Implementation of safety management systems challenges and benefits
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IMPLEMENTATION OF SAFETY MANAGEMENT SYSTEMS CHALLENGES AND BENEFITS. James J. Ballough Director Flight Standards Service. AIR TRANSPORTATION OVERSIGHT SYSTEM (ATOS). Air Transportation Oversight System is an improved way of doing business

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IMPLEMENTATION OF SAFETY MANAGEMENT SYSTEMS CHALLENGES AND BENEFITS

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Implementation of safety management systems challenges and benefits

IMPLEMENTATION OF SAFETY MANAGEMENT SYSTEMS CHALLENGES AND BENEFITS

James J. Ballough

Director

Flight Standards Service


Air transportation oversight system atos

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


Air transportation oversight system atos1

AIR TRANSPORTATION OVERSIGHT SYSTEM (ATOS)

  • Top 10 Air Carriers

    Alaska AirlinesNorthwest

    America WestSouthwest

    AmericanTWA

    ContinentalUnited

    DeltaUS Airways


Air transportation oversight system atos2

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


Air transportation oversight system atos3

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


Air transportation oversight system atos4

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


Air transportation oversight system atos5

AIR TRANSPORTATION OVERSIGHT SYSTEM (ATOS)

  • ATOS consists of 8 process modules

    • System Configuration

    • Certificate Management

    • Surveillance Resource Management

    • Surveillance Implementation

    • Reporting

    • Evaluation

    • Analysis- Implementation


Air transportation oversight system atos6

AIR TRANSPORTATION OVERSIGHT SYSTEM (ATOS)

  • System Safety Attributes

    • Authority

    • Responsibility

    • Procedures

    • Process measurement

    • Controls

    • Interfaces


Air transportation oversight system atos7

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


Air transportation oversight system atos8

AIR TRANSPORTATION OVERSIGHT SYSTEM (ATOS)

  • Detailed ATOS information

    • www.faa.gov/avr/afs/atos


Air transportation oversight system atos9

AIR TRANSPORTATION OVERSIGHT SYSTEM (ATOS)

  • Challenges

    • Continuous improvement

    • Institutionalize System Safety

  • Benefits

    • Raise the Safety Bar


Voluntary safety programs for u s operators

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)


Voluntary disclosure program vdp

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


Aviation safety action program asap

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


Flight operational quality assurance foqa program

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


Advanced qualification program aqp

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


Current program status

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


Current program status1

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)


Infrastructure for worldwide safety data sharing

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.


Gain organization

GAIN ORGANIZATION


Gain organizational functions

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)


Gain organization functions continued

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


Government support team background

Government Support TeamBackground

  • 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)


Government support team initial membership

Government Support TeamInitial 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)


Government support team goals

Government Support TeamGOALS

  • 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


Further information on gain

Further Information on GAIN

Website

http://www.gainweb.org

GAIN Program Office

+1 301-907-7670

[email protected]


Trust

TRUST

  • 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

“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.


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