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Textbook Cognitive Engineering and Safety Organization in Air Traffic Management 1St Edition Tom Kontogiannis Ebook All Chapter PDF
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Cognitive Engineering and
Safety Organization in Air
Traffic Management
Cognitive Engineering and
Safety Organization in Air
Traffic Management
By
Tom Kontogiannis and Stathis Malakis
CRC Press
Taylor & Francis Group
6000 Broken Sound Parkway NW, Suite 300
Boca Raton, FL 33487-2742
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LIST OF A B B R E V I AT I O N S xv
LIST OF FI G U R E S xxi
LIST OF TA B L E S xxv
P R E FA C E xxix
ABOUT THE AUTHORS xxxv
COGNITIVE ENGINEERING IN A C H A N G I N G WO R L D xxxvii
PA R T I A N O V E R V I E W O F M A N AG E M E N T OF
O P E R AT I O N S A N D S A F E T Y 1
CHAPTER 1 TH E A I R TR A F F I C M A N A G E M E N T S Y S T E M 3
1.1 Introduction 3
1.2 The ATM System 4
1.2.1 Procedures and Regulations 7
1.2.2 Air Traffic Controllers (ATCOs) 9
1.2.3 Automation Systems 9
1.2.4 Communication Systems 13
1.2.5 Navigation Systems 14
1.2.6 Surveillance Systems 15
1.3 ATC Units 16
1.4 Airport Control Tower (TWR) Operations 18
1.4.1 Airport Controller Duties 20
1.4.2 Pilot Duties during Taxiing, Start up, or
Landing 21
VII
VIII C O N T EN T S
CHAPTER 2 FA C T O R S A F F E C T I N G ATM P E R F O R M A N C E 39
2.1 Introduction 39
2.2 Challenges in Coping with Abnormal Situations 40
2.3 Work Demands and Stress in the Operating
Environment 43
2.4 Classical Performance Models in Aviation 48
2.4.1 Aviate 48
2.4.2 Navigate 49
2.4.3 Communicate 50
2.5 Classical Performance Models in ATC 52
2.5.1 Management of Occurrences 52
2.5.2 Mental Pictures of Traffic 53
2.6 Aspects of Complexity and Coupling in the ATM
Environment 55
2.7 Aspects of Uncertainty in Making Sense of Information 58
2.7.1 Missing Information 59
2.7.2 Unreliable Information 60
2.7.3 Inconsistent Information 61
2.7.4 Information Noise 61
2.7.5 Hard to Interpret Information 62
2.8 Concluding Remarks 63
PA R T II COGNITIVE ENGINEERING 10 5
CHAPTER 4 DECISION-MAKING 107
4.1 Introduction 107
4.2 Theoretical Foundations 109
4.3 Rational or Analytical Decision-Making 110
4.4 Naturalistic Decision-Making 114
4.5 Toward a Decision-Making Model in ATC 120
4.6 Taskwork Functions and Strategies 121
4.6.1 Recognition 122
4.6.2 Modeling and Critiquing 126
4.6.3 Anticipation 127
4.6.4 Planning 128
4.6.5 Workload Management 130
4.6.6 The Taskwork Model 131
4.7 Teamwork Functions and Strategies 134
4.7.1 Team Orientation and Shared Understanding 137
4.7.2 Team Coordination 138
4.7.3 Information Exchange—Communication 139
4.7.4 Error Management 140
4.7.5 Task Distribution or Change Management 141
4.7.6 The Teamwork Model 143
4.8 Applications of T2EAM in Training, Debriefing,
and Investigation of Mishaps 143
PA R T IV S YS T E M S AND O R G A N I Z AT I O N A L
MODELS 277
C H A P T E R 11 O R G A N I Z AT I O N A L M O D E L S OF SAFE T Y 279
11.1 Introduction 279
11.2 Defenses-in-Depth and Organizational Safety 281
X II C O N T EN T S
C H A P T E R 13 I N T E G R AT I N G H U M A N A N D O R G A N I Z AT I O N A L
MODELS OF PERFORMANCE 341
13.1 Introduction 341
13.2 A Human Performance Model of Taskwork and
Teamwork 344
13.3 A Performance Model of Organizational Work 348
13.4 Toward a Joint Model of Human and
Organizational Performance 352
13.4.1 A Classification Scheme of Operational and
Organizational Functions 352
13.4.2 Human and Organizational Performance in
Time 355
13.5 Modeling Patterns of Breakdown Resulting in
“Loss of Control” Events 357
13.5.1 Patterns of Steering Failures 359
C O N T EN T S X III
C H A P T E R 14 O R G A N I Z AT I O N A L D E C I S I O N M A K I N G I N
M A N A G I N G W O R K TR A D E - O F F S : A R E S I L I E N C E
A PPROACH 369
14.1 Introduction 369
14.2 Human and Organizational Performance in
Balancing Work Trade-offs 370
14.3 Balancing Trade-offs at the Organizational Level 376
14.3.1 Steering 376
