AC 120-82 - Flight Operational Quality Assurance

Advisory

Circular

U.S. Department

of Transportation

Federal Av iation

Administration

Date: 4/12/04 AC No: 120-82

Initiated By: AFS-230 Change: Subject: FLIGHT OPERATIONAL

QUALITY ASSURANCE

1. PURPOSE. This advisory circular (AC) provides guidance on one m eans, but not necessarily

the only m eans, of developing, im plem enting, and operating a voluntary Flight Operational

Quality Assurance (FOQA) program that is acceptable to the Federal Aviation Adm inistration

(FAA).

a. FOQA is a voluntary safety program that is designed to m ake com mercial aviation safer

by allowing com mercial airlines and pilots to share de-identif ied aggregate inf ormation with the

FAA so that the FAA can m onitor national trends in aircraft operations and target its resources to

address operational risk issues (e.g., flight operati ons, air traffic control (ATC), airports). The

fundam ental objective of this new FAA/pilot/carrier partnership is to allow all three parties to

identify and reduce or elim inate safety risks, as well as m inimize deviations from the regulations.

To achieve this objective and obtain valuable safety inform ation, the airlines, pilots, and the

FAA are voluntarily agreeing to participate in this program so that all three organizations can

achieve a m utual goal of m aking air travel safer.

b. A cornerstone of this new program is the understanding that aggregate data that is

provided to the FAA will be kept conf idential and the identity of reporting pilots or airlines will

remain anonym ous as allowed by law. Inform ation subm itted to the FAA pursuant to this

program will be protected as “voluntarily subm itted safety related data” under Title 14 of the

Code of Federal Regulations (14 CFR) part 193.

(1) In general, aggregate FOQA data provided to the FAA under 14 CFR part 13,

section 13.401 should be stripped of inform ation that could identify the subm itting airline prior

to leaving the airline prem ises and, regardless of subm ission venue, should include the following

statem ent:

WARNING: This FOQA information is protected from disclosure under

49 U.S.C. 40123 and part 193. It may be released only w ith the w ritten

permission of the Federal Aviation Ad ministration Associate Administrator

for Regulation and Certification.

AC 120-82 4/12/04

(2) However, if an airline voluntarily elect s to provide the FAA with aggregate FOQA

data that includes airline identifying inform ation, then it should include an additional statem ent

that it is the proprietary and confidential property of [Airline Nam e].

c. As defined in this AC, operator FOQA program s include provisions for the identification

of safety issues and developm ent and im plem entation of corrective actions. FOQA can provide

objective safety inform ation that is not otherwise obtainable. No aircraft operator is required to

have a FOQA program . No operator that conduc ts a FOQA program is required to obtain FAA

approval of that program . However, an aircraft operator that seeks the protection available in

part 13, section 13.401 from the use by the FAA of FOQA inform ation for enforcem ent purposes

must obtain FAA approval of its program . For that purpose:

(1) The elem ents of a FOQA program are set forth by an aircraft operator in an

Implem entation and Operations (I&O) Plan that is subm itted to the FAA f or review and

approval. Guidance on the appropriate content of a FOQA I&O Plan is provided in appendix A

of this AC.

(2) The guidelines contained herein are based on the extensive experience of the FAA

and the airline industry in developing FOQA program s and constitute a com pilation of best

practices. The provisions of this AC neither add nor change regulatory requirem ents or authorize

deviations from regulatory requirem ents.

2. BACKGROUND. In recent years, the FAA and the air transportation industry have sought

additional m eans for addressing safety problem s and identifying potential safety hazards. Based

on the experiences of foreign air carriers, the re sults of several FAA-sponsored studies, and input

received from governm ent/industry safety forum s, the FAA has concluded that wide

implem entation of FOQA program s could have signi ficant potential to reduce air carrier accident

rates below current levels. A reduction in the already low U.S. airline accident rate is needed to

preclude a projected growth in the num ber of accidents, which is expected to occur due to

increased future traffic volum e. The value of FOQA program s is the early identification of

adverse safety trends that, if uncorrected, could lead to accidents. A key elem ent in FOQA is the

application of corrective action and follow-up to assure that unsafe conditions are effectively

remediated.

3. SCOPE AND APPLICABILITY. The inform ation contained in this AC applies prim arily

to air carriers that operate under part 121 or 135, but m ay be applicable to operators under other

parts. The aircraft operator voluntarily enters into a FOQA program .

4. RELATED REGULATIONS (14 CFR).

• Part 13

• Part 119

• Part 193

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5. KEY TERMS. The following key term s 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 sum mary 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 m athem atically com bines individual data

elem ents based on som e criterion (e.g., tim e, geographical location, event level, aircraft type).

Each aggregation is based on factors of interest to the analyst at a particular point in tim e.

c. Data Management Unit (DMU). A unit that perform s the sam e 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 airfram e/engine and flight perform ance m onitoring and analysis. Som e DMUs have

ground data link and ground collision avoidance system s 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 dam aged sensors.

e. De-identified Data. Data from which any identifying elem ents that could be used to

associate them with a particular flight, date, or flightcrew has been rem oved.

f. Event. An occurrence or condition in which predeterm ined values of aircraft param eters

are m easured. Events represent the conditions to be tracked and m onitored during various phases

of flight and are based on the sensory data para meters 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 whic h FOQA event m onitoring and trend analysis is

based.

h. Event Levels. The param eter lim its that classify the degree of deviation from the

established norm into two or m ore event severity categories. W hen assigning levels to an event,

consideration is given to com pliance with federal regulations, aircraft lim itations, and com pany

policies and procedures.

i. Event Set. A collection of events designed to m easure all aspects of norm al flight

operations for a particular aircraft type at a particular air carrier. Individual events within the

event set would be custom ized to the approved lim itations for the aircraft type and in accordance

with the air carrier’s operational procedures. The event set for a particular fleet m ay be lim ited

by the available param eters on the aircraft.

j. Event Validation. The process in which an event is determ ined to be a valid sam ple of

operation outside the established norm . Even though aircraft param eter lim its m ay have been

exceeded, a valid event m ay not have occurred (e.g., significant localizer deviation m ay have

occurred when an aircraft was m aking a sidestep approach to a parallel runway).

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AC 120-82 4/12/04

k. Flight Data Acquisition Unit (FDAU) . A device that acquires aircraft data via a digital

data bus and analog inputs and that form ats the info rmation for output to the flight data recorder

in accordance with requirem ents of regulatory agencies. In addition to the m andatory functions,

many FDAUs have a second processor and m emory module that enables them to perform

additional Aircraft Condition Monitoring Syst em (ACMS) functions/reports. The FDAU can

provide data and predefined reports to the cockpit printer, directly to Aircraft Com munications

Addressing and Reporting System (ACARS) for transm ittal 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 param eters and

technical inform ation about a flight. At a m inimum, it records those param eters required by the

governing regulatory agency, but m ay record a m uch higher num ber of param eters. An FDR is

designed to withstand the forces of a crash so that inform ation recorded by it m ay be used to

reconstruct the circum stances 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 m ore inform ation about, and greater

insight into, the total flight operations environm ent. A FOQA program com bines these data with

other sources and operational experience to develop objective inform ation to enhance safety,

training effectiveness, operational procedures, m aintenance and engineering procedures, and air

traffic control (ATC) procedures.

n. FOQA Monitoring Team (FMT). A group com prised 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, recom mending, and m onitoring corrective actions.

o. FOQA Plan. An internal air carrier planning docum ent that contains detailed inform ation

on FOQA im plem entation and operation and serves as the basis for the I&O Plan.

p. FOQA Steering Committee. An oversight com mittee form ed at the beginning of FOQA

program planning to provide policy guidance a nd vision for the FOQA effort. Mem bership m ay

include a senior m anagem ent person and representatives from key stakeholder departm ents, such

as flight operations, m aintenance, training, and safety. A representative from the pilot association

is also typically included on this com mittee.

q. Gatekeeper. The FMT m ember who is prim arily responsible for the security of

identified data. The gatekeeper is the individual(s) who can link FOQA data to an individual

flight or crewm ember. The gatekeeper is norm ally a m ember 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 param eters

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4/12/04 AC 120-82

• Com pare recorded or calculated values to predeterm ined norm s using event

algorithm s

• Generate reports for review

s. Implementation and Operations Plan (I&O Plan). A detailed specification of key

aspects of a FOQA program to be im plem ented 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 inform ing the FAA as to any corrective action being undertaken

t. Logical Frame Layout (LFL). A data m ap that describes the form at in which param eter

data are transcribed to a recording device. This docum ent details where each bit of data is stored.

u. Parameters. Measurable variables that supply inform ation about the status of an aircraft

system or subsystem , position, or operating environm ent. Param eters are collected by a data

acquisition unit installed on the aircraft and then sent to analysis and reporting system s.

v. Phase of Flight. The standard high-level set of activities perf ormed by pilots on all

operational flights (i.e., preflight, engine start, pushback, taxi, takeoff, clim b, cruise, descent,

holding, approach, landing, taxi, and postflight operations).

w. Quick Access Recorder (QAR). A recording unit onboard the aircraft that stores flight-

recorded data. These units are designed to provide quick and easy access to a rem ovable m edium

on which flight inform ation is recorded. QARs m ay also store data in solid-state m emory that is

accessed through a download reader. QARs have now been developed to record an expanded

data fram e, som etimes supporting over 2,000 param eters at m uch higher sam ple rates than the

FDR. The expanded data fram e greatly increases the resolution and accuracy of the ground

analysis program s.

x. Routine Operational Measurement (ROM). A “snapshot” look at a selected param eter

value at predefined points in tim e or space dur ing every flight being analyzed by the GDRAS.

ROMs provide standard statistics (e.g., m inimum, maximum, average) for the specified

param eter for a particular period of tim e or condition. Since ROMs are collected on every flight,

they provide valuable trending insight into norm al operations. Routine operational m easurem ents

are also useful in establishing a baseline for norm al aircraft operation across a fleet.

y. Sample Rate. The num ber of tim es per second that a specific param eter value is recorded

by the onboard recording system . Norm ally, m ost param eters are sam pled once per second.

Increasing or decreasing the sam ple rate will directly increase or decrease the am ount of data

recorded by the onboard system . The ability to change a param eter sam ple rate is a function of

the m easurem ent source and the onboard recording system capabilities. Varying the param eter

sample rate can be usef ul in enhancing tim e critical analysis capabilities.

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AC 120-82 4/12/04

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 wi reless technologies. It m ay also allow for upload

of data to the aircraft. Som etimes referred to as Ground Data Link (GDL).

6. FOQA PROGRAM OVERVIEW.

a. FOQA Program Components. The prim ary com ponents of a FOQA program include:

(1) Airborne Data Recording Systems. These system s acquire and capture the

necessary in-flight inform ation. They include specific aircraft data input sources and the

equipm ent to record and store the collected data. Data are gathered via onboard sensors that

measure significant aspects of aircraft operation. Most sensor inform ation is carried to its

eventual destination via several data buses. Data are collected by interfacing with these buses.

Other airborne equipm ent can be used to process and analyze the collected data, display the data

to pilots during flight or on the ground, and transm it data to a GDRAS.

(2) GDRASs. These system s can:

• Transform flight-recorded data into a usable form at for processing and analysis

• Process the data

• Detect events and ROMs that are being m onitored and tracked

• Generate various reports and visualizations to help air carrier personnel interpret

events

• Process inform ation from a variety of recorded data form ats and recorder types

(3) Air/Ground Data Transfers. One of the m ost labor intensive and costly aspects of

a FOQA program is determ ining and im plem enting the process of getting the data from the

aircraft onboard recording system to the GDRAS for analysis. Operators m ust pay strict

attention to identifying the process that m eets their FOQA program needs. Item s to consider are:

(a) Scheduling of the Removal of the Recording Medium . This will norm ally

require close coordination with the operator’s m aintenance control and line m aintenance

departm ents. Most likely, m aintenance will want to rem ove the m edium at a scheduled

overnight m aintenance location so that the rem oval process can be included as part of a regular

work package or routine. This rem oval tim e period m ust coincide with recording m edium

memory capability and m eet the operator’s needs for tim ely analysis of FOQA data as defined in

the I&O Plan. Specif ic procedures on process f or data rem oval will have to be def ined f or line

maintenance personnel to perm it proper data download. Sufficient spare recording m edium will

have to be m aintained at the m aintenance facilities so that the m edium can be replaced back into

aircraft system s 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 rem oved in relation to the location of

the GDRAS can be great. Methods for transferring the data to the GDRAS m ay consist of the

following:

1 Ground-Based Transportation. The storage m edium can be m ailed from the

maintenance location using regular m ail, com pany m ail, or private overnight forwarding

companies. If this type of process is used, a tracking system should be developed so that the

recording m edium removal tim ing and location can be verified and docum entation of aircraft

data retrieval can be m aintained. This will prevent a loss of recording m edium so that the tim ing

of data acquisition into the GDRAS can be tracked.

2 Electronic Transmission. This is a rem ote data transm ission from the aircraft

maintenance location to the GDRAS by the use of download equipm ent or m ilking-type

machines that interface with the aircraft or by rem oval of the storage m edia from the onboard

system . This process, while m ore efficient, requires a larger capital outlay and requires

sufficient data transm itting capability f rom the rem ote maintenance locations to the location of

the GDRAS. Coordination with an operator’s inf ormation services departm ent will be needed to

accom plish this. Data security issues m ust be considered when incorporating this process.

3 Wireless Transmission. This is an em erging technology that enables direct

transm ission of aircraft flight data to a netw ork that interfaces with the GDRAS using wireless

technology. The download is accom plished autom atically, thus rem oving the requirem ents for

maintenance involvem ent. Incorporation of th is technology involves aircraft and ground-based

data transfer system s to be installed. Data security issues m ust be considered when

incorporating this process. Close coordination with an operator’s engineering and inform ation

services departm ents will be needed.

b. FOQA Program Description.

(1) The im provem ent of flight safety is the driving force behind the im plem entation of

FOQA program s. 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 program s.

The FOQA program should be part of the operator’s overall operational risk assessm ent and

prevention program as described in part 119, s ection 119.65 and FAA guidance m aterials. Being

proactive in discovering and addressing risk will enhance air saf ety.

(2) In a FOQA program , data are collected fr om the aircraft by using special acquisition

devices, such as QARs, or directly from the FD R. Using one of several available transm ission

methods, data are periodically retrieved and sent to the air carrier’s FOQA office for analysis.

This of fice usually resides within the f light saf ety 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 inform ation.

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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 transform s the data into an appropriate form at 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 param eters, threshold values

(e.g., descent rate in excess of 1,000 feet per m inute on approach), and/or routine operational

measurem ents that are specified by the air carrier. The analysis m ay focus on events that fall

outside norm al operating boundaries, event categories, or ROMs, as determ ined by the air

carrier’s operational standards (as well as the m anufacturer’s aircraft operating lim itations). The

FOQA FMT then reviews the events to assess their validity and potential significance. FOQA

events are then m arked for appropriate handling.

(4) In term s of determ ining the root causes of system ic problem s that need correction,

aggregate FOQA data have proven to be of greater value than detailed param eter 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 exam ple, an analysis m ay be conducted on the

average m aximum rate of descent below 2,000 feet by airport by fleet type. This m ay be useful

to better understand the m eaning of the data once related events indicate that this is an area

requiring investigation. This analysis m ay suggest that all fleets are experiencing high descent

rates at a certain airport or just a specific aircraft type. This type of inform ation 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 em ployed to determ ine flight crewm ember identity are rem oved

from view in the electronic record as part of the initial processing of the airborne data. However,

air carrier FOQA program s typically provide for a gatekeeper, who is provided with a secure

means of determ ining identifying inform ation for a lim ited period of tim e, in order to enable

follow-up inquiry with the specific flightcrew asso ciated with a particular FOQA event. Such

contact is usually lim ited to situations when further insight into the circum stances 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 crewm embers

concerning FOQA events will norm ally be accom plished 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 m ust be developed based on the objective

and scope of the intended program . At a m inimum, the process will be determ ined depending on

whether inf ormation will be used to evaluate or ef fect change in any or all of the f ollowing areas:

• Operational Saf ety

• Aircraft Perform ance

• Aircraft System Perform ance

• Crew Perform ance

• Com pany Procedures

• Training Program s

• 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

betw een the FOQA FMT and other ai rline departments is crucial in

maximiz ing analysis capabilities w ithin the FOQA program.

(2) Data Recording. The available param eters and their associated sam ple rates and

recording accuracies will directly affect FOQA analysis. The m inimum core recorded

param eters are those specified in part 121, s ections 121.343 and 121.344 for FDRs. Aircraft that

have been further outfitted with program mable FDAUs or DMUs m ay have param eters in excess

of the m inimum required. FDAUs or DMUs can be program med to provide these additional

param eters dependent upon storage m edium capability. These FDAUs and DMUs m ay also be

able to m odify the sam ple rate through reprogram ming. This will be a function of the param eter

sensor on the aircraft and recorder m edium size. Close coordination with operator engineering

personnel will be required to identify available param eters.

