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This Document is issued as EATM Reference Material. The contents are not
mandatory. They provide information and explanations or may indicate best practice.
DOCUMENT CHARACTERISTICS
TITLE
Keywords
Night work Workload extremes Normal operations ATC Operations
Degraded systems Single Person Operations (SPO) hazards staffing
Position handover On-the-Job Training (OJT) Mitigation strategies safety
Contact Person Tel Division
Úna Mellett +32 2 7293482 Safety, Security and Human Factors Division (DAP/SSH)
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Path: DAP/SSH Deliverable Library
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Windows_NT Microsoft Word 10.0
The following table records the complete history of the successive editions of the present
document.
CONTENTS
DOCUMENT CHARACTERISTICS.............................................................................ii
EXECUTIVE SUMMARY.............................................................................................1
1. INTRODUCTION...................................................................................................3
1.1 Background ...............................................................................................................................3
1.2 Staffing Concept........................................................................................................................3
1.3 The Purpose of the Study .........................................................................................................5
1.4 The Scope of the Study.............................................................................................................6
1.5 Duration and Planning...............................................................................................................6
1.6 Data Collection Approach .........................................................................................................6
1.7 Structure of the Report..............................................................................................................7
1.8 Use of the Report ......................................................................................................................8
4. NIGHT WORK.....................................................................................................17
4.1 Introduction .............................................................................................................................17
4.2 Hazards ...................................................................................................................................17
4.3 Prevention and Mitigation Strategies ......................................................................................18
4.4 Mitigation Summary ................................................................................................................19
6. POSITION HANDOVER......................................................................................25
6.1 Introduction .............................................................................................................................25
6.2 Hazards ...................................................................................................................................25
6.3 Prevention and Mitigation Strategies ......................................................................................26
6.4 Mitigation Summary ................................................................................................................27
7. ON-THE-JOB TRAINING....................................................................................29
7.1 Introduction .............................................................................................................................29
7.2 Hazards ...................................................................................................................................29
7.3 Prevention and Mitigation Strategies ......................................................................................30
7.4 Mitigation Summary ................................................................................................................32
APPENDICES
REFERENCES ..........................................................................................................87
GLOSSARY ..............................................................................................................89
CONTRIBUTORS......................................................................................................93
EXECUTIVE SUMMARY
The lessons learned from the fatal accidents that occurred in the beginning of the century
highlighted concerns and issues related to staffing in Air Traffic Control (ATC) units, i.e.
Single Person Operations (SPO), staffing during all operations, and position handover. In the
Strategic Safety Action Plan (SSAP) developed by EUROCONTROL as a response to the
Linate and Überlingen accidents, a specific work package was identified to address issues
on adequate levels of staffing, which has led to this study on selected safety issues for
staffing ATC Operations. The referred work package has been approved by the Provisional
Council to be continued and fully delivered under the European Safety Programme for Air
Traffic Management (ATM) under its Activity Field 5, ‘Safety Management Enhancement’.
The purpose of this study was to review practices and trends for the staffing in ATC
Operations that focused on the following safety critical issues:
1) Staffing in degraded systems operations.
2) Staffing during workload extremes.
3) Staffing during night work.
4) Single Person Operations (SPO).
5) Position handover.
6) On-the-Job Training (OJT).
The aim when addressing these safety critical issues was to obtain a description of the
potential hazards and their appropriate prevention and mitigation strategies. The study
focuses on staff working in current operations (e.g. Air Traffic Controllers (ATCOs),
supervisors, On-the-Job Training Instructors (OJTIs), flight data, and in general ATM staff
occupying an operational position in the Ops room). Excluded are engineers and technicians
who interact with live operational equipment. Although it was acknowledged that these
categories are important, their inclusion was considered outside the scope of this study. The
staffing issues were investigated in the ATM domain as well as related industries.
Section 1, ‘Introduction’, presents the concept of staffing in ATC Operations, the approach,
chosen scope, and outlines the structure of the report.
Sections 2 to 7 cover the six staffing issues. Each of these sections outlines the hazards
associated with safe staffing, provides appropriate prevention and mitigation strategies, and
ends with a mitigation summary.
Section 8, ‘Interaction between the six issues’, describes the context in which hazards may
occur and appropriate prevention and mitigation strategies.
Section 9, ‘Summary and Conclusions’, provides the overall summary and main conclusions
from the study.
A list of references, a glossary of terms, a list of the abbreviations and acronyms used in this
document, and a list of the contributors to its development are also provided.
1. INTRODUCTION
1.1 Background
The lessons learned from fatal accidents that occurred in the beginning of this
century highlighted concerns and issues related to staffing in ATC units, i.e.
