Download - MANAGING THE PROBLEM OF INFRINGEMENTS
MANAGINGTHEPROBLEMOFINFRINGEMENTS
APAPERBYFASVIG
OCTOBER10,2017FASVIGLIMITED
31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |1OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
ExecutiveSummaryS1.1 Situation.Infringements1withintheUKcontinuetooccuratanunacceptablelevel.Previousmeasurestoreducethemhavenotprovedveryeffective,partlybecausesolvingtheproblemismorecomplicatedthanmanycaretoadmit.Therearethreemainobstaclestosuccess:
S1.1.1Therehasbeenareluctancetorecognisethattherootsoftheproblemlieinanumberofdifferentareasandnotjustinthecompetencelevelsofthepilotswhoinfringe.
S1.1.2Therehasbeentoomuchfocusontheeffectofeachinfringement,inotherwordsonthecase-by-casesymptomsoftheproblem,andnotenoughfocusonunderstandingthecausesofeachinfringement.
S1.1.3Finally,therehasbeentoomuchemphasisoncoercionthoughthethreatofenforcement,andinsufficientattentionpaidtobringingtheentireGAcommunityintothefoldsothateveryonebecomespartofthesolution,ratherthanjustbeingpartoftheproblem.
Itisthereforetimetoconsideranewapproach.ActinginsupportoftheCAAandinaccordancewithitsmandate,FASVIGhascommissionedthispapertoproposeaCounter-InfringementStrategyforconsiderationbytheCAA.
S1.2 StructureofthePaper.Thispaperisstructuredintwomainparts:
S1.2.1PartOnegivesanintroductiontotheissuesandsummarisestheproblem,includingthedeficiencieswithinthecurrentapproach.Itprovidesthebackgroundandunderpinninglogictotheproposedstrategy.S1.2.2 PartTwoisanoutlineoftheproposedstrategyitself,includinganumberofannexesandanappositecasestudy.
ThosereaderswhodonotneedfirsttobefamiliarisedwiththebackgroundtotheproblemarewelcometojumpaheadtotheproposedstrategyinPartTwowhichstartsonpage13.
S1.3 KeyPointsoftheStrategy.Thecorethrustoftheproposedstrategycanbedistilledasfollows:
S1.3.1Coercionisnotthebestwaytodealwiththeproblem.Thesolutionwillonlybefoundbyactivelyengagingallstakeholdersonacollaborativeandco-operativebasis.
S1.3.2 Giventhatalmostallinfringementsareunintentionalandthereforeaccidentalinnature,aclearunderstandingofwhyandhowtheyhappenisrequiredinordertoputintoeffectappropriatepreventionormitigationmeasures,whether
1Definedasunauthorisedincursionsintocontrolledairspace,dangerareas,prohibitedandrestrictedareas(includingtemporaryrestrictedareas).
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |2OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
atanindividualincidentlevelortoinformbroadermeasures.Thiscanonlybeachievedbygatheringdataonallinfringements,notjustaselectedfew.
S1.3.3 Onaninfringement-by-infringementbasis,remedialmeasureswillalwayscentreonre-skillingindividualpilotsandmustthereforebetailoredtoeachindividual’sshortcomings.Thereislittleplaceforone-size-fits-allsolutionstothiscomplexandvariedproblem.
S1.3.4However,theproblemisactuallymuchgreaterthanjustanindividualpilot’sincompetence.Itisthereforenecessaryalsotoaddressthewiderissuessuchasairspacedesign,pilottrainingandtheinterfacebetweenpilotsandcontrollers.
S1.3.5Intermsoftheoverallstrategy,settingarealisticaimisessential.Onceset,theeffortsofallstakeholdersmustbealignedtothataim.Arealisticaimistoreduceinfringementsby10%yearonyear.
S1.3.6Tosupportthisaimatotalof8enablingobjectiveshavebeenidentifiedandaresetoutindetailinPart2ofthepaper.Theycover:
S1.3.6.1Thesystematicgatheringofcomprehensivedataonallinfringements,collectedonacollaborativeandnon-adversarialbasis.
S1.3.6.2Thereviewandifnecessarytheredesignoflow-levelairspacetomakeitlesssusceptibletoinfringement.
S1.3.6.3Thereviewandifnecessarychangingtherolecontrollersplayinhelpingpilotsavoidinfringementsandinmanagingsuchinfringementswhentheyoccur.
S1.3.6.4TheraisingofpilotingstandardswithintheGAcommunity,especiallyinthefieldofnavigation,inordertoensurethatthenavigationaltechniquesusedbyGApilotsarefitforpurposeintoday’scomplexairspace.
S1.3.6.5ThemodificationofthetrainingandtestingregimeappliedtoPPL/CPLpilotsinordertoaligntheirtrainingandtestingtoappropriatenavigationalcompetences.
S1.3.6.6Thesettinginplaceofappropriategovernancestructuresinordertomanagethecounter-infringementstrategyandactionplans.
S1.3.6.7Thesettinginplaceofappropriatelyrobustandcomprehensiveprocessesinordertodeliversuccesswithinallobjectives.
S1.3.6.8Thesettinginplaceofeffectivecommunicationssothattheentirecommunityofstake-holdersisbroughtonsideandkepttherewhilsttheproblemissolved.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |3OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
S1.3.7Aroundtheoutsideoftheseobjectivesappropriateroles,responsibilitiesandresourcesmustbeclarified,alignedandapplied.Suitableactionplansmustthenbeputinplaceanddeliveredinanaccountableway.
S1.4 NextSteps.IfthispaperisendorsedatanappropriatelevelwithintheCAAandbykeystakeholdersthen,giventheapplicationoftherequiredresources,thefoundationsforthisnewstrategycouldbeinplacebytheendof2017,therebypermittingitslaunchin2018.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |1OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
PartOne-BackgroundtotheProblemTheScaleoftheProblem
1.1 InfringementsintoRegulatedAirspacewithintheUKoccuronaveragearound20timesperweek.Whilstmostoftheseinfringementshavelittlepracticalimpact,someofthemarehighlydisruptiveandsomearealsopotentiallydangerous.Leavingasidethetinyproportionofdeliberateinfringements,everyotherinfringementrepresentsafailureatsomelevelwithinthesystems,structures,competencesorculturesoperatingwiththeaviationcommunity.
1.2 Aswillbemorefullyexploredinparagraph5.1,therootcausesoftheproblemaremorecomplexandmorefar-reachingthanmanycaretoadmit.Theproblemismulti-facettedandwillnotbesolvedbyaddressingsingleelementsinisolationtotheothers,nomatterhowtemptingitmaybetodoso.
1.3 Itisalsonotcredibletoassumethattheproblemcanbesolvedbytighterregulationmorevigorouslyenforced.Inmanyrespectswhatisneededisachangeinculture.ThischangemustengagetheentireGAcommunitysothateveryonebecomespartofthesolutionandnotjustpartoftheproblem.
1.4 However,asissetoutmorefullybelow,itisnotsufficienttoaimatculturalchangemerelywithintheGAcommunityaloneandtohopethatthatsolvestheproblem.Thesolutionwillneedtobemuchmorecomprehensivethananaviationequivalentofthe1980’sdrinkdrivecampaign.ChangeisrequirednotjustwithintheGAcommunitybutalsowithintheRegulatorandwithintheANSPcommunity.
2 PreviousStatisticalAnalysisofInfringements
2.1 Recentworkhasbeendonetoanalyseinfringementsintheperiod2013-20152.Theresultshavebeenwidelycirculatedandcommentedupon.Beforereviewingthekeydeductionsofthiswork,however,thefollowingimportantcautionarypointsshouldbenoted:
2.1.1 Thedataisderivedfromsurveyingapproximately25%ofinfringementevents.Thefactis,therefore,thatwesimplydonotknowmuchaboutwhytheother75%ofinfringementsoccurred.
2.1.2 The25%whoweresurveyedwereselectedonthebasisoftheseverityoftheoutcomeofeachinfringement.Therefore,thedata-setissignificantlyskewedfromtheoutsettofocusupontheeffectoftheinfringement,ratherthanitscauses.Thisisanimportantflawinthecurrentapproachbecauseitviewsinfringementsthroughtheprismofwhattheycause,ratherthanwhattheyarecausedby.Untilthereisabetterfocusontheircausesthenitwillsimplynotbepossibletoframeaneffectivecounter-infringementstrategy.
2FASVIGAnalysisofInfringementsdatedJune2016.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |2OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
2.2 Allthatsaid,therearesomecredibleconclusionsfromthisanalysiswhichwillbefamiliartothereaderbutareworthre-highlighting:
2.2.2 75%ofinvestigatedinfringementswerebypilotsflyingSingle-EnginePistonaeroplanes
2.2.3 50%ofinvestigatedinfringementswerebypilotsalreadyinreceiptofsomeformofATCservice;therefore50%werebypilotswhowerenotinreceiptofanyATCserviceengagedinGeneralAviation3.
2.2.4 97%tookplaceinVMCand85%occurredinexcellentvisibility(>10kms).
2.2.5 15%ofinvestigatedinfringementswerebyflightinstructors4engagedininstructionatthetime.
2.2.6 74%ofinvestigatedinfringementswerebypilotswhohadnoGNSSavailabletothem,andhalfoftheremainderdidhaveGNSSequipmentavailablebuthadchosennottouseitordidnotknowhowtouseitproperly.Bydeductiontherefore,onlyaround10%ofsuchinfringementswerebypilotswhowereusingGNSSequipmentcorrectlyasanavigationaltool.
2.2.7 Theexperience-levelofinfringingpilotscoveredtheentirespectrumfromstudentpilots(6%),throughPPL/NPPLholders(65%),to>1000hrCPL/ATPLholders(21%)andmilitarypilots(5%).
2.2.8 70%ofinvestigatedinfringementsweremadehorizontallyand30%weremadevertically.
3 CautionaryCaveats
3.1 Giventhatthedata-setwasselectedonthebasisofeachinfringement’seffect(inotherwords,onlythe25%mostdisruptiveinfringementswereinvestigated)thenitisself-evidentthattherewereagreatmanyless-disruptiveinfringementsaboutwhichweknowverylittle.Inordertopaintafullerpictureofthewholeproblemitisthereforenecessarytostrayintothefieldofinformedspeculationwithregardtothisunknownsegmentofthedata.Withthisinmindthereareanumberofspeculativedeductionsthatcanbemadefromtheanalysisofthesestatistics5.
3.2 OnthebasisthatahigherlevelofprofessionalismshouldbeexpectedfromprofessionalpilotsitseemsprobablethatthemostdisruptiveinfringementswillhavetendedtodisproportionatelyfeaturerecreationalGApilotspredominantlyflyingsingle-enginepistonaircraft.Thisappearstobeborneoutbythestatistics.Therefore,itisreasonabletospeculatethatwhilstahighproportionofthesurveyedinfringementsinvolvedSEPaircraft,acrossthewholepicturetheproportionmaybequitedifferent.Thisillustratesthedangerofdrawingover-simplisticconclusionssuchasonethatsaysthatmost3Definedasnon-commercialaviation.4WhenaFlightInstructor(FI)isaboardandisinstructingastudentthentheFIisthepilot-in-command.5Inmakingthesespeculativedeductionstheauthorisdrawingonhisownexperienceasaflightinstructorandexaminerandisnotdrawingonempiricaldata.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |3OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
infringementsinvolveSEPs.Thatsimplymaynotbethecase.Theassumptionthatitisskewstheapproachtounderstandingthewholeproblem.Whatisundeniablytrueisthat75%ofthemostdisruptiveinfringementsinvolvedSEPs.
3.3 Whilst50%ofpilotswhoinfringedweretalkingtoATCatthetime,whatisnotknownishowmanypotentialinfringementsbysuchpilotswerepreventedbyproactivecontrolleraction.ItisthereforeverydifficulttoassessthevalueofeffectivecommunicationbetweenthepilotandATCintermsofavoidinginfringements.Ontheonehanditseemsintuitivelylikelythatsuchcommunicationmusthavebeenuseful.Ontheotherhand,iffullyhalfofinfringingpilotswereactuallytalkingwithATCatthetimethattheyinfringedthenitimpliesthatcommunicationwasnotofitselfveryhelpfulatall.
3.4 ThestatisticonGNSSuseisstrikingbutagainisskewedbythefactthatthe25%ofsurveyedinfringements(themostdisruptiveones)islikelytodisproportionatelyfeatureGApilots,manyofwhomclearlystillflywithoutGNSSinrelativelysimpleaeroplanes.If,asmightreasonablybespeculated,theother75%ofless-seriousinfringementsfeaturedagreaterproportionofprofessionalpilotswho,itmayalsobeassumed,aremorelikelytohavebeenusingmoving-mapdisplaysinbetter-equippedaircraft,thenthepointabouttheeffectivenessofGNSSbecomesrathermorenuanced.
3.5 Thesamepointcanbemadeofthestatisticsaroundhorizontalvsverticalinfringements.Ifwithinthe75%ofun-surveyedinfringementstherewere,bydefinition,manymorebrieforinconsequentialinfringementsthenitseemsatleastpossiblethatahigherproportionofthesewereverticalratherthanhorizontal.Therefore,thepointabouthorizontalvsverticalinfringementalsobecomesmorenuanced.
