The profession of air traffic controller operating safely and efficiently in a context of high reliability

Milano-Bicocca

EXECUTIVE SUMMARY

The subject and objectives of the research

The aim of the research was to analyse the practical and daily dimension of the work of the air traffic control officer (ATCO). The ATCO is an operator able to handle unexpected situations within a complex operating, technological and regulatory system while maintaining a high level of reliability and safety.

In particular, the work of the ATCO is characterized by two crucial elements: (1) the accurate management of time variables (air traffic management requires the air traffic controller to take decisions and act in extremely restricted fractions of time) and (2) continuous coordination with various items of technology and with other workers (pilots, other ATCOs and other types of personnel employed at airports). This means that it is an activity that at the same time presupposes both individual skills and capabilities and also collective capabilities, aimed at building a common space of mutual understanding and agreement with regard to the interpretive schemes to be utilised in order to deal with the multiple scenarios that can arise in the field of air traffic management.

The aims of the research were descriptive-analytical in nature:

describe the characteristics of the ATCO profession, highlighting the aspects of reliability, safety and management of unexpected events;

describe and analyse the cognitive and organizational complexity of the ATCO's work.

The research also involved goals of a practical-improvement kind, encouraging greater awareness in terms of:

the operators, with reference to the management of unexpected events, to the cognitive and organizational complexity of air traffic control activity, to the operational specificities associated with maintaining and increasing effectiveness, efficiency, reliability and safety in the management of air traffic;

the identification of improvement criteria for the initial selection and training (both at the start and then ongoing) of staff dedicated to air traffic control;

the complexity of the work of ATCOs in areas different from those of an academic-professional kind, in order to promote an informed exchange of expertise outside the world of the operators in the sector.

Empirical research: the methodology and theoretical frame of reference

The research was promoted by four bodies: the Società Nazionale Assistenza al Volo (ENAV S.p.a.); the Associazione Nazionale Assistenti e Controllori Navigazione Aerea (ANACNA); the Confederazione Italiana Sindacati dei Lavoratori (FIT-CISL) and the Unione Italiana Controllo e Assistenza al Volo (UNICA). The research was carried out by a team from the Dipartimento di Sociologia e Ricerca Sociale dell’Università of Milano-Bicocca, composed of Maurizio Catino (director of the research project), Alessia Bianco Dolino, Diego Coletto and Chiara Locatelli.

The work presents some extremely innovative features in the field of studies available today regarding the profession of air traffic controller and constitutes the first research experience in this sector at an Italian level, as well as being one of first at an international level. In particular, these distinctive features involve, on the one hand, the research methodology used and, on the other hand, the theoretical frame of reference chosen for the analysis.

As far as research methodology is concerned, the techniques of organizational ethnography have been employed. This involved a long period of observation in the field of work itself (448 hours of observation over the course of a year), making it possible to directly observe the work practices adopted by front-line operators, the main characteristics of the work and the specific operational needs of the profession. Specifically, observations were carried out in four operating locations: the Area Control Centres (ACCs) in Rome and Milan and the Control Towers (TWRs) at Malpensa and Fiumicino airports. In addition to activities of observation, the research benefited from continuous individual and group meetings with members of the promoting organizations. These meetings were essential, on the one hand, to develop the analysis of the empirical material collected during the observation phases, and, on the other, to initiate discussions and debates on specific topics (through focus groups) between the ATCOs themselves.

With regard to the theoretical frame chosen for the analysis, the research is marked by a strong multidisciplinary orientation. The overall context brings together theoretical contributions from various disciplines such as sociology, organizational studies, cognitive and work psychology and management studies. In order to capture the various elements that enable front-line operators to carry out the tasks assigned to them while maintaining high standards of reliability and efficiency, the analysis makes reference to four main theoretical frames:

High-reliability organizations (HROs): these are organizations capable of providing a product, business or service, respecting the level of performance required or desired, while at the same time ensuring a low level of errors and accidents. HROs stand out from other organizations because they are mindful organizations that possess specific cognitive and management features. In particular, these include: preoccupation with failure; reluctance to adopt simplificatory interpretations; sensitivity to operations in the field; commitment to resilience; and deference to expertise.

