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Federal Aviation Administration
Steadily Improving the Safety of Air Traffic
Management Through Independent Oversight
Presented to: KOCA
Presented by: Anthony Ferrante, Director of the Air Traffic Safety Oversight Service (AOV)
Date: April 30, 2014
Federal Aviation Administration
Broad Areas of Oversight required by ICAO • Air traffic control services • Safety personnel including ATCS (and Technicians) • Flight procedures and flight inspection • Communication, Navigation, and Surveillance services • Aeronautical Telecommunication services • Meteorological services • Aeronautical Information Services and Aeronautical
Information Management • Cartographic services
Federal Aviation Administration
Establishing a New Oversight Organization
Establish legal authority
Develop an organizational structure
Secure a budget
Attract and retain the right mixture of talent
Establish a baseline to begin oversight Transfer responsibilities so there is no disruption to the national
airspace
Develop strategies for overseeing a large workforce with
few regulators
Federal Aviation Administration
Legal Framework
• Treaties
• Statutes
• Regulations
• Orders
- FAA Order 1100.161, created the Air Traffic Safety Oversight Service
Federal Aviation Administration
Relationship between the Air Traffic Service Provider and the Regulatory Oversight Authority
FAA Administrator
Associate
Administrator for Aviation Safety
Director of Air Traffic Safety Oversight Service
Chief Operating Officer of the Air Traffic Organization
Service Unit Vice Presidents
Federal Aviation Administration
Compliance Philosophy
• Compliance with standards is the responsibility of the service provider
• Priority should be given to compliance issues with the most associated risk
• To be an effective oversight organization, compliance should be resolved at the appropriate level of the ANSP
• Lack of compliance may indicate a lack of appropriate standards
Federal Aviation Administration
Functions of AOV • Exercise safety oversight of the ATO • Approve the ATO SMS and monitor the ATO for
compliance with the approved SMS • Review and approve the ATO’s safety implementation
actions and risk management strategies • Ensure consistency in application of requirements:
– credentialing program for ATO operational personnel – safety audits of ATO operations and system
processes • Represent the FAA in several ICAO work groups that
affect the airspace over the North Atlantic and Pacific
Federal Aviation Administration
Targ
eted
Insp
ectio
ns
As
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ts
(M
onito
ring
Resu
lts)
Com
plia
nce
(m
onito
ring
resu
lts)
Serv
ice
Deliv
ery
Poin
t As
sess
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ts
Ove
rsig
ht P
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l (s
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y in
dica
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)
Audi
ts a
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ents
AOV Surveillance
FRAT
FSSS
Federal Aviation Administration
Air Traffic Safety Oversight Service
Planning and Program Management Staff
AOV-20
Air Traffic Operations Oversight DivisionAOV-100
System Oversight DivisionAOV-200 Safety Management Oversight DivisionAOV-300
Certification Standards Branch
AOV-110
NAS Operations Branch
AOV-120
Audits and Compliance
BranchAOV-130
Western Area Operations
Branch(SEA)
AOV-210
Eastern Area Operations
Branch(ATL)
AOV-230
Central Area Operations Branch
(DFW)AOV-220
Research and Analysis Branch
AOV-320
QMS and Safety Promotion Branch
AOV-340
Safety Policy Branch
AOV-310
Future Systems Branch
AOV-330
Anthony S. FerranteDirectorAOV-1
Bill VossDeputy Director
AOV-2
Federal Aviation Administration
AOV Area Office Locations
Western ANM Area Office
Seattle
Central ASW Area Office
Fort Worth
Eastern ASO Area Office
Atlanta
Federal Aviation Administration
Planning & Program Management Division (AOV-20)
• Provide leadership of the AOV Strategic and Business Planning activities
• Develop, implement, and evaluate AOV policies, programs, and procedures governing: – Financial/resource management – Organizational performance management
• Administer Human Capital Initiatives – Hiring – Training – Pay and performance
Federal Aviation Administration
AOV Staffing
• AOV employees remain separate from ATO employees
• AOV primary source for hiring Air Traffic Controller and Airway Transportation Systems experts is ATO and DoD
• AOV trains experts to become safety professionals
Federal Aviation Administration
AOV Staffing Con’t.
