SE-10 8/26/99

Implementation Plan for Airline Proactive Safety Programs (FOQA & ASAP)

Statement of Work (SE-10)

Develop and implement a mutually agreed upon methodology to use de-identified Flight Operations and Quality Assurance (FOQA), and Aviation Safety Action Partnership (ASAP) information for the purpose of proactively identifying safety related issues and corrective actions. Key to the development and implementation of this project is to ensure that legislative, regulatory and contractual actions are taken which prevent misuse of information. Included in this development and implementation of proactive safety programs are the development of analytical tools which will enable the identification of system safety deficiencies and corrective actions.

Outcomes/Benefits

Give operators the tools to enable them to identify safety issues and trends, and identify and initiate corrective actions prior to an accident occurrence.

Outputs

1. Standards of Appropriate Data Use - As outlined in the “Statement of Work”, the key to implementation of this plan is to ensure that legislative, regulatory and contractual actions occur which prevent the use of collected information for punitive or legal purposes. It is recognized that rulemaking may be required in order to establish appropriate standards for use of collected data. Further, while some of these actions may be outside the direct responsibility of CAST, it may be up to CAST to exercise its’ influence in order to develop and establish those standards.

   Resources: FAA (AFS, AGC, ASY), Operators (ATA, RAA), Employee Groups

   Time to Complete: 270 days

   Actions:

   • FAA AFS and AGC to work with industry groups to draft and issue a NPRM preventing use of data collected under FOQA and ASAP programs in certificate actions against the airlines or their employees.
   • Employee groups (ALPA, APA, IAM) to work with operators (ATA, RAA) to draft contractual language to prevent the use of FOQA or ASAP information as a basis for disciplinary actions.
   • Operators (ATA, RAA) to work with Employee groups (ALPA, APA, IAM) to develop on push legislative language to exempt FOQA and ASAP information from FOIA disclosure and prevent misuse of FOQA and ASAP information.
2. Guidance material outlining standards for the establishment of FOQA and ASAP programs. This material must include adequate guidance regarding the establishment and implementation of the program, an outline for the role of the regulatory agency and employee groups in the program, and minimum standards and components for the analytical tools and methods that could be used to identify safety trends. Also included is a method and process to recommend and obtain approval for corrective actions.

   Resources: FAA (AFS, ASY, AGC), Operators (ATA, RAA), Employee Groups, aircraft manufacturers & equipment vendors

   Time to Complete: 180 days

   Actions:

   • Industry - Form FOQA and ASAP Steering Committees comprised of government and industry representatives, endorsed by FAA, which would be available to provide guidance to operators regarding the implementation of FOQA and ASAP programs (mentoring). Each steering committee would be responsible for the development and establishment of standards for FOQA and ASAP programs. In addition, each steering committee is to document those standards for FOQA and ASAP programs.
   • FAA - Convene a group of the referenced organizations to draft and coordinate Advisory Circulars for FOQA and ASAP. Lead organization for FOQA AC is **AFS-230 and for ASAP AC is ASW-201B. A draft FOQA AC exists but is tied to the FOQA final rule. A re-draft of the ASAP AC began in April 1999 with scheduled completion in September 1999.
3. Guidance material for FAA Flight Standards personnel in the form of Handbook Bulletins (HBAT) to insure consistent application of the advisory material regarding the approval of and participation in proposed FOQA & ASAP programs.

   Resources: FAA AFS, Operators (ATA, RAA), Employee Groups

   Time to Complete: 60 days after completion of FOQA and ASAP program guidance documentation

   Actions:

   • FAA - Convene a group of the referenced organizations to draft HBAT guidance regarding approval of FOQA & ASAP programs. FAA AFS-1 is the lead organization for HBAT development.
4. Guidance documentation outlining voluntary procedures and protocols for the sharing of trend information or corrective actions amongst the user community. Progress on this product is extremely dependent on the development and implementation of the protective provisions outlined earlier.

