SOP Compliance - SmartCockpit€¦ · • 68% of managers did not know the industry compliance rate...
Transcript of SOP Compliance - SmartCockpit€¦ · • 68% of managers did not know the industry compliance rate...
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SOP Compliance
F/O Chris Sharber
United Airlines
B777 Flight Instructor
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Challenger Disaster
• What Happened?
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Challenger Disaster
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Challenger Disaster
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• Were they aware of the threat?
– Boosters were reused
– Evidence of damage on 14 of 24 previous missions
Challenger Disaster
– Engineers warned about potential for catastrophic loss
– Particularly in cold temperatures….
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• Launch Day: 36ºF
– Coldest launch on record
– 30º Colder than any previous launch
Challenger Disaster
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Why did they launch?Pressure?
Schedule?
Financial?
Political?
Public/Media?
Challenger Disaster
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Why did they launch?
A different view…
They had gotten away with it the last 24 times…
Challenger Disaster
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Normalization of Deviance:
“The gradual process through which unacceptable practices or standards become acceptable. As the deviant behavior is repeated without catastrophic
results, it becomes the social norm for the organization.”
“The Challenger Launch Decision”, Dr. Diane Vaughan
Challenger Disaster
Vaughan, Diane. The Challenger Launch Decision: Risky Technology, Culture, and Deviance at NASA. Chicago: The University of Chicago Press, 1996.
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Challenger Disaster
SRB Designed
Performance
• Actual flight performance deviates
• Analyze, modify
New Performance
Standard
• Actual flight performance deviates
• Analyze, modify
New Performance
Standard
• Actual flight performance deviates
• Analyze, modify
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Normalization of Deviance:
Your definition of normal behavior
is no longer based on the standard,
but what you’ve become accustomed to
Challenger Disaster
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Normalization of Deviance:
The shortcut gradually becomes the norm...
Challenger Disaster
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What does it feel like to be wrong?
Question:
“Being Wrong: Adventures in the Margin of Error” by Kathryn Schulz
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“Being Wrong: Adventures in the Margin of Error” by Kathryn Schulz
Normalization of Deviance
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Challenger Disaster
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Overview
• SOP Compliance and Normalization of Deviance
• What are the lessons for us?
• Where are we?
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SOP Origins
• Where SOPs come from:
– Manufacturers
– NASA Ames / Academia
– Company Goals/Standardization
– “Born in Blood”
• Past accidents/fatalities
– Data Driven
• FOQA / ASAP/ LOSA/ AQP
Things that Happened
Things that
Almost Happened
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• Why would there be incidents of non-compliance?
• Unintentional
• Intentional
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Unintentional Non-Compliance
What is our exposure? How often does it happen?
Average
2.1 unintentional errors per flight*
*The LOSA Collaborative – from article in AeroSafety Magazine, Dec 2013
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Unintentional Non-Compliance: Causes
– Lack of Knowledge (training or study)
– Simple Error (low SA, WM error, etc,)
– Reversion to old procedure
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• Reversion to Old Procedure
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• Reversion to Old Procedure
• Another industry trend…
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When flying with crewmembers who don’t share your background:• Reversion poses a greater risk• You may be reverting to something they don’t understand at all
• Reversion Threat:
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• Reversion to Old Procedure• Greatest occurrence is within first 30 days after a
change is implemented
• After that, continued non-compliance is morphing into Intentional Non-Compliance
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Intentional Noncompliance
– Competing Priorities / Poor Procedure
– Short Cutting / Time saving
– Rationalization – “I got my reasons!”
– Perceived Lack of Consequences• “It just doesn’t matter…”
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Is it an issue for the industry? How often does INC happen (percentage of flights)?
1. Less than 20% of flights
2. 20%-40% of flights
3. 40%-60% of flights
4. More than 60% of flights
49% of flights had INC
*The LOSA Collaborative – from article in AeroSafety Magazine, Dec 2013
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LOSA Data: Intentional NC
Prevalent Examples*:
Missed Callouts
Sterile Cockpit violation
Checklist from memory
Failure to Monitor/Crosscheck Autoflight mode
PF makes own flight guidance changes
Taxi duties before clearing runway
*The LOSA Collaborative – from article in AeroSafety Magazine, Dec 2013
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Does it really matter?
