Advisory

U.S. Department
of Transportation

Federal Aviation
Circular
Administration

Subject: FLIGHT OPERATIONAL Date: 4/12/04 AC No: 120-82

QUALITY ASSURANCE Initiated By: AFS-230 Change:

1. PURPOSE. This advisory circular (AC) provides guidance on one means, but not necessarily
the only means, of developing, implementing, and operating a voluntary Flight Operational
Quality Assurance (FOQA) program that is acceptable to the Federal Aviation Administration
(FAA).

a. FOQA is a voluntary safety program that is designed to make commercial aviation safer
by allowing commercial airlines and pilots to share de-identified aggregate information with the
FAA so that the FAA can monitor national trends in aircraft operations and target its resources to
address operational risk issues (e.g., flight operations, air traffic control (ATC), airports). The
fundamental objective of this new FAA/pilot/carrier partnership is to allow all three parties to
identify and reduce or eliminate safety risks, as well as minimize deviations from the regulations.
To achieve this objective and obtain valuable safety information, the airlines, pilots, and the
FAA are voluntarily agreeing to participate in this program so that all three organizations can
achieve a mutual goal of making 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 confidential and the identity of reporting pilots or airlines will
remain anonymous as allowed by law. Information submitted to the FAA pursuant to this
program will be protected as “voluntarily submitted 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 information that could identify the submitting airline prior
to leaving the airline premises and, regardless of submission venue, should include the following
statement:

WARNING: This FOQA information is protected from disclosure under

49 U.S.C. 40123 and part 193. It may be released only with the written
permission of the Federal Aviation Administration Associate Administrator
for Regulation and Certification.
AC 120-82 4/12/04

(2) However, if an airline voluntarily elects to provide the FAA with aggregate FOQA
data that includes airline identifying information, then it should include an additional statement
that it is the proprietary and confidential property of [Airline Name].

c. As defined in this AC, operator FOQA programs include provisions for the identification
of safety issues and development and implementation of corrective actions. FOQA can provide
objective safety information that is not otherwise obtainable. No aircraft operator is required to
have a FOQA program. No operator that conducts 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 information for enforcement purposes
must obtain FAA approval of its program. For that purpose:

(1) The elements of a FOQA program are set forth by an aircraft operator in an
Implementation and Operations (I&O) Plan that is submitted to the FAA for 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 programs and constitute a compilation of best
practices. The provisions of this AC neither add nor change regulatory requirements or authorize
deviations from regulatory requirements.

2. BACKGROUND. In recent years, the FAA and the air transportation industry have sought
additional means for addressing safety problems and identifying potential safety hazards. Based
on the experiences of foreign air carriers, the results of several FAA-sponsored studies, and input
received from government/industry safety forums, the FAA has concluded that wide
implementation of FOQA programs could have significant 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 number of accidents, which is expected to occur due to
increased future traffic volume. The value of FOQA programs is the early identification of
adverse safety trends that, if uncorrected, could lead to accidents. A key element in FOQA is the
application of corrective action and follow-up to assure that unsafe conditions are effectively
remediated.

3. SCOPE AND APPLICABILITY. The information contained in this AC applies primarily

to air carriers that operate under part 121 or 135, but may 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 terms 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 summary 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 mathematically combines individual data
elements based on some criterion (e.g., time, geographical location, event level, aircraft type).
Each aggregation is based on factors of interest to the analyst at a particular point in time.

c. Data Management Unit (DMU). A unit that performs the same 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 airframe/engine and flight performance monitoring and analysis. Some DMUs have
ground data link and ground collision avoidance systems 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 damaged sensors.

e. De-identified Data. Data from which any identifying elements that could be used to
associate them with a particular flight, date, or flightcrew has been removed.

f. Event. An occurrence or condition in which predetermined values of aircraft parameters

are measured. Events represent the conditions to be tracked and monitored during various phases
of flight and are based on the sensory data parameters 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 which FOQA event monitoring and trend analysis is
based.

h. Event Levels. The parameter limits that classify the degree of deviation from the
established norm into two or more event severity categories. When assigning levels to an event,
consideration is given to compliance with federal regulations, aircraft limitations, and company
policies and procedures.

i. Event Set. A collection of events designed to measure all aspects of normal flight
operations for a particular aircraft type at a particular air carrier. Individual events within the
event set would be customized to the approved limitations for the aircraft type and in accordance
with the air carrier’s operational procedures. The event set for a particular fleet may be limited
by the available parameters on the aircraft.

j. Event Validation. The process in which an event is determined to be a valid sample of

operation outside the established norm. Even though aircraft parameter limits may have been
exceeded, a valid event may not have occurred (e.g., significant localizer deviation may have
occurred when an aircraft was making a sidestep approach to a parallel runway).

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k. Flight Data Acquisition Unit (FDAU). A device that acquires aircraft data via a digital
data bus and analog inputs and that formats the information for output to the flight data recorder
in accordance with requirements of regulatory agencies. In addition to the mandatory functions,
many FDAUs have a second processor and memory module that enables them to perform
additional Aircraft Condition Monitoring System (ACMS) functions/reports. The FDAU can
provide data and predefined reports to the cockpit printer, directly to Aircraft Communications
Addressing and Reporting System (ACARS) for transmittal 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 parameters and
technical information about a flight. At a minimum, it records those parameters required by the
governing regulatory agency, but may record a much higher number of parameters. An FDR is
designed to withstand the forces of a crash so that information recorded by it may be used to
reconstruct the circumstances 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 more information about, and greater
insight into, the total flight operations environment. A FOQA program combines these data with
other sources and operational experience to develop objective information to enhance safety,
training effectiveness, operational procedures, maintenance and engineering procedures, and air
traffic control (ATC) procedures.

n. FOQA Monitoring Team (FMT). A group comprised 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, recommending, and monitoring corrective actions.

o. FOQA Plan. An internal air carrier planning document that contains detailed information
on FOQA implementation and operation and serves as the basis for the I&O Plan.

p. FOQA Steering Committee. An oversight committee formed at the beginning of FOQA

program planning to provide policy guidance and vision for the FOQA effort. Membership may
include a senior management person and representatives from key stakeholder departments, such
as flight operations, maintenance, training, and safety. A representative from the pilot association
is also typically included on this committee.

q. Gatekeeper. The FMT member who is primarily responsible for the security of
identified data. The gatekeeper is the individual(s) who can link FOQA data to an individual
flight or crewmember. The gatekeeper is normally a member 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 parameters

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• Compare recorded or calculated values to predetermined norms using event

algorithms
• Generate reports for review

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

aspects of a FOQA program to be implemented 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 informing the FAA as to any corrective action being undertaken

t. Logical Frame Layout (LFL). A data map that describes the format in which parameter
data are transcribed to a recording device. This document details where each bit of data is stored.

u. Parameters. Measurable variables that supply information about the status of an aircraft
system or subsystem, position, or operating environment. Parameters are collected by a data
acquisition unit installed on the aircraft and then sent to analysis and reporting systems.

v. Phase of Flight. The standard high-level set of activities performed by pilots on all
operational flights (i.e., preflight, engine start, pushback, taxi, takeoff, climb, 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 removable medium
on which flight information is recorded. QARs may also store data in solid-state memory that is
accessed through a download reader. QARs have now been developed to record an expanded
data frame, sometimes supporting over 2,000 parameters at much higher sample rates than the
FDR. The expanded data frame greatly increases the resolution and accuracy of the ground
analysis programs.

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

value at predefined points in time or space during every flight being analyzed by the GDRAS.
ROMs provide standard statistics (e.g., minimum, maximum, average) for the specified
parameter for a particular period of time or condition. Since ROMs are collected on every flight,
they provide valuable trending insight into normal operations. Routine operational measurements
are also useful in establishing a baseline for normal aircraft operation across a fleet.

y. Sample Rate. The number of times per second that a specific parameter value is recorded
by the onboard recording system. Normally, most parameters are sampled once per second.
Increasing or decreasing the sample rate will directly increase or decrease the amount of data
recorded by the onboard system. The ability to change a parameter sample rate is a function of
the measurement source and the onboard recording system capabilities. Varying the parameter
sample rate can be useful in enhancing time critical analysis capabilities.

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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 wireless technologies. It may also allow for upload
of data to the aircraft. Sometimes referred to as Ground Data Link (GDL).

6. FOQA PROGRAM OVERVIEW.

a. FOQA Program Components. The primary components of a FOQA program include:

(1) Airborne Data Recording Systems. These systems acquire and capture the
necessary in-flight information. They include specific aircraft data input sources and the
equipment to record and store the collected data. Data are gathered via onboard sensors that
measure significant aspects of aircraft operation. Most sensor information is carried to its
eventual destination via several data buses. Data are collected by interfacing with these buses.
Other airborne equipment can be used to process and analyze the collected data, display the data
to pilots during flight or on the ground, and transmit data to a GDRAS.

(2) GDRASs. These systems can:

• Transform flight-recorded data into a usable format for processing and analysis
• Process the data
• Detect events and ROMs that are being monitored and tracked
• Generate various reports and visualizations to help air carrier personnel interpret
events
• Process information from a variety of recorded data formats and recorder types

(3) Air/Ground Data Transfers. One of the most labor intensive and costly aspects of
a FOQA program is determining and implementing the process of getting the data from the
aircraft onboard recording system to the GDRAS for analysis. Operators must pay strict
attention to identifying the process that meets their FOQA program needs. Items to consider are:

(a) Scheduling of the Removal of the Recording Medium. This will normally
require close coordination with the operator’s maintenance control and line maintenance
departments. Most likely, maintenance will want to remove the medium at a scheduled
overnight maintenance location so that the removal process can be included as part of a regular
work package or routine. This removal time period must coincide with recording medium
memory capability and meet the operator’s needs for timely analysis of FOQA data as defined in
the I&O Plan. Specific procedures on process for data removal will have to be defined for line
maintenance personnel to permit proper data download. Sufficient spare recording medium will
have to be maintained at the maintenance facilities so that the medium can be replaced back into
aircraft systems 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 removed in relation to the location of
the GDRAS can be great. Methods for transferring the data to the GDRAS may consist of the
following:

1 Ground-Based Transportation. The storage medium can be mailed from the

maintenance location using regular mail, company mail, or private overnight forwarding
companies. If this type of process is used, a tracking system should be developed so that the
recording medium removal timing and location can be verified and documentation of aircraft
data retrieval can be maintained. This will prevent a loss of recording medium so that the timing
of data acquisition into the GDRAS can be tracked.

2 Electronic Transmission. This is a remote data transmission from the aircraft

maintenance location to the GDRAS by the use of download equipment or milking-type
machines that interface with the aircraft or by removal of the storage media from the onboard
system. This process, while more efficient, requires a larger capital outlay and requires
sufficient data transmitting capability from the remote maintenance locations to the location of
the GDRAS. Coordination with an operator’s information services department will be needed to
accomplish this. Data security issues must be considered when incorporating this process.

3 Wireless Transmission. This is an emerging technology that enables direct

transmission of aircraft flight data to a network that interfaces with the GDRAS using wireless
technology. The download is accomplished automatically, thus removing the requirements for
maintenance involvement. Incorporation of this technology involves aircraft and ground-based
data transfer systems to be installed. Data security issues must be considered when
incorporating this process. Close coordination with an operator’s engineering and information
services departments will be needed.

b. FOQA Program Description.

(1) The improvement of flight safety is the driving force behind the implementation of
FOQA programs. 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 programs.
The FOQA program should be part of the operator’s overall operational risk assessment and
prevention program as described in part 119, section 119.65 and FAA guidance materials. Being
proactive in discovering and addressing risk will enhance air safety.

(2) In a FOQA program, data are collected from the aircraft by using special acquisition
devices, such as QARs, or directly from the FDR. Using one of several available transmission
methods, data are periodically retrieved and sent to the air carrier’s FOQA office for analysis.
This office usually resides within the flight safety 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 information.

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NOTE: The quality and capability of a carrier’s FOQA program will 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 appendix A, Example of a FOQA
Implementation and Operations Plan).

(3) The GDRAS transforms the data into an appropriate format 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 parameters, threshold values
(e.g., descent rate in excess of 1,000 feet per minute on approach), and/or routine operational
measurements that are specified by the air carrier. The analysis may focus on events that fall
outside normal operating boundaries, event categories, or ROMs, as determined by the air
carrier’s operational standards (as well as the manufacturer’s aircraft operating limitations). The
FOQA FMT then reviews the events to assess their validity and potential significance. FOQA
events are then marked for appropriate handling.

(4) In terms of determining the root causes of systemic problems that need correction,
aggregate FOQA data have proven to be of greater value than detailed parameter 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 example, an analysis may be conducted on the
average maximum rate of descent below 2,000 feet by airport by fleet type. This may be useful
to better understand the meaning of the data once related events indicate that this is an area
requiring investigation. This analysis may suggest that all fleets are experiencing high descent
rates at a certain airport or just a specific aircraft type. This type of information 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 employed to determine flight crewmember identity are removed
from view in the electronic record as part of the initial processing of the airborne data. However,
air carrier FOQA programs typically provide for a gatekeeper, who is provided with a secure
means of determining identifying information for a limited period of time, in order to enable
follow-up inquiry with the specific flightcrew associated with a particular FOQA event. Such
contact is usually limited to situations when further insight into the circumstances 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 crewmembers
concerning FOQA events will normally be accomplished 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 must be developed based on the objective
and scope of the intended program. At a minimum, the process will be determined depending on
whether information will be used to evaluate or effect change in any or all of the following areas:

• Operational Safety
• Aircraft Performance
• Aircraft System Performance
• Crew Performance
• Company Procedures
• Training Programs
• 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 recording capability, available parameters,
and GDRAS hardware and software capabilities. Extensive coordination
between the FOQA FMT and other airline departments is crucial in
maximizing analysis capabilities within the FOQA program.

