UK Regulation (EU) 376/2014 Occurrence reporting details the process for Mandatory Occurrence Reporting (MOR).
Associated UK Regulation (EU) 2015/1018 classifies occurrences in civil aviation that are subject to the MOR process.
Neither regulation specifically refers to an AIRPROX, however UK Regulation (EU) 2015/1018 does refer to ‘Inadequate separation’ defined as ‘In the absence of prescribed separation minima, a situation in which aircraft were perceived to pass too close to each other for pilots to ensure safe separation’. Occurrence reports based on this criterion and/or the criterion contained within CAP493, Section 1,Chapter 2, paragraph 16 would be considered as an AIRPROX.
An ANSP may not be aware that an AIRPROX has taken place and therefore they will not have raised a MOR , but the UK Airprox Board (UKAB) may have been notified of an AIRPROX from another source.
Where such a notification has been received by UKAB, the board is required to provide impartial and timely assessments on risk and contributory factors related to the reported AIRPROX.
Part of that process requires the gathering of all related information and where the Airprox refers to either an ANSP or Aerodrome the Airprox board will ask the unit concerned to carry out their own investigation.
When in receipt of such a request, irrespective of the elapsed time between occurrence and notification by UKAB, the requirements of UK Regulation (EU) 376/2014 must be complied with.
The notification from the UKAB will contain the Airprox date, time, location, and aircraft involved. Based on this information the unit should determine the staff concerned and require that an MOR is raised within 72 hours of the receipt of the notification, in accordance with Article 4, paragraph 7 of UK Regulation (EU) 376/2014.
As required in Article 4, paragraph 8 of UK Regulation (EU) 376/2014, the unit then has further 72 hours in which to report the occurrence to the CAA.
Article 13 of UK Regulation (EU) 376/2014 requires occurrence analysis and follow up by the ANSP or Aerodrome.
Article 13, paragraph 4 requires that where the results of the ANSP or Aerodrome preliminary occurrence analysis identify actual or potential safety risks these shall be transmitted to the CAA within 30 days of the notification of the occurrence.
Article 13 also requires that ANSP or Aerodromes shall report the final results of the analysis, where required, as soon as they are available and, in principle, no later than three months from the date of notification of the occurrence. Note: ANSP’s and Aerodromes should not wait for the outcome of the UKAB assessment of the Airprox before submitting the final results of their own analysis.
To enable UKAB to make sense of the Airprox event, the reports need to contain, as a minimum, a precis of the event as it unfolded, the airspace classification and type of airspace within which the event took place, the ATC service provided (if any) at the time, what traffic information or hazard warnings were issued to the pilot(s), and when, and details of what safety improvement activity the ANSP or Aerodrome has taken or plans to take (if any) as a result of the event. Radar screenshots where available and RTF transcripts are very useful to illustrate and describe the event.
All MORs and follow up reports are to be submitted to the CAA. The method of reporting is provided at this link. Occurrence reporting | Civil Aviation Authority.
UKAB will have access to those reports but may on occasion request copies to be sent direct to them to reduce any administration time. Note: The UKAB is a department within the CAA.
The role of UKAB and the CAA Air Traffic Service Investigations (ATSI) in the review of a UK Airprox
When an AIRPROX is notified to UKAB, their inspectors will collate all relevant information from the initial pilot and ATCO MOR reports and related follow up investigation reports from the ANSP or Aerodromes and aircraft operators concerned.
They establish the facts of how the event unfolded and prepare a briefing paper for the Airprox Board members.
To ensure that confidentiality is maintained, the names and gender descriptors of all individuals involved in the event are redacted upon receipt of the reports and not included within the briefing paper.
The Airprox Board members meet monthly to assess around 12 to 18 Airprox events.
They categorise the risk, establish the contributory factors to the event and identify any failed, partially failed, or absent safety barriers.
The safety barriers include things like regulations, procedures, equipment, traffic information, situational awareness, see and avoid and airborne & ground-based warning systems.
If the Board members believe that there is an opportunity to achieve safety improvements, they may raise safety recommendations to be considered by the aircraft operator, the ANSP and/or CAA.
Beyond these activities the content of the final UKAB assessment simply become statistics to be used for safety monitoring purposes.
CAA ATSI works in support of the UKAB Inspectors, by reviewing ATCO initial reports and ANSP investigation reports for completeness, and to ensure that sufficient information is available for the UKAB Inspectors and Board members to be able to complete their assessments.
Although the MORs received should contain sufficient detail of the event to enable UKAB to complete their assessments there may be occasions when some narrative or attachments are not accessible, in that event ATSI or UKAB will then need to request that relevant information from the ANSP or the pilot.
Both ATSI and UKAB operate to the principles of UK Regulation (EU) 376/2014, in that the reports are not used to apportion blame or liability. They have no interest in who was involved, the focus is on what happened, why it happened, and what mitigations (if any) could be put in place to reduce the risk of a similar event occurring in the future.
UKAB and ATSI have no responsibilities, or authority associated with ATCO training, competence, or licensing action.
Details of the UK Airprox Board, their work, objectives and reports are available on the UK Airprox Board website.