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COSCAP – SA

Manual of Enforcement Procedures

Aviation Enforcement Procedures Manual

2 Table of Sanctions

Chapter 1 Inspection This chapter applies to all Civil Aviation Inspectors.

1.1 Inspection - GeneralInspection involves the examination of XXXXX (Insert State) aviation documents, aircraft, cargo, premises, aeronautical products such as appliances, parts and components and facilities relating to aeronautics. The purpose of inspection is to determine whether compliance with regulations and standards is being maintained. It is a part of the daily routine of a XXXXX (Insert State) aviation official and includes activities such as:

(1) Commercial Aviation Inspectors conducting company inspections, audits and flight tests;

(2) General Aviation Inspectors conducting examinations and flight tests of pilot licence applicants and instructors and performing inspections and audits of flying schools and clubs;

(3) Airworthiness Inspectors conducting audits and inspecting aircraft;

(4) all inspectors using the air transportation system; and

(5) airport management personnel supervising air side activity.

1.2 Inspection AuthorityAn inspection may be conducted by inspectors pursuant to the authority allowed by XXXXX (Insert Rule/Regulation) of the CARs and defined by the Delegation of Authority. Depending upon their particular duties, inspectors may be delegated all or some of the following powers of the DGCA to inspect.

(1) Entry for Inspection

An inspector's authority to enter aircraft, aerodromes, facilities or premises for the purpose of making inspections is found in XXXXX (Insert Rule) of the CARs. This is not only the authority to enter, but is also deemed to be authority for conducting an inspection.

(2) Inspection

Inspection powers are derived from XXXXX (Insert Same Rule if applicable) of the CARs. Examples of other delegated authorities from the CAR’s which assist inspection are:

(a) XXXXX (Insert Rule) - to require an owner or operator to make an aircraft available for inspection; and

(b) XXXXX (Insert Rule) - to give a pilot-in-command a signal to land.

(3) Production of Documents

The authority to demand the production of documents is derived from XXXXX (Insert Rule) of the CAR’s.

(4) Obstruction

Any person wilfully obstructing or impeding an inspector during an inspection contravenes XXXXX (Insert Rule) of the CARs. This is a hybrid offence and may be proceeded with by Indictment or by way of Summary Conviction at the discretion of the DGCA/Government.

(5) Entry to a Dwelling-house


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Entry to a dwelling-house for the purpose of performing any functions of the DGCA under the CARs (including inspection) can only be done under two conditions: with the consent of the occupant or, if entry is refused, under the authority of a warrant issued by a Legal Court. The entry warrant is not a search warrant as described in the Criminal Code.

(6) Seizure of Evidence

XXXXX (Insert Rule) of the CARs which gives inspectors the power to seize anything found in any place entered for the purposes of inspection if they believe on reasonable grounds the thing seized will afford evidence with respect to a contravention. Anything seized must have been found by the inspector without resorting to a search or must have been provided voluntarily by a representative of the premises or aircraft being inspected. Items seized are usually those items which would be the subject of a normal inspection.

1.3 Safety PowersAll inspectors are delegated the authority to exercise the following safety powers when encountering a situation where there is an imminent concern for aviation safety:

(1) Detention

The authority for detention is found in XXXXX (Insert Rule)) of the CARs. Inspectors may detain any aircraft which they believe on reasonable grounds is unsafe or is likely to be operated in an unsafe manner, and take reasonable steps to ensure its continued detention. Once the grounds for detention (e.g. unsafe condition) have been removed, the aircraft must be released.

(2) Suspend XXXXX (Insert State) Aviation Documents on the Grounds of an Immediate Threat

Inspectors may suspend a XXXXX (Insert State) Aviation Document on the grounds that an immediate threat to aviation safety exists or is likely to occur as a result of an act or thing having been, being or proposed to be done under the authority of the document. The authority for this type of suspension is found in XXXXX (Insert Rule) of the CARs. When a document is suspended, details of the suspension should be forwarded to the appropriate functional authority for inclusion in the document holder’s file and for consideration by the functional authority when contemplating re-instatement of the document.

1.4 Inspection ProcedureWhen conducting routine inspections, inspectors shall observe the following procedures:

(1) inspectors shall not enter aircraft or premises which are locked or where the owner/operator or appointed representative is not present;

(2) an inspection should be conducted at a time that minimizes the inconvenience to flight crew, owner/operator and the travelling public;

(3) the inspector shall use a credentials card for personal identification;

(4) the flight crew and owner/operator of an aircraft should be informed that an inspection is being conducted;

(5) a document produced for the purpose of inspection should be kept no longer than is necessary to determine its validity;

(6) where the validity of a document cannot be determined readily, a photocopy, photograph, accurate record or facsimile of the entries or endorsement on both sides of the document should be made before returning the document;

Aviation Enforcement Procedures Manual Second Edition - December 1998

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(7) inspectors may seize evidence with respect to a contravention discovered during the course of a routine inspection. See Section 1.5 below;

(8) if an unsafe situation is discovered, the aircraft representative shall be informed and the inspector shall decide whether or not immediate detention of the aircraft is required. See Section 1.6 below ;

(9) in the event of any obstruction to an inspection, the inspector should politely inform the individual that a charge could be laid under the CARs for the offence of obstructing an inspection. Should the individual continue to obstruct the inspection, the inspection should be abandoned and Enforcement assistance sought for the laying of charges under XXXXX (Insert Rule) of the CARs;

(10) where an inspector believes on reasonable and probable grounds that entry, search and seizure will be required to obtain evidence, the matter must be referred to the DGCA for acquisition of a Search Warrant and for conduct of an investigation. Under such circumstances, the inspector ceases the act of inspection and commences the act of investigation (see Chapter 4 ); and

(11) inspections should be completely documented with notes including dates and times.

1.5 Seizure, Retention and Return of EvidenceIn accordance with CAR XXXXX (Insert Rule), where evidence is seized, the inspector shall ensure:

(1) the holder is given a receipt;

(2) the evidence is clearly marked in an identifiable manner;

(3) reasonable care is taken to preserve and protect the evidence;

(4) continuity of possession of evidence can be assured;

(5) where an Aircraft Journey Log is seized, a Temporary Aircraft Journey Log can be issued. The temporary log must contain a statement that the original has been seized. Alternately, a photocopy of the log book properly identified as a certified true copy and signed by the owner, the inspector or the investigator is acceptable. The original is preferred in a court of law but a certified photocopy may be acceptable. Before making a photocopy, the original should be marked in a uniquely identifiable manner to preclude alteration or substitution; and

(6) the evidence is returned to the person from whom it was seized or who has lawful entitlement to it as soon as practicable when continued retention is not required for the purposes of any investigation, hearing or other similar proceeding. Evidence must be returned within ___ days (Insert Number of days as per your legal requirement) of seizure if:

(a) there is no dispute as to who is lawfully entitled to it;

(b) return is not likely to affect aviation safety; and

(c) it is no longer required.

1.6 Detention and Return of AircraftWhen inspectors contemplate the detention of an aircraft they must, if possible, introduce themselves to the pilot or owner and specify the unsafe condition or unsafe operation which they believe exists or is likely to exist. They should tactfully try to obtain voluntary compliance in correcting the situation. If they are unsuccessful, they should:

(1) again advise the pilot or owner of the unsafe condition or operation and the consequences of failing to abide by the inspector's advice (e.g. detention and/or enforcement action);


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(2) where the pilot or owner is unavailable or indicates an unwillingness to comply with the inspector's advice, attach to that part of the aircraft most likely to be seen by the flight crew a written notice of detention specifying the unsafe condition or operation;

(3) if necessary, restrain the movements of the aircraft:

(a) by requesting ATS deny taxi and take-off clearances;

(b) by blocking it with vehicles;

(c) by attaching it to an immovable object; or,

(d) in extreme cases, and with the assistance of a licensed Aircraft Maintenance Engineer, by judicious and temporary disablement, a record of which must be made in the aircraft log.

Whenever possible, and in accordance with XXXXX (Insert Rule), an aircraft shall be detained without removing it from the custody of its owners or operators. This will permit such persons to make repairs or otherwise remedy the unsafe situation. However, if no other measures have been or are likely to be effective in alleviating the unsafe condition or operation, the aircraft may be taken into the custody of the DGCA. In such cases, all reasonable care shall be taken to preserve and protect the aircraft in the condition in which it was first acquired. The aircraft should be released if it will not be operated or if it will be rendered airworthy before operation and will not be operated in an unsafe manner. Details concerning the detention should be forwarded to the appropriate supervisor for a decision on the release of the aircraft from detention.


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Chapter 2 Surveillance Operations This chapter applies to all Civil Aviation Inspectors.

2.1 Surveillance

The purpose of surveillance is to provide a regulatory presence to promote voluntary compliance and reveal contraventions of aviation regulations. The probability of being detected is one of the most powerful compliance motivators. When a comprehensive and effective surveillance program is in place, a higher degree of compliance and flight safety can be expected.

2.2 Field OperationsRoutine Surveillance

In the performance of their normal duties in the aviation community, Civil Aviation Inspectors automatically and concurrently engage in routine surveillance. Their mere presence stimulates a positive attitude toward compliance while activities commensurate with their duties often lead to enforcement action. The activities comprising routine surveillance are identical to those listed in Section 1.1 .of this manual.

Discreet Surveillance

Discreet surveillance is routine surveillance where an inspector does not publicize or hide the fact of being a Civil Aviation Inspector. No special authorization is required for this type of surveillance.

Planned Surveillance

Planned surveillance is directed at specific areas, events and activities by Civil Aviation Inspectors.

2.3 ObjectivesThe following objectives may be considered when planning surveillance activities:

(1) the promotion of compliance by the establishment of regulatory presence;

(2) the conduct of investigations;

(3) the detection of contraventions;

(4) promotional and educational activities;

(5) liaison with detection sources;

(6) information gathering; and

(7) targeted surveillance.

2.4 Plan ResponsibilityThe Chief Flight Standards (CFS) / Chief, Airworthiness (CAW) / Director, Flight Safety & Regulation (DFSR) are responsible for the development and administration of the surveillance plan in their area of responsibilities.

2.5 ImplementationThe implementation of surveillance plan is concerned with satisfying the CAA objectives of regulatory presence, investigation, detection of contraventions, compliance promotion and education.


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(1) Presence

Surveillance should be carried out whenever and wherever aviation activity is most likely, including weekends and evenings.

(a) It should be ensured of that each surveillance team is composed of inspectors whose specialty is pertinent to the type of surveillance activity.

(b) It should be ensured that each surveillance team is qualified and is properly briefed for the operation.

(2) Surveillance

Surveillance should generally be carried out overtly. By introducing themselves to the public, inspectors will be able to maximize the promotion of voluntary compliance. Covert operations may be used when there are reasonable grounds to suspect an open presence may not culminate in a successful investigation. (see Chapter 6 .)

(3) Initial Violation Process

Inspectors shall ensure the initial violation process is completed thoroughly when new infractions are detected.

2.6 Monitoring of Special Aviation Events CAA XXXXX (Insert State) attendance at special aviation events is intended primarily to establish a regulatory presence and, as such, deter any contraventions from taking place. An obvious CAA XXXXX (Insert State) presence during air shows, organized fly-ins, parachute-drops and events of similar nature underscores a definite interest in promoting safety in general aviation.

2.7 ProcedureExtensive notes should be kept of all observations. Where appropriate, photographs should also be taken. Inspectors should be prepared to use authority pursuant to XXXXX (Insert Rule) of the CARs in detaining aircraft proceeding in a condition unsafe for flight.

Watch for any regulatory contraventions and where possible prevent a contravention by dealing with the cause beforehand. Usually a friendly approach emphasizing the safety element can bring about compliance with the regulations.

2.8 ReportingAt the conclusion of the surveillance activity, a detailed report is nomally made to the CFS/CAW/DFSR. If contraventions of the regulations have been observed, the report shall be forwarded to the DGCA and must include any evidence of contraventions that has been gathered as well as an account of all actions taken (see Chapter 3 for detection procedures).


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Chapter 3 DetectionThis chapter applies to all Civil Aviation Inspectors.

3.1 IntroductionA detection is the discovery of a possible contravention of aviation-related rules and regulations. It may result from activities such as inspections and surveillance programs, and public complaints. A Civil Aviation official must take action on observing a contravention or when apprised of one. At the very least, an inspector should carry out the initial violation process and forward it without delay to the CFS/CAW/DFSR along with all evidence gathered in support of the allegation of a violation. Even when the matter does not require further action, as in the case of an oral counselling, the initial violation process provides the CFS/CAW/DFSR with information which helps shape the Aviation Enforcement Program.

3.2 Initial Report of a ViolationIn all cases where an inspector detects a contravention or where information about a possible contravention is received, the inspector should attempt to gather as much information as possible regarding the incident. This is necessary to preserve perishable evidence and to provide sufficient information about the contravention to enable a complete and comprehensive investigation. The initial violation process should simply provide answers to the questions: WHO, WHERE, WHEN, WHAT, WHY and HOW. The information should be recorded and passed to the CFS/CAW/DFSR as soon as possible along with any notes or evidence such as photos, logs, tapes, etc. (CAA's may develop their own Initial Report of a Violation form)

The decision to conclude the incident with an oral counselling or to refer the matter for further investigation is entirely at the discretion of the inspector completing the form.

If the contravention is considered minor, the inspector may opt for oral counselling.

If the contravention is of a more serious nature, the inspector must refer the incident without delay to the CFS/CAW/DFSR for further action. The CFS/CAW/DFSR will then determine if a comprehensive investigation should be carried out.

3.2.1 Detection Record

(1) Oral CounsellingOral counselling provides the document holder with immediate counselling on the necessity for compliance. It is an option for inspectors when the contravention is minor and inadvertent or is a safety-related violation where there is no direct flight safety hazard and the imposition of a sanction is not considered appropriate. Refer to the factors affecting choice of sanction in Chapter 11 for guidance on determining whether or not oral counselling is appropriate.

Inspectors should assess all aspects of the contravention and the attitude of the document holder to determine whether oral counselling will secure future compliance. Oral counselling may be most appropriate in cases of ignorance or misinterpretation of the law, provided aviation safety was not jeopardized, i.e. a minor contravention having little or no impact on safety or where there was no indication of a wilful act. Oral counselling is not an option when the alleged offender disputes the allegation.

(2) Further Investigation by EnforcementIf in doubt about the appropriate action to take in a given circumstance, the inspector should refer the matter to the CFS/CAW/DFSR for further investigation.


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3.3 Contraventions of Dangerous Goods RegulationsWithin Civil Aviation Authority, all inspectors are responsible for promoting compliance with and detecting contraventions of the Transportation of Dangerous Goods Regulations. Because of the possible hazards involved in the transport of dangerous goods, all inspectors, upon detection or receipt of a reported violation, shall apprise the CFS/CAW/DFSR of the situation.

Inspectors should have a basic familiarization of how to identify dangerous goods and must not place themselves in positions that might jeopardize their safety.

3.4 Inspectors Flying as PassengersIf inspectors, while flying as passengers on an airline, detect a contravention which, in their judgement, must be brought to the attention of the flight crew (e.g. a major disregard of the CARs), they shall contact the pilot-in-command after the flight has terminated. After identifying themselves, inspectors should indicate to the pilot the nature of the contravention and advise the pilot that they will be making a detailed written report. An initial violation process form shall be forwarded without delay to the CFS/CAW/DFSR. It shall contain sufficient detail including all available evidence to allow follow-up action.

The policy of post-flight notification does not apply where the contravention compromises flight safety. An example of this would be contravention of CAR XXXXX (Insert Rule)which forbids a flight to commence without an inspection for adherence of frost, ice or snow to any critical surface of an aircraft. In such a case, direct and immediate action shall be taken by the inspector.