(3) Analysis Techniques. Two types of analysis techniques can be applied to FOQA

data. They are param eter exceedence analysis and statistical analysis.

(a) Exceedence Analysis. This involves setting a specific lim it for the GDRAS to

detect for a particular param eter. For exam ple, the GDRAS can be program med to detect each

time the aircraft roll angle exceeds 45 degrees. This data can be trended over m ultiple flights to

determ ine the num ber of exceedence occurring per flight segm ent. In addition, the data can be

trended to determ ine which phase of flight, air port, or runway, if appropriate, depending on the

event type. Levels of exceedence can be program med for particular events based on the

operator’s risk assessm ent to assist in focusing resources on im plem enting corrective action on

the highest perceived operational risk area. A higher level of risk m ay be associated with an

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occurrence where the bank angle reached or exceeded 60 degrees. The FMT, through the

gatekeeper, m ay choose to contact the crew or conduct a m ore detailed investigation of the event

for this type of exceedence in addition to just m aintaining and m onitoring the trends where bank

angle exceedences reach 45 degrees or greater. Exceedence levels will have to be developed

through assessm ent of a carrier’s operations m anuals, training program s, and risk assessm ent

process as part of the overall safety program .

(b) Statistical Analysis. This is used to create profiles of flight, m aintenance, or

engineering operational procedures. The profiles can use several m easurem ents to build

distributions of various criteria. A distribution of data will show all f lights and enable a carrier

to determ ine risk based on m ean and standard deviations from the m ean. One procedure a carrier

may look at is approach tracks. A profile would be designed to m easure the different criteria of

an approach, like airspeed, rate of descent, configuration, or power setting. For exam ple, the

GDRAS will capture the m aximum airspeed of every f light on f inal approach. A series of

distributions will show a picture of how all flights are perform ing. The carrier can then

determ ine when an approach track m ay lead to an unstable approach or landing. Sim ilar 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 m odify airline policy and training program s based on the

perform ance of all its flights. Once a baseline is established, the data could be m onitored to

track the trend of what is occurring. The value of using statistical analysis is that data from all

flights is used to determ ine risk for an airline without focusing on specific event exceedences.

The use of data distributions can develop a risk assessm ent process by establishing a baseline for

trending data and determ ining critical safety concerns. Statistical analysis is a tool to look at the

total perform ance of an airline’s operation.

(c) Validated Trend Information. This is reviewed to determ ine the nature of any

required action. Such actions m ight include the im mediate notification of m aintenance personnel

if lim its were exceeded that require inspection of the aircraft, reviews of the event to identify

possible corrective m easures, or a determ ination that further inform ation is needed through crew

feedback. Depending on the particular event, the flightcrew m ay be contacted to gather m ore

inform ation about the circum stances and causes of the event. Corrective m easures can range

from modifications of flightcrew training to re visions of the operating procedures to equipm ent

redesign. Inform ation 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, implem enting, and evaluating a FOQA program .

These guidelines do not reflect any single F OQA program in operation today. Rather, the

guidelines describe the best practices culled from various air carriers that currently operate

highly effective FOQA program s. 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 custom ized to address an air carrier’s individual needs and situation. Air carriers that

are considering establishing a FOQA program shoul d visit with air carriers that have already

established FOQA program s. Such m eetings are intended to foster a clear understanding of what

is involved in the entire process. These discussions can provide useful inform ation and practical

know-how regarding lessons learned, obstacles to success, and potential benefits. The three

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phases of a FOQA program are Planning and Pr eparation (Phase I), Im plem entation 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. How ever, the transition

to Phase II begins definitively w hen 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 12months 18month s 2 4months

P h a s e I I : I mplementation&Operations

z

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z

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z I m p l e m e n t andauditsecuritymechanisms

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 dvalidatedata

D e v e l o p a n ddocument

F O Q A s y s t emprocedures

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 - upcriteriaPhaseIII:ContinuingOper a t i o n s

z

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z

z

zConductperiodicreviews

Trackcostsandbenefits

Evaluateemergingtechnologies

Expanddatausage

MarkettheFOQAprogramP 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

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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

zConduct per iodic meeting s with compa ny

stakeholding depar tments

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 pr ogram . A FOQA plan that defines the type of

system that will m eet user needs and how that system will integrate with other areas of the

company and stakeholders is then written. Because m uch of Phase I requires interdepartm ental

cooperation and com munication, m any air carriers establish a FOQA steering com mittee or

similar oversight body. During this phase, the air carrier should also establish m echanism s for

communicating the current status and progress of the program . These updates should be tailored

to the interests of the various users. Pla nning, organizing, and obtaining resources for a FOQA

program can be extrem ely challenging. The effort required should not be underestim ated.

Realistic assessm ents of the required tim e and resources indicate that designing, developing, and

implem enting a FOQA program takes m onths. Educating users and fully realizing the benefits

takes even longer.

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(2) Establish a Steering Committee. The form ation of a FOQA steering com mittee is

optional. However, it is a recom mended first st ep in developing a FOQA program . The steering

committee should define its m embers, m eet regularly, and identify all applicable stakeholders

early in the process. A typical steering com mittee m ight include a senior m anagem ent member

and representatives from flight operations, m aintenance, safety, training, and the pilot

association, if applicable. As Phase I progresses, the steering com mittee m ight invite the

purchasing and legal departm ents to participate. Key issues to be addressed in Phase I are the

size and scope of the FOQA program , organizationa l issues, resources requirem ents, and support

from upper m anagem ent. Determ ining where FOQA program responsibility will reside within

the organization and ensuring participation of that group or departm ent are im portant.

Experience has shown that the establishm ent of a steering com mittee is an im portant step for the

following reasons:

(a) It form alizes the operator’s intent to initiate a FOQA program by creating a

recognized, corporate-sponsored standing com mittee. Executive sponsorship dem onstrates

commitment and fosters this com mitment through ongoing com munication, thereby ensuring

corporate-level understanding of the FOQA program ’s value as well as its costs. Executive

participation also m akes FOQA a priority within the organization, supports allocation of required

resources, and aids in overcom ing any organizational resistance or departm ental conflicts.

(b) It provides an early opportunity to identify and include the appropriate

stakeholders from various air carrier departm ents in the FOQA program developm ent process.

(c) It m ay conceive and articulate the vision for the air carrier’s FOQA program . The

committee is also a vehicle for com municating 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 developm ent 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 m eaningful and m easurable,

define the expected uses for the FOQA data, identify critical success factors, and be prioritized.

Well-defined goals are tools for convincing stak eholders and m anagem ent why the air carrier

should invest in a FOQA program . At the beginni ng of Phase I, goals will likely be defined

broadly, because the air carrier is still determ ining what the FOQA program will accom plish. 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 form ulate the program ’s expected output,

stakeholders should be identified and involved early in the overall process. Each departm ent is

likely to require data analysis/reporting capabilities that are unique to its own needs. Identif ying

the stakeholders will help to identif y their data analysis/reporting requirem ents, which will

facilitate selection of the technology for reco rding, transporting, analyzing, and dissem inating

FOQA data. Initial stakeholders should include re presentatives from safety, flight operations,

training, m aintenance, engineering, airfield operations or ATC liaison, and the pilot association.

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(5) Identify User Needs . The Steering com mittee should conduct a user needs

assessm ent to develop a better understanding of stakeholder needs and to establish user

requirem ents for the operations, training, engineering, m aintenance, or other relevant

departm ents. This study elicits and analyzes users’ needs to assist in selecting the proper

technology for the program . A clear and com prehensive understanding of the users’ needs is

essential to the program ’s success. FOQA’s prim ary benefits are directly related to the

usefulness of the data analyses to the stakeholder. Further, the FOQA data analyses need to be

distributed intelligently. Determ ine what pieces of inform ation are valuable to the stakeholder

and consider how FOQA data can enhance current processes. An effective user needs assessm ent

may identify user groups reluctant to participate in the FOQA program and help bring them into

the program .

(6) Select Technology . Determ ining the technology and vendors to use is a critical

decision. FOQA program s are com prised of at least three interdependent specialized system s.

These three system s are airborne data collection, ground data replay and analysis, and data

managem ent and analysis. The first generation of program s used by U.S. air carriers was

designed around com mercial off-the-shelf (COTS) system s sim ilar to those used in European

and Pacific Rim FOQA program s. An increase in the num ber of air carriers im plem enting FOQA

program s has led to an increasing num ber of vendors and products supporting FOQA program s.

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 configur ations already on the aircraft. Vendor training,

warranty, and support policies are also im portant 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

implem ented to record and analyze inform ation. A typical program includes a FOQA m anager,

one or m ore FOQA analysts, and a FMT com posed of experienced pilots. FMT m embers should

be technically proficient on the aircraft type s 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, tw o 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, m isuse,

or destruction. The issue of data protection and security is sensitive and focuses on the

confidentiality of a particular air carrier, f light, date, or f lightcrew 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, docum ented, im plem ented, and

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periodically reviewed. The person responsible for im plem enting 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 param eters that are recorded on a given aircraft type. Event/ROM definition and

modification starts in this phase and continue s for the duration of the FOQA program . Typically,

the first phase of a FOQA program focuses on a single aircraft type. Inform ation on defining

events/ROMs and associated param eters is contained in appendix A.

(10) Negotiate Pilot Agreement (if necessary). Establishing an air carrier FOQA

program may necessitate the negotiation of an agreem ent between the air carrier and its pilots’

collective bargaining agent. This agreem ent defines the specifics of the FOQA program and its

objectives and adm inistration. This agreem ent 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 m ost im portant output of

Phase I. The I&O Plan describes key aspects of the FOQA program . Preparing this docum ent is

one of the last steps of Phase I. W ork done on the FOQA Plan can serve as a basis for the I&O

Plan. The I&O Plan m ust be subm itted to the FAA f or review and approval in order to obtain

protection from FAA civil enforcem ent actions. See section 13.401(c) for specific guidance for

the developm ent of the I&O Plan, including a tem plate and checklist, is provided in

appendices A and B.

b. Phase II—Implementation and Operations .

(1) Work-Intensive. Phase II is the m ost work-intensive phase of a FOQA program .

During Phase II, the FMT perf orms the tasks outlined in the I&O Plan. The airborne and

GDRAS equipm ent selected in Phase I are installed. Phase II initially f ocuses on a single f leet

and a lim ited num ber of equipped aircraft (usually 15 to 25). A m ajor m ilestone in this phase is

the first tim e that the air carrier records FOQA data, processes the data, and perform s an

analysis. During this phase, activities transition from designing the FOQA program to

implem enting and adm inistering the program . The FOQA steering com mittee will begin to

function in m ore of an advisory capacity as the FMT begins to assum e its leadership role.

NOTE: Experience has show n that it takes approximately three to six

months from w hen 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 im plem ented and thoroughly tested to see that they are effective.

The actual m echanism s 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 im plem ent and

manage these m echanism s to protect data and control access. All GDRAS users should receive

instruction about the protective provisions and how to handle problem s. Periodic audits of the

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security m echanism s should be conducted, and the results should be used to fine-tune the

policies and procedures.

(3) Install Equipment . A schedule should be established for installation of all

equipm ent, including airborne and GDRAS. If installation of airborne equipm ent requires

obtaining a Supplem ental Type Certificate (STC), additional tim e and resources m ust be

budgeted for this process. Coordination with m aintenance and vendors will be required to track

progress and resolve problem s.

(4) Train Personnel . Personnel who install airborne system s may require training

before or during equipm ent installations. For the GDRAS, the different levels of users m ay

benefit from separate training classes tailored to their needs. The individual responsible for the

GDRAS, typically the FOQA analyst, should receive training on system installation,

configuration, and adm inistration. Training for e nd-users should be tailored to their analysis

needs and be provided as close to the initial exposure to the system as possible. End-users should

be educated on product usage and the data. The training should occur after the system is fully

operational and when the air carrier’s actual data are available so that users learn to effectively

utilize the system with their data. Additional docum entation m ay need to be developed to

supplem ent m aterials provided by the vendors and to cover carrier and fleet-specific topics.

(5) Involve Stakeholders . To realize value from the FOQA investm ent, inform ation

derived from FOQA data m ust reach the appropriate user groups. Stakeholders will value the

FOQA program only if they can obtain useful inform ation that was not available before or obtain

inform ation faster than they can by using their current m ethods. The stakeholders will need to

know what inform ation is available to them . Education sessions should be held to prom ote user

awareness of the inf ormation available, the program ’s capabilities, and the inf ormation’s

potential uses. Initial education should explain the FOQA program , including concepts,

technology, benefits, and im plem entation schedule. Just because FOQA data are available does

not guarantee widespread usage. Follow-up educational sessions m ay be required and should

focus on instructing stakeholders on how to access and use the inform ation available from

FOQA data. Using a variety of m ethods and m edia (newsletters, e-m ail, corporate Intranet,

form al presentations, one-on-one m eetings, team meetings, and videos) m ay attract a wider

audience to the program than using only a single vehicle.

(6) Collect and Process Airborne Data. Procedures for retrieving the m edia on which

FOQA data are recorded, such as optical disks or Personal Com puter Mem ory Card International

Association (PCMCIA) cards, or for downloading data from solid-state recorders using hand-

held readers, are needed. These procedures need to be developed and tested for accuracy,

completeness, and resource requirem ents. The procedures should address the retrieval of

recorded m edia, storage and distribution of unrecorded (blank) m edia, and installation of

unrecorded m edia. Typically, m edia containing the flight data are rem oved from the recording

device during a scheduled m aintenance check. Retrieved m edia are sent to a central location for

transm ission or processing. New m edia are then inserted into the devices for the next round of

flights. Schedules for retrieving the m edia are determ ined by the capacity of the m edia, the

amount of data recorded, and the schedule of m aintenance checks. The m edia retrieval schedule

may range from 3 to 20 days. The sam e kind of schedule would apply if hand-held download

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devices were being used. W ireless data link system s, which transm it inform ation directly to a

ground system , elim inate the scheduling and staffing logistics associated with m edia or data

retrieval. Using wireless data links m ay also reduce the potential for data loss when recording

media reach capacity.

(7) Analyz e and Validate Data . Stakeholder confidence in the FOQA program is

directly proportional to the data’s accuracy, reliability, and com pleteness.

(a) Data reliability is determ ined by validating the integrity of the airborne and

ground system s’ hardware and software. “Reasonableness” and consistency checks need to be

perform ed on the recorded data. These checks can be accom plished by a variety of m eans,

including:

• Validation by the vendor

• Com parison of Digital Flight Data Recorder (DFDR) data readings with

FOQA readings

• Sensor validation

• Com parison of FOQA data with onboard, in-flight observations

(b) Data integrity and validity standards should be established to see that the data

and associated analysis and reporting are perform ed in a consistent, standardized m anner.

NOTE: Data validation activities tend to take much longer than anticipated.

1 Event sets will probably need to be f ine-tuned af ter data f rom the f irst flights

are analyzed to determ ine that what is being recorded is exactly what is needed and that

appropriate data are being recorded at the proper resolution. Faulty sensors, m odified LFLs, or

missing software updates for acquisition units or analysis program s can cause errors. Fine-tuning

event sets is a tim e-consum ing and reiterative process. Failure to properly fine-tune the event

sets can yield inform ation of no use to stakeholders or worse , unreliable and invalid data.

Appendix A contains a suggested list of events to use (with m odifications, as needed) and

analyze in a basic FOQA program .

2 Any m odifications to event sets or their associated param eters should be

carefully tracked and docum ented to preserve the in tegrity of the process. Be aware that changes

to event definitions m ay dim inish the usefulness of trend or aggregate data if those data were

captured under a com bination of old and new event definitions.

(8) Store Data. FOQA program s yield vast quantities of raw data. The average am ount

of FOQA data collected from a single, digital ai rcraft is approxim ately 7.2 m egabytes (MB) per

day, resulting in 2.6 gigabytes (GB) per year. The air carrier that fails to plan ahead for data

storage from all the aircraft covered will soon be awash in data. Although air carriers m ay

choose to retain only a sm all portion of these data, establishing and m aintaining a data storage

program is critical for success.

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(9) Develop and Document FOQA Program Procedures. As the program transitions

through shakedown to production status, the FMT should develop and docum ent procedures for

operating and m anaging the program .

