Enforcement Activities and Procedures Overview
The Civil Aviation Authority (CAA) is responsible for enforcing regulations to ensure compliance among stakeholders and service providers. Enforcement actions may include limitations, suspension, revocation, or financial penalties in cases of non-compliance. Official documents such as Advisory Circulars and Aeronautical Information Circulars provide guidance for effective resolution of safety issues. Enforcement is necessary when violations and lack of compliance are evident, and the CAA must have legal authority to take appropriate measures.
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Presentation Transcript
CHAPTER 5 Enforcement Activities and Procedures
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 Violation a deliberate action known to be against the rules, to break a rule or be in breach of (infringement, contravention). Compliance shall mean all applicable Regulations, Directives, Safety Standards and Associated Procedures being met or adhered to, as applicable. Compliance can only be in accordance with Regulations, associated supplementary documents, documented procedures and documented safety standards. When compliance exists, there is no need for enforcement. Enforcement- To compel observance of law or process of ensuring compliance with laws, regulations, rules, standards, and social norms.
Overview The CAA is charged with the responsibility to implement the Regulations Stakeholders/service providers are required to comply with all provisions of the Regulations except in cases where the Authority has issued an exemption in writing. Stakeholders/service providers shall also be required to comply with the provisions of official documents developed in compliance with any part of the regulations and for the purposes of effectively implementing the provisions of the regulations.
Overview Official documents include guidance materials: - Advisory Circulars (ACs), Aeronautical Information Circulars (AICs)and NOTAMS Effective and timely actions taken by the service providers 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/licenses/approvals, or; the imposition of financial penalties
Enforcement 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.
Enforcement 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.
CAA Compliance and enforcement Policy The goal of the Authority is to maintain the highest possible standard of safety Prevention of occurrence of violations Safety regulations for all sectors of aviation Voluntary Compliance Education / training Regulatory programs Enforcement action
CAA Compliance and enforcement Policy Surveillance & Detection Potential violation Investigation & Reporting Fairness Notify / Apprise Timeliness
CAA enforcement Policy 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.
CAA enforcement Policy 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.
CAA enforcement Policy 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 for prosecution for criminal cases involving the licence, certificate or authorization holder under the Civil Aviation Act and the regulations made thereunder.
CAA enforcement Policy 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.
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 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 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 Breaches may be classified in different categories that relate to the level of seriousness of the breach and the safety threats it may pause Kenya classification
CAA Enforcement Procedures This involves the following; 1.Completing the violation reporting form 2.Carrying out enforcement investigation 3.Determining enforcement action Handout 5.1
Principle of Investigative Findings Enforceable regulations A regulatory provision must contain mandatory or prohibitory language to be enforceable. Supplementary legislative documents must also contain mandatory (Aeronautical Information Circulars (AICs), Orders and other Mandatory Notices) Elements of regulations Burden and standard of proof Relevance and materiality
Enforcement Process The following steps give an overview of the enforcement processes that are followed during a typical enforcement action. The CNS 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;
Enforcement Process 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. Handout 5.2
The Enforcement Determination Tool (EDT) The EDT is a worksheet with systematically arranged guidelines to aid CNS inspectors in determining and classifying violations and the required enforcement action. 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. Handout 5.3/5.4
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 A. Cover page containing the following details; - Logo of the Authority - Title of the investigation and file reference number - Date B. Table of Contents C.Executive Summary of the case D.Summary of the case E. Detailed Analysis of the facts in the investigation sighting the contravened provisions of the law
Enforcement Investigative Report Format F. Conclusions of the recommendations G. Signature page bearing signatures of all officers involved in the investigation (Investigation team) H. Necessary attachments appendices relevant to the case I. List of exhibits or documents used in the investigation