4 HeadlineDeductionsfromtheStatisticalAnalysis
4.1 Acceptingthatthedata-setwassomewhatskewedandacceptingthecautionarycaveatssetoutinparagraph3,intermsofheadlinedeductionsitwouldseemclearthat:
4.1.1 Allpilots,regardlessofexperience-levelorqualification-level,arevulnerabletotheriskofinfringement.
4.1.2 Poorin-flightvisibilitydoesnotappeartohavebeenasignificantfactorinthegreatmajorityofinfringements.
4.1.3 ItappearsthattheeffectiveuseofGNSSdoessignificantlyreducesthelikelihoodofdisruptiveinfringementsbutthisisopentochallengebasedonmoredetaileddata;seeparagraph3.4.
4.1.4 Itappearsthatthemajorityofinfringementsaremadeinthehorizontalplane,whilstasignificantminorityinfringingintheverticalplanebutthisisalsoopentochallenge;seeparagraph3.5.Itmayreasonablybeassumedthatthemajorityoftheseverticalinfringementsaretheresultofinadvertentlyclimbingintocontrolledairspacebutthisnotfullyclear.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |4OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
4.1.5 CommunicationwithanATCproviderdoesnotappeartoprovideaveryeffectivelevelofprotectionagainstinfringements,butthatisopentochallengebasedonmoredetaileddataoranalysis.
5. TheRootsoftheProblem
5.1 Thereisnosinglerootcausebehindtheproblemofinfringements.Iftherewerethenitwouldbearelativelysimpleissuetosolve.Infact,therootsoftheproblemlieinanumberofareas,onlytwoofwhicharedirectlylinkedtotheactionsofthepilotwhoinfringes.HereinliesakeypointofrecognitionwhichisalsoasignificantobstacletothesuccessfulengagementoftheGApopulationinsolvingtheproblemofinfringements.ForaslongasitremainsthecasethattherearestructuralrootcausesatworkthenGApilotscanall-too-easilypointtothese(overwhichtheyhavenocontrol)and,ineffect,say“I’llsortoutmyflyingwhenyousortoutyourairspace.”Itcannotbeover-emphasisedthattheCAA’sstrategymustaddressalloftheserootcausesifitistosucceedindrivingdownthefrequencyandseriousnessofinfringements.5.2 AirspaceDesign.Asalludedto,thedesignoftheUK’sairspaceiscomplex,clutteredandconfusinganditisnoaccidentthatthehot-spotsofinfringementoccurwherethisismostobviouslythecase.Inparagraph14.1theproposedstrategywillidentifytheworkneededtoaddressthisissue.Whilsteveryoneacceptsthatmakingchangestoairspacedesignisalengthyprocess,solvingthispartoftheproblemisnotsomethingthattheCAAcanshyawayfrom.Inparticular,thefollowingareworthyofconsideration:
5.2.1 IncreaseduseofRadioMandatoryZones(RMZs)andTransponderMandatoryZones(TMZs).5.2.2 PotentiallysettingupSurveillanceMandatoryZones(SMZs)toveilcontrolledairspaceandwithinwhichapilotmusteithertalkorsquawkorboth.5.2.3 Runningan‘idiot-check’acrosseachblockofairspaceinthecountrysothatonacase-by-casebasistheseblockscanbesimplified,evenifthismeanactuallyincreasingthevolumeofcontrolledairspace.5.2.4 ImprovingaccesstocontrolledairspaceforGAtrafficsothatanyincreaseinthevolumeofcontrolledairspacehaslittleornoimpactontheabilityofGAtraffictoflywhereitneedsto.
5.3 AvailabilityandProperUseofTechnology.Onthefaceofit,technologyprovidespotentialmitigationstotheproblemofinfringements.However,cautionshouldbeexercisedwhenassumingthattechnologyalonecanprovidethesolutions.If,assuggestedinparagraph3.4,therewereactuallymanymoreminorinfringementswhichinvolvednon-GAtraffic(presumablyinwell-equipped,professionalpilotedaircraft)thenitisjusttoosimplistictoassumethatraisingtheleveloftechnologyintheGAfleetisnecessarilytheanswer.Thatsaid,thereareanumberofareasoftechnologywhichdohavearoleintheproposedstrategy.Theseinclude:
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |5OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
5.3.1 ImprovedtheelectronicvisibilityofGAtrafficthroughthecarriageandmoreeffectiveuseoftransponders.5.3.2 ImprovedcommunicationbetweenpilotandcontrollerthroughwelcomeinnovationssuchastheFMCs(ListeningSquawks).5.3.3 Improvedtake-upof3Dsituationalawarenessdevices(GNSS-basedmovingmapdisplays)withintheGAfleet.5.3.4 Thereisnoevidencethatcollisionavoidanceisasignificantcausalfactorininfringements.ThereforeTrafficAwarenessdevicesdonot,onthefaceofit,havearoleinreducinginfringements,althoughno-onewoulddenythattheyareusefulintheirownright.
5.4 Controllers’ActionsandMandatedResponses.AnuncomfortabletruthisthattheroleplayedbyANSPcontrollersisakeycomponentintheproblemofinfringements,withbothpositiveandnegativecontributions.Controllerscanandoftendoplayapositiveroleinpreventinginfringementsbutwhensodoingareoperatinginsomethingofagreyareawithregardtotheirresponsibilitytotrafficoutsideofcontrolledairspace.Thisneedstobeclarifiedsothatallpartiesknowwhattheycanexpect.Justassignificantly,thelevelofdisruptioncausedbyaninfringerisinfactlargelytheproductofthewaythecontrollerrespondstosuchanevent.If,asiscurrentlythecase,acontrollerisrequiredtoclearasterilezonearoundtheinfringer6thenthedimensionsofthatzoneandtheabilityofacontrollertoexercisehisorherprofessionaljudgementbeforesodoingbecomefactors.Inparticularitshouldberecognisedthat:
5.4.1 Controllerscancurrently‘deem’thatnon-transpondingandnon-communicatingtrafficthatappearstobeverticallyclearofcontrolledairspaceisnon-threateningandthereforecanignoreitforseparationpurposes.Thatapproachisbothpragmaticandsensible.However,itisillogicalthatthesamecontrollercannotalso,ifappropriate,deemasunthreateningabrief,short-livedandnon-conflictinginfringementandsomodifytheresponsemeasuresaccordingly.5.4.2 Controllerscan(butarecurrentlyundernoobligationto)warnapotentialinfringeroftheriskofinfringementandoffercounter-infringementadvicetothepilot.Suchinterventionwouldclearlybeusefulinpreventinginfringements.Buttheextenttowhichtrafficcanexpectsuchassistanceneedstobeclarifiedsincethereisnopointpromotingabettertake-upofFMCsandRTcommunicationgenerallywithintheGAcommunityif,astheevidencesuggests,communicatingaircraftarestillallowedtoinfringeinsignificantnumbers.
5.5 PracticalNavigationintheEraofGNSS.Whilsttherearesomecommentatorswhomaintainthattraditionalnavigation7asanartshouldstillbetheprimarymeansof
6Thedimensionsofthissterilezonearehugelyoutofproportiontotheactualdangerposedbytheinfringer:5nmhorizontallyand5000’aboveandbelow,creatingaround26cubicmilesofsterileairspace.Itisunderstoodthatthesedimensionshavesincebeenmodifiedandreducedonatrialbasisto3nmand3000’.7MeaninginthiscontextDeduced-Reckoning.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |6OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
geographicalorientation,therecanbefewwhowouldsuggestthatintheclutteredandcomplicatedairspacefoundinmuchoftheUKitisreallysufficienttonavigatesolelywithastop-watchandcompass.Mostwouldnowagreethattonavigatesafelyinanyproximitytocomplicatedairspacerequiresamoremodernandsophisticatedapproachbasedonmoving-mapdisplays.However,thecurrentapproachcouldbestbedescribedasschizophrenic:intermsof‘aviationdoctrine’wecontinuetoespouseabeliefthattraditionalnavigationisanecessaryskillthatmustbetaughtandtested;yetwealsorecognisethatsuchaskillisquiteinadequateforthepurposesofinfringementavoidance.Thisdichotomyneedstobeaddressedsincetheissuesthatarisefromitareasfollows:
5.5.1 Ifpracticalnavigation8inproximitytoorwithincontrolledairspacecanonlybesafelyperformedbyusingmoving-mapdisplaysthenaculturalshiftisrequiredwithinGAtorecognisethisfact.Thecarriageandcorrectuseofmoving-mapsystemsshouldbeencouragedandmightpotentiallybemandated.5.5.2 Therearethenimplicationsforthepilottrainingregime.CurrentlytheuseofmovingmapnavigationisonlypatchilytaughtwithinATOsandisactuallyprohibitedonPPL/CPLflighttests.Clearlythiscannotcontinue.
5.6 PilotTraining.Asalludedtoinparagraph5.5.2thecurrentnavigationaltrainingregimedoesnotappeartoadequatelyservetheneedsofinfringement-prevention.Thereareanumberofpotentialissueswithinthis:
5.6.1 Ifpilotsareexpectedtousemoving-mapdisplaysthenabinitiopilotsmustbetaughthowtodosoeffectively,includedwithinwhichtheymustbetaughtthepotentialproblemswithGNSS-basednavigationandtheirresponsibilitiesforensuringthatembeddeddata-basesareuptodate.ThishasimplicationsforthePPL/CPLsyllabusandfordirectiontoATOs.5.6.2 Ifabinitiopilotsaretobetrainedintheuseofmoving-mapdisplaysthenitisappropriatethattheybetestedaccordingly.ThishasimplicationsfortheformatofPPL/CPLskillstestsandfordirectiontoflightexaminers.5.6.3 On-goingtrainingforqualifiedrecreationalpilots(inaprofessionalcontextthiswouldbecalledProfessionalDevelopment)isapotentiallythornyissuebutonewhichmustalsobeaddressed,giventhatmanyolderGApilotslearnedtoflymanyyearsagoandsomeofthemhavenotadequatelydevelopedormaintainedtheirskillsorknowledgeintheinterveningtime.Theintroductionofthe‘onehourwithanFI’aspartoftheprocessforrevalidatingaratinghasbeenaverypositivedevelopmentbutithasitslimitations:
5.6.3.1 Currentlythereisnomandatedcontentforsuchanhour.Itisarguablethatperhapsthereshouldbeandthatinfringementpreventioncouldbeonesuchmandateditem.
8Meaninginthiscontexttheabilitytoremaingeographicallyorientatedatalltimes.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |7OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
5.6.3.2 Thebiennialflightisnotaflighttest.ProvidingthatthepilotinquestionholdsavalidratingthenitisnotopentotheFItointerveneintheprocessofitsrevalidation.ItisarguablethatperhapsthereshouldbeaprocessbywhichanFIcanformallyexpressdoubtsaboutapilot’scompetenceandcan,forexample,mandatethatsuchapilotcompletesaLicenseProficiencyCheck(LPC)iftheFIhassufficientconcernsaboutthepilot’sdemonstratedcompetence.
5.6.4 TheissueofRemedialTrainingisanotherthornyissuethatasuccessfulcounter-infringementstrategymustaddress.Sincethehugemajorityofinfringementsareunintentionalthenitfollowsthattheyaroseinthemainthrougheitheralackofknowledgeorlackofskillsbythepilot.Suchknowledge-gapsorskills-gapsarereadilyaddressedbyremedialtraining.However,suchremedialtrainingmustbetailoredtotheneedsoftheindividualinfringer.Itisveryunlikelythataone-size-fits-allcourseislikelytoprovidethebasisforeffectiveremedialtraining9.