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Slip/Lapse
Mistake ViolationOmission
Gro
ss
Neg
ligen
ce Crim
inal
Act
Compliant Unintentional errors
Risky Intentional act
Risk is believed justified or underestimated
RecklessIntentional disregard of
significant risk
SOP
Behaviors
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Compliant Unintentional errors
Risky Intentional act
Risk is believed justified or underestimated
RecklessIntentional disregard of
significant risk
SOP
Mistake ViolationOmission
Gro
ss
Neg
ligen
ce Crim
inal
ActSlip/
Lapse
Which type of behavior poses the greatest threat to
safety?
Behaviors
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Improbable Seldom Occasional Probable Frequent
Catastrophic
Severe
Significant
Minor
Severity
Exposure/
Probability
SMS View: Behavior Risk
No Effect
Intentional
Non-ComplianceNormalization of Deviance
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0
1
2
3
4
5
6
7
8
Zero One Two
Erro
rs
INC Events
IntentionalTotal Errors
LOSA Data: Intentional NC Threat
• 0 INC = 2.1 Errors
• 1 INC = 3.9 Errors (~2x)
• 2 INC = 7.5 Errors (~3x)
• 2 or more INC = 3x mismanaged Threats, Errors and UAS
INC yields more than you asked for!
[The LOSA Collaborative]
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What is the industry’s average stabilized approach rate?
Question:
What is your company’s stabilized approach rate?
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What is the industry’s average
go-around compliance rate?
Question:
What about your company?
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Stabilized Approaches: Industry Averages*
Stable
Unstable
What is the industry’s average stabilized approach rate?
~96-97% Stable
~3-4% Unstable
*LOSA Collaborative and Airbus Studies
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Stabilized Approaches
Stable
Unstable
~1.5 - 3 % of unstable executed GA
~97- 98.5 % of unstable Landed
Go-Arounds From Unstable
*LOSA Collaborative and Airbus Studies, ASIAS analysis
What is the industry’s go-around compliance rate?
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Avg Per
Year
Total Flights
Unstable Apchs (3%)
Go-Arounds (3%)
Landings from Unstable
Avg Per
Day
657,000
19,710
591
1800
54
<2
19,11952
Unstabilized Approaches
Average Major Carrier
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Avg Per
Year
Total Flights
Unstable Apchs (3%)
Go-Arounds (3%)
Landings from Unstable
Avg Per
Day
657,000
9,855
296
1800
27
<1
9,55926
Unstabilized Approaches
Average Major Carrier
1.5%
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Regarding Go-Around Non-Compliance:
“Violating the rules has become so ingrained that airlines don’t enforce them and pilots don’t recognize when they are taking unnecessary risks.” Rudy Quevedo, FSF Director of Global Programs
From a Bloomberg article dated 6 September 2013:
What does that sound like?
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Normalization of Deviance!
NASA Shuttle SRBs:
24
Major Airline:
50 /Day
How long can we get away with this?
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We’re not.
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2011/2012 Aircraft Accidents
by Phase of Flight [FSF Study]
0
5
10
15
20
25
30
35
40
45
50
FLP PRF ESD TXO TOF RTO ICL ECL CRZ DST APR GOA LND TXI AES PSF FLC GDS
2011
2012
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Apch and Landing
Everything Else
Preventable with GA35%
65%
Aircraft Accidents by Phase: Consolidated[FSF Study, 16 yrs accident data]
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Aircraft Accidents by Phase: Consolidated[FSF Study, 16 yrs accident data]
Apch and Landing
Everything Else
Preventable with GA
65%
50%
15%
35%[Jim Burin, FSF/IASS 2011]
“No other single decision can have such an impact on the industry accident rate” [Curtis 2007]
“The largest, lowest hanging piece of safety fruit.” [FSF]
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• Why is compliance so low?• Go-Around Non-Compliance has been an
issue for 15+ years• Little to no change• Little data to explain why• Why has industry not been interested in this?
Why?
