5. KEY TERMS. The following key terms and phrases are defined for the purposes of FOQA to have a standard interpretation of the guidance offered in this AC. Abbreviations are listed in paragraph 11.
a. Aggregate Data. The summary statistical indices that are associated with FOQA event categories, based on an analysis of FOQA data from multiple aircraft operations.
b. Aggregation. The process that groups and mathematically combines individual data elements based on some criterion (e.g., time, geographical location, event level, aircraft type).
Each aggregation is based on factors of interest to the analyst at a particular point in time.
c. Data Management Unit (DMU). A unit that performs the same data conversion functions as a Flight Data Acquisition Unit (FDAU), with the added capability to process data onboard the aircraft. Additionally, this unit has a powerful data processor designed to perform in-flight airframe/engine and flight performance monitoring and analysis. Some DMUs have ground data link and ground collision avoidance systems incorporated into the unit.
d. Data Validation. A process during which flight data are reviewed to see that they were not generated as a result of erroneous recording or damaged sensors.
e. De-identified Data. Data from which any identifying elements that could be used to associate them with a particular flight, date, or flightcrew has been removed.
f. Event. An occurrence or condition in which predetermined values of aircraft parameters are measured. Events represent the conditions to be tracked and monitored during various phases of flight and are based on the sensory data parameters available on a specific aircraft fleet.
g. Event Category. Event categories are areas of operational interests (e.g., aircraft type, phase of flight, geographical location) on which FOQA event monitoring and trend analysis is based.
h. Event Levels. The parameter limits that classify the degree of deviation from the established norm into two or more event severity categories. When assigning levels to an event, consideration is given to compliance with federal regulations, aircraft limitations, and company policies and procedures.
i. Event Set. A collection of events designed to measure all aspects of normal flight operations for a particular aircraft type at a particular air carrier. Individual events within the event set would be customized to the approved limitations for the aircraft type and in accordance with the air carrier’s operational procedures. The event set for a particular fleet may be limited by the available parameters on the aircraft.
j. Event Validation. The process in which an event is determined to be a valid sample of operation outside the established norm. Even though aircraft parameter limits may have been exceeded, a valid event may not have occurred (e.g., significant localizer deviation may have occurred when an aircraft was making a sidestep approach to a parallel runway).
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k. Flight Data Acquisition Unit (FDAU). A device that acquires aircraft data via a digital data bus and analog inputs and that formats the information for output to the flight data recorder in accordance with requirements of regulatory agencies. In addition to the mandatory functions, many FDAUs have a second processor and memory module that enables them to perform additional Aircraft Condition Monitoring System (ACMS) functions/reports. The FDAU can provide data and predefined reports to the cockpit printer, directly to Aircraft Communications Addressing and Reporting System (ACARS) for transmittal to the ground, or to a Quick Access Recorder (QAR) for recording/storage of raw flight data. The FDAU can also display data for the flightcrew.
l. Flight Data Recorder (FDR). A required device that records pertinent parameters and technical information about a flight. At a minimum, it records those parameters required by the governing regulatory agency, but may record a much higher number of parameters. An FDR is designed to withstand the forces of a crash so that information recorded by it may be used to reconstruct the circumstances leading up to the accident.
m. Flight Operational Quality Assurance (FOQA). A voluntary program for the routine collection and analysis of flight operational data to provide more information about, and greater insight into, the total flight operations environment. A FOQA program combines these data with other sources and operational experience to develop objective information to enhance safety, training effectiveness, operational procedures, maintenance and engineering procedures, and air traffic control (ATC) procedures.
n. FOQA Monitoring Team (FMT). A group comprised of representatives from the pilot group, if applicable, and the air carrier. This group is responsible for reviewing and analyzing flight and event data and identifying, recommending, and monitoring corrective actions.
o. FOQA Plan. An internal air carrier planning document that contains detailed information on FOQA implementation and operation and serves as the basis for the I&O Plan.
p. FOQA Steering Committee. An oversight committee formed at the beginning of FOQA program planning to provide policy guidance and vision for the FOQA effort. Membership may include a senior management person and representatives from key stakeholder departments, such as flight operations, maintenance, training, and safety. A representative from the pilot association is also typically included on this committee.
