Enforcement Activities and Procedures Overview

  CHAPTER 5

  CHAPTER 5

Enforcement Activities and

Enforcement Activities and

Procedures

Procedures

Objective

Objective

Given all relevant reference materials,

explain how to carry enforcement action

in accordance with applicable

regulations and CAA enforcement policy

guidelines

.

.

Definitions of terms

Definitions of terms



Violation 

Violation 

– a deliberate action known to be against the rules, to

– a deliberate action known to be against the rules, to

break a rule or be in breach of (infringement, contravention).

break a rule or be in breach of (infringement, contravention).



Compliance

Compliance

 – shall mean all applicable Regulations, Directives,

 – shall mean all applicable Regulations, Directives,

Safety Standards and Associated Procedures being met or

Safety Standards and Associated Procedures being met or

adhered to, as applicable. Compliance can only be in

adhered to, as applicable. Compliance can only be in

accordance with Regulations, associated supplementary

accordance with Regulations, associated supplementary

documents, documented procedures and documented safety

documents, documented procedures and documented safety

standards. When compliance exists, there is no need for

standards. When compliance exists, there is no need for

enforcement.

enforcement.



Enforcement

Enforcement

- To compel observance of law or process of ensuring

- To compel observance of law or process of ensuring

compliance with laws, regulations, rules, standards, and social

compliance with laws, regulations, rules, standards, and social

norms.

norms.

Overview

Overview



The CAA is charged with the responsibility to implement the

The CAA is charged with the responsibility to implement the

Regulations

Regulations



Stakeholders/service providers are required to comply with all

Stakeholders/service providers are required to comply with all

provisions of the Regulations except in cases where the Authority

provisions of the Regulations except in cases where the Authority

has issued an 

has issued an 

exemption

exemption

 in writing.

 in writing.



Stakeholders/service providers shall also be required to comply with

Stakeholders/service providers shall also be required to comply with

the provisions of

the provisions of

official documents 

official documents 

developed in compliance with

developed in compliance with

any part of the regulations and for the purposes of effectively

any part of the regulations and for the purposes of effectively

implementing the provisions of the regulations.

implementing the provisions of the regulations.

Overview

Overview



Official documents include guidance materials: - Advisory Circulars

Official documents include guidance materials: - Advisory Circulars

(ACs), Aeronautical Information Circulars (AICs)and NOTAMS

(ACs), Aeronautical Information Circulars (AICs)and NOTAMS



Effective and timely actions taken by the service providers should

Effective and timely actions taken by the service providers 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 the

However, in the absence of a resolution, the CAA should take the

appropriate enforcement measures, such as:

appropriate enforcement measures, such as:



the imposition of limitations,

the imposition of limitations,



the suspension or revocation of

the suspension or revocation of

certificates/licenses/approvals, or;

certificates/licenses/approvals, or;



the imposition of financial penalties

the imposition of financial penalties

Enforcement

Enforcement



Enforcement is the action necessary when there is evidence of

Enforcement is the action necessary when there is evidence of

violation and lack of compliance.

violation and lack of compliance.



Enforcement requires legal or administrative action.

Enforcement requires legal or administrative action.



It is necessitated by violations of applicable legislation, regulations,

It is necessitated by violations of applicable legislation, regulations,

procedures and standards on which an ANSP is authorized to

procedures and standards on which an ANSP is authorized to

provide ANS.

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

The CAA should be empowered by the State’s primary legislation

to take these enforcement measures, which should be

to take these enforcement measures, which should be

commensurate with the safety risks caused by non-compliances or

commensurate with the safety risks caused by non-compliances or

violations.

violations.

Enforcement

Enforcement



If, after careful review of all circumstances involved and

If, after careful review of all circumstances involved and

coordination within the CAA, there is a need to suspend or revoke

coordination within the CAA, there is a need to suspend or revoke

the licence/rating/certificate/approval holder’s privileges, the CAA

the licence/rating/certificate/approval holder’s privileges, the CAA

should officially inform the licence/rating/certificate/approval

should officially inform the licence/rating/certificate/approval

holder in writing, summarizing both the proposed action and the

holder in writing, summarizing both the proposed action and the

reasons for said action.

reasons for said action.

CAA Compliance and enforcement Policy

CAA Compliance and enforcement Policy

The goal of the Authority is to maintain the highest possible standard

The goal of the Authority is to maintain the highest possible standard

of safety

of safety



Prevention of occurrence of violations

Prevention of occurrence of violations



Safety regulations for all sectors of aviation

Safety regulations for all sectors of aviation



Voluntary Compliance

Voluntary Compliance



Education 

Education 

/

/

 training

 training



Regulatory programs

Regulatory programs



Enforcement action

Enforcement action

CAA Compliance and enforcement Policy

CAA Compliance and enforcement Policy



Surveillance & Detection

Surveillance & Detection



Potential violation

Potential violation



Investigation & Reporting

Investigation & Reporting



Fairness

Fairness



Notify / Apprise

Notify / Apprise



Timeliness

Timeliness

CAA enforcement Policy

CAA enforcement Policy



Based on the State’s legislation and procedures, the CAA should establish and

Based on the State’s legislation and procedures, the CAA should establish and

implement clear, comprehensive and detailed enforcement policies and

implement clear, comprehensive and detailed enforcement policies and

procedures for use by its staff.

procedures for use by its staff.