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Annex 1 to Chapter 3

Expanded Description of the Initial Violation ProcessThe purpose of the initial violation process is to gather information in a systematic and thorough manner when it is suspected that a regulation or provision has been violated by an act or omission that warrants further investigation. All inspectors are responsible for gathering pertinent information when they detect a violation of the regulations and for recording that information, preferrably in the Initial Violation Process Form. This initial process of collecting information concerning a possible violation is often the only opportunity to preserve perishable evidence.

The initial violation process should simply answer the questions: WHO, WHERE, WHEN, WHAT, WHY & HOW and, depending on the circumstances, may be expanded as follows:

(1) fill out the Initial Violation Process Form;

(2) record all possible contraventions (even borderline offences);

(3) record date, time and location of the contravention;

(4) record the identification of the aircraft and the names, addresses and telephone numbers of all persons involved;

(5) preserve perishable evidence and documents such as log books, load control sheets, damaged aircraft parts, engineering records, invoices, etc. Obtain weather reports, etc. if it is suspected they may not be available at a later time. Give the unit manager of an ATS facility a written note requesting that information in the form of flight plans or ATS tapes be secured for later acquisition.

(6) take photographs of all objects that cannot be secured or moved;

(7) take notes on the events immediately preceding and following the contravention;

(8) record the names, addresses and telephone numbers of all witnesses that were present or that may have information and note the information each could provide whether there is duplication or not. (The reason for this is twofold: to freeze evidence so that it cannot be changed later and to enable witnesses to refresh their memory at a later date);

(9) approach any person you suspect of committing a contravention and seek their account of the occurrence;

(10) contact the CFS/CAW/DFSR for assistance or direction as required.

NOTE: It is important to keep an accurate set of notes detailing in chronological order your actions with appropriate location, dates and times.

Upon detection of a violation and the completion of the Initial Violation Process, an inspector should forward the same to CFS/CAW/DFSR who will assign an investigator to the case. Both the reporting inspector and assigned investigator shall continue to coordinate their work as necessary until the conclusion of the case.


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Chapter 4 Analysis of Legislative ProvisionsThis chapter applies to all Civil Aviation Inspectors as a tool to help interpret regulations and to those assigned to conduct investigations.

4.1 IntroductionThis chapter provides a procedure for analyzing offence creating legislative provisions to obtain a precise interpretation and to determine the facts and evidence required for their enforcement. The decision to continue or terminate a case is often based on the results of the analysis of legislation. Investigators will complete an analysis of each provision which has been contravened for each case where a comprehensive investigation is conducted.

4.2 Construction of Legislative Provisions(1) Types of Legislative Provisions: Legislative provisions may be enabling, administrative, informative or offence creating. Only the latter can be the subject of enforcement actions.

(a) Enabling provisions are those which confer power on persons to make some other type of standard or policy. Some enabling provisions in the Aviation Act and CARs are those which give powers to make regulations, orders and publications. For example: XXXXX (Insert Rule).

(b) Administrative provisions confer a power or impose a duty on the DGCA; for example, to issue licenses. They may provide criteria used in discharging these powers or duties. Although these provisions are public notice of what the DGCA can do, their purpose is to provide a statutory basis for administrative procedures or actions. For example: CAR XXXXX (Insert Rule).

(c) Informative provisions are intended to guide the aviation community and assist individuals in complying with aeronautics legislation. For example: CAR XXXXX (Insert Rule).

(d) Offence creating provisions can be one of two types, first, those which mandate a certain form of conduct and, second, those which prohibit certain conduct. Non-compliance with these provisions is a violation that can result in judicial or administrative enforcement action. For example: CAR XXXXX(Insert Rule) .

The legislative provisions of interest in this chapter are the “offence creating provisions” and are often referred to as safety regulations. They are easy to recognize as they contain words such as, “No person shall”, “an operator shall”, “the pilot-in-command shall”.

(2) A provision is composed of legislative elements. Precise interpretation requires analysis of the various elements of a legislative provision. An element is a segment, either a single word or group of words, that expresses a unit of thought. Every element contributes to the total meaning of the legislative provision. Core elements contain the subjects and verbs while qualifying elements describe or modify core elements. Common elements are those which appear frequently in the legislative provisions (e.g “no person”, “shall fly”, "aircraft", "pilot-in-command"). Uncommon elements are those which do not appear frequently (e.g., "legal custody and control", "accredited representative", "influence of alcohol").

4.3 Identify Possible ViolationsDuring the early stages of a comprehensive investigation, investigators should list all possible violations, not necessarily in order of importance, then select the corresponding legislation that should be analyzed. A timely


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analysis will indicate what evidence is available and what further evidence may be required; it could also determine that there is, in fact, no violation.

4.4 Analysis of Offence Creating Legislative Provisions for InterpretationAnalysis for interpretation consists of the following steps:

(1) Divide the legislative provision into elements, (e.g., (No person) (shall fly) (a helicopter) (on a Sunday)).

(2) Determine the applicability of each element.

(3) If a meaning is unclear and there are no pertinent regulatory definitions, use dictionary meanings.

(4) Determine the modifying effect of the qualifying elements.

(5) Summarize the results to arrive at the interpretation.

4.5 Analysis of Offence Creating Legislative Provisions for EvidenceWhere a contravention is suspected, the pertinent legislative provisions should be divided into elements and analyzed for interpretation. The facts that need to be established to prove a contravention and the forms and sources of evidence which tend to establish those facts must then be determined.

This is done by first classifying the elements as common or uncommon elements. Standard forms of evidence are used to establish the facts concerning common elements. Special forms of evidence may be needed to establish the facts concerning uncommon elements.

4.5.1 Standard forms of evidenceStandard forms of evidence include witness statements, oral testimony, admissions, tape recordings, photographs, objects and documentary evidence such as journey logs, technical logs and business records.

4.5.2 Special forms of evidenceSpecial forms of evidence include voice-prints, x-rays, magnaflux, dyecheck, etc.

4.6 Sample AnalysisThe matrix on the following pages illustrates a method of analyzing the common elements of many legislative provisions and some uncommon elements for relevant evidence.


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4.6.1 Illustrative Analysis of Common Elements

Elements Facts To Be Established Evidence

#1

[no person]

-core element

-sets out prohibition applying to all persons

What person performed the prohibited act. “Standard forms” to identify the person: Log book, witness

For a corporation, refer to registry office for legal name; obtain Certificate of Incorporation from Registrar of Companies.

#2

[shall fly]

-core element

-describes the prohibited act

The person acted as pilot-in-command, co-pilot, flight navigator or flight engineer; when and where.

NOTE: The duties of these "flight crew members" are not defined. Conclusions must be drawn from expert knowledge.

“Standard forms:” Log book, witness.

#3

[attempt to fly]

-core element

- describes the prohibited act

The person intended to fly or made an endeavour to fly; when and where.

Evidence of overt acts showing intent or endeavour to fly, e.g. filing of flight plan, request for clearance.

#4

[aircraft]

[no aircraft]

-core or qualifying element

The object referred to was an aircraft as defined in XXXXX (Insert Rule) of CARs

The aircraft must be identified.

“Standard forms:” Log book, C of R; witness.

C of A / C of R as required by the CARs

-request that certificate indicate status on date of offence

[the pilot-in-command]

-defined in XXXXX (Insert Rule).of the CARs-usually a core element

The suspected violator was the "pilot-in-command". “Standard forms:” Log book, witness.

[operate]

-core element

-not defined in CAR XXXXX (Insert Rule).

- "to work or use a machine" (dictionary definition)

The act of operating was performed by the suspected offender.

With respect to an aircraft, "operate" includes "fly" as a pilot.

“Standard forms:” Log book; witness; Flight Plan; ATS record


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Regulatory Services, 01/03/-1,

- ATTEMPT TO HAVE EACH TABLE ON ONLY ONE PAGE.


4.6.2 Illustrative Analysis of Uncommon ElementsFor common elements see the previous page:

#1 [no person] #2 [shall fly] #3 [or attempt to fly] #4 [an aircraft]

Uncommon Elements Facts To Be Established Evidence

#5

[unless a flight authority issued under the CARs is in effect in respect of the aircraft]

- qualifying element

(a) no such flight authority has been issued.

(b) if issued, flight authority was not in effect at the time.

For fact (a): use C of A / C of R's Certificate under Rule XXXXX (Insert Rule) of CARs.

For fact (b): show that the standard for a flight authority to be in effect was not met at the time.

#6

[or unless a flight authority issued under the laws of the country in which the aircraft is registered is in effect in respect of the aircraft]

- qualifying element

(a) no such flight authority has been issued.

(b) if issued, flight authority was not in effect at the time.

For fact (a): Affidavit from the proper authority of the country.

For fact (b): Same as (a) and expert testimony.

#7

[and unless all conditions upon which the certificate or permit was issued have been complied with]

- qualifying elements

Such conditions were not met at the time.

NOTE: Conditions of issue are inscribed on the flight authority.

Produce a true copy of respective flight authority certified by the XXXXX (Insert Designation) as required under the CARs.


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4.6.3 Analysis Matrix - CAR XXXXX (Insert Appropriate Rule or change text if necessary).CAR XXXXX (Insert Rule).

No person shall operate an aircraft in flight unless

a) a flight authority is in effect in respect of the aircraft;

b) the aircraft is operated in accordance with the conditions set out in the flight authority; and

c) subject to subsections (X) and (X),[insert as applicable] the flight authority is carried on board the aircraft.


#1 [no person]

- a common element and a core element

- the prohibition applies to all persons

What person performed the prohibited act.

“Standard forms” to identify the person.

#2 [shall operate...in flight]


- specifies the prohibited action

A flight took place “Standard forms” - journey log, eye witness, ATS record, etc - showing that the aircraft was operated in flight

#3 [an aircraft]


- augments the prohibited action

The object referred to was an aircraft as defined in XXXXX (Insert Rule).of the CARs.

The specific aircraft must be identified.

“Standard forms” - Journey log, C of R, eye witness - to identify the particular aircraft.

#4 [unless a flight authority is in effect in respect of the aircraft]

- a common element and a qualifying element

a. Flight authority was not issued.

b. Flight authority was not in effect.

a. C of A / C of R as required under CARs

- request that certificate indicate status of aircraft on date of offence

b. Documents or expert evidence showing why flight authority was not in effect

#5 [and unless the aircraft is operated in accordance with the conditions set out in the flight authority]

- an uncommon element and a qualifying element

c. The manner of operation that was not in accordance with the flight authority.

b. A manner of operation prescribed by the flight authority that was not carried out.

Standard forms - journey log, eye witness, flight plan. - showing deviance from conditions of the flight authority

#6 [and unless the flight authority is a. Flight authority was not carried on Standard forms - eye witness -


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carried on board the aircraft subject to subsection (X) and (X)]

- a common element and a qualifying element

board the aircraft.

b. Show subsections (X) and (X) do not apply (the subsections are not addressed in this example)

showing the flight authority was not carried on board the aircraft.


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Chapter 5 InvestigationsThis chapter applies to Investigators.

5.1 IntroductionAn investigation is a systematic search for and documentation of the facts relevant to an event from which a decision to take appropriate action can be made. It is the most significant phase of the enforcement process since subsequent action that may affect both individual rights and public safety will depend on its thoroughness and adequacy. In order for investigators to conduct thorough investigations from the initial complaint through to the case report, it is imperative that they have a thorough understanding of their delegation of authority and a sound knowledge of their inspection and investigative powers. Inspectors must also know what constitutes relevant evidence if CAA XXXXX(Insert State) is to bring an action against an alleged offender because the only means available to prove that the violation has taken place is through obtained evidence.

5.2 Priorities for InvestigationPriority shall be given to violations received from any Government request. For all other violations the CFS/CAW/DFSR shall assign an investigation priority level based on safety impact.

5.3 Cockpit Voice Recorder (CVR) / Flight Data Recorder (FDR)CVR/FDR recordings shall not be used by Civil Aviation Authority XXXXX (Insert State) in any enforcement matters. Their use is limited to aircraft accident investigations to assist in determining the cause of accidents and incidents. Should courts of law subpoena CVR/FDR tapes, counsel for the Department will handle the matter.

5.4 No Investigation Conducted (NIC)Sometimes, it is evident from the original complaint or the Initial Violation Process that the case does not warrant a comprehensive investigation because of: lack of evidence; referral to a foreign or XXXXX(Insert State) agency; statutory limitation; low safety item; insufficient resources; etc. Nevertheless, the relevant information should be recorded for the type of action taken

5.5 Defences - Necessity, Due Diligence, Officially Induced ErrorIf early in an investigation, facts are uncovered which point to the likelihood that an alleged offender could successfully argue the actions taken were justified, the investigator may opt to terminate the investigation with a recommendation for no further action. In certain cases where wrongful conduct can be proven or is admitted, the alleged offender may still be able to raise a defence based on necessity, due diligence or officially induced error. These defences are available in both judicial and administrative proceedings.

5.5.1 The Defence of NecessityThe defence of necessity has its origins in common law and remains available to alleged offender. In deciding whether the defence has been established, the CFS/CAW/DFSR should carefully examine the facts to determine whether all of the following conditions apply:

(1) the situation was so urgent and the dangers from inaction were so imminent that it was unreasonable to delay any action;


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(2) compliance with the law was demonstrably impossible as the violation was inevitable or unavoidable in that there was no opportunity for an alternative course of action that did not involve a contravention of the regulations; and

(3) the hazards to flight safety caused by the contravention were less serious than the hazard posed by complying with the law (e.g. breaking the law is less serious than any accident that might result from complying with it in the particular circumstances).

In addition, the CFS/CAW/DFSR must be satisfied on reasonable grounds that the urgent situation was not brought about by the alleged offender through negligence or a breach of the regulations. In other words, where the alleged offender created the danger, the alleged offender cannot avoid liability for a contravention committed to escape from that danger.

Where the defence of necessity is proven, the alleged offender cannot be found to have contravened the law because the contravention was necessary to avoid an immediate greater danger (in particular, death or injury).

5.5.2 The Defence of Due DiligenceXXXXX (Insert Rule and Retain if Applicable) provides for the “defence of due diligence” in an alleged contravention of the CARs. In order to establish this defence, the alleged offender must show that due diligence was exercised (all reasonable steps were taken) to avoid committing the contravention. Where due diligence is proven, the alleged offender cannot be found in contravention of the law because all reasonable steps to avoid the contravention were taken. What constitutes due diligence will therefore vary from case to case depending on the facts.

5.5.3 Officially Induced Error The defence of officially induced error is available where an alleged offender has reasonably relied upon the erroneous legal opinion or advice of an official who is responsible for the administration or enforcement of the particular law. It must be proved, on a balance of probabilities, that the alleged offender relied on the erroneous legal opinion or advice of the official and that this reliance was reasonable. The reasonableness will depend on several factors, including the efforts made by the alleged offender to ascertain the proper law, the complexity or obscurity of the law, the position of the official and the clarity, definitiveness and reasonableness of the advice given. The defence may at times overlap with the defence of due diligence, but it is separate and distinct.

5.5.4 Application of DefencesAny one of the previously mentioned defences can be raised by the alleged offender during the investigation or at any time before a decision to impose a sanction has been made. If the CFS/CAW/DFSR is satisfied that a defence has been established and therefore no offence has been committed, then the case must be closed. When a defence of due diligence or necessity has not been proven, a mitigating circumstance may still exist that may be taken into consideration. If an informal meeting is requested by the document holder, the procedures as laid out in XXXXX (Insert Rule)shall be followed. If the alleged offender insists the defences are valid, the situation becomes a matter for the DGCA/Government or the court to decide.

