Summary

Many Air Navigation Service Providers (ANSPs) use Key Performance Indicators (KPIs) to evaluate the success of their organisation towards achieving their goals of providing a safe and efficient air traffic control service. It has been suggested that IFATCA should similarly develop a framework of KPIs that could be used to monitor the performance of ANSPs towards goals that are considered important to IFATCA. Such a framework, once identified, could be further used as an incentive to improve performance.

This working paper aims to derive from existing IFATCA policy a number of performance goals that IFATCA believes important and develop a framework of KPIs by which to assess, and benchmark, the effectiveness of ANSPs in achieving these goals.

Introduction

1.1 The IFATCA Constitution and Administrative Manual identifies clearly one of its primary objects as being “To protect and safeguard the interests of the Air Traffic Control Profession” and outlines that, in order to achieve this objective, IFATCA will “Collect and distribute information on professional problems and developments”. These two primary goals form the basis of the discussion presented by this working paper.

1.2 In May 1979 the International Labour Organisation held a Meeting of Experts in Geneva to address a single agenda item “Problems concerning air traffic controllers: identification and possible solutions”. The meeting, attended by IFATCA, set out to discuss professional issues facing Air Traffic Controllers and to suggest solutions through the setting of global standards that should be adopted by ANSPs and Associations in order to safeguard the profession.

1.3 These standards, presented as the conclusions of the report of the ILO meeting, form the basis of IFATCA policy material today and represent the goals of IFATCA in the interest of protecting the Air Traffic Control profession.

1.4 Often at odds to the goals of IFATCA are the goals of the ANSPs whose aims primarily focus on the operation of a safe and efficient, and in the case of privatisation, profitable, Air Traffic Control service. It is important to note, though, that the goals considered most important often differ between various ANSPs: safety, working hours, “Just culture” concept implemented or not, etc.

1.5 In order to address such differences and to better monitor their performance towards these goals on a global scale, many ANSPs and regulators have developed combined frameworks of Key  Performance Indicators to facilitate global benchmarking (e.g. EUROCONTROL, FAA, CANSO and IATA). These frameworks allow member ANSPs to highlight areas of possible improvements, provide incentives to poor performers, and allow the sharing of performance information and initiatives between members.

1.6 At present, however, there is no single framework of Key Performance Indicators which allows the benchmarking of the outcomes considered important by IFATCA, particularly in the protection and safe-guarding of the Air Traffic Control profession.

1.7 PLC was tasked by directors to investigate that the IFATCA PLC should discuss and address this issue.

1.8 This working paper therefore proposes a framework of Key Performance Indicators by identifying performance goals from existing IFATCA policy and to produce guidance material to allow benchmarking of performance between the ANSPs with the interest of protection and safe-guarding of the Air Traffic Control profession.

Discussion

2.1 ICAO Vision

2.1.1 ICAO sets out eleven Key Performance Areas (KPAs):

• Access and equity;
• Capacity;
• Cost effectiveness;
• Flight efficiency;
• Environmental impact;
• Flexibility;
• Global interoperability;
• Participation by the Air Traffic Management (ATM) community;
• Predictability;
• Safety; and
• Security.

2.1.2 Appendix D of the Global Air Traffic Management Operational Concept (GATMOC) (ICAO Doc 9854) describes each of them:

• Access and equity. A global air navigation system should provide an operating environment that ensures that all airspace users have the right of access to ATM resources needed to meet their specific operational requirements; and ensures that the shared use of the airspace for different equity for all airspace users that have access to a given airspace or service. Generally, the first aircraft ready to use the ATM resources will receive priority, except where significant overall safety or system operational efficiency would accrue or national defence considerations or interests dictate by providing priority on a different basis.
• Capacity. The global air navigation system should exploit the inherent capacity to meet airspace user demand at peak times and locations while minimizing restrictions on traffic flow. To respond to future growth, capacity must increase, along with corresponding increases in efficiency, flexibility, and predictability while ensuring that there are no adverse impacts to safety giving due consideration to the environment. The air navigation system must be resilient to service disruption and the resulting temporary loss of capacity.
• Cost effectiveness. The air navigation system should be cost effective, while balancing the varied interests of the ATM community. The cost of service to airspace users should always be considered when evaluating any proposal to improve ATM service quality or performance. ICAO guidelines regarding user charge policies and principles should be followed.
• Efficiency. Efficiency addresses the operational and economic cost effectiveness of gate-to-gate flight operations from a single-flight perspective. Airspace users want to depart and arrive at the times they select and fly the trajectory they determine to be optimum in all phases of flight.
• Environment. The air navigation system should contribute to the protection of the environment by considering noise, gaseous emissions, and other environmental issues in the implementation and operation of the global air navigation system.
• Flexibility. Flexibility addresses the ability of all airspace users to modify flight trajectories dynamically and adjust departure and arrival times thereby permitting them to exploit operational opportunities as they occur.
• Global interoperability. The air navigation system should be based on global standards and uniform principles to ensure the technical and operational interoperability of air navigation systems and facilitate homogeneous and non-discriminatory global and regional traffic flows.
• Participation by the ATM community. The ATM community should continuously be involved in the planning, implementation, and operation of the system to ensure that the evolution of the global air navigation system meets the expectations of the community.
• Predictability. Predictability refers to the ability of the airspace users and air navigation service providers to provide consistent and dependable levels of performance. Predictability is essential to airspace users as they develop and operate their schedules.
• Safety. Safety is the highest priority in aviation, and ATM plays an important part in ensuring overall aviation safety. Uniform safety standards and risk and safety management practices should be applied systematically to the air navigation system. In implementing elements of the global aviation system, safety needs to be assessed against appropriate criteria, and in accordance with appropriate and globally standardised safety management processes and practices.
• Security. Security refers to the protection against threats, which stem from intentional (e.g. terrorism) or unintentional (e.g. human error, natural disaster) acts affecting aircraft, people or installations on the ground. Adequate security is a major expectation of the ATM community and of citizens. The air navigation system should therefore contribute to security and should be protected against security threats. Security risk management should balance the needs of the members of the ATM community who require access to the system with the need to protect the air navigation system. In the event of threats to aircraft or threats using aircraft, ATM shall provide responsible authorities with appropriate assistance and information.