5.7 GACulture.ThefinalrootcauseisthesubjectiveandpotentiallyuncomfortableissueoftheculturewithinGA.Attheriskofgeneralising(andindeedofoffendingmanywithinit)itseemsclearthat:
5.7.1 TheGApopulationisrelativelyoldandrelativelyindependently-minded.Manyregardflyingasarecreationalactivitytowhichtheirlicensegivesthemaright.Thereisthereforeanin-builttendencytoresistwhatmanyseeasunwarrantedinterventionornannyingbytheauthorities.Suchanattitudeisnothelpfulintermsofengagingsuchpilot’ssupportwithinacounter-infringementstrategy.5.7.2 WithintheGAcommunitythereisasenseofincreasingburdenbeingplaceduponGApilotsbywhatisseenastheever-increasinglevelofregulation,anexpansionofcontrolledairspaceandageneraldistancingintherelationshipbetweenthepilotandtheregulator.5.7.3 Thissenseofdistanceisnotamelioratedbytheplethoraofnewregulations,oftenpoorlydisseminatedandpoorlyexplained.Thesheerincomprehensibilityofmanyoftheseencouragesadangeroustendencyamongstalreadyindependently-mindedGApilotstoquietlythrow-uptheirhandsindespairandtofurtherdisengagefromtheprocessandindeedtheprincipleofregulation.Thisisextremelyunhelpfulintermsofmanagingtheproblemofinfringements.Ironically,thethreatofmoreandmoreregulatoryactionbywhichtomanagetheproblemofinfringementssimplyplaysintothissenseofdisengagement.5.7.4 Allofthisgivesrisetoanus-and-themattitudewhichisunhelpfulinthecontextofreducinginfringements.Breakingthisdownisabsolutelyessentialif
9Theauthorrecentlyattendedthebeta-testofthenewGASCoInfringementsAwarenessCoursemodelledlooselyontheSpeedAwarenessCoursesrunintheUK.Thecoursewasveryprofessionallyput-togetherandrunandwasusefulinageneralsensebut,intheauthor’sopinion,issimplynottheanswertotheproblem.Itmayjustbetherightanswertoadifferentquestion.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |8OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
infringementsaretobemanagedsuccessfully.5.7.5 Ontheothersideofthecoin,thestandardofflyingintheGAcommunityisalsoveryvariable.Atoneendofthespectrumtherearemanyextremelycompetentandprofessionally-mindedrecreationalpilotsofallageswhokeepthemselvesup-to-dateandpracticetheirownprogrammeofongoingpersonaldevelopment.Onesuspectsthatthesepilotsareprobablynotthemainfocusofconcernwithregardtoinfringements.Attheotherendofthespectrumtherearepilotswhoarescarcelycompetenttoflyineventhemostbenignconditions,makenoefforttodeveloptheirskillsandwhoquicklybecomeover-loadedwhenfacedbyanythingoutoftheordinary.Leavingasidetheissueofinfringements,thereisaseparateissuearoundwhetherornotthesepilotsshouldbepermittedtoflyatall.Suchpilotsmaywellbeinfringers-in-waiting;simplysearchingforanopportunitytobecomeaninfringementstatistic.Butthatisnotbyanymeansthewholeproblemasevidencedearlierbythenumberofprofessionalpilotswhoinfringe.5.7.6 TherelationshipbetweenGApilotsandANSPcontrollersisalsohighlyvariable.AtoneendofthespectrumthereareplentyofGApilotswho,whethertheyusecontrolledairspaceornot,recognisethevalueofATCandsuccessfullyusetheservicesofATCs.AttheotherendofthespectrumthereareGApilotswhoregardcontrollersastantamountto‘theenemy’.UnfortunatelythereisalmostcertainlyaclosecorrelationbetweenthoseinthelattercategoryandthosewhosenavigationalandRTcompetencemakesforadifficultrelationshipwithcontrollersfromthestart.Fewcanfailtosympathisewithabusycontrollerwho,whenfacedwithapilotwhodoesnotappeartoknowwhereheisandcannotstringtogetheracoherentRTmessage,electsnottoadmitthatpilotintocontrolledairspace.Moreover,manyairspacesponsorsareincreasinglyfocussedontheirbusinesstrafficresultingincontrolledairspacebecominglessaccessible.Thenegativeperceptionsonbothsidescanthereforebeself-reinforcingtoanunhelpfuldegree.
5.8 CommunicationsandFeed-Back.Whilstnotbeingarootcauseofinfringements,theissueofeffectivecommunicationsisfundamentaltothesuccessofanycounter-infringementstrategyinsofarasitwillbeessentialtobringonsideallofthevariousparties(includingtheindividualGApilots)ifthestrategyistosucceed.Thusfar,thecommunicationofinfringement-relatedmattersandmuchelsebyauthoritieshasbeentrulywoeful.Thismustchange.
6. ExistingCounter-InfringementGovernanceStructures
6.1 Thereisaperceptionthat,eventhoughinfringementshavebeenanissueforaverylongtime,therehasuntilrecentlybeenlittlerealappetitetoengagewiththeproblemandtosolveit.Thisisevidencedmostparticularlybytheabsenceofanypubliclyavailablecounter-infringementstrategyoranydevelopedplan.6.2 GovernanceStructures.IntermsofGovernance,itappearsthatwithintheCAAtheresponsibilityformanagingtheproblemofinfringementsisflowsdownfromtheMid-AirCollisionChallengeGroup(MACCG)totheAirspaceInfringementCo-ordinationGroup
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |9OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
(AICG)andthencetotheAirspaceInfringementsWorkingGroup(AIWG)andfinallytotheLocalAirspaceInfringementTeams(LAITs).6.3 TheAICGappearstobeprimarilyfocuseduponthemanagementofenforcementactionarisingfrominfringementsthathavebeennotifiedtoit.6.4 TheAirspaceInfringementsWorkingGroup(AIWG)isdiscussedinmoredetailinparagraph6.6butaimstobringtogetherthevariousstakeholders.Itisnotclearwhichofthesetwotop-levelgroups(AICG,AIWG,orindeedanyother)leadsthedevelopmentofacounter-infringementstrategyorplan.6.5 Astonishingly,thereisnopublishedoverallCAAcounter-infringementstrategy.Foraslongasthereisnostrategy(orthatanysuchstrategyfailstoaddressalloftheissues)thentheproblemofinfringementsisunlikelytobebroughtundercontrol.6.6 TheAIWG.TheAIWGwasestablishedastheforumforbringingtogetherthevariousagenciesandpartieswithastakeintheproblemofinfringementsandthencoordinatingtheiractionunderthedirectionoftheCAA.Itisfairtosaythatuntilrecentlyitwaswidelyregardedasanineffectivetalking-shop.However,recentlythereappearstohavebeenachangeinitstone.Recentmeetingshavebeenimbuedwithmuchmoresenseofpurposesuchthatsometractionisnowbeingmade.ItisplainthatiftheAIWGistoremainastheforumfortheengagementofallpartiesinthemanagementofinfringementsthenitneedstobeadequatelyresourcedandsufficientlyenergisedtomanagesuchacomplexandchallengingissue.6.7 LocalAirspaceInfringementTeams.TheLAITswereestablishedinordertoprovideanumberofmoreregionalopportunitiesforstimulatingcooperationbetweenlocalcontrolledairspace‘owners’andlocalairspaceusers.LAITshavebeenslowtogetgoingandtheireffectivenesshasbeenpatchy.However,someofthemarenowshowingsignsofpurposeandthebestofthemarealreadyhavingapositiveeffectonthelocalrateofinfringements.
7. ExistingCounter-InfringementStrategyandPlan7.1 ACounter-InfringementStrategy.Thereisnodocumentedcounter-infringementstrategy.Thisisaglaringgapinthecurrentapproachtoreducinginfringementsanditsabsenceisindicativeoftheapproachthathasbeenappliedthusfar.
7.2 TheCAA’s5-PointPlan.Therecentlyemerged5-PointPlandoescontainsomeusefulstart-pointsbutitisnotaplanassuch.Summarisedbriefly:
7.2.1 Theversionofthe5-PointPlanthatFASVIGreviewedconsistedofaPowerPointpresentationapparentlygiventoanoutsideaviationorganisation.Itisnotclearfromthepresentation’sbullet-pointswhetherornotthereisamorecoherentplanlyingbehindit.
7.2.2 The5-PointPlanconsists,asitsnamesuggests,of5points.Theyarelistedas:1)thepromotionoftheuseoftechnology;2)thereviewoftheteachingof
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |10OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
navigation;3)anincreaseintheremitoftheAIWG;4)enforcement;and5)developmentofairmanship.Whilstsomeofthesearerelevant,othersarenot.The5-PointPlanomitsthehighlyrelevantissuesofAirspaceDesign,Controllers’Responses,andCommunicationswhichareabsolutelyessentialcomponentsofanysuccessfulstrategyorplan.
7.2.3 Ingeneral,whilstthe5-PointPlanistobewelcomedonthebasisthatitatleastrepresentsasteportwointherightdirection,itisnotlikelytosolvetheproblemofinfringementsasitstands.
7.3 CAP1404.CAP1404containstheCAA’sprocessfordealingwithinfringements.Thestepsthatitcontainsarecoveredinparagraph8.1.IngeneralCAP140410isaveryusefulreferencedocumentbutwillneedtobeamendedagainifthestrategyproposedinthispaperisadopted.
8. CurrentProcess8.1 AccordingtoCAP1404andassociatedevidence,theprocessbywhichinfringementsarecurrentlydealtwith,isasfollows:
8.1.1 Step1.Anallegedinfringementoccurs.8.1.2 Step2.
8.1.2.1 Step2a.ThecontrollerfillsoutaMOR.ThereappearstobeanacceptancethatthedetailinthisMORvariesgreatly,giventhatthereareanumberofdifferentANSPsatworkintheUKandthatthecontrollerinquestionmaybeverybusy.8.1.2.2 Step2b.TheinfringingpilotmaybecontacteddirectlyanddirectedtofilloutaninfringementquestionnairecurrentlyhostedbyNATS.
8.1.3 Step3.RecentinfringementsarecategorisedwithintheCAAandselectedeventsarereviewedatameetingoftheAirspaceInfringementCo-ordinationGroup11intheCAAoneachTuesday.Theyarethenrankedaccordingtoseriousnesswhichisdefinedastheirimpactofsafetyoronalossofseparationwithincontrolledairspace.Repeatoffenders(bycall-sign)arealsotargetedforaction,althoughatthisstagetheidentityofthepilotisalmostcertainlyunknown.Adecisionismadeonwhatactiontotakeinrelationtoeachoftheinfringementsconsideredtowarrantfurtheraction.NB:thisapproachisflawedattheoutsetinthatitassessestheseriousnessoftheinfringementandthengradesitonthebasisofitsend-effect.Fromthepointofviewofunderstandingwhytheinfringementoccurredandwhattodoaboutitafarmoreusefulapproachwouldbetogradetheseriousnessofaninfringementonthebasisofitscausalfactors,aboutwhichsomethingcouldthenbe
10ItisunderstoodthatCAP1404iscurrentlybeingamendedwithatargetdateofSeptember2017forrelease.11AgroupconsistingoftheCAA’sGeneralAviationUnit,InvestigationandEnforcementTeam,AirspaceRegulation,ATSInvestigations,PilotLicencingandFlightExaminers.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |11OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
done.Buttodosorequiresmoreinformationthanisavailableatthatpoint(notleast,gainedbyfrankinputfromthepilot)andthisillustratesthefactthatputtingthisAction/No-Actiondecision-pointsoearlyintheprocesssignificantlyjumpsthegun.8.1.4 Step4.IfescalatedbytheAirspaceInfringementCo-ordinationGroupaninfringingpilotiscontactedandrequiredtoundergoanonlinetutorialandtest.Currentlyaround50%ofpilotsfailthistest,evenaftercompletingthetutorial.Self-evidentlythereforethisapproachisineffectiveateitheridentifyingthecausalfactorsatworkorre-educatingthepilot.8.1.5 Step5.Ifthepilotfailstheonlinetestthentheymayhavetheirlicensesuspendedpendingameetingwithaseniorexaminer.Subjecttohisrecommendationtheinfringingpilotwillberequiredtocompleteanyorallof:
8.1.5.1 ResitbasicTheoreticalTrainingexaminations(usuallyAirLawand/orOperationalProceduresbutmayincludeNavigationand/orCommunications).8.1.5.2 RetrainatanATO.8.1.5.3 AfurtherflighttestwithaCAASeniorFlightExaminer.
8.1.6 Assetoutabovetheprocesscontainsanumberofimportantflaws:
8.1.6.1 Itputsthecartbeforethehorseintermsofdecidingtheseriousnessoftheinfringementbasedonflawedmetricsandonincompleteinformation.Thedisruptioncausedbytheinfringementislikelytobequiteunconnectedtotheseriousnessofwhatevercausalfactorswereatplayandmay,ashasalreadybeenestablished,beaproductofthecontroller’sactionsratherthanthepilot’s.Withoutunderstandingwhatcausedtheinfringement(inotherwords,withouthearingthepilot’saccount)therealseriousnessoftheeventcannotrealisticallybeassessed.8.1.6.2 Itassumesthataninfringingpilot’sknowledge-gapsorskills-gapswillbeadequatelyaddressedbycompletinganonlinetutorialandtick-test.Self-evidentlytheyarenot,noraretheyeverlikelytobe.8.1.6.3 ItcentralisesanyinvestigationwithintheCAAstaffexaminerpoolandtherebylimitsitselfsignificantlyinresourceterms.8.1.6.4 Itanticipatesthat,basedonastaffexaminer’srecommendation,theinfringingpilot’sknowledge-gapsorskills-gapsmaybeadequatelyaddressedbyre-takingTKexams.8.1.6.5 Thereisnoconfirmation-of-learningattheendoftheprocess.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |12OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
8.2 ThenewInfringementAwarenessCourse.ItappearsthatattendanceatthenewInfringementAwarenessCoursemaybeslottedintothisCAP1404process,perhapsbetweenSteps3and4inthesamewayasattendanceataSpeedAwarenessCoursepre-emptsfurtherspeedingprosecutionactionbythepolice.8.3 ComparisonwiththeSpeedAwarenessCourseis,however,significantlyflawedforthefollowingreason.Allroadusersunderstandspeedlimits;butthefactremainsthatmanystillintentionallybreakthelaw.TheSpeedAwarenessCourseisaboutraisingthedriver’sawarenessoftheimplicationsofspeedingandtherebygoverninghisbehaviour.Thatisnotwhatisrequiredtocounterinfringementforthesimplereasonthatalmostallinfringementsareunintentionalandaretheresultofgapsintheinfringingpilot’sknowledgeorskillsorothernon-pilotissues.Therefore,whilsttheInfringementAwarenessCoursemaybeusefulinsomerespects,itisnotasolutiontotheproblemandmayindeedbecomeadistractionfromgenuinesolutions.Inanyevent,suchageneralawarenesscourseisunlikelytoaddresstheknowledge-gapsorskills-gapsevidentwithanyparticularindividualpilot.8.4 Furthermore,insiphoningoffinfringerstoattendthecoursethestructuralflawsintheassessmentprocess(Step3)stillapply.Inotherwords,candidatesforthecoursearestilllikelytobeselectedonthebasisofanunsoundprocessofcategorisation.
