An analytic framework to assess organizational resilience

Background: Resilience Engineering is a paradigm for safety management that focuses on coping with complexity to achieve success, even considering several conflicting goals. Modern socio-technical systems have to be resilient to comply with the variability of everyday activities, the tight-coupled and underspecified nature of work and the nonlinear interactions among agents. At organizational level, resilience can be described as a combination of four cornerstones: monitoring, responding, learning and anticipating. Methods: Starting from these four categories, this paper aims at defining a semi-quantitative analytic framework to measure organizational resilience in complex socio-technical systems, combining the Resilience Analysis Grid (RAG) and the Analytic Hierarchy Process (AHP). Results: This paper presents an approach for defining resilience abilities of an organization, creating a structured domain-dependent framework to define a resilience profile at different levels of abstraction, to identify weaknesses and strengths of the system and thus potential actions to increase system’s adaptive capacity. An illustrative example in an anaesthesia department clarifies the outcomes of the approach. Conclusions: The outcome of the RAG, i.e. a weighted set of probing questions, can be used in different domains, as a support tool in a wider Safety-II oriented managerial action to bring safety management into the core business of the organization

A proactive approach for maritime safety policy making for the Gulf of Finland : seeking best practices

A rapid increase in maritime traffic together with challenging navigation conditions and a vulnerable ecosystem has evoked calls for improving maritime safety in the Gulf of Finland, (the Baltic Sea). It is suggested that these improvements will be the result of adopting a regionally effective proactive approach to safety policy formulation and management. A proactive approach is grounded on a formal process of identifying, assessing and evaluating accident risks, and adjusting policies or management practices before accidents happen. Currently, maritime safety is globally regulated by internationally agreed prescriptive rules, which are usually revised in reaction to accidents. The proactive Formal Safety Assessment (FSA) is applied to risks common to a ship type or to a particular hazard, when deemed necessary, whereas regional FSA applications are rare. An extensive literature review was conducted in order to examine the opportunities for developing a framework for the GoF for handling regional risks at regional level. Best practices were sought from nuclear safety management and fisheries management, and from a particular case related to maritime risk management. A regional approach that sees maritime safety as a holistic system, and manages it by combining a scientific risk assessment with stakeholder input to identify risks and risk control options, and to evaluate risks is proposed. A regional risk governance framework can improve safety by focusing on actual regional risks, designing tailor-made safety measures to control them, enhancing a positive safety culture in the shipping industry, and by increasing trust among all involved.Peer reviewe

Best practices to improve maritime safety in the Gulf of Finland : a risk governance approach

The Gulf of Finland of the Baltic Sea is a vulnerable sea area with high volumes of maritime traffic and difficult navigation conditions. The reactive international rules are not anymore regarded adequate in ensuring safety in this sea area. In this paper, a regional proactive risk governance approach is suggested for improving the effectiveness of safety policy formulation and management in the Gulf of Finland, based on the risk governance framework developed by the International Risk Governance Council (IRGC), the Formal Safety Assessment approach adopted by the International Maritime Safety Organisation (IMO), and best practices sought from other sectors and sea areas. The approach is based on a formal process of identifying, assessing and evaluating accident risks at the regional level, and adjusting policies or management practices before accidents occur. The proposed approach sees maritime safety as a holistic system, and manages it by combining a scientific risk assessment with stakeholder input to identify risks and risk control options, and to evaluate risks. A regional proactive approach can improve safety by focusing on actual risks, by designing tailor-made safety measures to control them, by enhancing a positive safety culture in the shipping industry, and by increasing trust among all involved.Non peer reviewe

Modelling airport surface safety: a framework for a holistic airport safety management

