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Draft CAR/SAM Regional Guidance Material on Air Traffic Services Quality Assurance Programmes “Quality for Draft CAR/SAM Regional Guidance Material on Air Traffic Services Quality Assurance Programmes “Quality for Tomorrow Begins Today” NAM/CAR/SAM Air Traffic Services Quality Assurance Programme Seminar Mr. Mark Rios Regional Officer, Air Traffic Management ICAO NACC Regional Office (16 to 20 October 2000, Mexico City, Mexico)

INTERNATIONAL CIVIL AVIATION ORGANIZATION NORTH AMERICAN, CENTRAL AMERICAN AND CARIBBEAN OFFICE CAR/SAM REGIONAL GUIDANCE INTERNATIONAL CIVIL AVIATION ORGANIZATION NORTH AMERICAN, CENTRAL AMERICAN AND CARIBBEAN OFFICE CAR/SAM REGIONAL GUIDANCE MATERIAL ON AIR TRAFFIC SERVICES QUALITY ASSURANCE PROGRAMMES DRAFT Version 0. 1 October 2000

 THIS MATERIAL IS UNDER DEVELOPMENT AND IS SUBJECT TO CHANGE BEFORE ADOPTION BY THIS MATERIAL IS UNDER DEVELOPMENT AND IS SUBJECT TO CHANGE BEFORE ADOPTION BY GREPECAS AS REGIONAL GUIDANCE MATERIAL

Forward • CAR/SAM/3 RAN (October 1999) • ATS Quality Assurance Programme • Purpose • Forward • CAR/SAM/3 RAN (October 1999) • ATS Quality Assurance Programme • Purpose • ATS Incidents • Quality of Services • CAR/SAM/3 Recommendation 5/36 • ICAO develop guidance material on ATS quality assurance programmes for worldwide use • CAR/SAM Regional Guidance Material on ATS QA Programmes

Contents • • • Chapter 1. Definitions Chapter 2. Background Chapter 3. ATS Quality Contents • • • Chapter 1. Definitions Chapter 2. Background Chapter 3. ATS Quality Assurance Programmes Chapter 4. Controller Proficiency Checks Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams Chapter 6. Air Traffic Incident Prevention Programmes Chapter 7. Air Traffic Services Evaluation Programme Chapter 8. Quality of Services Improvement Programmes Chapter 9. Proficiency Training Programmes

Chapter 1. Definitions New Definitions • • ATC proficiency training ATS operational duties Desk Chapter 1. Definitions New Definitions • • ATC proficiency training ATS operational duties Desk audit Follow-up ATS evaluation Full-unit ATS evaluation In-flight/preflight evaluations Operational deviation Operational error • • • Pilot deviation Refresher training Runway incursion Simulation training Skill enhancement training • Special evaluations • Supplemental training • Three-step closure process

Chapter 2. Background • Important to prepare ATS QA programme guidelines for States • Chapter 2. Background • Important to prepare ATS QA programme guidelines for States • Heightened awareness of ATS incidents and recommendations made by: • CAR/SAM/2 RAN (Santiago, 1989) • Recommendation 6/11 – Investigation of ATS Incidents • Recommendation 6/12 – Reporting of ATS Incidents • GREPECAS 8 (Dominican Republic, 1998) • Conclusion 8/7 – Actions to be taken by States to reduce ATS incidents in the CAR/SAM Regions • Conclusion 8/8 – Actions to be taken by the users to reduce ATS incidents in the CAR/SAM Regions • Conclusion 8/9 – Actions to be taken by the ICAO Regional

Chapter 2. Background • • • Informal working groups International organizations Airlines Reports received Chapter 2. Background • • • Informal working groups International organizations Airlines Reports received by ICAO Regional Offices Increase of ATS incidents by 43 per cent between 1996 and 1998 • Justified the need for introduction of ATS QA programme for the CAR/SAM Regions • ICAO NACC/SAM Regional Offices began work programme

Chapter 3. ATS Quality Assurance Programmes • Introduction • ATS QA programmes should focus Chapter 3. ATS Quality Assurance Programmes • Introduction • ATS QA programmes should focus on Identifying and correcting deficiencies before they result in an ATS incident or accident; and • Should continually work towards improving the overall quality of air traffic services • Chapter contains proactive quality assurance strategies

Chapter 3. ATS Quality Assurance Programmes • Scope and purpose • Specific guidance on Chapter 3. ATS Quality Assurance Programmes • Scope and purpose • Specific guidance on reporting, investigating and resolving various types of ATS incidents that impact the quality of ATS • Designed to work in conjunction with • ICAO SARPs • State’s regulations • Objectives • Prevent ATS incidents • Continually improve overall quality of air traffic services

Chapter 3. ATS Quality Assurance Programmes • Structure • Depends on size and composition Chapter 3. ATS Quality Assurance Programmes • Structure • Depends on size and composition of ATS provider • Acceptable and productive programme structure may involve • ATS chief designating/selecting experienced ATC expert to be ATS unit quality assurance officer/specialist • ATS unit QA specialist assumes duties and responsibilities of QA for ATS unit • Larger ATS units could develop ATS QA unit/department – Several ATS QA specialists – Assistant chief with extensive ATC experience