(a) Manual and/or autom ated procedures should be developed and docum ented for

data security and data m anagem ent (incl uding backup and recovery, data archiving and

restoration, m onitoring and fine-tuning databases, defining and fine-tuning event sets, and data

de-identif ication). W ritten procedures describe how to:

• Define, update, and delete user accounts

• Manage libraries of reports and graphics created by users

• Control security and access perm issions for users and groups

(b) Docum entation of all procedures is im portant for prom oting consistent

administration of the program . The im portance of good docum entation becom es evident when

there are personnel changes on the FMT.

(10) Satisfy Startup Criteria. The criteria that indicate when a FOQA program is

official and can transition from shakedown stat us into a m ode of form al continuing operation

should be established. The official start date de fines when FOQA data will be used for form al

analysis and trending. The FOQA m anager and m embers of the FMT should periodically review

the startup criteria to identify and correct problem areas, as well as certify criteria com pletion.

Satisfaction of the startup criteria heralds the start of Phase III.

c. Phase III—Continuing Operations.

(1) Startup Criteria. Phase III begins once the startup criteria have been satisfied.

Airborne and ground-based data system s must have been tested and confirm ed, data accuracy

and integrity m ust have been checked, and m ethods of analysis m ust be validated. At this phase,

the FOQA program has stability, reliably providing high-quality, readily usable data to the

FOQA program ’s stakeholders.

(2) Iteration and Review . Phase III shifts the focus from implem enting the technology

to optim izing available data and the processes required to obtain the desired inform ation.

Periodic reviews of all aspects of the FOQA program will determ ine whether the program is

working as well as it could or whether revisions are required. These reviews will also identif y

when the program needs to be updated and m odernized. Air carriers typically go through several

iterations of experim entation and learning before m ature FOQA processes are achieved.

Following the full cycle of analysis, design, im plem entation, operation, and evaluation for each

iteration of upgrade or change is im portant. At the end of each iteration, the lessons the team has

learned should be captured and docum ented so that subsequent efforts benefit from the team ’s

experience.

(3) FOQA Program Changes. Changes are likely to occur in an air carrier’s FOQA

program as air carriers assim ilate new technol ogies, m odify event definitions, and change

structures to m eet the stakeholders’ growing needs. W hen changes to an air carrier’s FOQA

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program result in disparities between the program as im plem ented and the program as

docum ented in the approved I&O Plan, the I& O Plan should be m odified accordingly and

changes m ust be subm itted for acceptance by the FAA in order for section 13.401(c) to continue

to apply to the FOQA program .

(4) FOQA Program Expansion. A FOQA program is neither static nor finite. It is

meant to undergo controlled expansion and evolution as stakeholder dem and for inform ation

grows and new technologies becom e available. The program should be able to accom modate

new uses for FOQA data. These m ay require new equipm ent to capture and analyze the data.

Additional stakeholders m ay wish to m ake use of available FOQA inform ation. Once successes

are achieved, the process of expanding usage of FOQA inform ation will likely accelerate. The

real payback begins when FOQA capabilities are widely recognized and used throughout the air

carrier. Phase III has no distinct end-point. It is deliberately “open-ended” to allow for

enhancem ents to airborne, ground, and proce ssing system technology; to allow program

expansion to other fleets; and to allow broadened data usage. The program ’s long-term plans will

span several years, but increm ental evolution should occur in carefully planned and well-

docum ented 6- to 12-m onth cycles.

(5) Communicate FOQA Program Benefits. A com prehensive program to

continuously prom ote FOQA should be established, along with m echanism s for im plem entation.

The FOQA prom otion effort should focus on ga ining widespread support for the program . A

variety of com munication m ethods should be considered. For exam ple, a newsletter can be used

to inform users of significant program accom plishm ents, additional capabilities, and program

evolution. Bulletin boards in pilot crew room s are useful in dissem inating FOQA inform ation.

Video presentations on FOQA findings m ight be usef ul in pilot annual recurrent training classes.

Speaking at departm ental and staff m eetings and publishing testim onials about FOQA successes

are also useful m ethods to spread the word about the program ’s progress.

(6) Conduct Program-Wide Periodic Review s. Periodic reviews and assessm ents

should be conducted to determ ine that the program stays relevant to stakeholders’ new and

existing interests and to identify areas for potential im provem ents. These assessm ents should

determ ine if anticipated benefits are being realized and whether the inform ation provided to end-

users is accurate, tim ely, and usable. Ongoing user feedback m echanism s can be a valuable tool

for capturing com ments on the efficacy, usefulness, perceived shortcom ings, and desired

improvem ents of the current program . Likewise, efforts should be m ade to m aintain current

awareness of new technological alternatives and product enhancem ents. An audit of the quality

of the aggregate data should also be perform ed along with an assessm ent of the accuracy of the

reference and descriptive inform ation. The tools em ployed to create aggregate and trend data

should be periodically reviewed to determ ine if new technology would be m ore effective.

(7) Track Costs and Benefits. Justifying the investm ent in a FOQA program is an

ongoing task. Capturing the initial acquisition and r ecurring costs is straightforward, as long as

all categories of recurring costs are identified. Tracking the less tangible benefits is m uch m ore

difficult. Benefits of a FOQA program , savings achieved and costs avoided, are spread across

many departm ents. The safety departm ent is an obvious beneficiary. However, placing a dollar

value on an unknown num ber of aircraft accidents or incidents that were prevented because of

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FOQA is alm ost im possible. The training departm ent benefits from more effective training that

is focused on docum ented problem areas, rather than using a standard syllabus that m ay not

address areas where pilots are having problem s. The m aintenance departm ent benefits from

FOQA because of im proved m onitoring and docum entation of m aintenance problem s, as well as

having m ore data available for tim ely troubleshooting. This m ay result in fewer unscheduled

component changes, better preventive m aintenance procedures, and reduced requirem ents for

spare part inventories.

(8) Evaluate Emerging Technologies. As the air carrier’s FOQA program expands to

cover greater num bers of aircraf t and f leets, the ability of current system s to accom modate

growth and change should be carefully considered. Em erging technologies have the potential to

increase the efficiency and effectiveness of a ll facets of a FOQA program . For exam ple, newer

data capture devices m ay be able to record m ore param eters m ore frequently, the handling of

recorded data m ay require less hum an intervention, analysis program s may becom e more

autom ated, and new visualization capabilities m ay enhance the ability to understand flights and

events. Technological advances can also provide solutions for m any of the day-to-day data

handling problem s that FOQA generates. During the next few years, the m arket for FOQA

equipm ent m ay grow rapidly and vendors m ay offer new products and technology. Keeping

apprised of new technologies can help to optim ize the overall investm ent in a FOQA program .

(9) Expand Data Usage. Expansion of data analysis is controlled by the lim itations of

the data generated by the GDRAS and the degree to which the data are stored in proprietary

form ats. COTS products can be used for statistical analysis and data m ining, particularly when

GDRAS supports industry standards for data access and exchange. The integration of FOQA

data with other internal safety-related program s (such as the Aviation Safety Action Program

(ASAP)) should be considered to further enhance the safety value of the inform ation.

(10) FOQA Meetings. Conduct periodic FOQA m eetings (preferably every 30 days) to

provide com pany stakeholders with updated trends, inform ation, and evaluation of previously

implem ented corrective actions.

8. INFORMATION-SHARING WI TH THE FAA AND INDUSTRY. Section 13.401

requires operators of approved FOQA program s to provide the FAA with aggregate FOQA data

in a form and m anner acceptable to the Adm inistrator. There are various ways and levels on

which to accom plish this sharing, which are described below. The operator’s director of safety or

designated representative should be responsible for approving the release of de-identified

aggregate FOQA data to any third party after obtaining the prior input and approval of all

appropriate parties within the carrier, including the pilot association (if applicable).

a. Regular Briefings w ith the FAA Certificate Management Office (CMO). The first

level of sharing is between the carrier and its local CMO/Flight Standards district office (FSDO).

To accom plish this, a regular m eeting should be established with local FAA personnel, as

identified in the operator’s FAA-approved I&O pl an, to review FOQA program status and data

trend analysis. Scheduling of these m eetings should at least be quarterly, but can be held m ore

often depending on the scope of the operator’s FOQA program . Norm ally, this m eeting is held

on the operator’s property and does not include the physical exchange of data, but a review of

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trend analysis and corrective action plans. Aggregate data has been further clarified by the

FOQA Aviation Rulem aking Com mittee (ARC) as th e de-identified sum mary, statistical FOQA

inform ation that is norm ally acquired within a carrier’s FAA-approved FOQA program . The

degree of data de-identif ication will be determ ined by the respective air carrier, as described in

its approved FOQA I&O Plan. For these briefings, the carrier m ay provide the aggregate data in

oral, written, graphical, or digital f ormat.

b. Intra-Carrier Information-Sharing . The sharing of FOQA inform ation from an

operator’s program with other operators can provide benefits to an operator’s overall safety

program . This sharing can be accom plished through industry associations or directly between

operators depending on the scope of the issue. Issues such as ATC or issues specific to a

particular aircraft type are exam ples of subjects that can be shared between operators.

Maintaining conf identiality of the inf ormation between operators is im portant in providing a

cooperative environm ent.

c. Industry Sharing w ith the FAA. Issues m ay be identified from FOQA data that can’t be

solved through m odifications or enhancem ents to an operator’s existing operational procedures

or approved training program s or through aircraft modifications under the control of the carrier.

Also, issues m ay not be evident when individual carrier inform ation is viewed independently.

Therefore, industry sharing with the FAA m ay be helpful in identifying and resolving broad,

industry issues. The FAA, working with carriers, has adopted an increm ental approach to this

requirem ent. The specif ic provisions of this approach will be developed over tim e in

collaboration with the FOQA ARC and operators of approved program s. As an interim means of

establishing initial com pliance with section 13.401, operators of approved FOQA program s

should provide the FAA with at least quarterly briefings on observed trends. These operators

should also provide any other applicable inform ation of potential safety significance. The FAA

will specify the location of the briefing. For the purpose of these briefings, carriers m ay provide

the aggregate data in oral, written, graphical or digital form at. As the FOQA ARC works

collaboratively with the FAA to develop a m ore system atic approach to the future sharing of

aggregate FOQA inform ation, guidance to industry on acceptable m eans of com pliance with

section 13.401 will be updated as appropriate.

d. Need for Appropriate Background and Expertise. While it is recognized that the

sharing of FOQA inform ation between operators and the FAA has significant potential for

identifying system safety issues, FOQA data (even in aggregate form ) has im portant lim itations.

A detailed understanding of the operator’s route structure, equipm ent types, operating

procedures, m easurem ent criteria, and data collection procedures is required so that conclusions

drawn from FOQA data will result in effective or productive safety interventions. Analysis of

FOQA data should be accom plished by the operator and/or trained representatives from the

operator’s pilot association (if applicable) and by individuals thoroughly fam iliar with its

characteristics. FOQA data analysis is a tool for m anaging safe operations, not an independent

objective. FOQA is but one elem ent of a com prehensive operator safety program .

9. FOQA IMPLEMENTATION AND OPERATIONS PLAN.

a. Overview and Plan Development.

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(1) Under section 13.401, an operator seeking protection from the use of FOQA data for

enforcem ent by the FAA m ust obtain FAA approval of its FOQA I&O Plan. The docum ent that

describes an air carrier’s FOQA program for FAA approval purposes is the FOQA I&O Plan. A

FOQA I&O Plan is subm itted to the FAA for review and approval, as described in

paragraph 9a(2) of this AC. The FAA will determ ine whether an air carrier’s FOQA program is

approved and notify the air carrier by letter of any concerns and/or form al approval.

(2) The I&O Plan specifies the organization, technology, policies, procedures, and

operational processes used by a certificate holder for its FOQA program . The FAA approval

process for an I&O Plan is designed so the air carrier has identified adequate procedures,

organizational resources, and m aterial resources to collect, analyze, and act upon inform ation

provided by the FOQA data. The I&O Plan should describe the following elem ents:

(a) Program goals.

(b) Fleet(s) to be equipped for FOQA.

(c) Airborne hardware, analysis software, and other equipm ent to be used in the

program .

(d) Organizational structure for the FOQA program .

(e) FOQA program personnel and associated roles and responsibilities.

(f) Procedures for data acquisition and handling.

(g) Procedures for data analysis and reporting.

(h) Procedures to im plem ent corrective action(s) when adverse safety trends are

discovered.

(i) Policies on data retention, data security, and crew contact.

(j) Policies on providing FAA with de-identified aggregate data on the operator’s

prem ises and inform ation on corrective actions undertaken.

(k) Policies and procedures for m aintaining and revising the I&O Plan.

(l) A glossary of term s used in the I&O Plan.

(m) Appendices, which should include:

• A copy of the Letter of Agreem ent on FOQA with the pilots’ collective

bargaining unit (if applicable)

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• List of events, param eters, and threshold values to be used in the program for

each FOQA-equipped aircraft fleet

• A list of the docum ents referenced or cited

(3) An air carrier should identify its planned FOQA airborne and ground-based

equipm ent in its initial I&O Plan. Subsequent revisions of the I&O Plan should identify any

changes to the planned or im plem ented equipm ent. The purpose of this inform ation is to

ascertain proposed system capabilities, rather than to approve an air carrier’s selection of a

particular brand or vendor. Decisions with respect to the selection of software and equipm ent

vendors are left entirely to the air carrier. However, the FAA m ay assess, for the initial plan and

any subsequent revisions, whether the proposed products’ functionality appears to be adequate to

accom plish the program ’s goals.

(4) The FAA prefers to interact closely with applicants during the developm ent of the

I&O Plan, rather than to wait f or the f ormal subm ittal of the f inished plan bef ore establishing

substantive dialogue. A discussion and review of rough drafts of docum ent sections early in the

developm ent process will f acilitate approval. The subm ittal of the f inal docum ents then becom es

a form ality, with m inimal changes required.

(5) To assist air carriers in developing their I&O Plans, a checklist of item s to be

included in the plan is provided in paragraph 9a(3). Paragraph 9a(4) contains a sam ple I&O Plan

template. Although specific areas should be addressed in the plan, the I&O Plan tem plate is

flexible enough to allow the air carrier to tailor the plan to its individual needs.

b. FAA Approval.

(1) Operators seeking approval of a FOQA I&O Plan should subm it the plan and a

completed I&O Plan checklist to the FAA. The checklist should be used as an aid to see that all

required m aterial is included in the plan. The subm ittal should include a cover letter addressed to

the air carrier’s assigned Principal Operations Inspector (POI) that requests approval of the plan.

A copy of the cover letter, plan, and checklist should be sent sim ultaneously to HQ FAA, Attn:

AFS-230. Electronic transm ission of this docum entation to AFS-230, Volunteer Safety Program

Branch, is encouraged (for which purpose signatures are not required).

(2) The FAA will evaluate the I&O Plan based on the adequacy of the proposed m eans

and m ethods identified for the collection and analysis of data, as well as procedures for taking

corrective actions. The joint evaluation by AFS-230 and the POI will allow the FAA to m aintain

standardization and continuity throughout the industry while accom modating carrier-specific

organization and resource differences best understood by the POI.

(3) The POI and AFS-230 will review the proposed I&O Plan and establish a consensus

as to whether the plan should be approved. Th e FAA procedures for I&O Plan approval are

contained in FAA Order 8400.10, Air Transpor tation Operations Inspector’s Handbook.

AFS-230 and the POI will com municate any plan inadequacies to the air carrier in writing.

Similarly, once AFS-230 and the POI concur that the plan should be approved, the air carrier

will receive an approval letter with the signatu res of the POI and the m anager of AFS-230. Once

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an I&O Plan is approved by the FAA, the air carrier’s FOQA program may continue for an

indefinite period, unless the carrier elects to te rminate the FOQA program or the FAA withdraws

its approval.

(4) The I&O Plan is a “living docum ent” and should be updated as necessary. Changes

will occur in the FOQA program as an air carrier assim ilates new technologies, adds new fleets,

modifies event definitions, and changes structures to m eet its program ’s growing needs. Changes

are likely to be particularly frequent during the early stages of an operator’s FOQA program .

When changes occur to previously approved I&O Plan content, the I&O Plan should be revised

to incorporate those changes.

(5) A revision control m ethodology should be established for the I&O Plan (and any

subsequent revisions) and included in the I&O Pl an. A list of affected pages, or a revision

control page that identifies the pages to be added/rem oved/replaced, should be subm itted with

any revised pages. Each revised page should contain the page num ber, revision num ber, and

revision date. Revisions to the I&O Plan are required whenever changes occur to the nature of

the FOQA program (e.g., changes to fleet com position, system configuration, flight operating

procedures, organizational structure, schedule, and key m ilestones).