q. Gatekeeper. The FMT member who is primarily responsible for the security of identified data. The gatekeeper is the individual(s) who can link FOQA data to an individual flight or crewmember. The gatekeeper is normally a member of the pilot association.
r. Ground Data Replay and Analysis System (GDRAS). A software application designed to:
• Transform airborne-recorded data into a usable form for analysis
• Process and scan selected flight data parameters Page 4 Par 5
• Compare recorded or calculated values to predetermined norms using event algorithms
• Generate reports for review
s. Implementation and Operations Plan (I&O Plan). A detailed specification of key aspects of a FOQA program to be implemented by an air carrier, including:
• A description of the operator’s plan for collecting and analyzing the data
• Procedures for taking corrective action that analysis of the data indicates is necessary in the interest of safety
• Procedures for providing the FAA with de-identified aggregate FOQA information/data
• Procedures for informing the FAA as to any corrective action being undertaken
t. Logical Frame Layout (LFL). A data map that describes the format in which parameter data are transcribed to a recording device. This document details where each bit of data is stored.
u. Parameters. Measurable variables that supply information about the status of an aircraft system or subsystem, position, or operating environment. Parameters are collected by a data acquisition unit installed on the aircraft and then sent to analysis and reporting systems.
v. Phase of Flight. The standard high-level set of activities performed by pilots on all operational flights (i.e., preflight, engine start, pushback, taxi, takeoff, climb, cruise, descent, holding, approach, landing, taxi, and postflight operations).
w. Quick Access Recorder (QAR). A recording unit onboard the aircraft that stores flightrecorded data. These units are designed to provide quick and easy access to a removable medium on which flight information is recorded. QARs may also store data in solid-state memory that is accessed through a download reader. QARs have now been developed to record an expanded data frame, sometimes supporting over 2,000 parameters at much higher sample rates than the FDR. The expanded data frame greatly increases the resolution and accuracy of the ground analysis programs.
x. Routine Operational Measurement (ROM). A “snapshot” look at a selected parameter value at predefined points in time or space during every flight being analyzed by the GDRAS.
ROMs provide standard statistics (e.g., minimum, maximum, average) for the specified parameter for a particular period of time or condition. Since ROMs are collected on every flight, they provide valuable trending insight into normal operations. Routine operational measurements are also useful in establishing a baseline for normal aircraft operation across a fleet.
y. Sample Rate. The number of times per second that a specific parameter value is recorded by the onboard recording system. Normally, most parameters are sampled once per second.
Increasing or decreasing the sample rate will directly increase or decrease the amount of data recorded by the onboard system. The ability to change a parameter sample rate is a function of the measurement source and the onboard recording system capabilities. Varying the parameter sample rate can be useful in enhancing time critical analysis capabilities.
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z. Stakeholder. Constituencies that are potential users of FOQA data and that have a stake in the program’s success.
aa. Wireless Data Link (WDL). A system that allows the high-speed transfer of onboard aircraft data to ground facilities using various wireless technologies. It may also allow for upload of data to the aircraft. Sometimes referred to as Ground Data Link (GDL).
6. FOQA PROGRAM OVERVIEW.
a. FOQA Program Components. The primary components of a FOQA program include:
(1) Airborne Data Recording Systems. These systems acquire and capture the necessary in-flight information. They include specific aircraft data input sources and the equipment to record and store the collected data. Data are gathered via onboard sensors that measure significant aspects of aircraft operation. Most sensor information is carried to its eventual destination via several data buses. Data are collected by interfacing with these buses.
Other airborne equipment can be used to process and analyze the collected data, display the data to pilots during flight or on the ground, and transmit data to a GDRAS.