9. Part1Conclusions
9.1 InconclusiontoPart1,theproblemofinfringementsiscomplexandperniciousandithasitsrootsinanumberofareas.Someoftheseareasaremoredifficulttoaddressthanothersbutallmustbeaddressediftheproblemistobeeffectivelymanaged.9.2 Solvingtheproblemofinfringementswillnotbeachievedbypiecemealmeasuresanditwillnotbeachievedwithoutengagingtheentirecommunityinthesolution.Todosowillrequiresomeinnovativethinkingandsomeboldmeasures.9.3 Fundamentally,itwillnotbeachievedwithoutaclear,thought-throughandwell-communicatedstrategy,backed-upwithrobustandeffectivegovernance,drivenbystrongleadership.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |13OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
Part2-ProposedCounter-InfringementStrategy10. Aim
10.1 Allsoundstrategiesneedaclear,realisticandachievableAim.TheAimofthisstrategyistherefore:Toachievea10%reductionofinfringementsyear-on-year12.
11. GeneralOutline
11.1 ThisstrategyaimstoaddresseachoneoftherootcausesofInfringements(seeparagraph5.1inthepreviouspartofthispaper)inaseriesofobjectiveswhichareallfocussedononeaimandareallalignedwithoneanother.InoveralltermsitaimstoengagetheentireGAcommunitytogetherwiththeotherstake-holderssothattheeffortsofallarefocusedonachievingtheAim.
11.2 TheoverallstrategyisbrokendownintoaseriesofObjectiveswhichwilleachbepursuedconcurrently.Thesearesetoutbelow,innoparticularorderofimportanceorpriority-theyaresimplynumbered1to8forconvenience.EachObjectiveissummarisedbrieflyandthenexpandeduponinitsownsectionstartingonpage16.EachthenhasafurtherAnnexdedicatedtoitwhichcontainsanon-exhaustivelistofsomeofthetopicsthateachwork-streamwouldconsiderastheydevelopeachObjectiveintoanActionPlan.Objectivesareasfollows:
11.2.1 Objective1–ImprovingDataGatheringandHandling.Toputinplacesystemstogatherdetailsofallinfringementsinordertoobtainamorecompletethepictureofwhyandhowpilotsinfringesuchthat:
11.2.1.1 Thisinformationisthenfed-backtotheGAcommunityandtherebysupportsObjective4.
11.2.1.2 Thisinformationisthenfed-backtothetrainingregimeandtherebysupportsObjective5.
11.2.1.3 Thisinformationisthenfed-backtothemanagementprocessandtherebysupportsObjective7.
11.2.2 Objective2–ImprovingAirspaceDesign.TomakethenecessarychangestotheairspaceenvironmentwithintheUKsuchthatitbecomeslesssusceptibletoinfringementbutpromotesGAsectoraviation.
11.2.3 Objective3–ImprovingAirspaceManagement.TomakethenecessarychangesintheANSPsperformancesuchthat:
12Inthecontextofthisstrategyitissimplyunrealistictoexpectthatazero-infringementpositionwilleverbeachievedanymorethanazero-accidentrateisachievable.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |14OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
11.2.3.1 Themaximumassistancemaybegiventopotentialinfringersinordertoavoidaninfringement.
11.2.3.2 Theeffectofanyindividualinfringementisminimised.
11.2.3.3 AdequateandtimelyinformationisprovidedtosupportObjective5.
11.2.4 Objective4–ImprovingPilotingStandards.TomakethenecessarychangestothecultureandcompetenceswithintheGAcommunitysuchthat:
11.2.4.1 ThepilotingandairmanshipstandardswithintheGAcommunityaresignificantlyimprovedovertime.
11.2.4.2 Navigationalcompetencerequirementsarere-definedinthecontextofinfringementreduction(inotherwords,thatGApilot’snavigationaltrainingneedsarere-analysed).
11.2.4.3 TheGAcommunityisengagedpositivelyandcollaborativelyintheprocessofinfringementreduction.
11.2.5 Objective5–ImprovingPilotTraining.Tomakethenecessarychangestothetrainingandflighttestingregime,inordertosupportObjective4,suchthat:
11.2.5.1 ThesyllabusforPPL/CPLtrainingisamendedtoalignthetrainingobjectiveswiththerevisedtrainingneedsinrespecttonavigationandtheuseoftechnologywithinthecontextofinfringementreduction.
11.2.5.2 TheformatforPPL/CPLflighttestsandgroundexamsarechangedtoalignthetestswiththerequirednavigationalcompetenceswithinthecontextofinfringementreduction.
11.2.6 Objective6–ImprovingGovernance.TomakethenecessarychangestothegovernancestructuresinordertoenableittodeliverasuccessfulCounter-InfringementStrategyandallofitsembeddedObjectivessuchthat:
11.2.6.1 Thereisasinglepointoffocusforinfringementreduction,withclearlinesofresponsibilityandaccountabilitybothwithintheCAAandoutwardstotheassociatedstake-holders.
11.2.6.2 ThegovernancestructureisresourcedwithstrongandeffectiveleadershipbywhichtodelivertheAimsuccessfully.
11.2.6.3 Thestrategyandplansareresourcedappropriately.
11.2.7 Objective7–DesigninganewManagementProcess.Tomakechangestotheexistingmanagementprocessinordertodealjustly,proportionatelyandconstructivelywithpilotswhoinfringesuchthatallObjectivesaresupported.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |15OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
11.2.8 Objective8–ImprovingCommunication.Tosetinplaceaneffectivecommunicationsstrategythatprovidesforthepassageoftimely,clearandrelevantinformationbothways,ietoandfromtheentirecommunity,therebysupportingallObjectives.
11.3 Ascanbeseenfromthescopeoftheseobjectives,implicitwithinthestrategyisasignificantshiftincultureacrosstheboard,notjustwithintheGAcommunity.Theauthorisundernoillusionsabouthowdifficultitmaybetoachievethisshift,hencetheneedforarevitalisedandmoreeffectivegovernancestructureandleadership.Itisclear,however,thatunlessalloftheseobjectivesareachievedthestrategywillnotsucceedindeliveringtheAim.
12 Roles,ResponsibilitiesandResourcing
12.1 Thispaperenvisagesthat,onceadopted,thestrategyanditssupportingobjectiveswillrequirethefollowingrolesandresponsibilitiestobeagreedandappropriatelyresourced.Criticaltosuccessisamoveawayfromatalking-shopapproachtowardsamorestructuredapproachwithclearlinesofauthority,responsibilityandaccountability.
12.2 OverallDirection.ThisshouldsitwithintheCAAastheregulator.Thereshouldbeclarityonwhobecomesthe‘InfringementCzar’responsiblefordeliveringsuccess,andwhatsupportheorshehasaroundthemwithintheCAA.Thatpersonshouldbevestedwithsufficientauthoritytodeliversuccessandshouldbeheldaccountableaccordingly.
12.3 GovernanceStructures.Thegovernancestructure(seeparagraph18.1)shouldbere-castintoaCounter-InfringementPolicyandSteeringGroupwithintheCAAandthenanumberofCounter-InfringementWorkingGroupsbeneathitchargedwithdeliveryofthevariousobjectivesonbehalfofthePolicyandSteeringGroup.TheseCounter-InfringementWorkingGroupsshouldbechairedbyappropriatespecialistsandwillanswertotheSteeringandPolicyGroup.
12.4 SpecialistSupport.Certainareasliewithintheremitofspecialiststakeholderagencies,principallyNATSandotherANSPs.Plainlyissuessuchasthere-designofairspaceandthereviewofcontrollerresponsibilities(Objectives2and3)sitsquarelywithinworkinggroup(s)whichshouldcontainastrongrepresentationfromsuchspecialists.
12.5 ExternalCo-optedResources.SinceresourcingthisstrategypurelyfromwithintheCAAislikelytobeachallenge,maximumusecouldbemadeofco-optedexternalresources.Especiallyusefularesuchexternalpartiesiftheyareindependentlyfinancially-resourced,sincethisofferstheopportunitytoleveragetheCAA’sownresourceallocation.Giventhebroadnatureofthework,thereisscopeforsomesmartout-sourcingwithinthisstrategy.However,caremustbetakenthatindependentfundingdoesnotgiverisetoindependentwork.Theeffortsofallmustbealignedtothestrategyifitistosucceedwithoutwastedeffort.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |16OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
13 Objective1–ImprovingtheInfringementInvestigationProcess,ResponseandInformationGathering
13.1 Objective1aimstomakethenecessarychangestotheprocessesofinvestigationandresponsesthataretobemadeintheeventofanallegedinfringement.Itisinthisareathatthegreatestchangeinapproachisrequiredincomparisontothecurrentprocess.
13.2 Theprinciplechangesfromthecurrentcultureofresponseareasfollows:
13.2.1 NewInfringementClassifications.Infringementsshouldbeclassifiednotintermsoftheireffects,butonthebasisoftheirmaincausalfactors.Thus,afterappropriateinvestigation,infringementsshouldbebroadlycategorisedasfollows:
13.2.1.1 CategoryA.Adeliberateinfringementmadebyapilotwhowasawareofhisactions13.SuchaninfringementcouldbepassedimmediatelytoEnforcement.
13.2.1.2 CategoryB.Anunintentionalinfringementarisingoutofgapsinthepilot’sskillsorknowledge.Suchgaps,onceidentifiedinthecollaborativeprocesssetoutbelow,canbeaddressedbyremedialtraining.Themattercanbeclosedafterthecompletionofthetraining.
CategoryC.Anunintentionalinfringementarisingoutoftemporaryinattentionordistraction.Insuchcasesremedialtrainingmayormaynotbeappropriateandthemattermaybesatisfactorilyclosedafterthediscussion.ForbothcategoriesBandC,theimpactofairspacedesign,proceduresandATSservicesontheinfringementshouldalsobereviewedandactionconsidered.
13.2.2 Decision-PointswithintheProcess.Implicitinthisnewapproachtoclassificationwouldbethatitcanonlybetakenoncealloftherelevantinformationisavailable.Itfollows,therefore,thatthatdecisionastowhatremedialorregulatoryactiontotakeonacase-by-casebasisforCategoryBandCshouldbetakenlaterintheprocessthaniscurrentlythecase.
13.2.3 CollaborativeApproach.Unlesstheallegedinfringerrefusestocooperateorisclearlydishonestthentheinvestigationmustbecollaborativeandnon-confrontational.Essentialtothisisthattheallegedinfringer’sinputshouldbesoughtonastrictlyconfidentialandwithoutprejudicebasis.
13.2.4 EnforcementSanctionsonlywhereNecessary.Onlyifitbecomesclearthattheinfringementwasdeliberate,orthattheinfringerhasbeendishonestoruncooperative,shouldthematterbepassedtoEnforcement(seeparagraph19).Ifsothenthecollaborativeapproachshouldceaseatthatpoint.Thereshouldbeacleardividebetweenthetwoapproaches:onecollaborative,confessionalandconfidential;theotherformal,inquisitorialandbackedbythethreatofregulatoryorlegalaction.Criticaltothesuccessofthisapproachintermsofmaintainingthehigh-
13Theevidenceisthattheseinfringementsmakeupatinyproportionoftheoverallproblem.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |17OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
groundintheargumentisthatitshouldbethepilot’sdecisionwhichofthesetworoutestheychoosetotake.
13.2.5 ConfessionalandConfidential.AfundamentallyimportantissueinthisrecommendedprocessistheprinciplethatanyinformationofferedbythepilotoutsideofaformalEnforcementenquirymustbeconfidential.Thereforetheremustbeasolidbarrierbetweenthedataofferedonacollaborativebasisandthemisuseofthatdatainanysubsequentenforcementaction.Itisthereforeessentialthatintheeventthatanincidentpassesfromacollaborativesideoftheapproachtotheenforcementsidethennoneoftheinformationprovidedbytheinfringerduringthecollaborativeprocesscanbeadmissibleinanyenforcementinvestigation.Enforcementshouldmakeitsowninvestigationandtakeanyenforcementactionbaseduponwhatititselfdiscoversinthecourseofitsinvestigations.Thisconfidentialitywithinthecollaborativeprocessisabsolutelyessentialifallegedinfringersaretobeexpectedtocollaboratefranklyandfullywiththeprocess14.
13.2.6 ApplicationofExternalResources.Achievingafire-wallbetweenrawdataandthepotentialattentionsofEnforcementcanbeachievedatthesametimeasmaximisingtheleverageofavailableresources.Bothcanbeachievedbyengagingathirdpartytoacquireandanalysethatdata,particularlyifthatthirdpartywillbearthecostsofsuchactivity.Therawdatawouldremainwithinthethirdparty,contractuallyprotectedagainstsubpoenabytheCAA,buttheassessmentofeachinfringement’sInfringementCategorywouldbepassedtotheCAAtoconsideraspartoftheprocessoutlinedinparagraph13.3,togetherwiththeanalysedproductofinfringementscollatedovertime.InthiswayboththeCAA’sinterestsontheonehandandtheinfringingpilot’sontheothercanbeprotected.
