Appendix 2
1. The data collection plan information shall outline the following operational parameters and indicate to what extent they will exceed prescriptive flight time and duty limitations:
Pre- and post-rest duty requirements, Start time (acclimated) of the FDP, Start time (unacclimated) of the FDP, Flightcrew complement (number of pilots) and unbiased method to select voluntary study participants, Predominant direction of flight (north, south, east, or west), Duration of the proposed FDP, Length of total flight time, Maximum proposed flight deck duty period for each flightcrew member during that FDP, Number of planned theater crossings, The number of flight segments and the timing of the takeoffs and landings for acclimated and unacclimated flightcrew members, Provisions for layover rest, and Number and class of installed onboard rest facilities.
2. Consider and compensate for the length of typical delays.
3. If required, propose a petition for exemption for the data collection operation based upon the data collection plan. If an exemption is required, the FAA will impose applicable safety limitations and conditions associated with the proposed exemption.
4. If required, the certificate holder will file a petition for exemption. If granted, the exemption will be limited in duration to collect the data.
(4) Gate 4. The certificate holder will:
(a) Define the scope of the data collection requirement utilizing the guidelines described in Section 4. In addition, the certificate holder shall satisfactorily demonstrate that all data collection flights can be safely conducted utilizing the processes outlined in the FRM and the FRMS SA sections of this appendix The plan shall, as a minimum, accomplish the following:
1. Develop flightcrew member operational procedures based upon FRM processes and SA processes for operations where FRMS will be applied.
2. Develop an in-flight rest scheme for flightcrew members operations on the data collection flights. Define target sleep patterns for in-flight rest.
3. Develop pre- and post-FDP rest schemes for the data collection flights. Define target sleep patterns for pre- and post-duty rest periods.
4. Develop any special procedures specifically applicable to the planned data collection flights.
Appendix 2
5. Provide a list of aircraft that will be authorized for data collection by make, model, and series (M/M/S), to include a description (class) of the installed onboard rest facility.
6. Develop procedures for situations when an operating flightcrew member becomes fatigued in-flight and mitigations to reduce the flightcrew member’s level of fatigue.
(b) Develop FRMS processes based on reactive hazard identification, including risk assessment and the development, implementation, and monitoring of appropriate controls and mitigations based upon the planned data collection flights.
1. Identify hazards, risk assessment, risk mitigation, SA process, and promotion process based upon the planned data collection flights.
2. Verify that FRMS documentation processes are established to support the current version of the FRMS.
3. Verify FRMS training program activities are established to support the current version of the FRMS. (Stakeholders need training to ensure that they are competent to undertake their responsibilities in the FRMS as the implementation plan rolls out.)
4. Develop a method for exclusively retaining all FRMS training records and implement that process.
5. Verify FRMS communication processes are established to support the current version of the proposed FRMS.
5. PHASE TWO: FORMAL APPLICATION. Upon satisfactory completion of Gates 1–4, the certificate holder may proceed to Phase Two. This phase involves the certificate holder submitting all their formal documentation (as required in Gates 1–4) to the FAA as outlined in Gates 5 and 6. The FAA will evaluate and validate the certificate holder’s documentation. Upon satisfactory completion of Gates 5 and 6, the certificate holder may proceed to Phase Three.
Based upon the certificate holder’s proposed AMOC, the certificate holder will develop and submit a proposed data collection plan and a data analysis plan for review, evaluation, and validation. The data collection plan will outline the resources and methods for collecting all measurements. The data analysis plan will describe the method(s) for analyzing the data and how the results will be applied to evaluate the effectiveness of the FRMS. At this stage, the primary focus for the FAA will be to determine that the data collection operation can be safely conducted. Secondly, the FAA will evaluate the effectiveness of the data collection plan and the data analysis plan. The certificate holder will revise, as necessary, their operational procedures for data collection, which will be reviewed and evaluated by the FAA prior to authorizing the certificate holder to collect data. The certificate holder will also revise the operating manual to direct flightcrew members, schedulers, dispatchers, personnel holding operational control and persons having direct management oversight of these areas to comply with the FRMS operation procedures whenever the FRMS is applied to a flight or series of flights.
a. Gate 5. The certificate holder will provide documented evidence of the following items, which will be reviewed, evaluated and validated by the FAA:
Appendix 2 Formal FRMS policy statement.
