1.2.1 responsibilities of the committee chair:.doc

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL

This Manual provides an overview of CAAFI’s regulatory development processes and mechanisms.

1. CAAFI Responsibility to Consult

CAAFI is responsible under sections 14 (2) (b) and 3 (b) of the Civil Aviation Authority Act 1979 for promoting full and effective consultation and communication with all interested parties on aviation safety issues. Aviation Security consultation will be in accordance with the National Civil Aviation Security Programme (as entailed under Regulations 3A of the Civil Aviation (Security) Regulations 1994) which has been delegated by the Minister for Civil Aviation to CAAFI.

When conducting regulatory development activities, CAAFI’s method in conducting consultation is to seek early and on-going input and comments from interested parties regarding aviation safety issues and proposals to introduce new or amend Acts, Regulations (hereinafter referred to as the “Legislations”) and Standards.

Where the change or amendment in the Legislations results in a difference from an ICAO Standard, whether more or less restrictive, then actions must be initiated under a separate procedure for the Filing of a Difference. This CAAFI procedure will come into effect after the NPLC procedure described in Annex B.

2. Effective Consultation is Fundamental

CAAFI has made a commitment to improving mechanisms for consultation and supporting appropriate consultation with all relevant stakeholders. Consultation ensures that both the regulator and the regulated parties have a good understanding of the proposal, alternative options to address it, possible administrative and compliance mechanisms and associated benefits, costs and risks. However, a final Legislative or Standard change will be advised when there is a safety or security emergency.

Industry was invited to participate in the Consultation Process by a letter sent in mid 2006 to all certificated and approved organisations. Organisations were asked, if they wished to participate, to provide one or more contact persons and their email addresses for the process. They were also given the opportunity to nominate, in respect of the 18 ICAO Annexes, any on which they were not interested in consultation. Most organisations expresses interest in the full range whilst a few limited their interest to their particular area of aviation related activity.

3. CAAFI’s Annual Regulatory Plans

Annual Regulatory Plans prepared by the CAAFI to provide stakeholders with an early indication of potential regulatory (includes Acts, Regulations and Standard Documents) changes. These plans contain information about proposed regulatory activities, including a description of the issue, information about consultation opportunities and an expected timetable.

This would: Enable registration of relevant stakeholders prepared to be consulted on particular

Legislations/Standards; Automatically notify stakeholders of consultation processes in areas where they have

registered an interest;

1


Provide information on the CAAFI’s public consultation objectives and policies; Provide links to current and past consultation processes; Include information about new and upcoming changes to Legislations/Standards.

4. How CAAFI Consults on Regulatory Development Activities

In meeting the requirements for an Annual Regulatory Plan, CAAFI has developed and maintains a website-based page that provides users with links to information on regulatory development projects underway or completed, consultation being undertaken and project progress/status reports. See http://www.caafi.org.fj/index.cmf “Proposed Legislative Change”.

A Consultation Process is initiated when the CAAFI receives –

advice of a proposed change to an ICAO Annex or Document; or

advice of a proposed change to an CAAFI Legislations or Standards Document; or

a proposed change originates from an audit or an investigation (internal or external) and results in a change proposal for Legislations or a Standard; or

a proposed change originating from a review of existing documentation and results in a change proposal for Legislations or a Standard.

CAAFI undertakes an iterative process of consultation, involving: Discussion Papers (DPs) (optional); Notices of Proposed Legislative Change (NPLCs) and Notices of Proposed Standards

Changes (NPSCs); Legal drafts of proposed Legislations and Standards.

Initial consultation takes place during the early development of the policy, concept or regulatory options, where considered necessary, and at this stage a DP is prepared and circulated for consideration and comment. The DP essentially exposes the proposal concepts, ideas or options for stakeholder awareness and consideration.

See Annex A for a detailed explanation of the procedures followed by CAAFI to develop, consult, approve and publish DP’s.

More formal consultation takes place once the policy and technical options have been assessed more thoroughly and recommendations for regulatory (and non-regulatory) change identified.

Proposed new and amended regulatory policies (affecting the Act and Regulations) are published in NPLCs;

Proposed new and amended standards (SDs) are published in NPSCs;

See Annex B for a detailed explanation of the procedures followed by CAAFI to develop, consult, approve and publish NPLCs, NPSCs.

CAAFI also consults on the legal drafts of Legislations with the Solicitor General’s Legislative Drafting Department after NPLC consultations have been conducted but before the final decisions on regulatory policy are made and formal legislative-making activities are undertaken.

2

http://www.caafi.org.fj/index.cmf

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALConsultations on regulatory and non-regulatory proposals are commensurate with the extent and scope of the change, its impact on affected parties, and the degree of acceptance with the change. For example, regulatory changes of a minor, editorial nature are not subject to the full NPLC process, but will involve less formal consultations, using the Air Safety Committee and Ground Safety Committee (see below) and notifications on CAAFI’s website.

At the conclusion of the consultation process, a Notice of Final Legislative Change (NFLC) for Acts and Regulations, or Notice of Final Standard Change (NFSC) for standards, is published by CAAFI. While NFLCs and NFSCs are not consultative publications in the sense that they invite further comment, NFLCs and NFSCs serve to close consultations and notify affected parties of the changes being made by CAAFI, including an explanation of how comments received during the consultation process were disposed of.

See Annex C for a detailed explanation of the procedures followed by CAAFI to develop, approve and publish NFLCs and NFSCs.

5. Consultative Bodies and Processes

CAAFI is committed to working cooperatively with the aviation community to maintain and enhance aviation safety. This is especially important as far as the development of standards and regulatory material is concerned. CAAFI has established the Air Safety Committee and Ground Safety Committee to meet this corporate objective. The Air Safety Committee and Ground Safety Committee serve as the principal consultative bodies used by CAAFI to provide advice and recommendations to CAAFI on regulatory issues and proposals and associated documentation.

The Air Safety Committee and Ground Safety Committee are composed of industry bodies. It brings together CAAFI staff and representatives from a diverse range of aviation community organisations to work jointly during the development phase of regulatory material. The Air Safety Committee and Ground Safety Committee:

Provides advice to CAAFI on regulatory proposals and issues identified in DPs, NPLCs and NPSCs;

Assists CAAFI in identifying regulatory implementation issues and coordinating implementation activities;

Provides advice to CAAFI on other aviation safety issues that have regulatory implications;

Nominates industry subject matter experts to participate in regulatory development project teams;

Assists CAAFI in assigning priorities amongst regulatory development projects; Assists CAAFI to determine the impact, costs and benefits of regulatory proposals.

A member of the industry nominated by the respective Air Safety Committee and Ground Safety Committee members and selected by CAAFI from amongst the nominees, chairs the respective Air Safety Committee and Ground Safety Committee.

The Air Safety Committee and Ground Safety Committee operate through sub-Committees that are broadly representative of the various functional sectors of the aviation industry.

These Sub-Committees all have an industry co-chair and a CAAFI co-chair. They are free to establish working groups as required to assist with Sub-Committee work.

3

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALThe respective Air Safety Committee and Ground Safety Committee meet three to four times annually. The respective Sub-Committees meet on an as required basis, which is usually two to three meetings per year, dependent on workload and priorities.

All regulatory and non-regulatory proposals developed by CAAFI/Industry Project Teams (hereinafter referred to as the “Project Team” and consists of CAAFI and Industry members). The latter is nominated by the respective Air Safety Committee and Ground Safety Committee and is consulted on with the relevant Air Safety Committee and Ground Safety Committee before they are exposed for broader industry comment and input from the public at large.

See Annex D for a detailed explanation on the Terms of Reference of the Air Safety Committee and Ground Safety Committee; sub Committees and the Project Team and the Regulatory Development Project Phases.

The following summarises Air Safety Committee and Ground Safety Committee involvement in a regulatory development project:

(a) Any person or organisation, including the Air Safety Committee and Ground Safety Committee, its Sub-Committees and members, can recommend that CAAFI consider making new or amend the Legislations. Once a recommendation is accepted by CAAFI to proceed to the regulatory development/project stage, CAAFI will ask the respective Air Safety Committee and Ground Safety Committee to nominate industry members to staff the CAAFI/Industry Project Team established to develop the Legislations*. The Air Safety Committee and Ground Safety Committee can also recommend what priority should be given by CAAFI to the project.

(b) The CAAFI/Industry Project Team is accountable for ensuring that the regulatory policy and framework principles are respected, including the conduct of appropriate risk assessments and cost/benefit analyses. The team will provide briefings to the relevant Air Safety and Ground Safety Sub-Committees (and the respective full Air Safety Committee and Ground Safety Committee if appropriate) to keep them up-to-date on project developments and seek their comments and advice on specific issues.

(c) If necessary, the CAAFI/Industry Project Team will develop a Discussion Paper (DP) setting out the issues and possible solutions and asking for industry views on the issues.

(d) If a DP is developed, it will be pre-released to the relevant Air Safety Committee and Ground Safety Committee and relevant Sub-Committees for comment, before it is published for broader industry and public comment.

(e) After completing its research and analysis and considering all input received, the CAAFI/Industry Project Team will develop a Notice of Proposed Legislative Change (NPLC) describing the new or amended policies that are being recommended to address the safety issue or gap that gave rise to the project. Where new or amended standards are being recommended, a Notice of Proposed Standard Change (NPSC) will be developed*.

(f) NPLCs and NPSCs will be pre-released to the relevant Air Safety Committee and Ground Safety Committee and relevant Sub-Committees for comment, before they are published for broader industry and public comment.

4

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL(g) Legal drafts of Legislations prepared by the Solicitor General’s Legislative Drafting

Department and the CAAFI Legal Officer will not be included in the NPLCs, but will be circulated to the relevant Air Safety Committee and Ground Safety Committee and relevant Sub-Committees for comment when they are made available by the Solicitor General’s Legislative Drafting Department through the CAAFI Legal Officer. Industry groups and members not represented on the respective Air Safety Committee and Ground Safety Committee may also be consulted on the draft Legislations.

(h) The CAAFI/Industry Project Team will consider all consultation comments received and develop a Notice of Final Legislative Change(NFLC) or, in the case of new or amended standards, a Notice of Final Standard Change (NFSC)*. The NFLC or NFSC will contain a Summary of Responses (SOR) that describes the comments received and how they were disposed of. In the case of Acts and Regulations, the NFLCs will contain the final draft Acts or Regulations approved by the Solicitor General’s Legislative Drafting Department and the NFSCs will contain the final draft of the Standard approved by the CAAFI.

(i) NFLCs and NFSCs will be pre-released to the relevant Air Safety Committee and Ground Safety Committee and relevant Sub-Committees for comment before they are published.

* For minor, editorial, housekeeping amendments and safety and security issues that require urgent implementation, CAAFI/Industry Project Teams are not likely to be established and CAAFI will not publish NPLCs/NFLCs or NPSCs/NFSCs. CAAFI will however normally notify the Air Safety Committee and Ground Safety Committee and relevant Sub-Committees of the amendments before they are formally published.

6. Consultation Communications and Vehicles

Publications – For high-profile projects dedicated pamphlets may be produced. Articles on high-profile projects may also be featured in CAAFI’s Aviation Safety Magazine.

Internet – All projects are featured on CAAFI’s web page http://www.caafi.org.fj/index.cmf

Advertisements – CAAFI notifies consultation details through newspaper advertisements on regulatory matters and makes available electronic details via the CAAFI Website and through email notifications directly to affected parties/stakeholders. For Standard’s change, consultation details will be made available through email notification directly to affected parties/stakeholders.

The consultation notification will: Declare CAAFI’s intention to seek comment on CAAFI’s intention to make a proposed

Legislations/standard; Describe the manner in which copies/information of the consultative document

(Discussion Paper/NPLC/NPSC) can be obtained; Provide advice as to the period and method which responses may be made and lodged in

relation to the proposal.

Generally, CAAFI allows up to four weeks for respondents to comment on the proposal.In cases where the proposal is easy to understand, minor or non-controversial, it can be subject to comment for shorter periods as determined by CAAFI. The Project Sponsor (usually the CAAFI Chief Executive) may extend the response period for large and complex proposals.

5


20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALANNEX A – DISCUSSION PAPER

1. Background

From time to time, it will be useful for CAAFI to issue a Discussion Paper (DP) to seek a preliminary response from the public regarding introduction of new Legislations or change proposals to existing Legislations, or to test options or concepts.

The purpose of a DP is to seek public comment as to whether CAAFI should proceed with new Legislations or to initiate a change to existing Legislations. An evaluation of the DP comments/responses may determine whether or not CAAFI will proceed with the proposal and subsequently issue an NPLC for further consultation purposes.

The DP is prepared by the Project Team and will generally contain the following information:

An Executive Summary, summarizing the background, purpose, benefits and, contain an invitation to interested parties to comment on the proposal;

The problem being addressed and why action is required; Objectives of the proposal; Options considered, together with any broad constraints that might make options not

viable and an impact analysis (costs and benefits) of each option considered if required; Details of consultation that has taken place previously – e.g., website drafts, seminars,

etc; Conclusions and the recommended options (if any); Possible implementation aspects of the recommended option; A response sheet showing how to submit DP comments, and how to obtain further

information.

A DP is a public document and must be registered when a decision for consultation on a proposal or Legislative change has been made and approved.

The Project Sponsor (usually the Chief Executive) will approve the concept for initial consultation by way of a DP.

Overview of Initial Consultation Process

6

Project Leader initiates need for initial concept consultation and submits proposal to relevant Project Sponsor for consideration/approval to proceed with consultation through DP.

Project Sponsor approves proposal for initial consultation with the public by way of DP.

QAO assigns DP number and provides DP template to Project Leader.

Project Leader with the Project Team prepares draftDP (using template provided through QAO) – negotiates development with the Legal Officer

Draft DP formatted byLegal Officer and prepared for pre-issue review (CAAFI/respective Air Safety Committee and Ground Safety Committee).

Draft DP circulated (byLegal Officer) for pre-issue review, clearance and acceptance to:• CAAFI Executives• Project Leader • Respective Air Safety Committee and Ground Safety Committee• Respective Air Safety and Ground Safety Sub-Committee• Email to CAAFI Inspectorate staff

Project Team considers all comments, make changes as necessary, prepare final version DP.

Legal Officer prepares DP for final clearance purposes.

Project Leader (in conjunction withLegal Officer) preparesDP Briefing Paper, obtains Project Sponsor endorsement and distributesBriefing Paper toCAAFI Executives (in advance of the publication of the DP).


Proceed to further project development and consultation through NPLC process

2. Procedure for the Registration of the DP

2.1 Staff Responsible

The Project Leader (PL) responsible for developing the DP QAO

2.2 Project Leader (PL) – Responsibilities

1. Contact the QAO and provide the following details: Your name (contact details) The title/description of the DP The Legislations affected/proposed The project registered number and the project file number The intended public release date and closing date.

2.3 Quality Assurance Officer (QAO) – Responsibilities1. Register the DP allocating the next sequential number from the DP/NPLC

register.

The DP is registered by year, by sequential number and subject code:For example:

7

Formatted DP circulated (byLegal Officer) forFinal review, clearance and approval to:• Project Leader• Inspectorate Staff

Approval and signed by Project Sponsor.

Online Response System loaded (QAO) for logging comments/responses

DP published on CAAFI website.

Availability of DP announced by Legal Officer through: • Industry email

subscribers list• Newspaper advert• Email to

Inspectorate Staff

All comments received by QAO collated and submitted to Project Team for consideration/analysis and disposition after closing period.

Project Team consolidates all comments and prepares Summary of Responses (SOR) to the DP.

Project Leader reports findings to Project Sponsor with recommendations for consideration on policy and future project proceeding.

If Project Sponsor decides not to proceed – SOR to DP finalized, approved and published, closing initial consultation.

If Project Sponsor decides to proceed, SOR to DP can be incorporated in subsequent NPLC/consultation requirements

Note: As the DP development nears completion, you will be able to provide a more definitive public release and closing date, which must be notified to the QAO for inclusion in the final DP.

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALDP 0906GS = 09 Year registered

06 Sequential number of registration - numbering is not maintained within the subject code group but rather codes are numbered in order of registration (in that year) on a CAAFI wide basis,

GS Maintenance code.

2. Enter the DP details into the DP/NPLC Register Database.3. Create a DP Production File using File Request Form template.4. Create a DP Response File.5. Submit to Project Leader.

3. Procedure for Writing the DP


The Project Leader (PL) responsible for developing the DP Legal Officer QAO.


The Project Leader will:

1. Request a copy of the DP template (MS Word document) from the QAO.

2. In conjunction with and with assistance from the Project Team and the Legal Officer, using the DP template, will prepare the DP as necessary: It may be useful to refer to previous DPs, copies of which can be found on

the CAAFI website/Intranet or obtained from the QAO.

3. In preparing the DP include the following components:

An Executive Summary, (signed by the Project Sponsor) providing an overview and the purpose of the DP, the benefits expected, an invitation to comment and details of the comment period;

A description of the issue and why CAAFI action is necessary to address the issue;

The objectives of the proposal; what outcomes, goals or targets are sought in relation to the identified problem;

The regulatory and non-regulatory options being considered for dealing with the problem and identification of the broad constraints that might make options not viable;

An impact analysis identifying those individuals or parties likely to be affected by the proposal(s), the effect of the options on existing Legislations,

the impact of options (in terms of costs and benefits), the distributional effects, the data sources and assumptions made, and a summary statement as to why the particular option is preferred;

8

Note: The Codes for activities are:GS = Ground Safety; or AS = Air Safety.