13.3 ProposedProcess.TheObjective1work-streamwouldconsiderthefollowingoutlineprocesswhichisalsoshowndiagrammaticallyatAnnexI:
13.3.1 Start-point.Anallegedinfringementoccurs.
13.3.2 Step1.TheANSPcontrollerhandlestheincidentoperationallyandthenimmediatelyfillsoutanMORfortheCAA.Thework-streamwillparticularlyconsiderhowbesttostreamlinethereportingofinfringementssuchthatasmuchdetailaspossibleiscollectedwhilstimposingaslittleadditionalworkaspossibleonthecontroller.
13.3.3 Step2.TheANSPsendstotheinfringingpilotastandardletterpreparedbythedatagatheringcontractoranddirectingthepilottothenewonlinequestionnaireasanalternativetoaformalCAAinvestigation.Acopyissenttothecontractor’sInfringementTeam(IT).Theletter15wouldexplainthenewprocesswithclarityandstatethat:1)anallegedinfringementhasoccurred;2)thatthepilotisrequiredwithin10daystocompleteanonlinequestionnairegivingthefactsfromhis
14Such‘fire-walling’isentirelyachievablebyoutsourcingthedata-gatheringtoathirdpartyandensuringthattheconfidentialityofthatthird-party’sdataisenshrinedinthecontract.15AnexampledraftisatAnnexJ.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |18OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
perspective;3)thatthepilotmaythenberequiredalsotoattendaface-to-facemeetingathislocalATOorRTFwithanappropriatepersonactingasanInfringementAdvisor16duringwhichtodiscusshisinfringementinacollaborativeandnon-adversarialway;and4)thatprovidingthepilotengageswiththeinvestigationprocessfullyandhonestlythenheorsheshouldhavenofearthatanyofhisinputwillbeusedinanyregulatoryorlegalactionagainsthim;butthat5)ifthepilotfailstocooperatethenthematterwillbereferredbacktotheCAAforregulatoryactionandthattheirlicensemaybesuspendedpendingsuchinvestigationandenforcementaction(seeparagraph19).TheworkstreamwouldalsoconsiderhowtoaccesstheaircraftownershipandpilotlicensingdatanecessarytopermitANSPstocontacttheownerorpilotoftherelevantaircraft.
13.3.4 Step3.Thepilotcompletestheonlinequestionnaire.Iftheyhavenotdonesowithinagiventime-framethenthecontractorwouldwriteremindingthemtodoso.IfafteranagreedperiodthequestionnairehasnotbeenfilledinthenthecontractorwouldnotifytheCAAandrelevantANSPaccordingly.OncethepilothascompletedtheonlinequestionnairethentheITwouldmakeaninitialassessmentastowhetherthecausalfactorsaresufficientlyclearfromthepilot’sownaccounttorequirenofurtherface-to-faceexploration.Iftheyare,thentheprocessforthatparticularcasewouldjumptoStep5.
13.3.5 Step4.Ifthepilot’sresponseswerenotsufficientlyclearorconclusivethentheITwouldarrangeaface-to-facemeeting17ofnotmorethananhourbetweenthepilotandanappropriateInfringementAdvisor(IA),probablyattheallegedinfringer’slocalATOorRTF.Thetargetshouldbetoholdthemeetingwithin30daysoftheallegedinfringement.PriortothismeetingtheIAshouldhavebeenprovidedwiththeoriginatingMOR,thepilot’scompletedonlinequestionnaire,andanyotherinformationsuchasanyrecordofpreviousinfringements.AtthemeetingtheIAandtheallegedinfringerwouldcollaborativelyidentifywhatledtotheinfringementandwhatlessonsshouldbelearnedfromit,ifthisisnotalreadyclearfromthepilot’squestionnaireresponses.
13.3.6 Step5.ByeitherrouteitwouldbedeterminedinStep5whetheraninfringementactuallyoccurred,whatcategoryofinfringementitwas,andhowbesttoaddressthecausalfactorsthathavebeenidentified.ThechoicesandactionsopentotheITare:
13.3.6.1 IftheITconcludesthattheinfringementdidnotoccuratallthenthematterisclosedandtheCAAandtherelevantANSPinformed.
13.3.6.2 IftheITconcludesthattheinfringementwasaCategoryAinfringement(ie,adeliberateinfringement)thentheinfringerwouldbeinformedthatthecasewillbepassedfromtheITtotheCAAunlessthere
16ThetermAdvisorispreferredoverInvestigatorinordertocontinuethethemeofcollaborationinanon-adversarialformat.SuchapersonwillprobablybeatleastanFEintheclassofaircraftinvolved,orpotentiallyanLAAcoachorequivalentpersonauthorisedandtrainedtoactasanInfringementAdvisorwithinthecontractor’sInfringementTeam.17ThismeetingcouldpotentiallybeconductedbytelephoneorSkype.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |19OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
wereextraordinaryextenuatingcircumstancesinplay18.TheinfringershouldberemindedthatnoneoftheinformationdisclosedatthemeetingorintheonlinequestionnairewouldbemadeavailabletotheCAA’sEnforcementInvestigatorswhowillmaketheirownenquiriesinwhichthepilotmayparticipateastheywish.
13.3.6.3 IftheITconcludesthattheinfringementwasaCategoryBinfringement(ie,aninfringementarisingfrompoorplanning,poornavigation,poorflyingoranyotherpilotingdeficiency)thenitshouldrecommendcertainremedialgroundorflighttrainingtobecompletedatanATOorRTF.Inthiscase,thecaseandtherecommendation(butwithoutanyoftherawinformationprovidedbythepilot)wouldbepassedtotheCAA’sAICG.SubjecttoAICG’sendorsementofthecontractor’srecommendation,theinfringerwouldbeinformedbytheCAAoftheremedialtrainingrequirementandwouldbenotifiedthattheywouldberequiredtoshowevidence19ofhavingcompletedthattraininginduecourse.Theywouldbenotifiedthatiftheydonotprovidesuchevidencethentheirlicensewillbesuspendedattheexpiryofthose30daysandwillremainsuspendeduntilhehascompletedtheremedialtraining.
13.3.6.4 IftheITconcludesthattheinfringementwasaCategoryCinfringement(ie,aninfringementarisingfromtemporaryinattention)thenitmayrecommendremedialgroundorflighttrainingtobecompletedatanATOorRTFwithin30days,oritmayconsiderthatthediscussionhasbeensufficienttoraisetheinfringer’sawarenessoftheissues.ItmayalternativelyrecommendattendanceatthenewInfringementAwarenessCoursewithinanappropriatetime.InthiscasetherecommendationwillbepassedtotheCAA’sAICGand,subjecttoAICG’sapproval,theinfringerwillbeinformedbytheCAAoftheremedialtrainingrequirementandwillbenotifiedthathewillberequiredtoshowevidence20ofhavingcompletedthattraining.Hewillbenotifiedthatifhedoesnotprovidesuchevidencethenhislicensewillbesuspendedafterafurther30daysandwillremainsuspendeduntilhehascompletedtheremedialtraining.Intheeventthatnoremedialtrainingisrequiredthenthematterwillbeclosed.
InallcasestheITwouldreviewotherexternalfactorsrelatedtoairspace,proceduresandservicesandwhererelevantwouldpassthatinformationtotheCAA
13.3.7 Step6a.TheCAA’sAICGwouldmeetasappropriatetoconsidertheoutputfromthecontractor’sdata-gatheringandtoactasnecessarytoreviewandendorseanyrecommendationsmadetoit.AkeydifferencefromthecurrentprocessisthatunderthisrecommendedprocesstheAICGwouldonlyconsidereachcaseonce
18Forexample,thataninfringementoccurredwhilstmanoeuvringtoavoidacollisionorasaresultagenuinein-flightemergencyofsomekind.19ProbablyastatementfromtheATOorRTF’sCFIcertifyingthatthetraininghasbeencompletedoracoursecompletioncertificate.20ProbablyastatementfromtheATOorRTF’sCFIcertifyingthatthetraininghasbeencompletedoracoursecompletioncertificate.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |20OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
enoughinformationhasbeenobtainedtofullyunderstandtheincident.Itwouldthereforebeverymuchbetterplacedtoconsidertheappropriateactiononacase-by-casebasis.Foreachmeetingitwouldbefurnishedwithafilecontainingthefollowinginformationrelatingtoeachinfringement:
13.3.7.1 TheoriginalMOR.
13.3.7.2 Thecontractor’srecommendationoftheCategoryofinfringement(A,BorC)withreasons.
13.3.7.3 Thecontractor’srecommendationoftherecommendedremedialactiontobetaken.
13.3.8 Step6b.AfterconsideringthemattertheAICGmayendorsethecontractor’srecommendationsornot.Ifso,thenitcouldorderanyfurtherre-trainingoractionbythepilot.Ifitdoesnotendorsetherecommendationsthenitmayconductitsowninvestigationasitseesfit,withwhichthepilotmaycooperateastheyseefit.Thispartoftheprocesswouldhavenothingtodowiththecontractor.
13.3.8.1 IftheinfringementhasbeenassessedasaCategoryAinfringementthentheAICGmaydecidetopassthematterstraighttoEnforcementtoinvestigate.
13.3.8.2 IftheinfringementhasbeenassessedasaCategoryBorCinfringementthentheAICGmaydecidetomandatetherecommendedre-trainingorattendanceattheAirspaceAwarenessCourse.
13.3.8.3 Intheeventthatanyre-trainingisrequiredthenconfirmationthatsuchtraininghasbeencompletedwouldberequiredbeforethematterisclosed.
13.3.9 Step7.IfsoorderedbytheCAA,theinfringingpilotwouldcompletethenecessaryre-trainingatanATOorRTFoftheirchoicewithin30days.UponcompletionofthetrainingtheCFIatthatATOorRTFwouldcertifythatthetraininghasbeensatisfactorilycompletedandwouldnotifytheCAA.
13.3.10 Step8.Onceanyremedialtraininghasbeencompletedthematterwouldbeclosedandthepilotinformedaccordingly.Allinformationwouldberetainedtobeusedforgeneralanalysisor,whensuitablyanonymised,usedininfringement-relatededucationalmaterialtoillustrateexamplesofinfringements.
13.4 Data.Ahugelyimportantoutputofthisprocesswouldbereliabledataonthereal-worldcausalfactorsbehindinfringements.TheObjective5work-streamwouldidentifyhowbesttocollate,analyseandutilisethatinformationtoassistinObjective3(theimprovingtheculturewithinGA)andObjective4(improvingtraining).ThisanalysisandtheresultingrecommendationswouldthenbepassedseparatelytotheCAA,perhapsona6-monthlybasis.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |21OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
13.5 Enforcement.Thisisdealtwithinparagraph19.2.Ingeneraltermsenforcementmustbealastresortandwouldbeavoidediftheinfringingpilotco-operateswiththecollaborativeprocessoutlinedherein.However,ifthepilotisclassedasaCategoryAinfringerorintheeventthatapilotrefusestoco-operatewiththecollaborativeprocessthenthematterwouldbepassedtoEnforcement.Atthatpointthecollaborativeapproachwouldceaseandthematterbecome,iftheCAAsodecides,thesubjectofaformalinvestigation.However,noneoftheinformationobtainedinacollaborativecontextshouldbeusedwithintheprocessofformalinvestigationunlesstheenforcementprocessdiscoversthatinformationasaresultofitsownenquiries.Anon-exhaustivelistoftheissuesthatarelikelytobeactivelyconsideredbythisworkinggrouparesetoutatAnnexG.
13.6 AdditionalResource.PotentiallythecontractorwillfundSteps2,3,4,and5workingwiththeCAA,ANSPsandotheragenciesasrequired.
14 Objective2–AchievingAirspaceRationalisation
14.1 Objective2entailsthemodificationandrationalisationofairspacesuchthattheeasewithwhichinfringementsoccurcanbereduced,whilstmaintainingthecapacityoftheGAcommunitytoflyrecreationally.
14.2 ThisstrategyenvisagesthattheObjective2workwillsetwithinaworkinggroupdedicatedtothisobjectivewithastrongrepresentationfromNATSandotherANSPs.Anon-exhaustivelistoftheissuesthatarelikelytobeactivelyconsideredbythisworkinggrouparesetoutatAnnexB.
14.3 ItwillberecognisedbyallthatwithintheoverallCounter-InfringementStrategyanychangestoairspacedesignarecomplexandwilltaketimetoputintoeffect.However,inthecontextofengagingthewholebreadthofstake-holdersandinparticularinthecontextofeliminatingthescopefordisengagementtheGAcommunity,itwouldbeessentialthatthiswork-streamformspartoftheoverallstrategy.Somesacredcowsmayhavetobeslainasaresult.
15 Objective3–DevelopingANSPResponsibilities
15.1 Objective3entailsmakingchangestoANSPs’practicesandperformancesuchthatthelikelihoodandimpactofinfringementscanbereduced.
