Aviation Safety, Security Aviation Safety, Security & the Environment: The & the Environment: The

Way ForwardWay Forward

Vince GalottiVince GalottiChief/Air Traffic ManagementChief/Air Traffic Management

ICAOICAO

Safety and EfficiencySafety and EfficiencyAn ICAO PerspectiveAn ICAO Perspective

Presentation OutlineTwo issues

Evolution of ICAO’s efforts toward a more seamless and global ATM system

Safety Management

CONTINUED EVOLUTION TOWARD A MORE GLOBAL AND SEAMLESS ATM SYSTEMGlobal ATM Operational Concept

Provides the ICAO vision of seamless, global ATM system Endorsed by 11th ANCONF SESAR and NexGen are adapting the concept

Performance Based Transition Global Air Navigation Plan

23 Global Plan InitiativesStems from industry roadmapAssists in establishment of performance objectivesAssists in implementation of ATM operational

improvements

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Safety Management

How do we ensure safety in the more complex, synchronized global system that we strive toward

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The evolution of safety thinking

TECHNICAL FACTORSTECHNICAL FACTORS

HUMAN FACTORSHUMAN FACTORS

ORGANIZATIONAL ORGANIZATIONAL FACTORS FACTORS

TODA

YTO

DAY

1950s1950s 1970s1970s 1990s1990s 2000s2000s

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Concept of safety

The elimination of accidents (and serious incidents) is The elimination of accidents (and serious incidents) is unachievable. unachievable.

Failures will occur, in spite of the most accomplished Failures will occur, in spite of the most accomplished prevention efforts.prevention efforts.

No human endeavour or human-made system can be No human endeavour or human-made system can be free from risk and error. free from risk and error.

Controlled risk and error is acceptable in an inherently Controlled risk and error is acceptable in an inherently safe system.safe system.

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Concept of safety (Doc 9859)

SafetySafety is the state in which the risk of harm to persons

or property damage is reduced to, and maintained at or

below, an acceptable levelacceptable level through a continuing

process of hazard identificationhazard identification and risk risk

management. management.

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The management dilemma

ProductionProtectionProtection

ResourcesResourcesManagement levels

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The big picture

Operation of aircraftOperation of aircraftMaintenance of aircraftMaintenance of aircraftAir traffic services Air traffic services AerodromesAerodromes

Two audience groupsTwo audience groupsStatesStatesService providersService providers

Three distinct requirementsThree distinct requirementsSafety programmeSafety programmeSMSSMS Management accountabilityManagement accountability

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As of 23 November 2006

States shall establish a States shall establish a safety programmesafety programme, in order to , in order to achieve an achieve an acceptable level of safetyacceptable level of safety in: in:The operation of aircraft The operation of aircraft The maintenance of aircraft The maintenance of aircraft The provision of air traffic services The provision of air traffic services Aerodrome operationsAerodrome operations

The acceptable level of safety to be achieved shall be The acceptable level of safety to be achieved shall be established by the State(s) concernedestablished by the State(s) concerned

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What is a safety programme?

An integrated set of regulations and activities aimed at An integrated set of regulations and activities aimed at improving safety.improving safety.

States are responsible for establishing a safety States are responsible for establishing a safety programme:programme:Safety regulationSafety regulationSafety oversightSafety oversightAccident/incident investigationAccident/incident investigationMandatory/voluntary reporting systemsMandatory/voluntary reporting systemsSafety data analysis and exchangeSafety data analysis and exchangeSafety assuranceSafety assuranceSafety promotionSafety promotion

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As of 23 November 2006

States shall require, as part of their safety programme, that States shall require, as part of their safety programme, that an an [operator, maintenance organization, ATS provider, [operator, maintenance organization, ATS provider, certified aerodrome operator]certified aerodrome operator] implements a implements a safety management system accepted by the State that, as a accepted by the State that, as a minimum:minimum: Identifies safety hazardsIdentifies safety hazards Ensures that remedial action necessary to maintain an Ensures that remedial action necessary to maintain an

acceptable level of safety is implemented acceptable level of safety is implemented Provides for continuous monitoring and regular Provides for continuous monitoring and regular

assessment of the safety level achievedassessment of the safety level achieved Aims to make continuous improvement to the overall Aims to make continuous improvement to the overall

level of safetylevel of safety

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What is an SMS?