(2) Data Recording. The available parameters and their associated sample rates and
recording accuracies will directly affect FOQA analysis. The minimum core recorded
parameters are those specified in part 121, sections 121.343 and 121.344 for FDRs. Aircraft that
have been further outfitted with programmable FDAUs or DMUs may have parameters in excess
of the minimum required. FDAUs or DMUs can be programmed to provide these additional
parameters dependent upon storage medium capability. These FDAUs and DMUs may also be
able to modify the sample rate through reprogramming. This will be a function of the parameter
sensor on the aircraft and recorder medium size. Close coordination with operator engineering
personnel will be required to identify available parameters.

(3) Analysis Techniques. Two types of analysis techniques can be applied to FOQA
data. They are parameter exceedence analysis and statistical analysis.

(a) Exceedence Analysis. This involves setting a specific limit for the GDRAS to
detect for a particular parameter. For example, the GDRAS can be programmed to detect each
time the aircraft roll angle exceeds 45 degrees. This data can be trended over multiple flights to
determine the number of exceedence occurring per flight segment. In addition, the data can be
trended to determine which phase of flight, airport, or runway, if appropriate, depending on the
event type. Levels of exceedence can be programmed for particular events based on the
operator’s risk assessment to assist in focusing resources on implementing corrective action on
the highest perceived operational risk area. A higher level of risk may be associated with an

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occurrence where the bank angle reached or exceeded 60 degrees. The FMT, through the
gatekeeper, may choose to contact the crew or conduct a more detailed investigation of the event
for this type of exceedence in addition to just maintaining and monitoring the trends where bank
angle exceedences reach 45 degrees or greater. Exceedence levels will have to be developed
through assessment of a carrier’s operations manuals, training programs, and risk assessment
process as part of the overall safety program.

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

engineering operational procedures. The profiles can use several measurements to build
distributions of various criteria. A distribution of data will show all flights and enable a carrier
to determine risk based on mean and standard deviations from the mean. One procedure a carrier
may look at is approach tracks. A profile would be designed to measure the different criteria of
an approach, like airspeed, rate of descent, configuration, or power setting. For example, the
GDRAS will capture the maximum airspeed of every flight on final approach. A series of
distributions will show a picture of how all flights are performing. The carrier can then
determine when an approach track may lead to an unstable approach or landing. Similar 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 modify airline policy and training programs based on the
performance of all its flights. Once a baseline is established, the data could be monitored to
track the trend of what is occurring. The value of using statistical analysis is that data from all
flights is used to determine risk for an airline without focusing on specific event exceedences.
The use of data distributions can develop a risk assessment process by establishing a baseline for
trending data and determining critical safety concerns. Statistical analysis is a tool to look at the
total performance of an airline’s operation.

(c) Validated Trend Information. This is reviewed to determine the nature of any
required action. Such actions might include the immediate notification of maintenance personnel
if limits were exceeded that require inspection of the aircraft, reviews of the event to identify
possible corrective measures, or a determination that further information is needed through crew
feedback. Depending on the particular event, the flightcrew may be contacted to gather more
information about the circumstances and causes of the event. Corrective measures can range
from modifications of flightcrew training to revisions of the operating procedures to equipment
redesign. Information 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, implementing, and evaluating a FOQA program.
These guidelines do not reflect any single FOQA program in operation today. Rather, the
guidelines describe the best practices culled from various air carriers that currently operate
highly effective FOQA programs. 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 customized to address an air carrier’s individual needs and situation. Air carriers that
are considering establishing a FOQA program should visit with air carriers that have already
established FOQA programs. Such meetings are intended to foster a clear understanding of what
is involved in the entire process. These discussions can provide useful information 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 Preparation (Phase I), Implementation 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 will be further discussed in the following 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 FOQA program. However, the transition
to Phase II begins definitively when the FAA approves the air carrier’s
I&O Plan.

FIGURE 1. FOQA PHASES

Sta rt 6 months 12 months 18 months 24 months

P h a s e I: P la n n in g a n d P r e p a r a t io n
z Establish a stee ring comm ittee
z Defin e goals and obj ectives
z Identify stakeh olders
z Select tec hnology
z S e l e ct p e r so n n e l P ha s e II: Implementation & Operations
z Implemen t and audit security mechanisms
z Defin e safegu ards
z Install equipment
z Defin e events
z Train pers onnel
z Negotiate pil ot agreemen t
z Involv e stak eholders
z Defin e FOQA Informa tion
Submis sion Pla n z Coll ect and process Phase III: Continuing Oper a tio ns
a ir b o r n e d a t a
z G e n e r a te F O Q A a n d z Conduct periodic reviews
z Ana lyze and validate data
I & O pl an s z Track costs and benefits
z Deve lop and document
z Evaluate emerging technologies
FO QA sys tem procedures z Expand data usage
z Deve lop Information
z Market the FOQA program
Submitta l Procedures
z Conduct periodic meetings with company
z Defin e start-up criteria
stakeholding departments

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 program. A FOQA plan that defines the type of
system that will meet user needs and how that system will integrate with other areas of the
company and stakeholders is then written. Because much of Phase I requires interdepartmental
cooperation and communication, many air carriers establish a FOQA steering committee or
similar oversight body. During this phase, the air carrier should also establish mechanisms for
communicating the current status and progress of the program. These updates should be tailored
to the interests of the various users. Planning, organizing, and obtaining resources for a FOQA
program can be extremely challenging. The effort required should not be underestimated.
Realistic assessments of the required time and resources indicate that designing, developing, and
implementing a FOQA program takes months. Educating users and fully realizing the benefits
takes even longer.

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(2) Establish a Steering Committee. The formation of a FOQA steering committee is

optional. However, it is a recommended first step in developing a FOQA program. The steering
committee should define its members, meet regularly, and identify all applicable stakeholders
early in the process. A typical steering committee might include a senior management member
and representatives from flight operations, maintenance, safety, training, and the pilot
association, if applicable. As Phase I progresses, the steering committee might invite the
purchasing and legal departments to participate. Key issues to be addressed in Phase I are the
size and scope of the FOQA program, organizational issues, resources requirements, and support
from upper management. Determining where FOQA program responsibility will reside within
the organization and ensuring participation of that group or department are important.
Experience has shown that the establishment of a steering committee is an important step for the
following reasons:

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

recognized, corporate-sponsored standing committee. Executive sponsorship demonstrates
commitment and fosters this commitment through ongoing communication, thereby ensuring
corporate-level understanding of the FOQA program’s value as well as its costs. Executive
participation also makes FOQA a priority within the organization, supports allocation of required
resources, and aids in overcoming any organizational resistance or departmental conflicts.

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

stakeholders from various air carrier departments in the FOQA program development process.

(c) It may conceive and articulate the vision for the air carrier’s FOQA program. The
committee is also a vehicle for communicating 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 development 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 meaningful and measurable,
define the expected uses for the FOQA data, identify critical success factors, and be prioritized.
Well-defined goals are tools for convincing stakeholders and management why the air carrier
should invest in a FOQA program. At the beginning of Phase I, goals will likely be defined
broadly, because the air carrier is still determining what the FOQA program will accomplish. 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 formulate the program’s expected output,

stakeholders should be identified and involved early in the overall process. Each department is
likely to require data analysis/reporting capabilities that are unique to its own needs. Identifying
the stakeholders will help to identify their data analysis/reporting requirements, which will
facilitate selection of the technology for recording, transporting, analyzing, and disseminating
FOQA data. Initial stakeholders should include representatives from safety, flight operations,
training, maintenance, engineering, airfield operations or ATC liaison, and the pilot association.

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(5) Identify User Needs. The Steering committee should conduct a user needs
assessment to develop a better understanding of stakeholder needs and to establish user
requirements for the operations, training, engineering, maintenance, or other relevant
departments. This study elicits and analyzes users’ needs to assist in selecting the proper
technology for the program. A clear and comprehensive understanding of the users’ needs is
essential to the program’s success. FOQA’s primary benefits are directly related to the
usefulness of the data analyses to the stakeholder. Further, the FOQA data analyses need to be
distributed intelligently. Determine what pieces of information are valuable to the stakeholder
and consider how FOQA data can enhance current processes. An effective user needs assessment
may identify user groups reluctant to participate in the FOQA program and help bring them into
the program.

(6) Select Technology. Determining the technology and vendors to use is a critical
decision. FOQA programs are comprised of at least three interdependent specialized systems.
These three systems are airborne data collection, ground data replay and analysis, and data
management and analysis. The first generation of programs used by U.S. air carriers was
designed around commercial off-the-shelf (COTS) systems similar to those used in European
and Pacific Rim FOQA programs. An increase in the number of air carriers implementing FOQA
programs has led to an increasing number of vendors and products supporting FOQA programs.
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 configurations already on the aircraft. Vendor training,
warranty, and support policies are also important 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
implemented to record and analyze information. A typical program includes a FOQA manager,
one or more FOQA analysts, and a FMT composed of experienced pilots. FMT members should
be technically proficient on the aircraft types 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 across normal departmental lines. For
example, two part-time people (one from the safety department and one from
the engineering department) may provide 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, misuse,
or destruction. The issue of data protection and security is sensitive and focuses on the
confidentiality of a particular air carrier, flight, date, or flightcrew 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, documented, implemented, and

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periodically reviewed. The person responsible for implementing 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 parameters that are recorded on a given aircraft type. Event/ROM definition and
modification starts in this phase and continues for the duration of the FOQA program. Typically,
the first phase of a FOQA program focuses on a single aircraft type. Information on defining
events/ROMs and associated parameters is contained in appendix A.

(10) Negotiate Pilot Agreement (if necessary). Establishing an air carrier FOQA
program may necessitate the negotiation of an agreement between the air carrier and its pilots’
collective bargaining agent. This agreement defines the specifics of the FOQA program and its
objectives and administration. This agreement 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 most important output of
Phase I. The I&O Plan describes key aspects of the FOQA program. Preparing this document is
one of the last steps of Phase I. Work done on the FOQA Plan can serve as a basis for the I&O
Plan. The I&O Plan must be submitted to the FAA for review and approval in order to obtain
protection from FAA civil enforcement actions. See section 13.401(c) for specific guidance for
the development of the I&O Plan, including a template and checklist, is provided in
appendices A and B.

b. Phase II—Implementation and Operations.

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

During Phase II, the FMT performs the tasks outlined in the I&O Plan. The airborne and
GDRAS equipment selected in Phase I are installed. Phase II initially focuses on a single fleet
and a limited number of equipped aircraft (usually 15 to 25). A major milestone in this phase is
the first time that the air carrier records FOQA data, processes the data, and performs an
analysis. During this phase, activities transition from designing the FOQA program to
implementing and administering the program. The FOQA steering committee will begin to
function in more of an advisory capacity as the FMT begins to assume its leadership role.

NOTE: Experience has shown that it takes approximately three to six

months from when data are first recorded until official program startup can
commence. The transition to Phase III occurs when 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 implemented and thoroughly tested to see that they are effective.
The actual mechanisms 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 implement and
manage these mechanisms to protect data and control access. All GDRAS users should receive
instruction about the protective provisions and how to handle problems. Periodic audits of the

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security mechanisms 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

equipment, including airborne and GDRAS. If installation of airborne equipment requires
obtaining a Supplemental Type Certificate (STC), additional time and resources must be
budgeted for this process. Coordination with maintenance and vendors will be required to track
progress and resolve problems.

(4) Train Personnel. Personnel who install airborne systems may require training
before or during equipment installations. For the GDRAS, the different levels of users may
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 administration. Training for end-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 documentation may need to be developed to
supplement materials provided by the vendors and to cover carrier and fleet-specific topics.

(5) Involve Stakeholders. To realize value from the FOQA investment, information
derived from FOQA data must reach the appropriate user groups. Stakeholders will value the
FOQA program only if they can obtain useful information that was not available before or obtain
information faster than they can by using their current methods. The stakeholders will need to
know what information is available to them. Education sessions should be held to promote user
awareness of the information available, the program’s capabilities, and the information’s
potential uses. Initial education should explain the FOQA program, including concepts,
technology, benefits, and implementation schedule. Just because FOQA data are available does
not guarantee widespread usage. Follow-up educational sessions may be required and should
focus on instructing stakeholders on how to access and use the information available from
FOQA data. Using a variety of methods and media (newsletters, e-mail, corporate Intranet,
formal presentations, one-on-one meetings, team meetings, and videos) may attract a wider
audience to the program than using only a single vehicle.

(6) Collect and Process Airborne Data. Procedures for retrieving the media on which
FOQA data are recorded, such as optical disks or Personal Computer Memory 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 requirements. The procedures should address the retrieval of
recorded media, storage and distribution of unrecorded (blank) media, and installation of
unrecorded media. Typically, media containing the flight data are removed from the recording
device during a scheduled maintenance check. Retrieved media are sent to a central location for
transmission or processing. New media are then inserted into the devices for the next round of
flights. Schedules for retrieving the media are determined by the capacity of the media, the
amount of data recorded, and the schedule of maintenance checks. The media retrieval schedule
may range from 3 to 20 days. The same kind of schedule would apply if hand-held download

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devices were being used. Wireless data link systems, which transmit information directly to a
ground system, eliminate the scheduling and staffing logistics associated with media or data
retrieval. Using wireless data links may also reduce the potential for data loss when recording
media reach capacity.

(7) Analyze and Validate Data. Stakeholder confidence in the FOQA program is
directly proportional to the data’s accuracy, reliability, and completeness.