(6) Revisions to approved I&O Plans do not require FAA letters of approval. Because

such changes can be potentially frequent and volum inous, revisions to approved plans will be

considered to be accepted by the FAA, unless the FAA notifies the carrier in writing within

45 days of revision subm ittal that the revision is not accepted, except as follows: notwithstanding

this 45 day period, if at any tim e the FAA discovers that the content of a FOQA I&O Plan is not

consistent with section 13.401, or is otherwise unacceptable to the FAA, the FAA m ay notify the

operator that revisions are required in order to m aintain program approval. In addition to the

POI, AFS-230 should be provided with an inform ation copy of all revisions. The POI m ay

perm it an air carrier to consolidate and subm it revisions on a quarterly basis throughout the

calendar year, rather than subm it each revision as it occurs. The air carrier should request this

authority from the POI. This procedure is intended to reduce workload for the air carrier and

FAA.

(7) FOQA is a voluntary program , and the air carrier m ay elect at any tim e to term inate

its program . The FAA m ay also elect at any tim e to withdraw approval of an air carrier’s I&O

Plan for failure to com ply with the requirem ents of section 13.410. The protections from civil

enforcem ent actions are predicated upon the expectation that the operator will act upon FOQA

inform ation indicative of an adverse safety trend or a continuing violation. If the FAA

determ ines that insufficient effort to develop or im plem ent a plan of corrective action is taking

place, and the air carrier is not responsive to FAA efforts to elicit com pliance with this

requirem ent, withdrawal of program approval m ay be appropriate. W ithdrawal of FAA approval

of the I&O Plan will be transm itted, in writing, to the air carrier.

c. I&O Plan—Topics. The following topics should be included in an I&O Plan:

(1) Background. This section sum marizes the foundation and relevant FAA references

for FOQA program s.

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(2) Introduction. The introduction section should state the goals and objectives of the

airline’s FOQA program .

(3) FOQA Program Stakeholders. This section should identify the key stakeholders in

the FOQA program . There m ay also be stakeholders outside the com pany that should be

identif ied here.

(4) Protective Provisions, Pilot Asso ciation Agreement (if Applicable), and

Corporate Policy Statement. Summarize the salient points of the protective provisions that the

airline and its pilots are af forded f rom FAA certif icate action or civil penalties f rom information

and data collected and analyzed by the FOQA program . In addition, the protective provisions

from the pilots association agreem ent should be sum marized. Provide a copy of the agreem ent in

Appendix 1 of the I&O Plan. If a pilot association agreem ent is not applicable to the airline, a

corporate policy statem ent should be included in the I&O Plan that establishes protective

provisions to its pilots against disciplinary or other pejorative action from the airline from data or

inform ation produced by the FOQA program .

(5) Data Protective Provisions and Security.

(a) In this section, include a sum mary of the protective provisions to be incorporated

into the FOQA program that will gain acceptance by all participants, including the pilot

association (if applicable).

(b) Describe the pilot association agreem ent (if applicable) as it pertains to

individual protection and data usage. At a m inimum, discuss the following security

considerations:

• The team member(s) responsible for data protection and security

• Data protection m ethods (including those provided by the GDRAS, physical

security of FOQA m edia and facilities and inform ation dissem ination

safeguards, etc.)

• De-identification requirem ents and procedures

• Methods for ensuring confidentiality

• Data retention policies and procedures

• Data storage policies and procedures

• Procedures for auditing and refining the security policy, m ethods, and

procedures

(6) FOQA Program Components. Describe the specific technology com ponents

proposed for use in the FOQA program . The I&O Plan will need to be am ended when changes or

additions to the fleet types or changes to other technology com ponents are m ade in the airline’s

FOQA program . Program com ponents described should include the following:

(a) Aircraft Fleet. Describe the following:

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4/12/04 AC 120-82

• How the initial aircraft fleet(s) were selected for participation in the FOQA

program

• Num ber of param eters to be collected from each fleet

• Future plans for program expansion to additional fleets and aircraft within the

current fleet

(b) Airborne Data Acquisition System. Describe the selection criteria and product

selection process.

• What technical criteria were evaluated (recording capacity, m edia handling,

and download capabilities)?

• How were service and support considered (warranty, repair station locations

)?

• What com patibility issues with existing system s were raised (power

considerations, size, weight)?

(c) Describe the airborne system confi guration and provide inform ation concerning

the following:

• Strategy for acquiring airborne data

• Equipm ent to be installed in the aircraft (including vendor, part num ber, and

other pertinent inform ation) and the technology to be used

• Availability of the STC for each com ponent installed on the aircraft or the

plan for obtaining an STC

• Method used for loading and m aintaining the LFL

• Fleet installation plan, including equipm ent installation requirem ents and

schedule

• Support to be provided by the vendor (including a description of repair

facilities and warranty policies)

(7) Airborne System Maintenance and Support. Describe whose responsibility it is

within the operator to m aintain the airborne acquisition and recording system , including

param eter m aps and configuration. This should also include interface between the FOQA FMT

and the responsible party.

(8) GDRAS. Describe the GDRAS selection criteria and product selection process.

Describe the GDRAS to be used for the FOQA program , including:

• Specify the vendor, product nam e, hardware, software, operating system

configuration, and com munication network

• Summarize the proposed GDRAS’s functionality

• Describe vendor support and training

• Specify how LFLs, events, and param eters are defined, configured, and

maintained

• Describe user conf iguration capabilities

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AC 120-82 4/12/04

• Describe how the system com plies with de-identification and security

requirem ents defined by the air carrier and pilot association

(9) Other Equipment. Describe any other FOQA com ponents, such as:

• Software for trend analysis, statistical analysis, and flight anim ation

• Rem ote data collection system s and com munication infrastructure, as applicable

• The vendor, product nam e, and associated hardware, software, com munication,

and operating system requirem ents

• The selection criteria and product selection process

(10) Equipment Upgrade, Modification, or Replacement. Describe the procedures,

including criteria, which will be used for upgr ading, m odifying, or replacing the FOQA program

components once those com ponents have been approved for use.

(11) FOQA Organiz ation. This section explains the context of the FOQA program

within the air carrier’s departm ental settings and the individuals who will serve on the FOQA

program team . The following subsections contain t opics that should be incorporated into the

I&O Plan:

(a) Organiz ation Structure. Describe the following:

• The organization and m anagem ent of the FOQA program , including the

organizational entity responsible for the FOQA program

• Any oversight body (such as a steering com mittee or FOQA com mittee),

including inform ation on m embership, charter, duties, m eeting schedule.

• Provide an organizational chart that illustrates the organization and

managem ent structure of the FOQA program

(b) Personnel. Describe the skills, knowledge, duties, and responsibilities of the

following anticipated key personnel associated with the FOQA program :

• Person providing corporate oversight

• FOQA m anager

• Gatekeepers

• FOQA analyst

• FOQA intern, if applicable

• Mem bers of the FMT, along with any other com mittees in the organizational

structure

(12) FOQA Program Implementation.

(a) Describe the air carrier’s concept of the FOQA program . Include operational

procedures for:

• Data processing and analysis

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4/12/04 AC 120-82

• Investigating results

• Determ ining corrective actions to be taken for significant events

• Com municating findings to all effected stakeholders

• Obtaining feedback and follow-up for corrective actions

• Data trending

• Generating periodic reports

• Providing local FAA with aggregate FOQA inform ation on the operator’s

prem ises

(b) The FOQA Implementation Process. Describe the following:

1 Schedule and tim eline for FOQA im plem entation, including required resources.

2 Training that will be provided to team members and key stakeholders.

3 Location of FOQA facilities, including central processing and any rem ote sites.

4 Program startup criteria, including m ilestones (e.g. on system training,

education, infrastructure, data validation) that should be m et before collected data are used for

analysis of line operations. If a user needs assessm ent has been conducted, sum marize the

methods used, users interviewed, and results.

NOTE: When developing a schedul ed timeline for starting a FOQA

program, many of these tasks may require considerable time for completion

(i.e., beyond the month in w hich they are listed as occurring) and that

preliminary w ork w ill have commenced on these tasks prior to w here they

appear on the checklist. Obtaining financial approvals and commitments for

equipment expenditures and perso nnel, contracting for equipment

purchases, and delivery of equipment may all have very long lead times.

(13) Education and training. Describe the following:

• How of ficers, senior m anagem ent, team members, and stakeholders will be

educated about the FOQA program

• How pilots will be educated about the program

• How team members will be trained

(14) Data Analysis Procedures.

(a) Data Usage and Management. Describe the anticipated usage of FOQA data

for safety, operations, training, and m aintenance/engineering. Also describe the

fram ework/technology architecture that will be used for m anaging the data.

(b) Flight Data Collection and Analysis. Describe the following:

• Procedures for the physical retrieval of data from aircraft

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AC 120-82 4/12/04

• Procedures for transferring data from airborne system s to the GDRAS,

including m edia logistics and schedule for data retrieval

• Manual and autom ated m ethods to verify the quality and integrity of collected

data, including any data quality standards

• Methods for logging and tracking airborne-collected data

• Procedures for handling invalid data and diagnosing airborne equipm ent

problem s

• Include a process flow diagram that shows the transit and direction of FOQA

data through the system , including key system s, entities, and decision points

(c) Data Classifications and Definitions. Describe the following:

• Team member(s) involved in developing the event set

• Methods used to develop the event set

• Source docum ents

• Event categories, classifications, and severity levels

NOTE: Provide initial event set cla ssifications by operational mode in

Appendix B.

(d) Data Definition Maintenance.

1 Describe how event def initions will be validated, reviewed, and def ined by the

FMT. The following boilerplate can be used as a baseline, but should be m odified, as

appropriate, to the air carrier’s specific situation:

NOTE: Documentation of event definiti on, validation, and modification w ill

be maintained in the FOQA office a nd w ill be made available on request.

2 Also, describe the following:

• Procedures for validating, reviewing, and refining event definitions

• Procedures for creating and verifying new events

• Procedures for tracking m odifications to event definitions

(e) Data Review and Evaluation. Describe the following:

• Procedures for periodic review of FOQA event data and trends, including

personnel responsible and proposed schedule for review of data and trends

• Procedures for joint FAA/air carrier periodic review of aggregate trend data

• Procedures for notifying appropriate personnel (e.g., flightcrews,

engineering/m aintenance, and training) about events requiring im mediate

action

• Processes for m aintaining event inform ation for trend analysis, including

databases and m ethods to have invalid events and associated data rem oved

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4/12/04 AC 120-82

• Procedures for generating periodic reports to convey FOQA trends and

findings

• Methods for detecting and analyzing data trends

• Procedures for crew contact and follow-up

• Procedures for determ ining corrective actions to be taken for identified events

and/or trends

• Methods for obtaining feedback/follow-up for resolution

(f) Data Trending and Record Retention. Describe the following:

• The data retention policy for FOQA data and trend analyses, which should

include requirem ents by m aintenance to satisfy m anufacturer warranty claim s

• Archiving procedures and process for archiving and retrieval of archived data

(15) Program and Data Documentation. Describe how this I&O Plan will be

maintained, who the review process will i nvolve, how changes will be tracked, and how

revisions will be subm itted to the FAA. W ith the approval of the POI, the air carrier m ay subm it

quarterly updates of the I&O Plan to reflect changes that were m ade during the preceding

quarter.

(a) Operational Development. Describe the overall developm ent of FOQA

program docum entation in support of the program in cases of personnel transitions or program

changes.

(b) Information and Data Control. Describe how changes to the FOQA Program

will be docum ented. This should include the following:

• A description of the identified use

• Analysis that was accom plished

• Specific corrective actions or recom mendations taken or m ade

• Personnel who were notified

• Resolution of actions or recom mendations

(c) I&O Plan Revision Control. A revision control m ethodology should be

incorporated into the I&O plan. This revisi on control m ethodology should include controls for

page revisions, deletions, or replacem ents. The I& O Plan should also stipulate that the operator

will subm it all revisions to the POI and AFS-230.

(16) FAA Access.

(a) Procedures for joint FAA/air carrier periodic reviews of FOQA program

effectiveness.

(b) Procedures for the operator' s handling and m arking of com pany proprietary and

confidential inf ormation subm itted to the FAA.

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AC 120-82 4/12/04

(17) I&O Appendices.

(a) Appendix I (Pilot Association Agreement, if Applicable). If the

implem entation of the FOQA program depends on obtaining a signed pilot association

agreem ent, insert the agreem ent or side letter in this section. The agreem ent should describe how

the pilot association will be involved in the operation of the FOQA program .

(b) Appendix II (Event Parameters and Definitions). This appendix should

contain list of events and m inimum param eters to be m onitored and analyzed in a basic FOQA

program . When establishing a new FOQA program , the events and param eters in this appendix

should provide a good starting point. Note that there are m any m ore param eters available for

recording on m odern aircraft than are listed in the appendix. Although m any such param eters are

not used in FOQA event creation, they can be useful to develop a m ore com plete understanding

of the causes of events and for aircraft m aintenance troubleshooting purposes. Following initial

establishm ent and validation of its program , operators are encouraged to consider expanding

upon the basic param eter list provided in this appendix. Ideally, the aircraft fleet initially

involved in starting a FOQA program should ha ve a data bus capable of supplying the

param eters listed in this appendix and a m eans of capturing and recording those param eters. It is

important to understand, however, that the list of available param eters on any given aircraft will

be a result of those provided by the airfram e manufacturer, ordered by the air carrier, or a

combination of both.

1 Event Selection. Depending on the GDRAS used, selecting events to be

included and analyzed can be sim ple or com plex. Developing a list of events from scratch can be

extrem ely tim e-consum ing, particularly during event validation. GDRAS vendors can also create

and deliver event sets, but this m ay entail considerable expense. If an event list is available from

another carrier or the list contained in this appendix is adequate, then the event selection process

will be relatively sim ple and m uch less expensive.

NOTE: The event list should be ta ilored to the specific air carrier and

aircraft type. The parameters used to me asure the event need to be recorded

on that aircraft type. Next, the tolerances that trigger the events should be

set to account for applicable federal regulations, aircraft limitations, and

company policies and procedures. The FMT and FOQA analyst should w ork

together to evaluate and adjust event triggers. Since maintenance w ill also

be an important stakeholder, creating events that maintenance w ould be

interested in analyz ing w ould be advantageous.

2 Event Standardiz ation.

(aa) If an operator has m ultiple aircraf t type or m odel variance within its

fleet, attem pting to standardize events within the GDRAS analysis function m ay be

advantageous. Num erous events will be com mon to all types and m odels of aircraf t in an air

carrier’s fleet (e.g., V MO, M MO, and V LE exceedences). These “com mon” events can be m onitored

and analyzed across f leets. However, there will be dif ferences in the triggering lim its, which will

Page 30 Par 9

4/12/04 AC 120-82

be dictated by an aircraft’s specific operating lim itations. Analysis of these events across fleet or

model types m ust 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 m ethod of organizing the events could be by “phase of

flight.” Another m ethod m ay be to use the sections in the operator’s m anuals where aircraft

limitations or flight procedures are outlined or defined. Users should choose the m ethod that best

suits their needs.

(cc) The events m ay be categorized by the flight phase in which they are m ost

likely to occur, although they m ay also occur in other phases. However, the flight phase is not

used as a discrim inator in the creation of these ev ents. 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 m ethod and m ay speed the processing of raw data.

(dd) Maintaining docum entation of event definitions used in an operator’s

analysis m ay be useful. Docum entation of the events can assist the operator in validating trend

analysis and serves as a guide to program histor y as events change or are m odified during the

maturation of the program . Docum entation could include the nam e for specific events, a

description that clarifies what the event is designed to m easure, suggested event-triggering

conditions, the needed param eters to create the event, a possible way of defining the event, and

explanatory notes or com ments that go beyond the event description. In the event definition,

user-defined variables that need to be extract ed from Approved Flight Manual (AFM), Flight

Operations Manual, Flight Standards/training gui dance, or other applicable corporate guidance

should also be included.

(ee) Som e param eters used in events are derived, m eaning they are not

directly m easured by sensors in the aircraft, but are calculated as part of the processing done by

the analysis software. Height Above Takeo ff/Touchdown (HAT) is a good exam ple of this.

Many events require an altitude com ponent in relation to the airport elevation. This is m ost

accurately done by using the elevation at takeoff or touchdown, calculating altitudes above this

elevation, and then m easuring actual aircraft perform ance at these points. There are m any

possible ways to calculate events, and those presented here m ay not be com patible with

param eters available on a particular aircraf t or the capabilities of particular analysis sof tware.

Maintaining docum entation of events will assist the carrier in trend analysis and the developm ent

of events as the program matures. Appendix II of the exam ple I&O plan in Appendix A of this

AC contains a representative sam ple of event docum entation.

CAUTION: Each air carrier should review all events to see that the limits

defining each event account for applicab le federal regulations, airplane flight

manual limitations, and company policies and procedures.

(c) Appendix III (Glossary). Definitions of all acronym s used in the docum ent

should be included. The definitions should cover m ore 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

AC 120-82 4/12/04

assum e that the reader of the I&O Plan is unfam iliar with FOQA, as m ight be the case with

senior m anagem ent, union officers, legal staff, or local FAA representatives.

