Section 6, Chapter 1 - General Guidance

Question 1

What are the general guidelines for reporting accidents, incidents, breaches of legislation, or AIRPROX events?

Answer 1

• Immediate Action: Controllers must follow procedures described in Section 1 for AIRPROX reports.
• Purpose: To provide a quick reference for subsequent reporting actions for various events.
• Information Forwarding:
• All available information should be forwarded to the relevant authority promptly.
• Include details from subsequent conversations with pilots, such as the pilot’s name (if volunteered), discussion content, and whether the controller considers the matter closed from a flight safety viewpoint.
• Supplementary Details: May be dispatched after initial reporting; ANSPs must ensure all details are correctly forwarded.
• Legislation Infringement: Follow guidance in Chapter 4.
• Contact Information: Common telephone numbers and postal addresses are in Appendix H; display copies in control rooms as needed.
• Reporting Format: ANSPs with ECCAIRS/ADREP compliant format may submit MOR via this format; others should use the EU Reporting Portal.

Question 2

When should occurrences be reported by telephone, and where can you find the necessary contact information?

Answer 2

• When to Report: Some occurrences, such as malicious interference to VHF communications, require prompt reporting by telephone.
• Contact Information: Telephone numbers are listed in the directory located in Appendix H.

Question 3

What are the guidelines for reporting incidents and accidents by controllers?

Answer 3

Reporting Process:
* Individual controllers must report incidents and accidents to their ANSP employer, following MATS Part 2 or local unit instructions.
* The ANSP collects all reports and related documents and sends them to the appropriate address.
* Submission of a completed report that meets legal requirements constitutes compliance with UK Reg (EU) 2015/1018 Annex 3 and UK Reg (EU) No. 376/2014.

Compiling a Report:
* Relate events in chronological order.
* Amplify facts with explanations, without pre-judging or investigating.
* Refer to the watch log, flight progress strips, or other documents for accurate details.
* Use accepted aeronautical abbreviations (except for CA939 – Alleged Infringement of Legislation).
* Keep sentences and paragraphs short.
* Include a sketch or diagram if it simplifies the description.
* Write in the first person.
* Endorse the report with “The events described have not been checked for accuracy against the appropriate RTF recording” if you have not heard the RTF recording.

Question 4

What actions must be taken to preserve ATS records concerning unusual occurrences?

Answer 4

• General Preservation: All ATS records related to unusual occurrences must be preserved until enquiries or investigations are completed.

Specific Actions:
* Advise the DEO of occurrences immediately.
* Request a copy of the weather report for the time of the occurrence from the Meteorological Office or a qualified meteorological observer.
* Retain the original flight progress strips (FPS) at the unit or secure appropriate records for electronic strips.

Question 5

What are the guidelines for accessing original records following an accident?

Answer 5

• Access Limitation: Access to original records is limited to protect important evidence.
• Replay and Access Authority: Normally permitted only by the AAIB.
• Immediate Safety Needs: ATC may access records if essential for the safety of the subject aircraft or others (e.g., to establish the position for search and rescue).
• Alternative Authority: If AAIB authority cannot be obtained in time, the senior controller available may authorize access. Written confirmation of this authority may be required.

Question 6

What are the guidelines for accessing original records following incidents, including AIRPROX?

Answer 6

• Authorization: Replay of original RTF recordings and access to other original records may be authorized by the appropriate designated local responsible person.

Requests for Replays:
* Replays not associated with accidents, incidents, or AIRPROX may be requested by ATC or outside organizations (e.g., airline representatives).
* In all such cases, the written authority of the responsible person is required to release the information.

Question 7

What are the guidelines for the disclosure of information related to reports on accidents, incidents, or AIRPROX events?

Answer 7

• Protection of Reports: Protect report contents in accordance with UK Reg (EU) No. 376/2014 Article 15. Verify the identity of individuals requesting report details.
• Press and Public Enquiries: Refer members of the press and public to the authorized person for information release. Follow UK Reg (EU) No. 376/2014 guidance and local instructions.
• Alleged Legislation Infringements: Controllers should not approach pilots or the Aircraft Operator. Refer to Chapter 4 for guidance if contacted by the pilot.

Contact with Aircraft Operator:
* Controllers may obtain details by phone but should not discuss the occurrence or offer opinions.
* Inform the Aircraft Operator of the relevant authority for further information:
1. Serious incidents: DfT (AAIB)
2. AIRPROX and incidents: CAA (Safety and Airspace Regulation Group) or UK Airprox Board (UKAB).

Question 8

What steps are taken for additional AAIB post-incident investigations?

Answer 8

• Investigation Requirement: AAIB may investigate incidents not normally reported to them for flight safety reasons.
• Notification: AAIB Duty Co-ordinator informs the appropriate Area Control Centre (ACC) about the investigation.
• ACC’s Responsibility: The ACC must inform the appropriate ATSU to take the normal post-incident actions as required by the AAIB.