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