Chapter 3. ATS Quality Assurance Programmes • Implementation • CAR/SAM/3 Recommendation 5/38 – Implementation Chapter 3. ATS Quality Assurance Programmes • Implementation • CAR/SAM/3 Recommendation 5/38 – Implementation of an ATS quality assurance programme That, a) States/ATS service providers within the CAR/SAM Regions implement an ATS quality Assurance programme with associated supporting documents. The programme should outline the purpose, goals, objectives and responsibilities of the programme within the State/ATS service provider; and

Chapter 3. ATS Quality Assurance Programmes • Responsibilities • ICAO NACC and SAM Regional Chapter 3. ATS Quality Assurance Programmes • Responsibilities • ICAO NACC and SAM Regional Offices • provide guidance and assistance to States/ATS service providers in the development of ATS quality assurance programmes • States/ATS service providers • Should implement an ATS quality assurance programme with associated supporting documents • Programme should outline the purpose, goals, objectives and responsibilities within the State/ATS service provider and each ATS unit should establish a programme • National ATS QA programmes are maintained and evaluated for effectiveness

Chapter 3. ATS Quality Assurance Programmes • ATS unit chiefs • Maintain a level Chapter 3. ATS Quality Assurance Programmes • ATS unit chiefs • Maintain a level of awareness and involvement in their ATS unit’s operations/programmes so as to ensure maximum quality and efficiency • All ATS personnel • Responsible for maintaining the highest level of quality performance

Chapter 3. ATS Quality Assurance Programmes • Programme content • ATS QA programmes should Chapter 3. ATS Quality Assurance Programmes • Programme content • ATS QA programmes should establish methods to identify and correct shortcomings and recognize successes in the following areas: • • ATS incident prevention Teamwork Communications Customer service/feedback

Chapter 3. ATS Quality Assurance Programmes ATS incident prevention • ATS refresher training • Chapter 3. ATS Quality Assurance Programmes ATS incident prevention • ATS refresher training • Aeronautical phraseology • • improvement English language proficiency Hearback/readback ATS surface incident Incentive/recognition List of good operating practices Recordings monitor evaluation Simulation training • Personal accounts of lessons • • learned Periodic quality assurance briefings in ATS units covering trends, customers input, evaluations, etc. Aggressive resolution of problems identified Incorporation of past ATS incidents scenarios into training Internal, national, and regional ATS evaluation

Chapter 3. ATS Quality Assurance Programmes Teamwork • Air traffic service teamwork • ATS Chapter 3. ATS Quality Assurance Programmes Teamwork • Air traffic service teamwork • ATS Operational Supervisor training • Teamwork incentive/recognition programmes • Roles of different positions/jobs training course • Team meetings/briefings • Expectations of all employees clearly communicated

Chapter 3. ATS Quality Assurance Programmes Communications • Electronic bulletin board • ATS QA Chapter 3. ATS Quality Assurance Programmes Communications • Electronic bulletin board • ATS QA seminars, system • Internet/intranet access to data • National database containing national and local ATS QA data • Newsletters conferences and workshops • All staff meetings • Reports from International organizations, i. e. IFATCA, IATA, IFALPA, PAAST, etc. , and other industry safety reports

Chapter 3. ATS Quality Assurance Programmes Customer service/feedback • Pilot education programmes • Surveys Chapter 3. ATS Quality Assurance Programmes Customer service/feedback • Pilot education programmes • Surveys of internal and • All staff meetings • Familiarization flights • Contacts with customer external customers • Interaction with other aviation organizations (i. e. local flight organizations schools, airlines, aviation organizations, etc. ) • Air traffic controller/Operational • Pilot safety seminars and Supervisor evaluation of shift airport management performance workgroups

Chapter 4. Controller Proficiency Checks • Introduction • To provide continuous enhancement of technical Chapter 4. Controller Proficiency Checks • Introduction • To provide continuous enhancement of technical proficiency in the ATS environment, individualized training requirements for technical performance should be identified and accomplished • Controller proficiency checks are intended to provide feedback by ATS supervisors/ATS QA officers/specialists to controllers and supervisors regarding their proficiency, and to develop plans to enhance their proficiency

Chapter 4. Controller Proficiency Checks • Responsibilities • ATS unit chiefs to establish and Chapter 4. Controller Proficiency Checks • Responsibilities • ATS unit chiefs to establish and maintain ATS unit proficiency standards • ATS authority should develop guidelines specifying required level of knowledge (theoretical and practical) • ATS operational personnel should be required to periodically demonstrate that their performance meets proficiency standards • Controller proficiency checks should be accomplished on each controller and supervisor

Chapter 4. Controller Proficiency Checks • ATS unit chief, supervisor or quality assurance specialist Chapter 4. Controller Proficiency Checks • ATS unit chief, supervisor or quality assurance specialist should conduct task of controller proficiency checks • Develop proficiency check rosters to ensure all ATS operational personnel are checked biannually • ATS operational supervisors and QA specialist should continuously assess controllers’ performance through direct or indirect methods • Indirect – remote monitoring, voice recordings, observations by other supervisors or ATS unit QA specialists