15.2 ThestrategyenvisagesthattheObjective3workwillsetwithinaworkinggroupdedicatedtothisobjectivewithastrongrepresentationfromNATSandotherANSPs.
15.3 Anon-exhaustivelistoftheissuesthatarelikelytobeactivelyconsideredbythisworkinggrouparesetoutatAnnexC.
16 Objective4–ImprovingGAAirmanshipandCompetence
16.1 Objective4aims,withinthecontextofreducinginfringements,toaddressthecultureandcompetenceswithintheGAcommunitysincethereisnodenyingthateach
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |22OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
inadvertentinfringementisbydefinitionatleastinparttheresultofshortcomingsinthepilot’sperformance.
16.2 ThestrategyenvisagesthattheObjective4workwillbesetwithinaworkinggroupdedicatedtothisobjectivewithastrongrepresentationfromthevariousGAbodiessuchastheLAA,AOPAandPPL/IR.
16.3 Anon-exhaustivelistoftheissuesthatarelikelytobeactivelyconsideredbythisworkinggrouparesetoutatAnnexD.
16.4 Thechallengeisforthiswork-streamtofindwaysinwhichtoimprovetheoverallstandardsofflyingacrossthespectrumwithoutstimulatingtoomuchresistancefromthecommunity.Critically,therefore,thiswork-streammustaddresstheissueofengagingwiththeGAcommunityinordertomakeeachGApilotpartofthesolutionandnotjustpartoftheproblem.
16.5 Ultimately,however,itmayalsohavetoberecognisedthattheremayneedtobeamoreroutinelycriticalapproachtopilotcompetence(whethertriggeredbyanactofinfringementornot)sothatanypilotswhoareidentifiedattheincompetentendofthespectrumareeitherre-skilledor,inextremis,preventedfromflyingandtherebyendangeringthemselvesorothers.
17 Objective5–ImprovingFlightTrainingandTesting
17.1 Objective5aimstoupdatethetrainingandtestingregimeinthecontextofreducinginfringements.PlainlyiftheObjective4work-streamhasidentifiedthat,forexample,theteachingofnavigationshouldbechangedtomoveawayfromtraditionalnavigationandtowardstheuseofmoving-mapdisplaysthenthosenewtrainingneedsmustfeedintothetrainingsyllabus.
17.2 ThestrategyenvisagesthattheObjective4workwillbesetwithinaworkinggroupdedicatedtothisobjectivewithastrongrepresentationfromthevariousGAbodiessuchastheLAA,AOPAandPPL/IRandfromCAAflighttrainingandtesting.
17.3 Anon-exhaustivelistoftheissuesthatarelikelytobeactivelyconsideredbythisworkinggrouparesetoutatAnnexE.
18 Objective6–ImprovingGovernance
18.1 Aspreviouslyalludedtoinparagraph12.1thereisarequirementforaclear,robustandaccountablegovernancestructuretomanagetheimplementationofthecounter-infringementstrategy.
18.2 Suchagovernancestructureshouldbestructuredassetoutinthefollowingdiagramandmusthavesufficientauthoritytodeliversuccess.Itmustbeledbyanindividualofsufficientcalibretobeabletodoso.
18.3 Small,efficientworkinggroupsshouldleadoneachtheeightwork-streamsthatthestrategyhasidentified.Eachofthoseworkinggroupsmustbeledbyindividualsof
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |23OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
appropriateexperienceandleadershipskillstobeabletodeliversolutionsuptothePolicyandSteeringGroup.ManyoftheseworkinggroupsmaybemannedandpotentiallyresourcedfromoutsideoftheCAA(forexample,withinNATSorwithinotherstakeholders)butallmustbeanswerabletothePolicyandSteeringGroup.
Figure1-GovernanceStructure
18.4 Anon-exhaustivelistoftheissuesthatarelikelytobeactivelyconsideredbythisworkinggrouparesetoutatAnnexF.
19 Objective7–DevelopingManagementProcessesincludingEnforcement
19.1 Objective7aimstoachieveaflawless,smoothandtransparentmanagementprocesstosupportalloftheotherobjectivesandtounderpinthestrategy.SuchaprocesswouldincludeEnforcementwhereitisnecessarysuchthatitisdemonstrablyjustandproportional.
19.2 AsurveyconductedafterthepublicationoftheAOPAinfringementarticlein2016showedthatover97%ofGApilotssurveyed(adatasetofover250pilots)welcomedtheapproachsetoutinthispaper.Theremaybeaverysmallnumberofpilotswhoareeither1)uncooperative;2)dishonestordisingenuousintheirreplies;3)recklessordeliberatelycareless;or4)repeatoffenderswhoappearimpervioustoremedialtraining.Dealingwithsuchcasesliesoutsideofthecollaborativeprocesssetoutinthispapersince,bydefinition,itreliesonhonest,openandwillingparticipation.Therefore,anysuchcasesofnon-
CAAMainBoard Counter-InfringementPolicyandSteeringGroup
AirspaceDesignWG
ANSPResponseWG
GAcultureWG
TrainingDesignWG
ProcessDesignWG
GovernanceWG
EnforcementWG
CommunicationsWG
AirspaceInfringementCoordinationGroup
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |24OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
cooperationordishonestyshouldbepasseddirectlytoEnforcementsothatenforcementactioncanbetakenagainstthem;rangingpotentiallyfromprosecutionthroughtolicenserevocation.Itshouldbeemphasised,however,thatifthisstrategyisproperlyenactedandiseffectivethensuchactionshouldonlyberequiredinatinyproportionofcases.
19.3 EnforcementshouldfollowthecurrentCAAprocessesleadingtoeitherprosecutionorlicensesuspensionorrevocationasappropriate.
19.4 Anon-exhaustivelistoftheissuesthatarelikelytobeactivelyconsideredbythisworkinggrouparesetoutatAnnexG.
20 Objective8–ImprovingCommunications
20.1 Ashasbeenpreviouslyalludedto,theCAA’srecordoneffectivecommunicationoninfringementsispoor.Objective8aimstoachieveaprocessofcommunicationsaroundthecounter-infringementstrategythatmakesthemaximumuseofmultimediatoensurethataclear,coherentandeasilyunderstoodmessageisputout,inparticular,totheGAcommunity.
20.2 Itwillbeimportantinsuchacommunicationplanto‘humanise’theprocesssothatthepreviouslyalluded-tosenseofdisengagementbetweentheGAcommunityandtheregulatorisovercome.Thiswouldresultintheflavourofcommunicationbeing,whereverpossible,verymuchmorepersonalisedandless“corporate”intone.
20.3 Suchacommunicationsplanmustalsorecognisethatcommunicationsinthiscontextis2-wayandmustprovideforappropriatefeed-backandresponse.
20.4 Anon-exhaustivelistoftheissuesthatarelikelytobeactivelyconsideredbythisworkinggrouparesetoutatAnnexH.
21 ActionPlan(s)
21.1 IfthestrategyisendorsedbytheCAAthenworkshouldstartwithinthework-streamsoutlinedaboveinordertoprovidefullsupportingActionPlans.Someofthesewillberelativelysimpleandrelativelyeasilyachieved;otherswillbemuchmorecomplexanddifficulttoachieve.
21.2 Itisenvisagedthatthestrategywouldbetranslatedintoactionthroughthefollowingoutlinesteppedprocess.
21.3 Step1istheendorsementofthestrategyandinparticularitsproposedgovernancestructureandobjectives.
21.4 Step2isthesettingupoftheCounter-InfringementPolicyandSteeringGroupto‘own’thestrategy,undertheleadershipofanappropriateperson.
21.5 Step3istheengagementoftheotherstake-holdersinthestrategyandthesettingupofthevariousworking-groups,someofwhichwillbe,ineffect,out-sourcedtostakeholdersundertheproposedgovernancestructures.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |25OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
21.6 Step4isthepreparationofthevariousactionplans.
21.7 Step5isthepubliclaunchofthestrategy.
21.8 Step6istheperiodicreviewandmodificationofitssupportingactionplans.
22 Time-Lines
22.1 SubjecttoappropriateengagementfromtheCAAandfromtheotherstakeholdersthenitisfeasibletohavesetupthestructuresandcommencedworkonallobjectivesbytheendoftheyear.Itwillthenbepossibletopublicallylaunchthestrategyineitherlate2017orearly2018.
23 Conclusion
23.1 Theauthorisconfidentthat,oncetranslatedintosuitableactionplans,thestrategysetoutabovewilldeliverasignificantreductionininfringementsovertime.Todosowillrequiretheengagementofeveryonewithinacollaborativeandopen-mindedcultureasissetoutabove.
23.2 Itwillbecriticallyimportanttoensurethatthefollowingindispensablethemesunderpinfromthestarteveryfacetofthestrategyandaction:
ClarityCoordinationCollaborationCommunicationCultureLeadership
Unlessthesethemesareevidentineverypartofthestrategyandarerigorouslymaintainedthroughoutitsexecutionthenitisunlikelytosucceedandtheproblemofinfringementswouldpersist.
FASVIG
10October2017
Annexes:
AnnexA–Objective1AreasforConsideration.AnnexB–Objective2AreasforConsideration.AnnexC–Objective3AreasforConsideration.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |26OF25
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
AnnexD–Objective4AreasforConsideration.AnnexE–Objective5AreasforConsideration.AnnexF–Objective6AreasforConsideration.AnnexG–Objective7AreasforConsideration.AnnexH–Objective8AreasforConsideration.AnnexI–DiagramofCollaborativeInvestigationProcess.AnnexJ–ExampleformofdraftletterfromANSPstoInfringers.AnnexK–CaseStudy.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |A-1
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
AnnexA
1 Objective1Work-Stream–InfringementInvestigationProcess,ResponseandInformationGathering
1.1. Thefollowingisanon-exhaustivelistofmeasuresthatmaybeconsideredundertheObjective1work-stream:
1.1.1. Process.Detailedthinking-throughoftheprocesssothatitisseamlessbeforebeingputintoaction.Thiswillrequiretheflow-chartingofallpermutationsoftheprocesssothatanyfaultsorflawsareidentifiedandrectified.
1.1.2. Documentation.Preparingallformsandreferencedocumentationforusewithintheprocessandacrossthework-streams.
1.1.3. Data.Identifyingthedatarequirementsnecessarywithintheprocess.Thiswillincludethedevelopmentofreportingformatsandprocessesforthecollection,processingandmanagementofdataateachstage.
1.1.4. Media.Preparingallon-linemediaforpresentingandgatheringinformation.
1.1.5. CAP1404.ProposingchangestobemadetoCAP1404toreflectthenewstrategy.
1.1.6. InfringementAdvisors.IdentificationandrecruitmentofIAs.
1.1.7. DataExchangeandProtection.Establishmentofinternallinesofcommunicationandprotocolsfordataexchangewith,forexample,FCLinordertoobtainandupdatepilots’records.
1.1.8. Compliance.Addressinganyandallofthelegalconstraintsandtherelevantcomplianceissues.Forexampledataprotection,privyissuesandconfidentialityissues.
1.1.9. RegulatoryFramework.Proposingthenecessarychangestotheregulatoryframeworknecessarytoenacttheseandanyothermeasures.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |B-1
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
AnnexB
1. Objective2Work-Stream–AirspaceRationalisation
1.1. Thefollowingisanon-exhaustivelistofmeasuresthatmaybeconsideredundertheObjective2work-stream:
1.1.1. GreateruseofTransponderMandatoryZones(TMZs).WhilsttherewillbesomeGAaircraft(includingmanymicrolightsandgliders)whodonotcarrytransponders21itseemsreasonabletomandatetheuseoftranspondersinproximitytocontrolledairspace.TheObjective2work-streamshouldconsiderwhetherornotstandardTMZbuffer-zonesshouldbeappliedtoanyorallcontrolledairspacesuchthataircraftflyingwithinadefinedlateralorverticalseparationarerequiredtosquawk.
1.1.2. GreateruseofRadioMandatoryZones(RMZs).Thesamelogicappliestouseofradios.TheObjective2works-streamshouldconsiderwhetherornotstandardRMZbuffer-zonesshouldbeappliedtoanyorallcontrolledairspacesuchthataircraftflyingwithinadefinedlateralorverticalseparationarerequiredtocommunicate.
1.1.3. MandatoryConspicuityZones(MCZs).PotentiallybothRMZsandTMZscouldbewrappedtogetherintonewMandatoryConspicuityZoneswhichmightbeappliedasaveiltosomeorallcontrolledairspaceandwithinwhichpilotsmusteithertalk,squawkorboth.TheObjective2work-streamshouldconsidertheusefulnessandviabilityofsuchaproposalandthedimensionsofanysuchproximityzones,weighinguptheneedsofnon-transpondingandnon-communicatingtrafficalso.
1.1.4. ‘Idiot-Check’ofeachBlockofControlledAirspace.TheObjective2work-streamshouldrunarulerovereachairspaceblocksuchthatanyincongruousledgesofairspacecanbeidentifiedandeliminated,eitherbyreducingthevolumeofcontrolledairspaceorpotentiallybyincreasingit.Thedesiredend-stateshouldbetohaveblocksofcontrolledairspacethatideallyaresmaller,butinanyeventarelesseasytoinadvertentlyinfringebybeinglesspronetomis-interpretationevenifthatmeansthattheybecomeslarger.