2.1.3 Achievable performance in the areas listed above is made possible by the following enabler levels:

• services and procedures;
• human resources;
• physical infrastructure;
• systems and technology; and
• regulation and standardization.

2.1.4 In the Fifth Edition of Global Air Navigation Plan (GANP), ICAO proposes to work on a set of KPIs, according to “needs and capabilities”. States are encouraged to start with a simple set of indicators (Core KPIs) matching their needs, and to complete them later with more complex ones (Additional KPIs). However, neither of them, not even the Core KPIs, takes specifically into consideration Human Factors:

2.2 Existing IFATCA Policy

2.2.1 The main goals for IFATCA are, and always will be, Safety and Professionalism. The purpose of defining KPAs and KPIs is to help achieve these goals. Nevertheless, current frameworks proposed by CANSO, IATA or ICAO completely overlook Human Factors and the related aspects: working environment, Joint Human-Machine Systems, system design, ergonomics.

2.2.2 The core of the entire aviation system, the most valuable resource, is the human resource. This is the reason why any evaluation should focus on human resources specifically. From this point of view, research of existing IFATCA policy identified several KPAs from which a framework of Key Performance Indicators could be developed. They are not new: there were there for quite a long time, but there were not seen as KPIs until now.

2.2.3 Industrial Relations (WC 10.1)

2.2.4 Social and Labour Aspects (WC 10.2)

2.2.5 Hours of Work (WC 10.3)

2.2.6 Retirement and pension (WC 10.5)

2.2.7 Employment Security (WC 10.6)

2.2.8 Miscellaneous (WC 10.7)

2.2.9 Specific matters (MED 8.2)

2.2.10 Training after licensing (TRNG 9.5)

2.2.11 Accident and incident investigation (LM 7.2)

2.3 Draft IFATCA KPAs and KPIs proposal

2.3.1 For IFATCA, ANSPs primary goals are Safety and Quality of their services. These two KPAs could be evaluated throughout KPIs such as:

• Safety – Safety Management System, CISM, Just Culture, Fatigue Policy;
• Quality of service provided – English language proficiency, Training after licensing, Social and Labour aspects.

2.3.2 Safety Management System (SMS) is mandatory and it would be nice to know that the reality fulfils the expectation.

2.3.3 Critical Incident Stress Management (CISM), Just Culture and Fatigue Policy are are very important programmes for aviation safety and implementation should be taken into serious consideration.

2.3.4 English language proficiency, Training after licensing and Social and Labour aspects could give an image of the Quality of services provided.

2.3.5 Not all Human Factors which are highlighted in chapter 2.2 are reflected in the proposed KPAs and KPIs, because it is not easy to quantify working environment, Joint Human-Machine Systems, system design or ergonomics. However, the proposed system of KPAs/KPIs should be updated in near future, in order to insure the measurement of Human Factors left outside.

2.3.6 The following expands on these KPIs and provides some context as to what the KPI will measure:

2.3.6.1 SAFETY

• SMS

KPI01 – SMS implemented – Yes/No

• CISM

KPI02 – CISM Programme implemented – Yes/No

KPI03 – Percentage of endorsement by management

Fully endorsed by management/ 50% endorsed / No endorsement

• JUST CULTURE

KPI04 – Principles of Just Culture implemented:

– Cooperation;

– Dissemination;

– Confidentiality;

– Protection of identity; and

– Trust and mutual respect.