Such policies and procedures should enable an effective, proportional, gradual

Such policies and procedures should enable an effective, proportional, gradual

and consistent approach to enforcement within the CAA.

and 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

regulations through enforcement functions in an equitable, fair and transparent

manner.

manner.



The enforcement policy ensures that the decisions or decision making processes

The enforcement policy ensures that the decisions or decision making processes

are:

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.

CAA enforcement Policy

CAA enforcement Policy



Equally, the Enforcement Policy is meant to enable the aviation community

Equally, the Enforcement Policy is meant to enable the aviation community

to provide a world-class air safety environment, which has public trust and

to provide a world-class air safety environment, which has public trust and

confidence.

confidence.



To achieve trust and confidence from the aviation industry and the

To achieve trust and confidence from the aviation industry and the

members of the public including air commuters, CAA will take appropriate

members of the public including air commuters, CAA will take appropriate

and timely action to curb the intentional breach or neglect of the statutory

and timely action to curb the intentional breach or neglect of the statutory

provisions.

provisions.



The CAA's enforcement policy determines the way it uses its powers to

The CAA's enforcement policy determines the way it uses its powers to

regulate the aviation industry.

regulate the aviation industry.



With limited resources, the Authority shall ensure that it gives proper focus to

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

the exercise of these powers and put adequate measures in place to give

effect to the rule of law.

effect to the rule of law.

CAA enforcement Policy

CAA enforcement Policy



The policy will outline a range of enforcement options intended to effectively

The policy will outline a range of enforcement options intended to effectively

secure compliance with primary law and regulations depending on the

secure compliance with primary law and regulations depending on the

circumstances.

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

Requiring licence, certificate or authorization holders to undergo remedial

training and be re-tested; or examined;

training and be re-tested; or examined;



Taking administrative action to vary, suspend or cancel a licence, certificate

Taking administrative action to vary, suspend or cancel a licence, certificate

or authorization.

or authorization.



Referring the matter for prosecution for criminal  cases involving the licence,

Referring the matter for prosecution for criminal  cases involving the licence,

certificate or authorization holder under the Civil Aviation Act and the

certificate or authorization holder under the Civil Aviation Act and the

regulations made thereunder.

regulations made thereunder.

CAA enforcement Policy

CAA enforcement Policy



If the licence/rating/certificate/approval holder

If the licence/rating/certificate/approval holder

does not correct the deficiency within the

does not correct the deficiency within the

established deadlines, the CAA should take

established deadlines, the CAA should take

appropriate and progressive enforcement

appropriate and progressive enforcement

measures to ensure prompt correction of

measures to ensure prompt correction of

deficiencies.

deficiencies.

Types of violation

Types of violation



Disregard of procedures 

– a situation where a service provider did not

apply or comply with regulatory requirements or procedures resulting in

an occurrence.



Carelessness 

– deviation from standard operating procedures. e.g. not

updating the equipment status during shift handover where such a

deviation is found to be potentially dangerous.



Negligence

 – breach of a duty of care which results in damage.

(a situation where an ANSP returns an unsafe facility to use for air navigation

after being informed that the condition is detrimental to aircraft operations).



Recklessness

 – Act in a way which shows that they do not care about

danger.

(when an ANSP performs a deliberate act to put air navigation operations,

facilities and consequently a flight in danger, or deliberately ignores an

obvious risk.)

Enforcement Options

Enforcement Options



Administrative action / Non-legal:

 oral or written counseling,

warning notices, letters of correction, written notification of

corrective action required, remedial training and re-

examination personnel, or re-inspection of facilities and

equipment, voluntary surrender of certificate.



Legal action: 

civil penalty, suspension or revocation of

certificate, injunctions, cease and desist orders, certificate

denials and seizure of equipment

Administrative action



Warning Notice: 

A letter addressed to the

alleged violator (an individual) and it has an

Enforcement Investigation Report (EIR) number

for traceability



Letter of Correction: 

The Letter serves the same

purposes as the warning letter, but is intended

for use when there is agreement with the

certificate holder (an organization) that

corrective action acceptable to the CAA will

be taken within reasonable time

Legal Action

Legal Action



A 

civil penalty 

is a payment of money



Certificate Action



Certificate suspension

-

the certificate temporarily

ceases to be effective



Certificate revocation/cancellation

-

certificate is no

longer valid, and the holder may not exercise any of

its privileges. Certificate that has been revoked

cannot be reinstated.



Emergency suspension of certificate

-

taken only

when it is clearly needed in the public interest and

must be taken immediately when such action is

recognized.

