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