• FATIGUE POLICY

KPI05 – Countermeasure to sleepiness and fatigue – Yes/No

2.3.6.2 QUALITY OF SERVICE PROVIDED

• ENGLISH LANGUAGE PROFICIENCY

KPI06 – Program to achieve and maintain English proficiency implemented

– Yes/No

KPI07 – Hours of English language training/ATCO

• TRAINING AFTER LICENSING

KPI08 – Hours of theoretical refresher/ATCO/year

KPI09 – Hours of practical exercises (SIM)/ATCO/year

• SOCIAL AND LABOR ASPECTS

KPI10 – Hours of work principles implemented

– Duty roster should be based on at least two consecutive days off in every seven days;

– Average time of operational duty and breaks should not exceed 32 hours per week; and

– ATCO’s annual leave should not be less than 30 working days, excluding public holidays, of which 3 weeks must be consecutive.

KPI11 – Ageing ATCOs policy – Yes/No

– ATCOs with an age of 50 years and older are entitled to abstain from nightshifts on their request.

– ATCOs with an age of 50 years and older are entitled to specific break plans to assist in their performance with short term memory.

– ATCOs with an age of 50 years and older are entitled to reduce the number of ratings and/or endorsements to a reasonable minimum.

KPI12 – Remuneration principles implemented

– Equal remuneration for equal work.

– ATCOs remuneration reflects levels of skills, experience and the amount/type of ratings.

– Additional task reflected by a higher remuneration level.

KPI13 – Employment Security – Yes/No

2.3.7 Annex 1 of this document presents a questionnaire for the MAs voluntarily to complete.

IFATCA INFORMATION HANDBOOK (IHB)

IFATCA maintains a handbook to record “current information on all aspects relating to environmental and human factors in ATC in the countries represented in the Federation”. It serves as a repository of information provided by MAs and allows them to compare information on working conditions and professional matters. This information can be used when preparing to negotiate with employers.

KPAs and KPIs are another tool MAs can use. As such, the IHB is the logical place to record this information. The IHB contains a ‘questionnaire’ that MAs can voluntarily complete and which is the source of the information in the IHB. This questionnaire would need to be reviewed to ensure that it  can provide the information required to determine how employers are performing with respect to the agreed KPIs.

Should MAs broadly agree that applying IFATCA defined KPAs and KPIs to employers is worth pursuing, a review of the IHB questionnaire will be undertaken along further development of the KPA/KPI framework.

Conclusions

3.1 In order to better monitor ANSPs performance, IFATCA has developed a number of Key Performance Indicators, to facilitate global benchmarking. Using the table at para. 2.3.5, Member Association have the opportunity to assess ANSPs against key IFATCA policy areas.

3.2 This will permit member associations to highlight areas of possible improvements, and allow the sharing of performance information and initiatives between members.

Recommendations

4.1 It is recommended that this paper be accepted as information.

References

IFATCA IAM (Version 66.1 – August 2022), Part I, Article I, 3.1.

IFATCA TPM (Version 65.0 – July 2022).

ILO Meeting on Problems Concerning Air Traffic Controllers (Geneva, 8-16 May 1979), Report.

ICAO Doc 9854, First Edition, 2005 – Global Air Traffic Management Operational Concept.

Global Air Navigation Plan 2016-2030 (Doc 9750-AN963, Fifth Edition – 2016).

IFATCA TPM, Version 65.0, July 2022 – Industrial Relations (WC 10.1).

IFATCA TPM, Version 65.0, July 2022 – Social and Labour Aspects (WC 10.2).

IFATCA TPM, Version 65.0, July 2022 – Hours of Work (WC 10.3).

IFATCA TPM, Version 65.0, July 2022 – Retirement and pension (WC 10.5).

IFATCA TPM, Version 65.0, July 2022 – Employment Security (WC 10.6).

IFATCA TPM, Version 65.0, July 2022 – Miscellaneous (WC 10.7).

IFATCA TPM, Version 65.0, July 2022 – Specific matters (MED 8.2).

IFATCA TPM, Version 65.0, July 2022 – Training after licensing (TRNG 9.5).

IFATCA TPM, Version 65.0, July 2022 – Legal Matters (LM 7.2.1, LM 7.2.4, LM 7.2.5).

“ATCO Performance” – WP No. 162 at the 53RD Annual Conference, Gran Canaria, Spain, 5 – 9 May 2014, Presented by PLC.

“ATCOs and Professionalism” – WP No. 160 at the 53RD Annual Conference, Gran Canaria, Spain, 5 – 9 May 2014, Presented by PLC.

https://www.eurocontrol.int/publication/air-traffic-management-cost-effectiveness-ace-benchmarking-report-2020

https://www.faa.gov/about/office_org/headquarters_offices/ato/service_units/mission_support/ato_intl/benchmarking