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having the jurisdiction and authority to effect the necessary change).
2) There are no surprises (i.e. there has been prior dialogue concerning the nature of the assessed
risks).
3) It articulates what should be done, while leaving the action authority with the latitude to
determine how best to meet that objective.
8.7.2 Formal safety recommendations warrant written communications. This ensures that the
recommendations are not misunderstood and provides the necessary baseline for evaluating the
effectiveness of implementation. However, it is important to remember that safety recommendations are only
effective if they are implemented.
— — — — — — — —
8-APP 1-1
Appendix 1 to Chapter 8
INTERVIEWING TECHNIQUES
Additional guidance for conducting effective interviews is listed below:
a) The interviewer’s role is to obtain information from the interviewee that is as accurate, complete and
detailed as possible.
b) Interviews, particularly those involving human performance factors, must go beyond the “what” and
“when” of the occurrence; they must also attempt to find out “how” and “why” it occurred.
c) The success of the interview will closely relate to personal preparation. Tailor the preparations to the
interview.
d) In the follow-up to an incident or safety event, interviews should be conducted as soon as
practicable. If an immediate interview is impracticable, request a written statement to ensure
information is recorded while fresh in the interviewee’s mind.
e) The success of the interview will depend on the timing and the structure of the questions. Begin the
interview with a “free-recall” question, letting the individual talk about what he or she knows of the
occurrence or subject matter. As the interview progresses, use a mixture of other types of questions,
for example:
1) open-ended or “trailing-off” questions. This type of question evokes rapid and accurate
descriptions of the events, and leads to more participation by the interviewee (for example, “You
said earlier that your training was …?”).
2) specific questions. This type of question is necessary to obtain detailed information and may
also prompt the person to recollect further details.
3) closed questions. This type of question produces “yes” or “no” answers (providing little insight
beyond the response).
4) indirect questions. This type of question might be useful in delicate situations (for example,
“You mentioned that the first officer was uneasy about flying that approach. Why?”).
f) When asking a question, avoid leading questions, i.e. any question that contains the answer.
Instead, use neutral sentences.
g) Do not accept any information gained in an interview at face value. Use it to confirm, clarify or
supplement information from other sources.
h) In some circumstances, there may be many witnesses to be interviewed. The resultant (oftenconflicting)
information must be summarized, sorted and compiled in a useful format.
8-APP 1-2 Safety Management Manual (SMM)
i) Good interviews require good listening skills.
j) Each interview should be documented for future reference. Records may consist of transcripts,
interview summaries, notes and/or tape recordings.
___________________
9-1
Chapter 9
SAFETY ANALYSIS AND SAFETY STUDIES
9.1 INTRODUCTION
9.1.1 After collecting and recording voluminous safety data through safety investigations and various
hazard identification programmes, meaningful conclusions can only be reached through safety analysis.
Data reduction to simple statistics serves little useful purpose without evaluation of the practical significance
of the statistics in order to define a problem that can be resolved.
ICAO requirement1
9.1.2 ICAO recognizes the linkages between safety analysis and safety management, and it promotes
the analysis of accident and incident data and the exchange of safety information. Having established safety
databases and incident reporting systems, States should analyse the information contained in their
accident/incident reports and their databases to determine any preventive actions required. ICAO also
recognizes the value of safety studies to help in developing safety recommendations.
Safety analysis — what is it?
9.1.3 Analysis is the process of organizing facts using specific methods, tools or techniques. Among
other purposes, it may be used to:
a) assist in deciding what additional facts are needed;
b) ascertain causal and contributory factors; and
c) assist in reaching valid conclusions.
　
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