(a) Data reliability is determined by validating the integrity of the airborne and
ground systems’ hardware and software. “Reasonableness” and consistency checks need to be
performed on the recorded data. These checks can be accomplished by a variety of means,
including:

• Validation by the vendor

• Comparison of Digital Flight Data Recorder (DFDR) data readings with
FOQA readings
• Sensor validation
• Comparison 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 performed in a consistent, standardized manner.

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

1 Event sets will probably need to be fine-tuned after data from the first flights
are analyzed to determine that what is being recorded is exactly what is needed and that
appropriate data are being recorded at the proper resolution. Faulty sensors, modified LFLs, or
missing software updates for acquisition units or analysis programs can cause errors. Fine-tuning
event sets is a time-consuming and reiterative process. Failure to properly fine-tune the event
sets can yield information of no use to stakeholders or worse, unreliable and invalid data.
Appendix A contains a suggested list of events to use (with modifications, as needed) and
analyze in a basic FOQA program.

2 Any modifications to event sets or their associated parameters should be

carefully tracked and documented to preserve the integrity of the process. Be aware that changes
to event definitions may diminish the usefulness of trend or aggregate data if those data were
captured under a combination of old and new event definitions.

(8) Store Data. FOQA programs yield vast quantities of raw data. The average amount
of FOQA data collected from a single, digital aircraft is approximately 7.2 megabytes (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 may
choose to retain only a small portion of these data, establishing and maintaining 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 document procedures for
operating and managing the program.

(a) Manual and/or automated procedures should be developed and documented for
data security and data management (including backup and recovery, data archiving and
restoration, monitoring and fine-tuning databases, defining and fine-tuning event sets, and data
de-identification). Written procedures describe how to:

• Define, update, and delete user accounts

• Manage libraries of reports and graphics created by users
• Control security and access permissions for users and groups

(b) Documentation of all procedures is important for promoting consistent

administration of the program. The importance of good documentation becomes 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 status into a mode of formal continuing operation
should be established. The official start date defines when FOQA data will be used for formal
analysis and trending. The FOQA manager and members of the FMT should periodically review
the startup criteria to identify and correct problem areas, as well as certify criteria completion.
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 systems must have been tested and confirmed, data accuracy
and integrity must have been checked, and methods of analysis must 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 implementing the technology
to optimizing available data and the processes required to obtain the desired information.
Periodic reviews of all aspects of the FOQA program will determine whether the program is
working as well as it could or whether revisions are required. These reviews will also identify
when the program needs to be updated and modernized. Air carriers typically go through several
iterations of experimentation and learning before mature FOQA processes are achieved.
Following the full cycle of analysis, design, implementation, operation, and evaluation for each
iteration of upgrade or change is important. At the end of each iteration, the lessons the team has
learned should be captured and documented 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 assimilate new technologies, modify event definitions, and change
structures to meet the stakeholders’ growing needs. When changes to an air carrier’s FOQA

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program result in disparities between the program as implemented and the program as
documented in the approved I&O Plan, the I&O Plan should be modified accordingly and
changes must be submitted 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 demand for information
grows and new technologies become available. The program should be able to accommodate
new uses for FOQA data. These may require new equipment to capture and analyze the data.
Additional stakeholders may wish to make use of available FOQA information. Once successes
are achieved, the process of expanding usage of FOQA information 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
enhancements to airborne, ground, and processing 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 incremental evolution should occur in carefully planned and well-
documented 6- to 12-month cycles.

(5) Communicate FOQA Program Benefits. A comprehensive program to

continuously promote FOQA should be established, along with mechanisms for implementation.
The FOQA promotion effort should focus on gaining widespread support for the program. A
variety of communication methods should be considered. For example, a newsletter can be used
to inform users of significant program accomplishments, additional capabilities, and program
evolution. Bulletin boards in pilot crew rooms are useful in disseminating FOQA information.
Video presentations on FOQA findings might be useful in pilot annual recurrent training classes.
Speaking at departmental and staff meetings and publishing testimonials about FOQA successes
are also useful methods to spread the word about the program’s progress.

(6) Conduct Program-Wide Periodic Reviews. Periodic reviews and assessments

should be conducted to determine that the program stays relevant to stakeholders’ new and
existing interests and to identify areas for potential improvements. These assessments should
determine if anticipated benefits are being realized and whether the information provided to end-
users is accurate, timely, and usable. Ongoing user feedback mechanisms can be a valuable tool
for capturing comments on the efficacy, usefulness, perceived shortcomings, and desired
improvements of the current program. Likewise, efforts should be made to maintain current
awareness of new technological alternatives and product enhancements. An audit of the quality
of the aggregate data should also be performed along with an assessment of the accuracy of the
reference and descriptive information. The tools employed to create aggregate and trend data
should be periodically reviewed to determine if new technology would be more effective.

(7) Track Costs and Benefits. Justifying the investment in a FOQA program is an
ongoing task. Capturing the initial acquisition and recurring costs is straightforward, as long as
all categories of recurring costs are identified. Tracking the less tangible benefits is much more
difficult. Benefits of a FOQA program, savings achieved and costs avoided, are spread across
many departments. The safety department is an obvious beneficiary. However, placing a dollar
value on an unknown number of aircraft accidents or incidents that were prevented because of

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FOQA is almost impossible. The training department benefits from more effective training that
is focused on documented problem areas, rather than using a standard syllabus that may not
address areas where pilots are having problems. The maintenance department benefits from
FOQA because of improved monitoring and documentation of maintenance problems, as well as
having more data available for timely troubleshooting. This may result in fewer unscheduled
component changes, better preventive maintenance procedures, and reduced requirements for
spare part inventories.

(8) Evaluate Emerging Technologies. As the air carrier’s FOQA program expands to
cover greater numbers of aircraft and fleets, the ability of current systems to accommodate
growth and change should be carefully considered. Emerging technologies have the potential to
increase the efficiency and effectiveness of all facets of a FOQA program. For example, newer
data capture devices may be able to record more parameters more frequently, the handling of
recorded data may require less human intervention, analysis programs may become more
automated, and new visualization capabilities may enhance the ability to understand flights and
events. Technological advances can also provide solutions for many of the day-to-day data
handling problems that FOQA generates. During the next few years, the market for FOQA
equipment may grow rapidly and vendors may offer new products and technology. Keeping
apprised of new technologies can help to optimize the overall investment in a FOQA program.

(9) Expand Data Usage. Expansion of data analysis is controlled by the limitations of
the data generated by the GDRAS and the degree to which the data are stored in proprietary
formats. COTS products can be used for statistical analysis and data mining, particularly when
GDRAS supports industry standards for data access and exchange. The integration of FOQA
data with other internal safety-related programs (such as the Aviation Safety Action Program
(ASAP)) should be considered to further enhance the safety value of the information.

(10) FOQA Meetings. Conduct periodic FOQA meetings (preferably every 30 days) to
provide company stakeholders with updated trends, information, and evaluation of previously
implemented corrective actions.

8. INFORMATION-SHARING WITH THE FAA AND INDUSTRY. Section 13.401

requires operators of approved FOQA programs to provide the FAA with aggregate FOQA data
in a form and manner acceptable to the Administrator. There are various ways and levels on
which to accomplish 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 with 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 accomplish this, a regular meeting should be established with local FAA personnel, as
identified in the operator’s FAA-approved I&O plan, to review FOQA program status and data
trend analysis. Scheduling of these meetings should at least be quarterly, but can be held more
often depending on the scope of the operator’s FOQA program. Normally, this meeting 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 Rulemaking Committee (ARC) as the de-identified summary, statistical FOQA
information that is normally acquired within a carrier’s FAA-approved FOQA program. The
degree of data de-identification will be determined by the respective air carrier, as described in
its approved FOQA I&O Plan. For these briefings, the carrier may provide the aggregate data in
oral, written, graphical, or digital format.

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

operator’s program with other operators can provide benefits to an operator’s overall safety
program. This sharing can be accomplished 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 examples of subjects that can be shared between operators.
Maintaining confidentiality of the information between operators is important in providing a
cooperative environment.

c. Industry Sharing with the FAA. Issues may be identified from FOQA data that can’t be
solved through modifications or enhancements to an operator’s existing operational procedures
or approved training programs or through aircraft modifications under the control of the carrier.
Also, issues may not be evident when individual carrier information is viewed independently.
Therefore, industry sharing with the FAA may be helpful in identifying and resolving broad,
industry issues. The FAA, working with carriers, has adopted an incremental approach to this
requirement. The specific provisions of this approach will be developed over time in
collaboration with the FOQA ARC and operators of approved programs. As an interim means of
establishing initial compliance with section 13.401, operators of approved FOQA programs
should provide the FAA with at least quarterly briefings on observed trends. These operators
should also provide any other applicable information of potential safety significance. The FAA
will specify the location of the briefing. For the purpose of these briefings, carriers may provide
the aggregate data in oral, written, graphical or digital format. As the FOQA ARC works
collaboratively with the FAA to develop a more systematic approach to the future sharing of
aggregate FOQA information, guidance to industry on acceptable means of compliance 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 information between operators and the FAA has significant potential for
identifying system safety issues, FOQA data (even in aggregate form) has important limitations.
A detailed understanding of the operator’s route structure, equipment types, operating
procedures, measurement 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 accomplished by the operator and/or trained representatives from the
operator’s pilot association (if applicable) and by individuals thoroughly familiar with its
characteristics. FOQA data analysis is a tool for managing safe operations, not an independent
objective. FOQA is but one element of a comprehensive 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
enforcement by the FAA must obtain FAA approval of its FOQA I&O Plan. The document that
describes an air carrier’s FOQA program for FAA approval purposes is the FOQA I&O Plan. A
FOQA I&O Plan is submitted to the FAA for review and approval, as described in
paragraph 9a(2) of this AC. The FAA will determine whether an air carrier’s FOQA program is
approved and notify the air carrier by letter of any concerns and/or formal 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 material resources to collect, analyze, and act upon information
provided by the FOQA data. The I&O Plan should describe the following elements:

(a) Program goals.

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

(c) Airborne hardware, analysis software, and other equipment 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 implement 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
premises and information on corrective actions undertaken.

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

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

(m) Appendices, which should include:

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

bargaining unit (if applicable)

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• List of events, parameters, and threshold values to be used in the program for
each FOQA-equipped aircraft fleet
• A list of the documents referenced or cited

(3) An air carrier should identify its planned FOQA airborne and ground-based
equipment in its initial I&O Plan. Subsequent revisions of the I&O Plan should identify any
changes to the planned or implemented equipment. The purpose of this information 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 equipment
vendors are left entirely to the air carrier. However, the FAA may assess, for the initial plan and
any subsequent revisions, whether the proposed products’ functionality appears to be adequate to
accomplish the program’s goals.

(4) The FAA prefers to interact closely with applicants during the development of the
I&O Plan, rather than to wait for the formal submittal of the finished plan before establishing
substantive dialogue. A discussion and review of rough drafts of document sections early in the
development process will facilitate approval. The submittal of the final documents then becomes
a formality, with minimal changes required.

(5) To assist air carriers in developing their I&O Plans, a checklist of items to be
included in the plan is provided in paragraph 9a(3). Paragraph 9a(4) contains a sample I&O Plan
template. Although specific areas should be addressed in the plan, the I&O Plan template 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 submit 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 material is included in the plan. The submittal 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 simultaneously to HQ FAA, Attn:
AFS-230. Electronic transmission of this documentation 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 means
and methods 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 maintain
standardization and continuity throughout the industry while accommodating 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. The FAA procedures for I&O Plan approval are
contained in FAA Order 8400.10, Air Transportation Operations Inspector’s Handbook.
AFS-230 and the POI will communicate 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 signatures of the POI and the manager 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 terminate the FOQA program or the FAA withdraws
its approval.

(4) The I&O Plan is a “living document” and should be updated as necessary. Changes
will occur in the FOQA program as an air carrier assimilates new technologies, adds new fleets,
modifies event definitions, and changes structures to meet 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 methodology should be established for the I&O Plan (and any
subsequent revisions) and included in the I&O Plan. A list of affected pages, or a revision
control page that identifies the pages to be added/removed/replaced, should be submitted with
any revised pages. Each revised page should contain the page number, revision number, 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 composition, system configuration, flight operating
procedures, organizational structure, schedule, and key milestones).

(6) Revisions to approved I&O Plans do not require FAA letters of approval. Because
such changes can be potentially frequent and voluminous, 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 submittal that the revision is not accepted, except as follows: notwithstanding
this 45 day period, if at any time 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 may notify the
operator that revisions are required in order to maintain program approval. In addition to the
POI, AFS-230 should be provided with an information copy of all revisions. The POI may
permit an air carrier to consolidate and submit revisions on a quarterly basis throughout the
calendar year, rather than submit 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 may elect at any time to terminate
its program. The FAA may also elect at any time to withdraw approval of an air carrier’s I&O
Plan for failure to comply with the requirements of section 13.410. The protections from civil
enforcement actions are predicated upon the expectation that the operator will act upon FOQA
information indicative of an adverse safety trend or a continuing violation. If the FAA
determines that insufficient effort to develop or implement a plan of corrective action is taking
place, and the air carrier is not responsive to FAA efforts to elicit compliance with this
requirement, withdrawal of program approval may be appropriate. Withdrawal of FAA approval
of the I&O Plan will be transmitted, 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 summarizes the foundation and relevant FAA references
for FOQA programs.

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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 may also be stakeholders outside the company that should be
identified here.