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL Any consultation carried out previously – for example: seminar gatherings,

website data including, details of the main affected parties and the views of the parties;

A conclusion and the recommended option, including: A summary of the assessment of each option; The preferred option; An outline of the assumptions; Why options were rejected/preferred; A description of how the proposals could be implemented and

assessed.

4. On completion, forward the draft DP (MS Word) document (by email) to the Legal Officer for formatting, editorial review, and to commence the clearance process.

4. The Clearance and Approval of the DP

4.1 Background

All DPs must be reviewed, cleared and approved by the persons listed on the relevant DP Clearance Sheet prior to being published for aviation community/public/industry comment.

Each draft DP must be circulated for pre-issue clearance review. Comments and/or suggested changes are consolidated and incorporated into the final DP, which is then circulated for final clearance, prior to publication/issue. The Project Sponsor makes final approval.

The final clearance process includes the preparation of a CAAFI Executive Briefing Paper for information/awareness purposes.

Further consultation for industry and CAAFI field personnel to explain the proposal, main changes, and effect on industry/CAAFI may be necessary and is a considered option for each Act or Regulation.

4.2 Staff/Groups Responsible Project Leader (PL) Project Sponsor (usually the Chief Executive) Legal Officer Inspectorate Staff Quality Assurance Officer

Secretariat Support Officer Respective Air Safety Committee and Ground Safety Committee Respective Air Safety and Ground Safety Sub-Committee/Working Group.

9

Note: In preparing the DP, the following writing style matters should be useful and considered:Are the conclusions that you want the reader to reach clear in your mind?Have you addressed the concerns of the reader?Do your arguments lead logically to your conclusions?Have you put what is important first?Are your sentences short and your language clear?Have you used clear (not obscure) technical language?


4.3 Draft DP Pre-issue Review/Clearance Procedure

Project Leader (PL) – Responsibilities1. Prepare the draft DP using the template/style format (in conjunction with the

Project Team, the respective Air Safety Committee and Ground Safety Committee, Sub-Committee/Industry representatives, the Legal Officer and the QAO).

Legal Officer – Responsibilities1. Format the draft DP to the standard template, insert the DP document

registration number.2. Prepare DP Pre-Issue Clearance Sheet and forward the Pre-Issue Clearance

Sheet along with the draft DP to the PL.

Project Leader (PL) – Responsibilities1. Finalise the draft DP in conjunction with the Project Team. When satisfied, sign

the Pre-Issue Clearance Sheet.2. Forward the draft DP to the Inspectorate Staff [or equivalent] for technical

content consideration/clearance (Inspectorate Staff signs the Pre-Issue Clearance Sheet when satisfied).

3. Following Inspectorate Staff clearance, forward the draft DP to the Project Sponsor for policy clearance and approval to release the draft DP for pre-issue review purposes (Project Sponsor signs the Pre-Issue Clearance Sheet when satisfied/approved).

Inspectorate Staff – Responsibilities1. When satisfied that the draft DP technical content is acceptable/within the Terms

of Reference, sign the DP Pre-Issue Clearance Sheet.2. Forward the draft DP and Pre-Issue Clearance Sheet to the Project Sponsor for

consideration and approval to release the draft for review purposes.

Project Sponsor – Responsibilities1. When satisfied that the policy intent/content is acceptable and the draft DP is

acceptable for circulation for review purposes, sign the DP Pre-Issue Clearance Sheet.

2. Return the draft DP and Pre-Issue Clearance Sheet to the Project Leader for on forwarding to the Legal Officer.

Legal Officer – Responsibilities1. Prepare the following correspondence (using the standard templates):

Arrange for the electronic version of the draft DP including the comment instructions and closing date to be posted on CAAFI Web Updates;

An email to CAAFI Executives seeking their comments Ccd to Project Leader and QAO;

Notification via email to the respective Air Safety Committee and Ground Safety Committee members for information/comment;

Notification via email seeking respective Air Safety and Ground Safety Sub Committee members for information/comment;

Email to CAAFI Inspectorate Staff seeking comments.

10

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL3. Place a copy of the Pre-Issue Clearance Sheet on the DP Production File along

with any other relevant correspondence (e.g., staff notification email).

4.4 Final DP Clearance and Approval Procedure

Project Leader (PL) – Responsibilities1. Following the closing date for the pre-issue clearance review, consolidate,

evaluate and consider all comments, suggestions, etc., and annotate the DP master electronic version.

2. Sign/date the Final Clearance Sheet and submit the reworked draft DP to the Legal Officer for finalisation purposes.

3. Prepare the Briefing Paper and submit to Executives.

Legal Officer – Responsibilities1. Following receipt of comments/responses from the appropriate addressee(s),

make adjustments to the DP as necessary in conjunction with the Project Leader, and finalise the DP format and presentation ready for ‘Final’ Clearance.

2. Prepare the Final Clearance Sheet and final DP package to include the: DP Print master DP Mock-up.

3. Pass the final formatted DP (paper copy) under cover of the clearance sheet to the Inspectorate Staff for review.

Inspectorate Staff – Responsibilities1. Conduct a readability review and grammar check of the document. Annotate by

hand (in red ink), recommended changes or suggestions on the DP paper copy provided.

2. Negotiate suggested changes with the Project Leader.3. When completed, forward the annotated copy, via the Project Leader, to the

Legal Officer for necessary amendment action.

Project Leader (PL) – Responsibilities1. On receipt of the final document package, consider, accept and incorporate any

changes, sign the Final Clearance Sheet and forward the package to the Inspectorate Staff [or equivalent] (technical speciality) for clearance/sign-off of technical/policy.

Inspectorate Staff – Responsibilities1. Check the final DP for technical acceptability.2. Advise the Project Leader of changes required, if any, and sign the Final

Clearance Sheet. Return the final document package to the Project Leader for on forwarding to the Project Sponsor for recommendation purposes.

Project Leader (PL) – Responsibilities1. Following Inspectorate Staff sign-off (if applicable); submit the final document

package to the Project Sponsor for policy sign-off and approval to publish.

Project Sponsor – Responsibilities1. Check that the final DP (view the DP mock-up) is acceptable for publication and

release.2. Sign/date the DP ‘Executive Summary’ on the ‘print master’.

11

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL3. Sign/date the Final Clearance Sheet and return the approved DP package to the

Project Leader for on forwarding to the Legal Officer for publication and distribution.

Legal Officer – Responsibilities1. On receipt of the approved DP, arrange:

QAO to upload the key change proposals and DP response information to the Online-response system;

Distribution; The availability notification advertisement; Posting on the CAAFI Website; Email notification to CAAFI Executive and CAAFI staff; Notification to the Air Safety Committee and Ground Safety Committee and

relevant Air Safety and Ground Safety sub-Committee (through the QAO).

5. The CAAFI Executive Briefing Paper

5.1 Purpose of the Briefing Paper

The clearance procedures for the DP require the CAAFI Executive to be briefed on the concepts, options or issues proposed within the document as well as any controversial elements and strategies for mitigating the effect.

The Briefing Paper is not designed to seek approval from the Executive for document release; rather, the Paper is to provide a clear ‘snapshot’ of what is proposed in the particular consultation document.

5.2 Content of Briefing Paper

The Briefing Paper is comprised of a two to three page report that includes a dot-point summary giving:

Background information; The main issues; Any controversial elements; The consultation process; Any proposed remedial actions to address risks; A strategy statement and why CAAFI’s position is preferred in situations

where there has been significant industry opposition.

5.3 Preparation of the Briefing Paper

The Briefing Paper is to be prepared by the Project Leader in conjunction with the Legal Officer and is to be submitted to the Executive Secretariat at the earliest date possible (ideally within the month before the intended publication of the DP) and no later than five working days before the DP is scheduled to be published.

Note that where there is more than one Briefing Paper in any one month, the Briefing Papers will be submitted under cover of the one Minute.

12

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALTo ensure that standardized Briefing Paper submissions are made to the Executive, the Legal Officer has developed a standard template for Briefing Papers for the Project Leader’s use/reference.

The Briefing Paper is maintained in both electronic and paper format and is provided to the Project Leader by the Legal Officer when and as required.

6. Uploading the DP Online Response System (ORS)

To assist and enhance receipt and coordination of consultation responses, the CAAFI has introduced the Online Response System (ORS). This system is available to interested parties/aviation stakeholders to electronically provide comments/submissions/responses to a DP through the CAAFI website and is the CAAFI preferred manner for responding to a consultation document.

The ORS is an electronic corporate database containing each response received to a consultation document.

7. Procedure for Publishing and Distributing the DP

The Legal Officer is responsible for arranging the publication and distribution of the DP. The publication and distribution requirement are initiated when the DP has been approved (signed by the Project Sponsor).

DPs will be provided on the CAAFI website and emailed to the industry subscribers list.

The CAAFI Website facility will allow anyone to download and print the DP.

7.1 Legal Officer – Responsibilities

1. On notification that the DP has been signed by the Project Sponsor send the final DP master to the CAAFI Webmaster for loading to the CAAFI ‘Proposed Legislative Change’ web page.

2. Email copies of the DP as required on request.

8. Procedure for Advertising the Availability of the DP

8.1 Advert in the newspaper

The DP is developed for the purposes of consultation and is readily made available to the public for comment. The ‘notice of availability’ of a DP is advertised nationally through the newspaper.

The preparation and publication of the advertisement is a time-critical phase within the DP process and must be achieved in parallel with the development of communication channels, the establishment of the availability date and the DP response closing date. The cost for advertising availability of a DP/NPLC is borne by the CAAFI.


Manager Corporate Service

13

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL Financial Authorizing Officer (FAO) Legal Officer


1. On notification of the expected release and response closing date submit the advertisement to the newspaper Agency.

2. When the advertisement has been approved by the Manager Corporate Service, advise the newspaper Agency that the advert is approved and to complete the booking process. Provide a copy of the Proof and Advert Schedule to the Financial Authorizing Officer for Purchase Order records.

3. The Legal Officer maintains a schedule of publications for advertising DP availability.


1. Check advertisement and provide clearance for the advertisement to proceed.

8.5 Manager Corporate Service – Responsibilities

1. Approve the proposal to spend CAAFI funds and for the release of the advertisement.


1. Raise a ‘Proposal to Spend CAAFI Funds’ for the service.2. Obtain FAO approval for the ‘Proposal to Spend CAAFI Funds’ and the

‘Purchase Order’.3. Acquit the ‘Purchase Order’ on receipt of the advertising service provider's

invoice.

8.7 Financial Authorising Officer (FAO) – Responsibilities

1. Consider and, if appropriate, approve the ‘Proposal to Spend CAAFI Funds’ and the Purchase Order’.

8.8 The newspaper Agency (expected actions)

The newspaper Agency is expected to:

Prepare a cost estimate to publish the advertisement in the newspaper as per the publication schedule and to return the draft to the Legal Officer for proof reading/acceptance.

14

Note: This activity must commence at least one week before the intended advertising date to ensure newspaper publication/copy time commitments are met. Once The newspaper Agency advises that the advertisement is ready as a ‘proof’ and provides an Advert Schedule (Costs), print a copy of the Advert Proof and Advert Schedule and give a copy to the Manager Corporate Service for approval procedures. The advertisement must be approved and notification of its approval provided to The newspaper Agency by midday on the Wednesday preceding the intended Friday advertisement date.

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL Continue any necessary, negotiation on the advertisement content until a

product satisfactory to CAAFI is obtained. Ensure the advertisement is published as required.

8.9 Notification of availability

The Legal Officer will transmit a Notice of Availability to CAAFI Executives, and any relevant interested parties.

The Legal Officer sends an email to the Industry email subscribers list announcing the availability of the DP.

A letter to all subscribers of the Air Safety Committee and Ground Safety Committee mailing list announcing the availability of the DP is sent by the Legal Officer.

9. Receiving and Reviewing Comments/Responses to the DP

9.1 Staff Responsible QAO Project Leader (PL) Legal Officer.

9.2 Online Response from Industry – Respondents

Respondents to a CAAFI DP can use a variety of paper or electronic means (online, email, fax, letter) to submit their comments to CAAFI.

CAAFI’s preferred method for responding to consultation documents is for respondents to complete the online response form QA 109 on the CAAFI website at: http://www.caafi.org.fj/index.cmf. All responses to a DP are captured in the database and are registered, filed by the QAO and retained by the Legal Officer.

When a respondent uses the online response form, the response is emailed to the [email protected] mailbox. The QAO is responsible for importing this response into a database file.

9.3 Reviewing and Assessing Responses

All responses received to the consultation document (letter, fax, email, online) are collated by the QAO and provided to the Project Leader for Project Team consideration.

The Project Leader, in conjunction with the project team/review group, is responsible for reviewing these comments.

The Project Leader, in conjunction with the Legal Officer, should prepare ‘pie charts’ showing the statistics of each Option presented in the DP. These statistics can be obtained from reports generated from the Online Response System.

15

mailto:[email protected]


20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL9.4 Preparing the Summary of Responses (SOR)

1. The QAO will supply to the Project Leader a template for a Summary of Response (SOR).

2. A ‘CAAFI Response’ and ‘Disposition’ should be given to each comment received.

3. The Project Leader in conjunctions with the Project Team must then forward the SOR document by email to the Legal Officer for formatting prior to publication.

4. The Project Leader must prepare a preamble to the SOR.5. The Legal Officer will send the formatted SOR to the Project Leader for his/her

approval/final edit.6. The Project Leader must send to the Legal Officer the final SOR for publishing.

10. Closing the Discussion Paper Consultation Process

10.1 Summary of Responses (SOR)

Generally, the consolidation of comments, CAAFI’s responses and disposition actions to a DP is not prepared and released separately unless CAAFI does not intend to proceed with the proposal expressed in the DP.

In such cases a consolidation summary of responses, the outcome and CAAFI’s intentions would be published closing the DP proposals.

Where CAAFI intends to proceed with the proposals, the evaluation of the comments received for a DP are documented and the consolidation of the comments, CAAFI’s responses, and the disposition actions, are folded into the subsequent NPLC as an Annex.

The SOR to a DP must be reviewed, cleared and approved prior to being published. Each draft SOR to a DP must be circulated for pre-issue review. Comments and/or suggested changes are consolidated and incorporated into the final SOR, which is then circulated for final clearance, prior to publication/issue.

The Project Sponsor makes final approval and signature.

11. Procedure for Publishing and Distributing the Summary of Responses

11.1 Publishing and Distributing the Summary of Responses

The Legal Officer is responsible for arranging the publication and distribution of the Summary of Responses (SOR).

The publication and distribution requirement are initiated when the SOR has been approved (signed by the Project Sponsor).

SORs will be provided on the CAAFI website and emailed to the Industry subscribers list.

The CAAFI Website facility will allow anyone to download and print the SOR.

16



1. On notification that the Project Sponsor has signed the DP, send the final SOR master to the CAAFI Webmaster for loading to the CAAFI web page.

2. Email copies of the SOR as required on request.

11.3 Advertising SOR Availability

The ‘notice of availability’ of a SOR is advertised nationally through the newspaper (The newspaper Agency). The similar procedure used for advertising the availability of the DP is used for the SOR.

The Legal Officer is responsible for the preparation and publication of the SOR availability notification advertisement. The cost for advertising availability of a SOR is borne by the CAAFI.

11.4 Notification of Availability

The Legal Officer will transmit a Notice of Availability to CAAFI Executives, Inspectorate Staff and any relevant interested parties.

A notice that the SOR has been published will be distributed directly (by Legal Officer) to all respondents to the DP and to industry email subscribers list.

ANNEX B – NPLC AND NPSC

B. NOTICE OF PROPOSED LEGISLATIVE CHANGE

17

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL1. Background

A Notice of Proposed Legislative Change (NPLC) is necessary when public consultation is required to address matters of final draft policy, Legislations change/improvement.

The NPLC is CAAFI's method of articulating final policy to be contained in new Legislations or in regulatory proposals, and the NPLC provides all interested/affected parties (stakeholders) the opportunity to comment on the proposal.

The NPLC is structured to provide readers with a synopsis and the likely impact of the proposed Legislations/regulatory development. For reference purposes, examples of previously issued NPLCs may be accessed through the CAAFI Website at http://www.caafi.org.fj

Once published the NPLC is considered as a public document and therefore must be registered when a decision for consultation on a proposal or regulatory change has been made and approved.

The Project Sponsor (usually the Chief Executive) will authorise the development of an NPLC for formal consultation purposes.

