CAR/SAM Regional Guidance Material on Air Traffic Services Quality Assurance Programmes

1. CAR/SAM Regional Guidance Material on Air Traffic Services Quality Assurance Programmes NAM/CAR/SAM Quality Assurance Workshop Gustavo De León Regional Officer, Air Traffic Management and Search and Rescue ICAO NACC Regional Office NAM/CAR/SAM Air Traffic Services Quality Assurance Workshop (Port of Spain, Trinidad and Tobago, 26 to 30 November 2001)

2. INTERNATIONAL CIVIL AVIATION ORGANIZATIONNORTH AMERICAN, CENTRAL AMERICAN AND CARIBBEAN OFFICECAR/SAM REGIONAL GUIDANCE MATERIAL ONAIR TRAFFIC SERVICESQUALITY ASSURANCE PROGRAMMESCHAPTERS 3 – 4Version 1.0November 2001

3. 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

4. Chapter 3. ATS Quality Assurance Programmes (cont’d) • 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

5. Chapter 3. ATS Quality Assurance Programmes (cont’d) • 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

6. Chapter 3. ATS Quality Assurance Programmes (cont’d) • 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 b) Each ATS unit should establish such a programme

7. Chapter 3. ATS Quality Assurance Programmes (cont’d) • 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

8. Chapter 3. ATS Quality Assurance Programmes (cont’d) • 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

9. Chapter 3. ATS Quality Assurance Programmes (cont’d) • 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

10. 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 (cont’d) ATS incident prevention

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

12. Electronic bulletin board system Internet/intranet access to data National database containing national and local ATS QA data Newsletters ATS QA seminars, 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 (cont’d) Communications

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

14. 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

15. Chapter 4. Controller Proficiency Checks (cont’d) • 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

16. Chapter 4. Controller Proficiency Checks (cont’d) • 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

17. Chapter 4. Controller Proficiency Checks (cont’d) • 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 • 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 from proficiency training in a particular skill or task

18. Chapter 4. Controller Proficiency Checks (cont’d) • 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

19. Chapter 4. Controller Proficiency Checks (cont’d) • 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

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