(4) Protective Provisions, Pilot Association Agreement (if Applicable), and

Corporate Policy Statement. Summarize the salient points of the protective provisions that the
airline and its pilots are afforded from FAA certificate action or civil penalties from information
and data collected and analyzed by the FOQA program. In addition, the protective provisions
from the pilots association agreement should be summarized. Provide a copy of the agreement in
Appendix 1 of the I&O Plan. If a pilot association agreement is not applicable to the airline, a
corporate policy statement 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
information produced by the FOQA program.

(5) Data Protective Provisions and Security.

(a) In this section, include a summary 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 agreement (if applicable) as it pertains to

individual protection and data usage. At a minimum, discuss the following security
considerations:

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

• Data protection methods (including those provided by the GDRAS, physical
security of FOQA media and facilities and information dissemination
safeguards, etc.)
• De-identification requirements and procedures
• Methods for ensuring confidentiality
• Data retention policies and procedures
• Data storage policies and procedures
• Procedures for auditing and refining the security policy, methods, and
procedures

(6) FOQA Program Components. Describe the specific technology components

proposed for use in the FOQA program. The I&O Plan will need to be amended when changes or
additions to the fleet types or changes to other technology components are made in the airline’s
FOQA program. Program components described should include the following:

(a) Aircraft Fleet. Describe the following:

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• How the initial aircraft fleet(s) were selected for participation in the FOQA
program
• Number of parameters 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, media handling,

and download capabilities)?
• How were service and support considered (warranty, repair station locations
)?
• What compatibility issues with existing systems were raised (power
considerations, size, weight)?

(c) Describe the airborne system configuration and provide information concerning
the following:

• Strategy for acquiring airborne data

• Equipment to be installed in the aircraft (including vendor, part number, and
other pertinent information) and the technology to be used
• Availability of the STC for each component installed on the aircraft or the
plan for obtaining an STC
• Method used for loading and maintaining the LFL
• Fleet installation plan, including equipment installation requirements 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 maintain the airborne acquisition and recording system, including
parameter maps 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 name, hardware, software, operating system

configuration, and communication network
• Summarize the proposed GDRAS’s functionality
• Describe vendor support and training
• Specify how LFLs, events, and parameters are defined, configured, and
maintained
• Describe user configuration capabilities

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• Describe how the system complies with de-identification and security

requirements defined by the air carrier and pilot association

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

• Software for trend analysis, statistical analysis, and flight animation

• Remote data collection systems and communication infrastructure, as applicable
• The vendor, product name, and associated hardware, software, communication,
and operating system requirements
• The selection criteria and product selection process

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

including criteria, which will be used for upgrading, modifying, or replacing the FOQA program
components once those components have been approved for use.

(11) FOQA Organization. This section explains the context of the FOQA program
within the air carrier’s departmental settings and the individuals who will serve on the FOQA
program team. The following subsections contain topics that should be incorporated into the
I&O Plan:

(a) Organization Structure. Describe the following:

• The organization and management of the FOQA program, including the

organizational entity responsible for the FOQA program
• Any oversight body (such as a steering committee or FOQA committee),
including information on membership, charter, duties, meeting schedule.
• Provide an organizational chart that illustrates the organization and
management 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 manager
• Gatekeepers
• FOQA analyst
• FOQA intern, if applicable
• Members of the FMT, along with any other committees 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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• Investigating results
• Determining corrective actions to be taken for significant events
• Communicating findings to all effected stakeholders
• Obtaining feedback and follow-up for corrective actions
• Data trending
• Generating periodic reports
• Providing local FAA with aggregate FOQA information on the operator’s
premises

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

1 Schedule and timeline for FOQA implementation, 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 remote sites.

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

education, infrastructure, data validation) that should be met before collected data are used for
analysis of line operations. If a user needs assessment has been conducted, summarize the
methods used, users interviewed, and results.

NOTE: When developing a scheduled timeline for starting a FOQA

program, many of these tasks may require considerable time for completion
(i.e., beyond the month in which they are listed as occurring) and that
preliminary work will have commenced on these tasks prior to where they
appear on the checklist. Obtaining financial approvals and commitments for
equipment expenditures and personnel, contracting for equipment
purchases, and delivery of equipment may all have very long lead times.

(13) Education and training. Describe the following:

• How officers, senior management, 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 maintenance/engineering. Also describe the
framework/technology architecture that will be used for managing the data.

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

• Procedures for the physical retrieval of data from aircraft

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• Procedures for transferring data from airborne systems to the GDRAS,

including media logistics and schedule for data retrieval
• Manual and automated methods 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 equipment
problems
• Include a process flow diagram that shows the transit and direction of FOQA
data through the system, including key systems, 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 documents
• Event categories, classifications, and severity levels

NOTE: Provide initial event set classifications by operational mode in

Appendix B.

(d) Data Definition Maintenance.

1 Describe how event definitions will be validated, reviewed, and defined by the
FMT. The following boilerplate can be used as a baseline, but should be modified, as
appropriate, to the air carrier’s specific situation:

NOTE: Documentation of event definition, validation, and modification will

be maintained in the FOQA office and will 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 modifications 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/maintenance, and training) about events requiring immediate
action
• Processes for maintaining event information for trend analysis, including
databases and methods to have invalid events and associated data removed

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• 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 determining 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 requirements by maintenance to satisfy manufacturer warranty claims
• 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 involve, how changes will be tracked, and how
revisions will be submitted to the FAA. With the approval of the POI, the air carrier may submit
quarterly updates of the I&O Plan to reflect changes that were made during the preceding
quarter.

(a) Operational Development. Describe the overall development of FOQA

program documentation 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 documented. This should include the following:

• A description of the identified use

• Analysis that was accomplished
• Specific corrective actions or recommendations taken or made
• Personnel who were notified
• Resolution of actions or recommendations

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

incorporated into the I&O plan. This revision control methodology should include controls for
page revisions, deletions, or replacements. The I&O Plan should also stipulate that the operator
will submit 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 marking of company proprietary and
confidential information submitted to the FAA.

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(17) I&O Appendices.

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

implementation of the FOQA program depends on obtaining a signed pilot association
agreement, insert the agreement or side letter in this section. The agreement 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 minimum parameters to be monitored and analyzed in a basic FOQA
program. When establishing a new FOQA program, the events and parameters in this appendix
should provide a good starting point. Note that there are many more parameters available for
recording on modern aircraft than are listed in the appendix. Although many such parameters are
not used in FOQA event creation, they can be useful to develop a more complete understanding
of the causes of events and for aircraft maintenance troubleshooting purposes. Following initial
establishment and validation of its program, operators are encouraged to consider expanding
upon the basic parameter list provided in this appendix. Ideally, the aircraft fleet initially
involved in starting a FOQA program should have a data bus capable of supplying the
parameters listed in this appendix and a means of capturing and recording those parameters. It is
important to understand, however, that the list of available parameters on any given aircraft will
be a result of those provided by the airframe 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 simple or complex. Developing a list of events from scratch can be
extremely time-consuming, particularly during event validation. GDRAS vendors can also create
and deliver event sets, but this may 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 simple and much less expensive.

NOTE: The event list should be tailored to the specific air carrier and
aircraft type. The parameters used to measure 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 work
together to evaluate and adjust event triggers. Since maintenance will also
be an important stakeholder, creating events that maintenance would be
interested in analyzing would be advantageous.

2 Event Standardization.

(aa) If an operator has multiple aircraft type or model variance within its
fleet, attempting to standardize events within the GDRAS analysis function may be
advantageous. Numerous events will be common to all types and models of aircraft in an air
carrier’s fleet (e.g., VMO, MMO, and VLE exceedences). These “common” events can be monitored
and analyzed across fleets. However, there will be differences in the triggering limits, which will

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be dictated by an aircraft’s specific operating limitations. Analysis of these events across fleet or
model types must 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 method of organizing the events could be by “phase of
flight.” Another method may be to use the sections in the operator’s manuals where aircraft
limitations or flight procedures are outlined or defined. Users should choose the method that best
suits their needs.

(cc) The events may be categorized by the flight phase in which they are most
likely to occur, although they may also occur in other phases. However, the flight phase is not
used as a discriminator in the creation of these events. 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 method and may speed the processing of raw data.

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

analysis may be useful. Documentation of the events can assist the operator in validating trend
analysis and serves as a guide to program history as events change or are modified during the
maturation of the program. Documentation could include the name for specific events, a
description that clarifies what the event is designed to measure, suggested event-triggering
conditions, the needed parameters to create the event, a possible way of defining the event, and
explanatory notes or comments that go beyond the event description. In the event definition,
user-defined variables that need to be extracted from Approved Flight Manual (AFM), Flight
Operations Manual, Flight Standards/training guidance, or other applicable corporate guidance
should also be included.

(ee) Some parameters used in events are derived, meaning they are not
directly measured by sensors in the aircraft, but are calculated as part of the processing done by
the analysis software. Height Above Takeoff/Touchdown (HAT) is a good example of this.
Many events require an altitude component in relation to the airport elevation. This is most
accurately done by using the elevation at takeoff or touchdown, calculating altitudes above this
elevation, and then measuring actual aircraft performance at these points. There are many
possible ways to calculate events, and those presented here may not be compatible with
parameters available on a particular aircraft or the capabilities of particular analysis software.
Maintaining documentation of events will assist the carrier in trend analysis and the development
of events as the program matures. Appendix II of the example I&O plan in Appendix A of this
AC contains a representative sample of event documentation.

CAUTION: Each air carrier should review all events to see that the limits
defining each event account for applicable federal regulations, airplane flight
manual limitations, and company policies and procedures.

(c) Appendix III (Glossary). Definitions of all acronyms used in the document
should be included. The definitions should cover more than just what the acronym stands for, the
reader should be able to understand what the acronym means. In constructing the glossary,

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assume that the reader of the I&O Plan is unfamiliar with FOQA, as might be the case with
senior management, union officers, legal staff, or local FAA representatives.

(d) Appendix IV (References). Include citations for all referenced documents

including, but not limited to:

• Title 14 CFR Part 193, Protection of Voluntarily Submitted Information

• Title 14 CFR Part 13, Section 13.401, Flight Operational Quality Assurance
Program
• AC 00-46 (as amended), Aviation Safety Reporting System (ASRS)
• AC 00-58 (as amended), Voluntary Disclosure Reporting Program
• AC 120-59 (as amended), Air Carrier Internal Evaluation Programs: Air
Carrier Internal Evaluation-Model Program Guide
• AC 120-66 (as amended), 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
Implement Flight Operational Quality Assurance Programs, December 1997

10. APPENDICES.

• Appendix A: Example of a FOQA Implementation and Operations Plan

• Appendix B: FOQA I&O Plan Checklist

11. ABBREVIATIONS
ABBREVIATIONS
Abbreviation Term
AAC Airline Administrative Control
AC Advisory Circular
ACARS Aircraft Communications Addressing and Reporting System
ACDF Airline Common Data Format
ACMS Aircraft Condition Monitoring System
ACSF Airline Common Statistical Format
AEEC Airlines Electronic Engineering Committee
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 Rulemaking Committee
ARINC Aeronautical Radio Incorporated
ASAP Aviation Safety Action Program
ASCII American Standard Code for Informational Interchange
ASRS Aviation Safety Reporting System

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ABBREVIATIONS
Abbreviation Term
ATC Air Traffic Control
BASIS British Airways Safety Information System
CAS Computed Air Speed
CMO Certificate Management Office
COTS Commercial Off-The-Shelf
CSV Comma Separated Value
CVR Cockpit Voice Recorder
DAR Digital ACMS Recorder
DAS Designated Alteration Station
DAU Data Acquisition Unit
DBMS Database Management System
DFDAR Digital Flight Data Acquisition Recorder
DFDAU Digital Flight Data Acquisition Unit
DFDMU Digital Flight Data Management Unit
DFDR Digital Flight Data Recorder
DMU Data Management Unit
EGT Exhaust Gas Temperature
EGT Exceedance Guidance Team
EMT Event Monitoring Team
ERC Event Review Committee
FAA Federal Aviation Administration
FAR Federal Aviation Regulations
FDAU Flight Data Acquisition Unit
FDR Flight Data Recorder
FMT FOQA Monitoring Team
FOD Foreign Object Damage
FOIA Freedom of Information 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
GPWS Ground Proximity Warning System
HAA Height Above Airport
HAT Height Above Takeoff/Touchdown
HQ Headquarters
HTML Hypertext Markup Language
I&O Implementation and Operations
IT/IS Information Technology/Information Systems
LAN Local Area Network
LFL Logical Frame Layout
LRU Line Replaceable Unit
MB Megabyte
MEL Minimum Equipment List
MMO Maximum Mach Operating Speed
MTBF Mean Time Between Failure
N1 Low Pressure Compressor
N2 High/Intermediate Pressure Compressor
NAS National Airspace System
NASA National Aeronautics and Space Administration
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 Computer Memory Card International Association
PDF Portable Document Format
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 Avoidance System (TCAS) Resolution
Advisories
RFP Request for Proposal
ROM Routine Operational Measurement
SRU Shop Replaceable Unit
SSFDR Solid State DFDR
STC Supplemental Type Certificate

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4/12/04 AC 120-82

ABBREVIATIONS
Abbreviation Term
TA Traffic Alert and Collision Avoidance System (TCAS) Traffic
Advisories
TC Type Certificate
TCAS Traffic Alert and Collision Avoidance System
TE Triggered Event
V1 Critical Engine Failure Speed
V2 Takeoff Safety Speed
VLE Maximum Landing Gear Extend Speed
VMO Maximum Operating Limit 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/ James J. Ballough

Director, Flight Standards Service

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4/12/04 AC 120-82
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 defined as a program to improve flight safety
by providing more information about, and greater insight into, the total flight operations
environment through selective automated recording and analysis of data generated during flight
operations. Analysis of FOQA data can reveal situations that require improved operating,
training, and maintenance procedures, practices, equipment, and infrastructure.

