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 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 operational
improvements
Safety Management
How do we ensure safety in the more
complex, synchronized global system
that we strive toward
4
The evolution of safety thinking
TECHNICAL FACTORS
TODAY
HUMAN FACTORS
ORGANIZATIONAL
FACTORS
1950s
1970s
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
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
Objective:
Public
safety
Production
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
Accidents
30 – 100
Serious incidents
100 – 1000
Incidents
1000 – 4000
Latent conditions
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Strategies – Levels of intervention and tools
Safety management levels
Baseline performance
Hazards
Predictive
FDA
Direct
observation
systems
Highly efficient
Proactive
ASR
Surveys
Audits
Very efficient
Desirable management
level
Reactive
Reactive
ASR
MOR
Accident
and incident
organization
reports
Efficient
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
Intolerable
region
Regulations
EACH HAZARD
Training
Technology
R R R R
EACH RISK
A
L
A
R
P
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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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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