Airports are complex systems involving the continuous interaction of human operators with the physical infrastructure, technology and procedures to ensure the safe and efficient conduct of flights. From an operational perspective, airport surface operations (i.e. runway and taxiway operations) require the interaction of five main stakeholders (i.e. crew or pilots, air traffic control, airport operator, ground handling and regulator) both to facilitate the ground movement of aircraft and vehicles, and to maintain the surface in a working condition. The complexity of these operations makes the runway and taxiway system vulnerable and presents a risk of failure with the consequent potential for the occurrence of accidents. Therefore, the development and implementation of an effective Safety Management System (SMS) are required to ensure the highest level of safety for surface operations. A SMS is a systematic approach to managing safety based on the four cornerstones of safety policy and objectives, risk management, assurance, and safety promotion. Although the International Civil Aviation Organisation (ICAO) provides the global legislative framework for SMS, the relevant regulations are still to be established at the national level with the consequence that practical guidance on the development and implementation of SMS is rare, and reliable tools to support SMS are lacking. The consequence of this is that the current approach to surface safety management is piecemeal and not integrated. Typically, a single accident and incident type is investigated from the perspective of an individual stakeholder with the consequence that resulting proposals for safety mitigation measures are biased and limited in terms of their impact. In addition, the industry is characterised by non-standardised data collection and investigation practices, insufficient or missing definitions, differing reporting levels, and a lack of a coherent and standardised structure for efficient coding and analysis of safety data. Since these shortcomings are a major barrier to the required holistic and integrated approach to safety management, this thesis addresses the four cornerstones of SMS and recommends major enhancements. In particular, a framework for a holistic airport surface safety management is proposed. The framework comprises the static airport architecture, a process model of surface operations, the determination of causal factors underlying failure modes of these operations, a macroscopic scenario tool and a functional relationship model. Safety data and other data sources feed the framework and a dedicated data pre-processing strategy ensures its validity. Unlike current airport surface safety management practices, the proposed framework assesses the safety of the operations of all relevant actors. Firstly, the airport architecture is modelled and the physical and functional variability of airports defined. Secondly, a process model of surface operations is developed, which captures the tasks of the stakeholders and their interactions with physical airport surface infrastructure. This model serves as a baseline model and guides the further development of the airport SMS. To manage the safety of surface operations, the causes of accidents and incidents must be identified and their impacts understood. To do so, a reference data set combining twelve databases from airlines, airport operators, Air Navigation Service Providers (ANSPs), ground handling companies and regulators is collected. Prior to its analysis, the data is assessed for its quality, and in particular, for its internal validity (i.e. precision), external validity (i.e. accuracy) and in terms of reporting levels. A novel external data validation framework is developed and each database is rated with a data quality index (DQI). In addition, recommendations for reporting systems and safety policies are given. Subsequently, the data is analysed for causal factors across stakeholders and the contribution of the individual actors are highlighted. For example, the analysis shows that the various stakeholders capture different occurrence types and underlying causal factors, often including information that is of potential use for another party. The analysis is complemented by interviews, observations and statistical analysis, and the results are summarised in a new taxonomy. This taxonomy is applicable to all relevant stakeholders and is recommended for operational safety risk management. After the airport surface operations have been modelled and the drivers to safety identified, the results are combined, resulting in a macroscopic scenario tool which supports the management of change (i.e. safety assurance), training and education, and safety communication (i.e. safety promotion) functions of the SMS. Finally, a structured framework to assess the functional relationship between airport surface accidents / incidents and their underlying causal factors is proposed and the system is quantified in terms of safety. Compared to the state-of-the-art safety assessments that are biased and limited in terms of their impact, the holistic approach to surface safety allows modelling the safety impact of each system component, their interactions and the entire airport surface system architecture. The framework for a holistic airport surface safety management developed in this thesis delivers a SMS standard for airports. The standard exceeds international requirements by standardizing the two SMS core functions (safety risk management and safety assurance) and integrating safety-relevant information across all relevant stakeholders. This allows a more effective use of safety information and provides an improved overview on, and prediction of, safety risks and ultimately improves the safety level of airports and their stakeholders. Furthermore, the methodology employed in this thesis is flexible and could be applied to all aspects of aviation SMS and system analysis.Open Acces

Recombinant bovine somatotropin : challenging Canada's science-based regulatory system and the emergence of post-normal science

Recombinant Bovine Somatotropin (rBST) is a biotechnology for increasing milk production in dairy cattle. The purpose of this research was to investigate and to build a better understanding of the complexities and controversies around this product in Canada. To accomplish this, I examined the Standing Senate Committee on Agriculture and Forestry’s inquiry into rBST and the drug approval process. I compared and contrasted the testimony of witnesses and Senators and I uncovered emerging issues, patterns, and themes. This research was an exploratory and qualitative exercise that analyzed how the participants of this Senate inquiry conceptualized and contested the meaning of science, safety, and the state’s regulatory functions. This research revealed several commonalities between Health Canada management, the human safety panel, and industry representatives. These witnesses argued that the drug approval process must be efficient, standard-driven, and based upon available scientific studies. These witnesses stated that they had confidence in the neutrality and competency of internal standard setting-agencies. They emphasized transparency rather than public participation in the drug approval process. Health and safety were conceptualized as static phenomena to be measured and evaluated by experts. In contrast, Health Canada employees had several commonalities with the Senators, dairy representatives, and witnesses from citizen interest groups. Their testimony supports the argument that health and safety are dynamic social constructs. These actors transformed the boundaries of science to accommodate their precautionary framing of safety. They highlighted several problems with Canada’s science-based regulatory framework and demanded that they have a decisive voice in the rBST decision. They challenged the hegemony of industrial capitalism by combining both scientific and lay knowledge to expose the limits and contradictions of industrialized agriculture

