Safety and Efficiency

An ICAO Perspective
Aviation Safety, Security &
the Environment: The Way
Forward
Vince Galotti
Chief/Air Traffic Management
ICAO
 Presentation Outline
Two 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 SYSTEM
 Global ATM Operational Concept
 Provides the ICAO vision of seamless, global ATM system
 Endorsed by 11thth ANCONF
 SESAR and NexGen are adapting the concept

 Performance Based Transition

 Global Air Navigation Plan
23 Global Plan Initiatives
Stems from industry roadmap
Assists in establishment of performance objectives
Assists in implementation of ATM operational improvements
 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 FACTORS

HUMAN FACTORS

TODAY
ORGANIZATIONAL
FACTORS

1950s 1970s 1990s 2000s

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Concept of safety

 The elimination of accidents (and serious incidents) is

unachievable.
 Failures will occur, in spite of the most accomplished
prevention efforts.
 No human endeavour or human-made system can be
free from risk and error.
 Controlled risk and error is acceptable in an inherently
safe system.

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Concept of safety (Doc 9859)

Safety is the state in which the risk of harm to persons

or property damage is reduced to, and maintained at or

below, an acceptable level through a continuing process
of hazard identification and risk management.

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The management dilemma

Management levels
Resources Resources

Protection Production

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The big picture
Operation of aircraft
Maintenance of aircraft
Air traffic services
Aerodromes
Two audience groups
States
Service providers
Three distinct requirements
Safety programme
SMS
 Management accountability

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As of 23 November 2006

States shall establish a safety programme, in order to

achieve an acceptable level of safety in:
The operation of aircraft
The maintenance of aircraft
The provision of air traffic services
Aerodrome operations
The acceptable level of safety to be achieved shall be
established by the State(s) concerned

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What is a safety programme?
An integrated set of regulations and activities aimed at
improving safety.
States are responsible for establishing a safety
programme:
Safety regulation
Safety oversight
Accident/incident investigation
Mandatory/voluntary reporting systems
Safety data analysis and exchange
Safety assurance
Safety promotion

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 As of 23 November 2006
States shall require, as part of their safety programme, that
an [operator, maintenance organization, ATS provider,
certified aerodrome operator] implements a safety
management system accepted by the State that, as a
minimum:
 Identifies safety hazards
 Ensures that remedial action necessary to maintain an
acceptable level of safety is implemented
 Provides for continuous monitoring and regular
assessment of the safety level achieved
 Aims to make continuous improvement to the overall
level of safety
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What is an SMS?

 A systematic approach to
managing safety, including
the necessary organizational
structures, accountabilities,
policies and procedures.
 Providers are responsible for
establishing an SMS.
 States are responsible of the
acceptance and oversight for
providers’ SMS.

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As of 23 November 2006
An accepted safety management system shall clearly
define lines of safety accountability throughout the
[airline, maintenance, ATS provider, certified aerodrome
operator] organization, including direct accountability for
safety on the part of senior management.
Note. – Guidance on safety management systems is
contained in the ICAO Safety Management Manual
(Doc 9859).
(Accountability – Obligation or willingness to account for
one’s actions)

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Safety programme – SMS relationships

Protection Production

Objective:
Public
State
safety safety
programme

Oversight
Acceptance
Oversight

Objective:
Objective:
Organization’s Achieve
Organization’s
Manage and safety commercial
control production goals and
management customer
safety risk Risk management processes
system (SMS) satisfaction
Safety assurance

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The essential is invisible to the eyes
Number of occurrences

1–5 Accidents

30 – 100 Serious incidents

100 – 1000 Incidents

Latent conditions
1000 – 4000

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 Strategies – Levels of intervention and tools
Safety management levels

d le w
Baseline performance Hi g
h
Mi d Lo

OpHazards
erat Predictive Proactive Reactive Reactive
iona
l perf
orm FDA ASR ASR Accident
anc organization
and incident
e
Direct
observation
Surveys
Audits
MOR reports
systems
Highly efficient Very efficient Efficient Insufficient
Desirable management “Practical
level drift”

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 Risk mitigation at a glance
Hazard identification Assessment of the Control and Accepting the
and defences within mitigation mitigation of
risk management the safety system of the risk (s) the risk

H H H H Ø Does the mitigation

Intolerable address the hazard?
Regulations region Ø Does it address the
risk(s)?
EACH HAZARD Training Ø Is it effective?
A
L Tolerable Ø Is it appropriate?
Technology
A region Ø Is additional or
R R R R R different
mitigation warranted?
P
EACH RISK Acceptable Do the mitigation
region Ø
strategies generate
additional risk(s)

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 “designed”, it
evolves.
 It is generated “top-down”

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 Positive culture Source: David Marx

Informed culture Flexible culture

People are knowledgeable about the human, technical, People can adapt
organizational and environmental factors that determine the organizational processes
safety of the system as a whole. when facing high temporary
operations or certain kinds of
danger, shifting from the
conventional hierarchical
Reporting culture mode to a flatter mode.
People are prepared to
report their errors and Positive
experiences culture
Learning culture
People have the willingness
and the competence to draw
conclusions from safety
Just culture
information systems and the
People are encouraged (even rewarded) for providing essential
safety-related information. However, there is a clear line that will to implement major
differentiates between acceptable and unacceptable behaviour. reforms.

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 Summary
The global ATM system continues to grow rapidly
The growth will continue (environment?)
ICAO works toward a safe and efficient growth
Global ATM operational concept
Global Air Navigation plan
New approach to safety
Proactive, predictive
Performance based
SAFETY MANAGEMENT SYSTEMS

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