- Single Person Operations (SPO)1,
- staffing during all operations,
- position handover.
1
See Section 5 for definition.
2
ESARR5 competence is taken to mean possession of the required level of knowledge, skills, experience and, where required,
proficiency of English, to permit the safe and efficient provision of ATM services.
3
ESARR3 – 5.2.1: ATM service provider shall ensure that staff are adequately trained, motivated and competent for the job they
are required to do. In addition, to be properly licensed if so required.
Note: Safe staffing may simply be to staff all operational positions required to
be open at any one time. Whereas, unsafe staffing is when not all
operational positions are staffed to the right level when required.
• Over- and under-staffing: Not enough staff to handle properly the traffic,
leading to safety occurrences including accidents. Over-staffing may lead
to boredom and hence distraction. Also staff may be needed for other
tasks.
• Traffic variation: High-traffic volume may fall into periods when humans
are not at their biological peaks. This is influenced by factors such as
length of duty and when the peak volume occurs in regard to circadian
rhythm.
• Fit for duty: (fatigue, drugs, alcohol, medical). Awareness of fitness for
duty state. Balancing personal and professional life and scheduling free
time.
• Health: The impact of working shift overtime and the nature of the job on
the individual.
Manning of sectors
Interpersonal relationships at
work - teamwork Regulatory
Breaks requirements OJT
SPO Continuous
Rest after night shift Human
training
Factors Training
Overtime requirements
Check out
8 hrs consecut.
max.
5 wks leave Cultural
Legal Factors impacting
33 hrs/wk requirements staffing in
Environment
Union ATC Operations
representatives Social
Annual leaves Economical
Safety assessments Flow control
SMS
requirements Traffic demand
Safety surveys
Reporting
b) Issues/hazards that may arise and the related prevention and mitigation
strategies in place.
The staffing issues are investigated in the ATM domain as well as related
industries.
The study lasted six months, from September 2005 to March 2006.
To ensure that the range of potential issues was identified, it was decided to
use a parallel approach. This implied that data on the six staffing issues was
sought by the following approaches:
o The hazards associated with the respective topics and safe staffing.
• Section 9 provides a summary of the contents of this report and draws the
main conclusions from the study.
The contents of this report can be used, where appropriate, as a checklist for
supervisors and safety managers in ANSPs, and can then be adapted to the
context of the local environment.
2.1 Introduction
The conditions that operational staff face can be considered as either within or
outside the limits of what constitutes ‘normal operating conditions’. Conditions
‘outside’ these limits can be classified as degraded system operations.
2.2 Hazards
People
Procedures
Checklists: Use the checklists to implement the contingency plan.
Coordination between departments: Clear procedures on coordination
and communication between the relevant departments (e.g. operations
and engineering) during degraded modes (planned or unplanned).
Managing capacity: Adapt capacity to match actual staff levels and
degraded mode(s).
System safety assessment methodology: Use safety assessment
methodology such as extensive system assessment/testing prior to
commissioning new software versions.
Adjacent units: Notify adjacent units of major planned degraded modes.
Consider involving adjacent units in the contingency plans to manage the
risks associated with degraded modes (planned or unplanned).
3. WORKLOAD EXTREMES
3.1 Introduction
3.2 Hazards
• Suitably qualified staff: The right number and mix of staff to work the
positions now required may not be available.
People
4
It should be noted that this topic was not considered as relevant for all ANSP organisations, i.e. if
traffic situation represents medium to low.
• OJT training: Supervisor should consult the OJTI to decide how much
OJT (if any) should take place when there is peak workload (see Section
7).
• Workload: Recognise that low workload has its own hazards. Consider
approving extra curricula activity to manage this situation.
Equipment (tools)
Procedures
• Minimum staffing level arising from daily and seasonal traffic variations
should be respected. That is only allow staffing to fall below these
minimums when a requisite reduction in capacity is implemented or when
anticipated traffic levels are below expectations.
• Recognise that low workload has its own hazards; to manage this consider
approving extra curricula activity.
4. NIGHT WORK
4.1 Introduction
“It is common knowledge that work efficiency during the night is not the same
as during the day” (as cited in van den Heuvel, Fletcher, Paradowski, and
Dawson, 2003, p. 8). There are several staffing aspects related to night work.
Traffic levels differ during the night. Staff have biological challenges
concerning performance and vigilance. Night work, from a staffing perspective,
is usually part of a shiftwork system where staff have to rotate through shifts
including night shifts in order to meet the task demand. For further information
regarding the effects of shiftwork during night work see EUROCONTROL,
2004a.
4.2 Hazards
• Suitably qualified staff: The right number and mix of staff to work the
positions now required may not be available. Smaller pool of staff to select
from (controllers who may not work at night, controllers not fully rated,
etc.) Lack of competency / recency to handle situations that occur at night
and infrequently.
