Vince Galotti

8/3/2019 Vince Galotti

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

ForwardForward

Vince GalottiVince GalottiChief/Air Traffic ManagementChief/Air Traffic Management

ICAOICAO

Safety and EfficiencySafety and EfficiencyAn ICAO PerspectiveAn ICAO Perspective


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Presentation Outline

Two issuesEvolution of ICAOs efforts toward a

more seamless and global ATM

system

Safety Management


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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 11th 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 operationalimprovements


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Safety Management

How do we ensure safety in the morecomplex, synchronized global system

that we strive toward

How do we ensure safety in the morecomplex, synchronized global system

that we strive toward


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The evolution of safety thinking

TECHNICAL FACTORSTECHNICAL FACTORS

HUMAN FACTORSHUMAN FACTORS

ORGANIZATIONALORGANIZATIONAL

FACTORSFACTORS

TODAY

TODAY

1950s1950s 1970s1970s 1990s1990s 2000s2000s


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Concept of safety

The elimination of accidents (and serious incidents) isThe elimination of accidents (and serious incidents) isunachievable.unachievable.

Failures will occur, in spite of the most accomplishedFailures will occur, in spite of the most accomplished

prevention efforts.prevention efforts.

No human endeavour or humanNo human endeavour or human--made system can bemade system can be

free from risk and error.free from risk and error.

Controlled risk and error is acceptable in an inherentlyControlled risk and error is acceptable in an inherently

safe system.safe system.

The elimination of accidents (and serious incidents) isThe elimination of accidents (and serious incidents) isunachievable.unachievable.

Failures will occur, in spite of the most accomplishedFailures will occur, in spite of the most accomplished

prevention efforts.prevention efforts.

No human endeavour or humanNo human endeavour or human--made system can bemade system can be

free from risk and error.free from risk and error.

Controlled risk and error is acceptable in an inherentlyControlled 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 ofhazard identificationhazard identification and riskrisk

management.management.

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 ofhazard identificationhazard identification and riskrisk

management.management.


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The management dilemma

ProductionProtectionProtection

ResourcesResources

Management levels


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The big picture

Operation of aircraftOperation of aircraft Maintenance of aircraftMaintenance of aircraft Air traffic servicesAir traffic services AerodromesAerodromes

Two audience groupsTwo audience groupsStatesStatesService providersService providers

Three distinct requirementsThree distinct requirements

Safety programmeSafety programmeSMSSMS Management accountabilityManagement accountability

Operation of aircraftOperation of aircraft Maintenance of aircraftMaintenance of aircraft Air traffic servicesAir traffic services AerodromesAerodromes

Two audience groupsTwo audience groupsStatesStatesService providersService providers

Three distinct requirementsThree distinct requirements

Safety programmeSafety programmeSMSSMS Management accountabilityManagement accountability


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As of 23 November 2006

States shall establish aStates shall establish a safety programmesafety programme, in order to, in order toachieve anachieve an acceptable level of safetyacceptable level of safety in:in:

The operation of aircraftThe operation of aircraft

The maintenance of aircraftThe maintenance of aircraft The provision of air traffic servicesThe provision of air traffic services

Aerodrome operationsAerodrome operations

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

States shall establish aStates shall establish a safety programmesafety programme, in order to, in order toachieve anachieve an acceptable level of safetyacceptable level of safety in:in:

The operation of aircraftThe operation of aircraft

The maintenance of aircraftThe maintenance of aircraft The provision of air traffic servicesThe provision of air traffic services

Aerodrome operationsAerodrome operations

The acceptable level of safety to be achieved shall beThe acceptable level of safety to be achieved shall beestablished 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 atAn integrated set of regulations and activities aimed atimproving safety.improving safety.

States are responsible for establishing a safetyStates are responsible for establishing a safety

programme:programme:

Safety regulationSafety regulation Safety oversightSafety oversight

Accident/incident investigationAccident/incident investigation

Mandatory/voluntary reporting systemsMandatory/voluntary reporting systems

Safety data analysis and exchangeSafety data analysis and exchange Safety assuranceSafety assurance

Safety promotionSafety promotion

An integrated set of regulations and activities aimed atAn integrated set of regulations and activities aimed atimproving safety.improving safety.

States are responsible for establishing a safetyStates are responsible for establishing a safety

programme:programme:

Safety regulationSafety regulation Safety oversightSafety oversight

Accident/incident investigationAccident/incident investigation

Mandatory/voluntary reporting systemsMandatory/voluntary reporting systems

Safety data analysis and exchangeSafety data analysis and exchange Safety assuranceSafety assurance

Safety promotionSafety promotion


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States shall require, as part of their safety programme, thatStates shall require, as part of their safety programme, thatanan [operator, maintenance organization, ATS provider,[operator, maintenance organization, ATS provider,certified aerodrome operator]certified aerodrome operator]implements aimplements a safetymanagement system accepted by the State that, as aaccepted by the State that, as a

minimum:minimum: Identifies safety hazardsIdentifies safety hazards

Ensures that remedial action necessary to maintain anEnsures that remedial action necessary to maintain anacceptable level of safety is implementedacceptable level of safety is implemented

Provides for continuous monitoring and regularProvides for continuous monitoring and regularassessment of the safety level achievedassessment of the safety level achieved

Aims to make continuous improvement to the overallAims to make continuous improvement to the overalllevel of safetylevel of safety

States shall require, as part of their safety programme, thatStates shall require, as part of their safety programme, thatanan [operator, maintenance organization, ATS provider,[operator, maintenance organization, ATS provider,certified aerodrome operator]certified aerodrome operator]implements aimplements a safetymanagement system accepted by the State that, as aaccepted by the State that, as a

minimum:minimum: Identifies safety hazardsIdentifies safety hazards

Ensures that remedial action necessary to maintain anEnsures that remedial action necessary to maintain anacceptable level of safety is implementedacceptable level of safety is implemented

Provides for continuous monitoring and regularProvides for continuous monitoring and regularassessment of the safety level achievedassessment of the safety level achieved

Aims to make continuous improvement to the overallAims to make continuous improvement to the overalllevel of safetylevel of safety


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What is an SMS?

