1. FAA 19th Annual FAA/JAA International Conference IMPLEMENTATION OF SAFETY MANAGEMENT SYSTEMS CHALLENGES AND BENEFITS James J. Ballough Director Flight Standards Service

2. FAA 19th Annual FAA/JAA International Conference 1 AIR TRANSPORTATION OVERSIGHT SYSTEM (ATOS) Air Transportation Oversight System is an improved way of doing business –GOAL: Foster a high level of air carrier safety using a systematic, data driven approach to identify trends and prevent accidents –Implemented at the top ten U.S. Air Carriers –Ultimately to all 121 air carriers –Although a required program ATOS requires a considerable amount of collaboration and cooperation of the air carrier –Joint evaluations will be applied in the future

3. FAA 19th Annual FAA/JAA International Conference 2 AIR TRANSPORTATION OVERSIGHT SYSTEM (ATOS) Top 10 Air Carriers Alaska AirlinesNorthwest America WestSouthwest AmericanTWA ContinentalUnited DeltaUS Airways

4. FAA 19th Annual FAA/JAA International Conference 3 AIR TRANSPORTATION OVERSIGHT SYSTEM (ATOS) What is ATOS ? –Reengineered air carrier certification and surveillance process –proactive approach to increasing safety System Safety principles Risk management processes

5. FAA 19th Annual FAA/JAA International Conference 4 AIR TRANSPORTATION OVERSIGHT SYSTEM (ATOS) Why ATOS? –Standardize and link certification and surveillance processes –Employ analytical Risk assessment methods –Improve the quality of inspection data –use inspector resources more effectively

6. FAA 19th Annual FAA/JAA International Conference 5 AIR TRANSPORTATION OVERSIGHT SYSTEM (ATOS) Why ATOS (Con’t) –make surveillance systematic and targeted based on identified risks –surveillance needs are based on safety analysis / Risk assessment

7. FAA 19th Annual FAA/JAA International Conference 6 AIR TRANSPORTATION OVERSIGHT SYSTEM (ATOS) ATOS consists of 8 process modules –System Configuration –Certificate Management –Surveillance Resource Management –Surveillance Implementation –Reporting – Evaluation –Analysis- Implementation

8. FAA 19th Annual FAA/JAA International Conference 7 AIR TRANSPORTATION OVERSIGHT SYSTEM (ATOS) System Safety Attributes –Authority –Responsibility –Procedures –Process measurement –Controls –Interfaces

9. FAA 19th Annual FAA/JAA International Conference 8 AIR TRANSPORTATION OVERSIGHT SYSTEM (ATOS) System Safety –Special technical and managerial skills to identify, analyze, assess and control risk –Views the entire system as an integrated whole –Risk identification and management are critical aspects of system safety

10. FAA 19th Annual FAA/JAA International Conference 9 AIR TRANSPORTATION OVERSIGHT SYSTEM (ATOS) Detailed ATOS information –www.faa.gov/avr/afs/atos

11. FAA 19th Annual FAA/JAA International Conference 10 AIR TRANSPORTATION OVERSIGHT SYSTEM (ATOS) Challenges –Continuous improvement –Institutionalize System Safety Benefits –Raise the Safety Bar

12. FAA 19th Annual FAA/JAA International Conference 11 VOLUNTARY SAFETY PROGRAMS FOR U.S. OPERATORS Voluntary Disclosure Program (VDP) Aviation Safety Action Program (ASAP) Flight Operational Quality Assurance (FOQA) Program Advanced Qualification Program (AQP)

13. FAA 19th Annual FAA/JAA International Conference 12 VOLUNTARY DISCLOSURE PROGRAM (VDP) Vehicle for certificated air carriers and production approval holders operating under title 14, code of federal aviation regulations (14CFR), to voluntarily disclose apparent violations of 14CFR Requires FAA follow-up and approval of corrective action Does not include possible lack of qualification issues applicable to the certificate holder FAA limits enforcement to administrative action Planned program expansion will encompass joint safety audits under ATOS –if operator voluntarily agrees to joint audit, then violations uncovered by either the operator or the FAA during the audit would be included under the VDP

14. FAA 19th Annual FAA/JAA International Conference 13 AVIATION SAFETY ACTION PROGRAM (ASAP) Vehicle for employees of part 121 certificate holders and part 145 repair stations to report safety concerns, including employee violations of the FARS Program requires a memorandum of understanding signed by the FAA, the company, and the labor assoc. Program may include possible employee lack of qualification issues Corrective action required for all safety issues Disposition of all reports determined by a three person event review committee (ERC) –reps from FAA, company, and employee labor association FAA policy limits enforcement to administrative action for all reports accepted by the ERC

15. FAA 19th Annual FAA/JAA International Conference 14 FLIGHT OPERATIONAL QUALITY ASSURANCE (FOQA) PROGRAM FOQA entails the routine acquisition and analysis of digital flight data from line operations Voluntary program open to any u.s. operator of aircraft 14CFR part 13.401 provides regulatory protection from the use of FOQA data for enforcement except for deliberate or criminal acts –An operator seeking enforcement protection must obtain FAA approval of its FOQA implementation and operations plan Plan must stipulate operator will initiate corrective action for adverse safety trends and inform the FAA

