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Aviation Safety Action Programs

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Title: Aviation Safety Action Programs


1
Aviation Safety Action Programs
  • Training Module A Building ASAP Foundations

Version Date 30 April 2012
2
Outline for Objective 1
Locate/use ASAP guidance materials and supporting
resources related to program development and
management Topics (T) and Activities
(A) T1-1 Purpose of ASAP T1-2 Benefits of ASAP
to stakeholders T1-3 Participation criteria
T1-4 History of ASAP T1-5 ASAP guidance
materials and supporting resources T1-6 Contents
and role of ASAP Advisory Circular
12066B T1-7 Elements and role of an ASAP
MOU T1-8 Contents and role of the ASAP Report
Process Chart T1-9 Contents and role of ASAP
section of FAA Order 8900.1 T1-10 Contents and
role of EDP section of FAA Order
8900.1 T1-11 Contents and role of 14 CFR Part 193
and FAA Order 8000.82 T1-12 Practical guidance
and lessons learned T1-13 Safety Management
System (SMS) A1-14 Practice applying ASAP
guidance and procedures to start-up
OVERVIEW
OBJECTIVE 1
OBJECTIVE 2
OBJECTIVE 3
OBJECTIVE 4
OBJECTIVE 5
OBJECTIVE 6
OBJECTIVE 7
3
About Objective 1
  • OBJECTIVE 1
  • Locate/use ASAP guidance materials and supporting
    resources related to program development and
    management

4
Purpose of ASAP
  • T1-1 Purpose of ASAP
  • OBJECTIVE 1
  • Improve aviation safety
  • Obtain reports of safety-related concerns or
    events that may otherwise go unreported
  • Identify root cause(s) of safety-related events
  • Determine and communicate corrective action(s)
    and/or recommendation(s)
  • Track completion and evaluate effectiveness of
    corrective action(s) and/or recommendation(s)
  • Communicate ASAP successes
  • Build trust to encourage a reporting/safety
    culture

5
Basic Principles of ASAP
  • T1-1 Purpose of ASAP
  • OBJECTIVE 1
  • ASAPs are initiated with an MOU between
    representatives from the certificate holder, FAA,
    and employee group (if applicable)
  • Safety-related events are voluntarily reported by
    employees of the certificate holder
  • ASAP reports are reviewed, investigated, and
    resolved by the ERC
  • ERC members work together to reach consensus on
    decisions for report resolution

6
Basic Principles of ASAP (Cont'd)
  • T1-1 Purpose of ASAP
  • OBJECTIVE 1
  • Non-punitive corrective action(s) and/or
    recommendation(s) for accepted ASAP reports
    encourage voluntary self-reporting
  • Analyses of ASAP data are conducted to identify
    trends and develop corrective action(s) and/or
    recommendation(s)
  • Information regarding root causes and ASAP
    successes is disseminated to prevent future
    safety-related events

7
Benefits to Stakeholders
  • T1-2 Benefits of ASAP to stakeholders
  • OBJECTIVE 1
  • All stakeholders realize benefits from ASAP
  • ASAP Managers
  • ERC members
  • Respective organizations
  • Certificate holders

8
Benefits to Stakeholders (Cont'd)
  • T1-2 Benefits of ASAP to stakeholders
  • OBJECTIVE 1
  • Respective organizations (Cont'd)
  • FAA
  • Employee group representatives
  • Employees of the certificate holder
  • Supervisors, managers, safety officials of the
    certificate holder and FAA
  • Organizational entities that receive ERC
    recommendations

9
Benefits to Stakeholders (Cont'd)
  • T1-2 Benefits of ASAP to stakeholders
  • OBJECTIVE 1
  • Other certificate holders
  • Allows certificate holders to participate in
    aviation industry sharing initiatives to
    benchmark threats to safety and risk management
    performance
  • Provides an opportunity to learn from other
    certificate holders as well as share experiences
    with other certificate holders
  • Flying public

10
Participation Requirements
  • T1-3 Participation criteria
  • OBJECTIVE 1
  • Certificate Holder
  • Part 121 air carrier, Part 145 major domestic
    repair station, or other approved entities
  • Employee Groups
  • Flight crewmembers, flight attendants, mechanics,
    dispatchers, ramp service, or other approved
    groups
  • Current ASAP Participant List
  • http//www.faa.gov/about/initiatives/asap/media/as
    ap_participants.pdf

11
Early Demonstration Programs
  • T1-4 History of ASAP
  • OBJECTIVE 1
  • The FAA, in partnership with industry,
    established several early Demonstration Programs
    to increase the flow of safety information
    between the air carrier and FAA
  • Early Demonstration Programs were successful
  • Led to the formal development of ASAP and its
    first Advisory Circular

12
Voluntary Safety Programs
  • T1-4 History of ASAP
  • Objective 1
  • ASRS 1976 AC0046D
  • Program supported by the FAA and NASA that
    collects and analyzes voluntarily submitted
    incident/accident reports to identify
    contributors and reduce the likelihood of
    aviation accidents by issuing alerts and
    educating through newsletters and research
    studies
  • VDRP 1990 AC0058B
  • Program that encourages air carriers to submit
    FAA violations otherwise unknown to the FAA in
    exchange for no penalties and a filed letter of
    violation (discarded after 1 year if violation
    does not occur again)

13
Voluntary Safety Programs (Cont'd)
  • T1-4 History of ASAP
  • Objective 1
  • AQP 1991 AC12054A
  • Program that requires a strong commitment from
    the air carrier to exceed minimum training
    standards, with the overall goals of improving
    training/evaluation and being responsive to
    changes in aircraft technology, operations, and
    training methodologies
  • IEP 1992 AC12059A
  • Program that has the certificate holder
    continuously monitor processes and systems to
    ensure compliance with regulatory requirements as
    well as identify, monitor, and improve internal
    policies and processes

