CAP 744 Air Traffic Controllers – Licensing(38)

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NOTE:  In a) above ‘been involved in’ includes controllers who were providing the ATC service to the aircraft involved and any other controllers who are considered by the provider to have contributed to the ATC incident or aircraft accident.
A controller implicated as having contributed to an accident or incident must remain withdrawn from duty by the unit even if this will require the withdrawal of a particular ATC service or closure of an aerodrome ATC unit.
Exceptionally, where the immediate withdrawal of a controller would adversely affect the safety of aircraft, the controller may continue to provide an ATC service but must be withdrawn from duty by the unit as soon as it is safe to do so. Providers at units where this has occurred must keep a written record of the incident which includes the reason for not immediately withdrawing the controller from duty.

12.2  Local Management Assessment
12.2.1  Immediately following an incident or accident, the unit shall ensure that a local management assessment is conducted. This assessment will aim to determine the cause of the incident or accident and whether a controller is implicated in the cause.
Units shall ensure that the local management assessment is conducted by local ATC management or by a “responsible person”, normally a senior controller nominated by the provider.
12.2.2  Units shall ensure that the local management assessment is comprehensive and, in cases where separation was, or may have been, compromised, include as a minimum the following information:
a) the date and time of the incident;
b) the aircraft involved;
c) the location of the incident;
d) the departure and destination aerodromes of the aircraft ;
e) the names and licence numbers (if immediately available) of the controller(s)

involved;
f)  a brief description of the incident;
g) the heights of the aircraft ;
h) any action taken to resolve the incident including;
i)  avoiding action including turns, climbs, descents or stopping climbs or descents,
ii) traffic information and visual sightings,
iii) pilot action in the event of TCAS Advisory,
iv) if the incident triggered the radar systems Separation Monitoring Function or there was a Short Term Conflict Alert,
i)  local action taken in respect of the controllers involved and the justification for taking this action.
Units shall ensure that this information is telephoned to the ATSD Regional Manager or Head of En-Route and College Regulation as appropriate, who will make a decision as to any licensing action to be taken. The documented record of the local management assessment must be retained by the unit and made available to the CAA if required.
At single manned units the controller shall resolve the immediate traffic situation, remove himself from duty and close the aerodrome ATC unit.
Units that experience difficulty conducting a local management assessment, or in reaching a conclusion following the assessment, shall contact their ATSD Regional Manager for advice.
Following the local management assessment, or withdrawal from duty at a single manned unit, the unit must contact he ATSD Regional Manager or Head of En-Route and College Regulation as appropriate who will decide the action, including any licensing action, to be taken.
Units shall ensure that the local management assessment is fully documented.

12.3  Provisional Suspension
Provisional suspension is a temporary measure which places a licence, or its associated rating(s) and endorsement(s), in abeyance pending inquiry or investigation into the case.
12.3.1  Provisional Suspension of the ATC licence The CAA will provisionally suspend the ATC licence of a controller: a) whose competence to provide all ATC services is in doubt; b) whose fitness to hold an ATC licence is considered by the CAA to be in doubt. A controller whose licence is provisionally suspended shall not provide an air traffic
　
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