1.1.5. ImproveGAAccesstoControlledAirspace.TheObjective2work-streamshouldconsidermeasurestoensurethatGA’saccesstocontrolledairspaceisimproved.Thismayentailtheslayingofsomesacredcows.Forexample:
1.1.5.1. Thereshouldbeare-examinationofthelogicthatdemandsthatallairways,TMZsandTMAsintheUKareClassAairspace.Theyaren’telsewhereinEuropeandthereappearsnocompellingreasonwhytheyshouldbeintheUK.Ifsomeofitwasre-classedasClassDthenthefreeingupofaccessiblecontrolledairspaceavailableforappropriatelyclearedGA
21IndeedtheauthoroperatestwoTigerMothaircraft,neitherofwhichhavetransponders,whichseldomventurenearcontrolledairspace.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |B-2
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
traffictocrosswouldgoalongwaytodefusinganyoutcryovertheexpansionofotherblocksofairspaceintheinterestsofairspacerationalisationunderthiswork-stream.Inaddition,theUKcontainmentpolicyresultsin10nmCASstructureswhen,especiallyintheRNAVera,aircraftusingtheCASarealwayswithinafewmetresofthecentreline.ReducingtherequiredvolumeofCASwouldtransformtheGAenvironment,improvingsafetyandreducinginfringementssignificantly.Finally,someUKterminalairspaceisverylargeandalmostentirelyunused.ItblocksGAtrafficandgeneratesairspaceinfringementfornopurpose.Thisshouldbedealtwithasamatterofpriority.
1.1.5.2. Lesscontentiously,itshouldalsoconsiderwaysinwhichanAirspaceAccessActionPlancanbeimplemented,monitoringthroughfeedbacktheeasewithwhichGAcanaccesscontrolledairspaceandtherebyidentifyingblack-spotssothatthecausalfactorsatworktherecanbeaddressed.Again,measuressuchasthiswillgoalongwaytobringingtheGAcommunityonsideandengagingthemcollaborativelyintheoverallAim.
1.1.6. RegulatoryFramework.Proposingthenecessarychangestotheregulatoryframeworknecessarytoenacttheseandanyothermeasures.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |C-1
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
AnnexC
1. Objective3Work-Stream–DevelopingANSPResponses
1.1. Thefollowingisanon-exhaustivelistofmeasuresthatmaybeconsideredundertheObjective3work-stream:
1.1.1. ATCServiceProvidedtoTrafficOutsideofControlledAirspace.TheUKcurrentlyemploysauniqueand,manywouldclaim,unnecessarilycomplicatedregimeofATCservicestotrafficoutsidecontrolledairspace.TheObjective3work-streamshouldconsiderwhetherornottheBasicService,TrafficServiceregimebestservestheneedintermsofmanagingtheriskofinfringements.Suchworkmaywellhaveatangentialeffectofreducinginfringementsbyclarifyingtheservicethepilotscanexpectoutsideofcontrolledairspace,iebeforetheyinfringe.
1.1.2. AssistancetoTrafficOutsideofControlledAirspace.Separatelyfromthisfirstpieceofwork,however,thework-streammustconsiderwhatcounter-infringementservicepilotscanexpectandcontrollerscanprovide.Ifthedirectionoftravelistoencourage(andpotentiallytomandate)thattrafficoperatingwithincloseproximitytocontrolledairspaceiseithertalkingorsquawkingthentheflip-sideisthatsuchtrafficmusthaveareasonableexpectationofassistanceintheeventthattheyriskinadvertentinfringement.TheObjective3work-streamshouldthereforeconsiderwhatlevelofprotectioncanbeaffordedtotrafficoperatingwithinsuchaproximityzone,andwhattheresultingresponsibilitiesshouldbeforboththetrafficandtheANSPcontroller.Suchmeasuresmaypotentiallyhaveaverysignificantimpactonthenumberofinfringements,butatthecostofagreaterwork-loadforcontrollersandgreaterresponsibilityonANSPsintheeventofaninfringement.
1.1.3. DevelopingRisk-BasedControllerResponsetoInfringements.Giventhatacontrollercanalready‘deem’asnon-threateningcertainplotsseeninproximitytocontrolledairspaceitisillogicalthatthesamerisk-basedassessmentcannotbemadeofplotsinsidecontrolledairspace(infringers).Thus,ifanaircraftpreviouslymaintainingasteadytrackandlevelahundredfeetorsobelowcontrolledairspaceinadvertentlyclimbsandinfringesverticallyforafewmomentsitoughttobepossibleforthecontrollertodeemthatsuchaninfringementisnon-threateningandtomodifytheresponsetoitaccordingly.Thesameappliestoaaircraftonasteadytrackthatclipstheedgeorcornerofcontrolledairspace.TheObjective3work-streamshouldexaminewaysinwhichsuchdiscretioncanbedelegatedtocontrollers.Thiswillnotofitselfreduceinfringements,butitwillreducetheimpactofinfringementsandtakesomeoftheheatoutoftheissue.
1.1.4. HarvestingInformation.Inanyevent,theprovisionofaccurateandtimelyinformationoninfringements,potentialinfringementsor‘saved’infringementsisessentialifsucheventsaretobeproperlyunderstoodandfollowedup.TheObjective3work-streamshouldexaminewaysinwhichsuchinformationcanbeharvestedwithoutaddingtotheworkloadofcontrollers.Itshouldthenexaminehowsuchinformationshouldbeprocessedsothatitcanbeusedtosupporttheotherobjectivework-streams.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |C-2
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
1.1.5. RegulatoryFramework.Proposingthenecessarychangestotheregulatoryframeworknecessarytoenacttheseandanyothermeasures.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |D-1
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
AnnexD
1. Objective4Work-Stream–ImprovingGAculture
1.1. Thefollowingisanon-exhaustivelistofmeasuresthatmaybeconsideredundertheObjective4work-stream:
1.1.1. GeneralStandardsofPilotingandAirmanship.Bytheirnature,generalstandardsarenon-specific.ThereforeitisquitepossibletofindaGApilotwithgoodpilotingskillsbutwhohasdroppedoutofthenetintermsofkeepinguptodatewithrulesandregulations.Theoppositeisalsotrue.Thework-streammustthereforeguardagainststereotyping.
1.1.2. TheObjective4work-streamshouldconsiderthefollowingareas:
1.1.2.1. DisseminationofInformationtotheGAcommunity.Therearealreadyaplethoraofavenuesbywhichinformation,tips,hints,newsandbest-practiceispushedouttotheGAcommunityviamagazines,internetforumsandflyingclubs.Theproblemisthatthereisprobablyaclosecorrelationbetweenthosepilotswhooperateatthepoor-performanceendofthecompetencespectrumandthosepilotswhotendnottoaccessthissortofinformation.Thework-streamshouldconsiderhowinformationisdisseminatedtothewiderGAcommunity.InparticularitshouldconsiderhowsuchinformationcanbemadeaccessibleandcomprehensibletoGApilotswhosimplydonothavethetimeorinclinationtowadethroughpoorlyconstructedweb-sitesorreadthroughincomprehensiblywordedregulationsorinformationnotices.Thereisapressingneedforsimpler,moreeasilyunderstoodreferencematerial22andthiswork-streamshouldconsiderhowthiscanbeachievedinthecontextofinfringementmanagement.
1.1.2.2. RespondingtoFeedbackfromtheGAcommunity.Thereisaveryunhealthyus-and-themattitudewithintheGAcommunityandwithinsomeotherstakeholders.Thisisnotimprovedbytheperception,despiterecentdevelopmentswithintheCAA23,thatGA’svoiceisnotlistenedto24.Thework-streamshouldconsiderhow,inthecontextofreducinginfringements,feedbackisencouraged,acknowledgedandactedupon.
1.1.2.3. PromotionofBestPractice.InthecontextofreducinginfringementsthereisscopetopromotebestpracticeusingthevariousmediaoutletsmonitoredbyatleastsomeoftheGAcommunity.Thework-streamshouldconsiderhowtoimprovethepromotionofbestpracticeandtoensurethatitreachesaswideanaudienceaspossible.
22TherecentpublicationofTheSkywayCodeisawelcomestepintherightdirection.23TherecentformationoftheGAUnitisawelcomedevelopment.24PartoftheproblemhereisthattheGAcommunitydoesnotspeakwithonevoice.ThereareaplethoraoforganisationsthatspeakforsectionsoftheGAcommunity,oftenwithdifferentmessages.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |D-2
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
1.1.2.4. CompetencyChecks.Thework-streamshouldalsoaddressthevexedissueofcompetencechecksincludingthepotentialintroductionofcompetencysafetynetstoprotectpilotswhohavedriftedintoincompetencedespiteholdingvalidlicensesandratings.Measuresthattheworkstreamshouldconsiderinthiscontextinclude:
1.1.2.4.1. Potentiallychangingthe‘onehourwithanFI’everytwoyearsintosomesortofproficiencychecksuchasanLPCeverytwoyears.
1.1.2.4.2. Inanyevent,permittinganFItorequirethataqualifiedpilotwhoperformsunsatisfactorilyduringabiennialflight(oranyotherdualflight)tocompleteaformalLPCbeforehecontinuesflying,evenifhepossessesavalidrating.
1.1.2.4.3. PermitanFEtorecommendthesuspensionofapilot’slicenseorratingpendingrefreshertrainingifthatpilothasfailedanLPC,evenifhisratinghadnotexpiredatthatpoint.
1.1.2.5. RemedialTraining.Thiswork-streamshouldalsoconsiderhow,subjecttothework-streamcompletedunderObjective5,toprovideforthemandatingofremedialtraininginthecontextofreducinginfringements.
1.1.3. Navigation.Inthecontextofreducinginfringementsthiswork-streamshouldconsiderwhetheritremainsappropriatetomaintainthattheartoftraditionalnavigation25isstillthecorenavigationalskillrequiredofaGApilot.IfitconcludesthatinthehandsofaGApilotsuchtraditionalnavigationissimplynotsufficientlyaccuratetoprotectagainsttheriskofinfringementthenthework-streamshouldconsiderwhatothertechniquesshouldbepromoted,howtheyshouldbecommunicated,whethercompetenceinthemshouldbemandatedandwhattheimplicationsareforthetraining-needsthatdrivethePPL/CPLtrainingsyllabus(paragraph16.5inthemaintext).
1.1.4. EmploymentofTechnology.Leadingonfromthetopicofnavigation(paragraph1.1.3ofthisAnnex)thework-streamshouldconsiderhowbesttopromotetheproperuseofnavigationtechnologyintheformofmoving-mapdisplaysandairspaceavoidancesystems.Itshouldalsoconsiderhowtopromotegreateruseoftranspondersandradios,potentiallymandatingtheuseofeitherorbothwithincloseproximitytocontrolledairspace(seeparagraph1.1.3ofthisAnnex).
1.1.5. RegulatoryFramework.Proposingthenecessarychangestotheregulatoryframeworknecessarytoenacttheseandanyothermeasures.
25Meaningnavigationbasedondead-reckoningusingcompassandstop-watch.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |D-2
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |E-1
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
AnnexE
1. Objective5Work-Stream–ImprovingTraining
1.1. Thefollowingisanon-exhaustivelistofmeasuresthatmaybeconsideredundertheObjective5work-stream:
1.2. TheObjective5work-streamshouldaddressthefollowingopportunitiesfordevelopingtraininginthelightofanychangesinthetrainingneedsidentifiedforPPL/CPLholdersundertheObjective4work-stream.
1.3. Training.Itshouldidentify:
1.3.1. ChangestobemadetoabinitiotraininginthelightofanyamendmentofthePPL/CPLtrainingneedswhichisidentifiedundertheObjective4work-stream.
1.3.2. IdentifywhetheritisappropriatetomandatethatcertaintopicssuchasinfringementavoidanceareincludedinthebiennialflightwithanFI.
1.3.3. Considerdevelopingamoving-mapdisplaynavigationmodule,potentiallytobecompletedaspartofstand-aloneindividualdevelopmenttrainingoraspartofthebiennialflightwithanFI.
1.3.4. DevelopguidancetoATOsonhowtoapproachtheshiftinemphasisfromtraditionalnavigationtomoving-mapdisplaynavigation.
1.3.5. DeveloprevisedTheoreticalKnowledgemodulesandworkwithindustrytorevisecommerciallyprovidedreferencematerial.
1.3.6. Testing.TheObjective5work-streamshouldalsoaddresstheneedtomodifythegroundandflighttestingregimeinthelightofanychangesintrainingneedsforPPL/CPLstudents.Thisshouldinclude:
1.3.6.1. Developareviseden-routesectionforthePPL/CPLflightteststhatrecognisesandtestsnavigationusingmoving-mapdisplays.
1.3.6.2. Developareviseden-routesectionfortheLPCthatrecognisesandtestsnavigationusingmoving-mapdisplays.
1.3.6.3. DeveloprevisedNavigationTKExamsthatrecogniseandtestthetheoreticalknowledgeassociatedwithashifttowardstheuseofmoving-mapdisplays.
