Chapter 9: Documents and Records

Section 9.1: General

9.1.1 Documents

9.1.1.1 A document control system covers the authorisation, standardisation, publication, distribution and amendment of all documentation issued by the organisation, or required by the organisation for the provision of air traffic services.

9.1.1.2 These processes must ensure:

(a) authorisation is by a designated authority appropriate to the management and safety accountability structures;

(b) currency can be readily determined;

(c) availability at locations where needed by ATS personnel;

(d) only current versions are available;

(e) a master copy is securely held;

(f) archival where superseded.

9.1.1.3 Reference Materials. For the purposes of sub-regulation 172.160(g), the manuals and documents to be maintained are the following:

(a) manuals for equipment used by staff in the provision of air traffic services;

(b) the relevant sections of the Aerodrome Emergency Plan (aerodrome services only).

9.1.2 Records

9.1.2.1 A system for records covers identification, collection, indexing, storage, security, maintenance, access and disposal of records necessary for the provision of air traffic services.

9.1.2.2 Records systems must provide an accurate chronicle of ATS activities for the purpose of reconstruction of events for air safety investigation, and for system safety analysis.

9.1.3 Records to be Kept

9.1.3.1 Automatic recordings. The following items used for the provision of air traffic services must be recorded automatically and retained for the period shown:

(a) direct pilot-controller two-way radiotelephony or datalink communications—30 days;

(b) direct-speech or data link between air traffic services units—30 days;

(c) surveillance data from primary and secondary radar equipment or obtained through ADS—14 days;

(d) automated flight data processing including on-screen display of aircraft tracks and label blocks—14 days (consistency with sub-paragraph (c) above).

Note: Where possible, provision of synchronous integration of radar and on-screen data with related voice recordings should be facilitated. (ICAO Air Traffic Services Planning Manual, Chapter 8.4).

9.1.3.2 Time injection. Automatic recordings must have a means of establishing accurately the time, in hours/minutes/seconds, at which any recorded event occurred.

9.1.3.3 Document records. The following items must be kept for a minimum of 30 days (ICAO Air Traffic Services Planning Manual):

(a) ATS messages, including flight plans;

(b) flight progress strips or documents of a similar nature used for the recording of flight data and the issue of clearances, instructions and directions;

(c) transcripts of automated weather broadcasts (e.g. ATIS);

(d) log books;

(e) handover/takeover details, including, if not electronically recorded, the identification of the person taking over.

9.1.3.4 Additional items. Records of the following additional items must be kept for a minimum of 5 years:

(a) details of interruptions to services;

(b) details of failures of equipment used for the provision of air traffic services;

(c) details of facility unavailability;

(d) staff duty rosters;

(e) details of actions carried out under the Safety Management System including follow-up corrective and preventative actions;

(f) directions and instructions issued to staff for the provision of air traffic services;

(g) technical manuals used for the provision of air traffic services.

9.1.3.5 Personnel Licensing Records. Records of ATS personnel licensing and competency certification under CASR Part 65 must be kept for a minimum of 7 years, including after an employee ceases to be employed by the ATS provider. This includes details of:

(a) training;

(b) renewal and currency of ratings, endorsements and qualifications; and

(c) other proficiencies required by the ATS provider to be demonstrated.

9.1.3.6 Record retention for investigation. Where requisitioned, by an appropriate authority, for the purposes of investigation, records must be isolated and kept in a secure place until their release by that authority.

9.1.4 Maintaining Records

9.1.4.1 Records must not be completed in anticipation of the recorded action being completed.

9.1.4.2 Deletions from communications records are not permitted. All entries must be written in non-erasable ink, and must be legible.

9.1.4.3 Non-active forms or strips on which an error is noted may be replaced. Active forms or strips, fault reports, records and Log Books must be changed, or errors corrected by:

(a) drawing a line through the incorrect data and writing the correct data adjacent thereto; or

(b) cancelling the old and rewriting the record, retaining both the old and the new for later reference purposes.

9.1.4.4 Methods of recording. Information transmitted or received by verbal means must be recorded by electronic means in accordance with CASR Part 172. Voice records must be supported by one or more of the following methods:

(a) writing on a flight progress strip;

(b) typewritten on authorised forms;

(c) teletyped on page copy machine units;

(d) handwritten in accordance with local requirements;

(e) handwritten on appropriate forms;

(f) entered directly into computer-based equipment.

9.1.4.5 Flight notifications. A copy of all flight notifications received must be held for 90 days. Printed flight notifications shall be filed with the day’s traffic. Electronic records shall be archived via a suitable “off-line” media such as tape, disk array or optical disk.

9.1.5 Maintaining Operational Log Books

9.1.5.1 The Log Book must be used to record all significant occurrences and actions relating to operations, facilities, equipment and staff at an ATS unit.

Note: Except when forms such as fault reports or Air Safety Incident Reports (ASIRs) must also be completed, duplication of information should be avoided.

9.1.5.2 A working record or Log Book entry must not be inserted between earlier entries. In the event of an out of sequence entry being necessary, it must be entered as soon as possible, and annotated that it is out of sequence with an explanatory note as to why it is out of sequence.

9.1.5.3 All Log Book entries must be recorded against the times of the occurrence, or time of the Log Book entry.

9.1.5.4 Minimum information to be recorded. The minimum information to be recorded is shown in the following table.

9.1.6 Voice and Data Recording

9.1.6.1 Where appropriate voice recording facilities are available, instead of being recorded as entries in a Log Book, the information mentioned in subsection 9.1.6.1A must be voice recorded in sufficient detail to readily establish for any safety investigation:

(a) whether and when the position or unit was active or inactive; and

(b) the identity of each person responsible for any active position at any time.

9.1.6.1A The information that must be voice recorded is:

(a) the identification of incoming staff taking over responsibility for a position; and

(c) the information relayed by outgoing staff to incoming staff in accordance with handover and takeover procedures; and

(d) for non-continuous units — details of opening and closing watch, including the identification of incoming staff taking over responsibility for the unit.

9.1.6.2 When an automatic voice recording facility fails, a manual record of communications must be maintained, to the extent that this is possible.