(d) Appendix IV (References). Include citations for all referenced docum ents

including, but not lim ited to:

• Title 14 CFR Part 193, Protection of Voluntarily Subm itted Inform ation

• Title 14 CFR Part 13, Section 13.401, Flight Operational Quality Assurance

Program

• AC 00-46 (as am ended), Aviation Safety Reporting System (ASRS)

• AC 00-58 (as am ended), Voluntary Disclosure Reporting Program

• AC 120-59 (as am ended), Air Carrier Internal Evaluation Program s: Air

Carrier Internal Evaluation-Model Program Guide

• AC 120-66 (as am ended), 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

Implem ent Flight Operational Quality Assurance Program s, Decem ber 1997

10. APPENDICES.

• Appendix A: Exam ple of a FOQA Im plem entation and Operations Plan

• Appendix B: FOQA I&O Plan Checklist

11. ABBREVIATIONS

ABBREVIATIONS

Abbreviation Term

AAC Airline Adm inistrative Control

AC Advisory Circular

ACARS Aircraft Com munications Addressing and Reporting System

ACDF Airline Com mon Data Form at

ACMS Aircraft Condition Monitoring System

ACSF Airline Com mon Statistical Form at

AEEC Airlines Electronic Engineering Com mittee

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 Rulem aking Com mittee

ARINC Aeronautical Radio Incorporated

ASAP Aviation Safety Action Program

ASCII American Standard Code for Inform ational Interchange

ASRS Aviation Safety Reporting System

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4/12/04 AC 120-82

ABBREVIATIONS

Abbreviation Term

ATC Air Traffic Control

BASIS British Airways Saf ety Inf ormation System

CAS Com puted Air Speed

CMO Certificate Managem ent Office

COTS Commercial Off-The-Shel f

CSV Com ma Separated Value

CVR Cockpit Voice Recorder

DAR Digital ACMS Recorder

DAS Designated Alteration Station

DAU Data Acquisition Unit

DBMS Database Managem ent System

DFDAR Digital Flight Data Acquisition Recorder

DFDAU Digital Flight Data Acquisition Unit

DFDMU Digital Flight Data Managem ent Unit

DFDR Digital Flight Data Recorder

DMU Data Managem ent Unit

EGT Exhaust Gas Tem perature

EGT Exceedance Guidance Team

EMT Event Monitoring Team

ERC Event Review Com mittee

FAA Federal Aviation Adm inistration

FAR Federal Aviation Regulations

FDAU Flight Data Acquisition Unit

FDR Flight Data Recorder

FMT FOQA Monitoring Team

FOD Foreign Object Dam age

FOIA Freedom of Inform ation Act

FOQA Flight Operational Quality Assurance

FSDO Flight Standards District Office

g Gravity (G-Force)

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AC 120-82 4/12/04

ABBREVIATIONS

Abbreviation Term

GB Gigabyte

GDL Ground Data Link

GDRAS Ground Data Replay and Analysis System

GPW S Ground Proxim ity W arning System

HAA Height Above Airport

HAT Height Above Takeoff/Touchdown

HQ Headquarters

HTML Hypertext Markup Language

I&O Implem entation and Operations

IT/IS Inform ation Technology/Inform ation System s

LAN Local Area Network

LFL Logical Fram e Layout

LRU Line Replaceable Unit

MB Megabyte

MEL Minim um Equipm ent List

MMO Maxim um Mach Operating Speed

MTBF Mean Tim e Between Failure

N1 Low Pressure Com pressor

N2 High/Interm ediate Pressure Com pressor

NAS National Airspace System

NASA National Aeronautics and Space Adm inistration

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 Com puter Mem ory Card International Association

PDF Portable Docum ent Form at

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 Measurem ent

SRU Shop Replaceable Unit

SSFDR Solid State DFDR

STC Supplem ental Type Certificate

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4/12/04 AC 120-82

ABBREVIATIONS

Abbreviation Term

TA Traffic Alert and Collision Avoidance System (TCAS) Traf fic

Advisories

TC Type Certificate

TCAS Traffic Alert and Collision Avoidance System

TE Triggered Event

V1 Critical Engine Failure Speed

V2 Takeoff Safet y Speed

VLE Maxim um Landing Gear Extend Speed

VMO Maxim um Operating Lim it 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/ Jam es J. Ballough

Director, Flight Standards Service

Par 11 Page 35 (and 36)

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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 de fined as a program to im prove flight safety

by providing m ore inform ation about, and greater insight into, the total flight operations

environm ent through selective autom ated recording and analysis of data generated during flight

operations. Analysis of FOQA data can reveal situations that require im proved operating,

training, and m aintenance procedures, practices, equipm ent, and infrastructure.

In support of the public safety objective, the FAA has publicly endorsed the developm ent and

implem entation of voluntary FOQA program s as a tool for continuously m onitoring and

evaluating operational practices and procedur es. In Advisory Circular (AC) 120-59 (as

amended), Air Carrier Internal Evaluation Program s, the FAA states, “public safety is enhanced

if deficiencies are identified and im mediately corrected when they are discovered by the

certificate holder rather than when they are discovered by the FAA.” FOQA program s can

provide the quantitative and objective inf ormation needed to identif y def iciencies during the

certificate holder’s internal audit and evaluation process.

FOQA program s are based on the prem ise that air carriers have prim ary responsibility for

continuously m onitoring and ensuring that their operations are safe and in com pliance with their

operating standards and the regulations. A F OQA program will assist [Airline Nam e] in

identifying and addressing operational deficiencies and trends that are not generally detectable

with other procedures. Additionally, analysis of som e FOQA program data m ay contribute to

improved safety and efficiency in the design and operations of air traffic control (ATC) system s,

aircraft, and airports. Many potential applications of FOQA data have been identified to date.

These applications aim to im prove safety, evaluate and enhance training practices, revise

operating procedures, assist aircraft engineeri ng program s, im prove m aintenance efficiency, and

assist m anufacturers in aircraft design and m odification.

Several foreign air carriers have successfully im plem ented FOQA-type program s that use flight-

recorded data to im prove operational safety and perform ance. Lengthy track records in effective

usage of this inf ormation (over 20 years in the cases of British Airways and Scandinavian

Airlines System ) have provided foreign carrier s with clear evidence that FOQA program data

represent a source of valuable inform ation that, when used appropriately, can contribute greatly

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Appendix A

to aviation safety. Airlines that currently have FOQA-type program s agree that the insights

derived from these program s have prevented serious incidents and accidents and have led to

improved operating efficiencies.

FOQA inform ation can be included in the voluntary audits and evaluations described in

AC 120-59 to determ ine the causes of deficiencies and to suggest enhancem ents to operating

practices. Title 14 of the Code of Federal Regulations (14 CFR) part 13 states the conditions

under which inform ation obtained from an appr oved voluntary FOQA program will not be used

in legal enforcem ent actions against an operator or its em ployees. In addition, 14 CFR part 193

contains provisions f or certain protection f rom public disclosure of voluntarily subm itted saf ety

related inform ation, when such inform ation has been designated by an FAA order as protected

from disclosure under that part.

2. INTRODUCTION

The I&O Plan presented in this docum ent specifies the organization, technology, policies,

procedures, and operational processes used in the [Airline Nam e] FOQA program .

The core objective and intent of the [Airline Nam e] FOQA program is to facilitate the free flow

of safety inform ation. The FOQA program will:

1. Collect operational flight data.

2. Develop m ethods to analyze the collected flight data, such as triggered events and routine

operational m easurem ents.

3. Establish procedures for com paring the collected data with established procedures and

standards and the use of analyzed data in form al awareness and feedback program s to

enhance safety in the following areas:

a. Flight procedures

b. Flight training procedures and qualification standards

c. Crew perform ance in all phases of flight

d. Air traffic control procedures

e. Aircraft m aintenance and engineering program s

f. Aircraft and airport design and m aintenance

4. Perform trend analyses of FOQA data to identify potential problem areas, evaluate

corrective actions, and m easure perform ance over tim e.

3. FOQA PROGRAM STAKEHOLDERS

The FOQA program will provide large am ounts of previously unavailable data to significantly

improve the problem definition process and allow assessm ent and resolution of system ic safety

and efficiency issues. Beneficiaries or stakehol ders within [Airline Nam e] include, but are not

limited to, the f ollowing:

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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 [Air line Nam e] will also benefit the [Airline Nam e]

FOQA Program . These stakeholders m ay include, but are not lim ited to, the following:

1. FAA

2. NASA

3. ATC

4. Aircraft manufacturers

5. Other industry safety groups.

4. PROTECTIVE PROVISIONS, PILO T ASSOCIATION AGREEMENT (IF

APPLICABLE), AND CORPO RATE POLICY STATEMENT

Key to the success of the [ Airline Nam e] are specif ic protective provisions that will protect both

[Airline Nam e] and its em ployees f rom FAA certif icate action or civil penalties as a result of

inform ation and data that are collected and analyzed by the FOQA program . In establishing these

protective provisions, [Airline Nam e] has pursued the following distinct courses of action.

[Airline Nam e] has established a corporate polic y endorsed by senior m anagem ent providing that

no pilot shall ever be subject to disciplinary or other pejorative action by [Airline Nam e] from

data or inform ation that is produced by the FOQA program , and [Airline Nam e] has form alized

that policy in a FOQA agreem ent that has been negotiated and accepted by the [Airline Nam e]

Pilot Association [If applicable]. [Airline Nam e] 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 fram ewor k of cooperation between the Pilot Association

[if applicable] , the FAA, and [ Airline Nam e] that will perm it the m ost effective use and analysis

of FOQA data.

5. DATA PROTECTIVE PROVISIONS AND SECURITY

General

Key areas that were considered in developi ng the protective provisions for the FOQA program

include:

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1. Conf identiality ⎯Provides that the identity of individual crewm embers cannot be

associated with any FOQA data, except for the purposes of crew-contact as provided for in this

I&O Plan.

1. Anonym ity⎯Provides that any identification of air line flight and/or flightcrews with

specific FOQA flight data necessary during an analysis is elim inated perm anently at the

earliest possible tim e and in accordance with the pilot association agreem ent.

2. Data access and control ⎯Identif ies 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 system s, offices,

equipm ent, workstations, com puters, and peripherals associated with the FOQA program .

Additionally, secure system s will also be provided for storage of all FOQA-related

materials, including paper, m edia, and backup devices.

FAA FOQA Enforcement Policy

The [Airline Nam e] FOQA Program incorporates the protections codified in the FOQA Rule,

part 13, section 13.401, which states that except for deliberate or crim inal acts, the Adm inistrator

will not use [Airline Nam e]'s FOQA data or aggregate FOQA data in an enforcem ent action

against [Airline Nam e] or its em ployees when such FOQA data or aggregate FOQA data is

obtained from a FOQA program that is approved by the Adm inistrator.

Legislation

In the Federal Aviation Reauthorization Ac t of 1996, Congress included specific provisions

pertinent to the public release of safety-related inf ormation that was voluntarily subm itted to the

FAA. Specifically, the Reauthorization Ac t added a new section—49 U.S.C. § 40123—to the

FAA’s governing statute to protect voluntarily s ubmitted inform ation from disclosure if the

Adm inistrator finds that (1) the disclosure of the inform ation would inhibit the voluntary

provision of that type of inform ation and that th e receipt of that type of inform ation aids in

fulfilling the Adm inistrator' s safety and security responsibilities; and (2) withholding such

inform ation from disclosure would be consistent with the Adm inistrator' s safety and security

responsibilities.

The Adm inistrator has issued a rule, 14 CFR part 193, which accom plishes the purposes set forth

in this legislation. This rule describes the pr ovisions for designating inform ation that would be

protected. Inform ation collected under an FAA-approved voluntary FOQA program has been

designated by FAA Order 8000.81 as com ing under the provisions of this rule.

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6. FOQA PROGRAM COMPONENTS

The principal com ponents that will com pose the FOQA program at [Airline Nam e] are described

below and are illustrated in Figure 1.

Aircraft Fleet

The [Aircraft Model/Type] aircraft will be th e launch aircraft for the [Airline Nam e] FOQA

program . Twenty of these aircraft will be used to initiate the FOQA program . These aircraft will

be equipped with the [Product Nam e] Flight Data Acquisition Managem ent System on a

schedule established by [Airline Nam e] 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 Nam e] will be utilizing the [Product Nam e] Quick Access Recorder. This recorder

collects continuous flight data param eters and st ores this inform ation on the [Specify Storage

Media, e.g., PCMCIA card].

Data Dow nload and Airborne System Maintenance and Support

The Flight Data Acquisition Managem ent System and Quick Access Recorder will be

maintained per the FAA-approved [Airline Nam e] aircraft m aintenance program . Avionics

Engineering will be responsible for m anaging this process. The [Storage Media] will be

downloaded [specify frequency] by m eans of [Specify Downloading Methodology, e.g., rem oval

and replacem ent of PCMCIA cards]. The FOQA Manager will be responsible for coordinating

maintenance issues with [ Airline Nam e] Avionics Engineering regarding data download and any

Flight Data Acquisition Managem ent System problem s 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 Nam e] fleet. It will apply protective m echanism s, including rem oval of identif ying

inform ation in accordance with the provisions described in the previous sections. The GDRAS

will also include trend analysis capabilities to explore historical data and analyze sim ilar event

data from past flights to determ ine if any patterns exist or if further study is warranted.

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Appendix A

Other Equipment

[Airline Nam e] will be investigating several other com ponents to incorporate into the FOQA

program as the technology becom es available and requirem ents are identified and refined. The

addition of these com ponents is subject to approval by the FMT.

FIGURE 1. FOQA SYSTEM ARCHITECTURE

FDR (Flight Da ta Re corder) Hand-held Do wload Unit

RDS (Remote Data System)

(Location)

EM S Workstation EMS Workstation EM S WorkstationFDW (Flight Data WarehouseAircraft

FOQA DataMOQA Data file format: .pcr, .ucrSerial Connection

Data Center

FDAP Office Maintenance

PC for SWI SoftwareFDAP (Flight Data Analysis Program) -

Architecture

PCMCIA

DFDAU (Digital Flight

Data Acquisition Unit)FAA Data with increased update rateFAA

Specific

Data

CDS (Communication Server)ACMS (Aircraft Conditioning Monitoring System)

APM (Automated Parameter Measurement)

Terminal ServerEMS Event Measurement

System) ServersReplicated Data

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Equipment Upgrade, Modification, or Replacement

The equipm ent used initially in the FOQA program , including airborne and ground system s, may

be upgraded, m odified, or replaced with equipm ent from the sam e or a different vendor that will

provide com parable or superior functionality to the equipm ent described in this section.

Docum entation of such changes in airborne or ground system s will be m aintained in the FOQA

office and will be m ade available to the FAA on request. This I&O plan will be revised and

subm itted to the FAA whenever changes to airborne or ground-based system s are m ade.

7. FOQA ORGANIZ ATION

Organiz ational Structure

The [Airline Nam e] FOQA organization structure is illustrated in Figure 2:

Personnel

The FOQA Program will consist of the following personnel:

1. FOQA Steering Committee

The FOQA Steering Com mittee is chaired by the Director of Flight Safety and

serves as the advisory group for the FOQA program . Mem bers of this com mittee

include the Vice President of Flight Operations, the Pilot Association Air Saf ety

Chairm an, Director of Maintenance, and the Director of Flight Training.

2. FOQA Program Manager

The FOQA Program Manager is responsible for the overall m anagem ent,

administration, security, and m aintenance of the FOQA program . These duties

include interfacing with the FAA, vendors, and other entities. The program

manager’s prim ary duties include addressing the FOQA data needs and reporting

requirem ents of Flight Operations, Tr aining, and Safety departm ents (and any

other stakeholders).

3. FMT

The FMT is chaired by the FOQA Program Manager. The FMT m eets once per

month to conduct reviews of aggregate trend data to identify recom mendations to

stakeholders.

4. FOQA Gatekeeper (s) [or Pilot Association Gatekeeper(s), if applicable]

The FOQA Gatekeeper(s) [ or Pilot Association Gatekeeper(s) , if applicable ] will

have access to identifying data, [in accordance with the Pilot Association

agreement, if applicable] . The gatekeeper will m anage password selection and

maintenance, control access to identifying data, and perform any necessary crew

contacts.

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Appendix A

FIGURE 2. FOQA ORGANIZ ATIONAL STRUCTURE

FOQA Steering

Committee

FOQA

Program

ManagerPilot

Association

GatekeeperFOQA

Monitoring

Team

FOQA

Analyst

Flight

TrainingFlight

Standar dsFlight

SafetyMaintenance

EngineeringFlight

Operations

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5. FOQA Analyst

The FOQA analyst will assist the FOQA Manager and is responsible for the

day-to-day operations of the FOQA GDRAS, generating GDRAS-related reports,

and assisting the FMT in reviewing and analyzing data.

