Enforcement of Aviation Safety Regulations: Policies and Procedures

 
Enforcement of Standards
Enforcement of Standards
and Regulations
and Regulations
 
Chapter 9
Chapter 9
 
1
Overview
Overview
 
Effective and timely actions taken by the industry should
Effective and timely actions taken by the industry should
result in the effective resolution of safety issues.
result in the effective resolution of safety issues.
However, in the absence of a resolution, the CAA should take
However, in the absence of a resolution, the CAA should take
the appropriate enforcement measures, such as:
the appropriate enforcement measures, such as:
the imposition of limitations,
the imposition of limitations,
the suspension or revocation of
the suspension or revocation of
certificates/licences/approvals, or;
certificates/licences/approvals, or;
the imposition of financial penalties
the imposition of financial penalties
 
2
Enforcement
Enforcement
 
Enforcement is the action necessary when there is evidence of violation and lack of
Enforcement is the action necessary when there is evidence of violation and lack of
compliance.
compliance.
Enforcement requires legal or administrative action.
Enforcement requires legal or administrative action.
It is necessitated by violations of applicable legislation, regulations, procedures and
It is necessitated by violations of applicable legislation, regulations, procedures and
standards on which an ANSP is authorized to provide ANS.
standards on which an ANSP is authorized to provide ANS.
There is no need for enforcement when compliance exists.
There is no need for enforcement when compliance exists.
The CAA should be empowered by the State’s primary legislation to take these
The CAA should be empowered by the State’s primary legislation to take these
enforcement measures, which should be commensurate with the safety risks
enforcement measures, which should be commensurate with the safety risks
caused by non-compliances or violations.
caused by non-compliances or violations.
If, after careful review of all circumstances involved and coordination within the
If, after careful review of all circumstances involved and coordination within the
CAA, there is a need to suspend or revoke the licence/rating/certificate/approval
CAA, there is a need to suspend or revoke the licence/rating/certificate/approval
holder’s privileges, the CAA should officially inform the
holder’s privileges, the CAA should officially inform the
licence/rating/certificate/approval holder in writing, summarizing both the
licence/rating/certificate/approval holder in writing, summarizing both the
proposed action and the reasons for said action.
proposed action and the reasons for said action.
 
3
CAA enforcement Policy
CAA enforcement Policy
 
Based on the State’s legislation and procedures, the CAA should establish and implement
Based on the State’s legislation and procedures, the CAA should establish and implement
clear, comprehensive and detailed enforcement policies and procedures for use by its
clear, comprehensive and detailed enforcement policies and procedures for use by its
staff.
staff.
Such policies and procedures should enable an effective, proportional, gradual and
Such policies and procedures should enable an effective, proportional, gradual and
consistent approach to enforcement within the CAA.
consistent approach to enforcement within the CAA.
The aim of the Enforcement Policy is to promote compliance 
The aim of the Enforcement Policy is to promote compliance 
with aviation safety
with aviation safety
regulations through enforcement functions in an equitable, fair and transparent manner.
regulations through enforcement functions in an equitable, fair and transparent manner.
The enforcement policy ensures that the decisions or decision making processes are:
The enforcement policy ensures that the decisions or decision making processes are:
effective,
effective,
fair,
fair,
timely,
timely,
consistent, and;
consistent, and;
properly documented in accordance with the dictates of the regulations.
properly documented in accordance with the dictates of the regulations.
 
4
 
Equally, the Enforcement Policy is meant to enable the aviation
Equally, the Enforcement Policy is meant to enable the aviation
community to provide a world-class air safety environment,
community to provide a world-class air safety environment,
which has public trust and confidence.
which has public trust and confidence.
To achieve trust and confidence from the aviation industry and
To achieve trust and confidence from the aviation industry and
the members of the public including air commuters, CAA will
the members of the public including air commuters, CAA will
take appropriate and timely action to curb the intentional
take appropriate and timely action to curb the intentional
breach or neglect of the statutory provisions.
breach or neglect of the statutory provisions.
The CAA's enforcement policy determines the way it uses its
The CAA's enforcement policy determines the way it uses its
powers to regulate the aviation industry.
powers to regulate the aviation industry.
With limited resources, the Authority shall ensure that it gives
With limited resources, the Authority shall ensure that it gives
proper focus to the exercise of these powers and put adequate
proper focus to the exercise of these powers and put adequate
measures in place to give effect to the rule of law.
measures in place to give effect to the rule of law.
 
