The following sequence highlights the lines of enquiry to be evidenced to indicate whether process was followed in forming the decision and highlighting options moving forward.
Step 1 – Report of the breach
There is a report of a breach of regulations from:
- Mandatory Occurrence Report (MOR)
- Regulatory oversight
- Police Report
This process does not apply to the following: Medical Fitness Decisions (covered by separate process - secondary-review-of-an-ame-or-medical-assessor-assessment & final-medical-appeal)
Step 2 – The Investigation
An initial investigation is undertaken which will include:
- Data gathering – to include all relevant correspondence, copies of log books, certificates, licenses etc
- Third party reports – to include documents such as radar traces, Met information, certificates etc.
- An Investigation Summary Form to be completed for all cases where licensing/certificate action is taken
Further to this:
- All interviews will be conducted by two Civil Aviation Authority (CAA) employees unless it is for simple clarification reasons.
- All documents and records to be retained.
- For Infringement investigations process refer to CAP1404
- For FCL rejection process refer to Licensing Referral Flowchart
Step 3 – The Decision
Decision taken as to what action is appropriate:
- Provisional Suspension (In scope for IRP)
- Remedial Action (In scope for IRP)
- Legal action (Not in scope for IRP)
- No action (Not in scope for IRP)
For Provisional Suspension CAA legal must be consulted.
Letter of Suspension to be signed by a senior manager (or nominated deputy) within the CAA. Affected party to be advised of suspension.
Step 4 – Follow on Action
Following an enforcement action of Provisional Suspension or Suspension, the licence/rating may be reinstated following the agreed course of action
Letter lifting suspension must be signed by a senior CAA manager (or nominated deputy)
Decisions will be against the CAA’s Just Culture Policy
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