• ATO is responsible for safety of the NAS • AOV employees have marketable skills that make them very
competitive for ATO Management and safety expert positions
• ATO hires a number of AOV experts annually • Turnover ensures AOV maintains knowledgeable and
current ATM experts
Federal Aviation Administration
Relationship with Meteorological Agency
• The U.S. National Weather Service (NWS) is responsible for producing the weather products that the ATO uses.
• ATO has a contract with the NWS to provide weather products. • AOV requires ATO and their contractors to meet safety standards.
• AOV oversees ATO and its contractors.
Federal Aviation Administration
What Is the extent of AOV auditor’s authority?
An AOV auditor’s authority lies in 49 USC 40103 and 40113
The auditor is authorized to perform inspections, investigations, and audits to determine compliance with FAA orders
In the performance of official duties under these provisions, free uninterrupted access must be provided to FAA facilities, records, data and restricted areas governed by the federal aviation regulations An AOV auditor is trained and credentialed
Federal Aviation Administration
Training our workforce
• Hire experienced ATCS and ATSS as subject-matter experts
• Entire workforce is trained to conduct audits
• Select people are trained to be project or program team leaders
AOV Core Training AOV Auditor Course:
– Pre-Course {Computer-based training} • Principles of Auditing • Review of the components of Audit Work Instruction and Job Aids
– Instructor-Led Training
– Participation in a mock audit • Students conduct a mock audit and adhere to the AOV audit process
December 2012
• Audit topic identification • Developing the audit plan, checklist and notification
• Structure of audit teams • Conducting the audit • How to be a Regulator • Post-audit activities, report writing,
and record retention
Federal Aviation Administration
AOV Training Cont.
• Additional Inspector Training: – Team Lead On-the-Job-Training (OJT) – Air Traffic Safety Inspector (ATSI) Refresher
Training – AOV Quality Management System (QMS) Overview – Safety Management System (SMS)/Safety Risk
Management (SRM) Overview – Staff Work – Report Writing
December 2012
Federal Aviation Administration
How do air traffic control specialists (ATCS) and airway transportation system specialist (ATSS) who work for
AOV maintain proficiency?
• Unlike the ATO, proficiency and currency are not required for an AOV ATCS and ATSS.
• An AOV employee may take a specific training course on new system or procedure (such as on a display system). However, it is taken for familiarity, not proficiency.
Federal Aviation Administration
Authority to Set Standards
• A regulator’s ability to establish or modify a standard is integral to the safety of the system
• The process should be deliberative, justifiable, and include input from the service provider as well as other stakeholders
• AOV’s authority to establish standards is in FAA Order 1100.161, Air Traffic Safety Oversight
Federal Aviation Administration
AOV’s Safety Standards Process
• AOV identifies the need for a safety change and prepares an application
• FAA body affiliated with the FAA’s rule-making coucil approves the application and assigns a multi-disiplinary team and agrees on a schedule and action plan
• Multi-disiplinary team prepares the draft for comment • Stakeholders provide comment • Team addresses comments and issues final document
including an implementation date
Federal Aviation Administration
Setting Standards for ATO Personnel
AOV establishes, approves, or accepts safety and certification standards for:
• Air Traffic Services
• Air Traffic Controllers (ATCS) • Airway Transportation
System Specialists (ATSS)
Federal Aviation Administration
AOV Certification Programs
Credentialing Program for ATCS/ATSS (FAA Order 8000.90)
Use designees — ATO employees who are designated to work on behalf of AOV. They are required to hold AOV credentials with the proper designations. • Proficiency Manager (PM) Certifications • Designated Examiner (DE) Certifications
Control Tower Operator (CTO) Certificate Program (CFR Part 65)
Air Traffic Safety Inspector
Credentialing (AOV Employees)
ATCS = Air Traffic Control Specialist CTO = Control Tower Operator ATSS = Air Transportation System Specialist
Federal Aviation Administration
Strategies for Overseeing a Large Organization with Few Regulators
• Encourage a safety culture – voluntary compliance and voluntary reporting
• Require ANSPs to use a safety management system (SMS) approach to safety – Analyze, document, track risk, mitigate hazards,
continuously improve safety • Focus activities on risk
– audits, compliance, surveillance
Federal Aviation Administration
Strategies for Overseeing a Large Organization with Few Regulators cont.
