managing the problem of infringements

MANAGINGTHEPROBLEMOFINFRINGEMENTS

APAPERBYFASVIG

OCTOBER10,2017FASVIGLIMITED

31WalkerAvenue,WolvertonMillEast,MiltonKeynes,MK125TW


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).




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.




S1.3.7Aroundtheoutsideoftheseobjectivesappropriateroles,responsibilitiesandresourcesmustbeclarified,alignedandapplied.Suitableactionplansmustthenbeputinplaceanddeliveredinanaccountableway.

S1.4 NextSteps.IfthispaperisendorsedatanappropriatelevelwithintheCAAandbykeystakeholdersthen,giventheapplicationoftherequiredresources,thefoundationsforthisnewstrategycouldbeinplacebytheendof2017,therebypermittingitslaunchin2018.




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.




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.




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.




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:




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.




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.




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.




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




(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




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.




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.




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.




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.




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.




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.




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.




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.




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.




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.




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.




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




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




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




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.




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.




AnnexD–Objective4AreasforConsideration.AnnexE–Objective5AreasforConsideration.AnnexF–Objective6AreasforConsideration.AnnexG–Objective7AreasforConsideration.AnnexH–Objective8AreasforConsideration.AnnexI–DiagramofCollaborativeInvestigationProcess.AnnexJ–ExampleformofdraftletterfromANSPstoInfringers.AnnexK–CaseStudy.


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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.


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AnnexB

1. Objective2Work-Stream–AirspaceRationalisation


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.


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traffictocrosswouldgoalongwaytodefusinganyoutcryovertheexpansionofotherblocksofairspaceintheinterestsofairspacerationalisationunderthiswork-stream.Inaddition,theUKcontainmentpolicyresultsin10nmCASstructureswhen,especiallyintheRNAVera,aircraftusingtheCASarealwayswithinafewmetresofthecentreline.ReducingtherequiredvolumeofCASwouldtransformtheGAenvironment,improvingsafetyandreducinginfringementssignificantly.Finally,someUKterminalairspaceisverylargeandalmostentirelyunused.ItblocksGAtrafficandgeneratesairspaceinfringementfornopurpose.Thisshouldbedealtwithasamatterofpriority.

1.1.5.2. Lesscontentiously,itshouldalsoconsiderwaysinwhichanAirspaceAccessActionPlancanbeimplemented,monitoringthroughfeedbacktheeasewithwhichGAcanaccesscontrolledairspaceandtherebyidentifyingblack-spotssothatthecausalfactorsatworktherecanbeaddressed.Again,measuressuchasthiswillgoalongwaytobringingtheGAcommunityonsideandengagingthemcollaborativelyintheoverallAim.



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AnnexC

1. Objective3Work-Stream–DevelopingANSPResponses


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.


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AnnexD

1. Objective4Work-Stream–ImprovingGAculture


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.




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).


25Meaningnavigationbasedondead-reckoningusingcompassandstop-watch.


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AnnexE

1. Objective5Work-Stream–ImprovingTraining


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.


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requiredaspartofthePost-InfringementProcess(seeparagraph12.5ofthemaintext),andthendesignsuchatrainingprogramme.Thistrainingmustensurethefollowing:

1.4.1. AnindividualIA’sapproachmustbeabsolutelynon-adversarialanddesignedtoachieveaconstructivedialoguewiththeallegedinfringerwiththepurposeofascertainingexactlywhathappenedandwhatlessonscanbelearnedfromthatparticularinfringement.Itisnotaninquisition.

1.4.2. AnyIAbasedinvestigationmustbeabsolutelystandardisedandconsistentsothatthereisnopossibilityofoneIAtakingaharderorsofterlinethanthenext.

1.5. IAsshouldbetrainedtoobtainfromthepilotallthenecessaryinformationrequiredtoassesstheinfringementandthenrecorditinstandardisedformat.

1.6. Proposingthenecessarychangestotheregulatoryframeworknecessarytoenacttheseandanyothermeasure


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AnnexF

1. Objective6Work-Stream–ImprovingGovernance


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.


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AnnexG

1. Objective7Work-Stream–DevelopingManagementProcessesincludingEnforcement


1.1.1 Developingthemanagementprocesstosupportallotherobjectives.Reviewingtheprocessbywhichenforcementactionistriggeredinordertoalignittothewiderstrategy.1.1.2 IdentifyingtheprocessbywhichenforcementpicksupfromtheInfringementTeam’sworkintheeventthatenforcementisrequired.1.1.3 Managingtheneedforverycarefulcommunicationofanydecisiontouseenforcementaction,inorderthatthecollaborativebasisofthestrategyisnotundermined.1.1.4 Proposingthenecessarychangestotheregulatoryframeworknecessarytoenacttheseandanyothermeasures.


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AnnexH

1. Objective8Work-Stream–ImprovingCommunications


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.


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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


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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.


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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]


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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.

managing the problem of infringements

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