14
Voluntary Safety Programs (Cont'd)
  • T1-4 History of ASAP
  • Objective 1
  • LOSA 1994 AC12090
  • Program that has highly trained observers
    (external to the FAA) ride jumpseat to collect
    confidential data on environmental conditions,
    operational complexity, and flight crew
    performance for safety improvement
  • FOQA 1995 AC12082
  • Program that requires routine collection and
    analysis of digital flight data generated during
    aircraft operations to gain greater insight into
    the total flight operations environment for the
    purpose of identifying and correcting deficiencies

15
Voluntary Safety Programs (Cont'd)
  • T1-4 History of ASAP
  • Objective 1
  • ASAP 1997 AC12066B
  • Program that encourages employees of certificate
    holders to report safety concerns and violations
    to their ERC, without fear that the FAA will use
    submitted ASAP reports to take legal enforcement
    action against them. ASAP safety data, much of
    which would otherwise be unobtainable, is used to
    develop corrective action(s) and/or
    recommendation(s) for identified safety concerns,
    and to educate the appropriate parties to prevent
    a recurrence of the same type of safety event

16
Differences Between ASAP and VDRP
  • T1-4 History of ASAP
  • Objective 1
  • ASAP and VDRP are two voluntary safety programs
    that involve self-reporting of safety-related
    events. There are several distinct
    characteristics of each, which are described in
    the table on the following page

17
Differences Between ASAP and VDRP (Cont'd)
  • T1-4 History of ASAP
  • Objective 1
  • Certificate holders are not provided ASAP
    enforcement incentives
  • Certificate holders may submit a violation to
    VDRP that was already submitted to ASAP
  • Failure to do so could result in FAA enforcement
    action
  • FAA investigates all VDRP reports
  • FAA determines if the certificate holder needs to
    implement a comprehensive fix to address a
    violation
  • FAA may accept ASAP-determined corrective
    action(s) and/or recommendations(s) as a
    comprehensive fix

18
ASAP Guidance Materials and Supporting Resources
  • T1-5 ASAP guidance materials and supporting
    resources
  • OBJECTIVE 1
  • ASAP Guidance Materials
  • FAA Advisory Circular 12066B
  • Provides direction to certificate holders for
    tasks related to establishing and managing an
    ASAP
  • FAA ASAP Report Process Chart
  • Provides a graphical depiction of the process for
    reviewing and adjudicating an ASAP report
  • FAA Order 8900.1 Flight Standards Information
    Management Systems (FSIMS), Vol. 11, Ch. 2, Sec.
    1
  • Provides direction to FAA personnel for tasks
    related to establishing and managing an ASAP

19
ASAP Guidance Materials and Supporting Resources
(Cont'd)
  • T1-5 ASAP guidance materials and supporting
    resources
  • OBJECTIVE 1
  • Supporting Resources
  • FAA Order 8900.1 Flight Standards Information
    Management Systems (FSIMS), Vol. 14, Ch. 1, Sec.
    8
  • Provides direction to FAA investigative personnel
    for tasks related to compliance and enforcement
  • 14 CFR Part 193
  • Describes the FAA's rules for protecting
    voluntarily submitted information from disclosure
    through FOIA
  • FAA Order 8000.82
  • Specifies ASAP information is protected from
    public disclosure and provides the rationale for
    its protection

20
ASAP Guidance Materials and Supporting Resources
(Cont'd)
  • T1-5 ASAP guidance materials and supporting
    resources
  • OBJECTIVE 1
  • Supporting Resources (Cont'd)
  • Best Practices for Event Review Committees
    (American Institutes for Research (AIR), Dec
    2009)
  • Describes the key features that facilitate the
    success of ASAP and strategies for achieving
    those features
  • Safety Management System (SMS)
  • Describes a revolutionary process in system
    safety and safety management that obligates
    organizations to manage safety with the same
    level of priority that other core business
    processes are managed

21
ASAP Advisory Circular 12066B
  • T1-6 Contents and role of ASAP Advisory Circular
    12066B
  • OBJECTIVE 1
  • Key concepts include
  • Basics for developing an ASAP
  • Processing ASAP reports
  • Acceptance criteria for ASAP reports
  • Exclusion criteria for ASAP reports
  • Handling non-reporting employees
  • Enforcement policy
  • Reopening reports
  • Memorandum of Understanding (MOU)

22
AC12066B Basics for Developing an ASAP
  • T1-6 Contents and role of ASAP Advisory Circular
    12066B
  • OBJECTIVE 1
  • Applicability
  • Air carriers operating under Part 121
  • Major domestic repair stations certificated by
    Part 145
  • Development Considerations
  • ASAP is entered into voluntarily by
    representatives from the certificate holder, the
    FAA, and the employee group (if applicable)
  • Prior to starting an ASAP, a comprehensive
    employee and management education program must be
    developed and implemented by the certificate
    holder

23
AC12066B Basics for Developing an ASAP
(Cont'd)
  • T1-6 Contents and role of ASAP Advisory Circular
    12066B
  • OBJECTIVE 1
  • Types of ASAPs
  • Demonstration Programs
  • Certificate holder must develop a separate
    Demonstration Program for each employee group
    sought to be covered by an ASAP
  • Continuing Programs
  • If a Demonstration Program is deemed successful,
    the FAA may accept it as a Continuing program
  • Withdrawal requirements
  • Regardless of duration, any party to the ASAP MOU
    may withdraw from the program at any time

24
AC12066B Processing ASAP Reports
  • T1-6 Contents and role of ASAP Advisory Circular
    12066B
  • OBJECTIVE 1
  • ERC consists of a representative from each
  • Certificate holder, FAA, and employee group (if
    applicable)
  • ERC uses consensus decision-making to review,
    analyze, and resolve ASAP reports
  • ERC defines consensus as a result within each
    member's range of acceptable solutions
  • ERC must be empowered to make decisions within
    the context of ERC discussions

25
AC12066B Processing ASAP Reports (Cont'd)
  • T1-6 Contents and role of ASAP Advisory Circular
    12066B
  • OBJECTIVE 1
  • ERC defers to FAA ERC representative where
    consensus is not reached on events involving
    apparent violation, a qualification issue, or a
    medical certification or qualification issue
  • ERC submits any reports involving an apparent
    Medical Certification or Medical Qualification
    issue to the Regional Flight Surgeon
  • ERC must follow the direction(s) of the Regional
    Flight Surgeon for medical certification/qualific
    ation issues

