be dictated by an aircraft’s specific operating limitations. Analysis of these events across fleet or model types must account for the difference in triggering.
(bb) To assist in standardization of the analysis, the events can be organized or grouped in different categories. One method of organizing the events could be by “phase of flight.” Another method may be to use the sections in the operator’s manuals where aircraft limitations or flight procedures are outlined or defined. Users should choose the method that best suits their needs.
(cc) The events may be categorized by the flight phase in which they are most likely to occur, although they may also occur in other phases. However, the flight phase is not used as a discriminator in the creation of these events. Each event is designed to work even if the software used does not use flight phase in its analysis process. The use of flight phase is a common method and may speed the processing of raw data.
(dd) Maintaining documentation of event definitions used in an operator’s analysis may be useful. Documentation of the events can assist the operator in validating trend analysis and serves as a guide to program history as events change or are modified during the maturation of the program. Documentation could include the name for specific events, a description that clarifies what the event is designed to measure, suggested event-triggering conditions, the needed parameters to create the event, a possible way of defining the event, and explanatory notes or comments that go beyond the event description. In the event definition, user-defined variables that need to be extracted from Approved Flight Manual (AFM), Flight Operations Manual, Flight Standards/training guidance, or other applicable corporate guidance should also be included.
(ee) Some parameters used in events are derived, meaning they are not directly measured by sensors in the aircraft, but are calculated as part of the processing done by the analysis software. Height Above Takeoff/Touchdown (HAT) is a good example of this.
Many events require an altitude component in relation to the airport elevation. This is most accurately done by using the elevation at takeoff or touchdown, calculating altitudes above this elevation, and then measuring actual aircraft performance at these points. There are many possible ways to calculate events, and those presented here may not be compatible with parameters available on a particular aircraft or the capabilities of particular analysis software.
Maintaining documentation of events will assist the carrier in trend analysis and the development of events as the program matures. Appendix II of the example I&O plan in Appendix A of this AC contains a representative sample of event documentation.
CAUTION: Each air carrier should review all events to see that the limits defining each event account for applicable federal regulations, airplane flight manual limitations, and company policies and procedures.
(c) Appendix III (Glossary). Definitions of all acronyms used in the document should be included. The definitions should cover more than just what the acronym stands for, the reader should be able to understand what the acronym means. In constructing the glossary, Par 9 Page 31
assume that the reader of the I&O Plan is unfamiliar with FOQA, as might be the case with senior management, union officers, legal staff, or local FAA representatives.
(d) Appendix IV (References). Include citations for all referenced documents including, but not limited to:
• Title 14 CFR Part 193, Protection of Voluntarily Submitted Information
• Title 14 CFR Part 13, Section 13.401, Flight Operational Quality Assurance Program
• AC 00-46 (as amended), Aviation Safety Reporting System (ASRS)
• AC 00-58 (as amended), Voluntary Disclosure Reporting Program
• AC 120-59 (as amended), Air Carrier Internal Evaluation Programs: Air Carrier Internal Evaluation-Model Program Guide
• AC 120-66 (as amended), Aviation Safety Action Program
• Flight Safety Foundation, FAA Contract Report, Air Carrier Voluntary Flight Operational Quality Assurance (FOQA) Program, 1992
• General Accounting Office, GAO/RCED-98-10, Aviation Safety—Efforts to Implement Flight Operational Quality Assurance Programs, December 1997