5.6 Comprehensive InvestigationsIf the initial violation process indicates that a contravention took place and further evidence is necessary to establish the facts, a comprehensive investigation must be commenced. The purpose of the comprehensive investigation is to obtain all the evidence necessary to establish the truth. The investigator’s objective is not only to obtain sufficient evidence to prove an alleged offence occurred, but also to ensure that all the facts of the incident are disclosed so that natural justice will be served. The procedure for conducting a comprehensive investigation follows:


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(1) identify all provisions that were possibly contravened;

(2) analyze the regulations allegedly contravened (see Chapter 4 );

(3) determine the evidence necessary to prove each element of a violation;

(4) plan and initiate the steps necessary to obtain such evidence; e.g. interviews, resource personnel, expert witnesses, log books, records, search warrant, etc.;

(5) obtain information from the alleged offender. The alleged offender must be contacted in person, by telephone or by mail and be advised that:

(a) an investigation is in progress; and,

(b) there is an opportunity for the document holder to offer voluntary information.

NOTE 1: It is mandatory to advise the alleged offender that an investigation is in progress. The case file must be annotated to record the notification. An alleged offender may be able to provide evidence valuable to the investigation. Under no circumstances should the Notice of Assessment of Monetary Penalty or the Notice of Suspension be the alleged offender's first indication of an enforcement investigation.

NOTE 2: A warning shall be given advising the alleged offender that this information may be used as evidence.

(6) co-ordinate the investigation to prevent overlap or conflict with other personnel;

(7) establish the cause of the violation. e.g. weather, navigation hazard, equipment, deliberate, inadvertent;

(8) record the relevant information, including a narrative of the facts and circumstances of the event which lead to the alleged violation;

(9) prepare a personnel or company enforcement case file incorporating the results of the foregoing activities and including the Initial Violation Process Form, a legible activity log and a case report;

5.7 Case Closure - No Further Action (NFA)A case should terminate with no further action if:

(a) the alleged offender's identity cannot be ascertained;

(b) the evidence does not provide reasonable grounds to believe the violation took place;

(c) an uncorrectable technical or other flaw in the case precludes further action;

(d) an exemption had been granted which negated the contraventions; or

(e) a defence of necessity, due diligence or officially induced error is established.

Enforcement correspondence relating to a case in which no further action was taken is recorded but the case shall not be considered a contravention.


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Figure 5-1

T0401e.doc

COMPARISON OF INTERVIEWS OF WITNESSES AND ALLEGED OFFENDERS

Witness Alleged Offender

AIM

...to gather information and test its validity in order to determine the particulars of the matter under investigation.

...to gather information and test its validity in order to determine whether the subject was responsible for or involved in the matter under investigation.

WHO

...witnesses who are willing to provide the investigator with any information they possess about the matter under investigation.

...persons suspected of offences as well as others who may have information but are reluctant to offer it.

WHEN

...interviews should take place as soon as possible after the event has occurred so that statements by witnesses are not affected by memory loss, influence of talking to others, etc. Immediate gathering of information enables the investigator to prepare for interviewing alleged offenders.

...interviews of alleged offenders should take place ideally after the investigator has gathered enough information to make a judgement on how truthful the subject is. An alleged offender interview is more fruitful after witnesses have been interviewed and physical evidence has been located and evaluated.

LOCATION

...at a place convenient and familiar to the subject or in a neutral setting. The subject's home, place of business or any place where privacy is assured is preferred.

...the interview room at the office is best since it enables the inspector to manage the security of the subject and to control other factors which might tend to be distracting.

TECHNIQUE

...a low-pressure, informal atmosphere is preferred to allow the subject to relate his information in narrative style. Specific questions should be used to gather more detail and to jog the witness' memory.

...basically the same method as with witness interviews, but the atmosphere is more formal and the investigator works toward a more specific purpose.


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Chapter 6 Covert OperationsThis chapter applies to all Civil Aviation Inspectors who become involved in a covert operation.

6.1 IntroductionMost surveillance done by Civil Aviation Authority XXXXX (Insert State) officials is of an overt nature, that is, undisguised and designed to encourage compliance through a visible presence, to deter regulatory infractions and to detect infractions. There are however instances where covert operations may be appropriate or necessary in order to gather evidence. Covert operations are surveillance activities during which inspectors intentionally represent themselves as being someone other than a Civil Aviation official.

6.2 Covert Operations PolicyCovert operations may be conducted in order to gather evidence of continuing wilful violations of the aviation safety regulations. Covert operations shall be conducted only when a threat to aviation safety exists and when normal investigative means have been ineffective or are likely to be ineffective to stop the unsafe activity.

The decision to conduct a covert operation shall be made by the DGCA on the advice of the CFS/CAW/DFSR. Should the DGCA be satisfied that a need exists for inspectors to conduct a covert operation, the CFS/CAW/DFSR will be granted the authority by the DGCA. The DGCA should advise the Government of the particulars of the case (if considered necessary).

6.3 DefinitionsSee Chapter 2 for definitions of surveillance activities.

"Criminal Activity" - is any act that is illegal under the Criminal Code of XXXXX (Insert State) and is clearly outside the scope of responsibility of CAA of XXXXX (Insert State).

"Joint Covert Operation" - is a covert operation involving Civil Aviation officials in cooperation with another agency.

"Third Party Agents" - are persons employed specifically for the purposes of a covert operation excluding police officers, other agency personnel or Civil Aviation inspectors.

6.4 Principles of Covert OperationsThe following principles should be considered when planning or conducting covert operations:

(1) all covert operations shall be approved by the DGCA;

(2) DGCAs shall be responsible for the conduct of covert operations in their regions;

(3) the CFS/CAW/DFSR shall ensure adequate command, control and communications are exercised during each operation;

(4) where Civil Aviation Authority contemplates involvement in a joint covert operation, the agency in charge of the operation will be identified prior to the start of the operation;

(5) Civil Aviation Authority may provide technical advice but will not participate actively in a joint covert operation where it is anticipated activity that is likely to place an inspector in physical danger will be encountered during the operation;


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(6) during the planning stage of a joint covert operation, a contingency plan shall be developed that will permit Civil Aviation Inspectors to withdraw from active participation in the operation if there is a likelihood that the inspectors personal safety may be jeopardized;

(7) no inspector shall obtain employment in an aviation company for the purpose of gaining access to information or evidence otherwise unavailable;

(8) care must be taken to ensure that the associated investigation is not construed as entrapment; and,

(9) the CFS/CAW/DFSR shall ensure inspectors are thoroughly briefed for the covert operation and are aware of the guidelines for inspectors.

6.5 Guidelines for InspectorsInspectors engaged in covert operations shall be bound by the following guidelines:

(1) in no case shall an inspector counsel or facilitate the commission of an offence;

(2) if other illegal acts are detected during an operation, the appropriate enforcement agency shall be notified;

(3) if activity that is likely to place an inspector in physical danger is detected, the operation shall be abandoned rather than place inspectors at risk. In joint covert operations, the contingency plan developed to withdraw the inspectors from the operation will be activated, ensuring the operation or other operatives are not compromised. Inspectors may continue to provide technical advice and support;

(4) inspectors conducting an operation are to respect the rights of individuals;

(5) inspectors conducting covert operations must not allow a flight to take place if, in the opinion of the inspector, a condition exists that is an immediate threat to the safety of the flight.


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Chapter 7 Special Investigative ProceduresThis chapter applys to all Civil Aviation inspectors.

7.1 Contraventions by Military AircraftThe XXXXX (Insert State) Aviation Regulations do not apply to:

(1) XXXXX (Insert State) Armed Forces aircraft operating under the authority of the Minister of XXXXX (Insert Appropriate Minister); and

(2) foreign military aircraft.

The CFS/CAW/DFSR/DATS shall forward a detection report to concerned Military / Air Headquarters for any incident involving XXXXX (Insert State) military aircraft or for any incident involving foreign military aircraft operating in XXXXX (Insert State)Domestic Airspace.

7.2 Contraventions by XXXXX (Insert State) Aviation Companies

7.2.1 Contraventions Detected during an Audit or Base InspectionWhen audit or inspection team members detect an apparent contravention of the regulations, they shall follow the initial violation process including the seizure of relevant evidence. The Audit Manager shall identify all contraventions of the regulations detected during the audit and will determine whether the related information should be forwarded to the Convening Authority during the audit or held for inclusion in the audit report. If the Audit Manager is of the opinion that a contravention discovered during an audit requires immediate action, the Audit Manager shall inform the CFS/CAW/DFSR of the details and request a comprehensive investigation.

On receipt of the audit report, the Convening Authority, CFS/CAW/DFSR will jointly determine which contraventions require comprehensive investigation and deterrent action. If, at the completion of a comprehensive investigation, suspension of an Air Operators Certificate (AOC) or Approved Maintenance Organization (AMO) Approval appears to be the most appropriate sanction, the CFS/CAW/DFSR should consult with the DGCA before actionning the suspension. See Chapter 9 for other deterrent action considerations.

7.2.2 Contraventions Detected by Other MeansA Civil Aviation Inspector detecting a contravention by an air carrier crew member or employee must follow the initial violation process to record essential facts. A report must then be made to CFS/CAW/DFSR who has responsibility to investigate the matter (and the delegated authority to impose a penalty). The inspector or the CFS/CAW/DFSR/DGCA may address immediate operational considerations through the exercise of functional or safety powers under XXXXX (Insert State), e.g. the suspension of an AOC to avoid an imminent threat to aviation safety, but the matter must be referred for investigation and punitive action for the contravention. An investigator must coordinate a comprehensive investigation involving any air carrier contravention or airworthiness elements with the specialty functions before making a recommendation on the final case disposition to the CFS/CAW/DFSR.

Any violation committed by an air carrier employee during other than air carrier business shall be processed as described in Chapter 5.


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7.3 Contraventions of Foreign Aeronautics Legislation by XXXXX (Insert State) Aviation Document HoldersThese procedures apply whenever a XXXXX (Insert State) document holder is alleged to have violated foreign Aviation legislation.

If the allegations concern a regulation having a direct XXXXX (Insert State) equivalent, the investigation should proceed normally.

In cases where allegations relate to a regulation without XXXXX (Insert State) equivalent and where the contravention is confirmed, the CFS/CAW/DFSR may proceed administratively or judicially under XXXXX (Insert Rule)

7.4 Special Cases Involving XXXXX (Insert State) Registered AircraftWhere XXXXX (Insert State) operators are involved in contraventions which may have certification implications, the CFS/CAW/DFSR shall advise the operational authority for that operator.

7.5 Treatment of Gross Navigational Errors (GNE) - Oceanic or Domestic AirspaceGross Navigational Error is the term used to describe the deterioration in the performance of equipment used by aircraft authorized to fly in oceanic airspace.

From an Enforcement point of view, any deviation outside the vertical and horizontal limits associated with a clearance may be considered to be a violation, whether due to equipment degradation, to crew error or to another cause. Airspace violations are subject to investigation in the same manner as any other contravention would be investigated.

7.6 Contraventions Involving Foreign Civil AircraftWhere foreign civil operators are involved in contraventions which may have certification implications, the CFS/CAW/DFSR shall advise the operational authority for that operator through proper CAA Channels.

International Civil Aviation Organization (ICAO) rules and agreements, various bilateral agreements between XXXXX (Insert State)and other countries impact on the manner in which CAAXXXXX (Insert State)deals with contraventions involving foreign civil aircraft. Timely branch-to-branch consultations are mandatory to ensure expedient and effective enforcement actions.

While in XXXXX (Insert State), pilots and operators from foreign countries are expected to comply with the ICAO Standards.

7.7 Requests From Foreign Civil Aviation AuthoritiesRequests for assistance from foreign civil aviation authorities are normally received in headquarters and are relayed to the appropriate department for action. Direct requests from other foreign agencies shall be referred to headquarters. In any event, full CAA XXXXX (Insert State) cooperation is expected in keeping with the intent of Article 12 of the ICAO convention.

7.8 Contraventions by XXXXX (Insert State) EmployeesContraventions committed by departmental employees, including Head Quarters personnel, shall be handled in the normal manner. Departmental employees shall not be treated different from any other individual.


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Chapter 8 Case ReportsThis chapter applies to Civil Aviation Inspectors.

8.1 IntroductionA case report is an abridged relation of the facts of a case drawn up by the investigator for use by the CFS/CAW/DFSR. It is inserted as the first section of a case file. The case report provides a method of systematically compiling and summarizing all information pertinent to the case so that the CFS/CAW/DFSR can quickly become as familiar and conversant with the case as possible without the need to review in detail the complete contents of the file. After reading the case report, the CFS/CAW/DFSR should have a sufficient understanding of the case to be able to determine with confidence the appropriateness of the action recommended by the investigator. The case report also serves as a checklist for the investigator to ensure that all necessary investigative steps have been completed and nothing further remains to be done. It should be as accurate and comprehensive as possible.

8.2 Content and Preparation of Case ReportsThe cover sheet of the case report should contain the identity of the alleged offender by name and licence number, if appropriate, as well as the alleged contraventions and the name of the investigator. This should be followed by a case synopsis, which could be described as a thumbnail sketch of the case, providing the CFS/CAW/DFSR with a quick overview of the situation. Next is a sheet fully identifying the alleged offender by name, address and date of birth, and setting out licensing details and details of the aircraft involved. An analysis of legislation follows breaking down the alleged contraventions into their elements, listing the facts to be established and identifying the evidence to be used to prove those facts. A list of evidence which may be entered as exhibits if the case were to progress to the DGCA should be followed by the exhibits, e.g. copies of statements, diagrams, photographs and Certificates. The exhibits should be flagged with a letter to ensure quick and easy location. Originals of the items can be placed in the case report. If applicable, the alleged offender's enforcement history is indicated next. The package is rounded off with the inspector's recommendation in which any mitigating or aggravating circumstances may be outlined based on section 11.2 of this manual. While preparing a case report demands much work, a case cannot be expediently concluded without a properly prepared case report. In some instances, many man-hours may have been expended in investigating the offence. A successful and thorough investigation should not be jeopardized by the use of a poorly prepared or inadequate case report.

An example case report follows.


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8.3 Sample Case ReportFile Reference No. _________

CASE REPORT

(Alleged Offender’s_Name)

(Alleged Offender’s License Number)

(List the provisions contravened by section number)

Investigating Officer:

(Investigator’s Name)

Date


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CASE SYNOPSIS

(This summary of the case is intended to provide the CFS/CAW/DFSR with an overview of the situation)


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IDENTITY OF THE ALLEGED OFFENDER

Name: (Offender’s Name)

Address: (Offender’s Address)

D.O.B.: (Offender’s DOB)

License: (Offender’s License - Type and Number)

AIRCRAFT

Identity: (Aircraft Type, Model, Registration)

Owner: (Aircraft Owner)

Address: (Aircraft Owner’s Address)


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ANALYSIS OF LEGISLATION

ALLEGATION: Contravention of XXXXX(Insert State) Aviation Regulation (Regulation Number)

Regulation Text

ELEMENTS FACTS TO BE ESTABLISHED EVIDENCE EXHIBIT

Reg Element Reg Fact Evidence

ANALYSIS:


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JURISPRUDENCE


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INVESTIGATOR’S RECOMMENDATION

Investigator’s comments

SUPERVISOR’S COMMENTS

CFS/CAW/DFSR DETERMINATION

DGCA DECISION


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LIST OF EXHIBITS


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Chapter 9 Deterrent ActionThis chapter applies to Civil Aviation Inspectors personnel.

9.1 IntroductionThe most important decision in the enforcement process is determining the appropriate deterrent action to impose when the evidence indicates that an individual has contravened a provision of the Aviation Act or the XXXXX(Insert State) Aviation Regulations. This decision may significantly affect the individual’s attitude towards aviation safety and towards compliance with the rules in the future. The intent of the procedures in this chapter and the other chapters in this part is to promote fairness and uniformity in the selection of the appropriate deterrent action.