26
AC12066B Acceptance Criteria for ASAP Reports
  • T1-6 Contents and role of ASAP Advisory Circular
    12066B
  • OBJECTIVE 1
  • Reports submitted in a timely manner
  • Within the time period specified by MOU
  • Within 24 hours of becoming aware of possible
    violation
  • Reports of possible violations that appear to be
    inadvertent, and do not appear to involve an
    intentional disregard for safety

27
AC12066B Acceptance Criteria for ASAP Reports
(Cont'd)
  • T1-6 Contents and role of ASAP Advisory Circular
    12066B
  • OBJECTIVE 1
  • Reports that do not appear to involve any of the
    Big 5
  • Big 5 consists of criminal activity, substance
    abuse, controlled substances, alcohol, or
    intentional falsification
  • Sole-source reports that meet all acceptance
    criteria except timely submission
  • Reports of repeated violations that meet all
    acceptance criteria

28
AC12066B Exclusion Criteriafor ASAP Reports
  • T1-6 Contents and role of ASAP Advisory Circular
    12066B
  • OBJECTIVE 1
  • Reports that do not appear to be inadvertent, or
    that involve an intentional disregard for safety
  • Reports that appear to involve the Big 5
  • Reports not submitted in a timely manner
  • Reports in which submitter was not acting as an
    employee
  • Reports accepted into ASAP but employee does not
    complete the corrective action(s)

29
AC12066B Handling Non-Reporting Employees
  • T1-6 Contents and role of ASAP Advisory Circular
    12066B
  • OBJECTIVE 1
  • For reports identifying an employee involved in a
    possible violation who is covered by the ASAP MOU
    but does not submit a report
  • ERC determines whether non-reporting employee
    knew (or should have known) about possible
    violation
  • For reports identifying an employee involved in a
    possible violation who is NOT covered by the ASAP
    MOU
  • ERC will determine on a case-by-case basis
    whether that employee should be allowed to submit
    a report

30
AC12066B Enforcement Policy
  • T1-6 Contents and role of ASAP Advisory Circular
    12066B
  • OBJECTIVE 1
  • FAA ERC representative is empowered to
  • Complete ASAP investigations on behalf of FAA
  • Coordinate all corrective and administrative
    actions between the certificate holder and the
    FAA
  • For accepted ASAP reports, the FAA
  • Transfers all jurisdiction and responsibility for
    compliance and enforcement investigations related
    to the event(s) to the FAA ERC representative

31
AC12066B Enforcement Policy (Cont'd)
  • T1-6 Contents and role of ASAP Advisory Circular
    12066B
  • OBJECTIVE 1
  • Handling of accepted ASAP reports
  • Sole-source reports will be closed with no FAA
    action and an ERC response to the submitter
  • Non-sole-source reports with sufficient evidence
    of a violation will be closed with administrative
    or informal action
  • Non-sole-source reports without sufficient
    evidence will be closed with an FAA Letter of No
    Action
  • Reports indicating a possible lack of
    qualification will be addressed with appropriate
    corrective action(s) recommended by the ERC

32
AC12066B Enforcement Policy (Cont'd)
  • T1-6 Contents and role of ASAP Advisory Circular
    12066B
  • OBJECTIVE 1
  • Handling of excluded ASAP reports
  • Events reported but excluded from ASAP will be
    referred to the FAA for possible enforcement
    action
  • ASAP reports that appear to involve the Big 5
    will be referred to the FAA for possible
    enforcement action
  • FAA may use such reports for enforcement
    purposes, and will refer such reports to law
    enforcement agencies, if appropriate
  • If concluded the event did not involve the Big 5,
    the report will be referred back to ERC for
    determination of acceptance into ASAP

33
AC12066B Enforcement Policy (Cont'd)
  • T1-6 Contents and role of ASAP Advisory Circular
    12066B
  • OBJECTIVE 1
  • FAA recommends that certificate holders avoid
    disciplining employees who submit an accepted 
    ASAP report
  • Given the certificate holder is not aware of the
    event outside of the ASAP report (i.e., a
    sole-source report to the certificate holder)
  • FAA prohibits the use of ASAP reports as evidence
    to support an FAA investigation
  • With the exception of ASAP reports that appear to
    involve the Big 5

34
AC12066B Reopening Reports
  • T1-6 Contents and role of ASAP Advisory Circular
    12066B
  • OBJECTIVE 1
  • ASAP reports should be fully evaluated, and to
    the extent appropriate, investigated by the FAA
    member of the ERC
  • The ERC should not accept or close a report until
    all members have completed their investigation of
    the event
  • A closed ASAP report can be reopened and
    appropriate enforcement action taken if evidence
    is later discovered that a violation occurred and
    the report should have been excluded from ASAP

35
Memorandum of Understanding
  • T1-7 Elements and role of an ASAP MOU
  • OBJECTIVE 1
  • Written agreement between representatives from
    the certificate holder, the FAA, and the employee
    group (if applicable)
  • Must meet criteria established in AC12066B and
    8900.1ASAP (and any revisions)
  • Serves as primary guidance for the ERC
  • Includes program objectives, key terms,
    guidelines, and a common frame of reference for
    stakeholders
  • Should be available for reference during ERC
    meetings

36
Main Components of an MOU
  • T1-7 Elements and role of an ASAP MOU
  • OBJECTIVE 1
  • General information
  • Applicability, program specifications/objectives,
    etc.
  • Program requirements
  • ERC roles, responsibilities, report review
    process
  • Administrative requirements
  • Recordkeeping, tracking and analyzing data
  • Statements of agreement
  • Voluntary agreement, MOU modifications/termination
  • Signatories

