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. NAM/CAR/SAM Air Traffic Services Quality Assurance Workshop (Port of Spain, Trinidad and Tobago, 26 to 30 November 2001) 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. NAM/CAR/SAM Air Traffic Services Quality Assurance Workshop (Port of Spain, Trinidad and Tobago, 26 to 30 November 2001) Chapter 3. ATS Quality Assurance Programmes Introduction Introduction ATS QA programmes should focus on Identifying and correcting deficiencies before they result in an ATS incident or accident; and 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 Should continually work towards improving the overall quality of air traffic services Chapter contains proactive quality assurance strategies Chapter contains proactive quality assurance strategies

4. NAM/CAR/SAM Air Traffic Services Quality Assurance Workshop (Port of Spain, Trinidad and Tobago, 26 to 30 November 2001) Scope and purpose Scope and purpose Specific guidance on reporting, investigating and resolving various types of ATS incidents that impact the quality of ATS Specific guidance on reporting, investigating and resolving various types of ATS incidents that impact the quality of ATS Designed to work in conjunction with Designed to work in conjunction with ICAO SARPs ICAO SARPs State’s regulations State’s regulations Objectives Objectives Prevent ATS incidents Prevent ATS incidents Continually improve overall quality of air traffic services Continually improve overall quality of air traffic services Chapter 3. ATS Quality Assurance Programmes (cont’d)

5. NAM/CAR/SAM Air Traffic Services Quality Assurance Workshop (Port of Spain, Trinidad and Tobago, 26 to 30 November 2001) Structure Structure Depends on size and composition of ATS provider Depends on size and composition of ATS provider Acceptable and productive programme structure may involve Acceptable and productive programme structure may involve ATS chief designating/selecting experienced ATC expert to be ATS unit quality assurance officer/specialist 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 ATS unit QA specialist assumes duties and responsibilities of QA for ATS unit Larger ATS units could develop ATS QA unit/department Larger ATS units could develop ATS QA unit/department Several ATS QA specialists Several ATS QA specialists Assistant chief with extensive ATC experience Assistant chief with extensive ATC experience Chapter 3. ATS Quality Assurance Programmes (cont’d)

6. NAM/CAR/SAM Air Traffic Services Quality Assurance Workshop (Port of Spain, Trinidad and Tobago, 26 to 30 November 2001) Implementation Implementation CAR/SAM/3 Recommendation 5/38 – Implementation of an ATS quality assurance programme CAR/SAM/3 Recommendation 5/38 – Implementation of an ATS quality assurance programmeThat, 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 Chapter 3. ATS Quality Assurance Programmes (cont’d)

7. NAM/CAR/SAM Air Traffic Services Quality Assurance Workshop (Port of Spain, Trinidad and Tobago, 26 to 30 November 2001) Responsibilities Responsibilities ICAO NACC and SAM Regional Offices ICAO NACC and SAM Regional Offices provide guidance and assistance to States/ATS service providers in the development of ATS quality assurance programmes provide guidance and assistance to States/ATS service providers in the development of ATS quality assurance programmes States/ATS service providers States/ATS service providers Should implement an ATS quality assurance programme with associated supporting documents 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 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 National ATS QA programmes are maintained and evaluated for effectiveness Chapter 3. ATS Quality Assurance Programmes (cont’d)

8. NAM/CAR/SAM Air Traffic Services Quality Assurance Workshop (Port of Spain, Trinidad and Tobago, 26 to 30 November 2001) ATS unit chiefs 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 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 All ATS personnel Responsible for maintaining the highest level of quality performance Responsible for maintaining the highest level of quality performance Chapter 3. ATS Quality Assurance Programmes (cont’d)

9. NAM/CAR/SAM Air Traffic Services Quality Assurance Workshop (Port of Spain, Trinidad and Tobago, 26 to 30 November 2001) Programme content Programme content ATS QA programmes should establish methods to identify and correct shortcomings and recognize successes in the following areas: ATS QA programmes should establish methods to identify and correct shortcomings and recognize successes in the following areas: ATS incident prevention ATS incident prevention Teamwork Teamwork Communications Communications Customer service/feedback Customer service/feedback Chapter 3. ATS Quality Assurance Programmes (cont’d)

10. NAM/CAR/SAM Air Traffic Services Quality Assurance Workshop (Port of Spain, Trinidad and Tobago, 26 to 30 November 2001) ATS incident prevention ATS incident prevention ATS refresher training ATS refresher training Aeronautical phraseology improvement Aeronautical phraseology improvement English language proficiency English language proficiency Hearback/readback Hearback/readback ATS surface incident ATS surface incident Incentive/recognition Incentive/recognition List of good operating practices List of good operating practices Recordings monitor evaluation Recordings monitor evaluation Simulation training Simulation training Personal accounts of lessons learned Personal accounts of lessons learned Periodic quality assurance briefings in ATS units covering trends, customers input, evaluations, etc. Periodic quality assurance briefings in ATS units covering trends, customers input, evaluations, etc. Aggressive resolution of problems identified Aggressive resolution of problems identified Incorporation of past ATS incidents scenarios into training Incorporation of past ATS incidents scenarios into training Internal, national, and regional ATS evaluation Internal, national, and regional ATS evaluation ATS incident prevention Chapter 3. ATS Quality Assurance Programmes (cont’d)

