Section 6, Chapter 2 - Air Traffic Control Incident Assessment Flashcards
What is the procedure for Air Traffic Control incident assessment?
- Scope: Includes any ATC-related occurrence such as accidents, AIRPROX, or incidents involving safety where a controller’s actions, inadequate ATC procedures, or faulty equipment may have contributed.
- Assessment Responsibility: Conducted by nominated local unit managers.
Assessment Phases:
* Initial action: Taken at the unit.
* Full investigation: Conducted by the CAA (ATS Investigations).
What actions are involved in Phase 1 - Initial Action of the Air Traffic Control incident assessment?
Immediate Actions by Unit Manager:
* Withdraw the involved controller(s) from operational duty and conduct an informal interview to establish basic facts.
* Contact the appropriate Principal ATS Inspector (or nominated deputy) with immediately available details of the incident. Review relevant RTF and telephone recordings before contacting if possible.
Principal Inspector’s Role:
* Decide on provisional variation of the controller’s unit endorsement, rating, or license if necessary.
* Determine the extent of further remedial action (e.g., competence check, training period).
Local Management Assessment:
1. Take immediate local actions to prevent recurrence (e.g., cease using a procedure, withdraw suspect equipment).
2. Gather evidence for the in-depth investigation and discuss with the Principal ATS Inspector.
- Local Unit Investigation: Ensure it is conducted according to local unit procedures.
What actions are involved in Phase 2 - Full Investigation of the Air Traffic Control incident assessment?
Field Investigation: Conducted by an ATS Investigator if deemed appropriate. May include:
* Interviews at the concerned unit(s) or by telephone.
* Gathering further evidence from controllers previously informally interviewed.
* Considering other relevant evidence such as pilots’ reports, RTF transcripts, and surveillance recordings.
Evidence Analysis: ATSI analyzes the evidence to identify the causes of the occurrence and includes this in their report conclusion. Recommendations may be made if appropriate.
Report Submission: The ATS Investigator’s report is submitted to the appropriate Principal ATS Inspector.
What are the steps involved in implementing remedial action following an Air Traffic Control incident assessment?
Principal ATS Inspector:
* Oversees the implementation and audit of any adopted recommendations from ATSI.
* Determines provisional licensing action and the need for a local assessment.
Reporting:
* All incidents, whether or not ATC is implicated, are reported as MORs to the CAA and, in the case of accidents, to the AAIB.
* AIRPROX reports must be clearly annotated as such on the original MOR, and are forwarded to UKAB by SDD.
Diagram Steps (for AIRPROX):
* ATSU: Files MOR, provides a copy to the ATSU Manager, and retains a copy.
* ATSU Manager: Telephones basic facts to the Principal ATS Inspector, sends completed local assessment, and provides supplementary information to SDD.
* ATSI (CAA): Investigates the MOR, which may include interviewing the controller, and submits a completed report to SDD, UKAB, and the Principal ATS Inspector.
* Pilot: Files an MOR annotated as an AIRPROX (EASA Annex 1 or Annex 2 aircraft).
* SDD (CAA): Uploads data to ECCAIRS.
* UKAB: Reviews evidence, identifies causes, assesses risk, makes recommendations, and publishes the report.
* Manager Air Traffic Management (CAA): Confirms ATC personnel responsibility and oversees necessary changes to ATC procedures.
* UKAB Secretariat: Reviews or requests the pilot report, forwards it to ATSI if appropriate, reviews the ATSI report, and produces a summary for UKAB.
What should be done with a safety-related incident that does not fall into the categories of accidents, AIRPROX, or other specified incidents?
Mandatory Occurrence Report (MOR): File the incident as an MOR and submit it to the CAA for initial evaluation and processing.
Local Assessment: If the competence of a controller is in doubt during the local assessment, the unit manager should:
* Withdraw the controller from operational duty.
* Telephone the appropriate Principal Inspector as for AIRPROX.
What is the role of the Safety Data Department (SDD) in the occurrence reporting process?
- Focal Point: SDD is the focal point for receiving all occurrence reports, including ATC-related incidents.
- Assessment and Assignment: SDD assesses each report and assigns it to the appropriate CAA department for investigation.
What should controllers do if they experience excessive workload during an ATC situation, and what steps should the Unit Manager take?
Controller Action:
* File a Mandatory Occurrence Report (MOR).
* Start the narrative with “Overload Report.”
Unit Manager Responsibilities:
* Ensure a unit investigation into the alleged overload.
* Submit a follow-up report in line with UK Reg (EU) No 376/2014 timelines.
* Include in the report the effect of the overload on the controller’s ability to safely handle aircraft.
* Detail any remedial actions the unit has decided to take, if appropriate.