(2) GDRASs. These systems can:
• Transform flight-recorded data into a usable format for processing and analysis
• Process the data
• Detect events and ROMs that are being monitored and tracked
• Generate various reports and visualizations to help air carrier personnel interpret events
• Process information from a variety of recorded data formats and recorder types
(3) Air/Ground Data Transfers. One of the most labor intensive and costly aspects of a FOQA program is determining and implementing the process of getting the data from the aircraft onboard recording system to the GDRAS for analysis. Operators must pay strict attention to identifying the process that meets their FOQA program needs. Items to consider are:
(a) Scheduling of the Removal of the Recording Medium. This will normally require close coordination with the operator’s maintenance control and line maintenance departments. Most likely, maintenance will want to remove the medium at a scheduled overnight maintenance location so that the removal process can be included as part of a regular work package or routine. This removal time period must coincide with recording medium memory capability and meet the operator’s needs for timely analysis of FOQA data as defined in the I&O Plan. Specific procedures on process for data removal will have to be defined for line maintenance personnel to permit proper data download. Sufficient spare recording medium will have to be maintained at the maintenance facilities so that the medium can be replaced back into aircraft systems after download.
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(b) Forwarding of Data to the GDRAS Location. Depending on the size of the operator’s route structure, the location of where the data is removed in relation to the location of the GDRAS can be great. Methods for transferring the data to the GDRAS may consist of the following:
1 Ground-Based Transportation. The storage medium can be mailed from the maintenance location using regular mail, company mail, or private overnight forwarding companies. If this type of process is used, a tracking system should be developed so that the recording medium removal timing and location can be verified and documentation of aircraft data retrieval can be maintained. This will prevent a loss of recording medium so that the timing of data acquisition into the GDRAS can be tracked.
2 Electronic Transmission. This is a remote data transmission from the aircraft maintenance location to the GDRAS by the use of download equipment or milking-type machines that interface with the aircraft or by removal of the storage media from the onboard system. This process, while more efficient, requires a larger capital outlay and requires sufficient data transmitting capability from the remote maintenance locations to the location of the GDRAS. Coordination with an operator’s information services department will be needed to accomplish this. Data security issues must be considered when incorporating this process.
3 Wireless Transmission. This is an emerging technology that enables direct transmission of aircraft flight data to a network that interfaces with the GDRAS using wireless technology. The download is accomplished automatically, thus removing the requirements for maintenance involvement. Incorporation of this technology involves aircraft and ground-based data transfer systems to be installed. Data security issues must be considered when incorporating this process. Close coordination with an operator’s engineering and information services departments will be needed.
b. FOQA Program Description.
(1) The improvement of flight safety is the driving force behind the implementation of FOQA programs. A FOQA program is used to reveal operational situations in which risk is increased in order to enable early corrective action before that risk results in an incident or accident. FOQA should interface and be coordinated with the operator’s other safety programs.
The FOQA program should be part of the operator’s overall operational risk assessment and prevention program as described in part 119, section 119.65 and FAA guidance materials. Being proactive in discovering and addressing risk will enhance air safety.
(2) In a FOQA program, data are collected from the aircraft by using special acquisition devices, such as QARs, or directly from the FDR. Using one of several available transmission methods, data are periodically retrieved and sent to the air carrier’s FOQA office for analysis.
This office usually resides within the flight safety organization at the air carrier. The data are then validated and analyzed using specialized processing and analysis software, known as GDRAS, designed to convert the flight data into usable information.
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NOTE: The quality and capability of a carrier’s FOQA program w ill be directly dependent on the number of parameters available. The carrier should see that sufficient parameters are available for collection from the acquisition device or FDR (see a ppendix A, Example of a FOQA Implementation and Operations Plan).
(3) The GDRAS transforms the data into an appropriate format for analysis and generates reports and visualizations to assist personnel in analyzing the collected data. It extracts FOQA events from the raw digital data stream based on parameters, threshold values
(e.g., descent rate in excess of 1,000 feet per minute on approach), and/or routine operational measurements that are specified by the air carrier. The analysis may focus on events that fall outside normal operating boundaries, event categories, or ROMs, as determined by the air carrier’s operational standards (as well as the manufacturer’s aircraft operating limitations). The FOQA FMT then reviews the events to assess their validity and potential significance. FOQA events are then marked for appropriate handling.