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2011 Go-Around Decision Making Project
Dr. J. Martin Smith PhDPresident
Capt Bill CurtisFSF Project Co-Chair
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Effective Go-Around Policy
Exe
cuti
on
Accomplished by Flight Crews
GA guidance trusted and believed in
Company management of
policy
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Execution of PolicyPilot Decision Psychology
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Execution of PolicyPilot Decision Psychology
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2
3
4
5
6
1Gut feel for
threats
Overall Presage SA awareness scores
Relying on experience
Seeing the threats
Knowing the limits
Corporate support for
safety
Knowing performance
metrics
Adjusting to threats
Keeping each other
safe
Knowing the procedures
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Survey Results - Unstable Approach Pilots:
• Scored significantly lower on all SA 9 components
• Feel go-around criteria is unrealistic
• Communicate less in the flight deck
• Are less compliant in standard calls/checklists
• PM’s uncomfortable challenging other pilot
• Feel there is no disincentive for non-compliance, ie management is not concerned
Execution of PolicyPilot Decision Psychology
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Effective Go-Around Policy
Exe
cuti
on
Accomplished by Flight Crews
GA guidance trusted and believed in
Company management of
policy
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• Subjective?
• Too restrictive?
• Crews consider them relevant?
• Perception: Non-compliant is not unsafe?
GuidanceStabilized Approach Criteria/Targets
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Effective Go-Around Policy
Exe
cuti
on
Accomplished by Flight Crews
GA guidance trusted and believed in
Company management of
policy
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• 87% of Stanford MBA students rated themselves above average
• 93% of students rated themselves in the top 50% for driving skill
• 70% of students rated themselves above average for leadership
• 85% put themselves above average for getting along with others
• 25% rated themselves in the top 1%
• 90% of Univ Nebraska faculty rated themselves above average teachers
Illusory Superiority
[Wikipedia; http://en.wikipedia.org/wiki/Illusory_superiority]
A Survey found that:
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Management of GA Policy• 68% of managers did not know the industry compliance rate
• 55% did not know their companies rate of compliance
• 88% estimated their company compliance rate was >10%
• 69% were satisfied with their company’s GA compliance rate
• 80% saw their GA policies as effective
[*Presage Management Survey Results]
Management is disengaged and unaware of the risks*
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Management of GA PolicyManagement is disengaged and unaware of the risks:
• “One of the drivers to [pilot’s] bad decisions to not go around is management’s lack of awareness and emphasis…”
• “The biggest obstacle is management’s role – their engagement, and policy execution.”
• “We will not move forward in the industry till management takes this on. Management is in denial that they are part of the problem.”
[Phone interview with Dr. Martin Smith, Presage Group and Cap Bill Curtis, FSF}
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Google:
Flight Safety Foundation: Go Around
Decision Making Project
AeroSafety World Magazine 2013 Article Series
The Presage Group
Dr J. Martin Smith, CEO
presagegroup.com
Solutions?
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Effective Go-Around Policy
Exe
cuti
on
Accomplished by Flight Crews
GA guidance trusted and believed in
Company management of
policy
Solutions?
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United Airlines Stabilized Approach Criteria
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United Airlines Stabilized Approach Criteria
Features:
• Same criteria day/night and IMC/VMC
• Starts higher- 1500’
• Widens speed window +15/-5
• Allows variability from 1000’ – 500’
• Defined Hard limit
• Requires engagement of PM
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United Airlines Stabilized Approach Criteria
FOQA Data Results:
• 4 consecutive year over year reduction in Unstabilized Approach rate
• Approx 22% improvement in 4 years
• Improvement in GA compliance rate
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Effective Go-Around Policy
Exe
cuti
on
Accomplished by Flight Crews
GA guidance trusted and believed in
Company management of
policy
Solutions?
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What’s your GA compliance rate?
Survey shows that simply being aware of this one piece of data significantly improves Pilot/Management SA
• Management improves oversight• Pilots make better decisions
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2
3
4
5
6
1Gut feel for
threats
Overall Presage SA awareness scores
Incremental SA benefit for knowing your companies GA compliance rate
Relying on experience
Seeing the threats
Knowing the limits
Corporate support for
safety
Knowing performance
metrics
Adjusting to threats
Keeping each other
safe
Knowing the procedures
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Summary…
Normalization of Deviance
We are here
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What are the“O-Rings” in your operation?
Thank You!