2-1-1. OVERVIEW

A critical component of any effective quality assurance program is problem prevention.  This chapter provides a list of proactive quality assurance strategies.  While it is by no means all-inclusive, it does provide some ideas that may be developed in individual quality assurance programs.

2-1-2. RESPONSIBILITIES

a.        Manager, Air Traffic Evaluations and Investigations Staff, AAT-20, shall:

(1)     Provide guidance and assistance to Regional Air Traffic Divisions to develop their QA Programs.

(2)     Ensure all Air Traffic QA Programs are evaluated through the national evaluation process.

(3)     Maintain, on file, each regional QA program, and provide an annual assessment of those programs to the Director of Air Traffic, AAT-1.

(4)     Conduct Investigative Reviews of Air Traffic Services (IRATS) for facilities with high or increasing numbers of operational errors or incidents.

(5)     With assistance from Regional Quality Assurance Staffs, identify and recognize air traffic facilities that:

(a)     Have achieved 1,000,000 error free operations.  Facilities achieving the significant milestone of 1,000,000 error free operations shall be presented with a Certificate from the Director of Air Traffic signifying their inclusion in the "None in a Million" Club.

(b)     Have achieved significant reductions in OE/OD rates.

b.        Regional Air Traffic Division (ATD) Managers shall:

(1)     Develop a Regional QA Program.

(2)     Identify which facilities within the region shall be required to develop a Facility QA Program.

(3)     Provide a copy of all Regional and Facility Quality Assurance Orders and Operational Error/Operational Deviation (OE/OD) prevention plans to AAT-20.

(4)     Annually review existing regional quality assurance orders and programs and, as necessary, develop new quality assurance orders or revise existing
 orders that address OE/OD prevention. In doing so, each ATD shall take into account past deficiencies identified by AAT-20. In addition, each ATD shall ensure that all facilities have an OE/OD prevention plan written, approved, and in effect.  Each ATD shall also ensure that existing or revised QA orders are in compliance with this order.

Note:
Individual facility OE/OD prevention plans may be combined into a single HUB document.

(5)     Ensure a "Back to Basics" approach is included in each OE/OD prevention plan.  The objective of a back to basics approach is to reduce and prevent OE/ODs by emphasizing proper use of the basics of air traffic control.  As a minimum, all facilities shall continually emphasize the use of standard phraseology, the need to ensure pilot read-backs are complete and correct, and the use of position relief checklists during position relief briefings.  This back to basics approach can be implemented using a variety of methods such as weekly team briefings, staff meetings, increased dialog with the workforce during performance related discussions and by posting examples monthly on facility or QA bulletin boards.

(6)     Ensure that facility OE/OD prevention plans include items pertinent to a particular facility.  In developing OE/OD prevention plans, Air Traffic Managers (ATM) shall consider past deficiencies identified by AAT-20.

(7)     Ensure that regional/facility OE/OD prevention plans provide the means for identification of non-compliance with national, regional, and local facility directives or standards; identify the cause(s) of the non-compliance; immediately rectify occurrences of non-compliance; and eliminate future non-compliance.

(8)     Provide trend analysis, statistical data, recommendations and other pertinent information to assist field facilities with their prevention efforts. Regional Quality Assurance Staffs shall also provide assistance and support to all terminal facilities to ensure that all national surface error prevention strategies have been implemented as required.

(9)     Establish methods for early identification of facility operational trends in order to raise facility operational awareness.  OE/OD rates per 100,000 operations will be tracked and distributed to heighten awareness of each facility’s OE/OD trends.

(10)    Ensure that towers include a comprehensive plan to prevent surface incidents, if one is not already contained in a separate facility Runway Incursion Prevention Plan.

c.        Hub Managers/ATM's shall:

(1)     Maintain a level of awareness and involvement in their facility's operations/programs so as to ensure their maximum quality and efficiency.

(2)     Develop a Facility QA Program as directed by the ATD or Hub manager.

(3)     Identify which facilities within their Hub shall be required to develop a Facility QA Program.

2-1-3. PROGRAM CONTENT

QA programs shall establish methods to identify and correct deficiencies and recognize successes in, as a minimum, the following four areas:

a.        Operational Error and Operational Deviation (OE/OD) Prevention:

(1)     From the following list, include, as a minimum, three actions to preclude OE/OD's from occurring:

(a)     Hearback/Readback programs.

(b)     Surface error prevention programs.

(c)     Incentive/recognition programs.

(d)     Employee of the Month/Quarter programs.

(e)     List of good operating practices.

(f)      Tape talks/Phraseology Improvement Programs.

(g)    Supplemental, refresher or skill enhancement training and/or simulation training.

(h)    Personal accounts of lessons learned.

(i)      Periodic QA briefings in the facility covering trends, customer input, evaluations, etc.

(j)      Aggressive resolution of problems identified by the Unsatisfactory Condition Report (UCR) program.

(k)    Review of Monitor Alert Parameters (MAP).

(l)      Incorporate previous OE scenarios into the training program.

(2)     Regional QA Programs shall include procedures for the regular, periodic review of facilities' OE/OD trends.  These procedures shall provide for appropriate investigation and reporting of observed trends.

b.        Teamwork.  From the following list, include as a minimum, two items that will instill teamwork within the air traffic control specialist (ATCS) workforce, administrative workforce, and between facilities, outside entities, etc.:

(1)     Air Traffic Teamwork Enhancement (ATTE) training, internal and external teams.

(2)     Teamwork incentive/recognition programs.

(3)     Roles of different positions/jobs (facility-wide cross training).

(4)     Supervisor/CIC skills course.

(5)     Team meetings.

(6)     Clearly communicated expectations.

c.        Communications. From the following list, include as a minimum, four items to improve communications among all employees  and create an atmosphere conducive to the sharing of information:

(1)     Electronic Bulletin Board System or Internet/Intranet access to data.

(2)     National Database - containing facility, regional and national QA data.

(a)     http://aat20.faa.gov/

(3)     Newsletter(s) - electronic editions where possible.

(4)     QA seminars and conferences.

(5)     System wide QA TELCONs.

(6)     Team briefings on trends and issues.

(7)     All hands meetings.

(8)     SUPCOM

(9)     Industry reports (e.g. National Transportation Safety Board (NTSB) reports, Aviation Safety Reporting System (ASRS), Air Line Pilots Association (ALPA), and Aircraft Owners and Pilots Association (AOPA) newsletters).