37
ASAP Report Process Chart
  • T1-8 Contents and role of the ASAP Report
    Process Chart
  • OBJECTIVE 1

38
Order 8900.1ASAP
  • T1-9 Contents and role of ASAP section of FAA
    Order 8900.1
  • OBJECTIVE 1
  • Guidance for establishing and managing an ASAP,
    in which most of the information is also
    presented in AC12066B
  • Information presented only in 8900.1ASAP
    includes guidance regarding
  • Performing the FAA ERC representative's role
  • Maintaining the confidentiality of report
    submitter's identity outside of ERC
  • Sharing information about the Aviation Safety
    Information Analysis and Sharing system (ASIAS)

39
Order 8900.1ASAP (Cont'd)
  • T1-9 Contents and role of ASAP section of FAA
    Order 8900.1
  • OBJECTIVE 1
  • Incorporating data (e.g., report number, event
    type, risk category) into the data collection and
    dissemination tool
  • Retaining data for a period of time (no less than
    2 years) sufficient for evaluating effectiveness
    of ERC's corrective action(s) and/or
    recommendation(s)
  • Coordinating enforcement investigations between
    the CHDO, FSDO, and FAA ERC representative for
    that particular ASAP

40
Order 8900.1EDP
  • T1-10 Contents and role of EDP section of FAA
    Order 8900.1
  • OBJECTIVE 1
  • Describes procedures and tools for Flight
    Standards investigative personnel
  • Presents the EDP flowchart
  • Describes the E-EDP
  • Not required for violations accepted into ASAP
  • Describes how to assess risk using potential
    severity of an event and its likelihood of
    recurrence
  • Presents the EDP Risk Matrix

41
ASAP's Use of Order 8900.1EDP
  • T1-10 Contents and role of EDP section of FAA
    Order 8900.1
  • OBJECTIVE 1
  • Administrative action is applied for events
    determined to be of High or Moderate risk by an
    ERC
  • Warning Notice
  • Letter of Correction
  • Informal action is applied for events determined
    to be of Low risk by an ERC
  • Oral Counseling
  • Written Counseling

42
14 CFR Part 193 and Order 8000.82
  • T1-11 Contents and role of 14 CFR Part 193 and
    FAA Order 8000.82
  • OBJECTIVE 1
  • Title 49 of USC 40123
  • Federal law stating that voluntarily submitted
    safety and security information is protected from
    disclosure
  • 14 CFR Part 193
  • FAA regulation describing the rules for
    protecting voluntarily submitted information
    within the FAA
  • FAA Order 8000.82
  • FAA order specifying that ASAP information is
    protected from public disclosure and why it is
    important to protect such information from
    disclosure

43
Benefits of Disclosure Regulations
  • T1-11 Contents and role of 14 CFR Part 193 and
    FAA Order 8000.82
  • OBJECTIVE 1
  • Regulations to restrict disclosure of ASAP
    information ensures success by
  • Encouraging employees to submit reports
  • Protecting jobs from unfair responses
  • Protecting employees from inappropriate
    assumptions
  • Certificate holder actions that ensure
    confidentiality is maintained include
  • Training ERC members regarding confidentiality
  • Protecting data collected and stored

44
Practical Guidance and Lessons Learned
  • T1-12 Practical guidance and lessons learned
  • OBJECTIVE 1
  • Use practical guidance for decisions about
  • Start-up, buy-in, ASAP integration, resource
    allocation, ASAP manager/ERC team selection
  • Gather practical guidance from
  • Best Practices for Event Review Committees
    (American Institutes for Research (AIR), 2009)
  • InfoShare Meetings
  • ERC members from other ASAP programs
  • Program managers at the FAA's Voluntary Safety
    Programs Branch

45
Safety Management System
  • T1-13 Safety Management System (SMS)
  • OBJECTIVE 1
  • SMS is a systematic approach to achieving
    acceptable levels of safety risk
  • Composed of 4 components
  • Safety Policy, Safety Risk Management, Safety
    Assurance, Safety Promotion
  • Makes safety management a fundamental business
    process
  • Strives to improve safety performance to reduce
    risk
  • ASAP is one way to meet the SMS voluntary
    employee reporting program requirement

46
Identify Resources Specifying ASAP Guidance and
Procedures
  • A1-14 Practice applying ASAP guidance and
    procedures to start-up
  • OBJECTIVE 1
  • Detailed information about this activity can be
    found in the Student Guide for Module A on pages
    106-108

47
Outline for Objective 2
Explain the importance of and strategies for
integrating ASAP into each party's safety
culture Topics (T) and Activities
(A) T2-1 Importance of and strategies for
integration T2-2 Importance of and strategies for
building professional relationships
T2-3 Importance of and strategies for gaining
buy-in for ASAP A2-4 Practice identifying
strategies for ASAP integration and acceptance
OVERVIEW
OBJECTIVE 1
OBJECTIVE 2
OBJECTIVE 3
OBJECTIVE 4
OBJECTIVE 5
OBJECTIVE 6
OBJECTIVE 7
48
About Objective 2
  • OBJECTIVE 2
  • Explain the importance of and strategies for
    integrating ASAP into each party's safety culture

49
Understanding Safety Culture
  • T2-1 Importance of and strategies for integration
  • Objective 2
  • Certificate holder's senior management should
    assess their safety culture to ensure ASAP's
    acceptance
  • Leaders of other parties to the ASAP MOU should
    also assess their respective safety culture to
    identify and minimize obstacles
  • ASAP Managers and ERC members are not responsible
    for assessing the safety culture but should know
    whether an assessment occurred and the
    information obtained

50
Goals of Safety Culture Assessment
  • T2-1 Importance of and strategies for integration
  • Objective 2
  • Identify
  • What others truly think about their party
  • What keeps them motivated
  • What they believe gets rewarded and punished
  • What are the "unspoken rules" that everyone knows
  • Capture information about party's current safety
    perspective and future safety goals
  • Gain broad perspective from internal and external
    sources

51
Importance of Integration
  • T2-1 Importance of and strategies for integration
  • Objective 2
  • Encourages acceptance of ASAP within each party's
    environment
  • Builds trust in ASAP among parties
  • Facilitates ERC processes by incorporating
    familiar terminology and tools
  • Increases efficiency during the start-up phase by
    incorporating tools and materials currently used
    by other safety programs

