During investigation of the Jan 2000 Alaska Airlines Fligh

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Certification, Maintenance, and Operations
Strengthening the Process Links

• CPS Response Activities
• Ruth Harder, FAA

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Topics

• Background of CPS Response Activity
• CPS Response Aviation Rulemaking Committee (ARC)
  Status Progress
• International Collaboration Opportunities

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Background

• During investigation of the Jan 2000 Alaska
  Airlines Flight 261 MD-83 accident, particular
  attention was given to the processes associated
  with how critical airplane systems are certified
  and eventually maintained and operated
• As a result, the FAA initiated a review of major
  processes being used in the U.S. to certify
  commercial transport airplanes
• The Commercial Airplane Certification Process
  Study (CPS) Team was chartered in Jan 2001

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Background

• The Study focused on the adequacy of the
  processes related to the arrows in this figure

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Background

• The CPS Report was completed March 2002
• The Report contained 15 Findings 2
  Observations
• Addressed multiple Certification, Maintenance
  and Operations interfaces
• Report Internet Access
• http//www.aia-aerospace.org/issues/subject/faa/fa
  a_cert_study.pdf

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CPS Response

• Prior to final release of the CPS Report, FAA and
  industry began activity to address the Reports
  Findings/Observations.
• An FAA/Industry team was chartered in Jan 2002 to
  develop a strategic plan for response.
• The response team worked closely with study team
  as the Report was finalized.

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CPS Response ARC
CPSR OVERSIGHT BOARD
Ray Ron Mac
John Nick Sabatini Jim
John Wolfgang
Fred Valeika Hinderberger Armstrong
Hickey Chairman Ballough
Goglia Didszuhn Herzner
ARC Working Groups
Carol GilesCo-Chair
Ruth HarderCo-Chair
FAA
ALPA
ATA
Manufacturers
Operators
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CPS Response ARC

• Phase I Strategic Planning - COMPLETE
• FAA/Industry Team began 2/25/02
• Strategic Action Plan was completed 4/15/02
• Phase II Detailed Planning - IN WORK
• Phase III Implementation - FUTURE

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Phase II Status

• Phase II Detailed Planning - IN WORK
• Oversight Board gave Phase II Go-Ahead 6/14/02
• Most Team Leads Identified by 8/31/02
• Kickoff Meeting held 9/24-25/02
• Order 1110.133 signed 1/17/03, chartered the CPS
  Response Aviation Rulemaking Committee
• All-Lead Meetings and Oversight Board Briefings
  to be held regularly through 2003
• Detailed plans expected to take 12-16 months to
  complete (last team ECD 06/01/04)

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Findings/Observations Mapping to Change Areas
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CPS CHANGE AREAS
Design/Cert Production
Operations, Maintenance, Alterations
1. Safety Information Management
A.Critical Design Information
B.COS Information
D.OEM-Operator Information Transfer
C.Precursor Awareness/Lessons Learned
2. Human Factors Integration
3. In-Service Changes
4. AVR Integration
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Change Area 1A Critical Safety Systems
Assumptions

• Task Define methods to identify critical design
  safety features and necessary assumptions that
  are essential for understanding critical safety
  features for each aircraft in the existing fleet
  as well as new designs.
• Co-Leads FAA-Chuck Huber, Industry-Jim McWha
• Members Roger Knepper (Airbus) Larry Schultz,
  Stewart Hann, Gil Palofox (Boeing) Mark Millam
  (NW) Sara Knife (GE) Brett Portwood, Linh Le,
  Lynn Pierce, Patrick Safarian (FAA).