The NPLC is to be prepared by the Project Leader/Project Team and should contain the following:

An Executive Summary, providing background, purpose and benefits expected of the NPLC, and an invitation (signed by the Project Sponsor) seeking comment;

Details of the consultation that has already taken place – e.g., DP, Website drafts, etc; A synopsis of change proposals, including a background, the problem being

addressed, the objectives of the proposal and the action required; Options considered, together with identification of the broad constraints that might

make options not viable and an impact analysis (costs and benefits) of each option considered as and if necessary;

Conclusions and the recommended option; Implementation details of the preferred option and a review strategy of the

Legislations, once made/commenced; A response sheet and information on how to submit comments, and information on

how to obtain further information/inquiries; Development Management M An Annex containing the draft Legislative proposals/draft Legislations (if available –

otherwise the NPLC contains an explanation of policy intent only); An Annex containing the proposed draft Standards (SD) (where relevant); An Annex containing a consolidated summary of responses to any DPs issued

previously on the same subject matter (if any); and An Annex containing a comparison of existing Legislations with the proposed new

Legislations (if necessary/relevant).

NPLCs vary in detail depending on the proposed Legislations. In some cases there may not be an alternative method to achieve the objective. In other cases, it may not be possible or practicable to provide a full cost-benefit analysis of a particular proposal.

18

http://www.caafi.org.fj/

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALIn the majority of cases, the NPLC will describe the proposed policy intent and outcomes rather than detailing the specific Legislations.

After the final policy has been established following input from the aviation industry/community and the public, final drafting instructions will be sent to the Solicitor-General’s Legislative Drafting Department to draft the proposed new Legislations.

The drafted Legislations (exposure drafts) will then also be made available to the aviation industry (stakeholders) and public for further comment prior to finalization of the Legislations.

CAAFI’s comments and a disposition of comments to all responses received to a NPLC is prepared and made available to all NPLC respondents and to the general public following the consolidation of the NPLC comments/responses. This, and an overview of the consultation process followed, a background to the development of the proposal, an analysis of responses, a conclusion and implementation plans, together with the final Legislations and associated supporting material will be published in a Notice of Final Legislative Change (NFLC).

The NFLC will close the consultation on the particular proposal.

Regulatory Development Management Manual12B.1. Background

19

Note: NPLCs covering changes to the Act and Regulations will generally only contain policy outcome/intent explanations and not legal drafts.

Project Leader initiates need for formal consultation and submits proposal to relevantProject Sponsor for consideration /authorization to proceed with consultation through NPLC.

Project Sponsor authorizes consultation with the public by way of NPLC.

NPLC to usually contain policy intent explanation, not legal drafts.

QAO assigns NPLC number and provides NPLC template to Project Leader.

Project Leader with the Project Team prepares draft NPLC (using template provided through QAO) – negotiates draft NPLC development with theLegal Officer.

Draft NPLC formatted by Legal Officer and prepared for pre-issue review (CAAFI/respective Air Safety Committee and Ground Safety Committee).

Note: Generally the NPLC will contain explanations of policy intent and outcomes rather than legal drafts/Regulations.

Draft NPLC circulated (by Legal Officer) for pre-issue review, clearance and acceptance to:

• CAAFI Executives• Project Leader • Respective Air Safety Committee and Ground Safety Committee• Respective Air Safety and Ground Safety Sub- Committee• Email to CAAFI

Inspectorate staff

Project Team considers all comments to draftNPLC, make changes as necessary, prepare final version NPLC.

Legal Officer prepares NPLC for final clearance purposes.

Project Leader (in conjunction with Legal Officer) prepares NPLC Briefing Paper, obtains Project Sponsor endorsement and distributes Briefing Paper to CAAFI Executives (in advance of the publication of the NPLC).

Formatted NPLC circulated (byLegal Officer) forFinal review, clearance and approval to:• Project Leader• Inspectorate Staff

Approval and signed by Project Sponsor.

Online Response System loaded (QAO) for logging comments/responses

NPLC published on CAAFI website.

Availability of NPLC announced by Legal Officer through:• Industry email

subscribers list• Newspaper advert• Email to CAAFI

Inspectorate Staff

All comments toNPLC received by Legal Officer, collated and submitted to Project Team for consideration/ analysis and disposition after closing period.

Project Team consolidates all comments and prepares Summary of Responses (SOR) to the NPLC and commences structuring NFLC.

Project Leader reports NPLC outcome and findings to ProjectSponsor with recommendations for consideration on policy and future project requirements.

Project Sponsor endorses policy and recommendations, authorizes project to proceed to next phase.

Project Leader continues preparing the NFLC; prepares legal drafting instructions and finalises RIS (as necessary) – see further procedures.


Proceed to further project development, legal drafting, further consultation process and NFLC

2. Procedure for the Registration of the NPLC

2.1 Staff Responsible The Project Leader (PL) responsible for developing the NPLC QAO.


1. Contact the QAO and provide the following details: Your name (contact details) The title/description of the NPLC The Legislations affected/proposed The project registered number and the project file number The intended public release date and closing date.

2.3 QAO – Responsibilities

1. Register the NPLC allocating the next sequential number from the DP/ NPLC register.

The NPLC is registered by year, by sequential number and subject code:

20

Note: As the NPLC development nears completion, you will be able to provide a more definitive public release and closing date, which must be notified to the QAO for inclusion in the final NPLC.

NOTE: If applicable, CAAFI to proceed with notifying a difference with ICAO. Process available on intranet on “General Procedures - OP-07-1-10 Procedure for Listing and Notifying Differences”

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALFor example:NPLC 0906GS = 09 Year registered

06 Sequential number of registration - numbering is not maintained within the subject code group but rather codes are numbered in order of registration (in that year) on a CAAFI wide basis,

GS Maintenance code;

2. Enter the NPLC details into the DP/NPLC Register Database.3. Create a NPLC Production File using File Request Form template.4. Create a NPLC Response File.5. Submit to Project Leader.

3. Procedure for Writing the NPLC

3.1 Staff Responsible The Project Leader (PL) together with the Project Team responsible for

developing the NPLC Legal Officer QAO.


The Project Leader will:

1. Request a copy of the NPLC template (MS Word document) from the QAO.

2. In conjunction with and with assistance from the Project Team and the Legal Officer, using the NPLC template, will prepare the NPLC as necessary: It may be useful to refer to previous NPLCs, copies of which can be found

on the CAAFI website/Intranet or obtained from the QAO.

3. In preparing the NPLC include the following components: An Executive Summary, (signed by the Project Sponsor) providing an

overview and the purpose of the NPLC, the benefits expected, an invitation to comment and details of the comment period’;

A synopsis of the Proposed Change(s), including a background, the consultation carried out previously including, the details/views of those mainly affected parties and, if full consultation not undertaken, the reasons why;

A description of the issue and why CAAFI action is necessary to address the issue;

The objectives of the proposal; what outcomes, goals or targets are sought in relation to the identified problem;

The regulatory and non-regulatory options being considered for dealing with the problem and identification of the broad constraints that might make options not viable;

21

Note: The Codes for the activities are:GS = Ground Safety; orAS = Air Safety.


An impact analysis identifying those individuals or parties likely to be affected by the proposal(s), the effect of the options on existing Legislations, the impact of options (in terms of costs and benefits), the distributional effects, the data sources and assumptions made, and a summary statement as to why the particular option is preferred;

Any consultation carried out previously – for example: via a discussion paper, seminar gatherings, website data including, details of the main affected parties and the views of the parties;

A conclusion and the recommended option, including: A summary of the assessment of each option and the preferred

option; An outline of the assumptions and why options were

rejected/preferred; and

A description of how the proposals could be implemented and reviewed/assessed.

4. On completion, forward the draft NPLC (MS Word) document (by email) to the Legal Officer for formatting, editorial review, and to commence the clearance process.

4. The Clearance and Approval of the NPLC

4.1 BackgroundAll NPLCs must be reviewed, cleared and approved by the persons listed on the relevant NPLC Clearance Sheet prior to being published for aviation community/public/industry comment.

Each draft NPLC must be circulated for pre-issue clearance review. Comments and/or suggested changes are consolidated and incorporated into the final NPLC.

This is then circulated for final clearance, prior to publication/issue. The Project Sponsor makes final approval.

The final clearance process includes the preparation of a CAAFI Executive Briefing Paper for information/awareness purposes.

22

Note: As the legal drafts may not be available in all instances, an explanationof the policy intent and outcomes are to be provided. This explanation should indicate what is intended and the expected impact.

Note: In preparing a NPLC proposing regulatory change/improvement, cognizance of ICAO SARPs should be taken.

In preparing the NPLC, the following writing style matters should be useful and considered:Are the conclusions that you want the reader to reach clear in your mind?Have you addressed the concerns of the reader?Do your arguments lead logically to your conclusions?Have you put what is important first?Are your sentences short and your language clear?Have you used clear (not obscure) technical language?

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALFurther consultation for industry and CAAFI field personnel to explain the proposal, main changes, and effect on industry/CAAFI may be necessary and is a considered option for each Act or Regulation.

4.2 Staff/Groups Responsible

Project Leader (PL) Project Sponsor (usually the Chief Executive) Legal Officer Inspectorate Staff Quality Assurance Officer Secretariat Support Officer Air Safety Committee and Ground Safety Committee Air Safety Committee and Ground Safety Sub-Committee.

4.3 Draft NPLC Pre-issue Review/Clearance Procedure

Project Leader (PL) – Responsibilities

1. Prepare the draft NPLC using the template/style format (in conjunction with the Project Team, the relevant Air Safety Committee and Ground Safety Committee, Sub-Committee/Industry representatives, the Legal Officer and the QAO).

Legal Officer – Responsibilities1. Format the draft NPLC to the standard template, insert the NPLC document

registration number.2. Prepare NPLC Pre-Issue Clearance Sheet and forward the Pre-Issue Clearance

Sheet along with the draft NPLC to the PL.

Project Leader (PL) – Responsibilities1. Finalise the draft NPLC in conjunction with the Project Team. When satisfied,

sign the Pre-Issue Clearance Sheet.2. Forward the draft NPLC to the Inspectorate Staff [or equivalent] for technical

content consideration/clearance (Inspectorate Staff signs the Pre-Issue Clearance Sheet when satisfied).

3. Following Inspectorate Staff clearance, forward the draft NPLC to the Project Sponsor for policy clearance and approval to release the draft NPLC for pre-issue review purposes (Project Sponsor signs the Pre-Issue Clearance Sheet when satisfied/approved).

Inspectorate Staff – Responsibilities

1. When satisfied that the draft NPLC technical content is acceptable/within the Terms of Reference, sign the NPLC Pre-Issue Clearance Sheet.

2. Forward the draft NPLC and Pre-Issue Clearance Sheet to the Project Sponsor for consideration and approval to release the draft for review purposes.

Project Sponsor – Responsibilities

23

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL1. When satisfied that the policy intent/content is acceptable and the draft NPLC is

acceptable for circulation for review purposes, sign the NPLC Pre-Issue Clearance Sheet.

2. Return the draft NPLC and Pre-Issue Clearance Sheet to the Project Leader for on forwarding to the Legal Officer.

Legal Officer – Responsibilities1. Prepare the following correspondence (using the standard templates):

Arrange for the electronic version of the draft NPLC including the comment instructions and closing date to be posted on CAAFI Web Updates;

An email to CAAFI Executives seeking their comments Ccd to Project Leader and QAO;

Notification via email to the relevant Air Safety Committee and Ground Safety members for information/comment;

Notification via email seeking the relevant Air Safety Committee and Ground Safety Sub-Committee members for information/comment;

Email to CAAFI Inspectorate Staff seeking comments.

2. Place a copy of the Pre-Issue Clearance Sheet on the NPLC Production File along with any other relevant correspondence (e.g., staff notification email).

4.4 Final NPLC Clearance and Approval Procedure

Project Leader (PL) – Responsibilities1. Following the closing date for the pre-issue clearance review, consolidate,

evaluate and consider all comments, suggestions, etc., and annotate the NPLC master electronic version.

2. Sign/date the Final Clearance Sheet and submit the reworked draft NPLC to the Legal Officer for finalization purposes.

3. Prepare the Briefing Paper and submit to Executives.

Legal Officer – Responsibilities1. Following receipt of comments/responses from the appropriate addressee(s),

make adjustments to the NPLC as necessary in conjunction with the Project Leader, and finalise the NPLC format and presentation ready for ‘Final’ Clearance.

2. Prepare the Final Clearance Sheet and final DP package to include the: NPLC Print master NPLC Mock-up.

3. Pass the final formatted NPLC (paper copy) under cover of the clearance sheet to the Inspectorate Staff for review.

Inspectorate Staff – Responsibilities

1. Conduct a readability review and grammar check of the document. Annotate by hand (in red ink), recommended changes or suggestions on the NPLC paper copy provided.

2. Negotiate suggested changes with the Project Leader.3. When completed, forward the annotated copy, via the Project Leader, to the

Legal Officer for necessary amendment action.

24

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALProject Leader (PL) – Responsibilities1. On receipt of the final document package, consider, accept and incorporate any

changes, sign the Final Clearance Sheet and forward the package to the Inspectorate Staff [or equivalent] (technical speciality) for clearance/sign-off of technical/policy.

Inspectorate Staff – Responsibilities1. Check the final NPLC for technical acceptability.2. Advise the Project Leader of changes required, if any, and sign the Final

Clearance Sheet. Return the final document package to the Project Leader for on forwarding to the Project Sponsor for recommendation purposes.

Project Leader (PL) – Responsibilities1. Following Inspectorate Staff sign-off (if applicable); submit the final document

package to the Project Sponsor for policy sign-off and approval to publish.

Project Sponsor – Responsibilities1. Check that the final NPLC (view the NPLC mock-up) is acceptable for publication

and release.2. Sign/date the NPLC ‘Executive Summary’ on the ‘print master’.3. Sign/date the Final Clearance Sheet and return the approved NPLC package to

the Project Leader for on forwarding to the Legal Officer for publication and distribution.

Legal Officer – Responsibilities1. On receipt of the approved NPLC, arrange:

QAO to upload the key change proposals and NPLC response information to the Industry

Distribution The availability notification advertisement Posting on the CAAFI Website Email notification to CAAFI Executive and CAAFI Inspectorate staff Notification to the relevant Air Safety Committee and Ground Safety

Committee and relevant Air Safety and Ground Safety Sub-Committee (through the QAO).

5. The CAAFI Executive Briefing Paper

5.1 Purpose of the Briefing Paper

The clearance procedures for the NPLC require the CAAFI Executive to be briefed on the concepts, options or issues proposed within the document as well as any controversial elements and strategies for mitigating the effect.



The Briefing Paper is comprised of a two to three page report that includes a dot-point summary giving:

25

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL● Background information;● The main issues;● Any controversial elements;● The consultation process;● Any proposed remedial actions to address risks;● A strategy statement and why CAAFI’s position is preferred in situations where

there has been significant industry opposition.


The Briefing Paper is to be prepared by the Project Leader in conjunction with the Legal Officer and is to be submitted to the Executive Secretariat at the earliest date possible (ideally within the month before the intended publication of the NPLC) and no later than five working days before the NPLC is scheduled to be published.


To ensure that standardized Briefing Paper submissions are made to the Executive, the Legal Officer has developed a standard template for Briefing Papers for the Project Leader’s use/reference.


6. Uploading the NPLC Online Response System (ORS)

To assist and enhance receipt and coordination of consultation responses, the CAAFI has introduced the Online Response System (ORS). This system is available to interested parties/aviation stakeholders to electronically provide comments/submissions/responses to a NPLC through the CAAFI website and is the CAAFI preferred manner for responding to a consultation document.

The ORS is an electronic corporate database containing each response received to a consultation document.

7. Procedure for Publishing and Distributing the NPLC

The Legal Officer is responsible for arranging the publication and distribution of the NPLC. The publication and distribution requirement are initiated when the NPLC has been approved (signed by the Project Sponsor).

NPLCs will be provided on the CAAFI website and email notification to industry.

The CAAFI Website facility will allow anyone to download and print the NPLC.

7.1 Legal Officer – Responsibilities1. On notification that the NPLC has been signed by the Project Sponsor send the

final NPLC master to the CAAFI Webmaster for loading to the CAAFI ‘Proposed Legislative Change’ web page.

2. Email copies of the NPLC as required on request.

26

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL8. Procedure for Advertising the Availability of the NPLC

8.1 Advert in the newspaper

The NPLC is developed for the purposes of consultation and is readily made available to the public for comment. The ‘notice of availability’ of a NPLC is advertised nationally through the newspaper.

The preparation and publication of the advertisement is a time-critical phase within the NPLC process and must be achieved in parallel with the development of communication channels, the establishment of the availability date and the NPLC response closing date. The cost for advertising availability of a DP/ NPLC is borne by the CAAFI.


Manager Corporate Service Financial Authorizing Officer Legal Officer


1. On notification of the expected release and response closing date submit the advertisement to the newspaper Agency.

2. When the advertisement has been approved by the Manager Corporate Service, advise the newspaper Agency that the advert is approved and to complete the booking process. Provide a copy of the Proof and Advert Schedule to the Financial Authorizing Officer for Purchase Order records.

3. The Legal Officer maintains a schedule of publications for advertising NPLC availability.


1. Check advertisement and provide clearance for the advertisement to proceed.

8.5 Manager Corporate Service – Responsibilities

1. Approve the proposal to spend CAAFI funds and for the release of the advertisement.


1. Raise a ‘Proposal to Spend CAAFI Funds’ for the service.

27

Note: This activity must commence at least one week before the intended advertising date to ensure newspaper publication/copy time commitments are met. Once the newspaper agency advises that the advertisement is ready as a ‘proof’ and provides an Advert Schedule (Costs), print a copy of the Advert Proof and Advert Schedule and give a copy to the Manager Corporate Service for approval procedures. The advertisement must be approved and notification of its approval provided to the newspaper agency by midday on the Wednesday preceding the intended Friday advertisement date.