Formal documentation plan.
Formal communications plan.
Formal training plan.
Formal implementation plan.
Formal description of flightcrew member fatigue monitoring process.
Formal reporting process to include fatigue reporting and fatigue incident reporting, which will include RCA.
A performance evaluation process to support continuous improvement of the FRMS.
Formal documentation of the data collection and analysis plan to support the policy statement.
That roles and responsibilities for ensuring the safety performance of the FRMS are developed, to include the roles and responsibilities of the FSAG.
That the necessary communication channels are active.
That FRMS processes based on reactive, proactive, and predictive hazard identification are operational, including risk assessment and the development, implementation, and monitoring of appropriate controls and mitigations.
That FRMS documentation processes have been established to support the current version of the proposed FRMS.
That FRMS training activities have been established to support the current version of the proposed FRMS.
That FRMS communication processes have been established to support the current version of the proposed FRMS.
b. Gate 6. The FAA will review, evaluate, and validate the following:
FRMS safety performance indicators have been developed and agreed on.
Formal statement of how the FRMS will demonstrate an effective AMOC.
The procedures and processes for periodic evaluation of the safety performance indicators have been established.
Appropriate feedback has been established between the FRMS processes and the FRMS SA processes.
FRMS documentation processes are fully implemented.
FRMS training processes are fully implemented.
FRMS communication processes are fully implemented.
Processes for monitoring the effectiveness of controls and mitigations are fully implemented.
6. PHASE THREE: DOCUMENTATION AND DATA COLLECTION PLAN. Upon satisfactory completion of Gates 5–6, the certificate holder may proceed to Phase Three. The certificate holder will provide the FAA with their planned data collection flight information.
a. Overview. During this phase, the FAA will evaluate the certificate holder’s data collection plan and all their documentation outlining their policies and procedures to support all flight operations during data collection. Upon satisfactory completion of Gate 7, if required, the certificate holder will be authorized by exemption to collect data for their proposed FRMS.
Appendix 2
b. Gate 7. The FAA will:
(1) Assess and model the proposed data collection flight plan information to determine the anticipated levels of fatigue.
(2) Evaluate the certificate holder’s documentation outlining their policies and procedures to support all flight operations during data collection.
(3) Determine whether the certificate holder’s proposed FRMS can demonstrate an effective AMOC.
(4) Assess any fatigue modeling analysis of the proposed AMOC if any part of the justification is based on modeling. The FAA will review justification of the modeling choice and all modeling assumptions, parameters, and initial conditions, including the modeling safety standard that serves as the baseline for evaluation of fatigue or performance estimates under the FRMS operation.
(5) Validate and authorize data collection and that the data collection and analysis method will be sufficient to demonstrate an effective AMOC. The FAA will evaluate the data collection and analysis plan based on the guidelines described in the FRM process. Collect and analyze data.
(6) Evaluate policy, documentation, procedures, and processes.
(7) Evaluate safety performance indicators and provide input.
(8) Evaluate proposed FRMS policy and documentation, along with processes and procedures.
(9) Evaluate the FRM process and SA, based on the guidelines provided in the SA process.
(10) Upon satisfactory evaluation and validation, approve the proposed data collection flight operation information.
(11) Issue applicable exemption with specific limitations and conditions for the data collection flight operation.
(12) With the certificate holder, establish, agree upon, and document reporting intervals.
(13) The certificate holder is then ready for data collection.
(14) If required, the FAA authorizes the certificate holder through an exemption to collect data for a specific duration.