• Traffic levels: Low-traffic levels can lead to reduced vigilance, i.e. loss of
concentration and risk of not reacting (in time). High-traffic levels may lead
to stress.
• Fatigue: Fatigue may induce loss of situational awareness that may lead
to safety occurrences.
5
Fatigue is defined as the exhaustion of mind or body resulting from labour or exertion. Tiredness is defined as the feeling an
individual has in relation to their fatigue level.
People
• Risk mitigation: Utilise risk mitigation process for staff replacement and
staff management.
• Rest facilities and napping: Make use of rest facilities including for
strategic naps. Various studies have also demonstrated that napping
might improve objective performance and alertness, and decrease feelings
of sleepiness. It is recommended to authorise and encourage napping as
a strategy to reduce fatigue-related problems. It should however be noted
that performance might also be degraded in the period immediately after
waking up (i.e. ‘sleep inertia’). ‘Immediate’ is relative, in that this can last
from a few minutes to several hours. In addition, the successfulness of
napping is largely dependent on individual factors (e.g. factors like
motivation, age, and also the roster itself). Findings indicate that a ten-
minute nap does not involve sleep inertia effects (van den Heuvel et al.,
2003). In general, however, the research findings regarding naps and
sleep inertia are somewhat contradictory and limited, and it can be
concluded that napping appears to be a useful strategy, but this issue is
complex and requires more research to determine appropriate napping
strategies for various circumstances.
Equipment (tools)
Procedures
• Managing rest facilities. Develop processes for managing the use of rest
facilities including for strategic naps.
5.1 Introduction
In the context of this study, it is recognised that there are two types of Single
Person Operations (SPO) in ATM:
- position staffed by a single person (sector operated by one person),
- an Ops room staffed by a single person,
This report does not advocate SPO and only aims to summarise hazards and
prevention/mitigation associated with SPO should they exist. However, it is
recommended that a detailed risk/safety assessment is carried out prior to
deciding on the implementation of SPO.
5.2 Hazards
• Task load: Task load too high, which leads to having to perform
concurrent tasks.
• Task load: Task load too high, which leads to having to perform
concurrent tasks.
• Fitness for duty: The individual fitness for duty is not detected.
People
Planned SPO
Unplanned SPO
Equipment (tools)
Procedures
6
This is in itself is not a mitigation but a unit culture issue which could identify future mitigation.
7
ESARR 4 requirement 5.1.c) specifies that an ATM service provider shall ensure that hazard identification as well as risk
assessment and mitigation are systematically conducted for any changes to those parts of the ATM System and supporting
services within his/her managerial control, in a manner which addresses the three different types of ATM elements (human,
procedures and equipment), the interactions between these elements and the interactions between the constituent part under
consideration and the remainder of the ATM System.
6. POSITION HANDOVER
6.1 Introduction
“… just because I have told someone, they may still not know what I know”
(Cumming & Bradbury, 2003, p. 3). Position handover can be defined as “the
accurate reliable communication of task-relevant information across shift
changes, thereby ensuring continuity of safe and effective working” (Lardner,
1996, p. 3), or as “the requirements needed for the safe transfer of the
understanding of the operational situation from one team/person to another
team/person”. In ATC, shift handover can be triggered for instance by the end
of a given controller’s shift, or by ‘bandboxing’ (in which sectors are combined
for operational reasons). Controllers generally spend a fair amount of time (out
of regulation as well as necessity) on the process of handing over to ensure
that the incoming controller has an adequate overview not only of the traffic
situation but also the control strategies of the outgoing controller.
6.2 Hazards
People
• Roster design: Time for position handover should be built into the roster.
Equipment (tools)
Procedures
7. ON-THE-JOB TRAINING
7.1 Introduction
OJT has long been recognised as critical in the training of an ATCO and of a
major consequence in his/her overall formation. The EUROCONTROL
deliverable ‘Air Traffic Controller training at Operational Units’ (1999) provides
recommendations and guidelines for the organisation and conduct of ATCO
Unit training. It proposes the introduction of a structured approach to Unit
training with a transition phase (after basic institutional training), a pre-OJT
phase, using global and analytical simulations and the OJT phase where the
emphasis is on student coaching. This section deals with the OJT-related
staffing issues.
7.2 Hazards
• Vigilance and distraction: Missing critical events because the OJTI is not
actively participating in what is going on and OJTI assumes that the
trainee is more skilled then he/she really is or OJTI is distracted by an
event.
• Simulator training: Trainee arrives in the live environment not yet ready
for the live environment due to insufficient or lack of simulator training.
Potentially too many issues for the OJTI to deal with.