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL2. Obtain FAO approval for the ‘Proposal to Spend CAAFI Funds’ and the

‘Purchase Order’.3. Acquit the ‘Purchase Order’ on receipt of the advertising service provider's

invoice.

8.7 Financial Authorising Officer (FAO) – Responsibilities

1. Consider and, if appropriate, approve the ‘Proposal to Spend CAAFI Funds’ and the Purchase Order’.

8.8 The newspaper Agency (expected actions)

The newspaper Agency is expected to: Prepare a cost estimate to publish the advertisement in the newspaper as

per the publication schedule and to return the draft to the Legal Officer for proof reading/acceptance.

Continue any necessary, negotiation on the advertisement content until a product satisfactory to CAAFI is obtained.

Ensure the advertisement is published as required.

8.9 Notification of availability

The Legal Officer will transmit a Notice of Availability to CAAFI Executives, and any relevant interested parties.

The CAAFI Webmaster sends an email to the industry email subscribers list (and any other relevant mailing list, e.g., ‘Aerodromes’) announcing the availability of the NPLC.

A letter to all subscribers of the Air Safety Committee and Ground Safety Committee mailing list announcing the availability of the NPLC is sent by the Legal Officer.

9. Receiving and Reviewing Comments/Responses to the NPLC

9.1 Staff Responsible QAO Project Leader (PL) Legal Officer.

9.2 Online Response from Industry – Respondents

Respondents to a CAAFI NPLC can use a variety of paper or electronic means (online, email, fax, letter) to submit their comments to CAAFI.

CAAFI’s preferred method for responding to consultation documents is for respondents to complete the online response form QA 109 on the CAAFI website at: http://www.caafi.org.fj/index.cmf. All responses to a NPLC are captured in the database and are registered, filed by the QAO and retained by the Legal Officer.

28


20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALWhen a respondent uses the online response form, the response is emailed to the [email protected] mailbox. The QAO is responsible for importing this response into a database file.

9.3 Reviewing and Assessing Responses

CAAFI policy requires that if a submission is received within the prescribed response period, then CAAFI must consider the submission before the proposed Legislations is made or the Legislations is submitted to the Ministry for Civil Aviation.

Currently, regulatory development policy allows four weeks for responses/comments to a NPLC. However, the Chief Executive may extend (or reduce) this period, depending on the complexity and urgency of the product/subject being considered.

The Project Leader responsible should document all submissions received and record the decisions on the issues and comments contained in each submission. These records will be necessary if questions are raised about a decision to proceed in a particular direction.

The Project Leader, in conjunction with the Legal Officer, should prepare ‘pie charts’ showing the statistics of each Key Proposed Legislative Change presented in the NPLC. These statistics can be obtained from reports generated from the Online Response System.

9.4 Preparing the Summary of Responses (SOR)

1. The QAO will supply to the Project Leader a template for a Summary of Response (SOR).

2. A ‘CAAFI Response’ and ‘Disposition’ should be given to each comment received.

3. The Project Leader in conjunction with the Project Team must then forward the SOR document by email to the Legal Officer for formatting prior to publication.

4. The Project Leader must prepare a preamble to the SOR.5. The Legal Officer will send the formatted SOR to the Project Leader for his/her

approval/final edit.6. The Project Leader must send to the Legal Officer the final SOR for publishing.

12B

10. Closing the Discussion Paper Consultation Process

10.1 Notice of Final Legislative Change (NFLC)

.12. Closing the Discussion Paper (NPLC) consultation processAn NFLC, inclusive of the SOR, is published which will close the consultation process.

Details of the NFLC can be found in Annex C.

ICAO Differences

29


20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALAny Differences with ICAO SARPs that may result from a Legislative or Standard development project must be identified.

The process for the identification and notification of differences can be found on the intranet General Procedures – OP-07-1-10 Procedure for Listing and Notifying Differences

Project Leaders should refer to the ICAO-net website (www.icao.int/icaonet/) for the most recent version of the ICAO SARPs and to the AIP publication for the most recent differences filed by Fiji. A master list of ICAO differences is also held by the CAAFI Legal Officer.

BB. NOTICE OF PROPOSED STANDARD CHANGE

1. CAAFI to Develop and Amend a SD

Responsibility

30

http://www.icao.int/icaonet/

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALResponsibility for the approval of the development and amendment of the technical requirements of a SD resides with the relevant Controller responsible for the particular regulatory area/functional activity.

The responsibility for the authorisation of the publication of an approved SD or the publication of an amendment to an approved SD resides with the Chief Executive.

The publication and amendment of the SD shall comply with the standards developed and formatted by CAAFI.

2. SD Availability

As the SD is mandated by the Act and Regulations, the SD will be made available for aviation industry use as an online version on the CAAFI Website - a downloadable file in Adobe Acrobat PDF format - at http://www.caafi.org.fj “Aviation Laws & Standards” web page.

3. Development/Preparation of a SD

3.1 Responsibility

The CAAFI and industry technical specialists appointed in the particular Project Team will be responsible for the development and preparation of the SD in conjunction with the development of the associated Legislations.

The SD is prepared using the Microsoft Word template. The template provides a predetermined style for the input of technical material. The QAO maintains the SD template and will make it available electronically to the Project Team developing a SD.

Generally, consultation on a newly developed SD is undertaken with the associated Legislations.

12BB.3. Development/Preparation of a SD3.2 Determining whether standards are to be placed in a SD

The Project Team responsible for developing the Legislations will identify whether technical specifications and aviation safety standards apply to the particular Legislations being developed. Such specifications and standards may be contained in ICAO SARPs or national standards or other international standards/specifications.

3.3 Preparing a Draft SD

On establishing that standards will be contained in a SD, the Project Leader is to request (through the Legal Officer) the SD ‘template’ from the QAO.

3.4 Consultation on a Newly Developed SD

A newly developed SD will be exposed for industry consideration/comment by way of the NPSC for the associated Legislations.

31

http://www.caafi.org.fj/

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALAll comments on the draft SD will be captured and consolidated by the Legal Officer and forwarded to the Project Leader for Project Team consideration/evaluation.

Comments and suggested changes accepted by the Project Team evaluation process are to be incorporated in the draft SD as necessary by the Project Leader.

The Project Leader is to return the draft SD (incorporating all changes following consultation) to the QAO for final formatting purposes prior to submission to Legal Officer. The QAO will then return the final draft SD to the Project Leader for the Project Sponsor authorisation.

3.5 Preparing the Final SD

Following the incorporation of all suggested changes, the Project Leader is to forward the draft SD to the Chief Executive for endorsement/clearance.

On Chief Executive clearance, the Project Leader is to return the draft SD to the QAO for on forwarding to the LO for preparation as a Legislative instrument.

3.6 Preparation of a SD as a Legislative instrument

Legal Officer will prepare the draft SD as a Legislative instrument.

The Legal Officer will negotiate directly with the Project Leader on SD content, layout and presentation as necessary until all parties are in agreement.

The final SD will be prepared by Legal Officer for the Chief Executive authorisation and signature. However, note that the SD will not be effective until the associated Legislations has been made and has commenced.

The Legal Officer will provide a copy of the final SD to the QAO for incorporation in the NFLC associated with the particular Legislations.

3.7 Closing consultation on a SD

Consultation on a newly developed SD will close on the publication of the associated Legislative NFLC. The final SD (Legislative instrument) will be incorporated in the NFLC.

3.8 Finalising a SD

A SD will not be effective until such time the associated Legislations has been made and has commenced.

Once Legislations has been made, the SD (Legislative instrument) will be submitted by Legal Officer to the Chief Executive. The SD will be signed and approved by the Chief Executive.Legal Officer will submit the SD to QAO for preparation of the ‘online’ version.

32


The webmaster will announce the availability of the SD and the associated Legislative provision on the CAAFI website ‘Latest News’ and Legal Officer will transmit notification of SD availability by way of subscribers’ emails.

12BB.3. Development/Preparation of a SDOverview of SD Development/Consultation Process

NO - standards

incorporated elsewhere

YES – need standards separate?

4. Procedure for Consultation on Proposed SD Amendments/Changes

4.1 Background

33

Technical specifications and safety standards identified/exist requiring documentation and direction for compliance under a particular regulatory provision.

Such specifications or standards may be based on ICAO SARPs or other national/international standards.

Project Team conduct a safety outcome risk evaluation/analysis to determine need for standards, etc, and the best way of mandating the technical specifications and standards identified.

If determined technical specifications and standards identified can be incorporated in the Regulations or compliance met by other means – proceed with general regulatory development process.

If determined technical specifications and standards identified are to be mandated by way of a Standard Document– proceed to development of SD.

Project Team prepare draft SD (based on template provided by QAO) and SD standards/procedures, in conjunction with the Regulations development for consultation (NPLC) process.

Draft SD authorised for release (for consultation purposes) by Project Sponsor.

Draft SD incorporated in proposed Regulations development NPLC.

NPLC published, comments received by QAO and consolidated for Project Team consideration.

Project Team consider/evaluate and incorporate comments/suggested changes (in conjunction with Legal Officer) into draft SD.

Draft (revised) SD considered/cleared by Project Sponsor.

Draft SD submitted to CAAFI Legal Officer for preparation as regulatory instrument.

Legal Officer prepares SD to regulatory instrument template, negotiates content/layout with project team.

Legal Officer finalises SD for Chief Executive approval/signature.

Final SD signed/promulgated by Chief Executive following making of relevant Regulations.

Final SD posted to CAAFI website (with Regulations) and availability notified for use.

REGULATORY DEVELOPMENT

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALAll proposed amendments to the SD must be available for consultation with the aviation industry/affected parties/SD users and the respective Air Safety Committee and Ground Safety Committee/Sub-Committee for consideration/comment before the amendment to the SD is formally made.

The magnitude and impact of a proposal for change to a SD will determine the degree of consultation necessary with the various stakeholders. The Authority will publish a yearly review and amended cycle for Standard Documents.

Generally, the consultation on Proposed Standard Changes to the SD is to be conducted using a similar process to the Notice of Proposed Legislative Change (NPLC) process.

4.2 Notice of Proposed Standard Change

Consultation on SD changes will be effected using the Notice of Proposed Standard Change (NPSC), which will be structured similar to the NPLC.

Input and comment on a SD amendment may be sought from:● CAAFI Staff;● Stakeholders/Industry associations/organisations;● Industry/aviation community;● Other parties likely to be affected by the changes—for example, local

authorities, communities, etc;

The NPSC is structured to cover the following elements:● Executive Summary – Background/Issues;● Abbreviations/Definitions (where applicable);● The SD consultation process;● Purpose of change;● Persons affected;● The Proposed Standard Changes (synopsis of changes);● NPSC Response Sheet;● An Annex containing detailed changes.

5. Procedure Overview for Developing and Publishing a NPSC

5.1 NPSC registration

The NPSC will be registered/numbered by the QAO to reflect the associated Legislations and the particular amendment sequence, for example:● NPSC 171/01 = SD for Act/Regulation, 1st Proposed Amendment● NPSC 172/02 = SD for Act/Regulation, 2nd Proposed Amendment.

5.2 Preparation of the NPSC technical content

The NPSC is to be prepared by the appointed Project Leader (technical specialist) responsible for the particular regulatory activity using the NPSC template provided by the Legal Officer.

34

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALThe draft NPSC will be circulated to CAAFI staff, and respective Air Safety Committee and Ground Safety Committee for pre-release review.

The NPSC will be approved/signed by the relevant Project Sponsor.

5.3 Publication/availability of NPSC

The NPSC will be published on the CAAFI website and subscribers will be notified of the availability of the NPSC.

Following NPSC being posted to the CAAFI Website, notification of its availability will be advised to CAAFI management/staff, the respective Air Safety Committee and Ground Safety Committee/Sub-Committee.

5.4 Comments to the NPSC

All comments to the NPSC will be processed via the Online Response System (ORS). The QAO is responsible for uploading the NPSC proposed SD changes to ORS prior to publication/release.

A minimum of 3 weeks will be provided for comments to the NPSC unless otherwise directed by the Project Sponsor.

All comments (other than on-line responses) to a SD change (NPSC) must be directed to the QAO where it is to be registered and filed.

5.5 Evaluating comments to the NPSC

Following the response date closing, the QAO will consolidate all written comments upload these comments into the ORS, print and file all comments received and will forward the file containing all comments to the Project Leader (technical specialist) responsible for necessary action.

All comments recorded, the CAAFI (project technical specialists) responses to the comments received and the disposition action(s) are to be prepared for distribution to all respondents to the NPSC using the Notice of Final Standard Change (NFSC) template, inclusive of the Summary of Responses (SOR) template, provided by the Legal Officer.

5.6 Preparing the Summary of Responses (SOR)A ‘CAAFI Response’ and ‘Disposition’ should be given to each comment received.

The Project Leader must then forward the Summary of Responses document by email to the Legal Officer for formatting prior to publication.

The Project Leader must prepare a preamble to the Summary of Responses.

35

Note: In the case of an extensive change or the initial issue of a new Standards Document this timeframe may be extended by 1 month to allow sufficient time for effective consultation. Timelines for the subsequent periods should be appropriately adjusted.


The Legal Officer will send the formatted Summary of Responses to the Project Leader for his/her approval/final edit.

The Project Leader must send to the Legal Officer the final Summary of Responses for publishing.

Standards (SD)Consultation on an Amendment or Suggested Changes to a SD

ANNEX C –

NOTICE OF FINAL LEGISLATIVE CHANGENOTICE OF FINAL STANDARD CHANGE

36

Project Leader initiates need for formal consultation and submits proposal to Project Sponsor for consideration/authorisation to proceed with consultation on SD changes through NPSC.

Project Sponsor authorises SD consultation with the aviation community/ public by way of NPSC.

QAO assigns NPSC number and provides NPSC template to Project Leader.

Project Leader with Project Team prepares draft NPSC (using template provided through Legal Officer) – negotiates draft NPSC development with the Legal Officer.

Draft NPSC formatted byLegal Officer and prepared for pre-issue review (CAAFI/ Air Safety Committee and Ground Safety Committee).

Draft NPSC circulated(By Legal Officer) for pre-issue review, clearance and acceptance to:Air Safety Committee

and Ground Safety Committee/Sub-Committee

CAAFI Inspectorate staff

Project Team considers all comments to draft NPSC, make changes as necessary, prepare final version NPSC.

Legal Officer preparesNPSC for final approval

Project Leader (in conjunction with Legal Officer) prepares NPSC Briefing Paper, obtains Project Sponsor endorsement and distributes Briefing Paper to CAAFI Executives (in advance of the publication of the NPSC).

Formatted NPSC circulated (by Legal Officer) for final review, clearance and approval to:Project LeaderQAOProject Sponsor

NPSC approved and signed by Project Sponsor.

Online ResponseSystem loaded (QAO) for logging NPSC comments / responses.

NPSC published on CAAFI website.

Availability of NPSC announced by Legal Officer through:Industry email

subscribers list

Newspaper advert

Email to interested parties

All comments to NPSC received, collated and submitted (by QAO) to ProjectTeam for consideration/ analysis and disposition after closing period.

Project Team consolidates all comments and prepares the Notice of Final Standard Change (NFSC).

Submit SD amendments to Project Sponsor for policy approval.

Project Sponsor endorses policy and recommendations, authorises amendment to SD to continue with publication of NFSC.

QAO submits finalSD amendment to Legal Officer for preparation as a regulatory instrument and publishes NFSC.

Legal Officer prepares regulatory instrument (SD) submitted to Chief Executive for approval /signature.

Chief Executive signs.

Legal Officer submits Chief Executive approved SD to CAAFI’s QAO for online version publication.

SD amendments published on CAAFI website.


1. Background

CAAFI’s comments and a disposition of comments to all responses received to a NPLC or NPSC is prepared and made available to all NPLC or NPSC respondents and to the general public following the consolidation of the NPLC or NPSC comments/responses.

This, and an overview of the consultation process followed, a background to the development of the proposal, an analysis of responses, a conclusion and implementation plans, together with the final Legislations and associated supporting material will be published in a Notice of Final Legislative Change or Notice of Final Standard Change (NFLC or NFSC). The NFLC or NFSC will close the consultation on the particular proposal.

The Notice of Final Legislative Change or Notice of Final Standard Change:● provides a background of all the consultation undertaken;● provides the objectives and options proposed;● discusses the submissions made in response to a particular NPLC or NPSC;● provides an analysis of the responses, gives a CAAFI response and disposition;● discusses the impact and gives an explanation of the changes;● provides the final Legislations and associated supporting materials included in the

development of the particular Legislations change proposal.

The relevant Project Sponsor makes final approval and signature.