   Resources: Operators (ATA, RAA), Employee groups, FAA ASY

   Time to Complete: 24 months after data protections are implemented

   Actions:

   • Operators (ATA, RAA) and Manufacturers (AIA) develop a process to identify and communicate “Hot Topic” items of focus or review that could be monitored for a specific time frame.
   • The GAIN steering committee in conjunction with NASA and FAA AFS should draft and coordinate guidance material regarding the sharing of trend information and corrective actions developed from FOQA and ASAP programs. This guidance material should also identify potential venues that could be used to facilitate the sharing of this information. An example would include the ATA FOQA Task Force.
5. During the course of the CFIT JSAT and JSIT it became clear that had FOQA or ASAP data been available for analysis, more detailed root cause analysis may have been possible. This in turn may have resulted in the development of additional interventions, and greater substantiation for the interventions identified. While a number of FOQA and ASAP programs have matured to the point where useful information is being developed, additional software tools are needed that can be applied to FOQA and ASAP data to more easily extract and analyze safety trend information. Importantly, these programs could and should be able to be readily conducted by both large and small operators for a continual assessment of flight operations. Further, guidance material should be developed that outlines the basic considerations needed for an operator to tailor FOQA and ASAP programs and tools for that operators’ equipment, operating environment, and available resources.

   Resources: NASA, Operators (ATA, RAA), Employee groups, Flight Safety Foundation (FSF), FAA (AFS, ASY, ATC), Airframe Manufacturers and Equipment Suppliers

   Time to Complete: 270 days

   Actions:

   • Flight Safety Foundation - Continue to promote and advertise FSF FOQA overview documentation.
   • ATA & RAA - Through the FOQA task force draft and coordinate documentation outlining suggested methods and procedures regarding key components of analysis and trend identification programs and suggested items to monitor in FOQA and ASAP programs.
   • FAA & NASA - Publish results of studies reviewing existing FOQA and ASAP programs and the analysis tools those existing programs employ.
   • NASA - Undertake studies to develop analytical tools and methods that both large and small operators could apply to FOQA and ASAP information.

Relationship to Current Aviation Community Initiatives

A number of years ago, as US aviation industry began exploring the potential safety benefits of FOQA and ASAP programs, an industry/government FOQA and ASAP Task Forces were formed. In the years since its formation, this task force has been active in initiating and promoting the majority of the activities outlined below.

Standards of Appropriate Data Use

• Administrators policy letter issued December 2, 1998. Industry found this policy letter acceptable until it can be replaced by more formal actions precluding the FAA from using FOQA and ASAP data in enforcement actions against airlines or their employees.
• In 1998 legislation was passed giving the FAA Administrator the ability to designate that information voluntarily submitted to FAA could be exempted from FOIA.
• Draft legislation attached to the FAA re-authorization bill would require rulemaking eliminating punitive use of information collected by FOQA and ASAP programs.
• FOQA NPRM prohibiting punitive use of FOQA and ASAP information by FAA. Draft rule held up in legal review by DOT legal conducting cross agency coordination. Justice Department is afraid that FOQA rule would be precedent setting.
• NTSB re-authorization legislation gives NTSB the option of non-disclosure of safety information voluntarily submitted to NTSB during the investigation of an accident.
• Through funding made available by the FOQA Demonstration project, 6 to 8 airlines have developed and implemented FOQA programs. Based on experience with these programs, these airlines have developed procedures and guidelines regarding control, access, and retention of information collected in order to protect and prevent potential misuse of the information.
• Flight Safety Foundation undertook a study of FOQA programs and outlined in a report the key components of any program and the necessity for data retention standards at various levels and how those standards can be maintained.
• Draft contractual language preventing use of FOQA and ASAP information as a basis for disciplinary action has been developed and is available for use.

Guidance Material for establishment of FOQA and ASAP Programs

• In 1994 one airline developed and implemented an ASAP program, as this program matured and evolved it has become the model for an ideal program.
• On January 8, 1997 FAA released Advisory Circular 120-66 regarding ASAP programs. Unfortunately, industry found this AC unacceptable since it outlined certificate action steps the FAA could follow if any incidents or reports involved possible FAR violations. Provisions in this AC to allow FAA to use voluntarily submitted safety reports as evidence in enforcement proceedings makes programs established under this AC unacceptable. As a result no new, formal, ASAP programs have been approved by FAA or implemented by operators.
• In April 1999 FAA Administrator announced a commitment to draft a new ASAP Advisory Circular.
• FAA has drafted a FOQA Advisory Circular. The release of this AC is tied to the release of the FOQA NPRM discussed previously.

Guidance Material for FAA Flight Standards Personnel regarding approval of, and participation in, proposed programs

• Advisory Circular 120-66 issued January 8, 1997. See above.
• FAA is currently drafting a handbook bulletin regarding ASAP and the key components and benefits of the program.
• With the issuance of AC 120-66, FAA AFS also issued a HBAT to flight standards personnel providing guidance for the approval of ASAP programs.
• With the April 1999 commitment to re-draft the ASAP AC, FAA also committed to revise the HBAT guidance material for Flight Standards approval of ASAP programs.

