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 ORGANIZATION   NORTH AMERICAN, CENTRAL AMERICAN AND CARIBBEAN OFFICE   CAR/SAM REGIONAL GUIDANCE MATERIAL ON   AIR TRAFFIC SERVICES   QUALITY ASSURANCE PROGRAMMES   CHAPTERS 3 – 4   Version 1.0   November 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. Chapter 3. ATS Quality Assurance Programmes (cont’d)
ATS incident prevention
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

11. Chapter 3. ATS Quality Assurance Programmes (cont’d)
Teamwork
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

12. Chapter 3. ATS Quality Assurance Programmes (cont’d)
Communications
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

13. Chapter 3. ATS Quality Assurance Programmes (cont’d)
Customer service/feedback
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

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

20. THE END
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