Steadily Improving the Federal Aviation Safety of Air ......FAA Order 1100.161, created the Air Traffic Safety Oversight Service . Federal Aviation Administration Relationship between

Federal Aviation Administration

Steadily Improving the Safety of Air Traffic

Management Through Independent Oversight

Presented to: KOCA

Presented by: Anthony Ferrante, Director of the Air Traffic Safety Oversight Service (AOV)

Date: April 30, 2014


Broad Areas of Oversight required by ICAO • Air traffic control services • Safety personnel including ATCS (and Technicians) • Flight procedures and flight inspection • Communication, Navigation, and Surveillance services • Aeronautical Telecommunication services • Meteorological services • Aeronautical Information Services and Aeronautical

Information Management • Cartographic services


Establishing a New Oversight Organization

Establish legal authority

Develop an organizational structure

Secure a budget

Attract and retain the right mixture of talent

Establish a baseline to begin oversight Transfer responsibilities so there is no disruption to the national

airspace

Develop strategies for overseeing a large workforce with

few regulators


Legal Framework

• Treaties

• Statutes

• Regulations

• Orders

- FAA Order 1100.161, created the Air Traffic Safety Oversight Service


Relationship between the Air Traffic Service Provider and the Regulatory Oversight Authority

FAA Administrator

Associate

Administrator for Aviation Safety

Director of Air Traffic Safety Oversight Service

Chief Operating Officer of the Air Traffic Organization

Service Unit Vice Presidents


Compliance Philosophy

• Compliance with standards is the responsibility of the service provider

• Priority should be given to compliance issues with the most associated risk

• To be an effective oversight organization, compliance should be resolved at the appropriate level of the ANSP

• Lack of compliance may indicate a lack of appropriate standards


Functions of AOV • Exercise safety oversight of the ATO • Approve the ATO SMS and monitor the ATO for

compliance with the approved SMS • Review and approve the ATO’s safety implementation

actions and risk management strategies • Ensure consistency in application of requirements:

– credentialing program for ATO operational personnel – safety audits of ATO operations and system

processes • Represent the FAA in several ICAO work groups that

affect the airspace over the North Atlantic and Pacific


Targ

eted

Insp

ectio

ns

As

sess

men

ts

(M

onito

ring

Resu

lts)

Com

plia

nce

(m

onito

ring

resu

lts)

Serv

ice

Deliv

ery

Poin

t As

sess

men

ts

Ove

rsig

ht P

orta

l (s

afet

y in

dica

tors

)

Audi

ts a

nd

Asse

ssm

ents

AOV Surveillance

FRAT

FSSS


Air Traffic Safety Oversight Service

Planning and Program Management Staff

AOV-20

Air Traffic Operations Oversight DivisionAOV-100

System Oversight DivisionAOV-200 Safety Management Oversight DivisionAOV-300

Certification Standards Branch

AOV-110

NAS Operations Branch

AOV-120

Audits and Compliance

BranchAOV-130

Western Area Operations

Branch(SEA)

AOV-210

Eastern Area Operations

Branch(ATL)

AOV-230

Central Area Operations Branch

(DFW)AOV-220

Research and Analysis Branch

AOV-320

QMS and Safety Promotion Branch

AOV-340

Safety Policy Branch

AOV-310

Future Systems Branch

AOV-330

Anthony S. FerranteDirectorAOV-1

Bill VossDeputy Director

AOV-2


AOV Area Office Locations

Western ANM Area Office

Seattle

Central ASW Area Office

Fort Worth

Eastern ASO Area Office

Atlanta


Planning & Program Management Division (AOV-20)

• Provide leadership of the AOV Strategic and Business Planning activities

• Develop, implement, and evaluate AOV policies, programs, and procedures governing: – Financial/resource management – Organizational performance management

• Administer Human Capital Initiatives – Hiring – Training – Pay and performance


AOV Staffing

• AOV employees remain separate from ATO employees

• AOV primary source for hiring Air Traffic Controller and Airway Transportation Systems experts is ATO and DoD

• AOV trains experts to become safety professionals


AOV Staffing Con’t.