8. FOQA PROGRAM IMPLEMENTATION

Program Startup Criteria

The startup criteria f or the program will be def ined by the FMT and will include, but not be

limited to:

• Com pletion of installation and testing of airborne equipm ent and GDRAS

• Successful testing of the com plete data analysis system

• Validation of flight param eters

• Validation of data collection system from the recording m edia to the GDRAS

• Implem entation of all data de-identification, protection, security, and retention

procedures

• Education of pilots and stakeholders

• Training for FOQA team members

• Specification and validation of event and definitions and operational m easurem ents

• Implem entation of procedures to detect and analyze triggered events and operational

measurem ents

• Implem entation of procedures to identify and track corrective actions

The FMT will m ake the decision regarding when the established criteria are m et. Once the FMT

determ ines a form al start date, any data collected before the form al start date m ust be re-

analyzed prior to retention in the FOQA database in order to assure that all reported events are

valid.

FOQA Implementation Schedule

Table 1 below identifies the FOQA im plem entation schedule, tim elines, and m ilestones.

TABLE 1. FOQA TIMELINE

Month Task

Month 1 1. Coordinate airborne technology require ments, particularly data m aps and

LFLs, with m aintenance/engineering.

2. Acquire airborne data acquisition/recording equipm ent for aircraft.

3. Coordinate with m aintenance/engineering for installation of equipm ent in

aircraft.

4. Evaluate GDRAS products, including on-site system trials.

5. Coordinate with corporate inform ation technology personnel for integration

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TABLE 1. FOQA TIMELINE

Month Task

with or installation of any com munication networks, com pliance with

computer-related standards, review of vendor m aintenance contracts, and any

other assistance required.

6. Begin education program for com pany officers and m anagem ent personnel

regarding FOQA benefits.

7. Begin periodic FMT m eetings to assist in GDRAS evaluation.

8. Meet with stakeholders to review current requirem ents and to define any

additional requirem ents.

9. Generate pilot education m aterials in conjunction with the pilot association.

10. Refine program start-up criteria.

Month 2 11. Convene FMT to review and refine event definitions.

12. Continue developm ent of pilot educational m aterials.

13. Develop equipm ent acceptance criteria with FMT, FOQA Analyst, and

associated vendor(s).

14. Select and acquire GDRAS hardwa re, software, and peripherals and

coordinate product support and any integration with corporate

communications infrastructure.

15. Coordinate with vendors and m aintenance/engineering to determ ine

procedures and resources required for retrieving airborne data and

transferring to FOQA facility.

16. Establish interface with m aintenance/engineering for addressing FOQA

issues.

17. Coordinate with GDRAS vendor to define periodic reporting capabilities and

format s.

18. Refine m ethods for retrieving data collected on aircraft.

19. Refine I&O Plan and subm it to AFS-230 and POI for approval.

20. Develop and issue m aintenance work cards/bulletins for data retrieval

procedures.

21. Develop m ethods for tracking receipt and auditing quality of aircraft-

recorded data.

22. Define data backup, retention, and archiving policies.

23. Develop guidelines for crew contact.

Month 3 24. Acquire/install com puter, com munications infrastructure, and operating

system for GDRAS and other ground and com munication equipm ent.

25. Integrate GDRAS with corporate com munications infrastructure as

appropriate.

26. Obtain and attend GDRAS vendor training for FOQA team members.

27. Develop and im plem ent security policy and procedures.

28. Continue pilot education process.

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TABLE 1. FOQA TIMELINE

Month Task

29. Evaluate GDRAS reporting capabilities using initial data and coordinate with

GDRAS vendor to obtain m odifications, if required.

30. Implem ent m aintenance procedures for routine retrieval of data from aircraft.

31. Analyze and validate initial data to confirm proper operation of airborne

equipm ent and GDRAS.

32. Establish vendor problem reporting and tracking system for FOQA

equipm ent and software.

Month 4 33. Form alize and docum ent procedures for event review, evaluation, and

follow-up.

34. Generate stakeholder education m aterials.

35. Educate POI regarding the specifics of the FOQA program .

36. Continue pilot education process.

37. Refine and test param eter conversions.

38. Refine and test event definitions.

39. Review equipm ent acceptance criteria and resolve outstanding issues with

vendors.

40. Verify GDRAS and system com ponents com pliance with data security and

de-identification procedures.

Month 5 41. Continue developm ent of param eter specifications.

42. Continue developm ent of event definitions.

43. Define and docum ent procedures for transferring to m aintenance/engineering

any m aintenance-related events captured by FOQA data.

44. Continue pilot education process.

45. Modify the I&O Plan as appropriate and subm it revisions to the FAA.

46. Determ ine and review form at for trend and sum mary reports.

47. Establish procedures to validate data and events and in the review and

evaluation of trend and sum mary reports.

48. Establish procedures for defining and im plem enting corrective actions, and

tracking their efficacy.

Month 6 49. Test all aspects of the data collection, transm ittal, and analysis system .

50. Continue data validation.

51. Implem ent data retention policies.

52. Review start-up criteria.

53. Implem ent procedures for system and data back-up and archiving.

54. Finalize trend analysis procedures.

55. Define schedule and m ilestones for form al start-up and entry into continuing

operations.

56. Develop procedures for m aintaining I&O plan revisions.

57. Implem ent stakeholder feedback m echanism s.

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TABLE 1. FOQA TIMELINE

Month Task

58. Review FOQA data gathered prior to program ’s official launch and

determ ine how the data will be used based on the [ Airline Nam e’s] data

retention policy.

59. Continue pilot education process.

9. EDUCATION AND TRAINING

Pilot education about the [Airline Nam e] FOQA Program will be accom plished through

quarterly Flight Operations publications, the Pilot Association publications, and a secure bulletin

board at each crew base. These bulletin boards will highlight FOQA issues, including featured

events or issues.

Each of the FOQA stakeholders will be provided with inform ation about the FOQA program

through reports generated from periodic FOQA m eetings, bulletin boards, and an initial FOQA

overview report that will be developed and distributed during the initial im plem entation of the

FOQA program .

All FOQA personnel will receive training on the GDRAS software. Additionally, FOQA

stakeholders will visit other operators with established FOQA program s. Other training will be

provided as new hardware and/or software is added to the program .

10. DATA ANALYSIS PROCEDURES

Data Usage and Management

All processed FOQA data will be m aintained by the GDRAS subject to periodic deletion as

determ ined by the FOQA Steering Com mittee and in accordance with the [Airline Nam e] record

retention policies.

The FMT will be responsible for developing reports sum marizing the inform ation obtained

through the FOQA Program . The reports will include sum maries of the m ost recent inform ation

obtained through the FOQA Program as well as trend inform ation to dem onstrate the

effectiveness of prior corrective actions. These reports will be distributed to Flight Operations,

Flight Training, Flight Safety, Maintenance E ngineering, and other involved stakeholders on a

regular basis. The FMT will solicit recom mendations f rom the recipients of the reports in order

to im prove their usefulness as the program proceeds.

Flight Data Collection and Analysis

The m anner in which FOQA data is processed is illustrated in Figure 3. Maintenance

Engineering retrieves data from the aircraft and forwards it to the FOQA office. The ground

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analysis station will process the recorded f light data. Provisions f or security and tracking of the

media will be established through coordination between the FOQA Program Manager and the

Maintenance Engineering.

Flight data will be processed by the FOQA Analyst to determ ine what occurred and whether the

recorded inf ormation was legitim ate. A prelim inary analysis will use the GDRAS to interpret

identified events or trends and determ ine whether the inform ation was valid or invalid because of

bad data, a faulty sensor, or som e other invalidating factor. In the event that the data reveal a

situation of im mediate concern to Maintenance Engineering, the FOQA Program Manager will

notify that departm ent.

NOTE: Preliminary review of the data to assess validity must be completed w ithin

7 business days from the time the data is received at the FOQA office. After 7 days, the

data is permanently de-identified per FMT procedures and the Pilot Association agreement

preventing the ability to contact flight crew members, if needed. Further analysis of the

data received is accomplished in relation to existing aggregate information w ithin the

FOQA Program. Program trend reports of the aggregate data are developed by the FMT

on a regular basis for presentation to stakeh olders for use in developing corrective actions

or for monitoring of operational issues.

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FIGURE 3. FOQA DATA PROCESSING

Airborne D ata

Valid

Data?

FOQA Monitoring Team

Action/Feedbac k

Crew

Contact?Gatekeeper/

Designated FOQA

Team MemberStop

Flight CrewMaintenanc e and

Engineering

FOQA

ManagerSafety, Operations,

and T rainingRemove from

FOQA Databas eNo

Yes

No YesDe-identified Flight Data

FOQA Databas eSecured Raw DataGDRAS

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Data Classifications and Definitions

Param eters and m easurem ents used in the [Airline Nam e] FOQA program are contained in

Appendix II of this I&O Plan. The def initions will be program med into the GDRAS to m easure

events and/or m onitor trends. The perf ormance lim its that def ine these def initions will be

continually reviewed by the FMT to determ ine they are consistent with the FOQA program

goals, applicable publications, and guidance m aterials, which m ay include, but are not lim ited to,

the following:

• Flight Operations Manual (FOM)

• Quick Reference Handbook (QRH)

• [Airline Nam e] flight training m aterials

• Approved Flight Manual (AFM)

• Manufacturer Maintenance Manuals

The event set for the [Airline Nam e] FOQA Program is contained in Appendix II. This event set

will be m odified as deem ed appropriate by the FMT and additional event sets will be def ined as

needed. The FOQA Program Manager will be responsible for m aintaining the event sets and

coordinating with the FMT.

Data Definition Maintenance

The procedures for validating, reviewing, and defining event and trend definitions will be

established by the FMT and they will determ ine whether the inf ormation is valid and ref lects

[Airline Nam e’s] qualification and perform ance standards, training practices, and aircraft

perform ance lim its. All changes in the event and trend definitions will be logged and the FOQA

Program Manager will m aintain the records.

Data Review and Evaluation

All data recorded by the [Airline Nam e] FOQA Program will be evaluated by the FMT on a

periodic basis as determ ined by the FOQA Program Manager. FOQA data should be evaluated to

determ ine if the program is accurately m onitoring collected inform ation for events and trends.

The review and evaluation of the m easurem ents, pr ofiles, events, and trends used in the [Airline

Nam e] FOQA Program should reflect changes, updates, or enhancem ents to policy and

procedures within all stakeholders’ departm ents. Consideration should also be given to any

changes, updates, or enhancem ents to policies and procedures within the FAA and industry.

Data Trending and Record Retention

De-identif ied flight data stored in the GDRAS will be periodically deleted as determ ined by the

FOQA Steering Com mittee. Trend data will be m aintained for a period of tim e as specified by

the FMT in consultation with the FOQA Steering Com mittee. Maintenance Engineering shall

retain the data as long as necessary to satisfy m anufacture’s warranties.

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11. PROGRAM AND DATA DOCUMENTATION

Operational Development

The FOQA Program Manager will develop appropriate docum entation for support of the FOQA

operation. This docum entation will be used to provide routine support for the process and

facilitate any personnel transitions that m ay occur during the program .

Information and Data Control

The FOQA Program Manager will m aintain a history of the inform ation used in the FOQA

program . When a FOQA or safety issue is identified, a log will be m aintained to provide a

reference docum ent. This docum ent will provide a way to track how [ Airline Nam e] addresses

trends revealed by analysis of the FOQA data. This will include:

• A description of the identif ied issue

• Analysis that was accom plished

• Specific corrective actions or recom mendations taken or m ade

• Personnel who were notified (e.g., flight crews [de-identified], Engineering

Maintenance, Flight Operations, Flight Training, Flight Safety)

• Resolution of actions or recom mendations

The log will be used to generate a sum mary report for presentation to the FOQA Steering

Com mittee and senior m anagem ent. This log will be m aintained in the FOQA office in a secure

place. The FOQA Steering Com mittee will establish the retention period for this log.

I&O Plan Revision Control

Standard revision control m ethodology and a distribution list will be established for this I&O

Plan. A revision control page that identifies the pages to be added, rem oved, and/or replaced,

will be subm itted with any revisions. Each revised page will indicate the page num ber and date.

Revisions to the I&O plan will be provided as necessary and appropriate. All revisions to the

I&O plan, including event def initions, will be subm itted to the [ Airline Nam e] FAA POI and to

FAA AFS-230.

12. FAA ACCESS

The [Airline Nam e] FAA POI (and/or Aircrew Program Managers [APMs]) and PMI (and/or

Partial Program Managers [ PPMs] ) shall be perm itted f ree and open access to de-identif ied

aggregate FOQA data, including fleet-specific tre nd analysis inform ation. This review will

include a quarterly update of FOQA trend inform ation to [Airline Nam e]’s FAA personnel. Any

FOQA data or inform ation shared with the FAA shall be protected from use by the FAA for

enforcem ent purposes in accordance with14 C.F.R. section 13.401 and shall be protected from

public disclosure in accordance with part 193 and FAA Order 8000.81. Any de-identified

FOQA data or aggregate FOQA data that leav es [Airline Nam e]’s property will be clearly

labeled as follows: “W ARNING: This FOQA info rmation is protected from disclosure under 49

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Appendix A

U.S.C. 40123 and 14 CFR part 193. This inform ation m ay be released only with the written

perm ission of the Federal Aviation Adm inistrati on Associate Adm inistrator for Regulation and

Certification.” Airline identity and other inform ation that could be em ployed to derive airline

identity will be rem oved from any FOQA aggregate data subm issions which [Airline Nam e]

provides to the FAA in com pliance with section 13.401, unless [Airline Nam e] elects to include

that inform ation. In the event that [Airline Nam e] chooses to allow FOQA data or aggregate

FOQA data that includes airline identity inform ation to be rem oved from [Airline Nam e]’s

property, all such data will be labeled as the conf idential and proprietary property of [Airline

Nam e], in addition to the preceding warning.

In accordance with the FOQA Aviation Rulem aking Com mittee (ARC) recom mendations that

have been accepted by the FAA, [Airline Nam e] will participate in industry inform ation sharing

activities for FAA-approved FOQA program s. All inform ation included in any industry sharing

activity or any request f or information will be reviewed and approved by [ Airline Nam e] before

release by [ Airline Nam e]. The inf ormation released will be considered [ Airline Nam e]

proprietary inf ormation and will be de-identif ied so that specif ic flight inf ormation is not

included. To the extent possible, the inf ormation released will be de-identif ied to lim it the

references that identify it as [Airline Nam e] inform ation. In addition, at such tim e as the FAA

provides guidance regarding future requirem ents for com pliance with part 13, section 13.401(d),

[Airline Nam e] will review those requirem ents to determ ine whether to continue its voluntary

participation in an approved FOQA program . If the decision is m ade to continue with the

program , this I&O Plan will be revised accordingly.

APPENDICES

APPENDIX I. PILOT A SSOCIATION AGREEMENT

Insert Pilot Association Agreement ( if applicable) .

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Appendix A

APPENDIX II. EVENT PARAMETERS AND DEFINITIONS

Event Nam e Event Description Param eters and Basic

Event Def inition Notes

Excessive

Power on the

Ground An event designed to

measure high power

settings on the ground

that could result in

injury to personnel or

damage to equipm ent. Air/Ground Switch,

Ground Speed, N 1

Air/Ground = Ground,

Ground Speed < x knots,

N1 > x% for x seconds This event would

also be used in the

After Landing

phase.

Excessive

EGT – Start An event designed to

detect EGT in excess

of flight m anual lim its

during engine start. Air/Ground Switch, EGT

Air/Ground = Ground,

EGT > x degrees for x

seconds This event could

be included in

other flight phases,

if desired,

although EGT

exceedances other

than on engine

start are extrem ely

rare.

Engine

Overtem p An event to detect

engine EGT in excess

of in-flight lim its. EGT

EGT > x degree for x

seconds

Takeoff

Warning An event that would

trigger on the sam e

conditions that set off

the takeoff warning

horn. Air/Ground Switch, Flap

Position, Speed Brake

Position, Throttle

Position (or possibly N 1)

Air/Ground = Ground,

Flaps < approved takeoff

flaps, Flaps > approved

takeoff fl aps, Speed

Brake > 0, Throttle

Position > x On som e newer

aircraft, Takeoff

Warning is a

discrete param eter.

Trim Setting is

norm ally a

component that

triggers Takeoff

Warning, but it is

sometimes not a

recorded

param eter.