• Roster plans: Not enough time is rostered to allow OJTI and student/
trainee to brief for duty and debrief the sessions. This leads to insufficient
preparation and distractions during the end of shift when debriefings are
conducted on the shift. Also the staffing/roster may be planned such that
the OJTI and trainee ‘cover’ two operational positions.
People
Equipment (tools)
Procedures
• OJT sessions: Avoid ad hoc OJT, i.e. OJT should be formalised, planned,
structured, and integrated with employee orientation (see ESARR 59).
8
EU ATCO Licensing Directive 26/2006 Article 11 ‘Conditions for maintaining rating and keeping endorsements valid – The
instructor endorsement shall be valid for a renewable period of 36 months.’
9
ESARR5: 5.2.1.10 requires operational units to have approved unit training plans. 5.2.2.3: Unit(s) have approved unit training
plans by the Designated Authority, which detail the processes by which a student and/or a trainee air traffic controller is trained
to meet the required standards to meet the objective of providing a safe air traffic control service. 5.2.2.10: An air traffic
controller at his/her unit(s) whose competence is in doubt complies with any conditions imposed upon him/her by the designated
authority.
• The number of OJT sessions in Ops room at any one time should be
restricted to avoid trainees in adjacent positions.
• All trainees should reach a required proficiency level prior to plugging into
a ‘live’ position.
• Ergonomics of the position should allow the instructor to easily observe all
aspects of the position. Appropriate tools should be readily available for
the OJTI to enable him/her to intervene rapidly.
8.1 Introduction
When analysing the interaction between the six issues, the following two
approaches have been taken into consideration:
The remaining four topics (SPO, night work, position handover, and OJT),
were explored in relation to how they are affected by high/low workload
(e.g. sector complexity) in combination with normal/degraded working
conditions.
The following paragraphs describe the outcome of the analysis for both
approaches.
High-workload situations
Low-workload situations
The aim of addressing the four issues on the two dimensions, ‘high/low-
workload situations’ and ‘normal/degraded operational conditions’ was to
explore under what circumstances (where in the quadrants) the staffing issues
are considered as problematic and where they are not. To achieve this the
data providers10 needed to describe the circumstances that give rise to risks
and possible mitigation strategies. An important factor was to clearly describe
and define any relevant contextual conditions. These factors would be the task
demands and workforce variables in a unit/organisation (see Figure 1).
Some hazardous/problematic
Red/green stripes Grey/black stripes
areas
Non hazardous /
Green Grey
unproblematic
10
Data providers refer to the data and judgement provided by the nine ANSPs interviewed.
Workload
SPO
Low
Normal Degraded
Operational situation
Figure 3: An illustration of a likely risk picture for the staffing issues (green
colour: not considered as hazardous; red colour: considered as hazardous)
• the overall staffing requirements and its associated hazards and mitigation
approaches during night would be different depending on whether the
level of workload is high or low, or whether the operating conditions are of
a normal or degraded nature;
• the nature of OJT, and the hazards/mitigation approaches for the training
would most likely depend on whether workload is high or low, and on
whether the operating conditions are normal or degraded; however, a
qualified controller indeed needs to be able to manage both of these
situations, so the trainee will need controlled exposure to such situations;
deciding when such exposure is appropriate and low risk is the challenge.
The following paragraphs present the respective four staffing issues and will
include hazards associated with the different operating situations, and the
Low-workload situations
8.2.2 SPO
High-workload situations
Low-workload situations
High-workload situations
Low-workload situations
8.2.4 OJT
High-workload situations
Low-workload situations
Low workload provides opportunities for the OJTI to use the time on
position for teaching purposes, which helps to maintain arousal for
both participants.
8.3.1 Introduction
A further analysis has been carried to understand more fully the impact of
each issue on each other and how they interact.
Degraded Ops 1 2 3 4 5
Workload extremes 6 7 8 9
Night work 10 11 12
SPOs 13 14
Position handover 15
OJT
SPO (3)
Degraded operations have a medium/high impact on SPO. The impact of
degraded operations on SPO needs to be carefully assessed so as to verify
whether SPO is safely acceptable.
OJT (5)
Degraded operations have a medium impact on OJT. There are possibly two
ways to look at this issue:
1. Degraded systems as an interference to OJT.
2. Degraded systems as they should be practised during training.
In the first case the issue should be addressed in the OJT guidelines, e.g.
should the training continue or the OJTI take over. In the second case there is
a need to train on degraded operations (simulators are good at simulating
degraded operations) and in the last stages of training and provided the
trainee has the required theoretical knowledge, the OJT could continue in a
degraded operation environment.
