Section 6, Chapter 4 - Infringement of Legislation

Question 1

What are the types of offences against aviation legislation, and how should they be reported?

Answer 1

Offences against the Civil Aviation Act, ANO, supporting regulations, or published procedures can be categorized into three types:

Type 1:

• Offences against the RoA Regulations and ATC Regulations or published procedures.

Type 2:

• Offences against regulations based on safety.

Type 3:

• Offences against regulations not directly related to safety (e.g., requirements for registration and markings, carriage of documents, or Customs requirements).

Reporting Procedures:

Type 3 Offences:

• Report by telephone to the nearest representative of the appropriate authority (e.g., Customs) or, in case of doubt, to the CAA Investigation and Enforcement Team (IET).

Type 1 and Type 2 Offences:

• Report using form CA939 in accordance with the guidelines in paragraph 3.

Question 2

What are the steps for tracing an offending aircraft and handling pilot interactions during an investigation?

Answer 2

Tracing Action:

Tracking the Aircraft:

• If the offending aircraft is seen on a situation display, track it until it appears to be landing.
• Attempt to correlate the track and time with movements at the appropriate aerodrome for identification.

Recording Pilot Information:

• Note the pilot’s name if volunteered.
• No need to speak directly to the pilot, but if contact is made, record any voluntary explanation in the pilot’s exact words without paraphrasing.
• This does not constitute a statement under caution but is important for deciding on prosecution. Endorse the form with the date and time of completion.

Corroborating Special Circumstances:

• If the pilot mentions special circumstances (e.g., service provided by another ATSU), efforts should be made to corroborate the statement.

Informing the Pilot:

• If asked about the action to be taken, state that the identity of the aircraft involved in the incident is being traced and that the circumstances will be reported to the CAA for consideration.

Pilot Interactions:

• Controllers should not:
  1. Specify the Article, Rule, or Regulation apparently infringed.
  2. Give any form of admonition.

Note: These actions ensure that the investigation is not inhibited and allow CAA Investigation Officers to take appropriate actions.

Question 3

What are the procedures for filing written reports on alleged breaches of Air Navigation Legislation (ABANL)?

Answer 3

Filing Written Reports:

Form CA939:

• Alleged breaches of Air Navigation Legislation (ABANL) should be reported on form CA939.
• The form is available on the CAA website under Aviation Industry Related Issues via the ‘Make a report’ link.

General Information:

• Insert details under the heading ‘General Information’ if known.
• Attach copies of statements and relevant supplementary evidence, such as watch log extracts and flight plans.

Staff Statements:

• Staff with first-hand knowledge of the incident must type their statements in an MOR report.
• Code groups and aeronautical abbreviations should not be used.
• Preserve RTF recordings in case a transcript is needed.

Question 4

What are the procedures for forwarding reports on alleged breaches of Air Navigation Legislation (ABANL) using form CA939?

Answer 4

Forwarding Reports:

Submission:

• Reports on form CA939 should be sent to the CAA Investigation and Enforcement Team (IET) by post or email as detailed on the form.
• If supporting documents are delayed, forward the CA939 immediately and endorse with ‘additional documents to follow.’

Report Details:

• Describe the event with as much detail as possible.
• Include the following where appropriate:
  1. Identification of all aircraft involved, along with their relative tracks and times.
  2. Any loss of separation associated with the ABANL.
  3. A statement on the degree of actual impact the event had on ATC operations, including any tactical avoiding or delaying action taken by ATC.

Question 5

How should apparent contraventions of air navigation legislation by military aircraft be handled and reported?

Answer 5

Handling and Reporting:

Reporting Contraventions:

• Report all apparent contraventions of air navigation legislation by military aircraft (of any nationality), even though the legislation does not normally apply to them.

Identifying Unidentified Military Aircraft:

• If an unidentified aircraft (suspected to be military) has apparently contravened regulations, request the LACC (Mil) RAC to take search action to establish its identity.
• Clearly state the reason for requesting the search to differentiate it from the search action following an AIRPROX report.