11. NAM/CAR/SAM Air Traffic Services Quality Assurance Workshop (Port of Spain, Trinidad and Tobago, 26 to 30 November 2001) Air traffic service teamwork training Air traffic service teamwork training Teamwork incentive/recognition programmes Teamwork incentive/recognition programmes Roles of different positions/jobs Roles of different positions/jobs ATS Operational Supervisor training course ATS Operational Supervisor training course Team meetings/briefings Team meetings/briefings Expectations of all employees clearly communicated Expectations of all employees clearly communicated Teamwork Chapter 3. ATS Quality Assurance Programmes (cont’d)

12. NAM/CAR/SAM Air Traffic Services Quality Assurance Workshop (Port of Spain, Trinidad and Tobago, 26 to 30 November 2001) Electronic bulletin board system Electronic bulletin board system Internet/intranet access to data Internet/intranet access to data National database containing national and local ATS QA data National database containing national and local ATS QA data Newsletters Newsletters ATS QA seminars, conferences and workshops ATS QA seminars, conferences and workshops All staff meetings All staff meetings Reports from International organizations, i.e. IFATCA, IATA, IFALPA, PAAST, etc., and other industry safety reports Reports from International organizations, i.e. IFATCA, IATA, IFALPA, PAAST, etc., and other industry safety reports Communications Chapter 3. ATS Quality Assurance Programmes (cont’d)

13. NAM/CAR/SAM Air Traffic Services Quality Assurance Workshop (Port of Spain, Trinidad and Tobago, 26 to 30 November 2001) Pilot education programmes Pilot education programmes Surveys of internal and external customers Surveys of internal and external customers Interaction with other aviation organizations Interaction with other aviation organizations Air traffic controller/Operational Supervisor evaluation of shift performance Air traffic controller/Operational Supervisor evaluation of shift performance All staff meetings All staff meetings Familiarization flights Familiarization flights Contacts with customer organizations (i.e. local flight schools, airlines, aviation organizations, etc.) Contacts with customer organizations (i.e. local flight schools, airlines, aviation organizations, etc.) Pilot safety seminars and airport management workgroups Pilot safety seminars and airport management workgroups Customer service/feedback Chapter 3. ATS Quality Assurance Programmes (cont’d)

14. NAM/CAR/SAM Air Traffic Services Quality Assurance Workshop (Port of Spain, Trinidad and Tobago, 26 to 30 November 2001) Chapter 4. Controller Proficiency Checks Introduction Introduction To provide continuous enhancement of technical proficiency in the ATS environment, individualized training requirements for technical performance should be identified and accomplished 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 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. NAM/CAR/SAM Air Traffic Services Quality Assurance Workshop (Port of Spain, Trinidad and Tobago, 26 to 30 November 2001) Chapter 4. Controller Proficiency Checks (cont’d) Responsibilities Responsibilities ATS unit chiefs to establish and maintain ATS unit proficiency standards 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 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 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 Controller proficiency checks should be accomplished on each controller and supervisor

16. NAM/CAR/SAM Air Traffic Services Quality Assurance Workshop (Port of Spain, Trinidad and Tobago, 26 to 30 November 2001) Chapter 4. Controller Proficiency Checks (cont’d) ATS unit chief, supervisor or quality assurance specialist should conduct task of 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 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 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 Indirect – remote monitoring, voice recordings, observations by other supervisors or ATS unit QA specialists

17. NAM/CAR/SAM Air Traffic Services Quality Assurance Workshop (Port of Spain, Trinidad and Tobago, 26 to 30 November 2001) Chapter 4. Controller Proficiency Checks (cont’d) What if results of controller proficiency check indicates controller would benefit from proficiency training? What if results of controller proficiency check indicates controller would benefit from proficiency training? Use references to determine type of training needed: Use references to determine type of training needed: ICAO Doc 9426, Air Traffic Services Planning Manual, Chapter 3 – Training and Proficiency Requirements 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 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 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 A controller may demonstrate an acceptable level of technical performance, but might still benefit from proficiency training in a particular skill or task

18. NAM/CAR/SAM Air Traffic Services Quality Assurance Workshop (Port of Spain, Trinidad and Tobago, 26 to 30 November 2001) Chapter 4. Controller Proficiency Checks (cont’d) ATS supervisor or QA specialist should discuss the completed controller proficiency check with the controller 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 Proficiency checks are not intended to be pass/fail or satisfactory/unsatisfactory What if a controller’s performance is found to be 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 Rating should be suspended and appropriate proficiency training, followed by a re-certification process should be completed

19. NAM/CAR/SAM Air Traffic Services Quality Assurance Workshop (Port of Spain, Trinidad and Tobago, 26 to 30 November 2001) 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 ATS units should conduct an annual review of all controller proficiency checks with a view to identify recurring and significant proficiency needs Documentation Documentation Discuss proficiency check results with the controller and document in the controller’s training record Discuss proficiency check results with the controller and document in the controller’s training record

20. THANK YOUTHE END