9.2 Objectives of Deterrent ActionThe major objectives of deterrent action are:

(1) to protect the individual and the public from possible harm;

(2) to encourage future compliance; and,

(3) to deter others from contravening Aviation legislation.

Achieving these objectives will contribute to the advancement of aviation safety which is the primary aim of aviation regulation.

9.3 Types of Deterrent ActionThere are two types of deterrent actions: judicial and administrative. Judicial action involves the prosecution of an alleged offender in the criminal courts and is only applicable to a few provisions of the Act and the CARs. Administrative action comprises all other measures taken by the DGCA pursuant to the provisions of the Aviation Act and includes oral counselling, the suspension of documents and the assessment of monetary penalties. Administrative action is described in Chapter 10.

9.4 Selection of Appropriate Deterrent ActionThe type of deterrent action permitted in response to an offence depends on the specific offence. [To determine which deterrent action is available it is essential to first ascertain whether a particular offence is one of the hybrid offences, summary conviction offences or the designated provisions. Figure 9-1 (page 9-6) illustrates the judicial and administrative actions which may be taken in respect of the various classes of offences. This illustration is based on the regulations of a Western State. States may use this illustation to develop their own based on their National Regulation]

(1) Designated Provisions

A designated provision is a regulation that has been listed. Designated provisions may be enforced only by administrative action in the form of a monetary penalty or a suspension; no prosecutions may be commenced in respect of the contravention of a designated provision.

(2) Hybrid and Summary Conviction Offences

Where a person has contravened a non-designated provision, the DGCA must decide whether to take administrative action by way of suspension or to take judicial action. All alleged contraventions of the Aviation Act or the CARs shall be dealt with by taking administrative deterrent action except where the criteria for judicial action are satisfied. The presumption is that a minimum enforcement sanction will be sufficient to achieve compliance. Stringent sanctions for a first offence are more likely to cause resentment than encourage future compliance. Moreover, administrative measures are usually more expeditious than prosecutions.


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(Criminal procedure is lengthy and expensive and courts are often unfamiliar with the significance of aeronautics offences.) Offenders may wish to have matters resolved with a minimum of delay while retaining the option for a review by a body that has expertise in aeronautics.

Where the alleged offender has been suspended in the past or has seriously jeopardized aviation safety, administrative action may be insufficient. In these cases judicial action may be more appropriate, particularly in light of the heavier sanctions normally imposed.

9.4.1 Joint Judicial-Administrative Deterrent ActionJudicial action and administrative action may be taken simultaneously where evidence discloses that a person has contravened two or more different provisions arising from the same incident provided that each provision violated does not rely on the same facts. For example, if a charge of reckless and negligent flying under XXXXX (Insert Rule) of the CAR’s relied in part on the fact that the pilot was low flying, the pilot could not also be proceeded against for low flying under XXXXX(Insert Rule)

A prosecution for one offence may be accompanied by suspension for another offence only where common facts are not relied on. Judicial and administrative deterrent action shall not be taken in respect of the same contravention. Either one or the other shall be selected depending upon the facts of the particular case.

9.5 Limitation Period XXXXX(Insert Rule/Provision) of the Aviation act/ CARs which expressly provides calendar limitation period on institution of proceedings under XXXXX(Insert Rule/Provison) of the aviation Act/CARs or by way of summary conviction. The period begins on the date of the infraction.

(1) The limitation period only applies to the two following types of proceedings:

(a) the imposition of a monetary penalty for contravention of a Designated Provision; and,

(b) court action by way of summary proceedings.

(2) For purposes of calculating the extent of the limitation period, "instituting a proceeding" means:

(a) in the case of the imposition of a monetary penalty, the issuance of a Notice of Monetary Penalty; and,

(b) in the case of a summary proceeding, the laying of an information.

(3) The limitation does not apply to proceedings brought by way of indictment or to administrative suspensions which address contravention of any provision. It is normally inappropriate, however, to impose a suspension instead of a monetary penalty on an alleged offender simply because the passage of time has made the limitation period rule applicable. In certain cases where the infraction is discovered long after the event and where the contravention is serious, it is appropriate to take deterrent action even though Calendar Period have passed. For example, Safety Board Investigations are often prolonged and information concerning a contravention may be late in being received by CAA of XXXXX(Insert State); contraventions involving airworthiness matters are often not discovered until long after the violation occurred but deterrent action remains appropriate.

9.6 Deterrent Action: Air Carriers


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Different considerations apply regarding deterrent action for contraventions committed by air carriers than apply to contraventions committed by pilots and others. This is because sanctions imposed in respect of a contravention affect not only the carrier but also the carrier’s employees and the public the carrier serves. Safety remains the overriding factor. Deterrent measures must impress upon the carrier that unsafe operation at the risk of public safety will not be tolerated.

9.6.1 Administrative ActionFour types of administrative action which may be taken where an air carrier contravenes a provision or regulation are:

(1) oral counselling;

(2) a monetary penalty;

(3) a suspension of an aviation document; or,

(4) a cancellation of an aviation document.

Suspension or cancellation of an aviation document would be appropriate where the carrier had repeatedly contravened the regulations even though the safety implications were minimal. Cancellation would also be appropriate where suspensions or monetary penalties are not having the desired effect.

9.6.2 Judicial ActionProsecution of an air carrier for a contravention of a non-designated provision is recommended in all cases where, in the opinion of the DGCA the contravention is such that it would be appropriate to seek a significant fine in court.

9.6.3 Emergency ActionOccasionally, the contravention of a regulation by an air carrier may pose an immediate threat to aviation safety. Two courses of action are available in such a situation.

(1) Aircraft Detention for Immediate Threat to Aviation Safety

Where the threat arises from a particular aircraft that is unsafe or likely to be operated in an unsafe manner, that aircraft may be detained pursuant to XXXXX(Insert Rule) of the CARs. The detention shall remain in effect until the unsafe condition is corrected.

(2) Air Operator Certificate Suspensions for Immediate Threat to Aviation Safety

Where the threat arises from the operations of the carrier (instead of a single aircraft), the DGCA may decide to suspend the Air Operator Certificate under XXXXX(Insert Rule) of the CARs. This sort of suspension must be viewed as a last resort to be carried out with extensive consultation among the various branches as appropriate. The DGCA must be satisfied that the immediate threat to aviation safety exists or is likely to occur as a result of an act or thing having been, being or proposed to be done under the authority of the document to be suspended. The DGCA would usually be the suspending authority. The AOC suspension shall come into effect immediately and remain in effect until such time as the threat to aviation safety is removed.

9.6.4 Punitive Suspension or Cancellation of an Air Carrier Air Operator Certificate Under XXXXX(Insert Rule) of CARsThe authority for cancelling an Air Operator Certificate under XXXXX(Insert Rule) of CAR rests with the Director General, Civil Aviation at Headquarters.


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A punitive suspension of an AOC should only be considered when the carrier has a history of repeat offences (two or more significant offences) and when, in the opinion of the suspending authority other measures (e.g. monetary penalties) would not promote future compliance. The suspending authority is responsible for reviewing the factors affecting the choice of sanction before the decision is made to suspend an Air Operator Certificate. The suspending authority should consult with various branches, as appropriate, to discuss:

(1) the technical accuracy of the evidence and findings;

(2) the coordination of concurrent regulatory actions, if applicable; and,

(3) the severity of the sanction as a response to the violation;

Once a final decision to suspend has been made, the suspending authority is responsible for following the procedure in Chapter 10 . Standard practice is to provide an opportunity for an informal meeting with the carrier. The suspending authority may involve the CFS/CAW/DFSR in the meeting with the air carrier representative. See Section 10.3 for guidelines on the informal meeting process.

The imposition of a punitive cancellation of an AOC should follow the same procedure as that for a suspension.

9.7 Sanction Determination in Cases of Multiple or Continuing Violations

9.7.1 Multiple ViolationsMultiple violations involve a series of distinct and separate contraventions of a particular regulation or regulations over a period of time. Each time, the circumstances of the offence may be different. For example, an aircraft could be operated in an overloaded condition each time it was flown during a certain period. Each time, the amount of overload could be different but there would be a violation every time. The contravention was not caused by something "inherent" in the aircraft, rather by factors present during the preparation of the flight.

In cases of multiple violations, the following procedures shall be used:

(1) Administrative Action

For multiple violations of the Designated Provisions, the Notice of Suspension or of Monetary Penalty shall state in the statement of offence the particulars of each offence including the dates and times of each flight in violation, and the sanction proposed in respect of each. Evidence to prove each individual infraction shall be secured so that in the case of a review by the Government the evidence can be presented.

(2) Prosecution

In the case of a summary conviction offence involving multiple violations, where prosecution is the desirable option, the government shall be advised of CAA's intention to lay charges in respect of each flight conducted in contravention of the regulations, that is, each flight should be set out as a separate count in the information.

9.7.2 Continuing ViolationsThere are a number of offences which could be repeated over a period of time as the result of a continuing condition or state of affairs. These generally relate to aircraft or personnel aviation document requirements, modifications or additions to aircraft equipment outside of airworthiness specifications and entries made in a log.


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In view of the fact that separate acts which are successive and cumulative, comprising a continuous series, can be considered as one offence at the discretion of the DGCA/Government the following procedures shall apply in the disposition of such cases:

(1) Administrative Action

In all cases of suspension or monetary penalty determination, each separate flight conducted in violation of the regulations shall be considered as a separate offence. The Notice shall provide the dates and times of each flight during the period of non-compliance, together with particulars and the sanction in respect of each offence.

(2) Termination of a Continuing Violation

A continuing violation which was the subject of enforcement action, but has not ceased, may need further action to secure compliance. If the violation was in respect of provisions not affecting airworthiness requirements, detention of an aircraft pursuant to XXXXX(Insert Rule) of CARs may not be possible. When the violations involve an air carrier, a viable option is to suspend the Air Operator Certificate relating to the particular aircraft operation under XXXXX(Insert Rule) of CARs in addition to any Enforcement action.

9.7.3 Flights with Intermediate StopsFlights involving intermediate stops made on a scheduled or unscheduled basis should, where circumstances warrant, be treated as one flight. Where the facts giving rise to the violation remain the same on a flight with intermediate stops, e.g. a commercial aircraft is operated in violation of XXXXX(Insert Rule) on a flight ABC-JKL-XYZ, it is appropriate to lay charges in respect of the entire flight, as opposed to considering the flight as two separate offences. A submission may be made in speaking to sentence, emphasizing the fact that during each segment of the flight there was a decision to operate in violation of the regulations.

9.7.4 Assessment of SanctionThe assessment of the sanction in all administrative cases shall consider each count separately following the guidelines in Chapter 11 . A brief reason for sanction shall be recorded for each count. The total amount of monetary penalty or period of suspension shall be the sum total of the sanctions imposed for each count. Where exceptional circumstances warrant, the final sanction may be modified. The DGCA should record the reasons for the modification in the case file.

9.8 Disclosure of Deterrent Action

9.8.1 Disclosure to EmployersEmployers of XXXXX (Insert State) aviation document holders should be advised of the deterrent action taken if the contravention took place while the alleged offender was on company business. If the alleged offender was not on company business at the time of the contravention, the disclosure of deterrent action to their employer is prohibited unless an exception under the regulations applies. An exception may exist where the deterrent action taken against a professional pilot affects the pilots employment, e.g. suspension of licence privileges. An exception may also exist where it would definitely be in the public interest, usually in terms of aviation safety, to inform the employer, e.g. a pilot who has been detected flying while under the influence of alcohol. The question of whether or not to inform an employer must be addressed on a case-by-case basis. The DGCA will decide if disclosure to the employer is appropriate.

9.8.2 Notification of Detection SourceThe CFS/CAW/DFSR shall ensure that the detection source is advised of the outcome of the case and record this action.


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Figure 9-1 Table of Judicial and Administrative Action

CLASS OF OFFENCE

Designated Provisions Non-Designated Provisions

Optional Oral Counselling

Actions Administrative Suspension of XXXXX (Insert State) Aviation Document

Summary Conviction Offences

Hybrid Offences

Proceedings Administrative Court Prosecution Court Prosecution

By Way of Summary Conviction

By Way of Summary Conviction

By Indictment

Punishment

Individuals Maximum Monetary Penalty

Maximum Fine

No

Imprisonment

Prohibition

Maximum Fine

Imprisonment

up to one year

Prohibition

No Maximum Fine

Imprisonment

up to five years

Prohibition

Corporations Maximum Monetary Penalty

Maximum Fine

Prohibition

Maximum Fine

Prohibition

No Maximum Fine

Prohibition

Commercial Air Services Wilful misuse of documents - Forfeiture

Recourse

- Review by

Director General

Civil Aviation

- Appeal to a Higher Authority




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Government


Table of Sanctions

Chapter 10 Administrative ActionThis chapter applies to Civil Aviation Inspectors

10.1 IntroductionAdministrative action comprises all deterrent measures, other than judicial action, taken by the DGCA pursuant to the provisions of the Aviation Act and CARs. Administrative action in the form of a suspension or oral counselling can be used not only for designated provisions offences but also for summary conviction and hybrid offences. Almost all deterrent actions taken by CAA XXXXX (Insert State) are administrative actions. They are usually resolved quickly yet give the offender access to a review and the full process of natural justice.

10.1.1 Administrative Action OptionsThere are two categories of administrative actions which may be taken when a contravention has occurred. Determination of the appropriate action depends upon policy considerations, the detection source and the circumstances of each contravention.

(1) Preventive Action

Oral counselling (see Chapter 3 for details). If a comprehensive investigation is concluded with an oral counselling, that fact is recorded and the file is closed as an NFA.

(2) Administrative Sanctions

(a) Administrative Monetary Penalties

Administrative monetary penalties may be assessed where there has been a contravention of a designated provision. The monetary penalty procedures are set out in XXXXX (Insert Regulation/Rule) of the Aviation Act/CARs.

(b) Suspension of XXXXX (Insert State) Aviation Documents

A punitive suspension may be taken in respect of any contravention of a provision of XXXXX (Insert Rule) of the Aviation Act or the CAR’s

10.2 Administrative Action: Selection and ProcessContraventions of designated provisions may be dealt with either by suspension or by assessment of an administrative monetary penalty. When contraventions of non-designated provisions are dealt with administratively the only sanction which may be imposed is suspension of an aviation document.

Simultaneous administrative and judicial enforcement action under the Aviation Act may be taken for different contraventions arising out of the same circumstances, but this is very rare. For the limited number of offences where there is an option, administrative and judicial enforcement action shall not be taken in respect of the same contravention; one or the other shall be selected depending upon the facts of the particular case.

When, in the opinion of the DGCA, aviation safety is an issue, or, in the case of an air operator, the violation was associated with the “cost of doing business” or was a way of reducing operating costs, the minimum penalty imposed shall be the penalty recommended in the Table of Sanctions.


Page 11 - 41


10.2.1 Procedures for Administrative Monetary PenaltiesWhen the DGCA receives a case report from the investigating inspector, the DGCAmay assess an administrative monetary penalty as a sanction, whether or not a monetary penalty is recommended in that report.

The following procedures apply in all cases where an administrative monetary penalty is assessed.

(1) The CFS/CAW/DFSR shall determine and recommend the amount of the penalty that is appropriate, considering the Table of Sanctions set out in Chapter 11 .

(2) The CFS/CAW/DFSR shall complete the Notice of Monetary Penalty. The Notice shall contain a clear description of the offence, and sufficient details of the contravention so the alleged offender can identify the incident or incidents constituting the contravention.

(3) With the Notice, the CFS/CAW/DFSR shall enclose an information sheet describing the informal meeting procedure and offering the alleged offender an opportunity to discuss the sanction.

(4) The CFS/CAW/DFSR shall serve the Notice on the alleged offender personally or by registered mail. The date appearing on the Notice shall be the date on which the Notice is to be served or sent.