SPO (7)
Workload extremes have a high impact on SPO. Extreme high workload
during night may prevent SPO being a safe staffing option. A safety
assessment should verify that SPO is safe in relation to traffic levels. In low
workload the impact on SPO is lower and less hazardous.
OJT (9)
Workload extremes have a medium/high impact on OJT. Although a very
tricky issue, this is just an OJT issue in relation with the trainees’ development
status as well as the OJTI’s capability to take over should it be required.
In low workload there is low/no impact on OJT.
SPO (10)
Night work has a medium/high impact on SPO depending on the traffic levels.
OJT (12)
Night work has low impact on OJT. There is an observed danger of letting
trainees self-train during night shifts.
OJT (14)
SPO have a low impact on OJT. There is no specific issue related to this
interaction that has not been mentioned earlier in the report.
Position handover has a low/medium impact on night work. As such (i.e. not
combined with other issue(s)) there is no specific interaction that has not
already been noted in the report.
SPO (13)
Position handover has a low impact on SPO. There is no specific issue related
to this interaction that has not been mentioned earlier in the report.
OJT (15)
Position handover has a medium impact on OJT. It is important that roles are
defined and agreed between trainee and OJTI, i.e. is the position handover
part of the training session and the trainee should carry it out, or is it not the
case and the OJTI will take care of that.
SPO (14)
OJT has a low impact on SPO. There is no specific issue related to this
interaction that has not been mentioned earlier in the report.
9.1 Introduction
Workload extremes
• Minimum staffing level arising from daily and seasonal traffic variations
should be respected. That is only allow staffing to fall below these
minimums when a requisite reduction in capacity is implemented or when
anticipated traffic levels are below expectations.
• Recognise that low workload has its own hazards; to manage this consider
approving extra curricula activity.
Night work
SPO
11
ESARR 4 requirement 5.1.c) specifies that an ATM service provider shall ensure that hazard identification as well as risk
assessment and mitigation are systematically conducted for any changes to those parts of the ATM System and supporting
services within his/her managerial control, in a manner which addresses the three different types of ATM elements (human,
procedures and equipment), the interactions between these elements and the interactions between the constituent part under
consideration and the remainder of the ATM System.
Position handover
OJT
• The number of OJT sessions in Ops room at any one time should be
restricted to avoid trainees in adjacent positions.
• All trainees should reach a required proficiency level prior to plugging into
a ‘live’ position.
• Ergonomics of the position should allow the instructor to easily observe all
aspects of the position. Appropriate tools should be readily available for
the OJTI to enable him/her to intervene rapidly.
Table 3: Recommendations when considering night work, SPO, handover, and OJT in different operating conditions
Consider traffic flow management or Supervisors should be on duty. Consider collapsing positions In planned degraded situations
other filtering techniques where possible. supervisors should be on duty
(e.g. re-routing to an adjacent Consider traffic flow management or e.g. to manage impact of work
sector). other filtering techniques Allowing breaks. plans. If no supervisor is on
Night work
Common recommendations for Common recommendations for Common recommendations for Common recommendations
SPO Position/Ops Room SPO Position/Ops room SPO Position/Ops room for SPO Position/Ops Room
Consider traffic flow management or Consider traffic flow management or Consider introducing support tools Procedures should be in place
other filtering techniques other filtering techniques to improve vigilance. to support the operational staff
(e.g. re-routing to an adjacent (e.g. re-routing to an adjacent and this procedure should be
sector). sector). Consider approving extra curricula subject to a risk management
activity to manage the situation. approach.
Should workload increase Guidance procedure on managing
unexpectedly and uncontrollably, the most critical issues – such Additional recommendations for Guidance procedure on
backup staff should be available on situations should be simulated SPO position managing the most critical
call-in within reasonable time limits during refresher/emergency issues – such situations
to ensure the safe continuation of situations. Consider bandboxing the position should be simulated during
SPO
All handovers/takeovers should be Consider requiring the handing-over Where possible minimise the Handover/takeover of a
conducted at a time when doing so controller to remain to answer any number of handovers. position should not be done
will not compromise the information queries and verify handover. during an emergency or
transfer (i.e. during demand Avoid unnecessary handovers, degraded situation until the
troughs). Handover/takeover should not be e.g. smoking breaks. emergency or degraded
done during an emergency or situation is stabilised.
Consider monitoring the degraded situation (may wish to However, the supervisor may
handover/takeover. make a controller swap because of wish to make a controller swap
performance management issues). because of performance
The length of the handover/takeover In the case of critical incidents – management issues. In the
Handover
will also vary and should take the CISM procedures maybe case of critical incidents –
time required (not necessarily the recommended. CISM procedures may be
rostered time). recommended.