A systematic approach to A systematic approach to managing safety, including managing safety, including the necessary organizational the necessary organizational structures, accountabilities, structures, accountabilities, policies and procedures.policies and procedures.

Providers are responsible for Providers are responsible for establishing an SMS.establishing an SMS.

States are responsible of the States are responsible of the acceptance and oversight for acceptance and oversight for providers’ SMS.providers’ SMS.

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As of 23 November 2006

An accepted safety management system shall clearly An accepted safety management system shall clearly define define lines of safety accountabilitylines of safety accountability throughout the throughout the [airline, maintenance, ATS provider, certified aerodrome [airline, maintenance, ATS provider, certified aerodrome operator] operator] organization, including organization, including direct accountability direct accountability for safety on the part of senior management.for safety on the part of senior management.Note. – Guidance on safety management systems is Note. – Guidance on safety management systems is contained in the ICAO Safety Management Manual contained in the ICAO Safety Management Manual (Doc 9859).(Doc 9859).(Accountability – Obligation or willingness to account for (Accountability – Obligation or willingness to account for one’s actions) one’s actions)

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Safety programme – SMS relationships

Statesafety

programme

Organization’ssafety

management system (SMS)

Organization’sproductionprocesses

Objective:Publicsafety

Objective:Manage and controlsafety risk

AcceptanceOversight

Objective:Achieve commercialgoals andcustomer satisfactionRisk management

Safety assurance

Protection Production

Oversight

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The essential is invisible to the eyes

Number of occurrences

1 – 5 AccidentsAccidents

30 – 100 Serious incidentsSerious incidents

100 – 1000 IncidentsIncidents

1000 – 4000 Latent conditionsLatent conditions

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Strategies – Levels of intervention and tools

Baseline performanceBaseline performance

“Practicaldrift”

Operational performance

Operational performance organization

Predictive Proactive Reactive

Highly efficient Very efficient Efficient

Safety management levelsSafety management levels

Reactive

Desirable managementDesirable managementlevel level

Insufficient

ASRASRSurveysSurveysAuditsAudits

ASRASRMORMOR

AccidentAccidentand incidentand incident

reportsreports

HHiigghh MMiiddddlleeLLooww

HazardsHazards

FDAFDADirectDirect

observationobservationsystemssystems

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Risk mitigation at a glance

Does the mitigation address the hazard?

Does it address the risk(s)?

Is it appropriate? Is it effective?

Assessment of the defences within

the safety system

R RR R

Accepting the mitigation of

the risk

H H H H

Hazard identificationand

risk managementControl and mitigation

of the risk (s)

Is additional or

mitigation warranted?different

EACH HAZARD

Regulations

Training

Technology

Do the mitigationstrategies generateadditional risk(s)

EACH RISK

ALARP

Intolerable region

Acceptable region

Tolerable region

Feedback (Safety assurance)

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Safety culture

A construct

An outcome, not a process

The introduction of safety management concepts lays the foundation upon which to build a safety culture

Safety culture cannot be “mandated” or Safety culture cannot be “mandated” or “designed”, it evolves.“designed”, it evolves.

It is generated “top-down”It is generated “top-down”

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Positive culture

Positiveculture

Flexible culturePeople can adapt

organizational processes when facing high

temporary operations or certain kinds of danger,

shifting from the conventional hierarchical mode to a flatter mode.

Learning culturePeople have the willingness

and the competence to draw conclusions from

safety information systems and the will to implement

major reforms.

Informed culturePeople are knowledgeable about the human, technical,

organizational and environmental factors that determine the safety of the system as a whole.

Reporting culturePeople are prepared to report their errors and

experiences

Just culturePeople are encouraged (even rewarded) for providing

essential safety-related information. However, there is a clear line that differentiates between acceptable and

unacceptable behaviour.

Source: David Marx

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SummaryThe global ATM system continues to grow rapidlyThe growth will continue (environment?)ICAO works toward a safe and efficient growth

Global ATM operational conceptGlobal Air Navigation plan

New approach to safety Proactive, predictivePerformance basedSAFETY MANAGEMENT SYSTEMS