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Appendix A

Event Nam e Event Description Param eters and Basic

Event Def inition Notes

Rejected

Takeoff –

Low Speed An event to detect that

the takeof f roll has

begun and the takeoff

has been abandoned

below a pre-

determ ined speed. CAS, N 1

CAS > x knots, CAS < x

knots, N 1 > x% for x

seconds, followed by N 1

< x% within 60 seconds Low end CAS

should be greater

than any

anticipated taxi

speed. 100 knots

is generally

accepted as the

cutoff between

high- and low-

speed aborts.

Rejected

Takeoff –

High Speed An event to detect that

the takeof f roll has

begun and the takeoff

has been abandoned

above a pre-

determ ined speed. CAS, Gross W eight, N 1

CAS > x knots, CAS <

V1, N1 > x% for x

seconds, followed by N 1

< x% within 60 seconds If N 1 is not an

available

param eter, V 2 or

Liftoff Speed may

be used as the

upper lim it.

Liftoff Speed

High An event to determ ine

the relationship of the

actual lif toff speed to

V2. Air/Ground Switch,

Gross W eight, CAS

Air/Ground = Ground,

CAS > V 2 + x knots for x

seconds V2 is calculated

based on Gross

Weight.

Liftoff Speed

Low An event to determ ine

the relationship of the

actual lif toff speed to

V2. Air/Ground Switch,

Gross W eight, CAS

Air Ground = Air, CAS <

V2 – x knots for x

seconds V2 is calculated

based on Gross

Weight.

Pitch High at

Takeoff An event that

measures pitch at

takeof f in relation to

the angle required to

strike the tail of the

aircraft. Air/Ground Switch, Pitch

Air/Ground = Ground,

Pitch > x degrees Limits are based

on the angle

required for the

tail cone to contact

the ground with

struts com pressed.

Takeoff Clim b

Speed High An event to detect

climb speed higher

than desired during

the Takeoff Phase of

flight. CAS, Gross W eight,

HAT

HAT > x feet, HAA < x

feet, CAS > V 2 + x knots Altitude ranges

should be used to

accom modate

different desired

climb speeds in

those ranges. In

certain ranges, the

climb airspeed will

be based on V 2.

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Appendix A

Event Nam e Event Description Param eters and Basic

Event Def inition Notes

Takeoff Clim b

Speed Low An event to detect

climb speed lower

than desired during

the Takeoff Phase of

flight. CAS, Gross W eight,

HAT

HAT > x feet, HAA < x

feet, CAS < V 2 – x knots Altitude ranges

should be used to

accom modate

different desired

climb speeds in

those ranges.

Early Flap

Retraction An event to detect any

flap m ovem ent from

the takeoff position

prior to reaching the

altitude at which f lap

retraction should

begin. HAT, Flap Position

HAT< x feet, Flap

Position < Flap Position

in the preceding sam ple

Excessive

Bank Angle at

Takeoff An event to detect

when the bank angle

exceeds the m aximum

allowable bank angle. HAT, Roll

HAT > x feet, HAT < x

feet, Roll > x degrees for

x seconds Altitude ranges

should subdivide

this event with

different bank

limitations in each

range.

Turbulence –

Flaps

Extended An event to detect

excessive G-forces

prior to f lap retraction.Vertical Acceleration,

Flap Position

Flaps > 0, Vertical

Acceleration > x g for x

seconds 1.5 g is a generally

accepted lim it for

this type of event.

This event can also

occur during the

Approach phase of

flight.

Slow Initial

Clim b An event to detect a

slower than norm al

climb to the clean-up

altitude. Air/Ground Switch, HAT

Time > x seconds from

Air/ Ground = Air to

HAT = x feet HAT would be

based on clean-up

altitude.

Abnorm al

Flap

Retraction An event to detect

slow flap m ovem ent

between any selected

flap position and the

previously selected

flap position. Flap Position, Flap

Handle Position

Time from Flap Handle

Position = x degrees until

Flap Position = x degrees

> x seconds This event will

also detect stuck

flaps.

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Appendix A

Event Nam e Event Description Param eters and Basic

Event Def inition Notes

Height Loss in

Clim b An event to detect an

interruption in clim b

in which altitude is

lost bef ore the clim b

resum es. HAT

HAT < than x feet, HAT

< HAT in preceding

sample This event m ight

benefit from

subdivision in

altitude ranges.

Clim b Speed

High An event to detect

climb speed higher

than 250 knots below

10,000 feet. Altitude, CAS

Altitude < 10,000 feet,

CAS > 250 knots for x

seconds

Flap Lim it

Altitude An event to detect

when flaps are

operated above the

maximum allowable

altitude f or flap

operation.

Altitude, Flaps Position

Altitude > x f eet, Flap

Position > 0 degrees Altitude would

correspond to the

maximum

operating altitude

for flaps extended.

Turbulence –

Flaps Up An event to detect

excessive G-force

while airborne,

indicating an

encounter with

turbulent conditions. Air/Ground Switch,

Vertical Acceleration

Air/Ground = Air,

Vertical Acceleration > x

g, Vertical Acceleration

> -x g This event will

measure

turbulence from all

sources

(convective

activity, clear air,

or wake induced).

Vertical

Acceleration lim its

of +1.5 g to – 0.5 g

might be

considered.

Holding/

Excess Radar

Vectoring An event to detect

excessive delays

caused by ATC

holding/radar

vectoring. Heading

Cum ulative Tim e > x,

Heading = Heading +

359 degrees, Tim e < 600

seconds The start point for

this event would

occur after the first

360-degree turn

and end 600

seconds after the

last turn. The

event would

trigger when the

cumulative tim e

exceeds a user-

defined value.

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Appendix A

Event Nam e Event Description Param eters and Basic

Event Def inition Notes

Operating

Ceiling

Exceeded An event to detect

operation of the

aircraft above its

certificated m aximum

operating altitude. Altitude

Altitude > x f eet for x

seconds

Landing Gear

Down Speed

Exceeded

(Mach) The indicated m ach

number of the aircraft

exceeds the m aximum

allowable m ach for

operation with the

landing gear in the

down position. Mach, Landing Gear

Position

Landing Gear Position =

Down, Mach > x m ach

number for x seconds Limiting m ach

number would be

MLE.

MMO

Exceeded An event to detect

occurrences of the

indicated m ach

number of the aircraft

in excess of the

maximum allowable

mach num ber. Mach

Mach > x m ach num ber

for x seconds

VMO Exceeded An event to detect

occurrences of the

indicated airspeed of

the aircraft in excess

of the maximum

allowable airspeed. CAS

CAS > x knots for x

seconds

High Descent

Rate An event that

measures unusually

high rates of descent. Inertial Vertical Speed,

HAT, Altitude

Descent rate > x f pm for

x seconds, HAT/Altitude

> x, HAT/Altitude < x This event can be

subdivided into

altitude ranges to

capture abnorm al

rates of descent

that m ight be

caused by different

ATC f acilities.

Excessive

Speedbrake

Usage An event that

measures the am ount

of tim e the speedbrake

is used during descent.Speed Brake Handle,

Air/Ground Switch

Air/Ground = Air,

Cum ulative Tim e Speed

Brake > 0 This event is

useful in

evaluating arrival

procedures into

specif ic airports.

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Appendix A

Event Nam e Event Description Param eters and Basic

Event Def inition Notes

Approach

Speed High An event to detect

operation on approach

that is in excess of its

computed final

approach speed. Gross W eight, CAS,

HAT, Flaps

HAT > 1,000 feet, HAT

< 3,000 feet, CAS > V FE

– x knots

HAT < 1,000 feet, CAS

> V REF + x knots This event should

be broken down

into altitude bands.

Suggested

breakdown would

be HAT > 1,000

feet, HAT 500 –

1,000 feet, HAT

50 – 500 feet,

HAT < 50 feet.

Speeds above

1,000 feet would

reference a lookup

table.

Approach

Speed Low An event to detect

operation on approach

that is below its

computed final

approach speed. Gross W eight, CAS,

HAT

HAT > 1,000 feet, CAS

< flap m aneuvering

speed – x knots HAT <

1,000 feet, CAS < V REF –

x knots Speeds above

1,000 feet would

reference a lookup

table.

Excessive

Power

Increase An event to detect an

excessive power

increase during final

phase of approach. HAT, N 1

∆ of N 1 at 500 feet and

N1 < 500 feet > x

Abnorm al

Configuration

Flaps/Speedbr

ake An event to detect the

simultaneous use of

flaps and speedbrakes. Speedbrake Handle,

Flaps Speedbrake handle

> 0, flaps > 0 This event would

only be included if

this type of

operation were

prohibited in the

flight operations

manual.

Abnorm al

Flap

Extension An event to detect

slow flap m ovem ent

between any selected

flap position and the

previously selected

flap position. Flap Position, Flap

Handle Position

Time from Flap Handle

Position = x degrees until

Flap Position = x degrees

> x seconds This event will

also detect stuck

flaps.

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Appendix A

Event Nam e Event Description Param eters and Basic

Event Def inition Notes

Landing Gear

Down Speed

Exceeded

(IAS) An event to detect

when the indicated

airspeed of the aircraft

exceeds the m aximum

allowable airspeed for

operation with the

landing gear in the

down position. Landing Gear Position,

CAS

Landing Gear = Down,

CAS > x knots

Late Landing

Flaps An event to detect flap

movem ent to the

landing flap position

below a pre-

determ ined altitude. HAT, Flap Handle

Position, Air/Ground

Switch

Air/Ground = Air, HAT

< x feet, Flap Handle

Position at x feet HAT <

Flap Handle Position at

touchdown This event is

slightly different

from Late Landing

Configuration in

that it detects f lap

movem ent below a

set altitude rather

than a flap setting.

Low Power on

Approach An event to detect

aircraft engines not

spooled or the power

reduced to an

unspooled condition

below a predeterm ined

altitude. Air/Ground Switch,

HAT, N 1

Air/Ground = Air, HAT

< x feet, N 1 < x %

Landing Gear

Operation An event to detect

when the indicated

airspeed of the aircraft

exceeds the m aximum

allowable airspeed for

operation of the

landing gear in transit. Landing Gear W arning,

CAS Landing Gear

Warning (in transit) =

On, CAS > x knots If the operating

limitation is

different for

landing gear

extension and

retraction, separate

events will need to

be created for each

limitation.

Operation Left

of Localizer

Centerline An event to detect

deviation left of

localizer centerline. Localizer Deviation Left,

HAT

Localizer Deviation > x

dots, HAT > x feet

Operation

Right of

Localizer

Centerline An event to detect

deviation right of

localizer centerline. Localizer Deviation

Right, HAT

Localizer Deviation > x

dots, HAT > x feet

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Appendix A

Event Nam e Event Description Param eters and Basic

Event Def inition Notes

Operation

Above

Glideslope An event to detect

deviation above

glideslope. Glide Slope Deviation

High, HAT

Glide Slope > x dots,

HAT < x feet

Operation

Below

Glideslope An event to detect

deviation below

glideslope. Glide Slope Deviation

Low, HAT

Glide Slope > x dots,

HAT < x feet

Descent

Below MDA An event to detect

descent below MDA

(followed by a clim b

back to MDA) on non-

precision approaches. HAT, Altitude

HAT < 1,000 feet,

Altitude > Altitude in

preceding sam ple + x feet

Flap Lim iting

Speed An event to detect flap

operation at a speed

that exceeds the

maximum placarded

airspeed. Flap Position, CAS

Flap Position = x, CAS >

x knots for x seconds This event will be

constructed with a

different speed

limit for each flap

setting through the

use of a lookup

table. It will also

detect speed

exceedances

during retraction

in the Takeof f

phase of flight.

Go Around An event to detect that

the aircraft has begun

its descent for landing,

discontinues that

descent, and does not

land from that

approach. HAT, Altitude, N 1

HAT < 2,000 feet, HAT

> 1 f oot, Altitude <

preceding Altitude

sample for 10 seconds,

N1 > 98%, Altitude > any

preceding Altitude

sample in previous 60

seconds + 300 feet

Page 25

AC 120-82 4/12/04

Appendix A

Event Nam e Event Description Param eters and Basic

Event Def inition Notes

ATC Go

Around An event to detect a

go-around event in

which no other events

are triggered, such as

approach instability,

indicating the go

around was directed

by ATC. HAT, Altitude, N 1,

Localizer Deviation,

Glide Slope Deviation,

CAS

HAT < 2,000 feet, HAT

> 1 foot, N1 > 98%,

Altitude > any preceding

Altitude sam ple in

previous 60 seconds +

300 feet, Localizer

Deviation < x dots, Glide

Slope Deviation < x dots,

CAS = V REF ± x knots

Late Landing

Configuration An event to detect that

the aircraft is not

configured with

landing flaps and

landing gear in the

down and locked

position at 500 feet

HAT. HAT, Landing Gear

Position, Flap Position

HAT < 500 feet, Landing

Gear W arning = On, Flap

Position < x flaps

Tire Lim iting

Speed An event to detect if

the tire lim iting speed

is exceeded. Air/Ground Switch, CAS

Air/Ground = Ground,

CAS > x knots

Pitch High –

Landing An event that

measures pitch at

landing in relation to

the angle required to

strike the tail of the

aircraft. Air/Ground Switch, Pitch

Air/Ground = Ground,

Pitch > x degrees from 6

seconds before to 15

seconds after touchdown Limits are based

on the angle

required for the

tail cone to contact

the ground with

struts com pressed.

Pitch Low –

Landing An event that

measures pitch

attitude where the

aircraft is in a nose

down attitude that

might result in an

initial nose-gear

touchdown or three-

point landing. Air/Ground Switch, Pitch

Air Ground = Ground,

Pitch < x degrees from 3

seconds before to 1

second after touchdown

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Appendix A

Event Nam e Event Description Param eters and Basic

Event Def inition Notes

Landing in a

Crab An event to detect

failure to align aircraf t

with the runway at

touchdown. Heading, CAS

∆ Heading at Touchdown

vs. Average Heading

until CAS = 60 knots

Hard Landing An event that

measures excessive G-

force at touchdown,

indicating a hard

landing. Air/Ground Switch,

Vertical Acceleration

Air/Ground = Ground,

Vertical Acceleration > x

G

Bounced

Landing An event that

measures excessive G-

force at touchdown

followed by a second

excessive G-force,

indicating a bounced,

hard landing. Air Ground Switch,

Vertical Acceleration

Air/Ground = Ground,

Vertical Acceleration > x

G, followed by second

Vertical Acceleration > x

G within 20 seconds of

first touchdown

Excessive

Brake Usage An event to detect

higher-than-norm al

brake application. Brake Pressure

Sum of Brake Pressure

readings (one per second)

from Touchdown to

Runway Turnoff/1000.

Resulting index num ber

> x A routine

operational

measurem ent

(ROM) would be

helpf ul to

determ ine norm al

braking at a given

airport.

Thrust

Reverser

Stowed An event that

measures the speed at

which the thrust

reverser is stowed

during landing rollout. CAS, Thrust Reverser

Deploy

Thrust Reverser = On for

5 seconds before Thrust

Reverser = Off, CAS > x

knots

Overweight

Landing An event to detect

landings m ade in

excess of the

maximum gross

landing weight. Air/Ground Switch,

Gross W eight

Air/Ground from Air to

Ground + 20 seconds,

Gross weight > x pounds

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Appendix A

Event Nam e Event Description Param eters and Basic

Event Def inition Notes

Abnorm al/

Incorrect

Landing Flaps An event to detect that

the aircraft touched

down with flaps in a

position less than the

minimum expected

landing flap setting. Air/Ground Switch, Flap

Position,

Air/Ground from Air to

Ground + 5 seconds,

Flaps < x degrees Will need to be

custom ized for the

recom mendations

in the f light

manual.

Runway/Taxi

way Rough An event that

measures excessive G-

force on the ground,

indicating defects in

runway/taxiway

surfaces. Air/Ground Switch,

Vertical Acceleration,

CAS

Air/Ground = Ground,

CAS < 100 knots,

Vertical Acceleration

>1.3 g

Stick Shaker

Operation An event to detect

stick shaker operation. Stick Shaker

Stick Shaker + On (L or

R)

GPW S

Warning An event to detect

when a GPW S

warning is triggered. GPW S

GPW S = On This event should

be subdivided for

each of the

different warning

modes of the

GPW S.

Engine Failure An event to detect in-

flight engine

failure/shutdown. Air/Ground Switch, Fuel

Flow, Oil Pressure, EGT

Air/Ground = Air, Oil

Pressure < x psi, Fuel

Flow < x pph, EGT < x

degrees

TCAS

Advisory An event to detect any

TCAS advisory

triggered. TCAS Advisory (Up or

Down)

TCAS Advisory = On This event should

be separated for

TCAS Traffic

Advisories (TAs)

and Resolution

Advisories (RAs).