Non-technical skills: these are the personal and social cognitive abilities that exist in addition to the technical skills of operators and professionals. They refer, in particular, to cross-disciplinary skills within a profession, such as decision-making ability, a capacity for problem-solving, situational awareness, communication, and the ability to work in groups. These abilities are resources that make a significant contribution to the achievement of safe, efficient and reliable performances.

Inferential reasoning: this is a cognitive mechanism through which operators interpret and give meaning to on-going operative reality. In particular, through inference, the operators relate the informational input they receive from the external environment to the cognitive maps that they possess. These cognitive maps are the assumptions, defined by the operators through knowledge and working experience, regarding the logical and causal connections that characterize the organizational reality in which they operate. The inference strategies that operators implement in order to link information inputs and cognitive maps, and thus interpret and give meaning to operational reality, can be of three different types: deduction, induction and abduction.

Organizational culture: this is the glue that holds the organization together through the sharing of patterns of meaning. Although it is a visible and perceptible factor, it can only be understood by observing and analysing its representations (given by the members of the organization itself). To favour the codification and comprehension of organizational culture, it is useful to break down the factors that contribute to its formation into specific categories. In this regard, it is particularly effective to analyse organizational culture based on three levels of depth and visibility: artefacts, declared values, and basic assumptions.

These four areas of analysis have made it possible for us to go more deeply into various aspects of the work of the air traffic controller, bringing together different analytical levels: individual and group level – inferential processes and non-technical skills – and organizational level – high-reliability organizations and organizational culture. This has made it possible for the study to offer a thorough and accurate representation of the operational and cognitive strategies of air traffic controllers and the organizational context in which they operate.

The main results

The main results emerging from the empirical research can be described as follows:

1. The mechanism of social redundancy.

By social redundancy, we mean a deeply-rooted propensity for collaboration between ATCOs, which extends beyond the boundaries of their own operating area. The dynamic of social redundancy implemented by front-line operators is based on a strongly-entrenched assumption that practical-operational errors or the underestimation of dangerous situations should be avoided. This particular form of redundancy guarantees continuous double checks and a plurality of perspectives that favours the constant monitoring of ongoing operational activity.

2. The importance of relations between colleagues.

Analytical processes between colleagues of potentially critical events or, more generally, daily work activities, turned out to be of particular importance in ensuring high standards of reliability and efficiency. Specifically, in this kind of interaction, ATCOs are able to detect weak signals that concern not only critical events, but also those that are termed sensations of danger. In other words, the interaction manages to act in advance not only with regard to adverse events, but also with respect to the possible precursors of such events. In addition, this constant exchange of opinions and points of view contributes to creating that plurality of vision that forms a vital ingredient in the matter of combatting the risk of not taking into consideration, or underestimating, the importance of potentially adverse events and/or circumstances.

3. Non-technical skills play a key role in promoting the safety of air traffic control.

The research highlighted the crucial role of non-technical skills in ensuring the safety and reliability of work operations. In all the sites observed, aspects such as individual and collective situational awareness (collective mind), the ability to make immediate decisions and teamwork proved to be decisive in the management of both routine situations and the resolution of unusual situations and emergencies. On the basis of these considerations, the research also promoted the observation of the different levels of importance assumed by non-technical skills depending on the role and specific context in which the controller was operating. In particular: (1) for ATCOs with supervisory and coordination roles, the most important NTS are represented by decision-making and leadership; (2) with regard to ATCOs operating in the arrival and departure sectors, the importance was noted of the ability to make decisions very quickly while taking into account a large number of variables; (3) for the ATCOs in the traffic flow/taxiing sectors, the main skill is represented by situational awareness, which in turn affects the anticipation of events; (4) finally, where TWR flight controllers are concerned, the predominant factor that emerges is the importance of teamworking.

