Airspace infringements: Review and remedial actions process CAP 1404 CAP 1404 Published by the Civil Aviation Authority, 2016 Civil Aviation Authority, Aviation House, Gatwick Airport South, West Sussex, RH6 0YR. You can copy and use this text but please ensure you always use the most up to date version and use it in context so as not to be misleading, and credit the CAA. First published 2016 Enquiries regarding the content of this publication should be addressed to: airspace.policy@caa.co.uk The latest version of this document is available in electronic format at www.caa.co.uk, where you may also register for e-mail notification of amendments. May 2016 CAP 1404 Contents Contents Contents ..................................................................................................................... 1 Review and remedial actions process ........................................................................ 2 CAA review process ............................................................................................ 2 Initial assessment ................................................................................................ 2 Escalation process .............................................................................................. 3 Online tutorial ...................................................................................................... 5 Provisional licence suspension ........................................................................... 6 Appendix A ............................................................................................................... 8 CAA infringement oversight process .......................................................................... 8 Appendix B ............................................................................................................... 9 Infringement co-ordination group decision criteria ...................................................... 9 May 2016 Page 1 Review and remedial actions process CAP 1404 Review and remedial actions process 1. Infringement of Controlled Airspace (CAS) - The unauthorised entry into controlled or temporarily restricted airspace, or an active Danger Area, by an aircraft is known as an ‘infringement’ and can have both safety and commercial implications. 2. When an aircraft infringes, and after the operational impacts have been resolved, initial tracing action is undertaken by the local unit and/or the CAA to establish the registered owner and pilot flying of the aircraft concerned. CAA review process 3. The objective of the CAA review process is to ensure lessons are learned from the reported infringements and suitable remedial action is identified and completed to ensure that high levels of airmanship are maintained in UK airspace. 4. Nothing in this process will prejudice the CAA’s Investigations and Enforcement Team from taking independent action which may result in a criminal prosecution. Initial assessment 5. There are two complementary actions instigated by the CAS or Danger Area controlling authority: A questionnaire is sent to the registered owner of the infringing aircraft as part of a two-way learning exercise. The information obtained is used to inform the Local Airspace Infringement Team (LAIT) and the Airspace Infringement Working Group (AIWG). May 2016 Page 2 Review and remedial actions process CAP 1404 A Mandatory Occurrence Report (MOR) detailing the infringement is submitted to the CAA1; this is the main catalyst for the CAA regulatory oversight process further detailed below and described in the diagram at Annex A. Infringements can also be submitted by ATC on a form CA939 form called an ABANL (Alleged Breach of Air Navigation Legislation) and these are sent directly to the CAA’s Investigations and Enforcement Team. 6. All infringement MORs submitted to the CAA are stored electronically on the MOR Database and initially reviewed and filtered on the basis of: Did the infringement have a direct safety impact (loss of required ATC separation, activation of ground/airborne collision avoidance tools, avoiding action turns given by ATC to impacted aircraft under their control, etc)? Was there a service disruption caused by the infringer (departing aircraft held on the runway, arriving aircraft vectored from their planned track, delayed at holding points, etc)? Is the registration of the infringing aircraft in the MOR database as having infringed on a previous occasion? 7. Any reported infringement that meets any or all of the above criteria is submitted to the CAA Infringement Co-ordination Group2. At times a controlling authority will flag an infringement event they consider particular serious direct to the Co-ordination Group. Escalation process 8. The CAA Infringement Co-ordination Group initiates an escalating process that can conclude at various points depending on responses received and/or the outcomes of required tasks. 