52
Strategies for Integration during Start-up
  • T2-1 Importance of and strategies for integration
  • Objective 2
  • Continue reviewing existing safety goals and
    values to ensure thorough understanding
  • Use various approaches to gather information,
    review existing safety programs and documents
  • Align ASAP's goals and processes with other
    safety programs and processes
  • Adopt same terminology, tools, processes,
    resources
  • Make ASAP understood and visible
  • Educate others, participate in organizational
    safety meetings, safety committees, and other
    opportunities

53
Strategies for Integration during Life of ASAP
  • T2-1 Importance of and strategies for integration
  • Objective 2
  • Empower ERC to work without interference
  • Discourage external influences, otherwise ERC's
    ability to reach consensus will be undermined
  • Empower ERC to make and follow up on
    recommendations to internal and external entities
    regarding resolutions to identified threats to
    safety
  • Encourage continuity of ERC representatives
    during early stages to promote partnership
    between ERC members

54
Importance of Developing Professional
Relationships
  • T2-2 Importance of and strategies for building
    professional relationships
  • Objective 2
  • Builds buy-in for ASAP
  • Others will follow ERC's lead in support of ASAP
  • Achieves timely investigations
  • Quickly identify sources and gather of
    information
  • Develops trust in ASAP
  • ERC members are respected and likely to be
    trusted
  • Assists in obtaining practical guidance and
    lessons learned from other ERCs with similar
    experiences

55
Strategies for Developing Professional
Relationships
  • T2-2 Importance of and strategies for building
    professional relationships
  • Objective 2
  • Get to know stakeholders
  • Set up introduction meetings
  • Attend meetings stakeholders are likely to attend
  • Create opportunities to communicate with
    stakeholders to ensure they understand that
  • All parties helped develop the MOU and any
    policies
  • The ASAP Manager serves as a liaison between ERC
    and stakeholders
  • ERC members use consensus decision-making, and
    are empowered and given the necessary resources

56
Strategies for Developing Professional
Relationships (Cont'd)
  • T2-2 Importance of and strategies for building
    professional relationships
  • Objective 2
  • Show recognition and appreciation for the
    contributions of stakeholders in verbal and
    written form
  • Acknowledge contributions of each party to the
    MOU and ASAP outcomes using various communication
    methods
  • Encourage management to acknowledge the
    contributions of the ERC and other stakeholders

57
Importance of Gaining Buy-in
  • T2-3 Importance of and strategies for gaining
    buy-in for ASAP
  • Objective 2
  • Creates a shared vision of the program
  • Increases support for the program and its ERC,
    especially during challenging situations
  • Supports many outcomes, such as
  • ASAP Manager/ERC commitment ASAP training
    adequate resources employee participation
    interest in program results
  • Fosters cooperative relationships
  • Encourages open communication

58
Strategies for Gaining Buy-in
  • T2-3 Importance of and strategies for gaining
    buy-in for ASAP
  • Objective 2
  • Openly discuss potentially divisive issues before
    signing the MOU
  • Include many stakeholders in MOU development
    including representatives of all parties to the
    MOU
  • Educate stakeholders about ASAP and its benefits
  • Develop and maintain transparency in the ERC
    process

59
Identify Strategies for ASAP Integration and
Acceptance
  • A2-4 Practice identifying strategies for ASAP
    integration and acceptance
  • Objective 2
  • Detailed information about this activity can be
    found in the Student Guide for Module A on pages
    134-136

60
Outline for Objective 3
Obtain required resources to ensure ASAP
success Topics (T) and Activities
(A) T3-1 Resources required for ASAP
success A3-2 Practice identifying the resources
required for ASAP success
OVERVIEW
OBJECTIVE 1
OBJECTIVE 2
OBJECTIVE 3
OBJECTIVE 4
OBJECTIVE 5
OBJECTIVE 6
OBJECTIVE 7
61
About Objective 3
  • OBJECTIVE 3
  • Obtain required resources to ensure ASAP success

62
Resources Needed
  • T3-1 Resources required for ASAP success
  • Objective 3
  • Personnel
  • ASAP Manager and ERC members are required
    personnel to run an ASAP
  • ERC members consist of a representative and
    alternate from the certificate holder, the FAA,
    and the employee group (if applicable)
  • ASAP Manager also may be the certificate holder
    representative
  • ASAP Manager and ERC members are required
    resources that must be secured at ASAP start-up
  • A data analyst may be helpful but not required

63
Resources Needed (Cont'd)
  • T3-1 Resources required for ASAP success
  • Objective 3
  • Training
  • Most stakeholders will require ASAP training
  • Resources to develop, administer, and participate
    in training
  • Training content and delivery must be customized
    due to differences in stakeholder needs
  • Regular retraining and frequent course offerings
    are required due to the dynamic nature of
    personnel
  • Data collection, dissemination tools/support
  • ASAPs maintain their own records for
    administration and evaluation, typically using an
    electronic tool

64
Strategies for Obtaining Resources
  • T3-1 Resources required for ASAP success
  • Objective 3
  • Establish buy-in with stakeholders who can help
    obtain required resources
  • Consult with other established ASAPs to help plan
    for required resources
  • Inquire about type/amount of resources,
    unanticipated resources required, obstacles
    experienced
  • Evaluate tools and methods used by other ASAPs
  • Consider adopting effective procedures or
    materials

65
Challenges to Obtaining Resources
  • T3-1 Resources required for ASAP success
  • Objective 3
  • Expense of taking employees "off the line" to
    serve as ERC members or ASAP Managers
  • Fluctuations in type and amount of resources
    needed over time
  • Due to changes in volume of ASAP reports over
    time
  • Necessity to analyze data and disseminate results
    to fully achieve ASAP's goals
  • Tendency to underestimate challenges

66
Estimate the Resources Requiredfor ASAP Success
  • A3-2 Practice identifying the resources required
    for ASAP success
  • Objective 3
  • Detailed information about this activity can be
    found in the Student Guide for Module A on pages
    150-154