All handovers/takeovers should be
Consider requiring the handing-over conducted at a time when doing so
controller to remain to answer any will not compromise the information
queries and verify handover. transfer (i.e. during demand
troughs).
Train handover situations
Consider monitoring the
handover/takeover.
The OJTI’s assessment of the The OJTI’s assessment of the It is not always possible to Whether or not trainee is
trainee and his/her own capability trainee and his/her own capability combine positions because the permitted to continue working
should determine whether or not to should determine whether or not to trainee is not receiving training in under supervision will depend
allow the trainee to continue in the allow the trainee to continue in the all positions at once. This may on the competence achieved
service delivery role under the service delivery role under the lead to additional staffing to date and the degree of
supervision of the OJTI. supervision of the OJTI. requirements during low-workload abnormality. This assessment
situations. is usually made by the OJTI
A supervisor may remove a trainee A supervisor may remove a trainee but may include advice from
from active control in deference to from active control in deference to Low workload provides the supervisor if one is
the circumstance. At no time should the circumstance. At no time should opportunities for the OJTI to use present.
a supervisor insist that the trainee a supervisor insist that the trainee the time in the position for
needs to stay in position under needs to stay in position under teaching purposes, which helps
supervision (this is only at the supervision (this is only at the maintain arousal for both
OJT
Use simulator to get trainee to a Use simulator to get trainee to a Positions combined wherever
minimum standard prior to training minimum standard prior to training possible to ensure that the trainee
commencing in the operational commencing in the operational is properly challenged and
environment, and use simulator to environment, and use simulator to maintains concentration.
provide trainee with workload that provide trainee with workload that
approaches (or exceeds) the live approaches (or exceeds) the live
environment. environment.
9.3 Conclusions
The purpose of this report was to highlight a range of hazards and prevention
and mitigation strategies relevant to the selected six topics for staffing an ATC
Operations. The study served to identify information to derive practical
material, for instance:
- checklists,
- training and awareness material for controllers,
- safety risk assessment material.
• assess their own practices related to the findings of the report and update
these where appropriate.
• use the content of the report in training for supervisors, controllers and
safety personnel. It is considered that the work produced in this report is
valuable to supervisors, safety assessors, and roster designers.
Therefore, the contents of the report may be adapted locally and
generated into suitable communication and awareness material.
• Addressing the six safe staffing issues in terms of hazards and prevention
and mitigation strategies.
• The six issues were explored in relation to each other: The six staffing
issues do not seem to be mutually exclusive. By organising the issues
according to their concerns and constructs (in a framework or model) it is
possible to explore their relations. The topics were thus organised in the
following way:
Note: Further details on data collection approach, and interview details are
available on request.
• At least two days off should be rostered frequently – at least every second
cycle. Single days off should be avoided.
• There should be a regular pattern for rostering both within and between
shift cycles. However, do not group together shifts that influence normal
sleep hours).
• Extra duty shifts affecting normal sleep hours should be evenly distributed.
Some strategies to manage fatigue are listed in Flight Safety Australia (2005):
12
It should be noted that the author points out that some of the guidelines might be contradictive, and
they should be read in the context of the entire set of recommendations made in the report.
Until 1992, each sector was, for a significant period of each day, manned by
two people – one looking after the ‘procedural’ elements and the other
responsible for providing a radar service and a communication service. The
‘procedural’ controller was regarded as being the controller in charge and
therefore holding ‘Command Authority’.
The change was made after considerable analysis of the potential issues (i.e.
hazards). This was undertaken before AirServices had implemented a formal
Safety Management System (SMS) and many of the processes followed were
subsequently incorporated in AirServices Australia’s SMS. The staff changes
were also made as a prelude to introducing a future Air Traffic Management
system known as ‘The Australian Advanced Air Traffic System (TAAATS)’ –
using Eurocat 2000 technology.
The result of these changes was the emergence of Single Person Operations
(SPO) – i.e. a single air traffic controller became responsible for managing all
aspects of air traffic management for a particular volume of airspace or at a
particular aerodrome. The situation was slightly different for en-route,
approach and tower environments.
En-route environments
Approach environments
In the larger en-route centres that also provide approach services, one such
controller may ultimately be responsible for all of the approach airspace
around a major capital city airport and be sitting quite remotely from other
SPO controllers in the room. Typically, this is the scenario at night.
Tower environments
The reduction in staff in towers – particularly the smaller ones – also created
situations where there are now a number of towers around the country which
at various times during the day, are manned by a single controller. This
scenario may be because the other controller is on a break or, there is simply
no other controller needed and therefore none is rostered.
