TALS-01-VE-EN-M01-D1-Fundamental-SM-Concepts.pdf

Fundamental Safety Management Concepts Module 1 1 © 2024 Copyright IATA Learning objectives At the end of this module you should be able to: Distinguish safety management and accident prevention Describe the relationship between compliance and performance-based approaches to safety manage...

Fundamental Safety Management Concepts Module 1 1 © 2024 Copyright IATA Learning objectives At the end of this module you should be able to: Distinguish safety management and accident prevention Describe the relationship between compliance and performance-based approaches to safety management Define the terms management and risk as they apply to safety management Describe the relationship between safety risk and enterprise risk List the steps to manage safety as a business function Explain the importance of an evidence-based allocation of resources 2 © 2024 Copyright IATA  Did you have the chance to check our pre-reading materials? 3 © 2024 Copyright IATA  Safety Management and Accident Prevention 4 © 2024 Copyright IATA  What is Safety? 5 © 2024 Copyright IATA Axiom Safety equals no accidents Activities specifically aimed at avoiding unwanted outcomes 6 © 2024 Copyright IATA A fundamental difference Accident prevention Safety Management Activities specifically Activities specifically focused aimed at avoiding on prioritization in the unwanted outcomes allocation of resources to manage safety risk 7 © 2024 Copyright IATA Accident Prevention Characteristics Involves activities specifically aimed at avoiding negative or undesirable outcomes during operations Avoid low probability but of high severity events Typically, accidents and incidents 8 © 2024 Copyright IATA Accident Prevention Discussion An airline experiences a fatal runway incursion accident in a busy airport that involves an operation from an intersection identified as “hot spot”. Using the concept of Accident Prevention, what can they do? 9 © 2024 Copyright IATA Accident Prevention Example After the investigation of the accident and as a result of it, the airline implements the following activities: Reinforce flight crew simulator training in high traffic density airports surface operations to avoid runway incursions; Expand the contents of its runaway safety programme regarding “hot spots”; and Issue an operational bulletin reminding flight crews about the need for increased attention when operating in the vicinity of airport “hot spots”. Under this approach, the relationship between the activities implemented by the airline and accident prevention is direct and explicit: the activities aim at preventing runway incursion accidents and incidents. 10 © 2024 Copyright IATA Safety Management Characteristics involves activities specifically aimed at generating information beyond that resulting exclusively from accident (and incident) investigation The greater the volume of Assist an airline’s senior the information the more management prioritizes effective the prioritization in the allocation of safety the allocation of safety resources resources 11 © 2024 Copyright IATA Safety Management Discussion An airline initiates the collection of information regarding operations in and around “hot spots” in five airports in its network, all of which are high traffic density airports. The airports are designated – to simplify – Alpha, Bravo, Charlie, Delta, and Echo. The information collection is not triggered by an accident or incident, but since these are airports with complex surface operations procedures, the airline senses the potential operational problems, including runway incursions. Using the concept of Safety Management, what can they do? 12 © 2024 Copyright IATA Safety Management Example Information collection activities include: Broad-ranging review of operational information regarding surface operations in all airports in the airline’s network submitted by flight crews through the airline employee safety reporting program; Broad-ranging review of reports submitted by flight crews through the airline employee safety reporting program involving abrupt maneuvers by aircraft in the vicinity of “hot spots” in all airports in the airline’s network; Focused review of operational information regarding surface operations and abrupt maneuvers by aircraft in the vicinity of “hot spots” in the five airports under consideration; Observations of surface operations by external observers in the five airports under consideration; 13 © 2024 Copyright IATA Safety Management Example Information collection activities include: Observations of surface operations from the flight deck by safety personnel in the five airports under consideration; Analysis of surface operations volumes at different times of the day; Correlations between surface operations volumes and