Aviation Safety, Security & the Environment: The Way
Forward
Vince Galotti
Chief/Air Traffic Management
ICAO

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

The evolution of safety thinking
TECHNICAL FACTORS
HUMAN FACTORS
1950s 1970s
ORGANIZATIONAL
FACTORS
1990s 2000s
5

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.
6

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
Resources
Management levels
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
Production
Objective:
Public safety
Protection
State safety programme
Oversight
Acceptance
Oversight
Objective:
Manage and control safety risk
Organization’s safety management system (SMS)
Risk management
Safety assurance
Organization’s production processes
Objective:
Achieve commercial goals and customer satisfaction
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The essential is invisible to the eyes
Number of occurrences
1 – 5
30 – 100
100 – 1000
Accidents
Serious incidents
1000 – 4000
Incidents
Latent conditions
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Strategies – Levels of intervention and tools
Safety management levels
Baseline performance
Hazards Predictive
Proactive Reactive Reactive
FDA
Direct observation systems
ASR
Surveys
Audits
Highly efficient Very efficient
Desirable management level
ASR
MOR
Efficient
Accident organization reports
Insufficient
“Practical drift”
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Risk mitigation at a glance
Hazard identification and risk management
Assessment of the defences within the safety system
Control and mitigation of the risk (s)
H H H H
EACH HAZARD
R R R
EACH RISK
R
Regulations
Training
Technology
A
L
A
R
P
Intolerable region
Tolerable region
Acceptable region
Accepting the mitigation of the risk
 Does the mitigation address the hazard?
 Does it address the risk(s)?
 Is it effective?
 Is it appropriate?
 Is additional or different mitigation warranted?

Do the mitigation 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
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
Positive culture
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.
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.
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 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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