10. APPENDICES.
• Appendix A: Example of a FOQA Implementation and Operations Plan
• Appendix B: FOQA I&O Plan Checklist
11. ABBREVIATIONS
ABBREVIATIONS Abbreviation Term AAC Airline Administrative Control AC Advisory Circular ACARS Aircraft Communications Addressing and Reporting System ACDF Airline Common Data Format ACMS Aircraft Condition Monitoring System ACSF Airline Common Statistical Format AEEC Airlines Electronic Engineering Committee AFE Above Field Elevation AFM Approved Flight Manual AFS Aviation Flight Standards Service AFS-230 Volunteer Safety Program Branch ALPA Air Line Pilots Association AOC Aircraft Operational Control AQP Advanced Qualification Program ARC Aviation Rulemaking Committee ARINC Aeronautical Radio Incorporated ASAP Aviation Safety Action Program ASCII American Standard Code for Informational Interchange ASRS Aviation Safety Reporting System Page 32 Par 9
ABBREVIATIONS Abbreviation Term ATC Air Traffic Control BASIS British Airways Safety Information System CAS Computed Air Speed CMO Certificate Management Office COTS Commercial Off-The-Shelf CSV Comma Separated Value CVR Cockpit Voice Recorder DAR Digital ACMS Recorder DAS Designated Alteration Station DAU Data Acquisition Unit DBMS Database Management System DFDAR Digital Flight Data Acquisition Recorder DFDAU Digital Flight Data Acquisition Unit DFDMU Digital Flight Data Management Unit DFDR Digital Flight Data Recorder DMU Data Management Unit EGT Exhaust Gas Temperature EGT Exceedance Guidance Team EMT Event Monitoring Team ERC Event Review Committee FAA Federal Aviation Administration FAR Federal Aviation Regulations FDAU Flight Data Acquisition Unit FDR Flight Data Recorder FMT FOQA Monitoring Team FOD Foreign Object Damage FOIA Freedom of Information Act FOQA Flight Operational Quality Assurance FSDO Flight Standards District Office g Gravity (G-Force) Par 11 Page 33
ABBREVIATIONS Abbreviation Term GB Gigabyte GDL Ground Data Link GDRAS Ground Data Replay and Analysis System GPWS Ground Proximity Warning System HAA Height Above Airport HAT Height Above Takeoff/Touchdown HQ Headquarters HTML Hypertext Markup Language I&O Implementation and Operations IT/IS Information Technology/Information Systems LAN Local Area Network LFL Logical Frame Layout LRU Line Replaceable Unit MB Megabyte MEL Minimum Equipment List MMO Maximum Mach Operating Speed MTBF Mean Time Between Failure N1 Low Pressure Compressor N2 High/Intermediate Pressure Compressor NAS National Airspace System NASA National Aeronautics and Space Administration NTSB National Transportation Safety Board ODBC Open Database Connectivity OQAR Optical Quick Access Recorder Order 8400.10 Air Transportation Operation’s Inspectors Handbook PAI Principal Avionics Inspector PCMCIA Personal Computer Memory Card International Association PDF Portable Document Format PMI Principal Maintenance Inspector POI Principal Operations Inspector PPH Pounds Per Hour PPM Partial Program Manager PSI Pounds Per Square Inch QA Quality Assurance QAR Quick Access Recorder RA Traffic Alert and Collision Avoi dance System (TCAS) Resolution Advisories RFP Request for Proposal ROM Routine Operational Measurement SRU Shop Replaceable Unit SSFDR Solid State DFDR STC Supplemental Type Certificate Page 34 Par 11
ABBREVIATIONS Abbreviation Term TA Traffic Alert and Collision Avoidance System (TCAS) Traffic Advisories TC Type Certificate TCAS Traffic Alert and Collision Avoidance System TE Triggered Event V1 Critical Engine Failure Speed V2 Takeoff Safety Speed VLE Maximum Landing Gear Extend Speed VMO Maximum Operating Limit Speed VREF Reference Velocity WAN Wide Area Network WDL Wireless Data Link 14 CFR Title 14 of the Code of Federal Regulations 49 U.S.C. Title 49 of the United States Code
/s/ James J. Ballough Director, Flight Standards Service Par 11 Page 35 (and 36)
Appendix A APPENDIX A. EXAMPLE OF A FOQA IMPLEMENTATION AND
OPERATIONS PLAN
This section contains an example of an Implementation and Operations (I&O) Plan. Section numbering and section names in this example are suggestions only. They represent the topics that should be included in the I&O Plan. The text of this example is boilerplate content only.
It should be used as a baseline and modified accordingly. Instances of [Airline Name] should be replaced with the name of the actual air carrier or operator. Name references to particular equipment should also be modified appropriately.
1. BACKGROUND
Flight Operational Quality Assurance (FOQA) is defined as a program to improve flight safety by providing more information about, and greater insight into, the total flight operations environment through selective automated recording and analysis of data generated during flight operations. Analysis of FOQA data can reveal situations that require improved operating, training, and maintenance procedures, practices, equipment, and infrastructure.
In support of the public safety objective, the FAA has publicly endorsed the development and implementation of voluntary FOQA programs as a tool for continuously monitoring and evaluating operational practices and procedures. In Advisory Circular (AC) 120-59 (as amended), Air Carrier Internal Evaluation Programs, the FAA states, “public safety is enhanced if deficiencies are identified and immediately corrected when they are discovered by the certificate holder rather than when they are discovered by the FAA.” FOQA programs can provide the quantitative and objective information needed to identify deficiencies during the certificate holder’s internal audit and evaluation process.
FOQA programs are based on the premise that air carriers have primary responsibility for continuously monitoring and ensuring that their operations are safe and in compliance with their operating standards and the regulations. A FOQA program will assist [Airline Name] in identifying and addressing operational deficiencies and trends that are not generally detectable with other procedures. Additionally, analysis of some FOQA program data may contribute to improved safety and efficiency in the design and operations of air traffic control (ATC) systems, aircraft, and airports. Many potential applications of FOQA data have been identified to date.