4. Communication represents both a technical and non-technical skill.

Amongst all the NTS, communication is the most transversal. In fact, it is a decisive factor, from the collection and interpretation of information right up to the management of group dynamics and stress. The distinctive features of communication in the field of air traffic control can be noted as: task-oriented interaction; the absence of visual contact between the interlocutors; interaction with a number of different partners (pilots, colleagues from other areas and sectors); and the constant effort of recontextualization. In addition, communication, in the world of ATC, is treated in the same way as a technical skill, in that it is included in education and training plans and in the definition of procedures (e.g. standard phraseology).

5. Inferential processes, ambiguity and uncertainty.

The analysis has shown how operators tend to react to different operational situations by adopting specific processes of inference. Deduction tends to occur more frequently when the situation is certain; induction when the situation is uncertain; and abduction when the situation is ambiguous. As part of the operational reality of air traffic, peer-to-peer interactional processes, both in the performance of the task (for example, in the executive-planner team) and in the formal (continuous training) and informal re-analysis of previously encountered situations, could therefore be useful in developing that operational intelligence that favours the processes of sense construction necessary in a situation of ambiguity.

6. Induction and abduction as cognitive strategies in the management of variability.

The analysis of the empirical material collected has shown that inductive and abductive reasoning appear to be particularly important cognitive strategies given the specific features of the organizational context of air traffic control. In general, the organizational context of air traffic control is an open system in which the numerous and varied stimuli coming from the environment lead to operational reality being subject to significant variability. In a context of this kind, induction and abduction seem to make it possible for operators to deal with this variability so as to ensure efficient and reliable performance.

7. Inferential processes are influenced by the dynamics of standardization and adaptation.

In pursuit of objectives relating to the safety and promptness of air traffic – depending on the characteristics of the situations encountered – ATCOs adopt behaviour that in some cases presupposes complete adherence to operating standards and in other cases requires the adaptation of their own knowledge and experience. In situations dominated by uncertainty and ambiguity, operating standards are severely tested. Moreover, where grey areas exist that are not covered by standards, since they have never yet been highlighted or addressed, or because they cannot be transposed in their entirety into regulatory terms, the professional resorts to his personal knowledge by adapting his own strategies to the peculiar specifics of the events. Such knowledge is inevitably composed of the internalisation of official regulations and the accumulation of professional experience and, in jargon, is indicated by the expression best judgment.

8. The presence of a trade-off to deal with in terms of security, fluidity and promptness.

The analysis has highlighted the presence of a trade-off to be dealt with in terms of extreme concerns for safety (safety first! is one of the expressions most used by ATCOs) and the need to manage air traffic in a way that is as fluid, smooth and fast as possible. These are two of the declared values that characterize the organizational culture prevalent amongst ATCOs. The research has pointed out that, especially in recent years, several interventions have been carried out in order to create the maximum sharing of these values amongst ATCOs. Despite this, the analysis of daily practice has shown that tension between these two values is still possible, and must be constantly managed.

9. The creation of narrow circles of reference in which ATCOs construct strong relationships of mutual trust.

Strong relationships of trust between operators are an important factor, especially when it comes to the need to deal with situations of particular ambiguity and uncertainty. Having a trusted partner at your side makes a social construction of the event easier, allowing you to have an additional source of ideas and solutions, increasing the amount of information available and improving the individual's ability to judge. At the same time, the creation of groups or sub-groups with a special internal coherence – which tend to hold themselves distinct from, and relate with a certain diffidence to, ATCOs working in other positions or with other air traffic control bodies – may make it more difficult for the organization to create a broad and inclusive systemic cohesion.

The empirical results of the research suggest further development of the analysis, as well as the possibility of designing and developing possible lines of intervention. In relation to the latter, two possible areas of development/intervention can be described as follows:

1. The centrality of activities related to operational training and ongoing training.

From the empirical evidence collected, it can be hypothesised that even more emphasis should be given to training activities. For example, the figures in charge of these activities (disseminators of lesson learnt, trainers) could highlight factors related to inferential processes – those arising from processes of adaptation and standardization, and from NTS mechanisms. This would create a moment of synthesis and increased awareness of basic automatisms, as well as the organizational culture that each ATCO possesses and needs to develop during his career, for continued professional growth.