(4) In terms of determining the root causes of systemic problems that need correction, aggregate FOQA data have proven to be of greater value than detailed parameter data gathered during a single flight. Individual data records are typically aggregated into categories to assist the analyst in looking for trends and patterns. For example, an analysis may be conducted on the average maximum rate of descent below 2,000 feet by airport by fleet type. This may be useful to better understand the meaning of the data once related events indicate that this is an area requiring investigation. This analysis may suggest that all fleets are experiencing high descent rates at a certain airport or just a specific aircraft type. This type of information can be used to pinpoint the potential source of the problem and, hopefully, suggest the nature of appropriate corrective action.
(5) Data that could be employed to determine flight crewmember identity are removed from view in the electronic record as part of the initial processing of the airborne data. However, air carrier FOQA programs typically provide for a gatekeeper, who is provided with a secure means of determining identifying information for a limited period of time, in order to enable follow-up inquiry with the specific flightcrew associated with a particular FOQA event. Such contact is usually limited to situations when further insight into the circumstances surrounding an event is needed. The gatekeeper is typically a line captain designated by the air carrier’s pilot association (if applicable). The concurrence of the gatekeeper is required in order to initiate a follow-up with an individual pilot. Follow-up inquiries with individual crewmembers concerning FOQA events will normally be accomplished by a line captain designated as a gatekeeper by the air carrier’s pilot association (if applicable).
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c. FOQA Analysis Process.
(1) Overview. The FOQA analysis process must be developed based on the objective and scope of the intended program. At a minimum, the process will be determined depending on whether information will be used to evaluate or effect change in any or all of the following areas:
• Operational Safety
• Aircraft Performance
• Aircraft System Performance
• Crew Performance
• Company Procedures
• Training Programs
• Training Effectiveness
• Aircraft Design
• ATC System Operation
• Airport Operational Issues
• Meteorological Issues
NOTE: Data analysis may be different for each of these groups, depending on the intended use of the information. What type of analysis is available will be a function of the aircraft reco rding capability, available parameters, and GDRAS hardw are and softw are capabilities. Extensive coordination between the FOQA FMT and other ai rline departments is crucial in maximizing analysis capabilities within the FOQA program.
(2) Data Recording. The available parameters and their associated sample rates and recording accuracies will directly affect FOQA analysis. The minimum core recorded parameters are those specified in part 121, sections 121.343 and 121.344 for FDRs. Aircraft that have been further outfitted with programmable FDAUs or DMUs may have parameters in excess of the minimum required. FDAUs or DMUs can be programmed to provide these additional parameters dependent upon storage medium capability. These FDAUs and DMUs may also be able to modify the sample rate through reprogramming. This will be a function of the parameter sensor on the aircraft and recorder medium size. Close coordination with operator engineering personnel will be required to identify available parameters.
(3) Analysis Techniques. Two types of analysis techniques can be applied to FOQA data. They are parameter exceedence analysis and statistical analysis.
(a) Exceedence Analysis. This involves setting a specific limit for the GDRAS to detect for a particular parameter. For example, the GDRAS can be programmed to detect each time the aircraft roll angle exceeds 45 degrees. This data can be trended over multiple flights to determine the number of exceedence occurring per flight segment. In addition, the data can be trended to determine which phase of flight, airport, or runway, if appropriate, depending on the event type. Levels of exceedence can be programmed for particular events based on the operator’s risk assessment to assist in focusing resources on implementing corrective action on the highest perceived operational risk area. A higher level of risk may be associated with an Par 6 Page 9
occurrence where the bank angle reached or exceeded 60 degrees. The FMT, through the gatekeeper, may choose to contact the crew or conduct a more detailed investigation of the event for this type of exceedence in addition to just maintaining and monitoring the trends where bank angle exceedences reach 45 degrees or greater. Exceedence levels will have to be developed through assessment of a carrier’s operations manuals, training programs, and risk assessment process as part of the overall safety program.