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Change Area 1A Work Plan and Schedule

• Define process for identification of Safety
  critical features/equipment. May 2003
• Define process to protect Safety Critical
  features during Maintenance, Alterations and
  Repair activities. Jun 2003
• Define process to build more robustness into
  Design and Analysis of Safety Critical Functions.
  Aug 2003
• Define process to improve validity of assumptions
  that may have safety implications. Where
  appropriate, specific recommendations for
  documentation additions/changes will be made.
  Sep 2003
• Draft report on implementation of above processes
  Oct 2003

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Change Area 1A Proposed Solutions

• Incorporate Safety Critical Processes into
  certification, maintenance, operation, repair and
  alteration activities through
• Development of Policy Memo for Defining Flight
  Critical System Components
• Issuance and future revisions of draft FAR
  25.1309 and AC 25.1309-1B as submitted by ARAC
• Revision of industry standards regarding safety
  assessments and continued operational safety
  (ARPs 4754, 4761 and 5151)
• Revision to MSG-3 Process to provide better
  linkage between maintenance programs and safety
  assessments prepared for type certification

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Change Area 1A Proposed Solutions (cont.)

• Improve communication process between ACO and AEG
  regarding safety critical information as used in
  MRB and MEL development
• Incorporate the identification of safety critical
  components and significant safety events into
  requirements for reporting of service
  difficulties
• Enhance the Instructions for Continued
  Airworthiness to provide for improved oversight
  of safety critical features during maintenance,
  repair and alteration activities

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Change Area 1B COS Information

• Task Ensure that FAA and industry data
  management programs effectively provide data to
  identify accident precursors by
• Developing efficient and relevant data collection
  requirements based on user needs
• Providing incentives for voluntarily reported
  data that is legally protected
• Recommending elimination or consolidation of
  ineffective data programs
• Co-Leads FAA-Holly Thorson, Dave Soucie
  Industry-Dave Harrington (Airbus)
• Members Terry McVenes (ALPA) Michel Tremaud
  (Airbus) Matt Humlie(DL) Gary Martin (HP)
  Scott Moreen (Boeing) Brian Will (AA) Jay Hiles
  (IAM) Joe Tintera, Roy Patzke, John Craycraft,
  Kevin Kuniyoshi, Chris Spinney, Diana Takata, Ron
  Rhoades, FAA.

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Change Area 1B Work Plan and Schedule

• Determine safety information needs for
  AVR/industry (March 2003)
• Develop Information Requirements Model (May
  2003)
• Validate Information Requirements Model (July
  2003)
• Recommend changes to existing data programs and
  FARs (October 2003)
• Potential 3-6 month delay due to industry
  support validation of the model

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Change Area 1B Proposed Solutions

• Safety Information Requirements Model includes
• Fundamental principle - data should be
  maintained/analyzed by the airplane manufacturers
  and safety information should be provided to the
  FAA (an alternative to SDR reporting may be
  recommended)
• Specifications for standard reporting
  requirements/data definitions
• Formal links between AIR AFS to improve safety
• Incentives for reporting data that is legally
  protected
• Reporting criteria that continually evolves -
  based on known accident precursors (COSP), flight
  critical equipment (I-A), lessons learned (I-C),
  and human factors (II)

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Change Area 1CLessons Learned/Precursor
Awareness

• Task Develop AVR airplane-level awareness for
  improved identification and risk assessment of
  accident precursors. Define methods to capture,
  share and use lessons learned information
  throughout industry and the life cycle
• Co-Leads FAA-Dan Cheney, Industry-Jim Daily
  (Boeing)
• Members Tony Broderick, Michel Tremaud (Airbus)
  Michael Borfitz, Bill Rankin, Dave Carbaugh
  (Boeing) Jack Cole, Robert Peel (ATA) Joe
  Bracken, Steve Corrie (ALPA) Al Spain (Jet
  Blue), Randy Wallace (DL Ret.) Sarah Knife (GE)
  Mike Bartron (PW) Steve ONeal, John Golinski
  (FAA)

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Change Area 1C Work Plan and Schedule

• Identify alternatives for communicating lessons
  learned to all appropriate parties. Perform the
  analysis necessary to select the most appropriate
  method(s). May 2003
• Develop plan for creating and implementing the
  selected communication method(s). Jun 2003
• Develop the lesson learned event criteria.
  Release an initial draft of the lessons learned
  event list. May-Jun 2003
• Define methodology for reviewing events in order
  to capture appropriate lessons learned material.
  Mine information gained by CAST in their
  development of the JSAT and JSIT processes. Dry
  run the process. Jul 2003

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Change Area 1C Work Plan and Schedule (cont.)