2. A vision of the environment as a challenge and an opportunity for improvement.

In light of the distinctive features that have emerged from the empirical research and confirming air traffic control as an HRO that will increasingly have to increase its resilience, it appears evident that all the elements that characterize the operating environment (including the ATCOs themselves) represent the central challenge for a correct balance between reliability, efficiency and safety. The possibility to constantly monitor normal operations in a structured way can be a tool to reduce the sources of dangers and errors (on the one hand) and to increase and valorise the use of best practices and best judgment (on the other).

INTRODUCTION

This paper presents the results of a study into the profession of air traffic controller. The research was sponsored by four bodies: the Società Nazionale Assistenza al Volo (ENAV S.p.a.); the Associazione Nazionale Assistenti e Controllori Navigazione Aerea (ANACNA); the Confederazione Italiana Sindacati dei Lavoratori (FIT-CISL) and the Unione Italiana Controllo e Assistenza al Volo (UNICA). The research was carried out by a research team from the Department of Sociology and Social Research at Milan-Bicocca University, composed of Maurizio Catino, director of the research project, Alessia Bianco Dolino, Diego Coletto and Chiara Locatelli (see the biographical notes at the end of the research report).

The study features some highly innovative features in the context of the research available today regarding the profession of air traffic controller or air traffic control officer (hereinafter referred to by the acronym ATCO). It is the first research experience in this field at an Italian level and one of the first at an international level. In particular, these distinctive features concern, on the one hand, the research methodology employed and, on the other hand, the theoretical frame of reference chosen for the analysis.

With regard to the research methodology used, the empirical material presented and analysed here was collected through a long process of ethnographic observation (448 hours of observation over the period of a year). Ethnographic observation consists of direct observation by the researcher of ATCO work practices in the context of the natural environment for the carrying out of such activities. Specifically, observations were made in four operating locations: the Rome and Milan Area Control Centres (ACCs) and the Control Towers (TWRs) at Malpensa and Fiumicino Airports. The ethnographic work brought researchers into strict contact with the air traffic controllers, enabling them to directly observe the work practices adopted by front-line operators, the characteristics of the work environment and the specific operational needs of this profession. The climate of positive collaboration from front-line staff and management of the operational locations studied made it possible for researchers to gather numerous examples and testimonies and to understand the complexity and peculiarities of the organizational reality of air traffic control. The opportunity to share operational situations, and reflections regarding the working activities carried out, with the operators, represents an essential added value of this research and demonstrates its original and innovative character.

In addition to the ethnographic work, the study benefited from continuous meetings, both individual and group, with members of the sponsoring organizations. These meetings were essential, on the one hand, to develop the analysis of the empirical material collected during the observation phases, and, on the other, to initiate discussion and debate between the ATCOs, through focus groups, regarding specific topics.

With regard to the theoretical frame chosen for the analysis, the research is distinctive in terms of its strong multidisciplinary orientation. The overall context brings together theoretical contributions from various disciplines such as sociology, organization studies, cognitive and work psychology and management studies. The need to adopt a multidisciplinary theoretical frame is closely linked to the specific characteristics of the ATCO profession. These features, from the very start, highlighted the need to diversify the theoretical references in order to capture the peculiarities and complexities of this profession. In particular, the ATCO profession shares strong similarities with other professions operating in contexts of emergency and urgency, such as, for example, the medical profession. ATCOs, in fact, must operate while ensuring both the reliability and safety of the operations, as well as the efficiency and effectiveness of work processes, handling unexpected situations within a complex operational and regulatory system. In order to capture the various elements that enable front-line operators to carry out their tasks while maintaining high standards of reliability and efficiency, the analysis referred to four main theoretical frameworks:

High Reliability Organizations (HROs): these are organizations capable of delivering a product, activity or service, respecting the level of performance required or desired, while ensuring a low level of errors and accidents. HROs stand out from other organizations because they are mindful organizations that possess specific cognitive and management features. In particular, these include: preoccupation with failure; reluctance to adopt simplificatory interpretations; sensitivity to operations in the field; commitment to resilience; and deference to expertise (see section 4.1).

Non-technical skills: these are the personal and social cognitive abilities that exist in addition to the technical skills of operators and professionals. They refer, in particular, to cross-disciplinary skills within a profession, such