(5) The monetary penalty may be paid by one of the methods acceptalbe to CAAXXXXX(Insert State) and may be sent by mail or brought personally to the CFS/CAW/DFSR or appointed delegate. An official receipt will be issued. (Procedures may vary with States)

(6) Should the monetary penalty not be paid by the due date (a minimum of 30 days not counting the day the Notice is served), the CFS/CAW/DFSR shall send a copy of the Notice to the DGCA within fifteen days following the due date.

10.2.2 Suspension ProcedureThe suspension of a XXXXX(Insert State) aviation document for contravention of a provision of the Aviation Act or CAR’s is the most severe administrative sanction the DGCA can impose. Suspension action is taken where a monetary penalty would be an inadequate deterrent or continued use of the document would create a hazard to aviation safety and judicial action is either not available or inappropriate.

Where a XXXXX(Insert State) aviation document has been suspended, the person to whom it was issued shall return it to the DGCA and shall not exercise the privileges attached to that document until it is restored by the DGCA. Suspensions for contravention are punitive in nature and are in effect for a specified time period.

Note: Suspensions on other grounds may be corrective in nature and may be accompanied by conditions for restoration.

The following paragraphs outline the suspension process.

(1) The CFS/CAW/DSFR shall determine and recommend the appropriate duration of suspension by considering the Table of Sanctions in Chapter 11 and the recommendation of the investigator.

(2) The CFS/CAW/DSFR shall complete the Notice of Suspension. The Notice shall contain a clear description of the offence, and sufficient details of the contravention so the alleged offender can identify the incident or incidents constituting the contravention.

(3) With the Notice, the CFS/CAW/DSFR shall enclose an information sheet describing the informal meeting procedure and offering the alleged offender an opportunity to discuss the sanction.

(4) The CFS/CAW/DSFR shall serve the Notice on the alleged offender personally or send it by registered mail. The date appearing on the Notice shall be the date on which the Notice is to be served or sent.


Table of Sanctions

(5) Where the alleged offender requests a review by the DGCA and applies for a stay of suspension pending its decision, the CFS/CAW/DSFR shall not oppose the application unless it appears that a threat to aviation safety would result. In such a case, the CFS/CAW/DSFR or his designate shall present the Department's position to the DGCA.

(6) Where the alleged offender does not ask for a review by the DGCA within thirty (may vary with States) days and then fails to deliver the suspended document, after giving due consideration for delay in the mail, charges shall be laid against the alleged offender under XXXXX (Insert Rule). Prior to laying charges, the document holder should be contacted to confirm the situation.

10.2.3 CancellationCancellation of a document of entitlement because of incompetence, lapse in qualifications of the document holder or lack of medical fitness is within the purview of licensing and certification authorities. Authority to cancel a document for enforcement reasons under XXXXX (Insert Rule) of CARs has been delegated to the DGCA, not to CFS/CAW/DFSR. (This may vary from State to State, State should ensure delegation of authority while framing this.)

10.3 Informal MeetingThe informal meeting offers the alleged offender who has received a Notice of Monetary Penalty or a Notice of Suspension, the opportunity to discuss the sanction. Keeping in mind that the objective of the sanction is to obtain future compliance and provide deterrence to others, the DGCA may modify or amend the original decision. This may be done when new evidence of a statutory defence or mitigating factors come to light, or when the DGCA obtains the assurance, during the discussion, that the alleged offender will comply in the future.

DGCA s may conduct informal meetings with alleged offenders in person, or other electronic medium, or through written submissions. During an informal meeting, DGCA may enter into penalty negotiations with a view to reaching a settlement in the case, thereby closing the file. Any discussions during the informal meeting are predicated on the fact that the alleged offender or the alleged offender’s representative will not question the finding of the investigation

The alleged offender normally has thirty days from the date the Notice is served or sent to accept the offer and meet with the DGCA.

10.3.1 Penalty Negotiation ConsiderationsThe following factors shall be considered in deciding whether to enter into penalty negotiations or not:

(1) evidence of mitigating factors not previously identified during the investigation;

(2) the alleged offender’s enforcement record;

(3) the seriousness of the offence;

(4) the attitude of the offender toward future compliance;

(5) whether deterrence can still be achieved through a negotiated settlement;

(6) the financial burden on the alleged offender of costs associated with Legal proceedings; and

(7) whether negotiations with a particular alleged offender would bring the enforcement program into disrepute.


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Chapter 11 Table of Sanctions

The tables in this chapter provide guidance to the Civil Aviation Inspector/Chief, Flight Standards / Chief, Airworthiness/ Director, Flight Safety and Regulations /DGCA in the selection of an appropriate sanction.

11.1 GeneralThe Table of Sanctions which follows shall be used as a guideline by a Civil Aviation Official when recommending a sanction and by the DGCA when imposing a sanction. Nevertheless, each case must be judged on its own merits and every sanction shall be justified. This step is crucial in the event the decision is reviewed by the Government. To that effect, the tables should be adhered to as closely as possible to ensure uniformity in the levying of sanctions and any deviation from the recommended sanction, given the circumstances of the case, must be justified based on the following factors:

(1) The sanction may be moderated in light of mitigating circumstances, (events which were inadvertently caused by misunderstanding, misconception or an honest mistake).

(2) The highest category of document related to the contravention would be the document suspended as a sanction for the contravention.

(3) A second offence is considered to take place when the record of a previous similar but not necessarily identical offence is still on the offender's file. (i.e within a reasonable period, to be defined by the authority.)

(4) Sanctions for all subsequent contraventions should be raised from previous sanctions.

11.2 Factors Affecting the Choice of Sanction(1) The facts surrounding the commission of the offence

(a) what was the role of the offender;

(b) was there any pressure or undue influence exerted by an employer or an employee; and

(c) were there mitigating circumstances not amounting to a defence?

(2) The gravity of the offence

(a) was a threat to safety posed;

(b) was there any actual harm done;

(c) did the violation result in an incident or accident;

(d) was there careless or reckless conduct; and

(e) what is the maximum punishment available?

(3) The premeditation or deliberateness of the offence and attitude of the offender

(a) while "the mental element" is not relevant to guilt in strict liability offences it may be indicative of the offender's attitude;

(b) was recklessness involved or plain negligence;

(c) what is the offender's attitude toward safety; and

(d) what is the offender's attitude toward future compliance?


Table of Sanctions

(4) Personal characteristics to be considered - what is the offender's:

(a) age;

(b) experience level, knowledge and skill in Aviation;

(c) training record;

(d) employment - is a licence required to hold employment;

(e) work in relation to any XXXXX (Insert State) aviation documents; and

(f) financial position in regard to the ability to pay a fine or penalty?

(5) The record of the offender

(a) are there any prior sanctions on record;

(b) is this an isolated act or is this person a repeat offender;

(c) are there any related or similar offences on record; and

(d) is there any question of competence or qualification involved?

(6) Punishment

(a) what is the range of sanctions available?

(7) Deterrence and public safety

(a) would the recommended sanction contribute to public safety; and

(b) will the sanction act as deterrent to others?

(8) Rehabilitation

(a) will the sanction promote future compliance on the part of the offender?

11.3 Air Operator Certificate SuspensionAccording to the current Civil Aviation Regulations the DGCA has the authority to suspend/cancel an Air Operator Certificate as a punitive measure.

NOTE: For CAAs

The sanctions table that follow have been taken from an enforcement docement of a CAA in the Western Hemisphere. The number of days and monetary amount indicated may need revision based on your rules and regulations . The heftiness of the amount would be indicative of the gravity of the offence. CAAs may like to bear this in mind when working out their sanctions.


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Table of Sanctions Page 11 - 47

11.4 Designated Provisions

GENERAL PROVISIONS (ADMINISTRATION AND COMPLIANCE)

CAR

*OFFENCE

RECOMMENDED SANCTION

(INDIVIDUAL / CORPORATE)

FIRST OFFENCE

SECOND OFFENCE

SUBSEQUENT OFFENCE

failure of an owner/operator of an aircraft to make it available for inspection

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of a LICENCE/APPROVAL holder to produce the document on demand

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

a) lend a LICENCE/APPROVAL to a person not entitled to have one

b) mutilate, alter or render illegible a LICENCE/APPROVAL

14-30 days $1000 / $5000

30-60 days $2500/ $12500

60 or more $5000 / $25000

failure of a LICENCE/APPROVAL holder to return LICENCE/APPROVAL when suspended/canceled

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

IDENTIFICATION OF AIRCRAFT

AND OTHER AERONAUTICAL PRODUCTSto operate an aircraft in flight without an identification plate attached to it.

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of aircraft manufacturer/owner to attach an identification plate

a) to the hull/fuselage/other structure near the rearmost door/tail of an aircraft

b) in a position near the pilot seat of an ultra-light

c) lower/upper girdle of a balloon envelope

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of aircraft owner to attach an identification plate when so authorized

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of a person who modifies an aircraft that results in a model designation change

3-7 days 7-14 days 14 or more




in to attach a new plate with specified information close to the original one

$250 / $1250 $500 / $2500 $1000 / $5000

a) to remove or replace an identification plate without authorization

b) to attach a plate from another aircraft without authorization

c) to alter information on a plate without authorization

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of aircraft owner to perform authorized removal/replacement/substitution/alteration before the next flight

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of person to re-attach a plate if it has been removed for the purposes of performing work

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of owner to attach a replacement identification plate

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an aircraft in flight without its engines, propellers, components, appliances, balloon baskets or heater assemblies being identified

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of an engine/engine module manufacturer to place identification information on its products

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of a propeller/propeller component manufacturer to place identification information on its products

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of a life-limited component manufacturer to place identification information on its products

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of an appliance manufacturer to place identification information on a product for which an airworthiness standard exists

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of a balloon basket/burner manufacturer to place identification information on its products

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of a person to remove, replace identification plates or alter information on aeronautical products other than aircraft

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000



CARs Non-Designated Offences (cont'd)

without authorization

failure to remove, replace or alter information on aeronautical products in accordance with regulation

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure to remove, replace and alter information on aeronautical products when work is performed or the product is modified

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

AIRCRAFT MARKING AND REGISTRATIONto operate an aircraft when its marks are not visible and displayed as specified in

a) Marking Standards for …………. (Insert State) aircraft or

b) state laws for foreign aircraft

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an aircraft without authorization to fly without visible marks on board aircraft

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to remove/change marks without authorization

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure to display alternative marks on replicas/former military aircraft as authorized ( If rule permits)

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to display alternative mark size/location without authorization

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of aircraft manufacturer to

a) affix assigned marks as specified

b) inform the DGCA prior to the operation of the aircraft

c) remove marks and inform the DGCA after completion of operations

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an unregistered aircraft in ……………… (Insert State)

14-30 days $1000 / $5000

30-60 days $2500/ $12500

60 or more $5000 / $25000

to operate aircraft without compliance with conditions set out in an authorization

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure to carry C of R on board 1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure to return C of R to DGCA within 1-3 days 3-7 days 7 or more



11.4 Designated Provisions (cont’d)

………(Insert days) days when so requested

$100 / $500 $250 / $1250 $500 / $2500

failure of owner to notify DGCA within ……………(Insert days) days of transfer of ownership

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to operate an unregistered aircraft for the purpose of importing it into (Insert State) without a provisional C of R

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of the registered owner to

a) remove marks and Mode S address

b) notify the DGCA

c) provide copies of sale / lease agreements

d) return the C of R when aircraft is exported.

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate in ……… (Insert State) for more than ……… (Insert days) days within ………..(Insert Months) months

a) an aircraft registered in a non-contracting State

b) without being eligible to operate as an operator

c) without an operations certificate

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

OPERATION OF FOREIGN REGISTERED AIRCRAFTto operate a foreign-registered, ultra-light aircraft in …………. (Insert State)

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an aircraft pursuant to an authorization without a copy of authorization on board or if in non-compliance with specified conditions

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of owners to inform the DGCA within ………….. (Insert days) days of the location of their aircraft

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure to notify the DGCA

a) of the date of return to service of an aircraft

b) of the manner in which the aircraft will be disposed of when it is permanently

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500




withdrawn from service

failure of owners to notify the DGCA within ………….. (Insert days) days of a change of address

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of owner to notify DGCA within ………….(Insert days) days of loss of qualification to be registered owner of a …………..(Insert State) aircraft

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of owner to notify DGCA within ………….. (Insert days) days of becoming aware that the aircraft

a) was destroyed

b) was permanently withdrawn from use

c) was missing and search is terminated

d) has been missing for ………. (Insert days) days or more

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of owner to remove marks when so requested

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to provide fraudulent notification of removal of marks

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

AERODROMESfailure of aerodrome operator to allow access to aerodrome for inspection

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of aerodrome operator to notify the DGCA of any change that affects published information

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of aerodrome operator to remove markers/markings from an aerodrome that is closed permanently

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of aerodrome operator to install flags/cones along boundaries of unserviceable areas

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of aerodrome operator to place closed markings on a closed runway

a) at both ends of and at intervals of 1,000’ on a runway that is greater than 4,000’ in length

b) at both ends and in the middle of a

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000




runway that is between 1,500’ and 4,000’

c) at both ends of a runway that is 1,500’ or less in length

failure of aerodrome operator to place closed markings on a closed taxiway

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of aerodrome operator to place closed marking on a closed heliport

a) by placing a closed marking over the letter “H”, or

b) as specified in requirement

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of aerodrome operator to place appropriate markings on permanently closed portions of a maneuvering area

a) by obliterating all marks

b) paint markings as specified in requirement

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of an aerodrome operator to

a) post notices warning pedestrians/vehicular traffic of hazards on or near the manoeuvring area or

b) inform appropriate authorities responsible for posting such notices

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of aerodrome operator to install and maintain wind direction indicators as described in Aerodrome Manual

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of aerodrome operator to remove wind direction indicators when aerodrome is permanently closed

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of aerodrome operator to illuminate each side of a runway with appropriate lighting

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of aerodrome operator to indicate each side of a taxiway with appropriate lighting/reflectors

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

to operate heliport lighting when heliport is closed

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000




failure of aerodrome operator to illuminate unserviceable areas of an aerodrome at night

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of aerodrome operator to properly indicate the boundary of parking areas at night

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of aerodrome operator to properly illuminate helicopter landing area at night as specified in manual.

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

AIRPORTSfailure of airport operator to:

a) comply with standards or conditions set out in the airport certificate

b) allow access to the airport for inspection

c) review aeronautical publications for the accuracy of information relating to the airport

d) notify the DGCA within (Insert days) days of any change likely to affect published information:

e) inspect the airport when required

f) notify the DGCA within ……….. (Insert days) days of any change in airport operations

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure airport operator to give to the DGCA, ATC or FSS notice of:

a) any projection

b) obstruction or hazardous condition affecting aviation safety

c) reduction in levels of service

d) the closure of any part of the manoeuvring area

e) any other condition that warrants such precaution

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure airport operator to communicate to the pilot conditions that could affect aviation safety

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000




failure of airport operator to:

a) provide the DGCA with a copy of the airport manual

b) maintain the airport manual

c) submit amendments to the airport manual to the DGCA for approval

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure airport operator to operate in accordance with the airport operations manual

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of an airport operator to:

a) post notices warning pedestrians/vehicular traffic of hazards on or near the manoeuvring area or

b) inform appropriate authorities responsible for posting such notices

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

AIRCRAFT FIRE FIGHTING AT AERODROMES AND AIRPORTS

failure of designated airport operator to provide required aircraft fire-fighting vehicles and personnel

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of participating airport or aerodrome operator to provide required aircraft fire-fighting vehicles and personnel corresponding to category published in AIP

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

a) failure of a designated airport operator to establish monthly hours of operators to coincide with Ninety (90) percent of commercial passenger-carrying aircraft movements

b) failure of a designated airport operator to publish in AIP or NOTAM the hours of operation of fire-fighting service

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of participating airport or aerodrome operator to establish aircraft fire-fighting service hours and failure to ensure the hours are published in the AIP or by NOTAM

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of designated airport operator to determine critical category for fire fighting based on number of movements over three

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000




months by commercial passenger-carrying aircraft

failure of designated/participating airport/aerodrome operator to provide the fire fighting service with extinguishing agents and delivery equipment required.