16. FAA 19th Annual FAA/JAA International Conference 15 ADVANCED QUALIFICATION PROGRAM (AQP) Voluntary regulatory alternative to training req’ts for pilots, dispatchers, and flight attendants Flexible program designed to be responsive to new technology & changing needs Focuses on scenario based training & evaluation that integrates crm and technical skills throughout Uses airline data from ASAP, FOQA, incident/accident reporting, & other sources to develop the content of scenarios that reflect timely real world issues requires submission to the FAA of detailed data from training and evaluation, including line checks –purpose of data is curriculum quality control –verifies that AQP flexibility doesn’t compromise safety

17. FAA 19th Annual FAA/JAA International Conference 16 CURRENT PROGRAM STATUS All of the top ten u.s. airlines operate at least one such voluntary safety program, most have at least three FAA working collaboratively with program participants to establish mutually acceptable strategy for ASAP & FOQA data sharing (airline-airline and airline- FAA) –at present airlines brief each other and the FAA quarterly on trends observed in their respective ASAP & FOQA programs –FAA / industry / labor joint committees presently developing a recommended infrastructure for electronic data sharing

18. FAA 19th Annual FAA/JAA International Conference 17 Current Program Status FAA modifying its policy on voluntary disclosure to enable joint safety audits under ATOS –FAA also plans to designate VDP information as protected from public disclosure under 14CFR, Part 193 All programs are managed by a single FAA office under the flight standards service (voluntary safety programs branch, AFS-230, in the air transportation division)

19. FAA 19th Annual FAA/JAA International Conference 18 INFRASTRUCTURE FOR WORLDWIDE SAFETY DATA SHARING Global Aviation Information Network (GAIN) –FAA OFFICE OF SYSTEM SAFETY INITIATIVE –INCLUDES, BUT IS NOT LIMITED TO, FAA FLIGHT STANDARDS SERVICE ASAP & FOQA INITIATIVES GAIN promotes and facilitates the voluntary collection and sharing of safety information by operators worldwide to improve safety Proposed by FAA in May 1996 Four GAIN World Conferences have been held to date, next one planned to occur in Tokyo, Nov 14-15, 2002.

20. FAA 19th Annual FAA/JAA International Conference 19 GAIN ORGANIZATION

21. FAA 19th Annual FAA/JAA International Conference 20 GAIN ORGANIZATIONAL FUNCTIONS Steering Committee Sets policy for GAIN and develops action plans that are used by the Program Office, Working Groups and Government Support Team to implement GAIN concepts Program Office Provides technical and administrative support to the Steering Committee, Working Groups and Government Support Team (Currently resides in the FAA Office of System Safety)

22. FAA 19th Annual FAA/JAA International Conference 21 GAIN Organization Functions (continued) Working Groups Interdisciplinary industry/government teams that develop GAIN products to enhance operator safety practices, analytical methods and tools, and global information sharing systems Government Support Team Representatives from government organizations that work together to promote and facilitate GAIN in their respective countries and regions

23. FAA 19th Annual FAA/JAA International Conference 22 Government Support Team Background Agreement at ICAO/AIG meeting that States should promote safety information sharing networks and the free exchange of safety deficiencies (9/99) Ideas for a Government Support Team discussed at Paris GAIN Conference (6/00) GAIN Steering Committee developed action plan for GST to foster GAIN goals and reduce impediments to sharing (8/00) GST formed and first teleconference held (10/00)

24. FAA 19th Annual FAA/JAA International Conference 23 Government Support Team Initial Membership Civil aviation authorities and accident investigation boards of the following countries: AustraliaNew Zealand Canada United Kingdom FranceUnited States Japan International Civil Aviation Organization (ICAO) Joint Aviation Authorities (JAA) European Commission (EC)

25. FAA 19th Annual FAA/JAA International Conference 24 Government Support Team GOALS Identify and increase awareness of current and planned government and industry information collection and sharing programs and systems Identify legal and organizational impediments to safety information collection and sharing, as well as promote solutions to those issues Advocate use of government funding to conduct GAIN-related research, e.g., the development of improved analytical tools and enhanced systems for automating sharing of safety information

26. FAA 19th Annual FAA/JAA International Conference 25 Further Information on GAIN Website http://www.gainweb.org GAIN Program Office +1 301-907-7670 gainweb@abacustech.com

27. FAA 19th Annual FAA/JAA International Conference 26 TRUST “The ultimate success of safety risk management programs will depend on building trust, developing an experience base to understand the benefits, and identifying the tools and technologies needed to efficiently and effectively share and analyze safety related information.” - from report published in December 1997 by the National Civil Aviation Review (NCAR) Commission, chaired by Norman Mineta, the current Secretary of Transportation in the U.S. The primary obstacle to safety data sharing remains the issue of trust that participants will not be harmed Protection ultimately depends on nation’s laws & regulations Must consider how worldwide data sharing will incorporate protection from misuse