Classification of breaches

Classification of breaches

Breaches may be classified in different categories that relate to the

Breaches may be classified in different categories that relate to the

level of seriousness of the breach and the safety threats it may pause

level of seriousness of the breach and the safety threats it may pause

Kenya classification

Kenya classification

CAA Enforcement Procedures

CAA 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

Handout 5.1

Handout 5.1

Principle of Investigative Findings



Enforceable regulations



A regulatory provision must contain mandatory or

A regulatory provision must contain mandatory or

prohibitory language to be enforceable.

prohibitory language to be enforceable.



Supplementary legislative documents must also

Supplementary legislative documents must also

contain mandatory 

contain mandatory 

(Aeronautical Information

(Aeronautical Information

Circulars (AICs), Orders and other Mandatory

Circulars (AICs), Orders and other Mandatory

Notices)

Notices)



Elements of regulations



Burden and standard of proof



Relevance and materiality

Enforcement Process

Enforcement Process

The following steps give an overview of the enforcement processes

The following steps give an overview of the enforcement processes

that are followed during a typical enforcement action. The CNS

that are followed during a typical enforcement action. The CNS

inspector: -

inspector: -



identifies the alleged violated statutory and regulatory provision,

identifies the alleged violated statutory and regulatory provision,

determines enforceability and applicability;

determines enforceability and applicability;



prepares a risk statement, classifies the violation according to

prepares a risk statement, classifies the violation according to

level of seriousness and safety threat it may pose or cause;

level of seriousness and safety threat it may pose or cause;



administers oral counseling in a case where the violation

administers oral counseling in a case where the violation

possesses minimum - low safety risk;

possesses minimum - low safety risk;



issues a detection notice/ infringement notice and seizes

issues a detection notice/ infringement notice and seizes

evidence in all other cases;

evidence in all other cases;

Enforcement Process

Enforcement Process



plans and coordinates the investigation, where the

plans and coordinates the investigation, where the

violation had not exceeded a statutory time limit or

violation had not exceeded a statutory time limit or

related to criminal activity; (No investigation)

related to criminal activity; (No investigation)



proves the existence of a violation through acquired

proves the existence of a violation through acquired

evidence;

evidence;



determines the appropriate enforcement action using

determines the appropriate enforcement action using

the enforcement decision tool (EDT), recommends type

the enforcement decision tool (EDT), recommends type

of sanction; and

of sanction; and



supports the legal department through the head of

supports the legal department through the head of

inspectorate for legal action for cases that did and can

inspectorate for legal action for cases that did and can

jeopardize safety.

jeopardize safety.

Handout 5.2

Handout 5.2

The Enforcement Determination Tool (EDT)

The Enforcement Determination Tool (EDT)



The EDT is a worksheet with systematically arranged guidelines to

The EDT is a worksheet with systematically arranged guidelines to

aid CNS inspectors in determining and classifying violations and the

aid CNS inspectors in determining and classifying violations and the

required enforcement action.

required enforcement action.



Inspectors provide an orderly and logical statement of the facts

Inspectors provide an orderly and logical statement of the facts

necessary to establish each element of each regulation believed

necessary to establish each element of each regulation believed

to have been violated and the related investigative action that

to have been violated and the related investigative action that

established that fact.

established that fact.



Support for each factual statement should be done by referring to

Support for each factual statement should be done by referring to

an item of proof.

an item of proof.



The Enforcement Decision Tool (EDT) is used for this purpose.

The Enforcement Decision Tool (EDT) is used for this purpose.

Handout 5.3/5.4

Handout 5.3/5.4

Enforcement Investigative Report

Enforcement Investigative Report



The Enforcement Investigative Report (EIR) is the means

for documenting, assembling, organizing, and presenting

all evidence and other relevant information obtained

during an investigation.



It is the record from which determinations of violations

and sanctions are made

Enforcement Investigative Report Format

Enforcement Investigative Report Format

A.

 Cover page containing the following details;

 Cover page containing the following details;

-

Logo of the Authority

Logo of the Authority

-

Title of the investigation and file reference number

Title of the investigation and file reference number

-

Date

Date

B.

Table of Contents

Table of Contents

C.

Executive Summary of the case

Executive Summary of the case

D.

Summary of the case

Summary of the case

E.

Detailed Analysis of the facts in the investigation sighting the

Detailed Analysis of the facts in the investigation sighting the

contravened provisions of the law

contravened provisions of the law

Enforcement Investigative Report Format

Enforcement Investigative Report Format

F.

Conclusions of the recommendations

Conclusions of the recommendations

G.

Signature page bearing signatures of all officers involved

Signature page bearing signatures of all officers involved

in the investigation (Investigation team)

in the investigation (Investigation team)

H.

Necessary attachments appendices relevant to the

Necessary attachments appendices relevant to the

case

case

I.

List of exhibits or documents used in the investigation

List of exhibits or documents used in the investigation

    Exercise 5.1 – Enforcement Decision Tool