1 2 All MORs should be submitted in an ECCAIRS Compliant format in accordance with EU376/2014; NATS use their form CA4114. The Infringement Co-ordination Group is a multidisciplinary team from across the CAA comprising staff from the General Aviation Unit, the Investigations and Enforcement Team, Airspace Regulation, Air Traffic Service Investigations, Pilot Licensing Policy and the Flight Examiners. May 2016 Page 3 Review and remedial actions process CAP 1404 9. The three main steps are: Confirming both the owner and pilot at the time of the infringement, Review any material related to the infringement; including the material gathered by controlling authority post the incident and any pilot response, Determine the need or otherwise to undertake the online tutorial3 and associated test. 10. Confirmation of the pilot in charge of the aircraft at the time of the infringement is needed in order to complete the follow-up actions. This information can be gathered by the controlling authority and confirmed post the infringement, but is confirmed by letter4 from the CAA Infringement Co-ordination Group. 11. Information collated and submitted by the controlling authority, information submitted by the identified pilot, previous relevant records held in the MOR database and any submitted Form 939 information submitted to the CAA’s Investigations and Enforcement Team, will be reviewed and considered by the CAA Infringement Co-ordination group. 12. The outcome of this review will determine the severity of the infringement incident and which course of action is then followed. In considering the severity the review will consider such areas as: 13. 3 4 Pilot pre-flight planning, Conditions at the time of the flight, Airspace structures and complexity, Interaction with the operating authority / ATC unit. The subsequent course of action will be one of the following: The CAA worked closely with GA representative bodies to develop the online tutorial (which is open for anyone to view at infringements.caa.co.uk). The content covers basic flying skills and knowledge which all current PPLs should have acquired in order to get their licence in the first place. The questions contained in the online test were devised by an independent (non-CAA) Flight Instructor. Letter 1 in the process diagram at Annex A. May 2016 Page 4 Review and remedial actions process CAP 1404 A requirement for the pilot of the infringing aircraft to complete the online tutorial and testing5, or By applying the principles in Annex B ‘a minded to’ decision for the provisional suspension of the infringing Pilot’s licence, confirmed by the Shared Service Centre’s Pilot Licensing decision maker. Online tutorial 14. The online tutorial reinforces and tests pilot airmanship and is based on basic knowledge any pilot should be competent in; this material has been compiled independently of the CAA. 15. Successful completion of the online testing element will conclude the investigation; the outcome will be stored on the pilot’s CAA record. A failed online test will result in a requirement6 to complete any one of the 16. following three options at their own expense: a) Repeat the online test on-site at CAA premises and undertake a meeting with a CAA Flight Examiner Once the online test has been completed, the staff Flight Examiner will debrief the candidate regarding any failed questions. The Flight Examiner will review the individuals file and promote discussion as to why the occurrence happened, what learning has taken place and what areas require further training if any. The Flight Examiner will then close the file if satisfied that the individual has the necessary knowledge and competence to continue flying. If the Flight Examiner has any doubts as to the individual’s knowledge or competence he may mandate further training at an ATO, re-taking of TK examinations, or indeed a flight test with a Flight Examiner or a combination of all three. b) 5 6 Resit basic pilot training examinations Letter 2 in the process diagram at Annex A. Letter 3 in the process diagram at Annex A. May 2016 Page 5 Review and remedial actions process CAP 1404 Usually taking Air Law and Operational procedures examinations, but may be varied if the nature of the infringement warrants it, i.e. could mandate re sit all PPL exams or a selection which may include the Navigation and or the Radio Telephony examinations. c) Retrain at an Approved Training Organisation Attend a pilot training organisation or registered training facility of the pilot’s choosing for a session of ground theoretical knowledge refresher training covering Air Law, the Rules of the Air Regulations, Operational Procedures and Pre-flight Planning and Preparation. Satisfactory completion of the training must be documented by the head of training or CFI and a written confirmation provided to the CAA. 17. Successful completion of any of these will, in the vast majority of instances, conclude the matter; the results will be stored in the pilot’s personal record. 