• Develop the plan for how industry can review and
  analyze the lessons learned accident set. Aug
  2003
• Industry meeting to select and dry run the
  analysis process. Sep 2003
• Using Industry Team method, identify lessons
  learned event set and implement lessons learned
  process Sep Dec 2003
• Define alternatives and select the appropriate
  method for maintaining the lessons learned
  database. Oct 2003
• Complete Implementation Plan development for 1C
  Feb 2004

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Change Area 1D OEM-Operator Info Transfer

• Task Define safety related communications
  define process for ensuring that appropriate
  communications take place between OEMs and
  operators on safety recommendations related to
  maintenance or operational procedures
• Co-Leads Industry-Jim Daily (Boeing), Don
  Collier (ATA) FAA-Barry Basse
• Members Michel Tremaud, Dave Harrington
  (Airbus) Michael Borfitz (Boeing) Jack Cole,
  Robert Peel (ATA) Bob Meade (GE).

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Change Area 1D Work Plan and Schedule

• Develop definition of Safety related.
  Participate in Team 1.A to develop the definition
  and ensure the scope of 1As efforts address the
  needs of 1D. per Team 1A schedule
• Coordinate with CAST to identify potential
  duplicative efforts. Identify which activity
  should take the lead on specific areas of
  overlap. Defer till initial team meeting
• Research current communication methods utilized
  by OEMs to address safety related communication.
  Apr-Jun 2003
• Review how U.S. airlines receive, review and
  communicate safety related information with their
  OEMs. Apr-Jun 2003

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Change Area 1D Work Plan and Schedule (cont.)

• Review safety communication needs and methods
  used by non-U.S. operators. Enlist the aid of
  IATA and ICAO to help with this area. Ensure
  that the global needs, communication methods, and
  constraints are considered. Sep 2003
• Identify and document communications best
  practices. Nov 2003
• Assemble industry team to develop methods to
  ensure two-way safety related communication Dec
  2003
• Develop CPS Phase III implementation plan that
  will address how to formalize, encourage, or
  implement the usage of best practices. Mar
  2004

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Change Area 2Human Factors Integration

• Task Develop industry/FAA comprehensive plan to
  address all human factors issues that have
  resulted in accidents in the past and/or that
  could result in accidents in the future. The
  plan should address the pre-and
  post-certification HF aspects throughout the life
  cycle.
• Co-Leads FAA-Kathy Abbott, Industry-Al Prest
  (ATA), Curt Graeber (Boeing)
• Members TBD

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Change Area 2 Work Plan and Schedule

• Identify team comprised of HF expertise from
  industry and government, with three HF Subteams
• 1. Maintenance
• 2. Safety Information Management Liaison
• 3. Design/Operations (1996 FAA HF Team Report
  Update)
• Review the CPS report and its associated
  reference material identify the key human
  factors issues Jun 2003
• Review current regulatory and industry human
  factors activities that address the related
  areas, including the interface between flight
  operations, maintenance, and the airplane. (CAST,
  HWGs, etc.) Jul 2003

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Change Area 2 Work Plan and Schedule (cont.)

• Subteams provide action plans Apr-Jul 2003
• Coordinate with other change areas Ongoing
• Integrate output from HF Subteams Jan 2004
• Develop a consolidated plan that addresses the
  human factors issues and provides an
  implementation strategy Mar 2004
• a.   Identify gaps in application of HF to each
  area
• b.   Develop recommendations to fill the gaps

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Change Area 3 Repairs Alterations