number abrupt evasive maneuvers reported by flight crews; and Correlations between flight crews’ duty times and abrupt evasive maneuvers. Further analysis shows airports Eco and Bravo present the highest probability for operational problems, including runway incursions Therefore, the allocation of additional safety resources to reinforce operations must be prioritized towards these two airports 14 © 2024 Copyright IATA Safety Management Example Under this approach, the relationship between the activities by the airline and accident prevention is indirect and implicit: the objective of the activities is to generate information to prioritize the allocation of safety resources; preventing runway incursion accidents is not the direct and explicit objective of information gathering mechanisms 15 © 2024 Copyright IATA The Difference… Accident Safety Management Prevention Supporting decisions on Avoid negative or priorities in safety undesirable events Objective resource allocation through safety through collection and programs analysis of information Based on the priorities Based on the action that result from the Implementation to avoid accident information generated and incident by safety management 16 © 2024 Copyright IATA Medical Analogy Safety management provides the diagnosis of the disease Safety programs provide the remedy for the disease However, accurate the diagnosis may be, if the remedy is not appropriate or effective, the disease will not be cured The importance of "problem-friendly" solutions is critical 17 © 2024 Copyright IATA Responsibilities of the Safety Program General Staff Technical Specialist Senior Management Based on evidence Implementation of Priorities in derived from data, safety programs is the allocating they are easy to responsibility of the resources for understand for non- technical specialists of safety programs the different operational experts, easy to areas of the airline explain, and easy (operations, to defend maintenance, training, etc.) 18 © 2024 Copyright IATA Safety Management in the Industry Worth mentioning because the notion of safety management is not yet intuitive for the aviation safety community Safety management is exclusively about generating empirical safety information that supports decisions on priorities in the allocation of resources to safety programs Safety management does not prevent accidents or resolve safety issues. These functions are performed by safety programs; Safety management's contribution to accident prevention is a benefit that comes "in addition to” and depends on the effectiveness of the safety programs. 19 © 2024 Copyright IATA The Difference – Far from semantics The best thought-out allocation of resources will not reduce safety risk if safety risk mitigation is inappropriate 20 © 2024 Copyright IATA Which of these definitions relates to safety management? Knowledge Check A B Activities specifically Activities specifically aimed at avoiding focused on prioritization in unwanted outcomes the allocation of resources to manage safety risk 21 © 2024 Copyright IATA Questions? ? 22 © 2024 Copyright IATA  Compliance and Performance 23 © 2024 Copyright IATA Compliance aims at achieving the intent/objective(s) of requirements regarding personnel, equipment and procedures airlines must comply with A. TRUE B. FALSE 24 © 2024 Copyright IATA Different roles Compliance Performance Aims at conforming with Aims at achieving the requirements intent/objective(s) of requirements 25 © 2024 Copyright IATA Compliance-based Safety Relies on conforming to previously established requirements regarding Technology, Equipment, Personnel and Procedures Inspections and audits Compliance Provide evidence that established requirements are met, thus Aims at conforming with requirements ensuring safety achievement. 26 © 2024 Copyright IATA Two views on the same problem – Compliance The 4 premises underlying compliance Planning of Technology, operations procedures and training Professionals respect Professionalism training, procedures ensures safety and technology 27 © 2024 Copyright IATA Given the 4 premises underlying compliance, what is the most important safety concern from a compliance point of view? POLL A. Non-conformances are damaging to safety B. Training is the cornerstone of aviation safety C. Compliance with SOPs ensures safety D. Aviation safety depends on the flawless use of technology 28 © 2024 Copyright IATA If there is only compliance-based safety? Compliance-based safety is following the rules or known as safety “by the book” Compliance-based safety is paradigmatic that non-conformances are damaging to safety 2 drawbacks in relying on compliance-based safety as single source for safety: 1. Compliance provides evidence of possession of a resource required but does not necessarily provide evidence of either knowledge (Possession of a hammer is not synonymous with proficiency in hitting nails); and 2. Compliance lends itself to what in aviation has been called “cosmetic” compliance (The resource required is available to produce during inspections and audits, but it is not used in actuality) 29 © 2024 Copyright IATA Performance-based Safety Broadens compliance as single source for safety Evidence regarding meeting requirements established for safety achievement is augmented with evidence regarding actual safety achievement Performance Aims at achieving the intent/objective(s) of Actual demonstration of safety requirements achievement is the objective of performance-based safety. 