In the larger capital city towers (which are also equipped with a variety of
surveillance technologies), the traffic/workload (even on a night shift) still
requires at least two controllers. However, in the smaller regional and general
aviation towers (usually where there is no radar or other surveillance
technology available – yet), there is only a need for a single person – and at
night, many of these towers are simply closed leaving the airspace as a
Mandatory Broadcast Zone (MBZ) which is uncontrolled (i.e. no Air Traffic
Control service is provided).
Typical (but not necessarily exhaustive) safety hazards needing mitigation are:
The hazards identified above (referring to the same numbers, i.e. mitigation
number 1 corresponds to hazard number 1 etc.) may be mitigated by the
following:
responsible. They also liaise regularly with the check controllers and
thus have a good understanding of the standardisation issues to be on
the lookout for.
Introduction
Discussion
These procedures should limit the levels and duration of traffic to an amount
safely handled by a lone ATCO and should also deal with the possibility of the
ATCO becoming unable to perform his/her duties. Procedures should be in
place not only for the SPO unit but also for neighbouring units that may be
affected. Because traffic may increase unexpectedly or uncontrollably, backup
staff should be available on call-in within reasonable time limits to ensure the
safe continuation of service. But it should be noted that in the case of an
aircraft emergency, it is unlikely that staff could be called in quickly enough to
assist in the increased workload. This is a risk that ANSPs and their
customers must be willing to take if they use SPO.
SPO of longer duration do not allow the taking of normal meal and relief
breaks. It should be noted that as a result of their research, the United
Kingdom has recently regulated that: “...no operational duty shall exceed a
period of two hours without there being taken during or at the end of that
period a break or breaks totalling not less than thirty minutes.” IFATCA also
has policies on maximum working hours.
Effects on ATCOs
What becomes apparent from the above discussion on the effect to the
system is that the SPO also affects the personal wellbeing of the ATCO. As a
minimum, he/she may be unable to take a meal or relief break for extended
periods. IFATCA policies on night shifts, working hours and breaks are a good
indication that this is an undesirable situation. Until a recent arbitration,
Canada used SPO to staff night shifts of up to eight hours. The arbitrator ruled
that this was an unreasonable length of time for an ATCO to work alone and
ordered a minimum of two staff for any duration longer than three hours.
Further, the ATCO has no medical assistance in the event that he/she falls ill
or is injured. Labour law in many jurisdictions requires that there be one
employee present at all times who is trained in basic first aid. The use of SPO
would require each ATCO have this training and be able to apply first aid on
him/herself. The ATCO has no assistance should his/her unit be subject to
unlawful interference. Fatigue may influence the controller’s abilities. The 1996
Transport Canada study noted that: “...sustained vigilance for prolonged
periods of time is demanding... and leads to decreased alertness and low
motivation.”
Each of the above factors can increase both the fatigue and the level of stress
felt by the ATCO in the course of his/her shift, both of which have been found
to be detrimental to health and well being. Further information on the resulting
effects of SPO and current IFATCA policy on work and rest schemes, stress,
fatigue and pregnancy is available.
Four-Eye Principle
Another aspect of SPO is the lack of the Four-Eye Principle (4EP). 4EP is
defined as the situation where an active controller is accompanied by another
appropriately qualified controller whose function includes that of a safety net
by monitoring the same working area as the active controller.
IFATCA Policy
Conclusions
SPO eliminate redundancy in the human element of the ANS system. This can
lead to a failure of the whole system should the traffic demand on the ATCO
exceed his/her abilities or would he/she fall ill. SPO may be detrimental to the
well-being of the ATCO by reducing his/her ability to take normal breaks while
at the same time increasing the level of stress and fatigue under which he/she
is operating. For these reasons, the use of single controller shifts should be
strongly discouraged. Where providers choose to use SPO, they - not the
ATCO - must bear the responsibility for the resulting risk to the system.
IFATCA POLICY
References
The problem
It is acknowledged that the vast majority of handovers take place without any
problems, and only a very small proportion are flawed. Therefore, the level of
normal human reliability has already been reached and potential mitigations
should be targeted at the other system elements procedures (checklists)
and/or equipment.
Before handover
During handover
After a handover
The problem
• This fact alone does not give sufficient indication of the scale of the
problem, unless statistics are made available to establish the relationship
between the total number of sector hours and the number of sector/hours
during On-the-Job Training (OJT) for a specified time period.
Potential explanations
• The instructor allowing the situation to develop for the purpose of training.
• In general, humans are not good at monitoring tasks and the OJTI’s role
demands a high degree of monitoring.
Potential solutions
• Clearly defining and documenting the roles and responsibilities of the OJTI
and implementing them in the OJTI training programme.
• Introducing a regular meeting forum for the OJTIs for exchanging lessons
learned and good practices and for supporting drafting the respective
unit/ANSP training plan.