(b) Statistical Analysis. This is used to create profiles of flight, maintenance, or engineering operational procedures. The profiles can use several measurements to build distributions of various criteria. A distribution of data will show all flights and enable a carrier to determine risk based on mean and standard deviations from the mean. One procedure a carrier may look at is approach tracks. A profile would be designed to measure the different criteria of an approach, like airspeed, rate of descent, configuration, or power setting. For example, the GDRAS will capture the maximum airspeed of every flight on final approach. A series of distributions will show a picture of how all flights are performing. The carrier can then determine when an approach track may lead to an unstable approach or landing. Similar to exceedence analysis, statistical analysis can use distributions to drill down into the data to look at phase of flight, airports, or aircraft type, if appropriate. Each individual airline working with its FOQA team could establish or modify airline policy and training programs based on the performance of all its flights. Once a baseline is established, the data could be monitored to track the trend of what is occurring. The value of using statistical analysis is that data from all flights is used to determine risk for an airline without focusing on specific event exceedences.
The use of data distributions can develop a risk assessment process by establishing a baseline for trending data and determining critical safety concerns. Statistical analysis is a tool to look at the total performance of an airline’s operation.
(c) Validated Trend Information. This is reviewed to determine the nature of any required action. Such actions might include the immediate notification of maintenance personnel if limits were exceeded that require inspection of the aircraft, reviews of the event to identify possible corrective measures, or a determination that further information is needed through crew feedback. Depending on the particular event, the flightcrew may be contacted to gather more information about the circumstances and causes of the event. Corrective measures can range from modifications of flightcrew training to revisions of the operating procedures to equipment redesign. Information on valid events is also stored in databases for use in trend analysis.
7. FOQA PROGRAM ESTABLISHMENT AND IMPLEMENTATION. This section presents guidelines for designing, developing, implementing, and evaluating a FOQA program.
These guidelines do not reflect any single FOQA program in operation today. Rather, the guidelines describe the best practices culled from various air carriers that currently operate highly effective FOQA programs. The FAA does not require these guidelines to be followed in order for an air carrier to receive approval for its FOQA program. A successful FOQA program should be customized to address an air carrier’s individual needs and situation. Air carriers that are considering establishing a FOQA program should visit with air carriers that have already established FOQA programs. Such meetings are intended to foster a clear understanding of what is involved in the entire process. These discussions can provide useful information and practical know-how regarding lessons learned, obstacles to success, and potential benefits. The three Page 10 Par 6
phases of a FOQA program are Planning and Preparation (Phase I), Implementation and Operations (Phase II), and Continuing Operations (Phase III).
NOTE: Each phase contains specific elements, as illustrated in figure 1. Each of these phase elements w ill be furth er discussed in the follow ing sections.
Activities in each phase may occur in parallel. Also, because implementing a FOQA program is an iterative process, tasks in all phases may be open-ended and continue for the duration of the F OQA program. However, the transition to Phase II begins definitively when the FAA approves the air carrier’s I&O Plan.
FIGURE 1. FOQA PHASES S t a r t 6 m o n t h s 12 months 18 month s 2 4 months P h a s e I I : I mplementation & Operations z z z z z z z z z I m p l e m e n t and audit security mechanisms I n s t a l l e q u i p ment T r a i n p e r s o nnel I n v o l v e s t a k eholders C o l l e c t a n d process a i r b o r n e d a t a A n a l y z e a n d validate data D e v e l o p a n d document F O Q A s y s t em procedures D e v e l o p I n f ormation S u b m i t t a l P r ocedures D e f i n e s t a r t - up criteria Phase III: Continuing Oper a t i o n s z z z z z Conduct periodic reviews Track costs and benefits Evaluate emerging technologies Expand data usage Market the FOQA program P h a s e I : P l a n n i n g a n d P r e p a r a t i o n z z z z z z z z z z E s t a b l i s h a s t e e r i n g c o m m it t e e D e f i n e g o a l s a n d o b j e c t i v e s I d e n t i f y s t a k e h o l d e r s S e l e c t t e c h n o l o g y S e l e c t p e r s o n n e l D e f i n e s a f e g u a r d s D e f i n e e v e n t s N e g o t i a t e p i l o t a g r e e m e n t D e f i n e F O Q A I n f o r m a t i o n S u b m i s s i o n P l a n G e n e r a t e F O Q A a n d I & O p l a n s z Conduct periodic meetings with company stakeholding departments
a. Phase I—Planning and Preparation.