2. Procedure for Preparing the NFLC or NFSC

2.1 Staff Responsible Project Leader/project team Legal Officer QAO.

2.2 Project Leader – ResponsibilitiesThe Project Leader is the person who developed the NPLC or NPSC.1. Contact the QAO and request/obtain a copy of the NFLC or NFSC template

document.2. In conjunction with the Legal Officer, customise the ‘NFLC or NFSC template’ as

necessary to suit the NFLC or NFSC required for the particular NPLC or NPSC proposal.

3. Enter the comments (consolidated where necessary), CAAFI’s response (as determined/evaluated by the Project Team) and the disposition of the comments (as agreed by the Project Team) in the SOR section of the NFLC or NFSC.

4. Arrange for the relevant Project Sponsor approval of the CAAFI responses and the disposition of comments entries in the SOR section.

5. Circulate the draft NFLC or NFSC consolidated responses evaluation to CAAFI specialist officers/Inspectorate Staff for review during the consideration period.

37

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL6. Prepare a Clearance Sheet (obtained from the QAO) and request the QAO to

prepare the NFLC or NFSC print master.

7. The NFLC or NFSC to a NPLC or NPSC is to contain the final ‘settled’ Legislations and Standard provision. In addition, the NFLC or NFSC should also contain a comparison table showing the existing provision, the new/revised provision and comments/explanation of the intended impact of the new/revised provision.

8. Submit the Clearance Sheet and the NFLC or NFSC print master to the Project Sponsor via the QAO and Legal Officer for the clearance approval signature.

9. Once the Project Sponsor has signed the NFLC or NFSC, forward the signed copy to the QAO for publishing and distribution purposes.

3. The CAAFI (Executive) Briefing Paper

3.1 Purpose of the Briefing PaperThe clearance procedures for the NFLC require the CAAFI Executive to be briefed on the concepts, options or issues proposed within the document as well as any controversial elements and strategies for mitigating the effect.



The Briefing Paper is comprised of a two to three page report that includes a dot-point summary giving: Background information; The main issues; Any controversial elements; The consultation process; Any proposed remedial actions to address risks; A strategy statement and why CAAFI’s position is preferred in situations where

there has been significant industry opposition.


The Briefing Paper is to be prepared by the Project Leader in conjunction with the Legal Officer and is to be submitted to the Executive Secretariat at the earliest date possible (ideally within the month before the intended publication of the DP) and no later than five working days before the NFLC is scheduled to be published.


38

Note: Generally the NPLC or NPSC will not contain legal drafts, only policy intent and outcomes explanations. Therefore, following the comment period, completion of the analysis of comments and establishing the final policy, drafting instructions will be prepared and submitted to Legal Officer to prepare the final legal drafts (which will be subsequently included in the NFLC or NFSC).

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALTo ensure that standardized Briefing Paper submissions are made to the Executive, the Legal Officer has developed a standard template for Briefing Papers for the Project Leader’s use/reference.


4. Publishing and Distributing the NFLC or NFSC

The Legal Officer is responsible for arranging the publication and distribution of the NFLC or NFSC. The similar procedure used for publishing and distributing the NPLC/NPSC is used for the NFLC or NFSC.

The publication and distribution requirement are initiated when the NFLC or NFSC has been approved (signed by the Project Sponsor).

The NFLC or NFSC will be provided: On the CAAFI website at http://www.caafi.org.fj/index.cmf; Email to industry subscribers list; and Email copies as required on request.

The CAAFI Website facility will allow anyone to download and print the NFLC or NFSC.

5. Advertising NFLC or NFSC availability

The ‘notice of availability’ of a NFLC or NFSC is advertised nationally through the newspaper Agency newspaper. The similar procedure used for advertising the availability of the NPLC/NPSC is used for advertising the availability of the NFLC or NFSC.

The Legal Officer is responsible for the preparation and publication of the NFLC or NFSC availability notification advertisement. The cost for advertising availability of a NFLC or NFSC is borne by the CAAFI.

Preparation/Publication of NFLC or NFSC

39

All comments to NPLC or NPSC received, collated, loaded to ORS and submitted (by QAO) to Project Team for consideration/ analysis and disposition after closing period.

Project Team consolidates all comments and prepares Summary of Responses (SOR) to the NPLC or NPSC.

Project Leader reports NPLC or NPSC outcome and findings to Project Sponsor with recommendations for consideration on policy and future project requirements.

Project Sponsor endorses policy and recommendations, authorises project to proceed to regulatory approval.

Project Leader/Project Team prepares draft NFLC or NFSC (using template provided through Legal Officer) – negotiates draft NFLC or NFSC development with the Legal Officer.

Project Leader finalises legal drafting and finalises RIS (as necessary) and Legal Drafting.

Project Team consider all comments to draft NFLC or NFSC, make changes as necessary, prepare final version NFLC or NFSC.

Legal Officers prepares NFLC or NFSC for final clearance purposes.

Project Leader (in conjunction with Legal Officer) prepares NFLC or NFSC Briefing Paper, obtains Project Sponsor endorsement and distributes Briefing Paper to CAAFI Executives (in advance of the publication of the NFLC or NFSC).

Draft NFLC or NFSC formatted by Legal Officer and circulated (by Legal Officer) for pre-issue review, clearance and acceptance to: CAAFI Executives Project Leader Respective Air Safety

Committee and Ground Safety Committee/Sub-Committee

Email to CAAFI Inspectorate Staff



Regulatory Development Management ManualAnnex 12C. Notice of Final Regulatory Change and Notice of Final Standard Change12C.6. Advertising NFLC or NFSC availability

Annex D – Terms of Reference

40

Formatted NFLC or NFSC circulated (by Legal Officer) for final review, clearance and approval to: Project Team

Leader Executives Inspectorate Staff Project Sponsor

NFLC or NFSC approved and signed by Project Sponsor.

NFLC or NFSC published on CAAFI website through QAO.

Note: Publication of the NFLC coincides with the submission of the regulatory change for Ministry of Civil Aviation approval or in the case of NFSC when submitted to CAAFI’s Chief Executive).

Availability of NFLC or NFSC announced by Legal Officer through: Industry email subscribers list Newspaper advert Email to CAAFI staff Letter to interested parties

Consultation closed.

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL Air Safety Committee and Ground Safety Committee and Project Team and the Regulatory

Development Project Phases

1. Air Safety Committee and Ground Safety Committee

The respective Air Safety Committee and Ground Safety Committee bring together CAAFI staff and representatives from a diverse range of aviation industry groups to work jointly during the development phase of regulatory material.

This respective Committee’s examines proposed regulatory changes to determine if they are worth pursuing and assists CAAFI in the allocation of priorities to those projects. Aviation community experts then work together with CAAFI staff in subordinate groups (sub-committees and project teams) on the detailed development of regulatory material (both new Legislation/Standards and amendments).

These respective Committee’s and sub-committee members serve without financial compensation. However, CAAFI does make available for the provision of venues and administrative support for all Committee and sub-committee meetings.

The principal tasks of the relevant Committee’s are to:

Consider regulatory proposals that have been submitted to the Committee’s by CAAFI with a view to deciding whether a proposal is worthy of consideration and, if so, recommend a level of priority that should be placed on the regulatory work associated with the proposal.

Through the aviation community members of the relevant Committee, identify individual experts to work with CAAFI staff on the development of regulatory proposals which are accepted as elements of the aviation safety standards development programme.

CAAFI consults with the relevant Committee’s on the development/amendment of Legislations or the standards, using this process.

1.1 Generic terms of reference for Committees

Each Committee is responsible for:

reviewing and analysing all information relating to assigned tasks;

evaluating and developing options and making recommendations on the various proposals;

identifying, documenting and raising issues that need attention / resolution and reporting to the relevant Committee as required;

reviewing the impact of proposals;

discussing and clarifying the role and expectations of Committee members early in the process to avoid misunderstandings; and

fostering balanced and complete discussion of proposals — working through all technical, legal and policy issues.

1.2 Roles and responsibilities

41

http://www.casa.gov.au/scripts/nc.dll?WCMS:STANDARD::pc=PC_91121

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL1.2.1 Responsibilities of the Committee Chair:

The Chair of each Committee is responsible for:

presiding at all Committee meetings;

maintaining liaison with the relevant Committee’s, the sub-committee members and their organisations;

ensuring matters in their specific area of expertise are adequately defined and understood by all concerned;

establishing appropriate Project Teams as required;

ensuring Project Teams are balanced in membership; and

ensuring Committee business is conducted in accordance with its terms of reference;

1.2.2 Responsibilities of Committee members

Committee members are responsible for:

attending meetings as required;

contributing as necessary by drawing upon their aviation knowledge and expertise;

advising CAAFI on matters of importance to the aviation community and their aviation association constituency;

coordinating with constituents to gain their input early in the process; and

coordinating the nomination of experienced aviation community representatives as participants in Project Teams as necessary.

1.3 Joining the Air Safety Committee and Ground Safety Committee:If your organisation is not currently represented on the respective Committee’s and you believe it would be able to contribute to this consultative forum, please send your nomination on the letterhead of your organisation. You should state the following:

A brief background covering your organisation's involvement in the aviation community;

How your organisation could contribute to the respective Committee consultative process;

Advise who will be your organisation's respective Committee representative.

Please send the nomination to the respective Air Safety Committee and Ground Safety Committee stating area of preference, c/of CAAFI Private Mail Bag NAP 0354, Nadi Airport.

2. Air Safety Sub-Committee and Ground Safety Sub-Committee

42

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALThere are currently three Sub-Committees with ongoing responsibilities for developing the Legislations and standards

Airworthiness Sub-Committee; Note: The Air Safety Committee is

Flight Operations Sub-Committee; and divided into two Sub-Committee’s

Ground Safety Sub-Committee.

Each Sub-Committee is co-chaired by a representative from a relevant section in CAAFI as well as an Industry co-chair. As with the relevant Air Safety Committee and Ground Safety Committee, the Sub-Committee’s comprises representatives from CAAFI and the aviation community. Project Teams are established as necessary to work on specific tasks. Each Committee is responsible for assisting with regulatory development work and making recommendations to the CAAFI as necessary. Assignments or tasks are referred to the sub-committees by the relevant Air Safety Committee and Ground Safety Committee.

The Sub-Committees are responsible for developing proposals for regulatory change as necessary. By drawing upon their extensive industry experience, sub-committee members bring to their deliberations any difficulties being experienced by the aviation community with the current Legislations, suggesting new and innovative ways in which the system could be improved or alternative methods of compliance.

The majority of this work is undertaken during the regulatory development stage of a project, which culminates in the publication of a Notice of Proposed Legislative Change (NPLC). Depending upon the inputs received, certain aspects of the regulatory proposals may need to be revisited following the NPLC process in order that finalised drafting instructions can be prepared.

The Sub-Committees assist in the development of Legislations and Standards associated with the Legislations.

In the interests of efficiency, the membership of a sub-committee is limited in size.

Action items for the sub-committees are identified on a task-specific basis and vary from one sub-committee to another. However, the generic terms of reference covering roles and responsibilities remain the same for each sub-committee.

2.1 Generic terms of reference for Sub-CommitteesEach Sub-Committee is responsible for:

reviewing and analysing all information relating to assigned tasks;

evaluating and developing options and making recommendations on the various proposals;

identifying, documenting and raising issues that need attention / resolution and reporting to the relevant Committee as required;

reviewing the impact of proposals;

discussing and clarifying the role and expectations of sub-committee members early in the process to avoid misunderstandings; and

fostering balanced and complete discussion of proposals — working through all technical, legal and policy issues.

43

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL2.2 Roles and responsibilities

2.2.1 Responsibilities of the sub-committee co-chairs:

The co-chairs of each sub-committee are responsible for:

presiding at all sub-committee meetings;

maintaining liaison with the relevant Committee’s;

ensuring matters in their specific area of expertise are adequately defined and understood by all concerned;

ensuring sub-committee business is conducted in accordance with its terms of reference;

monitoring and reporting progress to the relevant Committee’s; and

certifying the accuracy of the sub-committee meeting notes.

2.2.2 Responsibilities of sub-committee members

Sub-Committee members are responsible for:

attending meetings as required;

contributing as necessary by drawing upon their aviation knowledge and expertise; and

coordinating with constituents to gain their input early in the process.

2.3 Role of Committee Secretariat

CAAFI’s respective Air Safety Department and Ground Safety Department are responsible for the:

2.3.1 Air Safety and Ground Safety Secretariat

establishing, maintaining and publishing the annual program of the relevant Air Safety Committee and Ground Safety Committee meetings (minimum of two meetings but no more than four meetings per year, with six weeks notice);

establishing the agenda for the relevant Air Safety Committee and Ground Safety Committee meeting and notifying individual members, as necessary, depending on the matters scheduled for discussion;

sending copies of all reports received, issued or approved by the relevant Air Safety Committee and Ground Safety Committee to its members;

preparing and maintaining a record of the relevant Air Safety Committee and Ground Safety Committee meetings which contains a record of the attendees, an accurate description of matters discussed and conclusions reached.

arranging for the draft meeting notes to be circulated to the relevant Air Safety Committee and Ground Safety Committee members for comment (optimally within two weeks) after the said meeting.

arranging for an electronic draft copy of the relevant Air Safety Committee and Ground Safety Committee meeting notes to be placed on the relevant Air Safety Committee and Ground Safety Committee meetings page of the web site; and

44

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL establishing and maintaining the internet-based Air Safety Committee

and Ground Safety Committee Discussion Forum.

2.3.2 Air Safety (Airworthiness and Flight Operations) and Ground Safety Sub-Committee Secretariat

submitting progress reports on the activities/outcomes of the respective Air Safety Committee and Ground Safety Committee and its Sub-Committees;

establishing and maintaining secure systems for the management of records for the respective Air Safety Committee and Ground Safety Committee and its Sub-Committees;

establishing communication channels and arranging the announcement of activities and outcomes of the respective Air Safety Committee and Ground Safety Committee and its sub-committees to CAAFI staff and the aviation community;

organising meetings (as necessary) for the respective Air Safety and Ground Safety Sub-Committees; and

maintaining a database containing the contact details of the Air Safety Committee and Ground Safety Committee and its Sub-Committee members.

2.4 Nominations for sub-committees

One of the functions of the Air Safety Committee and Ground Safety Committee is to identify individual aviation experts to work with CAAFI staff on the development of regulatory proposals. Air Safety Committee and Ground Safety Committee members from the aviation community can nominate individuals from the organisation/association they represent to participate in each sub-committee. Nominations are made to the respective sub-committee co-chairs.

To assist CAAFI with the recording of all relevant information for communication purposes, the following information is required:

Sub-committee Name

Participant's Name

Participant's Organisation

Position

Telephone number

Fax number

E-mail Address

Postal Address.

3. Project Team

The Project conduct phase of the development process involves the following activities: Collection and analysis of relevant background information; Identification, analysis and evaluation of aviation safety risks and the identification of

appropriate risk mitigators;

Cost-benefit studies and regulatory impact analysis;

45

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL Preparation of consultation publications and conducting consultation with industry

stakeholders and the public; Preparation of legal drafts of Legislations, standards and other regulatory instruments;

and Preparation of other supporting material.

3.1 Project Conduct

Responsibilities:

The Project Leader is responsible for the delivery and quality of the project deliverables in accordance with regulatory best practices and due process.

3.2 Activities

Following project registration, appointment of the Project Team and the development of the project plan, the Project Team commences the project conduct phase which involves: Conducting research

o Assessing and evaluating the safety issue;o Analysing current regulatory requirements and related exemptions that apply

to the issue;o Determining and collecting ICAO SARP requirements and how leading

aviation countries address the issue;o Identifying any relevant reports and recommendations;o Collecting relevant compliance oversight data;o Evaluating industry/aviation community comment and input already on file;

ando Document/record/file all information, data and input.

Developing options and proposalso Considering the priority CAAFI gives to passenger-carrying activities;o Identifying safety hazards, conducting risk assessments and identifying risk

mitigators, both regulatory and non-regulatory (see Annex E);o Conducting cost calculations, analyzing costs and benefits and determining

regulatory impacts (see Annex E);o Identifying options and recommendations for new and amended Legislations

and standard documents;o Developing drafting instructions for the Solicitor General’s Legislative

Drafting Department or CAAFI’s Legal Officer; ando Developing advisory and other supporting materials to complement and

supplement regulatory proposals.

Conducting consultationso Providing briefings to the relevant Air Safety Committee and Ground Safety

Committee, Sub-Committees and other stakeholder groups;o Developing Discussion Papers (DPs), Notices of Proposed Legislative

Change (NPLCs) and Notices of Proposed Standard Change (NPSCs);o Circulating legal drafts of Legislations;

46

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALo Circulating drafts of standard documents;o Assessing consultation comments; ando Developing Summary of Responses (SORs), Notices of Final Legislative

Change (NFLCs) and Notices of Final Standard Change (NFSCs).

Finalizing the Legislative/standards proposals and other materialso Finalizing the legal drafts, in conjunction with the Solicitor General’s

Legislative Drafting Department or CAAFI Legal Officer;o Finalizing cost calculations, cost-benefit studies and Regulation Impact

Statements; ando Considering implementation activities, including manuals, procedural

documents, forms, training and education materials, etc.