30 © 2024 Copyright IATA Two views on the same problem – Performance The five premises underlying performance Planning of Technology, Technology, operations procedures procedures, training, and training and professionalism: safety baseline Situations unforeseen Plan based upon during planning will arise compliance but actively manage situations unforeseen during planning 31 © 2024 Copyright IATA Given the five premises underlying performance, what is the most important safety concern from the point of view of performance? POLL A. Quick resolution of non-compliances B. Strict adherence to rules and regulations C. The active management of situations not anticipated during planning 32 © 2024 Copyright IATA Using Performance -based safety? The real world does not operate “by the book” The real safety concern is the effective management of situations unforeseen by planning – i.e. deviation management Rather than non-compliances in and by themselves Performance-based safety advocates for real-time monitoring of safety achievement 33 © 2024 Copyright IATA Compliance and performance Is not an adversarial relationship Roles are complementary 34 © 2024 Copyright IATA The Practical Drift Operations as planned 35 © 2024 Copyright IATA The Practical Drift “Work as imagined” Operations as planned 36 © 2024 Copyright IATA The Practical Drift “Work as imagined” Operations as planned Operational Realities 37 © 2024 Copyright IATA The Practical Drift “Work as imagined” Operations as planned Operational Realities “Work as actually done” 38 © 2024 Copyright IATA The Practical Drift “Work as imagined” Operations as planned Procedure Operational Realities “Work as actually done” 39 © 2024 Copyright IATA The Practical Drift “Work as imagined” Operations as planned Procedure Operational Realities “Work as actually done” 40 © 2024 Copyright IATA The Practical Drift “Work as imagined” Operations as planned Procedure Operational Realities “Work as actually done” Practice 41 © 2024 Copyright IATA The Practical Drift “Work as imagined” Operations as planned Procedure Uncoupling of practice from procedure Operational Realities “Work as actually done” Practice 42 © 2024 Copyright IATA The Practical Drift “Work as imagined” Operations as planned Procedure Uncoupling of practice from procedure Operational Realities Practical Drift “Work as actually done” Practice 43 © 2024 Copyright IATA The Practical Drift “Work as imagined” Operations as planned Procedure Compliance Uncoupling of practice from procedure Operational Realities Practical Drift “Work as actually done” Practice 44 © 2024 Copyright IATA The Practical Drift “Work as imagined” Operations as planned Procedure Compliance Uncoupling of practice from procedure Operational Realities Practical Drift “Work as actually done” Pe rfo rm an ce Practice 45 © 2024 Copyright IATA The Practical Drift “Work as imagined” Operations as planned Procedure Compliance Uncoupling of practice from procedure Operational Realities Practical Drift Why? “Work as Service delivery pressures actually done” Procedure no longer Pe practical rfo Shortcuts are more rm an efficient ce Supervisors allow it Informal practices develop Training inadequately conveys knowledge & skills Practice … 46 © 2024 Copyright IATA Compliance: Work as planned 47 © 2021 2024 Copyright IATA Performance: Work as executed 48 © 2021 2024 Copyright IATA Questions? ? 49 © 2024 Copyright IATA  Instructions Group Exercise Task (45 mins) Separate the participants into groups Read the scenario in Exercise 1 and complete the task assigned Present the group results to rest of the participants 50 © 2024 Copyright IATA  The Realities of Commercial Aviation Service Delivery Operations and the Nature of the Business 51 © 2024 Copyright IATA In your opinion, an airline can miss its safety objectives for years even decades and still stay in business A. Agree B. Disagree 52 © 2024 Copyright IATA The objective of business organizations The business objective of sport franchises Winning championships? Making money? The business objective of aviation organizations ”Making safety”? Making money? 