Chapter 4. Controller Proficiency Checks • What if results of controller proficiency check indicates Chapter 4. Controller Proficiency Checks • What if results of controller proficiency check indicates controller would benefit from proficiency training? • Use references to determine type of training needed: – ICAO Doc 9426, Air Traffic Services Planning Manual, Chapter 3 – Training and Proficiency Requirements – Draft CAR/SAM Regional Guidance Material for ATS QA Programmes, Chapter 9. Proficiency Training • Assignment of proficiency training may not necessarily mean a deficiency was noted • A controller may demonstrate an acceptable level of technical performance, but might still benefit

Chapter 4. Controller Proficiency Checks • ATS supervisor or QA specialist should discuss the Chapter 4. Controller Proficiency Checks • ATS supervisor or QA specialist should discuss the completed controller proficiency check with the controller • Proficiency checks are not intended to be pass/fail or satisfactory/unsatisfactory • What if a controller’s performance is found to be unsatisfactory? • Rating should be suspended and appropriate proficiency training, followed by a re-certification process should be completed

Chapter 4. Controller Proficiency Checks • ATS units should conduct an annual review of Chapter 4. Controller Proficiency Checks • ATS units should conduct an annual review of all controller proficiency checks with a view to identify recurring and significant proficiency needs • Documentation • Discuss proficiency check results with the controller and document in the controller’s training record

Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Introduction • Air Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Introduction • Air traffic incidents • • • AIRPROX Operational error Operational deviation Runway incursion Pilot deviation • Casual factor • Procedural • Ground facilities (equipment) • Human

Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • General reporting procedures Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • General reporting procedures • Reporting by pilots • Reporting by ATS • ATS incident report form for use by pilots and controllers • Investigation and documentation • Analysis of ATS incident • Release of information • In the interest of accident/incident prevention • Publish report as soon as possible

Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Air traffic incident Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Air traffic incident investigation process • Step-by-step process • Suspected ATS incident event • Identify and report ATS deficiencies • That problems could be corrected • Reporting of ATS incidents • Requirement within States • Responsibility of all ATS personnel • Immediately report suspected ATS incidents to ATS supervisor or appropriate ATS administration official • Without fear of reprisal

Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Preliminary ATS incident Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Preliminary ATS incident investigation • • Fact finding Determine what occurred in the ATS system Determine validity of the suspected ATS incident Confirmation of ATS incident • • Take appropriate action Advise other ATS unit if involved Relieve controller(s) may be involved Gather pertinent information (e. g. flight progress strips, etc. ) • Review voice recordings and prepare working copy

Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • • Review computer Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • • Review computer and radar data Conduct preliminary interviews Notify ATS management Complete preliminary ATS Incident Investigation Worksheet • Follow-up investigation • ATS unit chief should • • • Ensure ATS incident investigations are conducted Coordinate with other ATS unit chief if involved Designate ATS incident Investigator-In-Charge (ATS-IIIC) Assemble ATS incident investigation team Ensure complete, thorough, objective and timely investigation

Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • ATS-IIIC • Conduct Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • ATS-IIIC • Conduct complete investigation • Forward findings and recommendations to ATS unit chief • Determine scope of other ATS unit investigation if involved and exchange information • Assign duties to team members • Conduct interviews in accordance with national and local requirements • ATS incident investigation team • Assist ATS-IIIC • Remain under guidance of ATS-IIIC during investigation process

Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Investigation process • Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Investigation process • Fact finding • In-depth inquiry into all causal factors • • • Procedures Training Supervision Equipment Control room environment External factors Controller actions Airspace configuration Traffic flows Pilot actions • Consequence of • • ACAS/TCAS event Meteorological conditions Control position configuration Coordination procedures Aerodrome environment Human factors Accuracy of automated radar systems Radar data

Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Investigation process (cont. Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Investigation process (cont. . ) • Interviews • Conduct interviews with all possible personnel involved • • or who may have knowledgeable of the incident Conduct interview in atmosphere of shared concern Consider national and/or local interview procedures Allow written comments and recommendations from interviewee ATS-IIIC or investigation team should conduct interviews

Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Investigation process (cont. Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Investigation process (cont. ) • Voice recordings • • • Review voice recording Make certified copy of original recording 5 minutes before to 5 minutes after last contact Include track time if available Written transcript of communications only when needed • Radar data may be used to validate occurrence of ATS incident • Written procedures should be developed explaining process • Consider automation capabilities and accuracy of data

Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Reclassification of ATS Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Reclassification of ATS incident • What if during the investigation data indicates a reclassification is warranted? • The incident may be reclassified as: • • • Pilot deviation Other ATS unit deviation From operational error to operational deviation From operational deviation to operational error No occurrence

Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Return to operational Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Return to operational duties • ATS chiefs should remain involved in the post ATS incident process to ensure complete and consistent handling • Reasons for suspension of controller’s rating and assignment of proficiency training – – Assist and enhance controller’s performance Best of his/her abilities Meet minimum quality standards Improve overall performance and quality of ATS

Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Return to operational Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Return to operational duties (cont. ) • Consider the following when returning a controller to operational duties • Events leading up to and surrounding ATS incident • Controller’s statement • Procedure or separation minimum involved • Voice recordings • Controller’s training record • Controller proficiency checks • Proficiency training • Controller currency on the control position • Computer data • Involvement in previous ATS incidents • Results of interviews and recommendations made by ATS-IIIC and investigation team

Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Return to operational Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Return to operational duties (cont. ) • Deficiencies in controller’s performance • Determine whether to suspend controller’s rating • Suspension of rating not based solely on involvement in ATS incident but based on performance • Determine appropriate actions and refresher training • Complete refresher training • Re-certify controller through controller proficiency check

Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Final ATS incident Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Final ATS incident reports • ATS unit chief • Analyze data submitted by ATS-IIIC and investigation team in Final ATS Incident Investigation Report to determine and/or endorse classification of incident and – Categorization of ATS incident (i. e, procedural, facility, human factor, etc. ) – Causal factors – Recommendation and corrective actions • Complete Final ATS Incident Report within 30 days

Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • ATS incident tracking Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • ATS incident tracking process • Annual ATS incidents tracking process • Will assist CAAs with follow-up investigations and trend analysis • Sample ATS Incident Report # XXXX-E-00 -001 ATS Incident Report # XXXX-T-00 -002 ATS Incident Report # XXXX-F-00 -003 Legend: “XXXX” = ATS unit identification “E, T, or F” = Type of ATS unit (E = Enroute (ACC); T = Approach (APP) and Aerodrome Control Tower; F = FIC, AFIS, etc. ) “ 00” = Last two digits of the year “ 001” = ATS incident number in sequence by year for the unit

Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Training and proficiency Chapter 5. Air Traffic Incident Reporting, Investigations, and Investigation Teams • Training and proficiency records • Document in training and proficiency records • ATS incident records retention • Determine retention period • 2 ½ years is recommended • National ATS authority responsibilities • • • Maintain central source of ATS incident data Review final ATS incident investigation reports Develop and distribute annual ATS incident analysis report Determine effectiveness and efficiency of programme Maintain liaison with ATS unit chiefs Maintain oversight of ATS incident reports

Chapter 6. Air Traffic Incident Prevention Programmes • Introduction • Establish policies and programmes Chapter 6. Air Traffic Incident Prevention Programmes • Introduction • Establish policies and programmes that result in quality • • incident free ATS Requires commitment of all ATS personnel Consistently perform duties and responsibilities in accordance with ICAO SARPs, CAA and ATS unit directives and procedures Accept responsibility for maintaining the safest and highest levels of operational performance Goals/objectives • ATS incident free environment • Safe, orderly, and expeditious ATS to users • Everyone is responsible for ATS incident prevention • Know, apply, and adhere to requirements in performance of

Chapter 6. Air Traffic Incident Prevention Programmes • ATS incident prevention • Many initiatives Chapter 6. Air Traffic Incident Prevention Programmes • ATS incident prevention • Many initiatives can be pursued • Five primary areas • • • Communications Phraseology Supervision Teamwork ATC proficiency

Chapter 6. Air Traffic Incident Prevention Programmes Prevention objectives • Identify activities/efforts which • Chapter 6. Air Traffic Incident Prevention Programmes Prevention objectives • Identify activities/efforts which • • • enhance individual, ATS unit, and system performance Recognize commendable activities/efforts Identify deficiencies (individual, equipment, procedural) Promptly correct deficiencies Ensure actions taken corrected the deficiencies or problems Initiatives to ensure effective controller performance, teamwork, communications Communicate performance expectations • Maintain summary of ATS • • incidents and incorporate into training Brief ATS personnel on ATS incidents Monitor/evaluate voice recordings Review local/national/regional ATS incidents Annual QA review ATS unit staff meetings Improve communications among all ATS personnel to create atmosphere conducive to sharing information Attendance to local, national,

Chapter 6. Air Traffic Incident Prevention Programmes ATS supervisors • Communicate performance • • Chapter 6. Air Traffic Incident Prevention Programmes ATS supervisors • Communicate performance • • expectations with controllers Take prompt action when performance does not meet expectations (on-the-spot corrections, etc. ) Address individual/team accountability Efficient/consistent oversight of ATS unit operation Ensure distractions and noise levels in ATS unit are kept at a minimum • Require personnel to • • maintain high degree of professionalism, teamwork, control position discipline, awareness Promote open flow of communications Conduct ATS unit team meetings Place emphasis on hearback/readback Keep ATS unit chief/support staff informed (operations concerns, etc. )

Chapter 6. Air Traffic Incident Prevention Programmes ATS quality assurance officers/specialist • Random voice Chapter 6. Air Traffic Incident Prevention Programmes ATS quality assurance officers/specialist • Random voice recording • • reviews Brief ATS unit on trends and causal factors related to ATS incidents, random recording reviews, evaluations, etc. Maintain awareness of ATS operational environment Provide staff expertise and support Assist in ensuring QA goals and objectives are being met • Ensure scenarios involving hearback/readback errors are included in training • Prepare/distribute ATS incident summaries to all ATS personnel • Ensure ATS unit maintains summary of ATS units, causal factors, trends, etc. • Incorporate into classroom and annual proficiency training