These applications aim to improve safety, evaluate and enhance training practices, revise operating procedures, assist aircraft engineering programs, improve maintenance efficiency, and assist manufacturers in aircraft design and modification.
Several foreign air carriers have successfully implemented FOQA-type programs that use flightrecorded data to improve operational safety and performance. Lengthy track records in effective usage of this information (over 20 years in the cases of British Airways and Scandinavian Airlines System) have provided foreign carriers with clear evidence that FOQA program data represent a source of valuable information that, when used appropriately, can contribute greatly Page 1
Appendix A to aviation safety. Airlines that currently have FOQA-type programs agree that the insights derived from these programs have prevented serious incidents and accidents and have led to improved operating efficiencies.
FOQA information can be included in the voluntary audits and evaluations described in AC 120-59 to determine the causes of deficiencies and to suggest enhancements to operating practices. Title 14 of the Code of Federal Regulations (14 CFR) part 13 states the conditions under which information obtained from an approved voluntary FOQA program will not be used in legal enforcement actions against an operator or its employees. In addition, 14 CFR part 193 contains provisions for certain protection from public disclosure of voluntarily submitted safety related information, when such information has been designated by an FAA order as protected from disclosure under that part.
2. INTRODUCTION
The I&O Plan presented in this document specifies the organization, technology, policies, procedures, and operational processes used in the [Airline Name] FOQA program.
The core objective and intent of the [Airline Name] FOQA program is to facilitate the free flow of safety information. The FOQA program will:
1. Collect operational flight data.
2. Develop methods to analyze the collected flight data, such as triggered events and routine operational measurements.
3. Establish procedures for comparing the collected data with established procedures and standards and the use of analyzed data in formal awareness and feedback programs to enhance safety in the following areas:
a. Flight procedures
b. Flight training procedures and qualification standards
c. Crew performance in all phases of flight
d. Air traffic control procedures
e. Aircraft maintenance and engineering programs
f. Aircraft and airport design and maintenance
4. Perform trend analyses of FOQA data to identify potential problem areas, evaluate corrective actions, and measure performance over time.
3. FOQA PROGRAM STAKEHOLDERS
The FOQA program will provide large amounts of previously unavailable data to significantly improve the problem definition process and allow assessment and resolution of systemic safety and efficiency issues. Beneficiaries or stakeholders within [Airline Name] include, but are not limited to, the following:
Appendix A
1. Flight Safety
2. Flight Training and Standards
3. Flight Operations
4. Maintenance and Engineering
5. Operations Control and Dispatch
6. Pilot Association
Cooperation with stakeholders outside of [Airline Name] will also benefit the [Airline Name] FOQA Program. These stakeholders may include, but are not limited to, the following:
1. FAA
2. NASA
3. ATC
4. Aircraft manufacturers
5. Other industry safety groups.
4. PROTECTIVE PROVISIONS, PILOT ASSOCIATION AGREEMENT (IF
APPLICABLE), AND CORPORATE POLICY STATEMENT
Key to the success of the [Airline Name] are specific protective provisions that will protect both [Airline Name] and its employees from FAA certificate action or civil penalties as a result of information and data that are collected and analyzed by the FOQA program. In establishing these protective provisions, [Airline Name] has pursued the following distinct courses of action.
[Airline Name] has established a corporate policy endorsed by senior management providing that no pilot shall ever be subject to disciplinary or other pejorative action by [Airline Name] from data or information that is produced by the FOQA program, and [Airline Name] has formalized that policy in a FOQA agreement that has been negotiated and accepted by the [Airline Name] Pilot Association [If applicable]. [Airline Name] will establish procedures for sharing of FOQA trend analysis and other pertinent de-identified data with the FAA, as specified in this I&O Plan.
These actions are intended to create a framework of cooperation between the Pilot Association [if applicable], the FAA, and [Airline Name] that will permit the most effective use and analysis of FOQA data.
5. DATA PROTECTIVE PROVISIONS AND SECURITY
General Key areas that were considered in developing the protective provisions for the FOQA program include:
Appendix A
1. Confidentiality⎯Provides that the identity of individual crewmembers cannot be associated with any FOQA data, except for the purposes of crew-contact as provided for in this I&O Plan.
1. Anonymity⎯Provides that any identification of airline flight and/or flightcrews with specific FOQA flight data necessary during an analysis is eliminated permanently at the earliest possible time and in accordance with the pilot association agreement.
2. Data access and control⎯Identifies data that require protection and assigns overall responsibility for data protection. In addition, data access and control provides guidelines and procedures to protect data; provides authorized access to data, data processing and storage locations; provides authorized access to reports and other data outputs, and requires the destruction of data after the retention period has expired.
3. FOQA facilities⎯Provides secure, controlled access facilities for all systems, offices, equipment, workstations, computers, and peripherals associated with the FOQA program.