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of designated/participating airport/aerodrome operator to provide the fire fighting service with water, extinguishing agents and fire-fighting vehicles as required.

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of designated/participating airport/aerodrome operator

a) to plan corrective measures within specified period. to meet requirements; and

b) to submit the plan to the DGCA

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure by designated airport operator to meet, within (Specify Period) higher critical category for fire fighting where aircraft size or number of movements increase

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of airport/aerodrome operator to ensure minimum number of trained fire-fighting personnel are available airside

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of airport/aerodrome operator to ensure fire-fighting personnel are trained to standards

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of airport/aerodrome operator to provide fire-fighting personnel with necessary equipment and protective clothing

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

airport/aerodrome operator permitted person to act or person acted as firefighter without successfully completing specified training within previous (Insert Months) months

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

failure of airport/aerodrome operator to:

a) maintain firefighter training records to

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000




standard;

b) preserve training record for three years;

c) on request, provide the DGCA with a copy of the training record.

failure of airport/aerodrome operator to ensure sufficient personnel are available to meet immediate response requirements

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of airport/aerodrome operator to carry out a response test

a) every (Insert Months) months

b) as requested by DGCA

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

failure of airport/aerodrome operator to give the DGCA (Specify Period / Weeks) written notice in advance of a response test.

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of airport/aerodrome operator to provide the DGCA with results of response test within ( Insert days) days

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of airport/aerodrome operator to record and preserve response test records for (Specify Period/Years)

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of airport/aerodrome operator within (Specify Period /days) to

a) identify deficiencies causing unsatisfactory response test and notify appropriate ATC or FSS to publish a NOTAM

b) establish a plan of corrective measures and set target dates for implementation

c) submit the plan to the DGCA

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of airport/aerodrome operator to implement corrective plan by specified dates

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of airport/aerodrome operator to provide a communication and alerting system that meets fire-fighting standards

14-30 days $1000 / $5000

30-60 days $2500/ $12500

60 or more $5000 / $25000

failure of designated airport operator to meet requirements for prescribed fire-fighting service

14-30 days $1000 / $5000

30-60 days $2500/ $12500

60 or more $5000 / $25000




failure of participating airport/aerodrome operator to meet requirements for prescribed fire-fighting service

14-30 days $1000 / $5000

30-60 days $2500/ $12500

60 or more $5000 / $25000

PERSONAL LICENSING AND TRAININGto act as a crew member without

a) holding or being able to produce a flight crew permit, licence or rating;

b) holding or being able to produce a valid medical certificate.

14-30 days $1000 / $5000

30-60 days $2500/ $12500

60 or more $5000 / $25000

to act as a crew member of an aircraft registered in a contracting state in (Insert State)

a) without a (Insert State) flight crew document or

b) equivalent foreign authorization

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to exercise privileges of a flight crew document

a) without having acted as PIC or SIC within (Specify Period) or

b) without having completed a flight review within the (Insert Months) months preceding the flight

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to exercise privileges of a flight crew document

a) without having successfully completed a recurrent flight training program within (Specify Period) and

b) where passengers are carried, performed (Specify Number/5) take-offs/landings by day or night within (Specify Period/6 Months) of the flight in the same aircraft category

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to exercise privileges of an instrument rating without having:

a) successfully completed a flight check within (Insert Months) months;

b) acquired (Specify Number) hours of instrument time and conducted (Specify Number) approaches to set minima in real

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




or simulated conditions within the (Specify Number) months preceding the flight; or

c) acquired (Specify Number) hours of instrument time and conducted 6 approaches to set minima in real or simulated conditions within the (Specify Number) months preceding the flight while acting as an instrument instructor.

to exercise privileges of a flight engineer licence without:

a) having acted as one within (Specify Number) years or successfully completed a written examination within (Insert Months) of the flight and,

b) where a passenger is carried, having acted as one in the same type of aircraft or simulator within the(Specify Number) months preceding the flight.

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to exercise privileges of an ultra-light instructor without having:

a) acted as PIC or SIC of an aircraft within (Specify Period)years or met written examination requirements within (Insert Months) months of the flight

b) successfully completed recurrent flight training program within (Specify Number) months; and

c) where a student is carried, conducted (Specify Number) take-offs/landings within the (Specify Number) months preceding the flight.

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to make an unauthorized entry in a personal log

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of a co-pilot to record flight as P-I-C time

a) in accordance with approved training program

b) in accordance with training standards

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to conduct a flight test

a) when not designated by the DGCA to

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000




conduct such tests and

b) if not accordance with licensing standards

failure of a private pilot to act as a pilot for hire and reward in accordance with conditions set out in requirements

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

to exercise night flying privileges with a day-only restricted, commercial aeroplane licence

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

to exercise night flying privileges with a day-only restricted, commercial helicopter licence

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

to exercise privileges of a Class 4 (insert as applicable) nstructor (Insert as applicable) rating without

a) being employed as an instructor and

b) being supervised by a supervising instructor of the flight training unit

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of Class 1 or 2 instructor (insert as applicable) - aeroplane (Insert as applicable to provide supervision in accordance with personnel licensing standards

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of Class 1or 2 instructor (Insert as applicable) of- helicopter to provide supervision in accordance with personnel licensing standards

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of Class 4 instructors (Insert as applicable) to keep records in accordance with standards

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

AIR TRAFFIC CONTROLLER LICENCE AND RATINGto act/exercise privileges of an air traffic controller without appropriate documents

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to exercise privileges of an ATC licence without having successfully completed a proficiency check within (Insert Months) months

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of the manager of an ATC unit to 1-3 days 3-7 days 7 or more




a) maintain a training record

b) enter licence number of training officer or supervisor and certifying information as correct

c) provide a copy of a training record when so requested by the person to whom the record relates

d) provide a copy to the DGCA

$100 / $500 $150 / $750 $250 / $1250

A.M.E LICENCE RATINGto exercise privileges of an AME licence:

a) without holding an AME licence;

b) without compliance with ratings or limitations endorsed on the licence; and

c) in non-compliance with C A R

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to exercise the privileges of an AME licence:

a) unless licence was issued within 24 months; or

b) has performed specified aircraft maintenance activity.

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of an AME to regain currency in accordance with C A R

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to provide AME training without an “Approved Training Organization” certificate

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

MEDICAL REQUIREMENTto exercise/attempt to exercise privileges of a personnel document without having the appropriate valid medical certificate.

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

FLIGHT TRAININGfailure of a person to conduct of flight training in accordance with requirements

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of a person to provide a flight training outline that meets the standards

1-2 days $100 / $500

2-7 days $100 / $500

7 or more $100 / $500

to conduct flight training without 7-14 days 14-21 days 21 or more




possessing flight instructor qualifications $500 / $2500 $1000 / $5000 $2000 / $10000

to perform flight training when not familiar with aircraft used for flight training

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of a person to operate flight training aircraft in accordance with licensing standards

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of a person to operate at an aerodrome suitable for flight training operations

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of flight instructor to provide appropriate pre-flight briefing and instruction

1-2 days $100 / $500

2-7 days $100 / $500

7 or more $100 / $500

failure of flight instructor to authorize a training flight

1-2 days $100 / $500

2-7 days $100 / $500

7 or more $100 / $500

failure of a person to maintain pilot training records

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of person responsible for trainee’s records to:

a) certify entries in records

b) provide trainees with the record

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of the person who conducted the flight test to forward records to the DGCA upon completion of training

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

FLIGHT TRAINING INSTITUTEto operate a FLYING TRAINING INSTITUTE without/contrary to the provisions/conditions of Approval

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to operate a FLYING TRAINING INSTITUTE using a glider, balloon, gyroplane or ultra-light without having provided the DGCA with:

a) legal/trade name & address of the operator

b) base of operations

c) category of aircraft

d) type of flight training conducted

e) name of flight instructor responsible for

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




operational control

failure of the FLYING TRAINING INSTITUTE to provide the DGCA with above-mentioned information:

a) prior to commencing operations

b) within (Specify Number) working days of any change in operations

c) when service is discontinued

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of FLYING TRAINING INSTITUTE to appoint a CFI who meets the requirements

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of a FLYING TRAINING INSTITUTE to notify the DGCA within (Specify Number) working days

a) after the appointment of a CFI

b) of any change in appointment of a CFI

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to act as CFI

a) without appropriate qualifications or

b) without having acknowledged responsibilities

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of FLYING TRAINING INSTITUTE to appoint flight instructors who meet the requirements

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

to appoint/act as ground instructors

a) without having been briefed by the CFI on the standards and objectives

b) without satisfactory knowledge of the subject matter

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of FLYING TRAINING INSTITUTE to maintain appropriate records for (Specify Number) years

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure to assign flight instructors who are familiar with training aircraft

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

to operate an aircraft for flight training

a) without it being registered in the state

b) without DGCA authorisation when the aircraft is registered in another contracting

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




State

c) without the type being approved for use in (Insert State)

to operate an aircraft at a FLYING TRAINING INSTITUTE without a flight authority

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

to operate an aircraft at a FLYING TRAINING INSTITUTE where the front seat belt assemblies do not incorporate shoulder harnesses

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of FLYING TRAINING INSTITUTE to establish checklists for every aircraft

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of FLYING TRAINING INSTITUTE to establish and comply with a Maintenance Control System

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of FLYING TRAINING INSTITUTE to:

a) identify a person responsible for the Maintenance Control System

b) authorize the person to remove aircraft from service

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of FLYING TRAINING INSTITUTE to provide adequate staff and facilities for the maintenance of aircraft

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of a FLYING TRAINING INSTITUTE to

a) establish and submit a MCM to the DGCA for approval

b) authorize the use of and comply with the policies of its MCM

c) ensure that copies of the MCM/parts is/are distributed to appropriate persons

d) submit amendments to the DGCA for approval

e) insert amendments within 30 days

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to permit a third party to perform maintenance

a) where that person is a (Insert State) and

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




does not hold an AMO certificate

b) where that person is not a (Insert State) and is not approved under the laws of that State to perform maintenance, or

c) otherwise when the person is not approved by the DGCA

failure of FLYING TRAINING INSTITUTE to ensure that work performed by third party

a) is clearly defined and

b) performed in accordance with approved standards

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of FLYING TRAINING INSTITUTE to establish and follow procedures to ensure that aircraft is:

a) airworthy,

b) equipped for the intended flight and

c) maintained appropriately

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of FLYING TRAINING INSTITUTE to establish and comply with polices and procedures that meet the standards with respect to:

a) the recording of defects

b) identifying defects

c) rectification of defects

d) scheduling rectification of defects that have been deferred

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of FLYING TRAINING INSTITUTE to report service difficulties to the DGCA

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to allow a person to perform elementary work without supervision when the person

a) has not completed appropriate training or

b) has not previously completed the task under supervision before

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of FLYING TRAINING INSTITUTE to ensure that persons performing or requesting servicing have

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




been trained

failure of FLYING TRAINING INSTITUTE to implement a training program to ensure maintenance staff are knowledgeable of regulations, standards and FLYING TRAINING INSTITUTE procedures

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of FLYING TRAINING INSTITUTE to establish, maintain and retain maintenance personnel records for (Specify Number) years

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of FLYING TRAINING INSTITUTE to provide a copy of the record to the person in question

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of FLYING TRAINING INSTITUTE to establish and maintain an evaluation program that

a) meets the standards

b) includes records of findings which shall be retained for at least(Specify Number) years

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of the person responsible for ensuring compliance with the Maintenance Requirement to efficiently distribute records of findings from an evaluation

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of FLYING TRAINING INSTITUTE to have access to an aircraft certified for spins

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of FLYING TRAINING INSTITUTE to have access to a helicopter certified for auto-rotations

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of FLYING TRAINING INSTITUTE to have facilities at base of operations that do not meet the standards

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to permit a person to take-off in an aircraft that has not been maintained in accordance with the Maintenance Requirements.

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to permit an aircraft to be operated over water unless it can reach the shore in the event of an engine failure

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




failure of FLYING TRAINING INSTITUTE to notify the DGCA of solo cross-country flight routes

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of FLYING TRAINING INSTITUTE to establish/maintain/retain daily flight records for (Specify Number) years

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of FLYING TRAINING INSTITUTE to designate a person to make journey log entries

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of a FLYING TRAINING INSTITUTE that operates a satellite base to:

a) assign a flight instructor to be responsible

b) ensure that a he/she is on duty when solo training is in progress

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of a Class 4 instructor to conduct training when Class 1 or 2 instructor is not in duty(insert as applicable)

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

ANNUAL AIRWORTHINESS INFORMATION REPORTfailure of owner of a (Insert State) aircraft to submit an Annual Airworthiness Report either as

a) an individual report, or

b) as a consolidated fleet report.

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of owner of (Insert State) aircraft to provide prescribed information

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of owner of (Insert State) aircraft to submit report on time

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

EXPORT AIRWORTHINESS CERTIFICATEfailure of owner who exports aircraft to

a) forward documents and information to the new owner

b) instructions for re-assembly, as appropriate

c) remove temporary equipment and restore aircraft to configuration approved in

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




type certificate

AIRCRAFT MAINTENANCE REQUIREMENTFailure of person performing maintenance/elementary work to use methods, techniques, procedures, tools, etc.:

a) as specified in the most recent maintenance manual;

b) equivalent to those in the most recent maintenance manual; or

c) industry-recognized practices.

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

Failure of person performing maintenance/elementary work to ensure that measuring devices:

a) meet manufacturer’s specifications; and

b) are properly calibrated.

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to supervise an inspection/perform an inspection unsupervised using standard methods.

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of a person performing maintenance/elementary work to ensure

a) that the details as required are entered in the technical record and

b) the technical record is accurate

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to perform specialized maintenance

a) outside the scope of Maintenance Policy Manual (MPM) or

b) foreign document equivalent to the MPM

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to perform maintenance of aircraft 3-7 days 7-14 days 14 or more




a) outside scope of MPM or

b) foreign document equivalent to the MPM

$250 / $1250 $500 / $2500 $1000 / $5000

failure of person performing a major repair to ensure that major repairs/modifications conform with approved technical data

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of person performing a repair/modification to ensure that repairs/modifications conform with acceptable technical data

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to change aircraft configuration in a manner that it no longer meets conditions of flight authority without

a) having made an entry in the journey log; or

b) having made the change in accordance with technical dispatch procedures

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to install new part that does not meet applicable standards of airworthiness

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

to install a used part that

a) is not an airworthy part taken from another aircraft

b) is not an airworthy part for which a maintenance release has been issued

c) has not been inspected and tested

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

to permit the use of a used part subject to a loan agreement or parts pool agreement for more than (Insert days) days without DGCA authorization

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

to install a used life-limited part that does not meet applicable standards of airworthiness and

a) its history shows the time-life of the part has not been exceeded

b) its history has been recorded in a technical log

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

to install a life-limited used part in a place other than that from which it was removed

a) when it is not placed in an identical

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000




location on another product or

b) does not meet the Civil Airworthiness Requirement.

to sign maintenance release without complying with standards of airworthiness

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

to sign maintenance release for “specialized work” when conditions have not been met

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

to sign maintenance release when not an AME with appropriate rating

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to sign a release for an aircraft

a) when not in accordance with Maintenance Policy Manual or

b) equivalent foreign document when the maintenance is performed outside (Insert State)

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to sign a maintenance release for work performed by another when the work has not been observed

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of person performing a major repair/major modification to report major repairs/modifications/installation of a part that has undergone major repair/modification

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to install a part

a) that has not been inspected and whose documentation has not been verified

b) installed in defiance with Airworthiness Requirement.