67
Outline for Objective 4
Identify and obtain the best qualified
individuals to serve in key ASAP support
roles Topics (T) and Activities (A) T4-1 Roles
and responsibilities of ERC members T4-2 Roles
and responsibilities of other key ASAP support
staff T4-3 Qualities needed to support key ASAP
roles and responsibilities T4-4 Other
considerations for selection of individuals for
key ASAP roles A4-5 Practice identifying
qualities needed of ERC members
OVERVIEW
OBJECTIVE 1
OBJECTIVE 2
OBJECTIVE 3
OBJECTIVE 4
OBJECTIVE 5
OBJECTIVE 6
OBJECTIVE 7
68
About Objective 4
  • OBJECTIVE 4
  • Identify and obtain the best qualified
    individuals to serve in key ASAP support roles

69
ERC's Roles and Responsibilities
  • T4-1 Roles and responsibilities of ERC members
  • OBJECTIVE 4
  • Oversee program
  • Work with ASAP Manager to ensure ASAP guidance,
    the MOU, and other internal policies and
    procedures are followed (e.g., ERC SOP)
  • Review and investigate ASAP reports
  • Verify report completeness conduct
    investigation reach consensus on report
    acceptance/exclusion, identifying causal
    contributors to event, determining corrective
    action(s) and/or recommendation(s)

70
ERC's Roles and Responsibilities (Cont'd)
  • T4-1 Roles and responsibilities of ERC members
  • OBJECTIVE 4
  • Promote safety
  • Identify root causes of events make
    recommendations to prevent recurrence follow up
    on repeated instances disseminate identified
    safety issues and recommended preventive measures
  • Represent and promote ASAP to stakeholders
  • Take opportunities to get to know stakeholders
    and share ASAP information with them
  • Collaborate with ASAP Manager on program reviews
    and reports

71
FAA ERC Member's Roles and Responsibilities
  • T4-2 Roles and responsibilities of other key
    ASAP support staff
  • OBJECTIVE 4
  • Determine if FAA has independent evidence of a
    reported event
  • Assist with determining a possible violation
  • Provide ERC with pertinent facts to an event
  • Assist with reaching consensus on the final
    resolution of a report
  • Assist with tracking completion of corrective
    action(s) and/or recommendation(s)
  • Refer excluded events to the FAA

72
FAA ERC Member's Roles and Responsibilities
(Cont'd)
  • T4-2 Roles and responsibilities of other key
    ASAP support staff
  • OBJECTIVE 4
  • For complicated or controversial events
  • Consult with FAA or industry personnel in a
    confidential manner to gain better understanding
    of an event
  • Notify FAA management of potentially
    controversial events submitted to ASAP without
    disclosing the submitter's identity
  • Provide briefings and information to other FAA
    personnel regarding safety events and associated
    results of ERC/FAA investigations without
    disclosing the submitter's identity

73
ASAP Manager'sRoles and Responsibilities
  • T4-2 Roles and responsibilities of other key
    ASAP support staff
  • OBJECTIVE 4
  • Provide oversight of the ASAP report submission
    and review process
  • Receive, record, de-identify, and distribute
    reports confirm receipt of report track report
    status respond to report inquiries provide
    feedback to submitter serve as liaison between
    ERC and stakeholders share safety issues with
    the employee group representative
  • Facilitate the ERC meeting
  • Coordinate/announce meeting date/time develop
    and distribute agenda keep meeting on task,
    encourage teamwork, provide submitter information
    as necessary

74
ASAP Manager'sRoles and Responsibilities (Cont'd)
  • T4-2 Roles and responsibilities of other key
    ASAP support staff
  • OBJECTIVE 4
  • Perform ASAP record maintenance/tracking
  • Maintain database with ERC consensus decisions
    regarding report acceptance/exclusion, causal
    contributors, corrective action(s) and/or
    recommendation(s) and their completion, etc.
  • Perform or oversee ASAP data analyses
  • Collaborate with data analyst, if applicable, to
    summarize and identify trends in ASAP data
  • Perform or oversee program reviews/reports
  • Collaborate with ERC to prepare and distribute
    reports

75
Data Analyst'sRoles and Responsibilities
  • T4-2 Roles and responsibilities of other key
    ASAP support staff
  • OBJECTIVE 4
  • Convert raw data from ASAP reports into
    meaningful summary information, such as
  • Number/type of reports
  • Proportion of reports in a category to total
    events
  • Patterns in causal contributors
  • Frequency of events before/after a policy change
  • Frequency of reports over time
  • Frequency of a particular recommendation for
    change
  • Effectiveness of corrective action(s) and/or
    recommendation(s)

76
Qualities of a Successful ERC Member
  • T4-3 Qualities needed to support key ASAP roles
    and responsibilities
  • OBJECTIVE 4
  • Commitment to safety
  • Allows ERC members to focus on common goals
  • Expert knowledge about the work of the employee
    group
  • Helps ERC members to communicate with and receive
    respect from stakeholders, understand report
    context, determine acceptable performance, and
    identify cause
  • Knowledge of general system safety principles
  • Helps ERC members identify and mitigate threats
    to safety

77
Qualities of a Successful ERC Member (Cont'd)
  • T4-3 Qualities needed to support key ASAP roles
    and responsibilities
  • OBJECTIVE 4
  • Effective communication skills
  • Verbal and listening skills are critical to ERC
    success
  • Other personal characteristics
  • Professional maturity, open-mindedness,
    commitment to maintaining confidentiality,
    integrity, belief in the goal of improving
    safety, trust in ASAP and pride in being part of
    the ERC, freedom from personal or organizational
    biases, and commitment to full participation in
    ERC meetings are critical to promoting good
    teamwork among ERC members

78
Qualities of a Successful ASAP Manager
  • T4-3 Qualities needed to support key ASAP roles
    and responsibilities
  • OBJECTIVE 4
  • Commitment to safety
  • Familiarity with ASAP, the certificate holder's
    other safety programs, and safety principles
  • Expert knowledge of employee group's work
  • Commitment to maintaining confidentiality
  • Skill in meeting and teamwork facilitation
  • Strong communication skills, interpersonal
    skills, and working relationships
  • Respected by peers