(1) Overview. Phase I is the foundation of a FOQA program. This phase begins when the air carrier decides to establish a FOQA program. A FOQA plan that defines the type of system that will meet user needs and how that system will integrate with other areas of the company and stakeholders is then written. Because much of Phase I requires interdepartmental cooperation and communication, many air carriers establish a FOQA steering committee or similar oversight body. During this phase, the air carrier should also establish mechanisms for communicating the current status and progress of the program. These updates should be tailored to the interests of the various users. Planning, organizing, and obtaining resources for a FOQA program can be extremely challenging. The effort required should not be underestimated.
Realistic assessments of the required time and resources indicate that designing, developing, and implementing a FOQA program takes months. Educating users and fully realizing the benefits takes even longer.
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(2) Establish a Steering Committee. The formation of a FOQA steering committee is optional. However, it is a recommended first step in developing a FOQA program. The steering committee should define its members, meet regularly, and identify all applicable stakeholders early in the process. A typical steering committee might include a senior management member and representatives from flight operations, maintenance, safety, training, and the pilot association, if applicable. As Phase I progresses, the steering committee might invite the purchasing and legal departments to participate. Key issues to be addressed in Phase I are the size and scope of the FOQA program, organizational issues, resources requirements, and support from upper management. Determining where FOQA program responsibility will reside within the organization and ensuring participation of that group or department are important.
Experience has shown that the establishment of a steering committee is an important step for the following reasons:
(a) It formalizes the operator’s intent to initiate a FOQA program by creating a recognized, corporate-sponsored standing committee. Executive sponsorship demonstrates commitment and fosters this commitment through ongoing communication, thereby ensuring corporate-level understanding of the FOQA program’s value as well as its costs. Executive participation also makes FOQA a priority within the organization, supports allocation of required resources, and aids in overcoming any organizational resistance or departmental conflicts.
(b) It provides an early opportunity to identify and include the appropriate stakeholders from various air carrier departments in the FOQA program development process.
(c) It may conceive and articulate the vision for the air carrier’s FOQA program. The committee is also a vehicle for communicating that vision to the stakeholders and developing a consensus regarding key program issues.
(d) It can guide the FOQA program through Phase I and the development of the I&O Plan.
(3) Define Goals and Objectives. A key step in Phase I is to clearly define the vision, goals, and objectives of the FOQA program. These goals should be meaningful and measurable, define the expected uses for the FOQA data, identify critical success factors, and be prioritized.
Well-defined goals are tools for convincing stakeholders and management why the air carrier should invest in a FOQA program. At the beginning of Phase I, goals will likely be defined broadly, because the air carrier is still determining what the FOQA program will accomplish. By the conclusion of Phase I, a specific set of goals and objectives to achieve in Phase II should be defined.
(4) Involve Stakeholders. To correctly formulate the program’s expected output, stakeholders should be identified and involved early in the overall process. Each department is likely to require data analysis/reporting capabilities that are unique to its own needs. Identifying the stakeholders will help to identify their data analysis/reporting requirements, which will facilitate selection of the technology for recording, transporting, analyzing, and disseminating FOQA data. Initial stakeholders should include representatives from safety, flight operations, training, maintenance, engineering, airfield operations or ATC liaison, and the pilot association.
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(5) Identify User Needs. The Steering committee should conduct a user needs assessment to develop a better understanding of stakeholder needs and to establish user requirements for the operations, training, engineering, maintenance, or other relevant departments. This study elicits and analyzes users’ needs to assist in selecting the proper technology for the program. A clear and comprehensive understanding of the users’ needs is essential to the program’s success. FOQA’s primary benefits are directly related to the usefulness of the data analyses to the stakeholder. Further, the FOQA data analyses need to be distributed intelligently. Determine what pieces of information are valuable to the stakeholder and consider how FOQA data can enhance current processes. An effective user needs assessment may identify user groups reluctant to participate in the FOQA program and help bring them into the program.
(6) Select Technology. Determining the technology and vendors to use is a critical decision. FOQA programs are comprised of at least three interdependent specialized systems.
These three systems are airborne data collection, ground data replay and analysis, and data management and analysis. The first generation of programs used by U.S. air carriers was designed around commercial off-the-shelf (COTS) systems similar to those used in European and Pacific Rim FOQA programs. An increase in the number of air carriers implementing FOQA programs has led to an increasing number of vendors and products supporting FOQA programs.