• Task Define methods to provide
• An industry standard logic process for use in
  determining repair and alteration
  classification.
• A coordinated alteration process that ensures the
  original OEM safety intent is not compromised.
• A process that ensures consultant DER approved
  designs are compliant with regulatory
  requirements.
• Enhanced air carrier/repair station quality
  assurance programs.
• Co-Leads FAA-Barry Basse, Jess Lewis
• Industry-Mark Yerger (Federal Express)
• Members Dave Harrington (Airbus) Page McGirr
  (GE) Owen Schrader (Boeing) Don Collier (ATA)
  Randy Wallace (DL ret.) Mike O'Neil, Chris
  Gavriel, Mike Reinert, Kevin Kendall, Leo Weston
  (FAA)

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Change Area 3 Work Plan and Schedule

• Team develop expanded guidance for Major/Minor
  Decision Logic (AC 120-77) May 2003
• Evaluate options, develop new approach for repair
  approvals Sep 2003
• Develop process and procedures for use of
  manufacturer-identified critical safety features
  (from 1A). Dec 2003
• Assess use of certification basis and
  certification checklist process for DERs, assess
  need for evaluations of DER submittals Feb 2003
• Define industry standard for outsourced quality
  control, review draft AC 120-CASS Apr 2004
• Develop Implementation Plans for above solutions
  Jun 2004

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Change Area 4AVR Integration

• Task (internal FAA) Define AVR-level policy for
  improved internal and external communication and
  coordination between AIR and AFS. Develop
  processes to ensure improved communications on
  technical issues with industry
• Co-Leads FAA-Phil Canal, Brenda Courtney, Russ
  Jones, Van Kerns Industry-N/A
• Current Status
• Two Subteams - Business Systems and Operational
  Systems
• Kickoff Meeting held May 2003

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CPSR ARC Prioritization

• The CPSR Oversight Board recently directed its
  working groups to assess and prioritize the CPSR
  tasks across the four Change Areas
• The need for prioritization was recognized due to
  difficulties in gaining active airline
  participation for all of the working groups
• Higher priority will be given to CPSR tasks that
  have the strongest correlation with AIR-AFS
  integration issues

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CPSR ARC FAA Industry Goals

• Insure that key CPS messages are understood and
  carried forward in implementation
• Teams address action plans from an integrated
  systems perspective.
• Review CPS initiatives periodically to insure
  links with other major safety initiatives
  continue to be integrated
• Define measurement/success criteria for future
  management of progress to completion.
• Communicate with industry and FAA owner
  organizations to insure full commitment to the
  recommended actions.

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CPSR ARC Success Factors

• To improve safety, Airplane System Awareness must
  continue to improve throughout FAA and industry
  worldwide.
• Change will be necessary in many or all involved
  organizations, not just within the FAA or any
  single organization.
• All parties (manufacturers, operators, and
  authorities) must be fully involved in and
  committed to the CPSR safety solutions.
  

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International Collaboration - CA1B

• Opportunities for sharing of safety data
• CPS 1B working group has strong relation to
• ECCAIRS reporting system, voluntary shared
  database for COS data
• JSSI Working Group on Occurrence Data Analysis
  Specifications

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International Collaboration - CA1B

• Opportunities for sharing of safety data (cont.)
• Future potential for increased sharing of safety
  information through bilateral agreements
• Future industry sharing methods should yield
  improved information to authorities

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International Collaboration - CA1C

• Opportunities for increased sharing of Lessons
  Learned
• 1C Team is building industry/authority consensus
  on criteria and process for capture of LL
• Solutions could be used to provide infrastructure
  and methods for enhanced global sharing.

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International Collaboration - CA2

• Increased integration and coordination of
  world-wide HF activities
• Design/Operations subteam to consist of team that
  issued 1996 HF Report
• Consolidated HF Plan will give integrated
  implementation strategies that better support HF
  activities across international community

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International Collaboration - CA3

• Increased consistency in repair data approval
  methods
• CA3 team member is also part of JAA team tasked
  to examine JAR 21 M process for accepting
  approved repairs
• CA3 team recommendations are expected to enhance
  European acceptance of U.S. repair approvals
• Related to Repair Data Acceptance Topic