Chapter 6. Air Traffic Incident Prevention Programmes ATC personnel • Keep ATS supervisors • Chapter 6. Air Traffic Incident Prevention Programmes ATC personnel • Keep ATS supervisors • Assist busier control advised of traffic problems and equipment limitations • Suggest improvements to ATS unit and/or incident prevention • Maintain situational awareness • Assist busier control positions • Review own operating techniques and ATS unit procedures to effect highest quality of performance • Promptly report ATS incidents • Utilize memory aids

Chapter 6. Air Traffic Incident Prevention Programmes • Voice recording monitor evaluations • To Chapter 6. Air Traffic Incident Prevention Programmes • Voice recording monitor evaluations • To ensure proper phraseology, good operating practices, adherence to ICAO standards, national/local directives and practices • Guidelines • Conduct semi-annually on all ATS operational personnel • Review of voice recording by ATS supervisor/ATS QA specialist • Document comments • Develop action plan to address performance deficiencies • ATS supervisor/QA specialist review and discuss voice recording with controller

Chapter 6. Air Traffic Incident Prevention Programmes • Review of ATC procedures and practices Chapter 6. Air Traffic Incident Prevention Programmes • Review of ATC procedures and practices that may contribute to ATS incidents • Constant review of ATC procedures and practices • Identify, report, recommend, and implement amendments • Ensure safety of aviation and prevention of ATS incidents

Chapter 6. Air Traffic Incident Prevention Programmes • ATS incident review groups • Implement Chapter 6. Air Traffic Incident Prevention Programmes • ATS incident review groups • Implement ATS incident review groups • National/local levels • Purpose • Periodic reviews of prior ATS incidents • Identify other potential problem areas requiring attention • Effort to prevent ATS incidents • Composition • ATS unit chief • Controllers • Other ATS staff • ATS unit QA specialist • Pilots/airlines when appropriate

Chapter 6. Air Traffic Incident Prevention Programmes • Safety information sharing networks and international Chapter 6. Air Traffic Incident Prevention Programmes • Safety information sharing networks and international organizations • Several safety information networks available • Facilitate free exchange of information of actual and potential safety deficiencies • Expanding focus to include air traffic control services • Goals • Collect data • Share information • Assist with identification and prevention of incidents and accidents

Chapter 6. Air Traffic Incident Prevention Programmes • Safety information sharing networks and international Chapter 6. Air Traffic Incident Prevention Programmes • Safety information sharing networks and international organizations (cont. ) • ADREP • ICAO Accident/Incident Reporting Manual, Doc 9156 • Global Aviation Safety Plan (GASP) • Endorsed by 32 nd Session of the ICAO Assembly • Objectives – – – Safety initiatives that offer best “safety dividend” Annual reviews of accident statistics Decrease in worldwide accident rate Enhance identification of short comings and deficiencies Increase and improve ICAO’s own capability to compile, assess and disseminate safety-related information • ICAO Website: www. icao. int

Chapter 6. Air Traffic Incident Prevention Programmes • Global Aviation Information Network • To Chapter 6. Air Traffic Incident Prevention Programmes • Global Aviation Information Network • To encourage the sharing of aviation safety data worldwide in an effort to further reduce accidents • Plans to expand programme to include air traffic control • Website: www. gainweb. org • Aviation Safety Reporting Programme (ASRP) • Reporting programme designed to identify unsafe operating conditions • Deficiencies and discrepancies • Limited immunity • Voluntary and confidential

Chapter 6. Air Traffic Incident Prevention Programmes • PAN American Aviation Safety Team (PAAST) Chapter 6. Air Traffic Incident Prevention Programmes • PAN American Aviation Safety Team (PAAST) • Multi-organizational team • Pool essential resources • Addresses priority safety areas • Deliver practical products to aviation community in Latin American and Caribbean Regions • Participation in international organization study groups to analyze and recommend solutions to ATS incidents is encouraged

Chapter 6. Air Traffic Incident Prevention Programmes • Runway incursion prevention plan • Increase Chapter 6. Air Traffic Incident Prevention Programmes • Runway incursion prevention plan • Increase in runway incursions • Aerodrome operations increasing throughout the world • Potential for runway incursions increase • Need for prevention plan which specifically addresses runway incursions • Strategies • • Position relief briefings Position relief checklist Proficiency training – Prevention of runway incursions Feedback

Chapter 6. Air Traffic Incident Prevention Programmes • Runway incursion prevention plan (cont. ) Chapter 6. Air Traffic Incident Prevention Programmes • Runway incursion prevention plan (cont. ) • Memory aids • Use of flight progress strips/boards • Runway in use sign • Review usage of memory aids on semi-annual basis • Procedures • • Review aerodrome movement operating practices Designate runway crossing point(s) Place special emphasis on safe runway crossings Use of proper procedures in runway crossings including interphone procedures, runway in use sign by ATS supervisors and controllers

Chapter 6. Air Traffic Incident Prevention Programmes • Procedures (cont. ) • Avoid use Chapter 6. Air Traffic Incident Prevention Programmes • Procedures (cont. ) • Avoid use of conditional clearances except as authorized • • • by ICAO SARPs Certain conditional clearances are permitted; however, they should be kept to a minimum, the exception rather than the norm should be practiced, and under extreme caution Include runway check procedures in letter of agreement Define vehicular movement procedures/areas in letter of agreement Vehicular movements should be restricted to perimeter roads, vehicle access roads and other non-movement areas Describe closed runway procedures