7. PHASE FOUR: DEMONSTRATION AND VALIDATION. The certificate holder will collect and analyze the data. The data collected and analyzed will be compiled into a data package. Throughout this process, the certificate holder will also collect and analyze other data, Page 54
Appendix 2 such as fatigue reports, and will compile these data with the data package. Once all the data have been collected, analyzed and compiled in the data package, the certificate holder will submit the data package to the FAA for review and validation.
a. FRMS Procedure Revisions. Additionally, the certificate holder will revise their FRMS operational procedures, as necessary, in support of the data analysis outcomes. Upon successful validation of the data, the FAA will review and evaluate the certificate holder’s FRMS operation procedures to ensure that these procedures support the validated data analysis. If required, the certificate holder may be required to revise their FRMS operation procedures to support the validated results.
b. Data Package Submission. Upon completion of Gate 8, the certificate holder will submit the data package to the FAA for evaluation and validation. The FAA will validate the data and evaluate the certificate holder’s policies, procedures, and processes to ensure that the certificate holder’s proposed FRMS meets an AMOC. Upon satisfactory completion of Gate 8, the FAA will prepare the appropriate OpSpec A318 for use of that FRMS flight operation with specific limitations and conditions based upon the certificate holder’s policies, procedures, and processes.
c. Gate 8.
(1) The certificate holder will prepare a complete review and analysis of the results of the data collection with specific emphasis on how the data confirm that the alternative operation outside the prescriptive rules provides an effective AMOC with safety standards. The collection and analysis of data should follow the guidelines described in the FRM process. Collect and analyze data.
(a) Describe the aggregate findings from each of the measures specified in the proposed data collection plan.
(b) Provide specific information on how the results relate to the defined safety standards established in the data collection plan.
(c) Show how the results establish the effectiveness of the proposed FRMS relative to operations conducted under the prescriptive rules.
(d) Identify any evidence of excessive fatigue discovered in association with the proposed operation and how this fatigue is mitigated so that the proposed FRMS will demonstrate effectiveness and compliance.
(e) Adjust the data collection plan accordingly and provide the FAA with evidence of the effectiveness of any proposed mitigations (FAA approval of amended mitigations to the proposed FRMS).
(f) Amend the proposed FRMS polices, procedures and processes, as required, to support their revised FRMS.
Appendix 2
(2) The FAA will evaluate the validity of the data analysis results and determine if the results demonstrate the effectiveness of the proposed FRMS operation as an AMOC. The FAA will determine if the data provided are adequate for demonstrating the effectiveness of the proposed FRMS and will request additional details, as necessary.
(3) The FAA will evaluate changes to the certificate holder’s amended policies, procedures and processes to determine if the amended policies, procedures, and processes will support an AMOC.
(4) The FAA will do one of the following:
(a) Approve the proposed FRMS operation and issue an OpSpec A318; or
(b) Disapprove the proposed FRMS and recommend changes for a revised FRMS application package.
8. PHASE FIVE: AUTHORIZATION, IMPLEMENTATION AND MONITORING.
a. FAA Authorization. Upon satisfactory completion of this process, the FAA may grant authorization to operate in accordance with the FRMS flight operation by issuance of OpSpec A318.
b. FRMS Operations Manual. Lastly, the certificate holder will amend their FRMS operations manual to direct flightcrew members, schedulers, dispatchers, personnel holding operational control, and persons having direct management oversight of these areas to comply with the FRMS operation procedures whenever the FRMS is applied to a flight or series of flights.
c. Gate 9.
(1) The FAA issues OpSpec A318.
(2) The FAA approves a phased implementation of the proposed FRMS operation.
(3) The FAA approves an ongoing SA process to monitor the continued success of the FRMS operation (refer to the guidelines outlined Section 6). This process will specify courses of action that will be taken if reports of fatigue occur under the FRMS operation, including a process for informing the FAA and a process to ensure safe operations while effective fatigue mitigations and associated policies are implemented for the FRMS operation.
(4) The FAA determines the duration of OpSpec A318.
(5) The FAA establishes a regular audit schedule (at a minimum, quarterly for the first 24 months of operations) to ensure that fatigue reports and other safety indicators support the effectiveness of the FRMS operation.
(6) The certificate holder provides the FAA with all monitoring data at the specified intervals for evaluation.
Appendix 2
(7) The FAA approves the certificate holder’s FRMS implementation plan.
(8) The certificate holder develops a method to declare those flights operating under an FAA-authorized FRMS.
(9) Unless otherwise specified, for the purpose of continuous monitoring, the certificate holder will comply with the following reporting intervals:
First year: quarterly.
Second year: quarterly.
Third year: semi-annually.
Fourth year and beyond: annually.
NOTE: Under extraordinary conditions, based on the frequency of the proposed FRMS operations, alternative reporting intervals may be required.
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