A systematic approach toA systematic approach tomanaging safety, includingmanaging safety, including

the necessary organizationalthe necessary organizational

structures, accountabilities,structures, accountabilities,

policies and procedures.policies and procedures.

Providers are responsible forProviders are responsible for

establishing an SMS.establishing an SMS.

States are responsible of the

States are responsible of theacceptance and oversight foracceptance and oversight for

providers SMS.providers SMS.

A systematic approach toA systematic approach tomanaging safety, includingmanaging safety, including

the necessary organizationalthe necessary organizational

structures, accountabilities,structures, accountabilities,

policies and procedures.policies and procedures.

Providers are responsible forProviders are responsible for

establishing an SMS.establishing an SMS.

States are responsible of the

States are responsible of theacceptance and oversight foracceptance and oversight for

providers SMS.providers SMS.


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An accepted safety management system shall clearlyAn accepted safety management system shall clearlydefinedefine lines of safety accountabilitylines of safety accountability throughout thethroughout the

[airline, maintenance, ATS provider, certified aerodrome[airline, maintenance, ATS provider, certified aerodrome

operator]operator]organization, includingorganization, including direct accountabilitydirect accountability

for safety on the part of senior management.for safety on the part of senior management.Note.Note. Guidance on safety management systems isGuidance on safety management systems is

contained in the ICAO Safety Management Manualcontained in the ICAO Safety Management Manual

(Doc 9859).(Doc 9859).

(Accountability(Accountability Obligation or willingness to account forObligation or willingness to account for

ones actions)ones actions)

An accepted safety management system shall clearlyAn accepted safety management system shall clearlydefinedefine lines of safety accountabilitylines of safety accountability throughout thethroughout the

[airline, maintenance, ATS provider, certified aerodrome[airline, maintenance, ATS provider, certified aerodrome

operator]operator]organization, includingorganization, including direct accountabilitydirect accountability

for safety on the part of senior management.for safety on the part of senior management.Note.Note. Guidance on safety management systems isGuidance on safety management systems is

contained in the ICAO Safety Management Manualcontained in the ICAO Safety Management Manual

(Doc 9859).(Doc 9859).

(Accountability(Accountability Obligation or willingness to account forObligation or willingness to account for

ones actions)ones actions)


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Safety programme SMS relationships

State

safety

programme

Organizationssafety

management

system (SMS)

Organizations

production

processes

Objective:Publicsafety

Objective:Manage andcontrolsafety risk

Acceptance

Oversight

Objective:

Achievecommercialgoals andcustomersatisfaction

Risk managementSafety 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 4000Latent conditionsLatent conditions


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Strategies Levels of intervention and tools

Baseline performanceBaseline performance

Practicaldrift

organization

Predictive Proactive Reactive

Highlyefficient Veryefficient Efficient

Safety managementlevelsSafety managementlevels

Reactive

Desirable managementDesirable managementlevellevel

Insufficient

ASRASR

SurveysSurveysAuditsAudits

ASRASR

MORMOR

AccidentAccidentandincidentandincident

reportsreports

HazardsHazards

FDAFDADirectDirect

observationobservationsystemssystems


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Risk mitigation at a glance

Does the mitigationaddress the hazard?

Does it address therisk(s)?

Is it appropriate?

Is it effective?

Assessment of thedefences within

the safety system

R RR R

Accepting themitigation of

the risk

H H H H

Hazard identification

andrisk management

Control andmitigationof the risk (s)

Is additional or

mitigation warranted?different

EACHHAZARD

Regulations

Training

Technology

Do the mitigationstrategies generateadditional risk(s)

EACH RISK

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 orSafety culture cannot be mandated or

designed, it evolves.designed, it evolves.

It is generated topIt is generated top--downdown

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 orSafety culture cannot be mandated or

designed, it evolves.designed, it evolves.

It is generated topIt is generated top--downdown


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Positive culture

Positiveculture

FlexibleculturePeople can adapt

organizational processeswhen facing high

temporary operations orcertain kinds of danger,

shifting from theconventional hierarchical

mode to a flatter mode.

Learningculture

People have the

willingness and the

competence to drawconclusions from safety

information systems and

the will to implement major

reforms.

InformedculturePeople are knowledgeable about the human, technical,organizational and environmental factors that determine the

safety of the system as a whole.

Reportingculture

People are preparedto report their errors

and experiences

JustculturePeople are encouraged (even rewarded) for providing

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

unacceptable behaviour.

Source: David Marx


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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 MANAGEMENTSYSTEMS

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 MANAGEMENTSYSTEMS

Documents

Vince Galotti