Analytical Tool Development

• A number of industry organizations (example FSF) have studied operational FOQA programs and have reported on the key analytical tools used to identify safety trends.
• The FOQA Demonstration Program referred to previously has given participating operators an opportunity to develop and refine data analysis tools and tailor those tools to the airlines specific operation. The lessons learned by these operators are available to others considering FOQA program implementation.
• A number of FOQA equipment vendors have developed analytical tools which are available for purchase.
• NASA has initiated a number of programs under their Aviation Safety Program which are tasked with the development of analytical tools and monitoring methods to identify safety trends.

Sharing of Trend Information

• During the past few years industry and government have been active in a number initiatives regarding data protection, data de-identification, data analysis and trend identification, and the possible sharing of safety related information. Examples include GAIN, ASRS, BASIS SIE and APMS.
• NASA has been attempting to develop an infrastructure that would facilitate the sharing of safety information.

Performance Goals & Indicators for Outcomes/Outputs:

For these Outputs to be successful in achieving the 2007 goal, Airlines operating under FAR 121 and the FAA need to establish FOQA and/or ASAP type programs by January 2003.

Note: Some operators may not have the capability necessary to implement both.

Responsible Organizations for Coordination

The development and implementation of FOQA and ASAP programs to date have been accomplished by a cooperative partnership process. The continual development and implementation of these programs, because of the sensitive nature of the information collected, is dependent on the continued use of this partnership approach.

Programmatic Approach

A review of current, formal, programs underway within and outside the US was undertaken in order to identify the key components, issues, and benefits of implementing FOQA and ASAP programs. In addition, with each of these programs, both the regulatory and philosophical environment were also reviewed. Based on this review it was found that legislative actions and rulemaking to ensure the appropriate use of the data collected and prohibit misuse was needed. In addition, because of the complexity of each of these programs, detailed advisory material would have to be developed which provides sufficient guidance regarding the establishment and conduct of any proposed program and the analysis and use of the data retained.

Key Products and Milestones

Table: Key Products and Milestones

Plan/Execution Requirements

Industry and government must be willing to commit the staffing, costs and political leverage resources to support ASAP and FOQA development and implementation. Key to this development and implementation is establishing the appropriate data use standards necessary to facilitate the collection of useful ASAP and FOQA data. These standards may also facilitate the open sharing of information.

Plan Development

The following organizations participated in the development of the Detailed Implementation Plain (DIP):

• FAA
  • AFS
  • ASY
• ALPA
• USAirways
• NASA
• APA
• United Airlines
• ATA
• American Airlines
• Comair Airlines
• FSF
• CFIT JSIT

Plan Implementation

To implement the “Airline Proactive Safety Programs” detailed plan requires resources from the following organizations:

• FAA
  • AFS
  • AGC
  • ASY
  • ATC

• Labor Assn
  • Pilots
  • Mechanics
  • Controllers
• Airlines
  • ATA
  • RAA
• NASA
• FSF
• Equipment Vendors
• DOT GC

Risk Description

High risk. Without the ability to implement these programs, industry will lose the opportunity to perform proactive safety analysis on a full range of operational issues. Given the current “legal” environment regarding data collection and use, and potential punitive actions coupled with the resistance within some organizations of the government, the probability of widespread implementation of detailed FOQA and ASAP programs is low.

Risk Mitigation Plan

Identify ways, procedures and protocols, to implement components of FOQA and ASAP programs that are not reliant on data use restrictions. Efforts could be undertaken to identify which components could be implemented, or what procedures could be employed to mitigate the lack of data restrictions. This will be difficult and will result in limiting the quality of data collected. This in turn will narrow the scope of the usefulness of the program.

Impact on Non-FAR Part 121 or International Applications

Lessons learned from FOQA and ASAP programs by airlines can, and should be, transferred to code sharing partners if applicable. The code sharing partners should be encouraged to review those corrective actions for applicability and implement the “lessons learned” were appropriate.

Appendices

• Appendix A

Related Safety Enhancements

• SE010: Proactive Safety Programs (FOQA + ASAP)

Related Outputs

• SE010: PART 193: Protection of Voluntarily Submitted Information
• SE010: Advisory Circular 120-66B