In support of the public safety objective, the FAA has publicly endorsed the development and
implementation of voluntary FOQA programs as a tool for continuously monitoring and
evaluating operational practices and procedures. In Advisory Circular (AC) 120-59 (as
amended), Air Carrier Internal Evaluation Programs, the FAA states, “public safety is enhanced
if deficiencies are identified and immediately corrected when they are discovered by the
certificate holder rather than when they are discovered by the FAA.” FOQA programs can
provide the quantitative and objective information needed to identify deficiencies during the
certificate holder’s internal audit and evaluation process.

FOQA programs are based on the premise that air carriers have primary responsibility for
continuously monitoring and ensuring that their operations are safe and in compliance with their
operating standards and the regulations. A FOQA program will assist [Airline Name] in
identifying and addressing operational deficiencies and trends that are not generally detectable
with other procedures. Additionally, analysis of some FOQA program data may contribute to
improved safety and efficiency in the design and operations of air traffic control (ATC) systems,
aircraft, and airports. Many potential applications of FOQA data have been identified to date.
These applications aim to improve safety, evaluate and enhance training practices, revise
operating procedures, assist aircraft engineering programs, improve maintenance efficiency, and
assist manufacturers in aircraft design and modification.

Several foreign air carriers have successfully implemented FOQA-type programs that use flight-
recorded data to improve operational safety and performance. Lengthy track records in effective
usage of this information (over 20 years in the cases of British Airways and Scandinavian
Airlines System) have provided foreign carriers with clear evidence that FOQA program data
represent a source of valuable information that, when used appropriately, can contribute greatly

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Appendix A
to aviation safety. Airlines that currently have FOQA-type programs agree that the insights
derived from these programs have prevented serious incidents and accidents and have led to
improved operating efficiencies.

FOQA information can be included in the voluntary audits and evaluations described in
AC 120-59 to determine the causes of deficiencies and to suggest enhancements to operating
practices. Title 14 of the Code of Federal Regulations (14 CFR) part 13 states the conditions
under which information obtained from an approved voluntary FOQA program will not be used
in legal enforcement actions against an operator or its employees. In addition, 14 CFR part 193
contains provisions for certain protection from public disclosure of voluntarily submitted safety
related information, when such information has been designated by an FAA order as protected
from disclosure under that part.

2. INTRODUCTION

The I&O Plan presented in this document specifies the organization, technology, policies,
procedures, and operational processes used in the [Airline Name] FOQA program.

The core objective and intent of the [Airline Name] FOQA program is to facilitate the free flow
of safety information. The FOQA program will:

1. Collect operational flight data.

2. Develop methods to analyze the collected flight data, such as triggered events and routine
operational measurements.
3. Establish procedures for comparing the collected data with established procedures and
standards and the use of analyzed data in formal awareness and feedback programs to
enhance safety in the following areas:

a. Flight procedures
b. Flight training procedures and qualification standards
c. Crew performance in all phases of flight
d. Air traffic control procedures
e. Aircraft maintenance and engineering programs
f. Aircraft and airport design and maintenance

4. Perform trend analyses of FOQA data to identify potential problem areas, evaluate
corrective actions, and measure performance over time.

3. FOQA PROGRAM STAKEHOLDERS

The FOQA program will provide large amounts of previously unavailable data to significantly
improve the problem definition process and allow assessment and resolution of systemic safety
and efficiency issues. Beneficiaries or stakeholders within [Airline Name] include, but are not
limited to, the following:

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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 [Airline Name] will also benefit the [Airline Name]
FOQA Program. These stakeholders may include, but are not limited to, the following:

1. FAA
2. NASA
3. ATC
4. Aircraft manufacturers
5. Other industry safety groups.

4. PROTECTIVE PROVISIONS, PILOT ASSOCIATION AGREEMENT (IF

APPLICABLE), AND CORPORATE POLICY STATEMENT

Key to the success of the [Airline Name] are specific protective provisions that will protect both
[Airline Name] and its employees from FAA certificate action or civil penalties as a result of
information and data that are collected and analyzed by the FOQA program. In establishing these
protective provisions, [Airline Name] has pursued the following distinct courses of action.
[Airline Name] has established a corporate policy endorsed by senior management providing that
no pilot shall ever be subject to disciplinary or other pejorative action by [Airline Name] from
data or information that is produced by the FOQA program, and [Airline Name] has formalized
that policy in a FOQA agreement that has been negotiated and accepted by the [Airline Name]
Pilot Association [If applicable]. [Airline Name] 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 framework of cooperation between the Pilot Association
[if applicable], the FAA, and [Airline Name] that will permit the most effective use and analysis
of FOQA data.

5. DATA PROTECTIVE PROVISIONS AND SECURITY

General

Key areas that were considered in developing the protective provisions for the FOQA program
include:

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AC 120-82 4/12/04
Appendix A
1. Confidentiality⎯Provides that the identity of individual crewmembers cannot be
associated with any FOQA data, except for the purposes of crew-contact as provided for in this
I&O Plan.
1. Anonymity⎯Provides that any identification of airline flight and/or flightcrews with
specific FOQA flight data necessary during an analysis is eliminated permanently at the
earliest possible time and in accordance with the pilot association agreement.
2. Data access and control⎯Identifies 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 systems, offices,
equipment, workstations, computers, and peripherals associated with the FOQA program.
Additionally, secure systems will also be provided for storage of all FOQA-related
materials, including paper, media, and backup devices.

FAA FOQA Enforcement Policy

The [Airline Name] FOQA Program incorporates the protections codified in the FOQA Rule,
part 13, section 13.401, which states that except for deliberate or criminal acts, the Administrator
will not use [Airline Name]'s FOQA data or aggregate FOQA data in an enforcement action
against [Airline Name] or its employees when such FOQA data or aggregate FOQA data is
obtained from a FOQA program that is approved by the Administrator.

Legislation

In the Federal Aviation Reauthorization Act of 1996, Congress included specific provisions
pertinent to the public release of safety-related information that was voluntarily submitted to the
FAA. Specifically, the Reauthorization Act added a new section—49 U.S.C. § 40123—to the
FAA’s governing statute to protect voluntarily submitted information from disclosure if the
Administrator finds that (1) the disclosure of the information would inhibit the voluntary
provision of that type of information and that the receipt of that type of information aids in
fulfilling the Administrator's safety and security responsibilities; and (2) withholding such
information from disclosure would be consistent with the Administrator's safety and security
responsibilities.

The Administrator has issued a rule, 14 CFR part 193, which accomplishes the purposes set forth
in this legislation. This rule describes the provisions for designating information that would be
protected. Information collected under an FAA-approved voluntary FOQA program has been
designated by FAA Order 8000.81 as coming under the provisions of this rule.

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Appendix A
6. FOQA PROGRAM COMPONENTS

The principal components that will compose the FOQA program at [Airline Name] are described
below and are illustrated in Figure 1.

Aircraft Fleet

The [Aircraft Model/Type] aircraft will be the launch aircraft for the [Airline Name] FOQA
program. Twenty of these aircraft will be used to initiate the FOQA program. These aircraft will
be equipped with the [Product Name] Flight Data Acquisition Management System on a
schedule established by [Airline Name] 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 Name] will be utilizing the [Product Name] Quick Access Recorder. This recorder
collects continuous flight data parameters and stores this information on the [Specify Storage
Media, e.g., PCMCIA card].

Data Download and Airborne System Maintenance and Support

The Flight Data Acquisition Management System and Quick Access Recorder will be
maintained per the FAA-approved [Airline Name] aircraft maintenance program. Avionics
Engineering will be responsible for managing this process. The [Storage Media] will be
downloaded [specify frequency] by means of [Specify Downloading Methodology, e.g., removal
and replacement of PCMCIA cards]. The FOQA Manager will be responsible for coordinating
maintenance issues with [Airline Name] Avionics Engineering regarding data download and any
Flight Data Acquisition Management System problems 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 Name] fleet. It will apply protective mechanisms, including removal of identifying
information in accordance with the provisions described in the previous sections. The GDRAS
will also include trend analysis capabilities to explore historical data and analyze similar event
data from past flights to determine if any patterns exist or if further study is warranted.

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Appendix A
Other Equipment

[Airline Name] will be investigating several other components to incorporate into the FOQA
program as the technology becomes available and requirements are identified and refined. The
addition of these components is subject to approval by the FMT.

FIGURE 1. FOQA SYSTEM ARCHITECTURE

F D A P (F lig h t D a ta A n a ly s is P r o g r a m ) -
A r c h ite c tu r e

n MOQA D
F A A ic n e c tio a ta
A ir c r a ft S e ria l C o n f il e f o r m
a t : .p c r ,
c if
S p e ta .u c r
Da
F D R ( F lig h t D a t a R e c o r d e r ) H a n d - h e ld D o w lo a d U n i t

P C M C IA FAA Da R D S ( R e m o t e D a t a S y s te m )
t a w i t h in ta
c re a s A Da (L o c a tio n )
ed upda
te FO Q
D F D A U ( D ig it a l F li g h t ra te
D a t a A c q u i s it i o n U n it )

A C M S ( A ir c r a f t C o n d it io n i n g M o n it o r in g S y s te m ) ta
Da
d
a te
p lic
Re
D a ta C e n te r

C D S ( C o m m u n ic a t io n S e r v e r )

E M S E v e n t M e a s u re m e n t
S y s te m ) S e r v e r s

A P M (A u to m a te d P a ra m e te r M e a s u re m e n t) F D W ( F l ig h t D a ta W a r e h o u s e

F D A P O ff ic e M a in te n a n c e

P C fo r S W I S o ftw a re E M S W o r k s t a t io n E M S W o r k s t a ti o n T e rm in a l S e rv e r E M S W o r k s t a t io n

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Equipment Upgrade, Modification, or Replacement

The equipment used initially in the FOQA program, including airborne and ground systems, may
be upgraded, modified, or replaced with equipment from the same or a different vendor that will
provide comparable or superior functionality to the equipment described in this section.
Documentation of such changes in airborne or ground systems will be maintained in the FOQA
office and will be made available to the FAA on request. This I&O plan will be revised and
submitted to the FAA whenever changes to airborne or ground-based systems are made.

7. FOQA ORGANIZATION

Organizational Structure

The [Airline Name] 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 Committee is chaired by the Director of Flight Safety and
serves as the advisory group for the FOQA program. Members of this committee
include the Vice President of Flight Operations, the Pilot Association Air Safety
Chairman, Director of Maintenance, and the Director of Flight Training.

2. FOQA Program Manager

The FOQA Program Manager is responsible for the overall management,
administration, security, and maintenance of the FOQA program. These duties
include interfacing with the FAA, vendors, and other entities. The program
manager’s primary duties include addressing the FOQA data needs and reporting
requirements of Flight Operations, Training, and Safety departments (and any
other stakeholders).

3. FMT
The FMT is chaired by the FOQA Program Manager. The FMT meets once per
month to conduct reviews of aggregate trend data to identify recommendations 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 manage password selection and
maintenance, control access to identifying data, and perform any necessary crew
contacts.

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Appendix A

FIGURE 2. FOQA ORGANIZATIONAL STRUCTURE

FOQA Steering
Committee

FOQA FOQA Pilot

Monitoring Program Association
Team Manager Gatekeeper

FOQA
Analyst

Flight Flight Flight Flight Maintenance

Operations Safety Training Standards Engineering

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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 for the program will be defined by the FMT and will include, but not be
limited to:

• Completion of installation and testing of airborne equipment and GDRAS

• Successful testing of the complete data analysis system
• Validation of flight parameters
• Validation of data collection system from the recording media to the GDRAS
• Implementation 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 measurements
• Implementation of procedures to detect and analyze triggered events and operational
measurements
• Implementation of procedures to identify and track corrective actions

The FMT will make the decision regarding when the established criteria are met. Once the FMT
determines a formal start date, any data collected before the formal start date must 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 implementation schedule, timelines, and milestones.