• Detailing when and how to take over control from the trainee, including the
take-over of communication, by using the appropriate switch/pedal to
activate the transmitter.
• Introducing the practice of briefings and debriefings between the OJTI and
trainee.
- emergency situations.
• The possibility for OJTI and student to be able to use simulation facilities
during OJT so that certain experiences occurring with live traffic can be
repeated in a simulated environment in order to maximise the lessons
learned.
A framework was developed that listed candidate domains and the ATM
staffing relevant criteria on which they needed to match. The development of
the framework made it possible to identify specific domains that were believed
to be similar to ATM on relevant features. The selection of domains (related
industries) was thus based upon a methodology developed to avoid a more
intuitive and thus probably biased process.
The domain selection framework was originally developed for the shiftwork
study, and a detailed description of the approach can be found in
EUROCONTROL (2004b). For the shiftwork study, the domain selection
framework indicated that the Medical Emergency Room personnel, together
with the airlines and the police would make good subjects for data collection
on best practices for shiftwork. As the relevant features of the domain
selection framework defined for the shiftwork study are also relevant for
staffing issues (e.g. features like effort and stressors involved in the work), it
was decided to elaborate on the framework developed for this study, rather
than developing a framework that excluded these features. In addition to the
existing features, the following features were included:
SPO;
handover;
night work;
OJT;
workforce characteristics (is the operative team comprised of staff
performing different or same tasks?);
legal requirements in relation to staffing (tight vs. loose);
whether the following are relevant and associated with any risks:
- over/under-staffing;
- high-traffic volume falls into periods when humans are not at their
biological peaks;
- professional pride and/or ‘can do’ mentality;
- part-time controller recency;
- whether SPO is considered a risk.
The framework is presented in Table 2. The different domains are listed on the
top. The shift and staffing relevant features are listed down at the left side. The
evaluation of similarity with ATM for each of the other domains was scored
within the grid. Note that not all of the features could be scored. The different
regulations for the different domains in different countries or organisations are
hard to obtain. The same can be said about the organisational factors
affecting shiftwork.
For some of the features (the ones originally developed for the shiftwork
study), different values (ranging from -3 to +3) were used and given as
indications of degree of similarity with ATM (‘0’ indicated perfect similarity, and
‘3’ indicated total absence of similarity, with ‘+’ indicating that ATM had more
of the feature relevant to the domain in question, and ‘–’ indicating that ATM
had less of the feature relevant to the domain in question). For an easier
analysis the similarity was coded by means of different shades of grey. Thus,
the brighter grey the more similar to ATM the cell is, and the darker grey, the
more different. However, this coding does not consider the priority of the
features. The staffing specific features can be classified as either ‘similar’ or
‘different’ from ATM, so the rating of these features was obtained through the
use of ‘V’= similar to ATM, and ‘X’=different from ATM, rather than a scale
ranging from -3 to +3. The colour coding applied the same logic as for the
shiftwork study.
Police and medical emergency were selected as the most relevant domains.
The following informants provided input to the data needed for the
development of the domain selection framework in relation to the staffing
issues (for informants on the shiftwork issues see EUROCONTROL, 2004b):
To obtain information about the police an interview was conducted with the
police department in Oslo, Norway.
The data obtained from the interview with the emergency ward in Oslo,
Norway, in relation to the shiftwork study (EUROCONTROL, 2004b), was also
used as a relevant data source.
A new interview with focus on the staffing issues specific for the present study
was also conducted with the same emergency ward.
An additional source of information for the related domains (i.e. medical and
police) was published documents and papers on staffing that were mainly
found on the Web.
Note: Any relevant information from the related industries about any of
the six topics studied has been integrated in the main body of this
document. Detailed information on data collected from related
industries is available on request.
REFERENCES
Air Services Australia (2005). Fatigue Audit InterDyne (FAID) User Guide.
Flight Safety Australia (2005). What research is saying about sleep and
fatigue. Cover Story.
Van den Heuvel, C., Fletcher, A., Paradowski, M. & Dawson, D. (2003).
A review of fatigue management research literature and current air
traffic control practices for AirServices Australia. AirServices Australia.
GLOSSARY
Team: In ATS a group of two or more persons who interact dynamically and
interdependently with assigned specific roles, functions and responsibilities.
Unit training plan: A plan that details the processes by which student ATCOs
and/or trainee ATCOs are trained. Additionally, the plan should detail the
standards which will enable the objective of providing a safe air traffic control
service to be met.
ATCO Air Traffic Controller (US) / Air Traffic Control Officer (UK)
CONTRIBUTORS
Review Team
ANSPs
Related Industries
Document Configuration
Hellinckx Carine (EUROCONTROL external contractor)