79
Benefits of a Non-voting ASAP Manager
  • T4-3 Qualities needed to support key ASAP roles
    and responsibilities
  • OBJECTIVE 4
  • Increases likelihood that the ASAP Manager has
    sufficient time for ASAP responsibilities
  • Enables the ASAP Manager to maintain
    confidentiality
  • Puts the ASAP Manager in a position to encourage
    teamwork
  • Results in more timely and bias-free review of
    ASAP reports

80
Qualities of a Successful ASAP Data Analyst
  • T4-3 Qualities needed to support key ASAP roles
    and responsibilities
  • OBJECTIVE 4
  • Commitment to safety
  • Competency with computers and data analysis
    programs
  • Skill in basic data analysis and interpretation
  • Understanding of the employee group's work and
    type of reports likely to be submitted
  • Competence in working with confidential data

81
Questions to Guide ERC Participation Policy
  • T4-4 Other considerations for selection of
    individuals for key ASAP roles
  • OBJECTIVE 4
  • Can individuals take enough time away from job
    responsibilities to perform ASAP duties?
  • What responsibilities will alternate ERC members
    have?
  • Is there a specific period of time an individual
    should be expected to serve on the ERC?
  • What are the performance expectations for key
    ASAP personnel, and how will performance concerns
    be addressed?

82
Identify Individuals to Serve on ERC
  • A4-5 Practice identifying qualities needed of
    ERC members
  • Objective 4
  • Detailed information about this activity can be
    found in the Student Guide for Module A on pages
    186-192

83
Outline for Objective 5
Select or develop a data management system Topics
(T) and Activities (A) T5-1 Desirable features
of a data management system T5-2 Data to collect
and track in the data management
system T5-3 Guidance for event type and causal
contributor taxonomies T5-4 Guidance regarding
ASAP recordkeeping requirements
OVERVIEW
OBJECTIVE 1
OBJECTIVE 2
OBJECTIVE 3
OBJECTIVE 4
OBJECTIVE 5
OBJECTIVE 6
OBJECTIVE 7
84
About Objective 5
  • OBJECTIVE 5
  • Select or develop a data management system

85
Data Management System Features
  • T5-1 Desirable features of a data management
    system
  • OBJECTIVE 5
  • Collects, analyzes, tracks, and protects
    confidential data
  • Collects data to support all stakeholder needs
  • Includes data fields needed by the ERC
  • Customizes data fields in data submission form
    for each employee group
  • Allows for remote submissions
  • Includes email and attachment capabilities
  • Includes user-friendly data analysis tools

86
Data to Collect during ASAP Report Submission
  • T5-2 Data to collect and track in the data
    management system
  • OBJECTIVE 5
  • Important data include
  • Information about the submitter
  • Information about the event, the situation
    overall, as well as possible causal contributors
  • Permission to submit report to ASRS and/or VDRP
  • Some data fields may be pre-populated by the data
    management system
  • Based on identity of submitter
  • Based on time/date of entry

87
Data to Collect during ASAP Report Submission
(Cont'd)
  • T5-2 Data to collect and track in the data
    management system
  • OBJECTIVE 5
  • The following data fields may also be useful
  • Flight number
  • Departure airport
  • Scheduled arrival airport
  • Landing airport
  • Phase of flight
  • Weather
  • Aircraft position, altitude, speed, configuration

88
Data to Collect during the ERC's Report Review
Process
  • T5-2 Data to collect and track in the data
    management system
  • OBJECTIVE 5
  • The following information may be useful
  • Information regarding important dates/milestones
    in the processing of the report
  • Consensus decisions made by ERC regarding the
    report, including
  • Report acceptance/rejection whether sufficient
    evidence exists for 14 CFR violation event type
    and causal contributors risk category
    corrective action(s) and/or recommendation(s)
  • Whether event should be submitted to VDRP

89
Importance of an Effective Taxonomy
  • T5-3 Guidance for event type and causal
    contributor taxonomies
  • OBJECTIVE 5
  • Improves the ERC's understanding of the
    submitter's intended event type(s) and causal
    contributor(s)
  • Provides critical information regarding the root
    cause(s) of the event
  • Helps identify reports with common elements
  • Required for identifying systematic threats to
    safety
  • Facilitates communication about ASAP reports to
    all stakeholders

90
Characteristics of an Effective Taxonomy
  • T5-3 Guidance for event type and causal
    contributor taxonomies
  • OBJECTIVE 5
  • A comprehensive set of non-overlapping categories
  • Familiar terminology
  • Definitions and examples
  • Option to record "other" issues that may not be
    reflected in the existing taxonomy
  • Only high-level categories from the taxonomy for
    report submitters' use
  • Full taxonomy for ERC's/data analyst's use

91
Use of Event Type/Causal Contributor Taxonomies
  • T5-3 Guidance for event type and causal
    contributor taxonomies
  • OBJECTIVE 5
  • Report submitter selects high-level categories
    for the event type and causal contributors
  • Complete as part of ASAP report submission
    process
  • ERC reviews the report submitter's categories
  • If the report submitter has not already specified
    the event type or causal contributors, ERC should
    discuss and record appropriate classifications
  • If report submitter has specified the event type
    or causal contributors, ERC should evaluate their
    appropriateness and need for additional
    categories

92
Use of Event Type/Causal Contributor Taxonomies
(Cont'd)
  • T5-3 Guidance for event type and causal
    contributor taxonomies
  • OBJECTIVE 5
  • ERC discusses and records any sub-categories that
    specify a finer level of detail of understanding,
    as presented in the full taxonomy, that apply to
    the reported event
  • Use information from all reports about the same
    event
  • Incorporate information gained through the event
    investigation