END OF PART ONE END OF PART ONE

Chapter 7. ATS Evaluation • Introduction • Chapter deals with need for constant and Chapter 7. ATS Evaluation • Introduction • Chapter deals with need for constant and continuous evaluation of individual ATS units and of the overall ATS system • Purpose and scope • Ensure that provision of service is maintained at the highest standard • Units/personnel apply polices, standards, rules, procedures and separation minimum in approved manner

Chapter 7. ATS Evaluation • ATS evaluation activities include • Assessing service provided to Chapter 7. ATS Evaluation • ATS evaluation activities include • Assessing service provided to users • Ensuring operating procedures conform with • • • standards Assessing operational requirements Identifying potential unsafe procedures or operating practices Detecting problem areas or deficiencies Examining effectiveness of intra/inter-unit communications and coordination Examining personnel utilization, position workload and establishments to ensure compatibility

Chapter 7. ATS Evaluation • Conduct of evaluation • Designate team of experienced personnel Chapter 7. ATS Evaluation • Conduct of evaluation • Designate team of experienced personnel to • • • conduct ATS evaluations At least once every two years Notify ATS unit chief prior to conducting evaluation Meeting at completion of evaluation with ATS unit chief to discuss significant findings and recommendations Prepare written report – ATS evaluation team Prepare action plan – ATS unit

Chapter 7. ATS Evaluation • ATS evaluation procedures • This section provides standardized procedures Chapter 7. ATS Evaluation • ATS evaluation procedures • This section provides standardized procedures for evaluating compliance with ICAO SARPs and specified directives and procedures at the national and local ATS unit level within a State • Evaluation process • Full unit ATS evaluation • Preparation and notification – Use national checklist (to be added to material at later date) – Notify ATS unit chief 30 days prior to evaluation – Request data from ATS unit for pre-evaluation review – Solicit special interest items that ATS unit would like assessed

Chapter 7. ATS Evaluation • Evaluation process (cont. ) • In-briefing – Introduce team Chapter 7. ATS Evaluation • Evaluation process (cont. ) • In-briefing – Introduce team members – Evaluation schedule and activities – ATS unit chief staff • Conducting the evaluation – – – – Direct observation Control position and/or voice recording or data monitor Attendance at staff meetings Observation of training Review of administrative records Interviews/discussions Review of in-flight/preflight evaluation reports

Chapter 7. ATS Evaluation • Evaluation process (cont. ) • Daily briefings – Progress Chapter 7. ATS Evaluation • Evaluation process (cont. ) • Daily briefings – Progress of evaluation – Provided by lead ATS unit evaluator to ATS unit chief • Out-briefing – Briefing of ATS evaluator/team’s findings – Attendance • ATS unit chief • ATS unit personnel encouraged – Present draft copy of ATS evaluation report • Evaluation critique – Critique form to be completed by ATS unit chief

Chapter 7. ATS Evaluation • Follow-up evaluations • Preparation and notification • • • Chapter 7. ATS Evaluation • Follow-up evaluations • Preparation and notification • • • Unannounced or minimum notification On-site evaluation Desk audit Combination of both Conduct no earlier than 6 months after full unit ATS evaluation • May request data for pre-evaluation review • Basically follow same process as full unit ATS evaluation

Chapter 7. ATS Evaluation • In-flight/preflight evaluations • Conduct at least 2 per year Chapter 7. ATS Evaluation • In-flight/preflight evaluations • Conduct at least 2 per year on each ATS unit • Conducted by ATS evaluators and other authorized ATS personnel • Use airlines or other operators in which an agreement to conduct such observations is in place • The following air traffic services may be assessed: • Air traffic services reporting office • Automatic terminal information service • Aerodrome control service • Approach control service • Air traffic advisory service • Other services deemed appropriate

Chapter 7. ATS Evaluation • Special evaluations • May be conducted when deemed necessary Chapter 7. ATS Evaluation • Special evaluations • May be conducted when deemed necessary by the ATS authority or if requested by the ATS unit • Evaluation reports • Document results of all ATS evaluations • Complete and distribute final ATS evaluation reports within 30 days of the out-briefing • Contents of final ATS evaluation reports • Results of evaluation pertaining to areas assessed • Describe reportable items • Assign tracking control numbers to all items identified

Chapter 7. ATS Evaluation • Responses to ATS unit evaluations • Required on all Chapter 7. ATS Evaluation • Responses to ATS unit evaluations • Required on all items rated less than satisfactory • Three-step closure process • Action plan – Develop and forward action plans to appropriate ATS authority within 30 days of receiving final ATS unit evaluation report • First response – Completed and distributed to ATS authority with 60 days of ATS unit out-briefing • Second response – Completed and distributed with 180 days after date of the ATS unit evaluation out-briefing and every 180 days thereafter until all items are closed