• ATO is responsible for safety of the NAS • AOV employees have marketable skills that make them very

competitive for ATO Management and safety expert positions

• ATO hires a number of AOV experts annually • Turnover ensures AOV maintains knowledgeable and

current ATM experts


Relationship with Meteorological Agency

• The U.S. National Weather Service (NWS) is responsible for producing the weather products that the ATO uses.

• ATO has a contract with the NWS to provide weather products. • AOV requires ATO and their contractors to meet safety standards.

• AOV oversees ATO and its contractors.


What Is the extent of AOV auditor’s authority?

An AOV auditor’s authority lies in 49 USC 40103 and 40113

The auditor is authorized to perform inspections, investigations, and audits to determine compliance with FAA orders

In the performance of official duties under these provisions, free uninterrupted access must be provided to FAA facilities, records, data and restricted areas governed by the federal aviation regulations An AOV auditor is trained and credentialed


Training our workforce

• Hire experienced ATCS and ATSS as subject-matter experts

• Entire workforce is trained to conduct audits

• Select people are trained to be project or program team leaders

AOV Core Training AOV Auditor Course:

– Pre-Course {Computer-based training} • Principles of Auditing • Review of the components of Audit Work Instruction and Job Aids

– Instructor-Led Training

– Participation in a mock audit • Students conduct a mock audit and adhere to the AOV audit process

December 2012

• Audit topic identification • Developing the audit plan, checklist and notification

• Structure of audit teams • Conducting the audit • How to be a Regulator • Post-audit activities, report writing,

and record retention


AOV Training Cont.

• Additional Inspector Training: – Team Lead On-the-Job-Training (OJT) – Air Traffic Safety Inspector (ATSI) Refresher

Training – AOV Quality Management System (QMS) Overview – Safety Management System (SMS)/Safety Risk

Management (SRM) Overview – Staff Work – Report Writing

December 2012


How do air traffic control specialists (ATCS) and airway transportation system specialist (ATSS) who work for

AOV maintain proficiency?

• Unlike the ATO, proficiency and currency are not required for an AOV ATCS and ATSS.

• An AOV employee may take a specific training course on new system or procedure (such as on a display system). However, it is taken for familiarity, not proficiency.


Authority to Set Standards

• A regulator’s ability to establish or modify a standard is integral to the safety of the system

• The process should be deliberative, justifiable, and include input from the service provider as well as other stakeholders

• AOV’s authority to establish standards is in FAA Order 1100.161, Air Traffic Safety Oversight


AOV’s Safety Standards Process

• AOV identifies the need for a safety change and prepares an application

• FAA body affiliated with the FAA’s rule-making coucil approves the application and assigns a multi-disiplinary team and agrees on a schedule and action plan

• Multi-disiplinary team prepares the draft for comment • Stakeholders provide comment • Team addresses comments and issues final document

including an implementation date


Setting Standards for ATO Personnel

AOV establishes, approves, or accepts safety and certification standards for:

• Air Traffic Services

• Air Traffic Controllers (ATCS) • Airway Transportation

System Specialists (ATSS)


AOV Certification Programs

Credentialing Program for ATCS/ATSS (FAA Order 8000.90)

Use designees — ATO employees who are designated to work on behalf of AOV. They are required to hold AOV credentials with the proper designations. • Proficiency Manager (PM) Certifications • Designated Examiner (DE) Certifications

Control Tower Operator (CTO) Certificate Program (CFR Part 65)

Air Traffic Safety Inspector

Credentialing (AOV Employees)

ATCS = Air Traffic Control Specialist CTO = Control Tower Operator ATSS = Air Transportation System Specialist


Strategies for Overseeing a Large Organization with Few Regulators

• Encourage a safety culture – voluntary compliance and voluntary reporting

• Require ANSPs to use a safety management system (SMS) approach to safety – Analyze, document, track risk, mitigate hazards,

continuously improve safety • Focus activities on risk

– audits, compliance, surveillance


Strategies for Overseeing a Large Organization with Few Regulators cont.