Additionally, secure systems will also be provided for storage of all FOQA-related materials, including paper, media, and backup devices.
FAA FOQA Enforcement Policy
The [Airline Name] FOQA Program incorporates the protections codified in the FOQA Rule, part 13, section 13.401, which states that except for deliberate or criminal acts, the Administrator will not use [Airline Name]'s FOQA data or aggregate FOQA data in an enforcement action against [Airline Name] or its employees when such FOQA data or aggregate FOQA data is obtained from a FOQA program that is approved by the Administrator.
Legislation In the Federal Aviation Reauthorization Act of 1996, Congress included specific provisions pertinent to the public release of safety-related information that was voluntarily submitted to the FAA. Specifically, the Reauthorization Act added a new section—49 U.S.C. § 40123—to the FAA’s governing statute to protect voluntarily submitted information from disclosure if the Administrator finds that (1) the disclosure of the information would inhibit the voluntary provision of that type of information and that the receipt of that type of information aids in fulfilling the Administrator's safety and security responsibilities; and (2) withholding such information from disclosure would be consistent with the Administrator's safety and security responsibilities.
The Administrator has issued a rule, 14 CFR part 193, which accomplishes the purposes set forth in this legislation. This rule describes the provisions for designating information that would be protected. Information collected under an FAA-approved voluntary FOQA program has been designated by FAA Order 8000.81 as coming under the provisions of this rule.
Appendix A
6. FOQA PROGRAM COMPONENTS
The principal components that will compose the FOQA program at [Airline Name] are described below and are illustrated in Figure 1.
Aircraft Fleet
The [Aircraft Model/Type] aircraft will be the launch aircraft for the [Airline Name] FOQA program. Twenty of these aircraft will be used to initiate the FOQA program. These aircraft will be equipped with the [Product Name] Flight Data Acquisition Management System on a schedule established by [Airline Name] Maintenance and Engineering. Additional aircraft will be added to the FOQA program pending approval from the FOQA Monitoring Team (FMT) as sufficient experience is gained on data acquisition and analysis.
Airborne Data Acquisition System
[Airline Name] will be utilizing the [Product Name] Quick Access Recorder. This recorder collects continuous flight data parameters and stores this information on the [Specify Storage Media, e.g., PCMCIA card].
Data Download and Airborne System Maintenance and Support
The Flight Data Acquisition Management System and Quick Access Recorder will be maintained per the FAA-approved [Airline Name] aircraft maintenance program. Avionics Engineering will be responsible for managing this process. The [Storage Media] will be downloaded [specify frequency] by means of [Specify Downloading Methodology, e.g., removal and replacement of PCMCIA cards]. The FOQA Manager will be responsible for coordinating maintenance issues with [Airline Name] Avionics Engineering regarding data download and any Flight Data Acquisition Management System problems discovered during data analysis.
Ground Data Replay and Analysis System (GDRAS)
The GDRAS is designed to process and analyze data from all FOQA-equipped aircraft in the [Airline Name] fleet. It will apply protective mechanisms, including removal of identifying information in accordance with the provisions described in the previous sections. The GDRAS will also include trend analysis capabilities to explore historical data and analyze similar event data from past flights to determine if any patterns exist or if further study is warranted.
Appendix A Other Equipment
[Airline Name] will be investigating several other components to incorporate into the FOQA program as the technology becomes available and requirements are identified and refined. The addition of these components is subject to approval by the FMT.
FIGURE 1. FOQA SYSTEM ARCHITECTURE
F D R ( F lig h t Da ta Re c o r d e r) H a n d - h e ld Do wl o a d U n it RDS ( R e m o te Da ta S y s te m ) (L oc at io n) EM S W o rk s ta tio nE M S W o r kst a tio n EM S W o rk s ta tio n F D W (F ligh t D a ta W a r e ho us e A irc ra ft F O Q A D a ta M O Q A D a tafile f o r m a t: .p c r , .u c rS e r ia l C o n n e c t io n Da ta C e n te r FD A P O ff ic e Ma in te n a n c e P C fo r S W I S o ftw a re F D A P (F lig h t D a ta A n a ly s is P r o g r a m ) - A r ch itec tu r e
PC M C IA D F D A U ( D ig it a l F lig h t D a ta A c q u is itio n U n it) F A A D a t a w ith in c r e a s e d u p d a te r a t e F A A S p e c ific D a ta C D S ( C o m m u ni c a tion S e rv e r ) A C M S (A ir c raf t C o ndi tion in g M o n ito r in g S y s tem ) A P M ( A ut om at ed P a r a m e te r M e as ur e m ent ) T e rm in al S e rv er E M S E v en t M e as ur e m en t S y s te m ) S e rv e r s Replicated Data