Engine

Reverse at

Low Speed An event to detect use

of engine reverse at

low speed that can

result in engine

overtem ps and/or

FOD ingestion. Thrust Reverser, N 1,

CAS

Thrust Reverser = On,

CAS < x knots, N 1 > x%

for x seconds

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Appendix A

APPENDIX III. GLOSSARY

GLOSSARY

Term Definition

ACARS Aircraft Com munications Addr essing and Reporting System . ACARS

is a VHF air/ground data link that uses nearly 600 VHF frequency

locations throughout North and Central Am erica, Hawaii, the

Caribbean, and several U.S. territories. It relays Aircraft Operational

Control (AOC), Airline Adm inistrative Control (AAC), and Air Traffic

Control (ATC) m essages between ground-based organizations and the

cockpit.

ACMS Aircraft Condition Monitoring System . An airborne unit that can create

reports such as long-term trend data and aircraft/engine m onitoring.

ACMS is m ainly used for m aintenance applications.

Aggregate Data Detailed data grouped according to som e criterion and com bined using

mathem atical or statistical m ethods (e.g., sum, count, average, standard

deviation).

Air Carrier An organization that undertakes -- either directly or by lease or som e

other arrangem ent -- to engage in air transportation.

ARINC Aeronautical Radio Incorporat ed. The ARINC organization is the

technical, publishing, and adm inistrative support arm of the Airlines

Electronic Engineering Com mittee (AEEC) groups. AEEC standards

define avionics form , fit, function, and interfaces.

ATC Air Traffic Control. A service operated by appropriate authority to

prom ote the safe, orderly, and expeditious flow of air traffic.

COTS Commercial-Off-the-Shelf. Products , com ponents, or software that are

readily available through norm al com mercial channels, as opposed to

custom -built units that would achieve the sam e functionality.

DAR Digital ACMS Recorder. See ACMS.

Data Fram e A data m ap. See LFL.

De-identified Data Data from which any identifying elem ent that could be used to

associate them with a particular flight, date, or flightcrew has been

removed.

Page 29

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Appendix A

GLOSSARY

Term Definition

DFDAU Digital Flight Data Acquisition Unit. A device that acquires aircraft

data via a digital data bus and analog inputs, and form ats that

inform ation for output to the flight data recorder in accordance with

requirem ents of regulatory agencies. In addition to the m andatory

functions, m any DFDAUs have a second processor and m emory

module that enables them to perform additional Aircraft Condition

Monitoring System (ACMS) functions/reports. The DFDAU can

provide data and pre-defined reports to the cockpit printer, or a display

for the flightcrew, or directly to Aircraft Com munications Addressing

and Reporting System (ACARS) for transm ittal to a ground station, or

to a Quick Access Recorder (QAR) for recording/storage of raw flight

data.

DFDMU Digital Flight Data Managem ent Unit. A unit that perform s the sam e

data conversion functions as the DFDAU and has the added capability

to process data onboard the aircraft. Additionally, this unit has a

powerful data processor designed to perform in-flight airfram e/engine

and flight perform ance m onitoring and analysis. Som e DFDMUs have

ground data link and ground collision avoidance system s incorporated

into the units.

DFDR Digital Flight Data Recorder. A digital device that records pertinent

param eters and technical inform ation about a flight. At a m inimum, it

records those param eters required by the governing regulatory agency,

but m ay record a m uch higher num ber of param eters. A DFDR is

designed to withstand the forces of a crash so that inform ation recorded

by it m ay be used to reconstruct the circum stances leading up to the

accident.

DMU Data Managem ent Unit. A unit that perform s the sam e 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

airfram e/engine and flight perform ance m onitoring and analysis. Som e

DMUs have ground data link and ground collision avoidance system s

incorporated into the unit.

EGT Exceedance Guidance Team . See FMT.

EMT Event Monitoring Team . See FMT.

Event An occurrence or condition in which pre-determ ined lim its of aircraft

param eters have been exceeded. Events represent the conditions to be

tracked and m onitored during various phases of flight and are based on

sensory data param eters available on a specific aircraft fleet. Events

may be categorized at different severity levels based on the degree to

which the associated lim its were exceeded. Most FOQA trend analysis

is based on event m onitoring and tracking.

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Appendix A

GLOSSARY

Term Definition

Event Set A collection of events designed to m easure all aspects of norm al flight

operations for a particular aircraft type at a particular air carrier.

Individual events within the event set would be custom ized to the

approved lim itations for the aircraft type and in accordance with the air

carrier’s operational procedures. The event set for a particular fleet

may be lim ited by the available param eters on the aircraft.

FAR Federal Aviation Regulations. Federal rules that govern airworthiness

and the conduct of flight operations by certificate holders, am ong other

safety matters.

FDAU Flight data acquisition unit. See DFDAU.

FDR Flight data recorder. A required device that records pertinent

param eters and technical inform ation about a flight. At a m inimum, it

records those param eters required by the governing regulatory agency,

but m ay record a m uch higher num ber of param eters. An FDR is

designed to withstand the forces of a crash so that inform ation recorded

by it m ay be used to reconstruct the circum stances leading up to the

accident. See DFDR.

FMT FMT. A group com prised of representatives from the pilot association,

if applicable, and the air carrier. This group, som etimes referred to as

the Exceedance Guidance Team (EGT) or Event Monitoring Team

(EMT), is responsible for reviewing and analyzing flight and event

data, and determ ining and m onitoring corrective actions.

FOQA Flight Operational Quality Assurance. A voluntary program for the

routine collection and analysis of flight operational data to provide

more inform ation about, and greater insight into, the total flight

operations environm ent. A FOQA program com bines these data with

other sources and operational experience to develop objective

inform ation to enhance safety, training effectiveness, operational

procedures, m aintenance and engineering procedures, and air traffic

control procedures.

Gatekeeper The FOQA team member who is prim arily responsible for the security

of identified data. The gatekeeper is the only individual who can link

FOQA data to an individual flight or crewm ember. The gatekeeper is

norm ally a m ember of the pilot association.

GDL Ground Data Link. See W DL.

GDRAS Ground Data Replay and Analysis System . A software application

designed to: transform airborne recorded data into a usable form for

analysis; process and scan selected flight data param eters; com pare

recorded or calculated values to predeterm ined norm s using event

algorithm s; and generate exceedance reports for review or trending

when exceedances are found.

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AC 120-82 4/12/04

Appendix A

GLOSSARY

Term Definition

I&O Plan Implem entation and Operations Plan. A detailed specification of key

aspects of a FOQA program to be im plem ented 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

inform ation, and procedures for inform ing the FAA as to any

corrective actions being undertaken.

LAN Local Area Network. A com munications network that serves users

within a confined geographical area, typically linked together by cable.

LFL Logical Fram e Layout. A data m ap that describes the form at in which

param eter data are transcribed to a recording device. This docum ent

details where each bit of data is stored.

LRU Line Replaceable Unit. A unit that can be replaced by line m aintenance

personnel without rem oving the aircraft from service for an extended

period.

Mapping See LFL.

MEL Minim um Equipm ent List. A list of required equipm ent that, under

certain conditions, m ight be inoperative.

MTBF Mean Tim e Between Failure. The life expectancy of a com ponent or

part, expressed in flight hours.

OQAR Optical Quick Access Recorder. See QAR. A QAR that stores data on

an optical disk.

PAI Principal Avionics Inspector. The FAA em ployee responsible for

oversight and inspection of avionics at a specific air carrier.

Param eters Measurable variables that supply inform ation about the status of an

aircraft system or subsystem , position, or operating environm ent.

Param eters are collected by a data acquisition unit installed on the

aircraft and then sent to analysis and reporting system s.

PCMCIA card Personal Com puter Mem ory Card International Association card. A

credit card-sized data storage and transfer device that was originally

developed for portable com puters and m ay be used on som e QARs.

The Personal Com puter Mem ory Card International Association was

organized in 1989 to prom ote standards for these m emory or

input/output (I/O) devices.

PMI Principal Maintenance Inspector. The FAA em ployee responsible for

oversight and inspection of aircraft m aintenance functions at a specific

air carrier.

POI Principal Operations Inspector. The FAA em ployee responsible for

operational oversight of a specific air carrier.

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4/12/04 AC 120-82

Appendix A

GLOSSARY

Term Definition

QAR Quick Access Recorder. A recording unit onboard the aircraft that

stores flight-recorded data. These units are designed to provide quick

and easy access to a rem ovable m edium , such as an optical disk or

PCMCIA card, on which flight inform ation is recorded. QARs m ay

also store data in solid-state m emory that is accessed through a

download reader. QARs have now been developed to record an

expanded data fram e, som etimes supporting 2,000 plus param eters at

much higher sam ple rates than the FDR. The expanded data fram e

greatly increases the resolution and accuracy of the ground analysis

program s.

SRU Shop Replaceable Unit. A unit that m ust norm ally be replaced in a

maintenance f acility during heavy m aintenance checks.

SSFDR Solid State DFDR. A DFDR that utilizes solid-state m emory for

recording flight data. See DFDR.

STC Supplem ental Type Certificate. An addendum to the Type Certificate.

An STC is required for any new equipm ent installed on a m odel of

aircraft after that m odel of airplane has been issued a Type Certificate.

See TC.

TC Type Certif icate. The initial certif icate issued f or every new m odel of

aircraft. The TC lists com ponents and equipm ent installed on that

model of aircraft.

WAN Wide Area Network. A com munications network in which com puters

are connected to each other over a long distance, using telephone lines,

cable connections, or satellite links.

WDL Wireless Data Link. A system allowing the high-speed transfer of

onboard aircraft data to ground facilities using various wireless

technologies. It m ay also allow for upload of data to the aircraft.

Sometimes referred to as Ground Data Link (GDL).

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AC 120-82 4/12/04

Appendix A

APPENDIX IV. REFERENCES

CFR Part 193, Protection of Voluntarily Subm itted Inform ation

CFR Part 13, Section 13.401, Flight Operational Quality Assurance Program

AC 00-46, as am ended, Aviation Safety Reporting System (ASRS)

AC 00-58, as am ended, Voluntary Disclosure Reporting Program

AC 120-59, as am ended, Air Carrier Internal Evaluation Program s: Air Carrier Internal

Evaluation-Model Program Guide

AC 120-66, as am ended, 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, Avia tion Safety—Efforts to Im plem ent Flight

Operational Quality Assurance Program s, Decem ber 1997

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4/12/04 AC 120-82

Appendix B

APPENDIX B. FOQA I&O PLAN CHECKLIST

The following checklist should be used by certificate holders to prepare their I&O Plans and

verif y that all required m aterials are included. The FAA will review this checklist to determ ine

that the item s required in a FOQA program have been specified in the I&O Plan. This checklist

identifies the m inimum requirem ents of an I&O Plan. An air carrier’s I&O Plan m ay contain

additional inform ation in excess of these m inimum requirem ents. W hen the I&O Plan is

subm itted for FAA approval, a com pleted copy of this checklist should accom pany it.

The “Response” colum n must be com pleted for each question. Appropriate responses are “Yes,”

“No,” or “NA” (not applicable). All “No” and “NA” responses should include, in the

“Com ment” colum n, a brief explanation of each such response.

The “Reference” colum n is to be com pleted for each question to which the air carrier provides a

“Yes” response. The inform ation provided in th e “Reference” colum n must identify the specific

location of the subject item in the I&O Plan (e.g., Section 2.1).

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4/12/04 AC 120-82

Appendix B

I&O Plan Checklist

Response

Reference Comment

General

1. Has approval of the

I&O Plan been

requested by the

certificate holder in a

cover letter addressed

to the POI,

accom panying

subm ittal of the plan? ‰ Yes

‰ No

‰ NA

2. Has a copy of the cover

letter and plan been

forwarded to HQ

FAA/AFS-230? ‰ Yes

‰ No

‰ NA

3. Does the I&O Plan

identify the personnel,

system equipm ent, and

resources that have

been com mitted to

support of the FOQA

program ? ‰ Yes

‰ No

‰ NA

4. Does the I&O Plan

acknowledge that

revisions will be

docum ented in

accordance with

standard revision

control m ethodology? ‰ Yes

‰ No

‰ NA

5. Does the I&O Plan

acknowledge that,

following initial FAA

approval, subsequent

modifications to the

FOQA program must

be docum ented in

revisions subm itted to

the POI and AFS-230? ‰ Yes

‰ No

‰ NA

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AC 120-82 4/12/04

Appendix B

I&O Plan Checklist

Response

Reference Comment

I&O Plan

1. Have the goals and

objectives of the FOQA

program been clearly

specified? ‰ Yes

‰ No

‰ NA

2. Have the m ajor

stakeholders within the

air carrier been clearly

identif ied? ‰ Yes

‰ No

‰ NA

3. Has a copy of an

agreem ent with the

pilot association (if

applicable) for FOQA

data usage been

included as an

appendix? ‰ Yes

‰ No

‰ NA

4. Are air carrier data

safeguard and

protection m echanism s

described? ‰ Yes

‰ No

‰ NA

5. Are the air carrier fleets

(make, m odel, series)

that are targeted for

participation in the

FOQA program

identif ied? ‰ Yes

‰ No

‰ NA

6. Are the capabilities of

the planned airborne

equipm ent for FOQA

described? ‰ Yes

‰ No

‰ NA

7. Does the plan identify

provisions for airborne

equipm ent m aintenance

and support? ‰ Yes

‰ No

‰ NA

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4/12/04 AC 120-82

Appendix B

I&O Plan Checklist

Response

Reference Comment

8. Is a fleet installation

plan specified? ‰ Yes

‰ No

‰ NA

9. Are the capabilities of

the proposed ground

data replay and analysis

system (GDRAS)

described? ‰ Yes

‰ No

‰ NA

10. Does the plan identify

provisions for

maintenance of the

GDRAS hardware and

software? ‰ Yes

‰ No

‰ NA

11. Does the plan describe

other key technology

components of the air

carrier’s FOQA

program ? ‰ Yes

‰ No

‰ NA

12. Has a single point of

contact been designated

to oversee the FOQA

program ? ‰ Yes

‰ No

‰ NA

13. Does the plan define

the air carrier’s

organizational structure

for oversight and

operation of the FOQA

program ? ‰ Yes

‰ No

‰ NA

14. Does the plan describe

the roles and

responsibilities of key

air carrier personnel

and team s? ‰ Yes

‰ No

‰ NA

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AC 120-82 4/12/04

Appendix B

I&O Plan Checklist

Response

Reference Comment

15. Does the plan specify

the schedule and

timeline f or

implem enting the

FOQA program ? ‰ Yes

‰ No

‰ NA

16. Are FOQA program

start-up criteria

specified? ‰ Yes

‰ No

‰ NA

17. Does the plan describe

how key FOQA team

members will be

trained? ‰ Yes

‰ No

‰ NA

18. Does the plan describe

how the air carrier will

educate its pilots about

the FOQA program ? ‰ Yes

‰ No

‰ NA

19. Is a plan for educating

senior m anagem ent and

stakeholders described? ‰ Yes

‰ No

NA

20. Does the I&O Plan

specify procedures for

implem enting and

auditing security

mechanism s? ‰ Yes

‰ No

‰ NA

21. Is a data storage and

retention policy

specified? ‰ Yes

‰ No

‰ NA

22. Are flight data

collection and retrieval

procedures specified? ‰ Yes

‰ No

‰ NA

23. Are the procedures for

defining fleet-specific

events and associated

param eters described? ‰ Yes

‰ No

‰ NA

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4/12/04 AC 120-82

Appendix B

I&O Plan Checklist

Response

Reference Comment

24. Are the fleet-specific

event definitions,

including trigger lim its

for each event’s

severity classification,

provided as Appendix 2

to the plan? ‰ Yes

‰ No

‰ NA

25. Are the procedures for

validating, refining,

and tracking event

definitions described? ‰ Yes

‰ No

‰ NA

26. Does the plan

acknowledge that

updates to FOQA event

definitions m ust be

included in I&O Plan

revisions subm itted to

the FAA? ‰ Yes

‰ No

‰ NA

27. Are procedures for data

review and evaluation

specified? ‰ Yes

‰ No

‰ NA

28. Does the plan provide

for notifying

appropriate air carrier

departm ents of adverse

trends revealed by

FOQA data flightcrew

training? ‰ Yes

‰ No

‰ NA

29. Are procedures for

taking, tracking, and

following up on

corrective actions

specified? ‰ Yes

‰ No

‰ NA

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AC 120-82 4/12/04

Appendix B

I&O Plan Checklist

Response

Reference Comment

30. Are guidelines for

crewm ember contact

and follow-up

described? ‰ Yes

‰ No

‰ NA

31. Is a description

included of how FOQA

system procedures will

be docum ented? ‰ Yes

‰ No

‰ NA

32. Does the plan describe

the process f or joint

FAA/air carrier

periodic reviews of the

FOQA program and

associated aggregate

data? ‰ Yes

‰ No

‰ NA

Page 8