Chapter 8. Quality of Services Improvement Programmes • Introduction • Initiatives that can improve Chapter 8. Quality of Services Improvement Programmes • Introduction • Initiatives that can improve the overall quality of air traffic services being provided • Random voice recording reviews • ATS unit quality assurance officers/specialists should complete several random voice recording reviews on a monthly basis • Ensure overall quality of ATS is maintained

Chapter 8. Quality of Services Improvement Programmes • ICAO phraseology improvement programme • Implement Chapter 8. Quality of Services Improvement Programmes • ICAO phraseology improvement programme • Implement ATS unit phraseology improvement programme • Benefit to pilots and controllers • Results can improve quality of service and prevention of ATS incidents • Method • Random voice recording reviews • Voice recording monitor evaluations • Direct observations • Recognition of ATS personnel who demonstrate outstanding phraseology or significant

Chapter 8. Quality of Services Improvement Programmes • ATS customer service/feedback • Important to Chapter 8. Quality of Services Improvement Programmes • ATS customer service/feedback • Important to establish good communications between ATS • • authorities/units and users Users can offer valuable feedback Feedback from others organizations/departments/internally Obtain feedback through surveys ATS quality assurance survey • Conduct annually • External • Internal • Analyzed and validate data collected • Share results with ATS personnel • Issues affecting quality of service should be addressed

Chapter 8. Quality of Services Improvement Programmes • Pilot/controller user forums • Conduct annually Chapter 8. Quality of Services Improvement Programmes • Pilot/controller user forums • Conduct annually • Can produce good relations and enhance communications between ATS authorities, pilots and controllers • Main objective • Bring together people in the ATS system that work together on a daily basis – Pilot on the flight deck – Controller in the control room/tower – Better understanding of each other’s responsibilities and duties • Avoid conducting in a meeting type format • Can also be used to present and explain information on the local or national ATS system and procedures

Chapter 8. Quality of Services Improvement Programmes • Participation in pilot safety seminars • Chapter 8. Quality of Services Improvement Programmes • Participation in pilot safety seminars • Participation of ATS authorities in pilot safety seminars • Present information regarding the ATS system, safety and quality assurance • Pilot visits to ATS units • Encourage pilot visits to ATS units • ATS system familiarization/education for pilots • Consider developing an ATS system education programme • • for pilots Education pilots in how to best utilize the ATS system Functions Responsibilities Benefits

Chapter 8. Quality of Services Improvement Programmes • Familiarization training flights for ATS personnel Chapter 8. Quality of Services Improvement Programmes • Familiarization training flights for ATS personnel • Establish programmes with airlines • ATS supervisors and controllers should be encourage to participate • Allows ATS unit personnel to experience first hand the activities on the flight deck • View programme as proficiency training

Chapter 8. Quality of Services Improvement Programmes • Recognition of quality performance • Recognition Chapter 8. Quality of Services Improvement Programmes • Recognition of quality performance • Recognition of positive quality performance is as important as identifying deficiencies • Recognition as individuals or as a team • Providing a high standard of performance and quality of service • ATS performance measurements • [TO BE DEVELOPED AT A LATER DATE]

Chapter 9. Proficiency Training Programmes • Introduction • Proficiency training is necessary to maintain Chapter 9. Proficiency Training Programmes • Introduction • Proficiency training is necessary to maintain and update the knowledge and skills necessary to apply air traffic control procedures in a safe an efficient manner • Proficiency training includes: • • Refresher training Supplemental training Skill enhancement Remedial training

Chapter 9. Proficiency Training Programmes • May be accomplished in many different ways • Chapter 9. Proficiency Training Programmes • May be accomplished in many different ways • External • Internal (local/in-house-in proficiency training) – Most practical and efficient – Train staff as instructors (may involve external training) – After returning from training they would train others to become instructors (train-the-trainer) • Proficiency training may include: – Training videos – Discussions/briefings – Operational procedures – Emergency procedures ash to aviation - Separation minima - ATS incidents - Contingency - Effects of volcanic

Chapter 9. Proficiency Training Programmes • Proficiency training • Is required for: • All Chapter 9. Proficiency Training Programmes • Proficiency training • Is required for: • All ATS operational personnel (supervisors and controllers) • Support personnel who maintain operational currency • Purpose • Maintain and upgrade knowledge and skills necessary to apply air traffic control procedures in safe and efficient manner • Training needs will vary between different ATS units • Describe proficiency training programme in ATS

Chapter 9. Proficiency Training Programmes • Types of proficiency training • Refresher training • Chapter 9. Proficiency Training Programmes • Types of proficiency training • Refresher training • Recurring training conducted to maintain and update previously learned knowledge and skills • Supplemental training • Training administered to ATS operational personnel prior to implementation of new/revised procedures, regulations, equipment

Chapter 9. Proficiency Training Programmes • Types of proficiency training (cont. ) • Skill Chapter 9. Proficiency Training Programmes • Types of proficiency training (cont. ) • Skill enhancement training • Training assigned, normally by the supervisor, when it is determined that a need exists to increase the skill(s) of a controller in a position on which he/she is certified • Remedial training • Training assigned to correct specific performance deficiencies