53 © 2024 Copyright IATA The realities of aviation service delivery operations Commercial aviation is amongst the most highly and strictly regulated industries in the world Yet, the real world of operations do not [always] operate “by the book” 54 © 2024 Copyright IATA The nature of the business The main challenge for aviation organizations Effectively and realistically support a balanced allocation of resources 55 © 2024 Copyright IATA Questions? ? 56 © 2024 Copyright IATA  Risk Management – Evidence-based Allocation of Resources 57 © 2024 Copyright IATA Risk is about… Polling A B C Choice Fate Luck 58 © 2024 Copyright IATA The term risk From the Italian verb risicare Risk Meaning: “To dare” Risk is not about fate or luck Risk is about choice 59 © 2024 Copyright IATA The term management From the Italian verb maneggiare Management Meaning: “To ride a horse with skill” The term has clear Direction implications Supervision for providing any activity Control 60 © 2024 Copyright IATA The management of risk (Risk management) An essential BUT risk not organizational limited to Enterprise risk process for an safety risk airline Encompasses all the types of risk an airline is exposed to 61 © 2024 Copyright IATA  Why is risk management important for an airline? 62 © 2024 Copyright IATA Why is risk management important It ensures the continued viability of the airline The management of safety risk must contribute to enterprise risk management overall 63 © 2024 Copyright IATA Why is safety risk management important? Supports the airline’s leadership decisions regarding priorities in the allocation of resources to mitigate potential consequence of safety concerns 64 © 2024 Copyright IATA Safety risk management under SMS Must provide safety risk mitigation activities Direction Supervision Control 65 © 2024 Copyright IATA Basic risk management applied to safety risk under SMS Direction Supervision Control Establish safety risk Collect and analyze Allocate/reallocate management targets safety information resources to achieve safety risk management targets 66 © 2024 Copyright IATA Levels of safety risk decision-making Safety risk evaluation Safety risk mitigation Decisions on safety risk Safety risk mitigation involves evaluation are technical financial, legal and administrative considerations Belong in the technical Belong – ultimately – in the subject matter expert level leadership levels 67 © 2024 Copyright IATA Levels of safety risk decision-making To “elevate” decisions on Risk management safety risk is part of the mitigation to language of leadership the Boardroom Accident prevention is not 68 © 2024 Copyright IATA SMS – A system for the management of safety risk 69 © 2024 Copyright IATA SMS – A system for the management of safety risk 70 © 2024 Copyright IATA SMS – A system for the management of safety risk Data Operational Financial HR Legal Quality 71 © 2024 Copyright IATA SMS – A system for the management of safety risk Regulations policies Data Operational Financial HR analysis cost/benefit Legal Quality evaluation 72 © 2024 Copyright IATA SMS – A system for the management of safety risk Regulations policies Data Operational Financial HR analysis cost/benefit Legal Quality evaluation 73 © 2024 Copyright IATA SMS – A system for the management of safety risk Regulations policies Data Operational Financial HR analysis cost/benefit Legal Quality evaluation 74 © 2024 Copyright IATA SMS – A system for the management of safety risk Regulations policies Data Information for Operational strategic Financial decisions HR analysis cost/benefit Legal Quality evaluation 75 © 2024 Copyright IATA SMS – A system for the management of safety risk Regulations policies Data Information for Operational strategic Financial decisions HR analysis cost/benefit Legal Quality evaluation Safety programs Bird strike Runway safety Unstable approaches Language proficiency 76 © 2024 Copyright IATA … SMS – A system for the management of safety risk Regulations policies Data Information for Operational strategic Financial decisions HR analysis cost/benefit Legal Quality evaluation Safety programs Bird strike Runway safety Unstable approaches Language proficiency 77 © 2024 Copyright IATA … SMS – A system for the management of safety risk SMS Regulations policies Data Information for Operational strategic Financial decisions HR analysis cost/benefit Legal Quality evaluation Safety programs Bird strike Runway safety Unstable approaches Language proficiency 78 © 2024 Copyright IATA …  Instructions Group Exercise Task (15 mins) Separate the participants into groups List the sources of data/information your airline uses to “feed the generator” Write your outcome in the flipchart and present to rest of the participants 79 © 2024 Copyright IATA Questions? ? 80 © 2024 Copyright IATA