1. Aviation Safety, Security & the Environment: The Way Forward Vince Galotti Chief/Air Traffic Management ICAO Safety and Efficiency An ICAO Perspective

2. Presentation Outline Two issues Evolution of ICAO’s efforts toward a more seamless and global ATM system Safety Management

3. 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 11 th 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

4. 4 Safety Management How do we ensure safety in the more complex, synchronized global system that we strive toward

5. 5 The evolution of safety thinking TECHNICAL FACTORS HUMAN FACTORS ORGANIZATIONAL FACTORS TODAY 1950s1970s1990s 2000s

6. 6 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.  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.

7. 7 Concept of safety (Doc 9859)  Safety acceptable level hazard identificationrisk management.  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.

8. 8 The management dilemma Production Protection Resources Management levels

9. 9 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  Operation of aircraft  Maintenance of aircraft  Air traffic services  Aerodromes  Two audience groups  States  Service providers  Three distinct requirements  Safety programme  SMS  Management accountability

10. 10 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  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

11. 11 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  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

12. 12 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 accepted by the State that, as a minimum:  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  States shall require, as part of their safety programme, that an [operator, maintenance organization, ATS provider, certified aerodrome operator] implements a accepted by the State that, as a minimum:  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

13. 13 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.  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.

14. 14 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)  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)

15. 15 Safety programme – SMS relationships State safety programme Organization’s safety management system (SMS) Organization’s production processes Objective: Public safety Objective: Manage and control safety risk Acceptance Oversight Objective: Achieve commercial goals and customer satisfaction Risk management Safety assurance Protection Production Oversight

16. 16 The essential is invisible to the eyes Number of occurrences 1 – 5Accidents 30 – 100 Serious incidents 100 – 1000Incidents 1000 – 4000 Latent conditions

17. 17 Strategies – Levels of intervention and tools Baseline performance “Practical drift” Operational performance organization Predictive ProactiveReactiveHighly efficientVery efficient Efficient Safety management levels Reactive Desirable management level Insufficient ASR Surveys Audits ASRMOR Accident and incident reports H i g h M i d d l e L o w Hazards FDA Directobservationsystems

18. 18 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 RRRR Accepting the mitigation of the risk HHHH Hazard identification and risk management Control and mitigation of the risk (s)  Is additional or mitigation warranted? different EACH HAZARD Regulations Training Technology  Do the mitigation strategies generate additional risk(s) EACH RISK Feedback (Safety assurance)

19. 19 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”  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”

20. 20 Positive culture Positive culture Flexible culture People 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 culture People have the willingness and the competence to draw conclusions from safety information systems and the will to implement major reforms. Informed culture People are knowledgeable about the human, technical, organizational and environmental factors that determine the safety of the system as a whole. Reporting culture People are prepared to report their errors and experiences Just culture People 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

21. 21 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  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