1.4. InfringementAdvisor(IA)Training.LinkedtoObjective1,theObjective5work-streamshouldalsoconsidertheinternaltrainingneedsoftheInfringementAdvisor26(IA)
26ThetermAdvisorispreferredoverInvestigatorbecauseitwillbeveryimportanttobeasnon-confrontationalandascollaborativeaspossible.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |E-2
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
requiredaspartofthePost-InfringementProcess(seeparagraph12.5ofthemaintext),andthendesignsuchatrainingprogramme.Thistrainingmustensurethefollowing:
1.4.1. AnindividualIA’sapproachmustbeabsolutelynon-adversarialanddesignedtoachieveaconstructivedialoguewiththeallegedinfringerwiththepurposeofascertainingexactlywhathappenedandwhatlessonscanbelearnedfromthatparticularinfringement.Itisnotaninquisition.
1.4.2. AnyIAbasedinvestigationmustbeabsolutelystandardisedandconsistentsothatthereisnopossibilityofoneIAtakingaharderorsofterlinethanthenext.
1.5. IAsshouldbetrainedtoobtainfromthepilotallthenecessaryinformationrequiredtoassesstheinfringementandthenrecorditinstandardisedformat.
1.6. Proposingthenecessarychangestotheregulatoryframeworknecessarytoenacttheseandanyothermeasure
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |F-1
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
AnnexF
1. Objective6Work-Stream–ImprovingGovernance
1.1. Thefollowingisanon-exhaustivelistofmeasuresthatmaybeconsideredundertheObjective6work-stream:
1.1.1. WritingtheTermsofReferenceforthePolicyandSteeringGroup,theAirspaceInfringementCoordinationGroupandtheWorkingGroups.
1.1.2. Identifyingthenecessarystructure,manningandleadershipofeachoftheWGs.CriticaltosuccesswillbetheappropriateresourcingofeachoftheworkinggroupsandofthePolicyandSteeringGroup.
1.1.3. Identifyingtheresourceimplicationsimplicitinthestrategyandactionplan(s).Someoftheworkinggroupswillrequirelittleinthewayofadditionalresourcesinordertoaddresstheirwork.OtherswillrequiretheallocationofadditionalresourceswhichmayormaynotcomefromwithintheCAA.
1.1.4. Establishingtheprocessbywhichclosecontroloftheworkinggroups’workcanbeachievedsothatthescopeformisalignmentbetweenthemisminimised.ThiswillbeachievedbyregularSteeringGroupmeetingsuponwhichwillberepresentedeachworkinggroup.
1.1.5. Settinginplacethenecessaryreportingandresponsibilitychains.
1.1.6. Proposingthenecessarychangestotheregulatoryframeworknecessarytoenacttheseandanyothermeasures.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |G-1
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
AnnexG
1. Objective7Work-Stream–DevelopingManagementProcessesincludingEnforcement
1.1. Thefollowingisanon-exhaustivelistofmeasuresthatmaybeconsideredundertheObjective7work-stream:
1.1.1 Developingthemanagementprocesstosupportallotherobjectives.Reviewingtheprocessbywhichenforcementactionistriggeredinordertoalignittothewiderstrategy.1.1.2 IdentifyingtheprocessbywhichenforcementpicksupfromtheInfringementTeam’sworkintheeventthatenforcementisrequired.1.1.3 Managingtheneedforverycarefulcommunicationofanydecisiontouseenforcementaction,inorderthatthecollaborativebasisofthestrategyisnotundermined.1.1.4 Proposingthenecessarychangestotheregulatoryframeworknecessarytoenacttheseandanyothermeasures.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |H-1
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
AnnexH
1. Objective8Work-Stream–ImprovingCommunications
1.1. Thefollowingisanon-exhaustivelistofmeasuresthatmaybeconsideredundertheObjective8work-stream:
1.2. Identifyingthevariouscomponentsofthetargetaudienceandidentifyingwhichoftheestablishedcommunicationmediaavailablemostreadilyaddresseseachsectionofthataudience.
1.3. Designingtoolsforcommunicatingwiththisaudienceinavarietyofclearandreadilyunderstoodformats27.Forexample:
1.3.1. Directmailcircularsornotices.
1.3.2. Web-basedcommunicationintheformofeitherpiggy-backingonexistingweb-sitesorcreatingastand-aloneCounter-Infringementwebsite.
1.3.3. Blogs.
1.3.4. Articlesinonlineandpapermagazines.
1.3.5. Tweets.
1.3.6. Road-showpresentations.
1.3.7. Webinars.
1.3.8. Interviews.
1.4. Criticaltothesuccessofthisapproachisthe‘humanisation’oftheprocessofcommunication.Thetargetaudiencemustfeelthateachofthemisbeingcommunicatedwithasapersonandbyaperson,andnotasanumberbyafacelessbureaucracy.
1.5. Preparingthecommunicationsplantosupporttheoveralllaunchofthestrategy,includingpressreleases,interviewsandopinion-seeding.
1.6. Engagingpositivelyandpro-activelywithfeedbackinallcommunicationmedia.
1.7. Proposinganynecessarychangestotheregulatoryframeworknecessarytoenacttheseandanyothermeasures.
27Itisessentialthatallcommunicationsareexpressedinclear,colloquialEnglish.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |I-1
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
AnnexI
1. SchematicofCollaborativeInvestigationProcess
Infringement occursandismanagedoperationally
Postincident:Controller'sMORpassed
totheCAA
Infringer completesnewOnlineQuestionnaire
Contractor'sInfringementTeam(IT)
Assesses thePilot'sinput
Ifrequired,Contractor's ITarrangesaface-to-facewiththePilot
ITclassifiestheInfringementasA,BorCandmakes re-trainingrecommendationtothe
CAA's AICG
CAA's AICGconsidersthe IT'srecommendation
AICGassesses itasaCategoryA
Infringement;ortheInfringer doesnot
collaborate.Enforcementordered
AICGassesses itasaCategoryB
Infringement,mitigation ordered
AICGassesses itasaCategoryC
Infringement,mitigationorderedif
necessary
EnforcementActionprogressed
separatelybytheCAA
CAAmandatedre-trainingtobe
conductedatanATO/RTF
Attendanceat theInfringement
Awareness Coursemandated bythe
CAA
Enforcement action.NB:noneofthe
informationobtainedbythecontractorshallbemadeavailableforenforcementaction.
IncidentClosed
DoestheInfringerengagecollaboratively
andfully?
YesRemedialAction
Completed?
No
No
Yes
Contractor analysesallInfringementdatato
informtheothercounter-infringementworkandto
feed-back totheGAcommunityandother
stakeholders
Nofurtheraction
Analysed datafed backintorelatedObjectiveswithintheCounter-InfringementStrategy
Analyseddatefed backintotheGAcommunityandotherstakeholders
viamulti-media
Thisflow-chartshowsthemainsteps.Forclarity,anumberofthenecessaryfeed-backandconfirmationloopshavebeenommitted.
ANSPs Contractor CAA TrainingOrganisations Outcomes
Pilotvisits thecontractor'sInfringementWebsite
Pilot
ANSPwritestothePilot,copiedtothedata-gathering contractor
Step1
Step2
Step3
Step4
Step5
Step6
Step7 Step8
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |J-1
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
AnnexJ
1. ExampleLetterfromANSPtoanInfringerDear [infringer or owner],
An infringement into regulated airspace has recently been reported. It occurred on [date] in the area of [location] and it appears that you were either the pilot of the aeroplane involved or are the owner/operator of aeroplane. As you probably know, such infringements can cause danger and disruption to other air traffic. Eliminating them is a high priority within the CAA at present.
As a result of a new initiative by the CAA there are now two ways in which we can deal with this matter. The first (Option A) is that we can pass the matter directly to the CAA who may investigate it further themselves and may potentially suspend your licence whilst they consider what action to take.
The second (Option B) is that we invite [you or the pilot of the aeroplane] to participate in a collaborative and confidential investigation conducted by a third-party organisation called [tbc], the outcome of which is that we all gain a clearer understanding of what happened and, more importantly, what caused the infringement.
If you elect to participate in Option B then you are requested to visit [the Infringement website] within 10 days and there to complete a detailed questionnaire. Subject to the level of detail that you provide, an Infringement Advisor from the contractor may then contact you and arrange to speak with you in order to further clarify the circumstances of the infringement.
In the course of this collaborative process it may become clear that refresher training1 is required in order to help you ensure that such an infringement does not happen again. If so, then this will be discussed between you and the Infringement Advisor. At the conclusion of the process, [tbc] will make a recommendation to the CAA who may then order that such refresher training is completed within an agreed time-frame.
Before deciding how to proceed you should note two very important things:
The first is that, provided that you have cooperated fully with the contractor’s investigation and provided that the infringement was not the result of a deliberate or reckless act on your part, your participation in this collaborative investigation means that there will be no further action by the CAA beyond the mandating of any appropriate refresher training that may emerge from your discussions.
The second is that in any event none of the information you give to the contractor can be used by the CAA to either sanction or prosecute you. If the CAA is minded to take further action against you (as it does against a few pilots in very rare cases) then it will make its own investigation and it shall not be permitted access to anything that you have told the contractor. You may therefore speak entirely freely to the contractor
1Suchtraining,ifrequired,mayconsistofgroundtraining,flighttrainingorbothandwouldbeconductedatatraining
establishmentofyourchoice.
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |J-2
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
and we encourage you to do so for your own benefit and for the benefit of the entire community of airspace users.
If you decide to take Option B (the collaborative investigation) then you should now visit the website I gave you and once we are notified that you have done so then we at [ANSP] shall consider the matter closed.
If you decide to take Option A (formal CAA investigation) then you should either notify me or simply do nothing and after 10 days the case will be passed by us directly to the CAA for their further investigation.
Yours sincerely,
[ANSP]
MANAGINGTHEPROBLEMOFINFRINGEMENTS
10/10/2017 MANAGINGTHEPROBLEMOFINFRINGEMENTS P a g e |K-1
FASVIGLimited,31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW
AnnexK
1. CaseStudy
1.1. Thiscasestudyisbasedonarecentrealeventintheauthor’sexperienceactingas
CFIofGoFly,anATOatOldSarum.Theeventsarerealbuttheincidenthasbeen
anonymisedsinceitremains‘live’.
1.2. Theauthorhadrecentlybecomeawarethataprivately-hiredGoFlyaircrafthad
infringedSolent’scontrolledairspace,causingavoidingactiontobegiventoCAT.Onthe
faceofitthiswasthereforea‘serious’infringement.Theinfringingpilothadbeenaskedto
callthecontrolleruponlandingandhaddoneso.HehadbeendirectedtothecurrentNATS
questionnaireandhadcompletedit.Bythetimetheauthorbecameawareoftheincident
(onlycoincidentallyandviaathirdparty)thecasewasprobablymakingitswaytowardsan
appearanceatthefollowingTuesday’smeetingoftheAICG.
1.3. GivenhisinvolvementintheAIWGandindraftingthispapertheauthorcontacted
NATSdirectlyforsomemoredetailandthenimmediatelycontactedthepilotinorderto
trialthecollaborativeapproachwhichliesattheheartoftheproposedstrategy.Hefound
thepilot(anexperiencedex-servicepilotofmanyyearsstanding)verychagrinedbythe
eventandveryopentoadiscussionaboutcausalfactors.Leavingcompletelytoonesidethe
Effectoftheinfringement,theirdiscussionfocusedonlyonitsCauses.Thepilotveryfranklyvolunteeredhisassessmentofwhathadgonewrongandwheredeficienciesinhis
knowledgeorskillshadcontributedtotheincident.Theauthorexploredthosefurtherwith
him.Theauthorandthepilotthenagreedashortcourseofremedialtrainingbywhichsuch
deficiencieswillbeaddressed.Havingcompletedthattrainingthereislittledoubtthatthe
pilotinquestionisfarlesslikelytoinfringeinthefuture.
1.4. However…regardlessofhoweffectiveandpromptthisresponsemayhavebeen,
noneofthisactivitysitswithinthecurrentCAP1404process.WithintheCAP1404process,
andgiventhefactthattheAICGwillprobablyclassthisinfringementasserious,thepilotwill
probablystillberequiredtocompletetheonlinetutorialandtest.Ifhefailsithemayhave
tore-dosomegroundexamsandpotentiallytoflywithaCAAexaminer.Inthenearfuture
hemightalsobeorderedtoattendthenewAirspaceInfringementAwarenessCourse.He
will,ofcourseparticipateinallofthat,butnoneofitaddressesthecausesofhisinfringementanditishighlyunlikelythatanyofthesemeasureswillmaketheslightestdifferencetothepilot’spotentialtoinfringeinfuture.Thathasalreadybeenachievedmuchmorequickly,cheaplyandeffectively.
1.5. Thiscasestudynicelyillustratesfactthatwhenpilotsinfringetheydosoaccidently
(inallbutatinyproportionofincidents),theyaremortifiedandtheyareusuallyverywilling
toexplorehowithappened,whyithappenedandwheretheyfellshortoftherequired
standardsofskillsorairmanship–allinacollaborativeandindeedconfessionalcontext.
Theyarethenhappytosign-uptoactiontopreventithappeningagaintothem.Butthat
outcomeissimplynotachievedbythecurrentCAP1404process.
1.6. Theproblemofinfringementswillonlybesolvedoneinfringementatatime,by
everyone’seffortandinacollaborativeway.