New Approaches to Old Problems - Understanding SMS » My Airport Operations

Recently, and perhaps long overdue, the field of aviation management has gradually begun to adopt a "systems" approach to both aviation safety and security. This 'new way' of viewing an airport and airline operation has led to the development of such concepts as Safety Management Systems 1 and ICAO's AVSEC Professional Management Program.²

Taking a Systems Approach

In its most simplified form, a systems approach involves viewing an organization as a collection of interdependent, inter-related elements each providing input, in the form of feedback to various decision makers. The result is policy and procedures that affect the organization as a whole.

Aviation can be viewed as a complex adaptive system where a number of dynamic networks interact and are interdependent in producing a collective behavior – providing safe and secure air travel to customers (aka clients or passengers).

Typically, complex adaptive systems – such as aviation display the following characteristics:

The number of elements is sufficiently large that conventional descriptions (e.g. a system of differential equations) are not only impractical, but cease to assist in understanding the system, the elements also have to interact and the interaction must be dynamic. Interactions can be physical or involve the exchange of information.

Such interactions are rich, i.e. any element in the system is affected and affects several other systems.

The interactions are non-linear which means that small causes can have large results.

Interactions are primarily but not exclusively with immediate neighbors and the nature of the influence is modulated.

Any interaction can feed back onto itself directly or after a number of intervening stages, such feedback can vary in quality. This is known as recurrency.

Such systems are open and it may be difficult or impossible to define system boundaries

Complex systems operate under far from equilibrium conditions, there has to be a constant flow of energy to maintain the organization of the system

All complex systems have a history, they evolve and their past is co-responsible for their present behavior

Elements in the system are ignorant of the behavior of the system as a whole responding only to what is available to it locally ³

First developed as a science in the late 1800's, with the change in organizational thinking brought on by the industrial revolution, Systems Theory became a 'scientific' way to view organizations and championed by such groups as the Ford Foundation and University of Chicago as early as 1937.

Taking a systems approach is fundamental to viewing organizations – in this case civil aviation operations, as a complex, dynamic and goal oriented process rather than simply a collection of independent elements ( safety, security, operations and policy making) each operating in a vacuum and separate and distinct from the other.

Safety Management Systems

"During its early years, commercial aviation was a loosely regulated activity characterized by underdeveloped technology; lack of a proper infrastructure; limited oversight; an insufficient understanding of the hazards underlying aviation operations; and production demands incommensurate with the means and resources actually available to meet such demands." ⁴

During those times, safety was thought to be the sole purview and responsibility of one individual – the safety manager. Common day belief held that the best way to prevent accidents and reduce the number of safety related incidents was to strictly enforce compliance with the limited regulations of the day. The common axiom became, safety can be guaranteed as long as the rules were followed and that deviation from the rules leads to accidents and incidents. This approach simply failed to take into account the complexity of aviation operations and its dynamic operating environment.

Safety policy and recommendations were developed solely in response to individual incidents. These were aimed at specific, immediate needs as they were identified in causing a specific tragedy. This perspective was very good at identifying what happened but lacked a greater vision in explaining the interrelationships involved in the issue of 'why' the incident occurred at all.

It was not until the end of the Second World War (due in large part to the work of Bell Telephone Laboratories) and Western Electric Corporation) and the promulgation within academia of scientific better management of organizations, that the application of a 'systems' approach to aviation as a whole began to change this primordial attitude.

By the 1990's, taking into account the human element, and the interrelationship of safety with each operational component with the aviation system, (whether aerodrome or air operator) became far better equipped to address the '; why' issue of a given safety incident/accident. Human factors research and application truly came into its own within aviation during the early 1990's, some fifty years after its acceptance by most public sector organizations. Industry wide acceptance of the concept was ushered in by Professor James Reason⁵ – who provided a graphic model for understanding how aviation either operates successfully or drifts into failure. According to his model, accidents occur when a number of 'enabling' factors come together. Each factor in itself is not sufficient to breach the organization's safety defenses.

'Equipment failures or operational errors are never the cause of breaches in safety defenses, but rather the triggers. Breaches in safety defenses are a delayed consequence of decisions made at the highest levels of the system, which remain dormant until their effects or damaging potential are activated by specific sets of operational circumstances.'⁶

Safety accidents/incidents never occur within a vacuum, but are the result of an organizational process of interrelated elements as shown to the right.

Today's SMS (Safety Management System) concept is designed to address this new view of the aviation environment, making safety – much like security- everyone's business.

A Systems Approach to the AVSEC Environment

It was not until August 2007 that the ICAO in conjunction with the International Air Transport Association (IATA) adopted a systems approach to aviation security or SEMS as it is known. In the introduction to their working paper created for the 36^th Assembly SEMS is described as:

1.1 Security Management Systems (SEMS) essentially uses principles and concepts central to Safety Management Systems. The worldwide improvement of safety performances following global endorsement of Safety Management Systems suggests that similar improvement can be expected in the area of Security if SEMS principles are globally accepted by stakeholders and regulators.

1.2 Because SEMS is a system-wide approach to aviation security, its success is dependent on its endorsement by all stakeholders including regulators. The ICAO AVSEC Panel recognized this and concluded that the pursuit of the SEMS concept as a framework for the organization and management of aviation security resources should be included as a strategic objective for Security (AVSECP/18 Final Report Appendix A, Security Strategic Objective #15). ⁷

In order to better grasp the concept of AVSEC from a systems approach one must consider aviation security as comprised of a variety of elements each, again, interdependent and interrelated operating within the environment of civil aviation as a whole.

Among these elemental factors are:

1. Human factors and manpower concerns

2. Regulatory compliance at the local, State and National level

3. Equipment and technologies

4. Budget and financial considerations – where issues such as customer service, profit and loss come into play

5. Current and projected Threat and Risk Analysis & Mitigation

6. Personnel attrition and hiring/screening practices

7. Customer service, branding and customer satisfaction (customers being the traveling public and fellow aviation employees)

8. Program quality assurance and dynamic growth

From within a 'systems approach' security truly is today, everyone's business, not simply the responsibility of the security manager, State Civil Aviation Authority, or international regulatory bodies. While the responsible administrator assumes the lead role in overseeing policy and procedural decisions, input, throughout and feedback are provided by a host of designated and non-designated individuals within the aerodrome environment. Flight Security Managers, Ground Security Coordinators, the AVSEC Quality Assurance Officer, line maintenance personnel, customer service representatives – each employee, vendor, tenant and FBO employee is seen as a vital component of the airport security system.

Applications Problems and Perspectives

While the core concepts related to applying a systems approach to aviation management – specifically in the areas of safety and security have been around since the mid 1980's, individual airports and airlines have been slow in applying the principals in their day-to-day operations. One difficulty in application arises from a distinct lack of knowledge on the part of management in the mechanics of how to apply theory to day-to-day operations. A second difficulty stems from a lack of senior level training in security and safety management. Old-school beliefs that simply complying with regulations will guarantee success, safety, security and profit die hard. Progressive management is needed in order for any type of organizational development or change to occur.

The Systems Approach Model requires feedback from both line and staff and an awareness of the environment which goes beyond a simply 'doing my job' mentality. Organization-wide input, communication, feedback and cooperation are needed for a true systems approach to be effective.