4. Legislative/Standard Development Project Phases

4.1 The Legislative/Standard Development Process aims to provide:

● Clarity of the roles of CAAFI staff, support services, other departments and the aviation community participating in the Legislative/Standard development process;

● A structured management consideration, problem solving focus and approval process for all proposals;

● Appropriate involvement by the aviation community at each stage of the process;

● An efficient Legislative/Standard making process.

4.2 The Legislative/Standard development process ensures:

● The obligations, roles and responsibilities of participants in the process are clear, consistent and appropriate;

● CAAFI is responsible for managing and maintaining the process and for making decisions on draft Legislations/standard based on the appropriate input;

● The regulatory development process enables effective participation by responsible and interested persons, including representative groups and ensures that the views and contributions of all participants are considered;

● The development of Legislations/Standards is a collaborative process involving CAAFI and the aviation community, through the Air Safety and Ground Safety Committee, based on the open sharing of information and the access to a transparent and consistent process;

● Consultation is open, transparent, structured and disciplined.

Legislative/Standards development in CAAFI is based on a structured and focused approach to problem identification and risk management.

4.3 Project Phases

47

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALThere are four project phases:

● Phase 1: Legislations/Standards Development Project Initiation - This phase involves the initial receipt of a proposal, consideration of the proposal, development and approval of project terms of reference, and project registration.

● Phase 2: Legislations/Standards Development Project Planning - This phase involves the announcement of the project, development of a project plan and selection of project team members.

● Phase 3: Legislations/Standards Development Project Conduct - This phase involves research and policy development, risk management and regulatory impact analysis, industry consultation, legal drafting and the development of supporting materials.

● Phase 4: Legislations/Standards Approval and Implementation - This phase involves the development of additional supporting documentation, the Minister for Civil Aviation approval of final Legislations or other instruments by the Chief Executive, the making and registration of the Legislations/Standards, and Legislations/Standard implementation/transition activities.

4.3.1 Phas e 1 : Legislations/Standard D e v e l opm e n t P r o j ec t In i t i at i on

Any member of the public or the aviation community may suggest changes or improvements to civil aviation Legislations/Standards.

Aviation Legislations/Standards changes or improvements may be initiated by advice of a proposed change to an CAAFI Legislations or Standards Document; or a proposed change originates from an audit or an investigation (internal or external) and results in a change proposal for Legislations or a Standard; or a proposed change originating from a review of existing documentation and results in a change proposal for Legislations or a Standard.

Note: Persons considering submitting a suggested change or improvement proposal are encouraged to discuss their proposals with a CAAFI technical specialist prior to submitting their proposal, by calling 6721 555 and asking for the technical specialist/speciality area.

4.3.1.1 What the Suggestion or Proposal Should Contain

Proposals to change or improve Legislations or Standards or other material, should preferably be entered on the form found on the CAAFI website at: http://www.caafi.org.fj/index.cmf

All suggested Legislative/Standard change proposals should:

● Contain the contact details of the person submitting the proposed change or improvement

● Detail the specific issue that needs to be addressed

48


20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALin relation to the identified Legislations, Standard, other material, or procedure/practice

● Briefly explain the probable risks should the proposal not proceed and the issue remain unresolved

● Identify the scope of the risk(s) that need to be managed

● Identify the type of people, processes or services affected

● Identify the subject, topic area, or associated Legislations/Standards Document/ Material/procedure affected

● Provide any information, views, technical data, references or studies that justify and support the proposed action or submission

● Identify any indicative costs or expected benefits that could occur in addressing the issue

● Provide a brief statement of the desired outcome that could be expected by addressing the issue and any likely impact on aviation safety.

Any amplifying documents or information that would assist in clarifying and/or supporting the proposal should be sent to CAAFI via the means mentioned on the webpage, or as described below.

The web-based form is submitted to CAAFI’s Quality Assurance Officer.

Alternatively, submissions may be made directly to the Legal Officer in one of the following ways:

●

●

E-mail:

Facsimile:

[email protected]

6720002

● Mail: Legal OfficerCivil Aviation Safety AuthorityPrivate Mail Bag NAP 0354Nadi Airport.

4.3.1.2 Proposal Assessment and Project Registration

On receipt of the suggested change/improvement form, the Legal Officer will assign the Controllers to:

● Check the ‘suggestion form’ to confirm there is sufficient information provided to enable the issue to be adequately considered/assessed

● Review the current regulatory development work programme activity associated with the proposal to determine whether it is already being examined, for example, as an existing

49


20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALLegislative/Standard change project

● Allocate a reference number and register receipt of the proposal

● Acknowledge receipt of the proposal

● Log and include a summary of the proposal on the Legislations/Standards development work program.

Note: If there is insufficient information, the submitter will be asked to provide more information. If the issue that is raised is considered to be plainly unsuitable for action in the Legislative/Standards development process, CAAFI will advise the submitter of this view, with reasons.

The Controller’s will annotate findings and forward the proposal documentation to the Legal Officer to proceed as a CAAFI regulatory development project. The Legal Officer will discuss the proposal with the appropriate Controller as required.

Note: Discussion and decision on Legislative/Standard change proposals may also be subject to joint CAAFI/relevant Committee deliberation.

The Civil Aviation Authority Act 1979 is generally restricted to the regulation of aviation safety and all proposed changes/amendments to Legislations must therefore relate to aviation safety. CAAFI is committed to complying with the Standards and Recommended Practices (SARPs) of the International Civil Aviation Organization (ICAO) and harmonising its regulatory requirements with the standards and practices (where appropriate) of the major aviation countries, e.g., Federal Aviation Administration (FAA), European Aviation Safety Agency (EASA), the New Zealand Civil Aviation Authority (NZ CAA), and Civil Aviation Safety Authority (CASA).

In assessing whether an identified issue requires Legislative/Standard change or improvement, certain ‘principles and tests’ will be applied to the proposal. These ‘principles and tests’ require the consideration of answers to the following questions:

● Does the proposal identify a safety risk or gap?

● How important/critical is the risk or gap?

● Is it important/critical enough to warrant the allocation of CAAFI resources?

● Does the proposal require Legislative/Standard action or can it be addressed by non-Legislative/Standards means?

● Does the proposal identify an opportunity for increased harmonisation with the standards and practices of the major aviation countries?

● Does the proposal provide opportunities for the more

50


effective allocation of industry resources?

● Does the proposal provide opportunities for the more effective allocation of CAAFI resources?

A proposal to develop, change or improve associated material will be considered in the same way.

In the event it is decided that the proposal does not warrant an amendment to a standard, the Legal Officer will advise the submitter of this decision (not to proceed with the proposal) in writing with reasons and close the proposal register for this matter.

If it is decided that the proposal warrants action, a Project Leader will be assigned to develop a Terms of Reference document.

The Terms of Reference will be consulted with the relevant CAAFI operational division. Upon receipt of the approved Terms of Reference document, the Legal Officer will arrange for the registration of the project. The project will then be announced to CAAFI staff, the relevant Committee’s and the public.

4.3.1.3 Project Terms of Reference

The Terms of Reference should set the basis for the project and Project Plan to follow. The terms of reference forms the basis of the information that is announced on the CAAFI website and relevant Committee forum. Once completed by the designated Project Leader, the necessary clearances and approval must be obtained prior to registration of the project. The project is unable to be registered and announced unless appropriately signed as indicated in the signature block section.

NB: The blue text is for guidance only to complete the form, remove before submitting form to the Project Sponsor.

Project Title/Description:(Enter best fit description of project, based on the project objective)

Project Priority:[High] [Medium] [Low](Set by the relevant Controller based on safety impact/outcome and urgency for change and availability/commitment of operational group resources to manage/develop/participate in the project)

Project Leader:(Enter name of the nominated and appointed technical specialist from the operational group responsible for the technical development and management of the project)

51

Fees Regulations:Are there any fees regulations that may be effected by this project? YES/NO Are there any new fees that will need to be introduced as a result of this project? YES/NO

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALThe Issue:What is the issue being addressed?Why is Legislative/Standard change action needed to correct the issue?- Clearly identify the issue – is it: safety risk, unacceptable compliance, insufficient/misleading requirements, and unacceptable costs.- Identify any deficiencies in current Legislations/Standard/ procedures (if any)- Is the issue a regulatory or compliance issue?Assess the risk/Assess the consequences of no action.

Prepared by: (Name) (Position) (date) (Signature) – [the appointed Project Leader]

Cleared by: (Name) (Position) (date) (Signature) – [Legal Officer]

Cleared by: (Name) (Position) (date) (Signature) – [relevant Controller]

Approved by: (Name) (Position) (date) (Signature) – [Chief Executive]

4.3.2 Phas e 2 : Legislations/Standards Development P r o j ec t P l ann i ng

4.3.2.1 Project Announcement

On receipt of the project approval, the Quality Assurance Office and Legal Officer will arrange registration of the project and announcement of the project to CAAFI staff, the Committees and the relevant sub-committee, and to the person who submitted the proposal.

Note: The initiation and registration of the project will be published for public and aviation community information on the CAAFI website at http://www.caafi.org.fj/index.cmf

The announcement of the project generally provides an invitation for aviation industry/community expressions of interest to participate in the project. However, CAAFI will seek specific subject matter expert

52

Project Objective:What are the objectives of the proposed action – identify outcomes, goals or targets that are being sought in relation to the identified issue.Identify whether there is regulation/policy currently in place – identify characteristics of existing regulation and policy.Identify any other documents may need amendment as a result of the project.Identify any other areas of CAAFI, Committee’s & relevant Sub-committee/s that require advance notification of the proposed amendments (consider lead times and cut-off dates).



interest in the project through the particular sub-committee membership, based on the subject matter being addressed and the selection criteria specified further below.

4.3.2.2 Project Planning

CAAFI Legislative/Standards development projects are managed and coordinated through the Legal Officer, and where appropriate, are structured to involve a multi-disciplined project team (generally maximum of 6), unless otherwise approved, consisting of CAAFI and industry subject matter experts. One of the CAAFI project team members acts as the Project Leader.

Note 1: The size of the project team will vary, depending on the scope and complexity of the project, but the intent is to form a team that is as small as reasonably practicable. For small, self-contained projects, it is likely that only one CAAFI subject matter expert will be assigned to do the work, with the assistance, as required, of one or two aviation industry/community subject matter experts.

Note 2: One of the CAAFI project team members will be designated as the Project Leader, responsible generally for the conduct of the project on a day-to-day basis.

Note 3: Projects involving administrative, housekeeping and other minor matters will not usually require the participation of aviation industry/community subject matter experts and will be staffed by CAAFI subject matter experts alone.

Note 4: A project board made up of CAAFI Controllers will oversee complex projects.

4.3.2.3 Preparing the Project Plan

Once the project has been registered and announced, the Project Leader will prepare/develop a ‘Project Plan’ based on the approved project proposal, results of the application of the principles/tests assessment criteria and Terms of Reference.

The purpose of the Project Plan is to:

● Identify the project structure, authority, priority and staffing

● Describe the initial project idea/issue

● Define the:

o Project objectives

o Scope

o Probable impact on existing Legislations, CAAFI, the industry

53

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALo Tasks/scheduling/timing.

The Project Plan consists of:

● Project Title/Description

● Project registration identifier (inserted following project approval/registration)

● The project priority

● The Project Leader

● List of intended/suggested CAAFI Project Team members

● Suggested list of aviation community participants (to be identified through the relevant Committee’s)

● A description of the issue

● An explanation or description of the project objective

● The expected impact of the project requirements on existing Legislations, on CAAFI staff and procedures and the impact on affected industry stakeholders

● A description of the project tasks to meet the objective

● An estimate of the timeframe for project completion

● A list of relevant references that have an impact on the project—for example, existing Acts/Regulations/Standards, etc.

The Project Sponsor will consider/approve the Project Plan and authorise the appointment of CAAFI subject matter experts and interested industry participants.

4.3.2.4 Selection of Project Staff

Generally, the selection and appointment of a subject matter expert as a project team member (from both within CAAFI and from the aviation industry and community at large) will be based on the person’s:

● Knowledge and competence in the relevant subject area

● Knowledge of the applicable Legislations and issues

● Ability to think strategically

● Ability to achieve results

● Communications skills

● Teamwork skills

● Ability to integrate with a team of multi disciplined CAAFI and aviation community specialists/practitioners.

4.3.2.5 Selection and Appointment Procedure

CAAFI employees are designated as project team members by the Project Sponsor. It is the responsibility of the relevant Controllers

54


to assign work priorities and ensure the availability of their employees who are designated to work on Legislative/Standards projects. CAAFI may, if necessary, engage consultants to undertake project work on CAAFI’s behalf.

One of the CAAFI’s project team members will be designated as the Project Leader. The Project Leader is responsible for the conduct of the project on a day-to-day basis and for the development of project deliverables, with the support and assistance of other team members.

Aviation industry/community nominations to participate on a project team are called through the relevant Committee’s, considered and approved by the Project Sponsor in consultation with the Sub-committee/s, the CAAFI Project Leader.

CAAFI may approach aviation industry subject matter experts and other specialists who are not directly involved in the relevant Committee or Sub-committee to participate or contribute to the project, as necessary. Relevant Sub-committee members may also nominate subject matter experts who are not directly represented through the Sub-committee. This would only normally be done, however, in exceptional circumstances where special knowledge or expertise not held by Relevant Sub-committee members was required for project purposes.

Project team members are appointed to project teams on the basis of their specialised technical knowledge, skills and/or experience. Aviation industry/community members are expected to participate in a personal capacity and not as representative of any particular industry group or association. All reasonable efforts will be made, however, to ensure that project teams are staffed by individuals who are broadly representative of the sectors of the industry/community that may be affected by project outcomes.

4.3.2.6 Project Deliverables – The project team is generally responsible for:

● Technical regulatory development research and safety risk analysis

● Drafting Legislative/Standards documentation, including policy intention/explanatory statements, legal drafting instructions, consultation documents (DPs, NPLCs, NPSCs)

● Arranging for, conducting and assisting in the preparation of business cost estimates, cost reports and regulation impact statements, as required

● Conducting liaison/communications with CAAFI staff, the relevant Committee’s and relevant Government departments and agencies involved in regulatory development and regulatory policy issues, implementation planning and other relevant project work

55


● Preparing presentations, briefing papers and project status/progress reports, as required.

4.3.2.7 Project Support

The Committee’s and relevant Sub-committee will be kept informed of project progress and status periodically through the CAAFI website, and by presentations to Committee and Sub-committee meetings, as appropriate. Secretariat support for regulatory development projects will be provided on an as-required basis by CAAFI, as arranged by the Project Leader.

PROJECT PLAN

Project Title/Description:(Enter best fit description of project, based on the project objective)

Project Registration Identification:(Identifier to be based on that number assigned by Quality Assurance Officer following project approval and at time of project registration and announcement)

Project Priority: [High] [Medium] [Low](Set on advice from the relevant Controller based on safety impact/outcome and urgency for change and availability/commitment of operational group resources to manage/develop/participate in the project)

Project Leader:(Enter name of the nominated and appointed technical specialist from the CAAFI responsible for the technical development and management of the project)

Project Team Members:CAAFI: (enter names of subject matter specialists/technical specialists/practitioners appointed from CAAFI affected by the project, may also need to include specialists from other groups depending on complexity/impact of change)

Aviation Community:

(Enter names of industry practitioners identified and assigned either individually/direct or nominated/appointed through the relevant Committee’s)

The Issue:What is the issue being addressed?

Why is regulatory change action needed to correct the issue?o Clearly identify the issue – is it: safety risk, unacceptable compliance, insufficient/misleading

requirements, and unacceptable costs.o Identify any deficiencies in current Legislations/procedures (if any)o Is the issue a regulatory or

compliance issue? Assess the risk.

Assess the consequences of no action.

56


Project Objective:What are the objectives of the proposed action – identify outcomes, goals or targets that are being sought in relation to the identified issue.

Identify whether there is regulation/policy currently in place – identify characteristics of existing regulation and policy.

Expected Impact:Identify who is affected by the issue and who is likely to be affected – include both CAAFI and industry affected stakeholders.

Identify and list whether change would impact on other

Legislations. Identify if there may be options that need to be

considered/consulted. Identify possible costs and/or likely

benefits which would be realised.

Fees Regulations:Are there any fees Regulations that may be effected by this project?YES/NO Are there any new fees that will need to be introduced as a result of this project?YES/NO

Details:

Project Tasks:List the project management methodology intended to achieve the stated objectives:

Project Initiation and Planning (enter intention to prepare project plan, allocate tasks to team members)

Regulatory/Technical Development (enter preparatory work including conduct of research, visits, discussions, data-gathering tasks/activities)

Legal Drafting (enter the intention for legal drafting and the allocation of legal drafting to CAAFI Legal Officer or Solicitor General’s Legislative Drafting Department

Formal Consultation (enter intention for developing/publishing consultation documentation, e.g. DP then NPLC, NPSC, NFLC, etc, holding briefings, conducting Road shows, etc).

Regulatory Approval (enter intention for finalising legal drafts, preparation of legal drafts supporting documentation, submission of finals through CAAFI for final approval through Solicitor General’s Legislative Drafting Department to Minister for Civi l Aviat ion for Legislative changes and to Chief Executive for Standard changes

Implementation (enter any implementation activities considered required, such as publication of supporting advisory information, publication of revised procedures, issue of revised instruments (authorisations/delegations), etc.)