TABLE 1. FOQA TIMELINE

Month Task
Month 1 1. Coordinate airborne technology requirements, particularly data maps and
LFLs, with maintenance/engineering.
2. Acquire airborne data acquisition/recording equipment for aircraft.
3. Coordinate with maintenance/engineering for installation of equipment in
aircraft.
4. Evaluate GDRAS products, including on-site system trials.
5. Coordinate with corporate information technology personnel for integration

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Appendix A
TABLE 1. FOQA TIMELINE
Month Task
with or installation of any communication networks, compliance with
computer-related standards, review of vendor maintenance contracts, and any
other assistance required.
6. Begin education program for company officers and management personnel
regarding FOQA benefits.
7. Begin periodic FMT meetings to assist in GDRAS evaluation.
8. Meet with stakeholders to review current requirements and to define any
additional requirements.
9. Generate pilot education materials 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 development of pilot educational materials.
13. Develop equipment acceptance criteria with FMT, FOQA Analyst, and
associated vendor(s).
14. Select and acquire GDRAS hardware, software, and peripherals and
coordinate product support and any integration with corporate
communications infrastructure.
15. Coordinate with vendors and maintenance/engineering to determine
procedures and resources required for retrieving airborne data and
transferring to FOQA facility.
16. Establish interface with maintenance/engineering for addressing FOQA
issues.
17. Coordinate with GDRAS vendor to define periodic reporting capabilities and
formats.
18. Refine methods for retrieving data collected on aircraft.
19. Refine I&O Plan and submit to AFS-230 and POI for approval.
20. Develop and issue maintenance work cards/bulletins for data retrieval
procedures.
21. Develop methods 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 computer, communications infrastructure, and operating
system for GDRAS and other ground and communication equipment.
25. Integrate GDRAS with corporate communications infrastructure as
appropriate.
26. Obtain and attend GDRAS vendor training for FOQA team members.
27. Develop and implement 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 modifications, if required.
30. Implement maintenance procedures for routine retrieval of data from aircraft.
31. Analyze and validate initial data to confirm proper operation of airborne
equipment and GDRAS.
32. Establish vendor problem reporting and tracking system for FOQA
equipment and software.
Month 4 33. Formalize and document procedures for event review, evaluation, and
follow-up.
34. Generate stakeholder education materials.
35. Educate POI regarding the specifics of the FOQA program.
36. Continue pilot education process.
37. Refine and test parameter conversions.
38. Refine and test event definitions.
39. Review equipment acceptance criteria and resolve outstanding issues with
vendors.
40. Verify GDRAS and system components compliance with data security and
de-identification procedures.
Month 5 41. Continue development of parameter specifications.
42. Continue development of event definitions.
43. Define and document procedures for transferring to maintenance/engineering
any maintenance-related events captured by FOQA data.
44. Continue pilot education process.
45. Modify the I&O Plan as appropriate and submit revisions to the FAA.
46. Determine and review format for trend and summary reports.
47. Establish procedures to validate data and events and in the review and
evaluation of trend and summary reports.
48. Establish procedures for defining and implementing corrective actions, and
tracking their efficacy.
Month 6 49. Test all aspects of the data collection, transmittal, and analysis system.
50. Continue data validation.
51. Implement data retention policies.
52. Review start-up criteria.
53. Implement procedures for system and data back-up and archiving.
54. Finalize trend analysis procedures.
55. Define schedule and milestones for formal start-up and entry into continuing
operations.
56. Develop procedures for maintaining I&O plan revisions.
57. Implement stakeholder feedback mechanisms.

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TABLE 1. FOQA TIMELINE
Month Task

58. Review FOQA data gathered prior to program’s official launch and
determine how the data will be used based on the [Airline Name’s] data
retention policy.
59. Continue pilot education process.

9. EDUCATION AND TRAINING

Pilot education about the [Airline Name] FOQA Program will be accomplished 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 information about the FOQA program
through reports generated from periodic FOQA meetings, bulletin boards, and an initial FOQA
overview report that will be developed and distributed during the initial implementation of the
FOQA program.

All FOQA personnel will receive training on the GDRAS software. Additionally, FOQA
stakeholders will visit other operators with established FOQA programs. 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 maintained by the GDRAS subject to periodic deletion as
determined by the FOQA Steering Committee and in accordance with the [Airline Name] record
retention policies.

The FMT will be responsible for developing reports summarizing the information obtained
through the FOQA Program. The reports will include summaries of the most recent information
obtained through the FOQA Program as well as trend information to demonstrate the
effectiveness of prior corrective actions. These reports will be distributed to Flight Operations,
Flight Training, Flight Safety, Maintenance Engineering, and other involved stakeholders on a
regular basis. The FMT will solicit recommendations from the recipients of the reports in order
to improve their usefulness as the program proceeds.

Flight Data Collection and Analysis

The manner 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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Appendix A
analysis station will process the recorded flight data. Provisions for 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 determine what occurred and whether the
recorded information was legitimate. A preliminary analysis will use the GDRAS to interpret
identified events or trends and determine whether the information was valid or invalid because of
bad data, a faulty sensor, or some other invalidating factor. In the event that the data reveal a
situation of immediate concern to Maintenance Engineering, the FOQA Program Manager will
notify that department.

NOTE: Preliminary review of the data to assess validity must be completed within
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 crewmembers, if needed. Further analysis of the
data received is accomplished in relation to existing aggregate information within the
FOQA Program. Program trend reports of the aggregate data are developed by the FMT
on a regular basis for presentation to stakeholders for use in developing corrective actions
or for monitoring of operational issues.

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Appendix A

FIGURE 3. FOQA DATA PROCESSING

Airborne Data

GDRAS

Secured Raw Data

De-identified Flight Data Maintenance and

FOQA Database Engineering

Remove from No Valid Safety, Operations,

FOQA Database Data? and Training

Yes

FOQA Monitoring Team FOQA

Action/Feedback Manager

Gatekeeper/
Yes Crew No
Designated FOQA Stop
Contact?
Team Member

Flight Crew

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Data Classifications and Definitions

Parameters and measurements used in the [Airline Name] FOQA program are contained in
Appendix II of this I&O Plan. The definitions will be programmed into the GDRAS to measure
events and/or monitor trends. The performance limits that define these definitions will be
continually reviewed by the FMT to determine they are consistent with the FOQA program
goals, applicable publications, and guidance materials, which may include, but are not limited to,
the following:

• Flight Operations Manual (FOM)

• Quick Reference Handbook (QRH)
• [Airline Name] flight training materials
• Approved Flight Manual (AFM)
• Manufacturer Maintenance Manuals

The event set for the [Airline Name] FOQA Program is contained in Appendix II. This event set
will be modified as deemed appropriate by the FMT and additional event sets will be defined as
needed. The FOQA Program Manager will be responsible for maintaining 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 determine whether the information is valid and reflects
[Airline Name’s] qualification and performance standards, training practices, and aircraft
performance limits. All changes in the event and trend definitions will be logged and the FOQA
Program Manager will maintain the records.

Data Review and Evaluation

All data recorded by the [Airline Name] FOQA Program will be evaluated by the FMT on a
periodic basis as determined by the FOQA Program Manager. FOQA data should be evaluated to
determine if the program is accurately monitoring collected information for events and trends.
The review and evaluation of the measurements, profiles, events, and trends used in the [Airline
Name] FOQA Program should reflect changes, updates, or enhancements to policy and
procedures within all stakeholders’ departments. Consideration should also be given to any
changes, updates, or enhancements to policies and procedures within the FAA and industry.

Data Trending and Record Retention

De-identified flight data stored in the GDRAS will be periodically deleted as determined by the
FOQA Steering Committee. Trend data will be maintained for a period of time as specified by
the FMT in consultation with the FOQA Steering Committee. Maintenance Engineering shall
retain the data as long as necessary to satisfy manufacture’s warranties.

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11. PROGRAM AND DATA DOCUMENTATION

Operational Development

The FOQA Program Manager will develop appropriate documentation for support of the FOQA
operation. This documentation will be used to provide routine support for the process and
facilitate any personnel transitions that may occur during the program.

Information and Data Control

The FOQA Program Manager will maintain a history of the information used in the FOQA
program. When a FOQA or safety issue is identified, a log will be maintained to provide a
reference document. This document will provide a way to track how [Airline Name] addresses
trends revealed by analysis of the FOQA data. This will include:

• A description of the identified issue

• Analysis that was accomplished
• Specific corrective actions or recommendations taken or made
• Personnel who were notified (e.g., flightcrews [de-identified], Engineering
Maintenance, Flight Operations, Flight Training, Flight Safety)
• Resolution of actions or recommendations

The log will be used to generate a summary report for presentation to the FOQA Steering
Committee and senior management. This log will be maintained in the FOQA office in a secure
place. The FOQA Steering Committee will establish the retention period for this log.

I&O Plan Revision Control

Standard revision control methodology and a distribution list will be established for this I&O
Plan. A revision control page that identifies the pages to be added, removed, and/or replaced,
will be submitted with any revisions. Each revised page will indicate the page number and date.
Revisions to the I&O plan will be provided as necessary and appropriate. All revisions to the
I&O plan, including event definitions, will be submitted to the [Airline Name] FAA POI and to
FAA AFS-230.

12. FAA ACCESS

The [Airline Name] FAA POI (and/or Aircrew Program Managers [APMs]) and PMI (and/or
Partial Program Managers [PPMs]) shall be permitted free and open access to de-identified
aggregate FOQA data, including fleet-specific trend analysis information. This review will
include a quarterly update of FOQA trend information to [Airline Name]’s FAA personnel. Any
FOQA data or information shared with the FAA shall be protected from use by the FAA for
enforcement 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 leaves [Airline Name]’s property will be clearly
labeled as follows: “WARNING: This FOQA information is protected from disclosure under 49

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Appendix A
U.S.C. 40123 and 14 CFR part 193. This information may be released only with the written
permission of the Federal Aviation Administration Associate Administrator for Regulation and
Certification.” Airline identity and other information that could be employed to derive airline
identity will be removed from any FOQA aggregate data submissions which [Airline Name]
provides to the FAA in compliance with section 13.401, unless [Airline Name] elects to include
that information. In the event that [Airline Name] chooses to allow FOQA data or aggregate
FOQA data that includes airline identity information to be removed from [Airline Name]’s
property, all such data will be labeled as the confidential and proprietary property of [Airline
Name], in addition to the preceding warning.

In accordance with the FOQA Aviation Rulemaking Committee (ARC) recommendations that
have been accepted by the FAA, [Airline Name] will participate in industry information sharing
activities for FAA-approved FOQA programs. All information included in any industry sharing
activity or any request for information will be reviewed and approved by [Airline Name] before
release by [Airline Name]. The information released will be considered [Airline Name]
proprietary information and will be de-identified so that specific flight information is not
included. To the extent possible, the information released will be de-identified to limit the
references that identify it as [Airline Name] information. In addition, at such time as the FAA
provides guidance regarding future requirements for compliance with part 13, section 13.401(d),
[Airline Name] will review those requirements to determine whether to continue its voluntary
participation in an approved FOQA program. If the decision is made to continue with the
program, this I&O Plan will be revised accordingly.

APPENDICES

APPENDIX I. PILOT ASSOCIATION AGREEMENT

Insert Pilot Association Agreement (if applicable).

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Appendix A

APPENDIX II. EVENT PARAMETERS AND DEFINITIONS

Parameters and Basic

Event Name Event Description Notes
Event Definition

Excessive An event designed to Air/Ground Switch, This event would

Power on the measure high power Ground Speed, N1 also be used in the
Ground settings on the ground Air/Ground = Ground, After Landing
that could result in Ground Speed < x knots, phase.
injury to personnel or N1 > x% for x seconds
damage to equipment.
Excessive An event designed to Air/Ground Switch, EGT This event could
EGT – Start detect EGT in excess Air/Ground = Ground, be included in
of flight manual limits EGT > x degrees for x other flight phases,
during engine start. seconds if desired,
although EGT
exceedances other
than on engine
start are extremely
rare.
Engine An event to detect EGT
Overtemp engine EGT in excess EGT > x degree for x
of in-flight limits. seconds
Takeoff An event that would Air/Ground Switch, Flap On some newer
Warning trigger on the same Position, Speed Brake aircraft, Takeoff
conditions that set off Position, Throttle Warning is a
the takeoff warning Position (or possibly N1) discrete parameter.
horn. Air/Ground = Ground, Trim Setting is
Flaps < approved takeoff normally a
flaps, Flaps > approved component that
takeoff flaps, Speed triggers Takeoff
Brake > 0, Throttle Warning, but it is
Position > x sometimes not a
recorded
parameter.

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Parameters and Basic

Event Name Event Description Notes
Event Definition

Rejected An event to detect that CAS, N1 Low end CAS

Takeoff – the takeoff roll has CAS > x knots, CAS < x should be greater
Low Speed begun and the takeoff knots, N1 > x% for x than any
has been abandoned seconds, followed by N1 anticipated taxi
below a pre- < x% within 60 seconds speed. 100 knots
determined speed. is generally
accepted as the
cutoff between
high- and low-
speed aborts.
Rejected An event to detect that CAS, Gross Weight, N1 If N1 is not an
Takeoff – the takeoff roll has CAS > x knots, CAS < available
High Speed begun and the takeoff V1, N1 > x% for x parameter, V2 or
has been abandoned seconds, followed by N1 Liftoff Speed may
above a pre- < x% within 60 seconds be used as the
determined speed. upper limit.
Liftoff Speed An event to determine Air/Ground Switch, V2 is calculated
High the relationship of the Gross Weight, CAS based on Gross
actual liftoff speed to Air/Ground = Ground, Weight.
V2. CAS > V2 + x knots for x
seconds
Liftoff Speed An event to determine Air/Ground Switch, V2 is calculated
Low the relationship of the Gross Weight, CAS based on Gross
actual liftoff speed to Air Ground = Air, CAS < Weight.
V2. V2 – x knots for x
seconds
Pitch High at An event that Air/Ground Switch, Pitch Limits are based
Takeoff measures pitch at Air/Ground = Ground, on the angle
takeoff in relation to Pitch > x degrees required for the
the angle required to tail cone to contact
strike the tail of the the ground with
aircraft. struts compressed.
Takeoff Climb An event to detect CAS, Gross Weight, Altitude ranges
Speed High climb speed higher HAT should be used to
than desired during HAT > x feet, HAA < x accommodate
the Takeoff Phase of feet, CAS > V2 + x knots different desired
flight. climb speeds in
those ranges. In
certain ranges, the
climb airspeed will
be based on V2.