Safety-oriented Resilience Evaluation in Chemical Processes

In the area of process safety, many efforts have focused on studying methods to prevent the transition of the state of the system from a normal state to an upset and/or catastrophic state, but many unexpected changes are unavoidable, and even under good risk management incidents still occur. The aim of this work is to propose the principles and factors that contribute to the resilience of the chemical process, and to develop a systematic approach to evaluate the resilience of chemical processes in design aspects. Based on the analysis of transition of the system states, the top-level factors that contribute to Resilience were developed, including Design, Detection Potential, Emergency Response Planning, Human, and Safety Management. The evaluation framework to identify the Resilience Design Index is developed by means of the multifactor model approach. The research was then focused on developing complete subfactors of the top-level Design factor. The sub-factors include Inherent Safety, Flexibility, and Controllability. The proposed framework to calculate the Inherent Safety index takes into account all the aspects of process safety design via many sub-indices. Indices of Flexibility and Controllability sub-factors were developed from implementations of well-known methodologies in process design and process control, respectively. Then, the top-level Design index was evaluated by combining the indices of the sub-factors with weight factors, which were derived from Analytical Hierarchical Process approach. A case study to compare the resilience levels of two ethylene production designs demonstrated the proposed approaches and gave insights on process resilience of the designs

Integrating Safety, Security and Human Factors Engineering in Rail Infrastructure Design and Evaluation.

With the new emerging dependency towards the rail industry, there have been growing concerns on how to make this critical infrastructure more adaptable in this technological era of cyber attacks. Currently, the rail infrastructure is built around safety and human factors, but one important factor which has less attention is cyber security. In order to satisfy the security needs of rail stakeholders, there is a need to put together knowledge in the form of design framework by combining safety and human factors, with cyber security. The research problem this PhD thesis addresses is how the process-techniques and tool- support available in safety, security and human factors engineering can be integrated to provide design solutions in rail infrastructure. This PhD thesis claims that proposed design framework is an exemplar by making three significant contributions. Firstly, it identifies the integration of concepts between safety, security and human factors engineering. Secondly, based on integration it pro- vides an integrated design framework where Integrating Requirements and Information Security (IRIS), use-case specifications informed Task Analysis (TA) using Cognitive Task Analysis (CTA) and Hierarchical Task Analysis (HTA), Human Factors Analysis and Clas- sification System (HFACS) frameworks are used to inform Systems-Theoretic Process Analysis (STPA). This integrated design framework is tool-supported using the open- source Computer Aided Integrating Requirements and Information Security (CAIRIS) platform. Thirdly, the proposed design framework in the form of process-techniques and tool-support is implemented by rail infrastructure to determine the safe, secure and us- able design solutions. This PhD thesis is validated by applying the design framework to three case studies. In the first, preliminary evaluation is carried out by applying it to a case study of ‘Polish Tram Incident’, where inter-dependencies between safety, security, and human factors engineering are present. In the second, the results are used to inform TA using use-case specifications format by prototyping the role of European Railway Traffic Management System (ERTMS) - Signaller, which provides human factors experts a chance to work in collaboration with safety and security design experts. In the final case study, with the support of representative rail stakeholders from Ricardo Rail is used to implement STPA on case study of ’Cambrian Railway Incident’

Common sense common safety

"A report by Lord Young of Graffham to the Prime Minister following a Whitehall‑wide review of the operation of health and safety laws and the growth of the compensation culture" - Cover

Fireground location understanding by semantic linking of visual objects and building information models

This paper presents an outline for improved localization and situational awareness in fire emergency situations based on semantic technology and computer vision techniques. The novelty of our methodology lies in the semantic linking of video object recognition results from visual and thermal cameras with Building Information Models (BIM). The current limitations and possibilities of certain building information streams in the context of fire safety or fire incident management are addressed in this paper. Furthermore, our data management tools match higher-level semantic metadata descriptors of BIM and deep-learning based visual object recognition and classification networks. Based on these matches, estimations can be generated of camera, objects and event positions in the BIM model, transforming it from a static source of information into a rich, dynamic data provider. Previous work has already investigated the possibilities to link BIM and low-cost point sensors for fireground understanding, but these approaches did not take into account the benefits of video analysis and recent developments in semantics and feature learning research. Finally, the strengths of the proposed approach compared to the state-of-the-art is its (semi -)automatic workflow, generic and modular setup and multi-modal strategy, which allows to automatically create situational awareness, to improve localization and to facilitate the overall fire understanding

An Assurance Framework for Independent Co-assurance of Safety and Security

Integrated safety and security assurance for complex systems is difficult for many technical and socio-technical reasons such as mismatched processes, inadequate information, differing use of language and philosophies, etc.. Many co-assurance techniques rely on disregarding some of these challenges in order to present a unified methodology. Even with this simplification, no methodology has been widely adopted primarily because this approach is unrealistic when met with the complexity of real-world system development. This paper presents an alternate approach by providing a Safety-Security Assurance Framework (SSAF) based on a core set of assurance principles. This is done so that safety and security can be co-assured independently, as opposed to unified co-assurance which has been shown to have significant drawbacks. This also allows for separate processes and expertise from practitioners in each domain. With this structure, the focus is shifted from simplified unification to integration through exchanging the correct information at the right time using synchronisation activities