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

APPROVED MAINTENANCE ORGANISATIONfailure of an AMO to:

a) appoint a person responsible for activities

b) ensure that the person meets the standards of competence

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of person appointed to forward a signed statement of acceptance of responsibility to DGCA within (specify

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250




days) of appointment as responsible person

failure of AMO to provide necessary staff/facilities

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to authorize a person to sign a maintenance release when not qualified /trained

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to authorize a person to sign a release when the person has not demonstrated knowledge/experience established in the Airworthiness Manual

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of AMO to implement training program to ensure personnel are knowledgeable in regulations, standards and AMO procedures

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of AMO to establish, maintain and retain for 2 years for each person

a) a record of qualifications and assignments b) records of authorizations to sign

c) training

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of an AMO to provide a copy of records to the person so affected

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of an AMO to provide facilities/ equipment

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to permit work to be performed elsewhere than in facilities

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of an AMO to identify equivalent standards when they are used

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of an AMO to establish a system to ensure sub-tasks are completed before a maintenance release is signed

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of an AMO to establish a quality assurance program

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of an AMO to establish, maintain and authorize use of a Maintenance Policy Manual (MPM) that contains information

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of an AMO to certify that incorporated documents meet requirements of MPM

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250




failure of an AMO to submit each page of its MPM to the DGCA for approval

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of an AMO to amend its MPM when instructed to do so by the DGCA

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of an AMO to make copies of its MPM (or parts thereof) available to persons so affected

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of an AMO to amend its MPM within (Specify days) days of an amendment approval

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to permit a third party to perform work when:

a) person does not hold an AMO;

b) person does not hold an equivalent foreign document when work is performed outside of (Insert State); or

c) maintenance has not been approved by the DGCA in all other cases

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of an AMO who requests external work to:

a) specify the tasks to be done and ensure their completion

b) ensure that work conforms with requirement of the organisation.

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of AMO to report service difficulties to the DGCA

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to falsely identify oneself as an AMO 14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to advertise services not authorized under AMO certificate

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of a person to report a service difficulty

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

GENERAL OPERATING AND FLIGHT RULESAIRSPACE




to operate in Class F Special Use - Restricted airspace without authorization

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to operate IFR in any Class of controlled airspace without an ATC clearance or DGCA authorization

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to operate VFR in Class A without DGCA authorization

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to operate VFR in Class B without an ATC clearance or DGCA authorization

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of the PIC to:

a) request special VFR in a control zone; or

b) request an amended or IFR clearance in any other case when flight in VMC in Class B airspace becomes impossible

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to enter Class C airspace VFR without having received a clearance prior to entering

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to enter Class D airspace VFR without having established 2-way communication prior to entering

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to operate:

a) over a forest fire or over any area located within (Specify) NM of a forest fire area at an altitude of less than (Specify) AGL; or

b) in any airspace described by NOTAM

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

OPERATING AND FLIGHT RULESto operate an aircraft in a reckless & negligent manner

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to use/act as crew member when

a) suffering or likely to suffer from fatigue

b) unfit to properly perform duties

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to act as crew member:

a) within (Specify) hours of consuming alcohol;

b) while under influence of alcohol; or

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000




c) while using drugs that impair faculties to the extent that safety is endangered

to provide/serve intoxicating liquor to persons on board aircraft whose faculties appear impaired by alcohol/drugs to the extent that may present a hazard

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

to allow an impaired person who may create a hazard to board an aircraft

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of a crew member to comply with instructions of P-I-C or person authorized by the P-I-C

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an aircraft outside operating limitations described:

a) in the flight manual;

b) in another manual if such document exists and are applicable

c) on placards/markings; or

d) by the authority of state of registry.

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to permit use of portable electronic devices that can impair functioning of aircraft systems

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to fuel aircraft with engines running and passengers on board, embarking or disembarking unless in compliance with laid down requirements/policy

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to start an aircraft engine when

a) a competent person is not seated in pilot seat;

b) precautions have not been taken to prevent aircraft form moving; or

c) a seaplane is in a location where movement would endanger persons/property

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to leave an aircraft engine running when:

a) the pilot’s seat is not occupied by a persons competent to control the aircraft; or

b) the aircraft is not prevented form moving and is left unattended.

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




to take-off / attempt to take-off with frost, ice or snow adhering to the critical surfaces of an aircraft

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to take-off/attempt to take-off when frost, ice or snow is expected to adhere to the aircraft and:

a) the aircraft has not been inspected or dispatched in accordance with an inspection program.

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of:

a) PIC;

b) crew member designated by PIC; or

b) other person designated by operator

to inspect aircraft immediately prior to take-off.

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of a crew member to report to the PIC that frost, ice or snow is adhering to the critical surfaces

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of P-I-C to inform crew /passengers of decision to de-ice/anti-ice aircraft

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to overfly built-up areas/open-air assemblies of persons during take-off, approach & landing from areas other than airports or military aerodromes at an altitude from which it would be impossible to land an aircraft without creating a hazard

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to take-off, approach & land within built-up area

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an aircraft:

a) over built-up area/open-air assembly of people at less than the specified

b) elsewhere at a distance of less than 500’ from an object/person

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate a helicopter over open-air assemblies of person with external load

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate a helicopter over a built-up area 3-7 days 7-14 days 14 or more




with external, load $250 / $1250 $500 / $2500 $1000 / $5000

to operate helicopter with external loads or aircraft involved in aerial application or inspection below 500 feet with passengers on board

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate a balloon over built-up area without sufficient fuel

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate a balloon in Class C airspace over built-up area without clearance

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of the PIC

a) to take action to avoid collision;

b) to give way to aircraft in state of emergency

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of the PIC of aircraft on converging track to give way to aircraft on its right as follows:

a) power-driven, heavier-than-air aircraft to give way to airships, gliders and balloons;

b) airships to give way to gliders and balloons;

c) gliders to give way to balloons;

d) power-driven aircraft to give way to aircraft towing or slinging objects

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC of balloon at higher altitude to give way to balloon at lower altitude

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC of aircraft obliged to give way to manoeuvre at a distance as to not create hazard

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC to alter heading to the right when approaching another aircraft head-on

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC aircraft to alter heading to the right when overtaking another aircraft

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC of aircraft to give way to aircraft that is landing or about to land

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC of aircraft approaching an aerodrome for landing to give way to an aircraft at a lower altitude that is also approaching the aerodrome for landing

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




to cut off/overtake aircraft at a higher altitude that is in the final stages of approach and landing

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to take-off/attempt to take-off when a risk of collision with an object/aircraft/person exists

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC of a water-bound aircraft that has another water-bound vessel to its right to give way

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC of water-bound aircraft to alter heading to the right when approaching another water-bound vessel head-on

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC of water-bound aircraft to keep well clear of another water-bound vessel that it is overtaking

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an aircraft in such proximity to another as to create a hazard

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to tow without a hook and release control system that meets the standards

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to drop object in a way that creates a hazard 14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to fly in formation without having made appropriate pre-arrangements

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to allow a person to enter /leave aircraft

a) except to parachute or

b) as authorized

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to allow parachute descent into

a) into controlled airspace or an air route

b) over an open air assembly of persons or a built-up area

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to perform aerobatics:

a) over a built-up area, an open air assembly of persons;

b) in controlled airspace, unless authorized;

c) when flight visibility is less than 3 miles; or

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




d) below 2000 AGL unless authorized.

to perform aerobatic manoeuvres with a passenger:

a) without having received (Specify)hours of aerobatic instruction or acquired(Specify) hours of aerobatic experience; and

b) performed at least (Specify) hour of aerobatic manoeuvres in the preceding (Specify months)

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate a hang glider or ultra-light aeroplane:

a) at night;

b) in IFR flight;

c) in controlled airspace;

d) without specified equipment;

e) when carrying another person on board or

f) passenger is restrained and wearing helmet

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to jettison fuel

a) when unnecessary or

b) without taking appropriate measures to minimize danger to human life/environment

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of the PIC

a) to comply with and acknowledge ATC instructions directed to & received by PIC

b) to comply with clearances received & accepted by PIC

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of the PIC to:

a) inform ATC of a collision avoidance maneuver; and

b) comply with previous clearance.

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate below (Specify height/10,000 ft.) at a speed greater than 250 KIAS

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate below (Specify height/3,000 ft.) within (Specify distance/10nm) of a





controlled airport at a speed greater than 200 KIAS

$250 / $1250 $500 / $2500 $1000 / $5000

to operate at speeds of Mach 1 or greater 3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC to operate at the appropriate cruising altitude

a) when flying VFR at more than (Specify Height)AGL; or

b) when flying IFR

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of a crew member operating within the altimeter setting region to:

a) set altimeter to current aerodrome setting/elevation prior to take-off

b) set altimeter to nearest station when in level flight

c) set altimeter to current setting of aerodrome prior to commencing descent for landing

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of a crew member operating within the standards pressure region to:

a) set altimeter to current aerodrome setting/elevation prior to take-off

b) set altimeter to 29.92 before reaching desired flight level

c) set altimeter to current setting of aerodrome prior to commencing descent for landing

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of a crew member in a hold within the standard pressure region to set altimeters to setting of the aerodrome of intended landing just prior to leaving the altitude at which the hold is conducted

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of a crew member to

a) set altimeters to 29.92 just after entry into the standard pressure region

b) set altimeters to setting nearest to the position of the aircraft just prior to entering the altimeter setting region

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




failure of the PIC to comply with Annex 2 of the Convention when flying over the high seas

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to commence a flight that would enter airspace over the high seas:

a) when the PIC does not hold an IFR rating;

b) without specified equipment; and

c) without fuel as per requirement

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to land/take-off from an aerodrome at night when it is not lighted in accordance with standard requirement.

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to release unoccupied balloon without the DGCA’s authorization

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to operate without specified emergency equipment

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

to operate an aircraft when operational/emergency equipment:

a) does not meet standards; and

b) does not function.

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

to take-off in a power-driven aircraft, other than an ultra-light, without:

a) checklists/placards to enable operation within limitations

b) current charts/publications for area when operating VFR/IFR

c) hand-held fire extinguisher

d) timepiece

e) flashlight at night

f) first aid kit

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate over land without survival equipment to:

a) start a fire

b) provide shelter

c) provide/purify water

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000




d) visually signaling distress

to take-off from/land on/overfly water beyond point where the shore can be reached without carrying life preserver/personal flotation device for each person on board

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

to operate a land aeroplane, rotorcraft or airship beyond 50 NM from shore without a life preserver for each person

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

to operate a balloon at more than 2 NM from shore without a life preserver or personal floatation for each person

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

operate single or multi-engine aircraft incapable of sustaining flight in the event of an engine failure over water beyond specific distances from suitable landing sites without sufficient life rafts and survival equipment

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

operate a multi-engine aircraft over water beyond specific distances from suitable landing sites without sufficient life rafts and survival equipment

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

operate a single-engine helicopter over water beyond a specific distance from a suitable emergency landing site without life rafts

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

operate a multi-engine helicopter over water beyond a specific distance form a suitable landing site without life rafts

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

to operate a life raft-carrying helicopter over water that is less than 10 degrees C

a) without a suit system for each persons

b) without having the PIC direct passengers on the wearing of such suits

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of PIC to be familiar with available information before flight

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of PIC to be familiar with available weather information

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of PIC to file an IFR flight plan when required

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500




failure of PIC to file a VFR flight plan or itinerary when required

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of PIC to file a flight plan when flying between (Insert State) and a foreign state

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of PIC who intends to make changes to an IFR flight plan/itinerary to:

a) notify ATC as soon as possible of intended change

b) receive a clearance before making change if in controlled airspace

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure to follow procedures when changes are made to specific items in an VFR flight plan

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of PIC to file an arrival report when a flight plan has been filed not later than:

a) the SAR initiation time specified in the flight plan

b) 1 hour after last reported ETA if no SAR initiation time was specified

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of PIC to file an arrival report when a flight itinerary has been filed

a) the SAR initiation time specified in the flight plan

b) 24 hours after last reported ETA if no SAR initiation time was specified

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to operate an aircraft with carry-on baggage that is

a) not appropriately stowed

b) not restrained so as to prevent shifting

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an aircraft with carry-on baggage, equipment or cargo:

a) which blocks access to safety equipment and exits

b) when not covered or packaged to prevent injury

c) obstructs view of signs, prevents trolleys services carts from being secured, etc.,

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




d) is stowed so as to prevent a crew member from accessing the passenger compartment with a fire extinguisher

failure of PIC to ensure that crew members have been instructed

a) on the duties they are to perform and

b) the location & operation of emergency equipment

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to commence a flight with insufficient fuel as specified

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of the PIC to ensure passenger are briefed before take-off

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of the PIC to ensure passengers are briefed

a) on location and use of life preservers/PFD/PBE and

b) on use of oxygen, as appropriate

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of the PIC to ensure passengers are provided with information on:

a) first aid / survival kits,

b) ELT

c) life rafts, etc.

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of P-I-C before operating at an aerodrome to ensure that:

a) there is no likelihood of collision and

b) the aerodrome is suitable for intended use

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC operating at/vicinity of an aerodrome to:

a) observe traffic to avoid collision

b) conform with / avoid pattern of other aircraft

c) make all turns to the left unless specific in AIP or by ATC

d) comply with any airport operating restrictions specified in AIP

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




e) land /take-off into wind

f) maintain continuous listening watch on appropriate frequencies / keep watch for visual signals

g) obtain clearance to taxi, take-off and land when aerodrome is controlled

to operate aircraft over an aerodrome at less than 2000 feet

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC of an IFR aircraft to make report when approaching or landing at an uncontrolled aerodrome

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC operating at or in the vicinity of an aerodrome to conform with noise abatement procedures/noise control, instructions specified in the AIP .

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to take-off from a noise restricted runway listed in schedule without having on board:

a) a C of A showing aircraft meets noise emissions standards

b) a certificate of noise compliance, or

c) similar certification for a foreign-registered aircraft

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to operate VFR in controlled airspace without:

a) visual reference to the surface

b) flight visibility of less than 3 miles

c) 500 feet vertically and 1 mile horizontally from cloud

d) ground visibility of 3 miles or 500’ from the ground when in a control zone

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

to operate VFR in uncontrolled airspace without

a) visual reference to the surface

b) specified weather minima when operating an aircraft at or above 1,000’ AGL

c) specified weather minima when operating an aircraft other than a helicopter

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000




below 1,000’ AGL

d) specify weather minima when operating a helicopter below 1,000’ AGL

to operate in IMC except in accordance with IFR

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate IFR in controlled airspace without a clearance

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC to include an alternate aerodrome in an IFR flight plan/itinerary

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to file an alternate aerodrome when forecast weather does not meet minima

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to operate IFR at an altitude

a) at or above MOCAs on airways and air routes, and

b) the minimum established by the DGCA to ensure obstacle clearance

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate IFR:

a) at less than (Specify Height) above highest obstacle within ( Specify Distance) form position of aircraft

b)of position of aircraft within Designated Areas

c) at less than (Specify Height) above highest obstacle within(Specify Distance )of position of aircraft within Designated Mountainous Areas

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC to provide enroute IFR position reports as specified

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to take-off when visibility is below minimum specified in

a) air operator certificate issued

b) private operator certificate issued

c) AIP

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

Failure of PIC to conduct an IFR approach in accordance with the instrument approach procedure

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




failure of PIC to set altimeter to setting use at aerodrome where approach is to be conducted

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC to conduct an IFR approach in accordance with appropriate minima

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to continue final approach descent

a) below DH on a CAT I or II approach

b) below MDA on a non-precision approach when required visual reference is not established.