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Appendix A

Parameters and Basic

Event Name Event Description Notes
Event Definition

Takeoff Climb An event to detect CAS, Gross Weight, Altitude ranges

Speed Low climb speed lower HAT should be used to
than desired during HAT > x feet, HAA < x accommodate
the Takeoff Phase of feet, CAS < V2 – x knots different desired
flight. climb speeds in
those ranges.
Early Flap An event to detect any HAT, Flap Position
Retraction flap movement from HAT< x feet, Flap
the takeoff position Position < Flap Position
prior to reaching the in the preceding sample
altitude at which flap
retraction should
begin.
Excessive An event to detect HAT, Roll Altitude ranges
Bank Angle at when the bank angle HAT > x feet, HAT < x should subdivide
Takeoff exceeds the maximum feet, Roll > x degrees for this event with
allowable bank angle. x seconds different bank
limitations in each
range.
Turbulence – An event to detect Vertical Acceleration, 1.5 g is a generally
Flaps excessive G-forces Flap Position accepted limit for
Extended prior to flap retraction. Flaps > 0, Vertical this type of event.
Acceleration > x g for x This event can also
seconds occur during the
Approach phase of
flight.
Slow Initial An event to detect a Air/Ground Switch, HAT HAT would be
Climb slower than normal Time > x seconds from based on clean-up
climb to the clean-up Air/ Ground = Air to altitude.
altitude. HAT = x feet
Abnormal An event to detect Flap Position, Flap This event will
Flap slow flap movement Handle Position also detect stuck
Retraction between any selected Time from Flap Handle flaps.
flap position and the Position = x degrees until
previously selected Flap Position = x degrees
flap position. > x seconds

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Parameters and Basic

Event Name Event Description Notes
Event Definition

Height Loss in An event to detect an HAT This event might

Climb interruption in climb HAT < than x feet, HAT benefit from
in which altitude is < HAT in preceding subdivision in
lost before the climb sample altitude ranges.
resumes.
Climb Speed An event to detect Altitude, CAS
High climb speed higher Altitude < 10,000 feet,
than 250 knots below CAS > 250 knots for x
10,000 feet. seconds
Flap Limit An event to detect Altitude, Flaps Position Altitude would
Altitude when flaps are Altitude > x feet, Flap correspond to the
operated above the Position > 0 degrees maximum
maximum allowable operating altitude
altitude for flap for flaps extended.
operation.

Turbulence – An event to detect Air/Ground Switch, This event will

Flaps Up excessive G-force Vertical Acceleration measure
while airborne, Air/Ground = Air, turbulence from all
indicating an Vertical Acceleration > x sources
encounter with g, Vertical Acceleration (convective
turbulent conditions. > -x g activity, clear air,
or wake induced).
Vertical
Acceleration limits
of +1.5 g to – 0.5 g
might be
considered.
Holding/ An event to detect Heading The start point for
Excess Radar excessive delays Cumulative Time > x, this event would
Vectoring caused by ATC Heading = Heading + occur after the first
holding/radar 359 degrees, Time < 600 360-degree turn
vectoring. seconds and end 600
seconds after the
last turn. The
event would
trigger when the
cumulative time
exceeds a user-
defined value.

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Appendix A

Parameters and Basic

Event Name Event Description Notes
Event Definition

Operating An event to detect Altitude

Ceiling operation of the Altitude > x feet for x
Exceeded aircraft above its seconds
certificated maximum
operating altitude.
Landing Gear The indicated mach Mach, Landing Gear Limiting mach
Down Speed number of the aircraft Position number would be
Exceeded exceeds the maximum Landing Gear Position = MLE.
(Mach) allowable mach for Down, Mach > x mach
operation with the number for x seconds
landing gear in the
down position.
MMO An event to detect Mach
Exceeded occurrences of the Mach > x mach number
indicated mach for x seconds
number of the aircraft
in excess of the
maximum allowable
mach number.
VMO Exceeded An event to detect CAS
occurrences of the CAS > x knots for x
indicated airspeed of seconds
the aircraft in excess
of the maximum
allowable airspeed.
High Descent An event that Inertial Vertical Speed, This event can be
Rate measures unusually HAT, Altitude subdivided into
high rates of descent. Descent rate > x fpm for altitude ranges to
x seconds, HAT/Altitude capture abnormal
> x, HAT/Altitude < x rates of descent
that might be
caused by different
ATC facilities.
Excessive An event that Speed Brake Handle, This event is
Speedbrake measures the amount Air/Ground Switch useful in
Usage of time the speedbrake Air/Ground = Air, evaluating arrival
is used during descent. Cumulative Time Speed procedures into
Brake > 0 specific airports.

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Parameters and Basic

Event Name Event Description Notes
Event Definition

Approach An event to detect Gross Weight, CAS, This event should

Speed High operation on approach HAT, Flaps be broken down
that is in excess of its HAT > 1,000 feet, HAT into altitude bands.
computed final < 3,000 feet, CAS > VFE Suggested
approach speed. – x knots breakdown would
HAT < 1,000 feet, CAS be HAT > 1,000
> VREF + x knots feet, HAT 500 –
1,000 feet, HAT
50 – 500 feet,
HAT < 50 feet.
Speeds above
1,000 feet would
reference a lookup
table.
Approach An event to detect Gross Weight, CAS, Speeds above
Speed Low operation on approach HAT 1,000 feet would
that is below its HAT > 1,000 feet, CAS reference a lookup
computed final < flap maneuvering table.
approach speed. speed – x knots HAT <
1,000 feet, CAS < VREF –
x knots
Excessive An event to detect an HAT, N1
Power excessive power ∆ of N1 at 500 feet and
Increase increase during final N1 < 500 feet > x
phase of approach.
Abnormal An event to detect the Speedbrake Handle, This event would
Configuration simultaneous use of Flaps Speedbrake handle only be included if
– flaps and speedbrakes. > 0, flaps > 0 this type of
Flaps/Speedbr operation were
ake prohibited in the
flight operations
manual.
Abnormal An event to detect Flap Position, Flap This event will
Flap slow flap movement Handle Position also detect stuck
Extension between any selected Time from Flap Handle flaps.
flap position and the Position = x degrees until
previously selected Flap Position = x degrees
flap position. > x seconds

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Appendix A

Parameters and Basic

Event Name Event Description Notes
Event Definition

Landing Gear An event to detect Landing Gear Position,

Down Speed when the indicated CAS
Exceeded airspeed of the aircraft Landing Gear = Down,
(IAS) exceeds the maximum CAS > x knots
allowable airspeed for
operation with the
landing gear in the
down position.
Late Landing An event to detect flap HAT, Flap Handle This event is
Flaps movement to the Position, Air/Ground slightly different
landing flap position Switch from Late Landing
below a pre- Air/Ground = Air, HAT Configuration in
determined altitude. < x feet, Flap Handle that it detects flap
Position at x feet HAT < movement below a
Flap Handle Position at set altitude rather
touchdown than a flap setting.
Low Power on An event to detect Air/Ground Switch,
Approach aircraft engines not HAT, N1
spooled or the power Air/Ground = Air, HAT
reduced to an < x feet, N1 < x %
unspooled condition
below a predetermined
altitude.
Landing Gear An event to detect Landing Gear Warning, If the operating
Operation when the indicated CAS Landing Gear limitation is
airspeed of the aircraft Warning (in transit) = different for
exceeds the maximum On, CAS > x knots landing gear
allowable airspeed for extension and
operation of the retraction, separate
landing gear in transit. events will need to
be created for each
limitation.
Operation Left An event to detect Localizer Deviation Left,
of Localizer deviation left of HAT
Centerline localizer centerline. Localizer Deviation > x
dots, HAT > x feet
Operation An event to detect Localizer Deviation
Right of deviation right of Right, HAT
Localizer localizer centerline. Localizer Deviation > x
Centerline dots, HAT > x feet

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Appendix A

Parameters and Basic

Event Name Event Description Notes
Event Definition

Operation An event to detect Glide Slope Deviation

Above deviation above High, HAT
Glideslope glideslope. Glide Slope > x dots,
HAT < x feet
Operation An event to detect Glide Slope Deviation
Below deviation below Low, HAT
Glideslope glideslope. Glide Slope > x dots,
HAT < x feet
Descent An event to detect HAT, Altitude
Below MDA descent below MDA HAT < 1,000 feet,
(followed by a climb Altitude > Altitude in
back to MDA) on non- preceding sample + x feet
precision approaches.
Flap Limiting An event to detect flap Flap Position, CAS This event will be
Speed operation at a speed Flap Position = x, CAS > constructed with a
that exceeds the x knots for x seconds different speed
maximum placarded limit for each flap
airspeed. setting through the
use of a lookup
table. It will also
detect speed
exceedances
during retraction
in the Takeoff
phase of flight.
Go Around An event to detect that HAT, Altitude, N1
the aircraft has begun HAT < 2,000 feet, HAT
its descent for landing, > 1 foot, Altitude <
discontinues that preceding Altitude
descent, and does not sample for 10 seconds,
land from that N1 > 98%, Altitude > any
approach. preceding Altitude
sample in previous 60
seconds + 300 feet

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AC 120-82 4/12/04
Appendix A

Parameters and Basic

Event Name Event Description Notes
Event Definition

ATC Go An event to detect a HAT, Altitude, N1,

Around go-around event in Localizer Deviation,
which no other events Glide Slope Deviation,
are triggered, such as CAS
approach instability, HAT < 2,000 feet, HAT
indicating the go > 1 foot, N1 > 98%,
around was directed Altitude > any preceding
by ATC. Altitude sample in
previous 60 seconds +
300 feet, Localizer
Deviation < x dots, Glide
Slope Deviation < x dots,
CAS = VREF ± x knots
Late Landing An event to detect that HAT, Landing Gear
Configuration the aircraft is not Position, Flap Position
configured with HAT < 500 feet, Landing
landing flaps and Gear Warning = On, Flap
landing gear in the Position < x flaps
down and locked
position at 500 feet
HAT.
Tire Limiting An event to detect if Air/Ground Switch, CAS
Speed the tire limiting speed Air/Ground = Ground,
is exceeded. CAS > x knots
Pitch High – An event that Air/Ground Switch, Pitch Limits are based
Landing measures pitch at Air/Ground = Ground, on the angle
landing in relation to Pitch > x degrees from 6 required for the
the angle required to seconds before to 15 tail cone to contact
strike the tail of the seconds after touchdown the ground with
aircraft. struts compressed.
Pitch Low – An event that Air/Ground Switch, Pitch
Landing measures pitch Air Ground = Ground,
attitude where the Pitch < x degrees from 3
aircraft is in a nose seconds before to 1
down attitude that second after touchdown
might result in an
initial nose-gear
touchdown or three-
point landing.

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Appendix A

Parameters and Basic

Event Name Event Description Notes
Event Definition

Landing in a An event to detect Heading, CAS

Crab failure to align aircraft ∆ Heading at Touchdown
with the runway at vs. Average Heading
touchdown. until CAS = 60 knots
Hard Landing An event that Air/Ground Switch,
measures excessive G- Vertical Acceleration
force at touchdown, Air/Ground = Ground,
indicating a hard Vertical Acceleration > x
landing. G
Bounced An event that Air Ground Switch,
Landing measures excessive G- Vertical Acceleration
force at touchdown Air/Ground = Ground,
followed by a second Vertical Acceleration > x
excessive G-force, G, followed by second
indicating a bounced, Vertical Acceleration > x
hard landing. G within 20 seconds of
first touchdown
Excessive An event to detect Brake Pressure A routine
Brake Usage higher-than-normal Sum of Brake Pressure operational
brake application. readings (one per second) measurement
from Touchdown to (ROM) would be
Runway Turnoff/1000. helpful to
Resulting index number determine normal
>x braking at a given
airport.
Thrust An event that CAS, Thrust Reverser
Reverser measures the speed at Deploy
Stowed which the thrust Thrust Reverser = On for
reverser is stowed 5 seconds before Thrust
during landing rollout. Reverser = Off, CAS > x
knots
Overweight An event to detect Air/Ground Switch,
Landing landings made in Gross Weight
excess of the Air/Ground from Air to
maximum gross Ground + 20 seconds,
landing weight. Gross weight > x pounds

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AC 120-82 4/12/04
Appendix A

Parameters and Basic

Event Name Event Description Notes
Event Definition

Abnormal/ An event to detect that Air/Ground Switch, Flap Will need to be

Incorrect the aircraft touched Position, customized for the
Landing Flaps down with flaps in a Air/Ground from Air to recommendations
position less than the Ground + 5 seconds, in the flight
minimum expected Flaps < x degrees manual.
landing flap setting.
Runway/Taxi An event that Air/Ground Switch,
way Rough measures excessive G- Vertical Acceleration,
force on the ground, CAS
indicating defects in Air/Ground = Ground,
runway/taxiway CAS < 100 knots,
surfaces. Vertical Acceleration
>1.3 g
Stick Shaker An event to detect Stick Shaker
Operation stick shaker operation. Stick Shaker + On (L or
R)
GPWS An event to detect GPWS This event should
Warning when a GPWS GPWS = On be subdivided for
warning is triggered. each of the
different warning
modes of the
GPWS.
Engine Failure An event to detect in- Air/Ground Switch, Fuel
flight engine Flow, Oil Pressure, EGT
failure/shutdown. Air/Ground = Air, Oil
Pressure < x psi, Fuel
Flow < x pph, EGT < x
degrees
TCAS An event to detect any TCAS Advisory (Up or This event should
Advisory TCAS advisory Down) be separated for
triggered. TCAS Advisory = On TCAS Traffic
Advisories (TAs)
and Resolution
Advisories (RAs).
Engine An event to detect use Thrust Reverser, N1,
Reverse at of engine reverse at CAS
Low Speed low speed that can Thrust Reverser = On,
result in engine CAS < x knots, N1 > x%
overtemps and/or for x seconds
FOD ingestion.