The approach taken by these vendors varies widely and the technological solutions offered should be carefully evaluated to assess their suitability to the air carrier’s needs. Special consideration should be given to technical issues, such as whether a particular product is compatible with the avionics and bus configurations already on the aircraft. Vendor training, warranty, and support policies are also important considerations in product selection.
(7) Select Personnel. Selecting personnel to staff the FOQA program depends on the program’s scope, the size and organization of the air carrier, and the technology that will be implemented to record and analyze information. A typical program includes a FOQA manager, one or more FOQA analysts, and a FMT composed of experienced pilots. FMT members should be technically proficient on the aircraft types used in the FOQA program and have excellent communication and problem-solving skills.
NOTE: In order to obtain perspectives from various interested departments, an air carrier may “share” employees a cross normal departmental lines. For example, two part-time people (one from the safety department and one from the engineering department) may provi de a more synergistic approach than a single full-time analyst devoted only to FOQA.
(8) Define Safeguards. FOQA requires vigilant security and privacy protection for confidentiality of the data and to protect data against unauthorized disclosure, alteration, misuse, or destruction. The issue of data protection and security is sensitive and focuses on the confidentiality of a particular air carrier, flight, date, or flightcrew and a recorded event. The security policy should balance users’ needs to access the data against the need to keep the data confidential. From the outset, air carrier policies and procedures for all security and protective aspects of the FOQA program should be carefully designed, documented, implemented, and Par 7 Page 13
periodically reviewed. The person responsible for implementing the security policy, such as the gatekeeper, should be identified.
(9) Define Events/ROMs. The events/ROMs that can be defined are dependent upon the available parameters that are recorded on a given aircraft type. Event/ROM definition and modification starts in this phase and continues for the duration of the FOQA program. Typically, the first phase of a FOQA program focuses on a single aircraft type. Information on defining events/ROMs and associated parameters is contained in appendix A.
(10) Negotiate Pilot Agreement (if necessary). Establishing an air carrier FOQA program may necessitate the negotiation of an agreement between the air carrier and its pilots’ collective bargaining agent. This agreement defines the specifics of the FOQA program and its objectives and administration. This agreement is crucial for obtaining buy-in from the pilot community and for ensuring that line pilots play an integral part in the process.
(11) Generate FOQA I&O Plan. The FOQA I&O Plan is the most important output of Phase I. The I&O Plan describes key aspects of the FOQA program. Preparing this document is one of the last steps of Phase I. Work done on the FOQA Plan can serve as a basis for the I&O Plan. The I&O Plan must be submitted to the FAA for review and approval in order to obtain protection from FAA civil enforcement actions. See section 13.401(c) for specific guidance for the development of the I&O Plan, including a template and checklist, is provided in appendices A and B.
b. Phase II—Implementation and Operations.
(1) Work-Intensive. Phase II is the most work-intensive phase of a FOQA program.
During Phase II, the FMT performs the tasks outlined in the I&O Plan. The airborne and GDRAS equipment selected in Phase I are installed. Phase II initially focuses on a single fleet and a limited number of equipped aircraft (usually 15 to 25). A major milestone in this phase is the first time that the air carrier records FOQA data, processes the data, and performs an analysis. During this phase, activities transition from designing the FOQA program to implementing and administering the program. The FOQA steering committee will begin to function in more of an advisory capacity as the FMT begins to assume its leadership role.
NOTE: Experience has show n that it takes approximately three to six months from when data are first recorded until official program startup can commence. The transition to Phase III occurs w hen the air carrier is convinced that FOQA data are accurate, reliable, and secure.
(2) Implement and Audit Security Mechanisms. The security policies and procedures defined in Phase I should be implemented and thoroughly tested to see that they are effective.
The actual mechanisms for protecting the data will be based on the capabilities of the hardware and software used in the program. The gatekeeper should be trained on how to implement and manage these mechanisms to protect data and control access. All GDRAS users should receive instruction about the protective provisions and how to handle problems. Periodic audits of the Page 14 Par 7