14.3.2 Modeling 377
14.3.3 Adapting to Change 377
14.3.4 Planning 378
14.3.5 Monitoring 378
14.3.6 Cooperating 379
14.3.7 Operating 379
14.4 Balancing Trade-offs at the Operational Level 380
14.4.1 Steering 380
14.4.2 Modeling 381
14.4.3 Adapting to Change 381
14.4.4 Planning 382
14.4.5 Monitoring 382
14.4.6 Coordination 383
14.4.7 Operating 384
14.5 Challenges in Managing Performance Trade-offs 384
14.5.1 Developing Competence to Operate at Both
Sides of the Spectrum to Choose the
Right Option 385
14.5.2 Switching between Modes and Evaluating
the Cost of Change 385
14.5.3 Blending Alternative Options or Operating
Modes 386
14.5.4 Developing a Mindset for Adaptation and
Change 386
14.6 Concluding Remarks 387
C H A P T E R 15 E FFECTIVE SAFE T Y RIS K MA N AG E M E NT 391
15.1 Introduction 391
15.2 An Overview of Safety Risk Management 392
15.3 System Models for Risk Management 393
15.4 Risk Models 399
15.4.1 Fault Tree Analysis 399
15.4.2 Event Tree Analysis 403
15.5 Influence Models 410
XIV C O N T EN T S
REFERENCES 421
INDEX 445
List of Abbreviations
A
ACC Area control center
ACS Area control surveillance
ADS Automatic dependent surveillance
AFTN Aeronautical Fixed Telecommunications Network
AIP Aeronautical information publication
AMAN Arrival manager
ANSP Air navigation service provider
AoR Area of responsibility
APP Approach control unit
APW Area proximity warning
ASM Airspace management
ATC Air traffic control
ATCO Air traffic controller
ATFCM Air traffic flow and capacity management
ATFM Air traffic flow management
ATM Air traffic management
ATS Air traffic service
ATZ Airport traffic zone
C
CAA Civil Aviation Authority
CAM Conflict alert message
XV
XVI LIS T O F A B B RE V I AT I O NS
CC Coordinating controller
CDO Continuous descend operations
CFIT Controlled flight into terrain
CLAM Cleared level adherence monitoring
CNS Communication, navigation, and surveillance
CSE Cognitive systems engineering
CTA Cognitive tasks analysis
CWP Controller’s working position
D
DMAN Departure manager
DME Distance measuring equipment
DSS Decision support systems
E
EASA European safety aviation agency
EAT Expected approach time
EATMP European air traffic management program
EC Executive controller
EEC Experimental center
ELT Emergency locator transmitter
ESARR EUROCONTROL Safety Regulatory Requirement
ETTO Efficiency–thoroughness trade-off
EUROCONTROL European Organization for the Safety of Air
Navigation
F
FAA Federal Aviation Administration
FAB Functional airspace block
FCOM Flight crew operating manual
FDPS Flight data processing system
FIS Flight information service
FL Flight level
FMS Flight management system
FOM Flight operations manual
FPS Flight progress strip
FRAM Functional resonance accident model
Ft Feet
FTA Fault tree analysis
FUA Flexible use of airspace
LIS T O F A B B RE V I AT I O NS X VII
G
GA General aviation
GAT General air traffic
GPS Global positioning system
GRD Ground controller
GS Glide slope
H
HERA Human error in ATM
HF High frequency
HFCAS Human factors analysis and classification system
HFE Human factors engineering
HMI Human machine interaction
HRO High reliability organization
HTA Hierarchical task analysis
I
I/O Input/Output
IANS Institute of Air Navigation Services
IAP Instrument approach procedure
ICAO International Civil Aviation Organization
IFR Instrument flight rules
ILS Instrument landing system
IM Inner marker
IRP Integrated risk picture
J
JCS Joint cognitive systems
L
LLWS Low level wind shear
LoA Letter of agreement
LOC Local controller
M
MDI Minimum departure interval
MEL Minimum equipment list
METAR Meteorological terminal air report
MM Middle marker
X VIII LIS T O F A B B RE V I AT I O NS
N
NATS National Aviation Traffic Services
NDM Naturalistic decision making
NextGen Next generation air transportation system
Nm Nautical mile
O
OAT Operational air traffic
ODS Operator input and display system
OJT On-the-job training
OJTI On-the-job training instructor
OM Outer marker
ORM Operational risk management
P
P/A Public announcement