Chapter 9. Proficiency Training Programmes Refresher training topics • • • • Unusual situations Chapter 9. Proficiency Training Programmes Refresher training topics • • • • Unusual situations Infrequently used procedures Safety alerts/traffic advisories Wake turbulence Line up and wait procedures Deicing procedures Bird activity information Strayed or unidentified aircraft orientation Interception of civil aircraft Meteorology procedures for ATC Radar backup systems ATS contingency plan procedures Effects of volcanic ash to aviation Coordination procedures Civil/military coordination/joint use airspace Separation minima • • • • Radar vectoring techniques Speed control techniques Situational awareness ATS incident reduction Aircraft performance and characteristics ATC communications Prevention of runway incursions Special VFR operations Level assignment Local manual of operations Letters of agreement Arrival/departure procedures Weather Noise abatement ATS unit file/life safety procedures

Chapter 10. ATS Safety Management “This material is extracted from an amendment proposal to Chapter 10. ATS Safety Management “This material is extracted from an amendment proposal to Annex 11 and is subject to change before adoption by the ICAO Council”

Chapter 10. ATS Safety Management • Introduction • States implement systematic and appropriate ATS Chapter 10. ATS Safety Management • Introduction • States implement systematic and appropriate ATS safety management programmes to ensure that safety is maintained in the provision of ATS within airspaces and at aerodromes • ATS safety management programmes • Provide for regular monitoring and assessment of safety level achieved • Identify potential hazards and determine the need for remedial action • Ensure that remedial action necessary to maintain an acceptable level of safety is implemented

Chapter 10. ATS Safety Management • Objectives of ATS safety and capacity management • Chapter 10. ATS Safety Management • Objectives of ATS safety and capacity management • Ensure established ATS level of safety is met within an airspace or aerodrome • Safety-related enhancements are implemented • ATS capacities conforming to actual needs – as far as practicable and subject to safety considerations • Facilitate efficiency and economy in aircraft operations through use of flexible airspace

Chapter 10. ATS Safety Management • ATS safety management activites • Monitoring overall safety Chapter 10. ATS Safety Management • ATS safety management activites • Monitoring overall safety levels and detection of any adverse trend • Safety reviews of ATS units • Safety assessments • Airspace re-organizations • New or changed ATS procedures • Establish need for safety enhancing measures • Review ATS capacities • Traffic demands, balancing capacity and traffic demands • Flexible use of airspace • Gain capacity and efficiency

Chapter 10. ATS Safety Management • Monitoring of safety levels • Periodically collect and Chapter 10. ATS Safety Management • Monitoring of safety levels • Periodically collect and review safety related data to evaluate level of safety achieved in ATS and to detect any adverse trends • Safety reviews • Conduct safety reviews of ATS units on a regular basis • Safety review topics include: • Regulatory issues • Operational and technical issues • Licensing and training issues

Chapter 10. ATS Safety Management • Airspace re-organization and new or changed ATS procedures Chapter 10. ATS Safety Management • Airspace re-organization and new or changed ATS procedures • Need for safety assessments • Acceptable level of safety • Safety-significant factors • • • Need for safety-enhancing measures Reviews of airspace and ATC capacity Capacity assessments Regulation of ATC capacity and traffic volumes Enhancements to ATC capacity Flexible use of airspace

Chapter 11. Human Factors • Chapter designed in progress • To be completed at Chapter 11. Human Factors • Chapter designed in progress • To be completed at a later date • Proposed contents of chapter • Information useful to air traffic control personnel • • • Controller/pilot voice communications Memory Fatigue Effects of stress on information processing Techniques – – Help reduce probability of voice communications errors Remembering specific information Identifying stress that could affect performance Reduce fatigue

Next steps • Draft regional guidance material to be presented to: • GREPECAS ATM/CNS Next steps • Draft regional guidance material to be presented to: • GREPECAS ATM/CNS Subgroup and then to GREPRECAS • ICAO Headquarters for consideration as worldwide guidance material - 2002 • NAM/CAR/SAM ATS QA Programme Workshops • 2001 (English) • 2002 (Spanish) • ATS QA Programme Training Course • Should be developed under TRAINAIR

Conclusions • ATS quality assurance programmes would place safety at the forefront while expediting Conclusions • ATS quality assurance programmes would place safety at the forefront while expediting and maintaining an orderly flow of air traffic • Quality assurance is a dynamic process used to continually improve an ATS system

Conclusions • Quality will continue to be measured against historical data • • Number Conclusions • Quality will continue to be measured against historical data • • Number of ATS incidents Delays Employee and customer feedback Factors that cannot be measured readily must also be recognized • Willingness to function • Team • Training • Actions taken to support zero ATS incidents all factor into quality assurance

Conclusions • The success of the quality assurance effort is dependent on the recognition Conclusions • The success of the quality assurance effort is dependent on the recognition that all ATS providers, independently and collectively, must strive to provide the best service possible

Conclusions • Write what you do • Do what you write • Check what Conclusions • Write what you do • Do what you write • Check what you do • Escriba lo que hace • Haga lo que escribe • Verifique lo que hace International Standardization Organization/Organizacion Internacional de Normalizacion Technical Committee 176 - ISO 9000 Basic Requirements/ Comite Tecnico 176 - Requisitos Basicos

The End Fin Thank you Gracias The End Fin Thank you Gracias