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Appendix A

APPENDIX III. GLOSSARY

GLOSSARY
Term Definition
ACARS Aircraft Communications Addressing and Reporting System. ACARS
is a VHF air/ground data link that uses nearly 600 VHF frequency
locations throughout North and Central America, Hawaii, the
Caribbean, and several U.S. territories. It relays Aircraft Operational
Control (AOC), Airline Administrative Control (AAC), and Air Traffic
Control (ATC) messages 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 monitoring.
ACMS is mainly used for maintenance applications.
Aggregate Data Detailed data grouped according to some criterion and combined using
mathematical or statistical methods (e.g., sum, count, average, standard
deviation).
Air Carrier An organization that undertakes -- either directly or by lease or some
other arrangement -- to engage in air transportation.
ARINC Aeronautical Radio Incorporated. The ARINC organization is the
technical, publishing, and administrative support arm of the Airlines
Electronic Engineering Committee (AEEC) groups. AEEC standards
define avionics form, fit, function, and interfaces.
ATC Air Traffic Control. A service operated by appropriate authority to
promote the safe, orderly, and expeditious flow of air traffic.
COTS Commercial-Off-the-Shelf. Products, components, or software that are
readily available through normal commercial channels, as opposed to
custom-built units that would achieve the same functionality.
DAR Digital ACMS Recorder. See ACMS.
Data Frame A data map. See LFL.
De-identified Data Data from which any identifying element that could be used to
associate them with a particular flight, date, or flightcrew has been
removed.

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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 formats that
information for output to the flight data recorder in accordance with
requirements of regulatory agencies. In addition to the mandatory
functions, many DFDAUs have a second processor and memory
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 Communications Addressing
and Reporting System (ACARS) for transmittal to a ground station, or
to a Quick Access Recorder (QAR) for recording/storage of raw flight
data.
DFDMU Digital Flight Data Management Unit. A unit that performs the same
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 airframe/engine
and flight performance monitoring and analysis. Some DFDMUs have
ground data link and ground collision avoidance systems incorporated
into the units.
DFDR Digital Flight Data Recorder. A digital device that records pertinent
parameters and technical information about a flight. At a minimum, it
records those parameters required by the governing regulatory agency,
but may record a much higher number of parameters. A DFDR is
designed to withstand the forces of a crash so that information recorded
by it may be used to reconstruct the circumstances leading up to the
accident.
DMU Data Management Unit. A unit that performs the same 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
airframe/engine and flight performance monitoring and analysis. Some
DMUs have ground data link and ground collision avoidance systems
incorporated into the unit.
EGT Exceedance Guidance Team. See FMT.
EMT Event Monitoring Team. See FMT.
Event An occurrence or condition in which pre-determined limits of aircraft
parameters have been exceeded. Events represent the conditions to be
tracked and monitored during various phases of flight and are based on
sensory data parameters available on a specific aircraft fleet. Events
may be categorized at different severity levels based on the degree to
which the associated limits were exceeded. Most FOQA trend analysis
is based on event monitoring and tracking.

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Appendix A
GLOSSARY
Term Definition
Event Set A collection of events designed to measure all aspects of normal flight
operations for a particular aircraft type at a particular air carrier.
Individual events within the event set would be customized to the
approved limitations for the aircraft type and in accordance with the air
carrier’s operational procedures. The event set for a particular fleet
may be limited by the available parameters on the aircraft.
FAR Federal Aviation Regulations. Federal rules that govern airworthiness
and the conduct of flight operations by certificate holders, among other
safety matters.
FDAU Flight data acquisition unit. See DFDAU.
FDR Flight data recorder. A required device that records pertinent
parameters and technical information about a flight. At a minimum, it
records those parameters required by the governing regulatory agency,
but may record a much higher number of parameters. An FDR is
designed to withstand the forces of a crash so that information recorded
by it may be used to reconstruct the circumstances leading up to the
accident. See DFDR.
FMT FMT. A group comprised of representatives from the pilot association,
if applicable, and the air carrier. This group, sometimes referred to as
the Exceedance Guidance Team (EGT) or Event Monitoring Team
(EMT), is responsible for reviewing and analyzing flight and event
data, and determining and monitoring corrective actions.
FOQA Flight Operational Quality Assurance. A voluntary program for the
routine collection and analysis of flight operational data to provide
more information about, and greater insight into, the total flight
operations environment. A FOQA program combines these data with
other sources and operational experience to develop objective
information to enhance safety, training effectiveness, operational
procedures, maintenance and engineering procedures, and air traffic
control procedures.
Gatekeeper The FOQA team member who is primarily responsible for the security
of identified data. The gatekeeper is the only individual who can link
FOQA data to an individual flight or crewmember. The gatekeeper is
normally a member of the pilot association.
GDL Ground Data Link. See WDL.
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 parameters; compare
recorded or calculated values to predetermined norms using event
algorithms; and generate exceedance reports for review or trending
when exceedances are found.

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Appendix A
GLOSSARY
Term Definition
I&O Plan Implementation and Operations Plan. A detailed specification of key
aspects of a FOQA program to be implemented 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, and procedures for informing the FAA as to any
corrective actions being undertaken.
LAN Local Area Network. A communications network that serves users
within a confined geographical area, typically linked together by cable.
LFL Logical Frame Layout. A data map that describes the format in which
parameter data are transcribed to a recording device. This document
details where each bit of data is stored.
LRU Line Replaceable Unit. A unit that can be replaced by line maintenance
personnel without removing the aircraft from service for an extended
period.
Mapping See LFL.
MEL Minimum Equipment List. A list of required equipment that, under
certain conditions, might be inoperative.
MTBF Mean Time Between Failure. The life expectancy of a component 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 employee responsible for
oversight and inspection of avionics at a specific air carrier.
Parameters Measurable variables that supply information about the status of an
aircraft system or subsystem, position, or operating environment.
Parameters are collected by a data acquisition unit installed on the
aircraft and then sent to analysis and reporting systems.
PCMCIA card Personal Computer Memory Card International Association card. A
credit card-sized data storage and transfer device that was originally
developed for portable computers and may be used on some QARs.
The Personal Computer Memory Card International Association was
organized in 1989 to promote standards for these memory or
input/output (I/O) devices.
PMI Principal Maintenance Inspector. The FAA employee responsible for
oversight and inspection of aircraft maintenance functions at a specific
air carrier.
POI Principal Operations Inspector. The FAA employee responsible for
operational oversight of a specific air carrier.

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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 removable medium, such as an optical disk or
PCMCIA card, on which flight information is recorded. QARs may
also store data in solid-state memory that is accessed through a
download reader. QARs have now been developed to record an
expanded data frame, sometimes supporting 2,000 plus parameters at
much higher sample rates than the FDR. The expanded data frame
greatly increases the resolution and accuracy of the ground analysis
programs.
SRU Shop Replaceable Unit. A unit that must normally be replaced in a
maintenance facility during heavy maintenance checks.
SSFDR Solid State DFDR. A DFDR that utilizes solid-state memory for
recording flight data. See DFDR.
STC Supplemental Type Certificate. An addendum to the Type Certificate.
An STC is required for any new equipment installed on a model of
aircraft after that model of airplane has been issued a Type Certificate.
See TC.
TC Type Certificate. The initial certificate issued for every new model of
aircraft. The TC lists components and equipment installed on that
model of aircraft.
WAN Wide Area Network. A communications network in which computers
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 may also allow for upload of data to the aircraft.
Sometimes referred to as Ground Data Link (GDL).

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Appendix A
APPENDIX IV. REFERENCES

CFR Part 193, Protection of Voluntarily Submitted Information

CFR Part 13, Section 13.401, Flight Operational Quality Assurance Program
AC 00-46, as amended, Aviation Safety Reporting System (ASRS)
AC 00-58, as amended, Voluntary Disclosure Reporting Program
AC 120-59, as amended, Air Carrier Internal Evaluation Programs: Air Carrier Internal
Evaluation-Model Program Guide
AC 120-66, as amended, 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 Implement Flight
Operational Quality Assurance Programs, December 1997

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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
verify that all required materials are included. The FAA will review this checklist to determine
that the items required in a FOQA program have been specified in the I&O Plan. This checklist
identifies the minimum requirements of an I&O Plan. An air carrier’s I&O Plan may contain
additional information in excess of these minimum requirements. When the I&O Plan is
submitted for FAA approval, a completed copy of this checklist should accompany it.
The “Response” column must be completed for each question. Appropriate responses are “Yes,”
“No,” or “NA” (not applicable). All “No” and “NA” responses should include, in the
“Comment” column, a brief explanation of each such response.

The “Reference” column is to be completed for each question to which the air carrier provides a
“Yes” response. The information provided in the “Reference” column 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 ‰ Yes
I&O Plan been ‰ No
requested by the ‰ NA
certificate holder in a
cover letter addressed
to the POI,
accompanying
submittal of the plan?

2. Has a copy of the cover ‰ Yes

letter and plan been ‰ No
forwarded to HQ ‰ NA
FAA/AFS-230?

3. Does the I&O Plan ‰ Yes

identify the personnel, ‰ No
system equipment, and ‰ NA
resources that have
been committed to
support of the FOQA
program?

4. Does the I&O Plan ‰ Yes

acknowledge that ‰ No
revisions will be ‰ NA
documented in
accordance with
standard revision
control methodology?

5. Does the I&O Plan ‰ Yes

acknowledge that, ‰ No
following initial FAA ‰ NA
approval, subsequent
modifications to the
FOQA program must
be documented in
revisions submitted to
the POI and AFS-230?

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Appendix B
I&O Plan Checklist

Response Reference Comment

I&O Plan
1. Have the goals and ‰ Yes
objectives of the FOQA ‰ No
program been clearly ‰ NA
specified?

2. Have the major ‰ Yes

stakeholders within the ‰ No
air carrier been clearly ‰ NA
identified?

3. Has a copy of an ‰ Yes

agreement with the ‰ No
pilot association (if ‰ NA
applicable) for FOQA
data usage been
included as an
appendix?

4. Are air carrier data ‰ Yes

safeguard and ‰ No
protection mechanisms ‰ NA
described?

5. Are the air carrier fleets ‰ Yes

(make, model, series) ‰ No
that are targeted for ‰ NA
participation in the
FOQA program
identified?

6. Are the capabilities of ‰ Yes

the planned airborne ‰ No
equipment for FOQA ‰ NA
described?

7. Does the plan identify ‰ Yes

provisions for airborne ‰ No
equipment maintenance ‰ NA
and support?

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Appendix B
I&O Plan Checklist

Response Reference Comment

8. Is a fleet installation ‰ Yes
plan specified? ‰ No
‰ NA
9. Are the capabilities of ‰ Yes
the proposed ground ‰ No
data replay and analysis ‰ NA
system (GDRAS)
described?

10. Does the plan identify ‰ Yes

provisions for ‰ No
maintenance of the ‰ NA
GDRAS hardware and
software?

11. Does the plan describe ‰ Yes

other key technology ‰ No
components of the air ‰ NA
carrier’s FOQA
program?

12. Has a single point of ‰ Yes

contact been designated ‰ No
to oversee the FOQA ‰ NA
program?

13. Does the plan define ‰ Yes

the air carrier’s ‰ No
organizational structure ‰ NA
for oversight and
operation of the FOQA
program?
14. Does the plan describe ‰ Yes
the roles and ‰ No
responsibilities of key ‰ NA
air carrier personnel
and teams?

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AC 120-82 4/12/04
Appendix B
I&O Plan Checklist

Response Reference Comment

15. Does the plan specify ‰ Yes
the schedule and ‰ No
timeline for ‰ NA
implementing the
FOQA program?

16. Are FOQA program ‰ Yes

start-up criteria ‰ No
specified? ‰ NA

17. Does the plan describe ‰ Yes

how key FOQA team ‰ No
members will be ‰ NA
trained?

18. Does the plan describe ‰ Yes

how the air carrier will ‰ No
educate its pilots about ‰ NA
the FOQA program?

19. Is a plan for educating ‰ Yes

senior management and ‰ No
stakeholders described?
NA
20. Does the I&O Plan ‰ Yes
specify procedures for ‰ No
implementing and ‰ NA
auditing security
mechanisms?

21. Is a data storage and ‰ Yes

retention policy ‰ No
specified? ‰ NA

22. Are flight data ‰ Yes

collection and retrieval ‰ No
procedures specified? ‰ NA

23. Are the procedures for ‰ Yes

defining fleet-specific ‰ No
events and associated ‰ NA
parameters described?

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Appendix B
I&O Plan Checklist

Response Reference Comment

24. Are the fleet-specific ‰ Yes
event definitions, ‰ No
including trigger limits ‰ NA
for each event’s
severity classification,
provided as Appendix 2
to the plan?

25. Are the procedures for ‰ Yes

validating, refining, ‰ No
and tracking event ‰ NA
definitions described?

26. Does the plan ‰ Yes

acknowledge that ‰ No
updates to FOQA event ‰ NA
definitions must be
included in I&O Plan
revisions submitted to
the FAA?

27. Are procedures for data ‰ Yes

review and evaluation ‰ No
specified? ‰ NA

28. Does the plan provide ‰ Yes

for notifying ‰ No
appropriate air carrier ‰ NA
departments of adverse
trends revealed by
FOQA data flightcrew
training?

29. Are procedures for ‰ Yes

taking, tracking, and ‰ No
following up on ‰ NA
corrective actions
specified?

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Appendix B
I&O Plan Checklist

Response Reference Comment

30. Are guidelines for ‰ Yes
crewmember contact ‰ No
and follow-up ‰ NA
described?

31. Is a description ‰ Yes

included of how FOQA ‰ No
system procedures will ‰ NA
be documented?
32. Does the plan describe ‰ Yes
the process for joint ‰ No
FAA/air carrier ‰ NA
periodic reviews of the
FOQA program and
associated aggregate
data?

Page 8