5
CAA enforcement Policy
CAA enforcement Policy
 
The policy will outline a range of enforcement options intended to effectively secure
The policy will outline a range of enforcement options intended to effectively secure
compliance with primary law and regulations depending on the circumstances.
compliance with primary law and regulations depending on the circumstances.
These options include:
These options include:
Oral counselling;
Oral counselling;
Letter of correction;
Letter of correction;
Warning Letter;
Warning Letter;
Issuance of aviation infringement notices
Issuance of aviation infringement notices
Requiring licence, certificate or authorization holders to undergo remedial training and
Requiring licence, certificate or authorization holders to undergo remedial training and
be re-tested; or examined;
be re-tested; or examined;
Taking administrative action to vary, suspend or cancel a licence, certificate or
Taking administrative action to vary, suspend or cancel a licence, certificate or
authorization.
authorization.
Referring the matter to the Director of Public Prosecutions (or relevant prosecutorial
Referring the matter to the Director of Public Prosecutions (or relevant prosecutorial
body) for criminal prosecution of the licence, certificate or authorization holder under
body) for criminal prosecution of the licence, certificate or authorization holder under
the Civil Aviation Act and the regulations made thereunder.
the Civil Aviation Act and the regulations made thereunder.
 
6
CAA enforcement Policy
CAA enforcement Policy
 
If the licence/rating/certificate/approval holder does not
If the licence/rating/certificate/approval holder does not
correct the deficiency within the established deadlines, the
correct the deficiency within the established deadlines, the
CAA should take appropriate and progressive enforcement
CAA should take appropriate and progressive enforcement
measures to ensure prompt correction of deficiencies.
measures to ensure prompt correction of deficiencies.
 
7
CAA enforcement Policy
CAA enforcement Policy
Enforcement procedures
Enforcement procedures
 
This involves the following;
This involves the following;
1.
Completing the violation reporting form
Completing the violation reporting form
2.
Carrying out enforcement investigation
Carrying out enforcement investigation
3.
Determining enforcement action
Determining enforcement action
 
8
Enforcement Process
Enforcement Process
 
The following steps give an overview of the enforcement processes that are followed during a
The following steps give an overview of the enforcement processes that are followed during a
typical enforcement action. The ATM & SAR inspector: -
typical enforcement action. The ATM & SAR inspector: -
identifies the alleged violated statutory and regulatory provision, determines
identifies the alleged violated statutory and regulatory provision, determines
enforceability and applicability;
enforceability and applicability;
prepares a risk statement, classifies the violation according to level of seriousness and
prepares a risk statement, classifies the violation according to level of seriousness and
safety threat it may pose or cause;
safety threat it may pose or cause;
administers oral counseling in a case where the violation possesses minimum - low safety
administers oral counseling in a case where the violation possesses minimum - low safety
risk;
risk;
issues a detection notice/ infringement notice and seizes evidence in all other cases;
issues a detection notice/ infringement notice and seizes evidence in all other cases;
plans and coordinates the investigation, where the violation had not exceeded a
plans and coordinates the investigation, where the violation had not exceeded a
statutory time limit or related to criminal activity; (No investigation)
statutory time limit or related to criminal activity; (No investigation)
proves the existence of a violation through acquired evidence;
proves the existence of a violation through acquired evidence;
determines the appropriate enforcement action using the enforcement decision tool
determines the appropriate enforcement action using the enforcement decision tool
(EDT), recommends type of sanction; and
(EDT), recommends type of sanction; and
supports the legal department through the head of inspectorate for legal action for cases
supports the legal department through the head of inspectorate for legal action for cases
that did and can jeopardize safety.
that did and can jeopardize safety.
 
9
The Enforcement determination Tool (EDT)
The Enforcement determination Tool (EDT)
 
The EDT is a worksheet with systematically arranged guidelines
The EDT is a worksheet with systematically arranged guidelines
to aid ATM & SAR inspectors in determining and classifying
to aid ATM & SAR inspectors in determining and classifying
violations and the required enforcement action.
violations and the required enforcement action.
ATM & SAR inspectors provide an orderly and logical
ATM & SAR inspectors provide an orderly and logical
statement of the facts necessary to establish each element of
statement of the facts necessary to establish each element of
each regulation believed to have been violated and the
each regulation believed to have been violated and the
related investigative action that established that fact.
related investigative action that established that fact.
Support for each factual statement should be done by
Support for each factual statement should be done by
referring to an item of proof.
referring to an item of proof.
The Enforcement Decision Tool (EDT) is used for this purpose.
The Enforcement Decision Tool (EDT) is used for this purpose.
 