• Require unfettered access to ANSP – facilities, records, and personnel

• Mandate occurrence reporting • Set performance indicators and targets • Monitor the Airspace

– Use data mining techniques to identify trends – Use data from the ANSP as well as independent

sources

December 2012


Establishing Performance Indicators

• Some factors like the number of accidents or runaway incursions are good indicators of over-all system risk, but understanding the sort of mitigations to employ requires more focused indicators

• Regional agreements could be useful for States to

baseline and compare performance


Establish Performance Indicators

• Indicators the FAA uses: – Missed approaches – High energy approaches – Class B airspace excursions – Runway overrun – Simultaneous parallel approaches:

• overshoots and no transgression zone deviations – TCAS-RAs – Departure Procedure Deviations

December 2012


Establish Performance Indicators cont. • Some indicators the FAA is considering:

–Converging Runway Operations (CRO) –Altitude Deviations –Opposite Direction Operations (ODO) –Minimum Vectoring Altitude (MVA) violations

December 2012


Establish Performance Indicators cont. • Indicators for Oceanic Airspace, the North Atlantic Region

agreed to and uses: 1. Number of hull loses 2. Number of Airborne Collision Avoidance System Resolution

Advisory (RA) events 3. Number of Large Height Deviation (LHD) events 4. Number of minutes that aircraft spend at the wrong flight level 5. Performance in the vertical dimension against the Target Level

of Safety (TLS) 6. Number of minutes spent away from air traffic control cleared

route 7. Number of Gross Navigation Errors (GNE) events 8. Performance in the lateral dimension against the lateral TLS 9. Losses of separation


ATO Mandatory Reporting Requirements

• ATO has Mandatory reporting requirements for events in National Airspace (TARP, OEDP automatically capture events for further investigation).

• AOV Inspectors receive reports each day of events

such as aircraft accident and reviews ATC services.

• AOV also reviews reports of pilot deviation, losses of standards separation and reports of near mid-air collisions.


Monitoring

• ATO mandatory reports are captured in the Comprehensive Electronic Data Analysis Records – CEDAR

• ATO SMS Safety Risk Management information captured in Safety Risk Management Tracking System – SRMTS

• ATO Technical Operations (maintenance data also captured in electronic databases

• AOV queries ATO databases when necessary as part of a surveillance activity


Voluntary Reporting Programs • Aviation Safety Information Analysis and Sharing

(ASIAS) • Aviation Safety Action Program (ASAP)- Industry

employees

• Air Traffic Safety Action Program (ATSAP)- Air Traffic Control employees

• ATO Safety and Technical Training Program (T-SAP) Technical Operations Services employees


QUESTIONS?

Steadily Improving the Safety of Air Traffic Management Through Independent Oversight� ��Broad Areas of Oversight required by ICAOEstablishing a New Oversight Organization�슬라이드 번호 4Relationship between the Air Traffic Service�Provider and the Regulatory Oversight Authority��Compliance PhilosophyFunctions of AOV슬라이드 번호 8Air Traffic Safety Oversight Service슬라이드 번호 10Planning & Program Management Division (AOV-20)AOV StaffingAOV Staffing Con’t.Relationship with Meteorological Agency� What Is the extent of AOV auditor’s authority?� Training our workforceAOV Core TrainingAOV Training Cont.How do air traffic control specialists (ATCS) and airway transportation system specialist (ATSS) who work for AOV maintain proficiency?�� Authority to Set Standards AOV’s Safety Standards ProcessSetting Standards for ATO Personnel� AOV Certification Programs�Strategies for Overseeing a Large Organization with Few Regulators�Strategies for Overseeing a Large Organization with Few Regulators cont.�Establishing Performance IndicatorsEstablish Performance IndicatorsEstablish Performance Indicators cont.Establish Performance Indicators cont. ATO Mandatory Reporting RequirementsMonitoringVoluntary Reporting ProgramsQUESTIONS?

Documents

Steadily Improving the Federal Aviation Safety of Air ......FAA Order 1100.161, created the Air Traffic Safety Oversight Service . Federal Aviation Administration Relationship between