PANS Procedures of air navigation services
PPL Private pilot license
PSR Primary surveillance radar
Q
QNH Code for altimeter setting indicating altitude above Mean
Sea Level
QRH Quick reference handbook
R
RA Resolution advisory
RADAR Radio detection and ranging
RAM Route adherence monitoring
RAT Risk analysis tool
RCF Radio communication failure
RDP Radar data processor
LIS T O F A B B RE V I AT I O NS XIX
S
SA Situation awareness
SADT Structured analysis and design technique
SAR Search and rescue
SARPs Standards and recommended practices
SES Single European skies
SESAR Single European sky ATM research program
SID Standard instrument departure
SME Subject matter expert
SMR Surface movement radar
SNET Safety net
SOPs Standard operating procedures
SSR Secondary surveillance radar
STAMP Systems-theoretic accident model and processes
STAM Short-term ATFCM measures
STAR Standard arrival route
STCA Short term conflict alert
Std Standard
T
T 2EAM Taskwork/teamwork for effective and adaptive
management
TA Traffic advisory
TCAS Traffic alert and collision avoidance system
TEM Threat and error management
TMA Terminal maneuvering area
TRACEr Technique for the retrospective and predictive analysis
of cognitive error
TRM Team resource management
TWR Tower
TX Transmission
XX LIS T O F A B B RE V I AT I O NS
U
UAC Upper area control
UACC Upper area control centre
UCS Unit competency scheme
UHF Ultra high frequency
UNL Unlimited
UTP Unit training plan
V
VFR Visual flight rules
VHF Very high frequency
VSM Viable system model
VMC Visual meteorological conditions
VOR Very high frequency omni directional radio range
List of Figures
Figure 1.2 Vertical profile of flight phases and Air Traffic Control Services. 6
XXI
X X II LIS T O F FI GURE S
Figure 3.2 Mapping high and low reliability organizations into the safety
envelope. (From Cook, R.I. and Rasmussen, J., Quality and Safety in
Health Care, 14, 2, 130–134, 2005.) 71
Figure 4.2 A decision tree for comparing teams of three or four controllers. 112
Figure 4.4 The Recognition Primed Decision (RPD) model showing the
functions of pattern-matching, situation diagnosis, and course
evaluation. (From Klein, G.A., The Power of Intuition, Currency
Books, New York, NY, 2004.) 118
Figure 4.6 2
A flow of cognitive functions in taskwork (T EAM). 132
Figure 6.1 The threat and error management (TEM) model. (Adapted from
Helmreich, R.L. et al., Proceedings of the Tenth International
Symposium on Aviation Psychology, The Ohio State University,
Columbus, OH, 677–682, 1999.) 167
Figure 6.2 Slips, lapses, mistakes, and violations. (Adapted from Reason, J.T.,
Human Error, Cambridge University Press, Cambridge, 1990.) 170
Figure 6.4 A four process model of performance in air traffic control. (From
Kontogiannis, T. and Malakis, S., Safety Science, 47, 693–706,
2009.) 180
Figure 7.3 Initial traffic flow for the arriving aircraft from ALPHA point. 215
Figure 7.4 A “bumpy” integration of ALPHA and BRAVO traffic flows. 216
Figure 7.5 A smooth integration of ALPHA and BRAVO traffic flows. 217
Figure 12.3 A simplified architecture of the hardware systems with two sector
suites in the National Aviation Traffic Services (NATS, UK). 319
Figure 13.2 A variant of VSM for organizational processes in system safety. 349
Figure 15.4 A cognitive task analysis of the tactical separation function. 398
Table 2.2 The ASSIST Model for Handling Abnormal ATM Situations 52
Table 2.3 Criteria Used to Frame and Reframe Mental Pictures in Air
Traffic Control 54
XXV
X XVI LIS T O F TA B L E S
Table 11.2 Control Loops Required for Managing Safety in Organizations 296
Table 12.1 A Chronology of Major Events That Took Place in the NATS
Incident 321
Table 12.2 Flaws in the Control Loops at the Operational Level of NATS
Activities 325
Table 12.3 Flaws in the Control Loops at the Regulation Level of NATS
Activities 326
Table 12.5 Seven Control Functions Common to STAMP and VSM 333
Table 13.2 Control Functions at the Organizational and Operational Levels 353
LIS T O F TA B L E S X X VII