18. If an infringing pilot fails the above or declines to participate in the above retraining, further licensing action will be taken with the potential option of full Licence Suspension. Provisional licence suspension 19. The CAA Infringement Co-ordination Group, in determining the severity of the infringement incident may, in accordance with the criteria of Annex B, decide on the Provisional Suspension of a pilot’s licence until pilot competence and airmanship is determined. 20. Following identification the pilot responsible for the infringement will be informed by telephone and follow-up letter of the CAA’s decision to provisionally suspend their licence. 21. The pilot responsible will be required to undergo retraining at an Approved Training Organisation at their own expense in accordance with paragraph 16c. May 2016 Page 6 Review and remedial actions process CAP 1404 22. The pilot responsible will on completion of the retraining be required to take the online test on CAA premises and debrief with a CAA Flight Examiner in accordance with paragraph 16a. 23. Successful completion of the actions in paragraphs 21 and 22 will see the provisional suspension removed. 24. If an infringing pilot fails this training or declines to participate, further licensing action will be taken with the potential option of full Licence Suspension. 25. The outcome will be stored on the pilot’s personal record. 26. The CAA understands the potential impact of a provisional suspension and will consequently ensure its required actions are undertaken as quickly as possible to minimise the time taken to conclude the process. May 2016 Page 7 CAP 1404 CAA infringement oversight process Appendix A CAA infringement oversight process Mandatory Occurrence Report Form 939 SDD Assess MoR Investigations and Enforcement Team (IET) MOR Database · · · Repeat offender by registration Safety barrier activation Results in a service disruption No Further Action Meets at least 1 of the 3 in the above assessment Inform IET, if necessary, of Provisional Licence Suspension decision Infringement Coordination Mtg. Every Tuesday No Further Action Determination of severity & further action Letter 1 Confirm Pilot identity at time of Occurrence F939 investigation only progresses once approved by IET Letter 2 Requirement to complete online tutorial and testing Pass online testing No Further Action Provisional Suspension of Licence Fail online testing Letter 3 · · · Successfully complete 1 of the above 3 - close Pass online testing No Further Action May 2016 Letter 3a Repeat online test on site at CAA premises · and Flight Examiners mtg or, Resit basic Pilot exams (e.g. Nav) or, Retrain at an Approved Training Organisation Fail the above Declines to participate Licensing Action Retrain at an Approved Training Organisation Successfully retrains Fails to retrain Licence reinstated Licensing Action Page 8 Infringement co-ordination group decision criteria CAP 1404 Appendix B Infringement co-ordination group decision criteria The CAA needs to be able to demonstrate that it is provisionally suspending licences in a proportionate manner. In order to define that the CAA will publish the criteria under which the Infringement Coordination Group would consider provisional suspension. These criteria include: · · The level of seriousness of the infringement Did it cause a loss of separation or avoiding action to be taken? Did the pilot respond to radio calls in a professional manner? Was the transponder being used, was Mode C selected? Pilot awareness Did the pilot ask for help? Was the pilot on a VFR flight? Were the conditions at the time VMC or were they marginal VMC/IMC? · · What was the pilot’s level of experience and skills? What qualifications did the pilot hold? Was the pilot current? Pilot's attitude/skill level Understanding, indifference? Repeat offender? Obvious skills deficiency? Impact of the event Minor infringement e.g. a minor penetration of Controlled Airspace requiring no ATC action and NOT a repeat offender by aircraft registration. May 2016 Minimum CAA Action: Standard letter, online tutorial. Intermediate infringement Page 9 Infringement co-ordination group decision criteria CAP 1404 e.g. a minor penetration of Controlled Airspace requiring no ATC action but a repeat offender by aircraft registration or a deeper penetration of Controlled Airspace causing service distribution to IFR traffic therein. Minimum CAA Action: Standard letter, online tutorial and test. Major Infringement e.g. penetration of Controlled Airspace that compromises the safety of IFR traffic, such as avoiding action, activation of TCAS, Loss of separation, AIRPROX etc and/or repeat offender. Minimum CAA Action: Immediate provisional suspension of licence pending investigation and referral to Approved Training Organisation for refresher training and sign off. May 2016 Page 10