cycle

8 Innovation Institutional Issues (common to most organisations) Regulatory cycle is long can be 10 years As research is usually a precursor, can just add even longer to the cycle Longer-term research aspirations can seem almost like science-fiction to managers giving financial approval, more likely to be concerned with day-to-day issues! Those that commission the research may not be around to see it implemented Earliest possible buy-in to the research is needed by all concerned to avoid the not invented here syndrome

9 Innovation Cultural Issues (related to individual organisations) The corporate vision needs to match well with the vision of the individuals within the organisation (the corporate culture may promote diversity of view which has the potential to be counter-productive) Alternatively the corporate culture may constrain thinking to a narrow path which may turn out to be the wrong route The most effective corporate culture for a regulator has never been defined

10 Innovation Policy for Regulators Shouldn t all innovation be initiated by industry, with the regulator s role to say yes or no? To what extent should a regulator be an intelligent customer for innovation proposals? How far can innovation be left to industry before there is a risk of negligent regulation?

11 Taking regulatory action from the results of research Generally a formal consultative process (exceptions where there is an immediate threat eg airworthiness directives generally are a result of incidents) Disadvantage is that is that implementation of any change can be deliberately delayed by seeking questions of clarification, challenging positions, data etc

12 Case Study 1 Class G Airspace Review Background: Class G defined by ICAO as Uncontrolled, IFR and VFR flights are permitted, covers a significant part of the UK. Approx 75% of all Airprox in UK happen in Class G Concerns: To what extent is the current situation effective management of risk? Is it a sustainable, defensible position? Regarding defensible, it s not about defending CAA in the event of an accident, it s about taking a reasoned, transparent position that is proportional to the level of risk whilst meeting the needs of airspace users and protecting the public both in the air and on the ground. Are we just too accepting of the status quo and not challenging ourselves?

13 Class G Format Task 1 State-of-the-art Task 2 Airprox analysis Task 3 Leading Indicator development Results to be available 2015 Likely outcomes identification of operational problem areas and potential safety interventions More targeted data collection for the future to ensure that risks continue to be managed to the highest practicable standards

14 Case Study 2 Colour vision test for air traffic controllers Background Colour vision requirements for Air Traffic Controllers are they based on solid science that reflects current operational practice? Concerns Is there the potential for denying licences to those who may be able to control aircraft acceptably? Do we understand the use of colour in air traffic control adequately?

15 Colour Vision for ATC Builds on CAA-developed test for pilots PhD study at City University London -for-applied-vision-research/a-new-webbased-colour-vision-test

16

17 Questions