57


Estimated Timeframe:Identify estimated timeframe for the conduct of the project against the Legislative/Standard change project phases:

Project Initiation and Planning (enter estimated timeframe for preparing project plan/approval, selection of project team, preparation of project plan and initial allocation of project development tasks)

Regulatory/technical Development (enter estimated timeframe for preparatory work including conduct of research, visits, discussions, data-gathering tasks)

Formal Consultation (enter estimated timeframe for developing consultation documentation, publication of documentation, consideration of comments, and the preparation of responses and disposition actions)

Legal Drafting (enter estimated timeframe for development of drafting instructions, submission to Solicitor General’s Legislative Drafting Department or CAAFI Legal Officer and expected legal drafting turn-around based on complexity of legal drafting and Solicitor General’s Legislative Drafting Department priority scheduling)

Legislative/Standard Approval (enter estimated timeframe for finalising legal drafts, preparation of legal drafts supporting documentation, submission of finals through CAAFI. Enter estimated timeframe for final approval through CAAFI to Minister for Civil Aviation and to Chief Executive for standard changes

Implementation (enter estimated implementation timeframe such as transition period, publication of supportingadvisory information, publication of revised

procedures, revised instruments (authorisations/delegations)

Legislations to commence (enter estimated/suggested date Legislative/Standard change is to commence)

Project close-out (enter estimated time that project would be closed/completed)

Relevant References:Identify and list all regulatory and other reference/documents expected to be affected by the project, including references to other regulatory authorities, foreign Regulations, etc.

Prepared by: (Name) (Position) (date) – [the appointed Project Leader]

Cleared by: (Name) (Position) (date) (Signature) – [Legal Officer]

Cleared by: (Name) (Position) (date) (Signature) – [relevant Controller]

Approved by: (Name) (Position) (date) – [Project Sponsor]

58


4.3.3 Phas e 3 : Legislations/Standards Development P r o j ec t Co nduct

The project conduct phase of the Legislative/Standards development process involves the following activities:

● Collection and analysis of relevant background information;

● Identification, analysis and evaluation of aviation safety risks and the identification of appropriate risk mitigators;

● Cost-benefit studies and analysis;

● Preparation of consultation publications and conducting consultation with industry stakeholders and the public;

● Preparation of legal drafts of Legislations, standards and other regulatory instruments; and

● Preparation of associated advisory and other supporting material.

4.3.3.1 Project Conduct:

Responsibilities

The Project Leader, through the relevant Controller is responsible for the delivery and quality of the project deliverables in accordance with regulatory best practices and due process.

4.3.3.2 Activities

Following project registration, appointment of the project team and the development of the project plan, the project team commences the project conduct phase which involves:

● Conducting research

o Assessing and evaluating the safety issue;

o Analysing current regulatory requirements and related exemptions that apply to the issue;

o Determining and collecting ICAO SARP requirements and how leading aviation countries address the issue;

o Identifying any relevant accident/incident reports and recommendations;

o Collecting relevant compliance oversight data;

o Evaluating industry/aviation community comment and input already on file; and

o Document/record/file all information, data and input.

● Developing options and proposals

o Considering the priority CAAFI gives to passenger-carrying activities;

o Identifying safety hazards, conducting risk assessments and identifying risk mitigators, both regulatory and non-regulatory.

o Conducting cost calculations, analysing costs and

59

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALbenefits and determining regulatory impacts (see Annex E);

o Identifying options and recommendations for new and amended Legislative/Standard and other aviation materials;

o Developing drafting instructions for the Solicitor General’s Legislative Drafting Department or CAAFI’s Legal Officer; and

o Developing supporting materials to complement and supplement Legislative/Standard proposals.

● Conducting consultations

o Providing briefings to the relevant Committee’s, Sub- Committees and other stakeholder groups;

o Developing Discussion Papers (DPs), Notices of Proposed Legislative Change (NPLCs) and Notices of Proposed Standard Change (NPSCs);

o Circulating legal drafts of Legislations/Standards;

o Assessing consultation comments; and

o Developing Summary of Responses (SORs), Notices of Final Legislative Change (NFLCs) and Notices of Final Standard Change (NFSCs) and updated drafts of other publications.

● Finalising the Legislative/Standard proposals and other materials

o Finalising the legal drafts, in conjunction with the Solicitor General’s Legislative Drafting Department or the CAAFI Legal Officer;

o Finalising cost calculations, cost-benefit studies and Regulation Impact Statements;

o Finalising any other publications as appropriate; ando Considering implementation activities, including manuals,

procedural documents, forms, training and education materials, etc.

4.3.4 Phas e 4 : Legislations/Standards A pp r o v a l an d I m p le m e n t at i on

Once the consultation process, through the Notice of Proposed Legislative Change (NPLC), has been completed and comments have been analysed and documented in the draft Notice of Final Legislative Change (NFLC), the draft Legislations that had been prepared by the Solicitor General’s Legislative Drafting Department are:

● Finalised (policy and technical content) by the Project Leader and Project Team in consultation with the Project Sponsor assigned to oversee the project.

● Reviewed by CAAFI Legal Officer, if new legal issues arise

● Packaged together with the explanatory notes

60


● Cleared and approved through the Controllers with a recommendation by the Chief Executive to forward to the Ministry of Civil Aviation for gazetting by the Solicitor General’s Legislative Drafting Department.

Note: the NFLC is published by CAAFI after this step.

● Submitted to the Minister through the Department for approval

● Gazetted by the Solicitor General’s Legislative Drafting Department

● Commence, either the day of gazette or on a predetermined date in the future.

New or amendment Standards are finalised by CAAFI.

4.3.4.1 Preparation of Explanatory and supporting Material for Legislations

The Project Leader prepares, in conjunction with the CAAFI Legal Officer an Explanatory note containing details of the proposed regulatory amendment.

4.3.4.2 Notification to All Affected Parties

Following the gazetting of the Legislations, the Legal Officer will prepare a notification of the regulatory changes and arrange for the notification to be provided to all affected parties via the CAAFI website.

The notification is to provide all affected parties the details of the changes of the Legislations, the commencement date and the expected impact of the Legislations on operations, etc. The notification is to include an overview of the things the affected parties may need to consider and do to prepare for the commencement of the Legislations.

4.3.4.3 Project Closeout

This procedure provides guidance for the introduction of approved new Legislations or regulatory changes, and the associated supporting documentation materials developed in anticipation of the commencement of the Legislations/changes and project close-out.

The aim of the project review is to identify the successes and failures of a project so that procedures are amended, as necessary, to ensure that future projects can benefit from past experiences.

61


It is essential that the schedules and phase targets established for the project are maintained and kept up to date as changes occur during the life of the project.

4.3.4.4 Project Review and Closeout Meeting Procedure

Project Leader

1. Assemble the project team (as per the TOR) to review the success of the project against planned objectives.

2. On completion of the Project Team review meeting, prepare a report based on the outcomes of the meeting, with conclusions and recommendations for future projects.

3. Send the Review/Close-out report to the Chief Executive.

Chief Executive

1. Evaluate the report and take action as appropriate. For example, the issues arising from the report may warrant a briefing to CAAFI Executives.

2. When all project tasks are completed direct the Project Leader, to end the project.

62


Annex E – Regulatory Impact Statement/Regulatory Impact Assessment

It is important that CAAFI Project Leaders understand that it is good practice for Regulation Impact Analysis and that they must be applied to new aviation safety Legislations and standards and amendments to existing aviation Legislations and Standards. After initial discussion and agreement with the Project Team, the Project Leaders may appoint a Regulation Impact Analyst early in the project to ensure that all regulatory impacts are identified early in the life of the project and CAAFI’s obligations fulfilled.

1. Application

Regulation impact analysis is a process for assessing the impacts of Legislations and Standards on business, individuals and other stakeholders from an economic and financial perspective.

2. Roles and Responsibilities

The Project Leader will prepare the Preliminary Assessment and the Business Cost Compliance Report and or/assist with the development of a Regulation Impact Statement (RIS) as part of the regulation impact analysis framework using prescribed tools and checklists. The Project Leader will assist the Regulatory Impact Analyst in drafting the RIS. The Project Leader will apply the requirements for regulation impact analysis at the Discussion Paper, NPLC, NFLC, NPSC or NFSC stages and ensure that the adequacy of a RIS is provided before any regulatory instruments are signed by the Chief Executive Officer or the Minister or the President.

The Regulatory Impact Analyst is responsible for conceptualizing and defining the initial regulatory problem with the Project Leader, and over-sighting the key stages of impact assessment initially through the Preliminary Assessment and later with the preparation of the BCC report and the RIS.

To facilitate the implementation of the regulatory impact analysis, the Regulatory Impact Analyst will: In conjunction with the Project Team and Project Leader will conduct an initial analysis

of the problem and identify the objective and feasible options Assist the Project Leader to undertake the preliminary assessment of costs and

Impacts, using the BCC Quickscan function Provide the Project Leader drafting the proposal with a template/guide so as to assist

with preparation of the RIS Assist the Project Leader and Project Team drafting the proposal tin preparing the

descriptive parts of the RIS Consult with the Project Leader on the preparation of the RIS, if required Coordinate and monitor BCC report and RIS preparation with the Project Leader Register the RIS with CAAFI – the RIS is to identified by the last two digits of the year

followed by a sequential number for the particular RIS raised during that year, e.g. CAAFI RIS #0901, where 09 = 2009, and 01 indicates the first RIS registered for the year 2009

Provide RIS to the Project Leader for attachment to the regulatory amendment package, explanatory material, etc.

63


Make the RIS available to the affected parties/individuals, and to arrange publishing of the RIS on the CAAFI website.

For regulatory changes not requiring a RIS, the Regulatory Impact Analyst will assist the Project Leader to draft the impact section of the consultation documents.

Solicitor General’s Legislative Drafting Department and CAAFI Legal Officer will ensure that all changes submitted for Legislative drafting meet the regulation impact analysis requirements. To ensure that regulatory impact analysis requirements have been met for the proposed changes the Project Leader will notify CAAFI Legal Officer that adequacy requirements for regulation impact analysis have been met for the change proposal.

3. Regulation Impact Assessments

Full details of each Regulation Impact Assessment are to be maintained in a separate file for each project. The documentation is to include details of consultation that includes date first consulted, a description of the intended/proposed change, the CAAFI contact officer, and advise such as ‘no further analysis required’, submit a BCC report and/or a RIS, and the CAAFI RIS identification.

4. Guidance Material for Regulation Impact Assessments

The following guidance material is available for regulation impact assessments: Preliminary Assessment Check list or BCC Quickscan is designed to make a

preliminary assessment of the impact of a regulatory proposal on business and individuals and to determine what level of regulatory analysis is required. The BCC Quickscan is a component of the Business Cost Calculator.

Business Cost Calculator – is an IT based tool designed to assist Project Leaders to estimate business compliance costs. It is automated and uses an activity based costing methodology.

CAAFI Cost Benefit Analysis Methodology – A dedicated methodology for conducting cost benefit analysis for aviation safety proposals.

Copies of the above publications in paper and electronic versions can be obtained from CAAFI.

5. Principles of Best Practice

In broad terms, the new regulation impact analysis framework is based on the following principles: Establish a case for action to address a problem Examine alternatives to regulation Adopt the option with greatest net benefits Promote effective guidance Consult effectively with stakeholders Evaluate regulation through Post-Implementation Review conducted within two years.

6. Regulation Impact Analysis

64


Regulation impact analysis is a process for considering the impacts of regulation on business, individuals and other stakeholders.

The regulation impact analysis process consists of two key activities: Act in proportion to the risks and the identified problem:

o Clearly set and meet the objectiveo Consider alternatives to regulation

Determine whether benefits exceed costs:o Minimize business compliance costso Avoid adverse impacts on competitiono Explicitly consider small businesso Consult with stakeholders.

As a result of changing Legislations and standards, costs of compliance and resources Involved, CAAFI has announced a new 3 - tiered framework for Regulation Impact Assessment.

To determine which level of analysis is appropriate, a RIA must be undertaken for all regulatory proposals. For proposals that will have no or low impacts on business and individuals or the

economy (including no or low compliance costs), no additional regulatory analysis or documentation is required.

For proposals that are likely to involve medium business compliance costs, a full (quantitative) assessment of the compliance cost implications must be carried out using the BCC or an approved equivalent.

For proposals that are likely to have a significant impact on business and individuals or the economy (whether in the form of compliance costs or other impacts), a more detailed analysis must be undertaken and documented in a RIS. If the impacts include medium for significant business compliance costs, the RIS should include full (quantitative) assessment of these costs using the BCC or an approved equivalent.

7. Overview of the Regulation Impact Analysis Framework

The Regulation Impact Analysis Framework consists of a three-tiered system to assess all regulatory proposals.

Tier 3 – Significant Impacts – RIS required – analyzing costs, benefits and risks of alternative approaches, including compliance costs, if applicable.

Tier 2 – Medium compliance costs but minor overall impact – BCC used to estimate compliance costs.

Tier 1 – No or low impact – Use BCC Quickscan or Preliminary Assessment to determine of any compliance costs. Also determine if any competition impacts.

7.1 Tier 1 Requirements

All proposals must undergo a preliminary assessment using the Preliminary Assessment Checklist of the Business Cost Calculator Quick Scan to establish

65

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALwhether they are likely to involve an impact on business and individuals. This applies whether or not such proposals are to be considered by Government.


CAAFI reviews the Preliminary Assessment Report and decides whether a BCC Report is required for a regulatory proposal. If the preliminary assessment shows that a regulation does potentially involve medium business compliance costs, a full assessment of the compliance cost implications should be carried out using the Business Cost Calculator and documented as a report titled Business Cost Calculator Report.


The Preliminary Assessment and the BCC Report for a regulatory proposal are reviewed by the CAAFI to decide whether a RIS is required.

Legislations that have a significant impact on business and individuals (whether in the form of compliance costs or other impacts) or that restrict competition, must be subjected to more detailed analysis, and ultimately documented in a Regulation Impact Statement (RIS). If the impacts include medium or significant business compliance costs, the BCC report will form a part of the RIS.

8. Key Steps for Regulation Impact Analysis

Step 1 Analyze the Problem (self assess)

Step 2 Undertake a preliminary assessment(Self assess)

Step 3 Consult with the CAAFI

Step 4 Determine the appropriate Level of regulatory analysis

Compliance Cost

66

Consider all feasible options (non regulatory and regulatory) to achieve

CAAFI’s objective

If Regulations or standard is being

considered

If Regulations or standard not being

considered

No further regulatory

analysis required.

Preliminary assessment of the impacts of the proposed regulation on business and

individuals or the economy

If regulatory or standard option has an impact, or you are unsure

If regulatory option has no/low impact

No further regulatory analysis required

Consult with CAAFI to discuss/confirm preliminary assessment


No/Low Medium Significant

Competition Impacts No/Low No further action

BCC Report

RIS, including BCC report

Significant RIS RIS, including BCC Report

RIS, including BCC Report

These procedures and processes are mandatory and apply to all proposals.

The CAAFI determines whether a BCC report or RIS is required.

8.1 Step 1: Analyze the problem

The first step in the preliminary regulation analysis is to examine the problem identify CAAFI’s objectives and consider all feasible options (non regulatory and regulatory).

The following questions assist in analyzing the problem:o What is the problem being addressed? How significant is it?o Why is CAAFI action required to correct the problem? Is this the best way of

correcting the problem?o Is there relevant regulation already in place? Why is additional action needed?o What other courses of action might achieve the desired outcome? What are the

costs and benefits associated with these?

The BCC can be used for defining and analyzing the problem being addressed as well as courses of action for achieving a desired outcome.

8.2 Step 2: Undertake an assessment

The second step is to identify any business compliance costs and any impacts on business and individuals or the economy, likely to flow from the application regulation.

The Preliminary Assessment requires two assessments. There are the Business Compliance Costs Assessment and the Restrictions on Competition Assessment.

Business Compliance Costs Assessmento Does the regulation impose compliance costs on businesseso If there are likely to be impacts the number of firms involved needs to be

determined and the size of the compliance burden needs to be assessed.

All regulation proposals must be assessed for compliance costs on business.

67

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALThe nine categories of compliance tasks for which compliance costs are incurred by business are:

Notification Education Permission Purchase cost Record keeping Enforcement Publication and documentation Procedural Other

Compliance costs are to be addressed through the use of the Quickscan function of the Business Cost Calculator (BCC), or the Preliminary Assessment checklist.

The BCC is an IT-based tool and is designed to assist with estimates of business compliance costs. BCC Quickscan should be applied to all regulatory proposals, even if there is a prima facie case for believing that the regulation will not affect business or involve compliance cost. BCC Quickscan helps to identify whether the compliance costs imposed on businesses are likely to trigger the need for further analysis, based on the scope (number of firms involved) and the size of the compliance burden (money and time). Stakeholders should be consulted at this early stage to help determine the size of the compliance burden.

If BCC Quickscan indicates that there are no compliance costs, then no further analysis is required. If the BCC Quickscan indicates that there are compliance costs, then an assessment will need to be made whether there impacts are low. If the impacts of the regulatory option are low, no further analysis of the compliance costs to business of the proposal is required.