• Require unfettered access to ANSP – facilities, records, and personnel
• Mandate occurrence reporting • Set performance indicators and targets • Monitor the Airspace
– Use data mining techniques to identify trends – Use data from the ANSP as well as independent
sources
December 2012
Federal Aviation Administration
Establishing Performance Indicators
• Some factors like the number of accidents or runaway incursions are good indicators of over-all system risk, but understanding the sort of mitigations to employ requires more focused indicators
• Regional agreements could be useful for States to
baseline and compare performance
Federal Aviation Administration
Establish Performance Indicators
• Indicators the FAA uses: – Missed approaches – High energy approaches – Class B airspace excursions – Runway overrun – Simultaneous parallel approaches:
• overshoots and no transgression zone deviations – TCAS-RAs – Departure Procedure Deviations
December 2012
Federal Aviation Administration
Establish Performance Indicators cont. • Some indicators the FAA is considering:
–Converging Runway Operations (CRO) –Altitude Deviations –Opposite Direction Operations (ODO) –Minimum Vectoring Altitude (MVA) violations
December 2012
Federal Aviation Administration
Establish Performance Indicators cont. • Indicators for Oceanic Airspace, the North Atlantic Region
agreed to and uses: 1. Number of hull loses 2. Number of Airborne Collision Avoidance System Resolution
Advisory (RA) events 3. Number of Large Height Deviation (LHD) events 4. Number of minutes that aircraft spend at the wrong flight level 5. Performance in the vertical dimension against the Target Level
of Safety (TLS) 6. Number of minutes spent away from air traffic control cleared
route 7. Number of Gross Navigation Errors (GNE) events 8. Performance in the lateral dimension against the lateral TLS 9. Losses of separation
Federal Aviation Administration
ATO Mandatory Reporting Requirements
• ATO has Mandatory reporting requirements for events in National Airspace (TARP, OEDP automatically capture events for further investigation).
• AOV Inspectors receive reports each day of events
such as aircraft accident and reviews ATC services.
• AOV also reviews reports of pilot deviation, losses of standards separation and reports of near mid-air collisions.
Federal Aviation Administration
Monitoring
• ATO mandatory reports are captured in the Comprehensive Electronic Data Analysis Records – CEDAR
• ATO SMS Safety Risk Management information captured in Safety Risk Management Tracking System – SRMTS
• ATO Technical Operations (maintenance data also captured in electronic databases
• AOV queries ATO databases when necessary as part of a surveillance activity
Federal Aviation Administration
Voluntary Reporting Programs • Aviation Safety Information Analysis and Sharing
(ASIAS) • Aviation Safety Action Program (ASAP)- Industry
employees
• Air Traffic Safety Action Program (ATSAP)- Air Traffic Control employees
• ATO Safety and Technical Training Program (T-SAP) Technical Operations Services employees
Federal Aviation Administration
QUESTIONS?
Steadily Improving the Safety of Air Traffic Management Through Independent Oversight� ����Broad Areas of Oversight required by ICAOEstablishing a New Oversight Organization�슬라이드 번호 4Relationship between the Air Traffic Service�Provider and the Regulatory Oversight Authority��Compliance PhilosophyFunctions of AOV슬라이드 번호 8Air Traffic Safety Oversight Service슬라이드 번호 10Planning & Program Management Division (AOV-20)AOV StaffingAOV Staffing Con’t.Relationship with Meteorological Agency� What Is the extent of AOV auditor’s authority?� Training our workforceAOV Core TrainingAOV Training Cont.How do air traffic control specialists (ATCS) and airway transportation system specialist (ATSS) who work for AOV maintain proficiency?�� Authority to Set Standards AOV’s Safety Standards ProcessSetting Standards for ATO Personnel� AOV Certification Programs�Strategies for Overseeing a Large Organization with Few Regulators�Strategies for Overseeing a Large Organization with Few Regulators cont.�Establishing Performance IndicatorsEstablish Performance IndicatorsEstablish Performance Indicators cont.Establish Performance Indicators cont. ATO Mandatory Reporting RequirementsMonitoringVoluntary Reporting ProgramsQUESTIONS?
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