93
Guidance Regarding ASAP Recordkeeping
  • T5-4 Guidance regarding ASAP recordkeeping
    requirements
  • OBJECTIVE 5
  • ERC should maintain documents and records needed
    to administer and evaluate ASAP
  • ASAP records should be maintained for at least 2
    years to evaluate effectiveness of corrective
    action(s) and/or recommendation(s)
  • All official documents and records should be
    maintained in accordance with Federal Aviation
    Regulations and applicable law
  • No reference to ERC-recommended training should
    be included in an airmen's training record

94
Outline for Objective 6
Identify and explain supportive internal policies
and procedures needed to ensure ASAP success
Topics (T) and Activities (A) T6-1 Potential
challenges for ASAP start-up T6-2 Internal
policies and procedures to establish at
start-up T6-3 Existing certificate holder
policies or agreements to consider T6-4 Documentat
ion of internal policies and procedures A6-5 Pract
ice identifying the need for internal policies
and procedures
OVERVIEW
OBJECTIVE 1
OBJECTIVE 2
OBJECTIVE 3
OBJECTIVE 4
OBJECTIVE 5
OBJECTIVE 6
OBJECTIVE 7
95
About Objective 6
  • OBJECTIVE 6
  • Identify and explain supportive internal policies
    and procedures needed to ensure ASAP success

96
Potential Challenges at Start-up and Beyond
  • T6-1 Potential challenges for ASAP start-up
  • OBJECTIVE 6
  • Building trust and establishing buy-in
  • Selecting the ASAP Manager, ERC members, and
    their alternates
  • Dealing with potentially sensitive issues like
  • Education on reportable events and protections
    offered
  • Keeping ERC members focused on safety, bias-free
  • De-identification of reports
  • Sharing of ASAP data with other safety programs
  • Attendance of non-ERC members at ERC meetings

97
Internal Policies and Proceduresto Establish for
Start-up and Beyond
  • T6-2 Internal policies and procedures to
    establish at start-up
  • OBJECTIVE 6
  • ASAP training
  • Managing, analyzing, and retaining ASAP reports
    and data
  • ASAP report review process
  • Communicating ASAP data to stakeholders
  • Conducting reviews of internal policies and
    procedures
  • Handling and sharing ASAP reports across multiple
    ASAPs within the certificate holder

98
ASAP Training
  • T6-2 Internal policies and procedures to
    establish at start-up
  • OBJECTIVE 6
  • Understanding of ASAP and its benefits by all
    stakeholders is necessary to
  • Develop trust in the program
  • Promote a shared understanding of the program
  • Ensure support and buy-in of the program across
    organizational levels
  • Ensure support of the ERC and its consensus
    decisions and recommendations
  • ASAP training is a program requirement and should
    be viewed as an on-going process

99
ASAP Training (Cont'd)
  • T6-2 Internal policies and procedures to
    establish at start-up
  • OBJECTIVE 6
  • Develop policies regarding the following
  • Content of training and retraining
  • Frequency of ASAP training/retraining offerings
  • Process for administering training/retraining
    (e.g., classroom setting, web-based applications)
  • Individual(s) in charge of conducting
    training/retraining
  • Process for tracking individuals' completion of
    training (e.g., individual(s) in charge software
    or system used)
  • Incentives in place for completing
    training/retraining or consequences for not doing
    so

100
Managing/Analyzing/Retaining Data
  • T6-2 Internal policies and procedures to
    establish at start-up
  • OBJECTIVE 6
  • Managing ASAP reports and data
  • Certificate holder's process for collecting ASAP
    reports
  • Consider specifying the data management system to
    be used, and what data fields will be included in
    the tool (e.g., event type and causal
    contributor)
  • Consider specifying taxonomies that will be used
    to categorize event types and causal contributors

101
Managing/Analyzing/Retaining Data (Cont'd)
  • T6-2 Internal policies and procedures to
    establish at start-up
  • OBJECTIVE 6
  • Managing ASAP reports and data (Cont'd)
  • De-identification of ASAP reports
  • Submitter identity may not be shared outside the
    ERC but ERC should consider whether to remove
    report submitter's identity for the initial
    report review and the appropriate process
  • Consider specifying who will remove the
    information, and when/at what point in the report
    review process will the ERC be given that
    information
  • Analyzing ASAP reports and data
  • Data analyst's access to report submitters'
    identity
  • Procedure for selecting an ASAP data analyst

102
Managing/Analyzing/Retaining Data (Cont'd)
  • T6-2 Internal policies and procedures to
    establish at start-up
  • OBJECTIVE 6
  • Retaining ASAP reports and data
  • Length of time and manner of ASAP data retention
  • Consider specifying procedures regarding the
    ERC's maintenance of documents and records for
    the effective management and evaluation of the
    ASAP's performance
  • Consider specifying procedures regarding the ASAP
    Manager's maintenance of all official ASAP
    documents and records that is in accordance with
    Federal Aviation Regulations and applicable law
  • Consider specifying exactly how long data should
    be retained to effectively manage and evaluate
    the performance of the ASAP, as prescribed by the
    8900.1ASAP

103
ASAP Report Review Process
  • T6-2 Internal policies and procedures to
    establish at start-up
  • OBJECTIVE 6
  • Pre-meeting preparation for ERC
  • Location and frequency of meetings
  • Event-related information gathering requirements
    of all ERC members
  • ERC meeting conduct rules
  • Attendance of non-ERC members at ERC meetings

104
ASAP Report Review Process (Cont'd)
  • T6-2 Internal policies and procedures to
    establish at start-up
  • OBJECTIVE 6
  • Materials to be available during the meeting
  • Consider creating a manual of the specific
    policies and procedures to be used as a resource
    during the ERC meeting
  • Specific procedures regarding protecting report
    submitter's identity during an ERC's
    investigation
  • Consider specifying procedures for the rare
    situation in which a submitter reports on another
    employee who may or may not be covered by the MOU

105
Communicating ASAP Data
  • T6-2 Internal policies and procedures to
    establish at start-up
  • OBJECTIVE 6
  • Procedure for determining the type of data report
    submitters want or need to receive
  • Many opportunities for communication exist, such
    as
  • Receipt of report acceptance/exclusion decision
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