[Peetwo]

E is for?? Part IV: Reporting & recording.

Extracts from CASA EM Download 009r03.pdf (139.46 KB); under Para 3.5.2 - 'Steps in the CEP and responsibility for reporting and recording information':

After the CEM and on an on-going basis

The Controlling Office Manager:

Once a course of action is agreed, either at the initial coordinated enforcement meeting or a subsequent meeting, arranges their administrative officer to:

 Amend the TRIM file title to show the course of action (see 3.10 for further details) and flowchart - Coordinated Enforcement Process A.

 Record the recommendation on the Coordinated Enforcement Referral Form and on-going action required:

o In relation to a new matter - on the Coordinated Enforcement – Referral Form;

or
 
o In relation to on-going matters – on the agenda/summary (for regular pre-arranged CEMs) and on the EAR (for all on-going matters).


As a matter proceeds, ensure that:

• Any interim action taken by the Controlling Office is recorded on the EAR;

• Dates of service of SCNs, counselling and other notices and decision letters are recorded on the EAR calendars;

• Dates of examinations and the result of examinations are recorded on the EAR calendars;

• All documents are TRIMed and placed on the appropriate Coordinated Enforcement –Referral file;

• Consistent with CASA’s regulatory philosophy, the relevant aviation participant is regularly informed as to CASA’s positon on the relevant issue, and provides ongoing opportunities for the participant to contribute to the resolution of safety issues (but this does not enable the participant to direct CASA’s regulatory response);

• Checklists are followed for the appropriate action taken (see the relevant checklists under Enforcement Forms on the CASA Intranet).

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Where a decision involves the variation of an authorisation by the addition of conditions:

• Ensures that these conditions have preferably been drafted by and, in any event, cleared by the Manager Legal Branch and that the on-going monitoring, or any proposal to vary the conditions, is also carried out in consultation with the Manager Legal Branch.

Where LSD and the Controlling Office Manager do not agree on the recommendation and that recommendation includes action for which the Controlling Office Manager or their EM would ultimately make a decision (ie action which is not a criminal response such as AINs or referral to the CDPP):

• Follows the process set out at Paragraph 2.9.

3.9 Role of the Legal Services Division (LSD) in relation to the Enforcement Process

Although it is only part of LSD’s functions, the Division plays a critical role in the conduct of, and the processes leading to, any enforcement action CASA may take. The Executive Manager, Legal Services Division and each of the Division’s two branches may be involved in those processes.

LSD Enforcement Officer: This officer is the starting point for all matters where, in accordance with the Coordinated Enforcement Policy, it becomes apparent to the technical or operational areas that enforcement action is or may be appropriate (see flowchart Coordinated Enforcement Process A and paragraph 3.5.2.) This officer will also arrange for the publication of decisions as set out paragraph 6.23.

1. Legal Branch: Once an initial Coordinated Enforcement Meeting has been conducted, and it has been agreed that some form of enforcement action (other than solely an AIN or request for a Part IIIA Investigation) is required, Assigned Legal Counsel (ALC) will ‘case manage’ the particular matter (ensuring time-limits are met) until the enforcement action is completed.
 

Manager, Legal Branch

Where the agreed recommendation is that the matter should proceed by, or include:

• Administrative Action;

• Serious and Imminent Risk;

• CAR 265 suspension;

• Enforceable Voluntary Undertaking (EVU);

• Counselling; or

• Any other action coming out of the CEM in which it is decided that legal assistance is appropriate,
　

the Manager, Legal Branch will:

• Assign legal counsel to assist;

• Ensure assigned legal counsel (ALC):

o Place their name on the register as ALC;

o Case-manage the matter assigned to them to its conclusion. Where the matter results in a decision that is appealed, either continues to case manage the matter or ensures that they brief any other ALC that is responsible for handling the appeal. Note: This new ALC must place their name on the EAR and is responsible in the same manner as the original ALC;


o Continue to update the EAR with any progress in relation to action for which they have responsibility ie writing to legal representatives of the party against whom a decision is being made or for whom an appeal has been lodged, notification of stay periods and results of tribunal hearings. This includes ensuring that the dates on the EAR calendar in relation to tribunal and court decisions are recorded;

o Arrange to TRIM any finalised versions of documents and place them on the appropriate Coordinated Enforcement - Referral file which has been opened by the referring office;

o Arrange to amend the EAR to show the offences for which such action is agreed to be taken (as shown in the SCN etc);

o Arrange to open a new TRIM file for any appeal to a tribunal or the Federal court; and

o Arrange to advise licensing/industry permissions when a matter is finally concluded or a stay period ended so that the relevant licence or certificate, and relevant CASA systems, can be updated appropriately.

• On receipt from the LSD Enforcement Officer, approve the wording of the paragraph summarising reasons for decision in relation to cancellations and suspensions in relation to decisions relating to authorisations normally held by an organisation for publication and advise the LSD Enforcement Officer.

LSD Enforcement Officer

The LSD Enforcement Officer will:

• Once notification is received through the Enforcement Policy and Practice Outlook Mailbox of any SCN, Serious and Imminent Risk suspension notice or CAR 265 suspension notice being served, or suspension, cancellation or variation of an authorisation, arrange to place alerts on CASA systems;

• Once notification is received through the Enforcement Policy and Practice Outlook Mailbox of a suspension or cancellation – (where the decision is in relation to an authorisation normally held by a corporate entity - even if the authorisation is in fact in the name of an individual) together with the paragraph summary of the reasons ensure the wording is approved by the Manager Legal Branch and request the webmaster to publish on the external CASA internet website.

• Ensure regular audits are carried out on the Enforcement Action Register and TRIM Enforcement files.
 

My reasons for extracting such a large slab of chapter 3 of the FF Embuggerance manual is to highlight how much the current actions within the DJ CEP (Coordinated Enforcement Process) have subverted the due legal processes as directed by the current EM.

"..In any event, the accident demonstrated deficiencies in your flight planning and judgment, and the weather related diversion, as is expressed on the condition, is designed to assess your “in-flight command decision making.” On this basis, CASA considers the condition is appropriate and reasonable..."

Now I have it on good authority rumour that there has been no recent (from 12 September 2017) entries that would normally be required for 'reporting and recording information' in the CEP.

We are also inquiring to whether there has been any entries that reflect the variation to the original agreed to CEP conditions on DJ's FCL(see previous post); and/or if there is any appropriate report/record/ 'delegate notice' that would reflect the change to the condition that the command CTL prof check now has to be conducted in the simulator...  

Of course as "K" indicates in - "Ah, With your indulgence M’lud" - all of this is totally unnecessary and irrelevant as there is no such thing as an "unexpected" or "unplanned weather related  diversions in high capacity and/or Jet AOC operations.

MTF...P2

P2 comment - The called for observed, practical demonstration could simply be displayed by watching DJ check all inputs to the aircraft FMS flight plan with references to the applicable PNR/CP pages and a brief from DJ outlining what his actions will be if a diversion is required prior to and after those calculated diversion points? - or am I missing something?