10
 
End of Chapter 9
End of Chapter 9
 
11
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Industry actions should resolve safety issues; enforcement by CAA if needed. CAA empowered to take actions like limitations, revocations, penalties. Enforcement ensures compliance with laws, regulations, and standards. Clear policies for effective, fair, and transparent enforcement. Aim is to maintain aviation safety through equitable means. Focus on trust, confidence, and world-class air safety environment. Policy includes range of options for compliance.


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  1. Chapter 9 Enforcement of Standards and Regulations 1

  2. Overview 2 Effective and timely actions taken by the industry should result in the effective resolution of safety issues. However, in the absence of a resolution, the CAA should take the appropriate enforcement measures, such as: the imposition of limitations, the suspension or revocation of certificates/licences/approvals, or; the imposition of financial penalties

  3. Enforcement 3 Enforcement is the action necessary when there is evidence of violation and lack of compliance. Enforcement requires legal or administrative action. It is necessitated by violations of applicable legislation, regulations, procedures and standards on which an ANSP is authorized to provide ANS. There is no need for enforcement when compliance exists. The CAA should be empowered by the State s primary legislation to take these enforcement measures, which should be commensurate with the safety risks caused by non-compliances or violations. If, after careful review of all circumstances involved and coordination within the CAA, there is a need to suspend or revoke the licence/rating/certificate/approval holder s privileges, the CAA should officially inform the licence/rating/certificate/approval holder in writing, summarizing both the proposed action and the reasons for said action.

  4. CAA enforcement Policy 4 Based on the State s legislation and procedures, the CAA should establish and implement clear, comprehensive and detailed enforcement policies and procedures for use by its staff. Such policies and procedures should enable an effective, proportional, gradual and consistent approach to enforcement within the CAA. The aim of the Enforcement Policy is to promote compliance with aviation safety regulations through enforcement functions in an equitable, fair and transparent manner. The enforcement policy ensures that the decisions or decision making processes are: effective, fair, timely, consistent, and; properly documented in accordance with the dictates of the regulations.

  5. CAA enforcement Policy 5 Equally, the Enforcement Policy is meant to enable the aviation community to provide a world-class air safety environment, which has public trust and confidence. To achieve trust and confidence from the aviation industry and the members of the public including air commuters, CAA will take appropriate and timely action to curb the intentional breach or neglect of the statutory provisions. The CAA's enforcement policy determines the way it uses its powers to regulate the aviation industry. With limited resources, the Authority shall ensure that it gives proper focus to the exercise of these powers and put adequate measures in place to give effect to the rule of law.

  6. CAA enforcement Policy 6 The policy will outline a range of enforcement options intended to effectively secure compliance with primary law and regulations depending on the circumstances. These options include: Oral counselling; Letter of correction; Warning Letter; Issuance of aviation infringement notices Requiring licence, certificate or authorization holders to undergo remedial training and be re-tested; or examined; Taking administrative action to vary, suspend or cancel a licence, certificate or authorization. Referring the matter to the Director of Public Prosecutions (or relevant prosecutorial body) for criminal prosecution of the licence, certificate or authorization holder under the Civil Aviation Act and the regulations made thereunder.

  7. CAA enforcement Policy 7 If the licence/rating/certificate/approval holder does not correct the deficiency within the established deadlines, the CAA should take appropriate and progressive enforcement measures to ensure prompt correction of deficiencies.

  8. Enforcement procedures 8 This involves the following; 1. Completing the violation reporting form 2. Carrying out enforcement investigation 3. Determining enforcement action

  9. Enforcement Process 9 The following steps give an overview of the enforcement processes that are followed during a typical enforcement action. The ATM & SAR inspector: - identifies the alleged violated statutory and regulatory provision, determines enforceability and applicability; prepares a risk statement, classifies the violation according to level of seriousness and safety threat it may pose or cause; administers oral counseling in a case where the violation possesses minimum - low safety risk; issues a detection notice/ infringement notice and seizes evidence in all other cases; plans and coordinates the investigation, where the violation had not exceeded a statutory time limit or related to criminal activity; (No investigation) proves the existence of a violation through acquired evidence; determines the appropriate enforcement action using the enforcement decision tool (EDT), recommends type of sanction; and supports the legal department through the head of inspectorate for legal action for cases that did and can jeopardize safety.

  10. The Enforcement determination Tool (EDT) 10 The EDT is a worksheet with systematically arranged guidelines to aid ATM & SAR inspectors in determining and classifying violations and the required enforcement action. ATM & SAR inspectors provide an orderly and logical statement of the facts necessary to establish each element of each regulation believed to have been violated and the related investigative action that established that fact. Support for each factual statement should be done by referring to an item of proof. The Enforcement Decision Tool (EDT) is used for this purpose.

  11. End of Chapter 9 11

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