If there are likely to be medium or significant business compliance costs in aggregate a full compliance cost assessment report must be prepared using the BCC. This is likely to be the case, for example, there are high compliance costs over a few businesses, or smaller costs over a large number of businesses. In such cases, the Regulatory Impact Analyst should be contacted early in the regulation development process to keep CAAFI informed. It is also required to consult with stakeholders to ensure that all business compliance cost are considered.

8.2.1 Restrictions on Competition Assessment

The competition assessment checklist (see Attachment 1) is used to identify the impact of the proposed regulation on competition. The following questions assist in assessing impacts from restriction on competition: Does the proposed regulation restrict or encourage competition? Does the regulation affect the number or range of suppliers? Does the regulation change the ability of the suppliers to compete? Does the regulation alter suppliers’ incentives to compete vigorously?

All regulation proposals that potentially restrict competition (between businesses and individuals) must be subjected to a detailed analysis and

68


documented in a RIS, which is provided to the decision maker and then made public.

8.2.2 Business Cost Calculator Report (BCC) – to be prepared by Project Leader

A BCC report provides full compliance cost assessment. The BCC report must be completed for the decision-making stage (i.e. CEO sign-off). Analysis of the compliance costs and impact of a proposal should be considered early in the regulation development process. Preparation of the BCC report should start early in the regulation development process after initial consultation with stakeholders (where possible). For matters of major significance, CAAFI is required to issue a Discussion Paper consisting of concepts, proposals, etc for stakeholder consideration.

The key inputs to a BCC report include: The nature of the compliance tasks to be undertaken Who will perform these tasks How long will each task take and how often each will be required The associated labour and other costs for performing the tasks.

Supporting evidence for information used in estimating costs for compliance task. The BCC provides a range of reports of individual compliance task and overall compliance costs. The following are reports that can be generated from the BCC: Summary Report of Regulatory and non regulatory Options Cost Category Reports (e.g. Notification, record keeping, etc) Task Report (Training staff, secure storage of instruments) Supporting Evidence Report (Industry advise etc) BCC Report

If an option to address a policy problem is likely to have a significant impact on business and individuals or restrict competition (whether in the form of compliance costs or through other impacts it is likely that a RIS would be to be prepared.

8.2.3 Regulatory Impact Statement (RIS)

The Regulatory Impact Statement (RIS) is a document prepared during the development of regulatory change and following consultation with affected parties. The RIS formalizes and provided evidence of the steps that must be taken in good policy formulation, it is an analytical tool designed to improve the formation, review and reform of CAAFI Legislations. It provides valuable information to the Government, the aviation stakeholders and the public about the options for implementing civil aviation safety regulatory measures

A RIS does not examine policy options in themselves – it examines impacts associated with the various implementation options that a Project Leader can use to achieve its decision to introduce new or amended Legislations.

69


A RIS consists of seven elements that set out: The problem Objectives Options Impacts Consultation Recommended option Strategy to implement and review the preferred option.

A RIS enables a Project Leader to fully consider compliance and other cost issues when formulating Legislations. It also ensures that all relevant information used for making new Legislations is recorded, and that the decision-making processes are explicit and transparent.

The analytical framework underpinning a RIS should be used throughout the regulation development process. The preparation of a RIS is to commence at the initiation of the project (Discussion Paper stage).

For all new Legislations and amendments to existing Legislations, the Regulatory Impact Analyst should be contacted early in the regulation development process. CAAFI determines if a RIS is required or whether an exception might apply. It is also important to consult with stakeholders at this stage. Effective consultation should occur at all stages of the regulatory cycle. Consultation early in the regulatory process will assist in identifying the nature and extent of the problem, the range of possible options for addressing it, and potential costs to consider. The principles for best practice consultation with stakeholders as part of good regulatory process are continuity, targeting, appropriate timeliness, accessibility, transparency, consistency and flexibility and evaluation and review.

BCC reports and RISs are used to inform the Chief Executive Officer and the Government of the likely compliance costs and other impacts of a regulatory proposal and are generally made public.

8.3 Step 3: Consult with regulation impact analyst

Once the preliminary regulation impact analysis has established that there may be medium or significant compliance costs for business or significant competition impacts on business and individuals, the Regulation Impact Analyst should be consulted to discuss or confirm wither further regulation impact analysis is required.

8.4 Step 4: Determining the appropriate level of regulation impact analysis

The Regulatory Impact Analyst, in consultation with CAAFI, will advise which of the following applies. The figure below provides a guide on the assessment to be

70

NOTE: Only CAAFI decides whether a RIS should be prepared for a particular regulatory change proposal. The Committee’s may consider doing its own RIS should it require RIS on any other regulatory change where RIS is not considered by CAAFI.

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALundertaken to determine the level of regulatory impact analysis required for a proposal.

Compliance CostNo/Low Medium Significant

Competition Impacts

No/Low No further action

BCC Report RIS, including BCC report

Significant RIS RIS, including BCC Report

RIS, including BCC Report

If there are no or low compliance costs and no or low competition impacts, then no further regulation impact analysis is required

If the regulation proposal has medium compliance costs for business, a Business Cost Calculator report (or equivalent) must be prepared

If the regulatory proposal has a significant impact on business and individuals or the economy, a Regulation Impact Statement must be prepared

If the proposal has a significant impact on business and individuals (including medium or significant compliance costs), a regulation Impact Statement including a Business Cost Calculator report must be prepared.

If a regulatory option is likely to have significant impact on business and individuals or restricts competition a RIS may need to be prepared. Restrictions on completion can include a limitation being placed on entry to a market, price, output or production methods.

No regulatory proposal can proceed to NPLC stage unless there exceptional circumstances. In exceptional circumstances where, due to time sensitive issues, he decision maker has signed off a regulatory proposal.

List of AttachmentsAttachment 1 – List of Abbreviated Terms, Defined Terms and their MeaningAttachment 2 – Undertaking a Preliminary AssessmentAttachment 3 – What is in a Business Cost Calculator ReportAttachment 4 – Preparing a Regulatory Impact Statement.

71

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALAttachment 1 – List of Abbreviated Terms, Defined Terms and their Meaning

BCC Business Cost Calculator is an IT based tool designed to assist CAAFI Project Leaders to estimate business compliance costs of various regulatory proposals. The BCC has a number of options such as the Quickscan function and the Cost Options functions.

BCC Report A range of reports of individual compliance tasks and overall compliance costs are produced from the Cost Options functions of the BCC. The summary report produced by the BCC is referred to as the BCC report.

Business Compliance Cost Checklist

A set of threshold questions for considering the impacts on business compliance costs potentially flowing for regulatory proposals

Competition Assessment Checklist

The competition assessment checklist (included in the Preliminary Assessment for RIA) contains a list of questions which can help in identifying the impact of the proposed regulation on competition.

Compliance Costs

Compliance costs are defined as the direct costs to businesses of performing the various tasks associated with complying with government regulation. The BCC has nine categories of compliance tasks for which compliance costs are incurred by business.

Cost Options The Cost Options function of the BCC provides a full compliance cost assessment.

The key inputs are: The nature of the compliance tasks Who will perform them How long each will take and how often each will be required The associated labour and other costs Supporting evidence for this information. Consultation with

stakeholders will be one source of this data

The outputs are a range of reports of individual compliance tasks and overall compliance costs. There is also a summary report called the BCC report.

Quickscan The Quickscan function of the BCC provides a preliminary assessment of a proposal to establish whether it is likely to involve business compliance costs. The inputs are: descriptions of the nature of the policy problem and the policy options; the number of businesses affected; and whether the policy option will cause businesses to perform tasks in any of the nine compliance cost categories.

Regulation Regulation is the sustained and focused attempt to change people’s behaviour by using the law and other mechanisms which involve government mandated Legislations, Standards and orders with the

72

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALintention of producing a broadly defined outcome or outcomes. It includes primary, secondary and tertiary Legislations.

RIA Regulation Impact Analyst

Regulation Impact Statement

A RIS is a document prepared by CAAFI for a regulatory proposal following consultation with affected parties. It formalizes and provides evidence of the key steps taken as part of a good policy development process. It includes an assessment of the costs and benefits of each option, followed by a recommendation supporting the most effective and efficient option.

Preparation of a RIS ensures that all relevant information is documented and that the decision-making processes are made explicit and transparent.

73

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALAttachment 2 – Undertaking a Preliminary Assessment

Name of proposal/amendment (Insert name of proposal/amendment e.g. CAA, CAAA, ANR, SD)

CAAFI Project No: (Insert CAAFI Project Number)

This form is designed to help you undertake a preliminary assessment of the impact of a regulatory proposal on business and individuals or the economy, and to determine what level of regulatory analysis is required. All new and amending Legislations including those that impose a cost or confer a benefit are subject to these processes.

Section 1: Business Compliance Costs

The Business Cost Calculator (BCC) Quickscan is to be used for all regulatory proposals to identify whether there will be business compliance costs. The following checklist will help you identify if there are compliance costs, and can be used as an alternative to the BCC Quickscan.

Will businesses incur costs when they are required to report certain events? Yes No

Will costs be incurred by businesses in keeping abreast of regulatory Yes No requirements?

Are costs incurred in seeking permission to conduct an activity? Yes No

Are businesses required to purchase materials or equipment? Yes No Are businesses required to keep records up-to-date? Yes No

Will businesses incur costs when cooperating with audits or inspections? Yes No

Will businesses incur costs when producing documents for third parties? Yes No

Will businesses incur costs that are non-administrative in nature? Yes No

Are there any other compliance costs associated with the regulatory Yes Noproposal?

If you have answered no to each of these questions there would appear to be nil compliance costs and you may proceed to Section on other impacts (including impacts on competition). If you answered yes to any of the questions you need to assess whether the impact on business is low, medium or significant.

Will this proposal have a low impact on business? Yes No If you have assessed the impact on business as low you should attach an explanation of the reason for that assessment. If the impact is medium or significant you are required to estimate the compliance cost using the BCC. If the impact is medium or significant, or you are unsure, please contact CAAFI to discuss/confirm your preliminary assessment, and whether you need to prepare a Regulatory Impact Statement (RIS).

74

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALSection 2: Other impacts on business and individuals, including restrictions on competition

If a regulatory option is likely to have a significant impact on business and individuals or restricts competition you may be required to prepare a RIS. Restrictions on competition can include a limitation being placed on entry to a market, price, output or production methods. The following checklist will help you assess whether a proposal restricts competition.

Would the regulatory proposal affect the number and range of suppliers? Yes No

For Example:Grant exclusive rights for a supplier to provide a good or service.Establish a license, permit or authorization process as a requirement of operation.Affect the ability of some types of firms to participate in public procurement.Significantly alter costs of entry or exit to a supplier.Create geographic barriers for businesses.

Would the regulatory proposal change the ability of suppliers to compete? Yes No

For Example:Control or substantially influence the price at which a good or service is sold.Alter the ability of suppliers to advertise or market their products.Set standards for product/service quality that are significantly different from current standards.Significantly alter costs for some suppliers relative to others.

Would the regulatory proposal alter suppliers’ incentives to compete Yes No vigorously?

For Example:Create a self-regulatory or co-regulatory regime.Impact on the mobility of customers between suppliers.Require/encourage the publishing of data on company outputs/price, sales/cost.Exempt an activity from general competition law.

If you tick yes to any of these boxes contact CAAFI to determine whether a RIS is required. If there are other impacts on business and individuals which may be significant you should seek advice from CAAFI.

Further action

This form and any supporting documents, including a brief outline of the proposal to which it relates, should be kept on file and copied to the person in your department responsible for coordinating matters relating to best practice regulation.

SignatureProject Leader NameDate

75

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALBrief Outline of the Proposal

Explanation of the reason for assessment (To be completed if the impact is assessed as low)

Please forward by email or fax completed form to CAAFI, PMB NAP 0354, Nadi Airport.

76

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALAttachment 3 – What is in a Business Cost Calculator Report

Business Cost Calculator

The BCC has been developed to provide an automated and standard process for quantifying compliance costs of regulation on business. The BCC defines compliance costs and uses a broad range of classification to prove a greater scope for capturing the compliance costs of regulation. The BCC identifies eight categories of compliance tasks and a ninth category to capture costs not readily classifiable to one of the eight.

All regulatory proposals must undergo a preliminary assessment to establish whether they are likely to involve business compliance costs. This is done using the Quickscan function of the BCC.

BCC Quickscan

The BCC asks for the following information: The problem you wish to address The objective of this policy Basic information for each policy option A description of the policy option The number of businesses affected.

The BCC Quickscan asks you to identify, for each policy option, whether businesses will be required to perform tasks in any of the nine compliance cost categories. You will need to indicate ‘yes” or ‘no’ for each cost category. After this information is entered into the BCC, Quickscan will then indicate whether you need to proceed to the BCC Cost Options step. If there are any compliance costs, you will need to assess whether the impact is low. If the impact of your regulatory option is low, then you do not need to undertake further analysis in the BCC Cost Options step.

BCC Cost Options

If the preliminary regulatory impact analysis using the Quickscan shows that the proposal will involve compliance costs and the impact is not low, the BCC (or equivalent) must be used to make a full assessment of those costs. If you are unsure you should contact CAAFI.

The Cost Options step of the BCC requires more details about the compliance tasks associated with the policy options, supporting evidence for this information and the level of certainty about this information. There may be a number of compliance tasks (with a number of associated compliance activities) for each policy option.

For each compliance task, information is required about: The category of the compliance task and related compliance activities Whether the task is an internal cost or outsourced cost Whether the task is a start-up on ongoing cost How long the activity will take and how often it will have to be done Who will perform the task and the associated labour cost, including on-costs (for

tasks carried out internally), or the purchase cost (for tasks that are outsourced or where the task is the purchase of materials or equipment)

Supporting evidence for this information and the level of certainty (see below).

77


The BCC provides an executive summary called BCC report and a number of other reports (by business or for total businesses) about compliance costs:

Compliance costs by cost category Compliance costs by task Summary report of total compliance costs Summary of supporting evidence

78

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUALAttachment 4 – Preparing a Regulatory Impact Statement.

1. Problem What is the problem? How significant is it? Why is government action needed to correct the problem?

o To deal with market failureo To correct a regulatory failureo To address an unacceptable risk

Is there relevant existing regulation? If there is, why is further action needed?

2. Objectives What are the objectives of government action? Be specific, link to identified problem Do no be too specific, so as to preclude an option What outcomes, goals or targets are sought from government action?

3. Options that May Achieve the Objective(s) Identify a broad range of options, including both regulatory and non-regulatory

options Distinguish feasible options from those that are not feasible:

o Preliminary assessment and constraints Within each option:

o Identify the key elements and clearly explain how it would worko Start with the status quo and/or no regulation, then considero Non-regulatory optionso Information and educationo Market instruments (tax/subsidy, tradeable right)o Self-regulation:

Codes of practice designed and enforced by industry Industry/government agreements Explicit government Legislations.

4. Impact Analysis – Costs, Benefits and Risks Identify who is affected by the problem and who is likely to be affected by proposed

solutions? Identify and categorize the expected safety, environmental and economic impacts

of the proposed options as likely benefits and costs Quantify compliance costs using the BCC or other equivalent method Quantify other impacts where possible:

o Level of analysis must be commensurate with the level of impactso Restrictions on competition require a higher level of analysis:

Restrictions on entry and exit of businesses into markets Control input or output prices Restrict the quality, quantity or location of goods and services Provide advantages or impose costs on only some

businesses/activities Quantify these impacts using cost-benefit analysis:

o Cost benefit analysis: Identify costs and benefits of each option Value these costs and benefits across a given timeframe

79

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL Discount the future stream of costs and benefits Calculate the net benefit of each option (i.e., benefit minus cost) Apply sensitivity analysis to test for changes in assumption or date Risk benefit analysis

Examine the effect of each option on individuals, and on the cumulative burden on business

Identify the data sources and assumptions used in making these assessments, and any gaps in data

Summarize outcomes for each option examined.

Option Impact, Costs and Benefits Overall impacts(non-regulatory and regulatory)

Business (small, medium and large)

Government (Fiji government and local authorities

Other stakeholder Groups (e.g. consumers, employees)

(Net of transfers)

Options A (relative to status quo)

BenefitsCostsChange in compliance costs as estimated by the BCC

BenefitsCostsAdministrative costs/savings

BenefitsCosts (including any compliance costs

Net BenefitsKey assumptions underlying net benefit estimates

Other information relevant to the analysis Option B (relative to status quo)

BenefitsCostsChange in compliance costs as estimated by the BCC




Other information relevant to the analysisBenefitsCostsChange in compliance costs as estimated by the BCC




5. Consultation Who are the main affected parties? Who has been consulted? How was consultation conducted? What are the views of those consulted (highlight dissenting views)? How did their views affect the outcome?

80

20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL If their views were not addressed, explain why? If consultation was limited or not undertaken, explain why?

6. Conclusion and Recommended Option How do the options address the stated objectives? What option will produce the best outcome? Do the benefits of the preferred option outweigh the costs?

7. Implementation and Review How will the preferred option be implemented? How will compliance costs be minimized? When will it be reviewed?

o Evaluation criteria?

81