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure to execute a missed approach at

a) DH on a CAT I or II precision approach

b) MDA on a non-precision approach when required visual reference is not established

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

to conduct a CAT II or III approach when

a) flight crew have not been trained as prescribed in the Manual of all weather operations

b) aircraft is not operated in accordance with procedures set out in Manual of all weather operations

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

failure of PIC to discontinue an approach when RVR is reported below specified minimum

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to continue CAT III approach beyond outer marker when RVR is lower than specified in AIP.

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

failure of any ATS/FSS unit to provide services in English

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC to

a) maintain a listening watch, and

b) establish communications on specific frequencies , as appropriate

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of the PIC experiencing a radio communication failure in IFR flight to:

a) maintain a listening watch,

b) transpond 7600

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500




c) attempt to re-establish communications

failure of the PIC to comply with procedures set out in the AIP for radio communication failure in IFR flight

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of PIC experiencing a radio communication failure in VFR flight in class B, C or D airspace

a) leave the airspace by landing / using shortest route

b) transpond 7600

c) inform ATC as soon as possible of action(s) taken

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to operate an aircraft with 2-way radio communication equipment incapable of communicating on 121. 5 MHz

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to issue instruction to land when person is not

a) an officer of a police authority/ officer of Armed forces operating within scope of duties, or

b) person authorized by the DGCA

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of the PIC to comply with instruction to land

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PICs of intercepting/intercepted aircraft to use signals in AIP

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC to file a flight plan/itinerary before take-off into the ADIZ from ground-based locations where facilities permit

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC to file flight plan/itinerary immediately after take-off into the ADIZ from locations where facilities do not permit ground-based filing

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of the PIC to make revisions for flight into the ADIZ

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to meet specified compliance dates

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of operator to submit annual progress report to the DGCA within (Insert

1-2 days $100 / $500

2-7 days $100 / $500

7 or more $100 / $500




days) days after the end of the calendar year

SPECIAL FLIGHT OPERATIONto conduct a special aviation event without a Certificate

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to conduct a special aviation event with management

a) incapable of exercising adequate control/supervision

b) meet the standards

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

to operate an aircraft in a special aviation event when

a) participant does not meet the standards

b) is not authorized in certificate

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

to operate aircraft at distances less than those specified in the standards

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an aircraft at a special aviation event when weather conditions are below standards

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an aircraft at a special aviation event without having been briefed in accordance with standards

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate a balloon at an event without a special flight operations certificate

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to allow a person to act as PIC of a balloon when person does not meet the qualification and currency standards

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

failure of the PIC of a balloon to ensure passengers are briefed

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

to operate a balloon in free flight at night

a) when not equipped as per requirement

b) when other aircraft is landing

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

to operate a balloon in tethered flight with passengers without a PIC on board

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC to record tethered flight time as air time for maintenance purposes

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250




to operate a balloon with passengers outside basket

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

to conduct flights under special rules without complying with provisions of a special flight operations certificate

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

PRIVATE OPERATOR -- PASSENGER TRANSPORTATIONfailure of a private operator to operate in accordance with provisions of private operator certificate

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of operator to make a checklist available to crew members

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

failure of crew members to follow checklist 2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

to commence a flight when flight data sheet has not been completed

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

failure of operator to keep a copy of flight data sheets for (Specify number) days

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to conduct CAT II or III approaches

a) when not authorized in private operator certificate

b) when not in accordance with manual of all weather operations

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

to operate an aircraft with passengers without cabin attendant as per requirement

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to establish procedures to ensure passenger safety

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to fuel aircraft with passengers on board in accordance with standards

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

failure of P-I-C to ensure passengers are given a safety briefing

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of P-I-C to provide briefing to ensure that passengers with comprehension limitations are briefed

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of P-I-C to ensure passengers are given emergency briefing

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of P-I-C to ensure passengers seated next to emergency exits are briefed on how





to use it $100 / $500 $150 / $750 $250 / $1250

failure of operator to provide safety briefing cards

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to schedule /accept flight assignments when flight times are exceeded

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

to schedule / accept flight assignment when specified flight duty times are exceeded

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

failure of operator to ensure flight crew member is provided with minimum rest period

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of a crew member to acquire specified rest

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to provide time free from duty of:

a) at least (Specify Hours) hours within each (Insert Number) consecutive days

b) Please Quote Country requirement in term of FDTL in seven days, Thirty days, One year

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to provide for additional rest for crew positioning

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an aircraft when survival gear does not meet private operator standards

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

to operate an aircraft without specified number of first aid kits

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to:

a) distribute first aid kits throughout the cabin

b) have them readily available to crew / passengers

c) clearly identify kits

d) mark kits with date of last inspection

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to operate aircraft without specified protective breathing equipment

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure to carry fire extinguishers 3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate aircraft maintained in 14-30 days 30-60 days 60 or more




accordance with a maintenance control system that does not meet

a) the requirement

b) standards

$1000 / $5000 $2500 / $12500

$5000 / $25000

failure of operator to describe the maintenance control system in the operations manual

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to

a) appoint a person responsible for maintenance

b) authorize person to remove aircraft from operation

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to provide person responsible for maintenance with appropriate staff and facilities

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to describe the defect reporting and rectification procedures in the operations manual

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to report service difficulties to the DGCA

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to describe the technical dispatch instructions in the operations manual

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to establish procedures to ensure that service information is assessed and action taken in accordance with standards

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to allow a person who is not an employee or contractor to perform maintenance unless in accordance with a maintenance agreement

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to allow persons to perform maintenance, elementary work or servicing unless they have received training

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to designate a PIC and SIC

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to allow a person to act as a crew member when not qualified

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

failure of operator to establish / maintain a training program that meets the standards

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




failure of operator to ensure adequate training facilities and qualified personnel and provide a training syllabus in the operations manual

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to maintain appropriate records

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to retain records for (Specify) years

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to retain the most recent examination recdords.

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to establish and maintain an operations manual

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to submit operations manual to the DGCA

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to amend operations manual

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to provide copies of parts of manual to personnel

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of personnel provided with copies of operations manual to keep it up to date

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to carry aircraft operating manual on board aircraft

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to carry Standard Operating Procedures on board

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

AIRCRAFT REQUIREMENTto take-off when

a) flight authority is not valid,

b) the conditions set out in flight authority have not been met and

c) flight authority is not carried on board

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to take-off without a flight manual when one is required to be carried

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to take-off when markings and placards are not affixed to aircraft or component

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to take-off or allow an aircraft to take-off unless equipment carried on board

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




a) meets standards of airworthiness and

b) is serviceable

to operate an aircraft with/without equipment where aviation safety may be jeopardized

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to take-off in an aircraft subject to a MEL with unserviceable equipment without

a) compliance with MEL specifications and

b) a copy of MEL on board

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to take-off in an aircraft with unserviceable or removed equipment when such equipment is required by

a) standards of airworthiness

b) published manufacturer’s equipment list

c) any type of commercial operator certificate

d) an airworthiness directive

e) the CAR s

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to take-off in an aircraft with unserviceable or removed equipment that is not required but which has not been disposed by

a) isolating the equipment that has not been removed

b) installing placards

c) making an entry in the journey log

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to take-off in a power-driven aircraft - day VFR without

a) an altimeter when in uncontrolled airspace

b) an adjustable sensitive altimeter when in controlled airspace

c) an airspeed indicator

d) a magnetic compass that functions independently of the electrical system

e) tachometer

f) oil pressure

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




g) coolant temperature, as applicable

h) oil temperature

i)manifold pressure, as applicable

j) means of determining fuel quantity and gear position

k) applicable radio communication equipment

l) radio navigation equipment as applicable

to take-off in a power-driven aircraft - Night VFR without

a) equipment as given for VFR day c) to l)

b) an adjustable sensitive altimeter

c)turn & slip Indicator

d) an adequate source of electrical energy

e) 50% of fuses that are accessible by the PIC

f) ) stabilized magnetic direction indicator / gyroscopic direction indicator

g) a means of establishing direction in NDA

h) radar reflectors for airships

i) means of illumination

j) a landing light when carrying passengers

k) position & anti-collision lights

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an aircraft at night with lights that can be mistaken for a navigation light

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an aircraft at night without

a) attitude indicator

b) vertical speed indicator

c) means of preventing malfunction of ASI due to icing

d) an outside air temperature gauge

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an aircraft between sunset and sunrise without position and anti-collision lights turned on

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500




to take-off in a power-driven aircraft - IFR without

a) equipment as given in VFR Night a) to h) for flight by day

b) equipment as given in VFR Night a) to k) for flight by night

c) an attitude indicator

d) vertical speed indicator

e) outside air temperature gauge

f) A means of preventing malfunction of ASI due to icing

g) power failure warning device / vacuum indictor showing power to each gyroscope

h) alternative static source

i) applicable radio communication equipment

j) sufficient radio navigation equipment to permit the continuation of the flight to destination and alternate, to complete an approach and missed approach

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to take-off in a balloon - Day VFR without

a) an altimeter

b) vertical speed indicator

c) fuel gauge / envelope temperature gauge

d) magnetic direction indicator for a captive gas balloon

e) applicable radio communication equipment

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to take-off in a balloon - Night VFR without

a) equipment as listed in Day VFR -Balloon

b) position lights

c) mean of illuminating all instruments

d) 2 independent fuel systems if a hot air balloon

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




to operate a glider - Day VFR without

a) altimeter

b) magnetic compass

c) applicable radio communication equipment

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an aircraft other than a balloon without a seat and safety-belt for each passenger

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an aeroplane without shoulder harness when so required

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate a transport category aeroplane without a cabin attendant seat that includes a shoulder harness

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate a small aeroplane with 9 aft or forward facing passenger seats without shoulder harness

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate a rotorcraft without a shoulder harness

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to conduct

a) aerobatic manoeuvres

b) external load operations without shoulder harness

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of P-I-C to direct passengers in the use of seat belts

a) during movement of aircraft on surface

b) during take-off

c) at any time deemed necessary

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of P-I-C expecting to operate in more than light turbulence to direct flight attendants to:

a) discontinue in flight service

b) secure the cabin

c) occupy a seat and fasten belt

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

Failure of in-charge flight attendant to

a) direct passengers in the use of seat belts

b) direct other flight attendants to

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




discontinue in flight service, secure the cabin, occupy a seat and fasten belt

Failure of in-charge flight attendant to inform P-I-C of actions

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

Failure of crew members to be seated at their station with safety belt fastened

a) during take-off and landing

b) when so directed by the PIC

c) when directed by in-charge flight attendant

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

Failure of P-I-C to ensure at least 1 pilot is at the controls and wearing a seat belt

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to allow use of child restraint system

a) when not accompanied by a guardian

b) when weight /height range are beyond capacity of the system

c) when the system does not show design standards/ date of manufacture

d) when the system is not properly secured by the belt of a forward-facing seat that is not in an emergency exit row and does not block access to the aisle

e) the tether strap is not used in accordance with manufacturers instructions or secured so as to cause a hazard to the person using the system

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to allow use of flight control locks

a) that can be engaged in flight and

b) does not provide a warning when it is engaged

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to take-off /continue flight into reported or forecast icing conditions when

a) PIC has determined that the aircraft is not adequately equipped

b) icing conditions continue to exist

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to operate an unpressurized aircraft without required oxygen equipment

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




to operate a pressurized aircraft without required oxygen equipment

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of a crew member to use oxygen equipment when required

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of the pilot at the controls to use oxygen when required

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to take-off in specified aircraft without a FDR

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to take-off in specified aircraft without a CVR

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of a person to use CVR and FDR as specified

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to operate in transponder airspace without a transponder and automatic pressure altitude reporting equipment

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate a turbo-jet aircraft without an altitude alerting system

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an jet-powered aircraft of more than 15,000 Kgs capable of carrying 10 passengers or more without a GPWS

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to operate an aircraft without specified ELT’s

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of the P-I-C whose ELT has been inadvertently turned on to:

a) inform ATC/FSS,

b) shut off an ELT

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to operate a jet-powered aircraft without a standby attitude indicator

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to take-off when aircraft has not been maintained in accordance with

a) airworthiness limitations

b) airworthiness directives

c) documents equivalent to AD’s

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to take-off in an aircraft when maintenance has not been certified

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of PIC to enter results of test flight in journey log

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500




to take-off in an aircraft that has not been maintained in accordance with

a) a maintenance schedule that conforms with aircraft equipment/maintenance standards

b) a maintenance schedule approved by the DGCA

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to take-off in an aircraft involved in an abnormal occurrence without it being inspected

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of an aircraft owner to keep

a) a journey log

b) engine, airframe and propeller logs

c) empty weight & balance report

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of an owner to:

a) make entries in logs in ink

b) enter name / signature / identification code

c) enter date

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of aircraft owner to comply with Aircraft Equipment and Maintenance Standards for the use of electronic logs

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of aircraft owner to protect logs and records from damage and loss

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of aircraft owner to maintain an unbroken chronological order in logs

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of aircraft owner to make corrective entries as specified

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of the responsible person to make specified entries in the journey log

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to make of a single entry for many flights unless

a) PIC is the same for all flights, or

b) daily flight record is used as per CAR

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of aircraft owner to maintain journey log for Prescribed period( Insert period) and ensure journey Log is used to

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000




record flight time.

failure of PIC of commercial service to enter in the journey log

a) crew member names

b) places / times of departure / arrival

c) flight time

d) nature of flight

e) incidents/observations

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to take-off without the journey log or equivalent approved document on board

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of responsible person to enter specified information in technical logs

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of a person transferring information from journey log to

a) transcribe particulars, or

b) attach a copy of the journey log book page containing particulars

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of owner to maintain technical records for specified period

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of an aircraft owner to deliver all technical records when transferring legal custody and control of an aircraft

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

MISCELLENEOUSto carry amunitions of war on board a non-(Insert State) registered aircraft or without the DGCA’s authorization

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of:

a) an air operator

b) holder of a FLYING TRAINING INSTITUTE certificate

c) balloon operator who carries passengers

to subscribe for liability insurance in the amount of (Insert amount) multiplied by the number of passengers carried on board

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to operate a privately owned aircraft of more than (Prescribe weight). without

14-30 days 30-60 days $2500 /

60 or more




prescribed passenger insurance $1000 / $5000 $12500 $5000 / $25000

to operate a commercial air service / flight training aircraft without public liability insurance

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to operate a commercial air service/ flight training aircraft with insurance that includes waivers that would reduce amount of coverage

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to operate a private aircraft without prescribed liability insurance

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of aircraft owner/operator to carry insurance certificate on board

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

COMMERCIAL AIR SERVICESGENERAL

to use synthetic flight training equipment without appropriate certificate

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an air transport service without an Air Operator Certificate (A O C)

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to

a) carry persons

b) carry external loads

c) to tow objects or

d) disperse products

without an AOC

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

Failure of a (Insert State) operator to

a) operate a (Insert State) registered aircraft with appropriate flight authority

b) operate a foreign registered aircraft with DGCA authorization

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

Failure of foreign operators to operate aircraft with flight authority

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to engage in extended charters

a) when not authorized in AOC

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250




b) when not in accordance with Standards

to manage another air operation



1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to operate between 2 points abroad



1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

Failure of operators to establish a flight time monitoring system and to describe such system in operations manual

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

To assign/accept flight assignment if specified flight times are exceeded

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

To continue on flight duty when crew member has reached maximum limit.

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

to assign/accept flight assignment when specified flight duty times exceeds ( Insert hours) in any 24-hour period

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

failure to provide one 24 hour rest period for every (Insert days) flight assignments

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to provide specified minimum and additional rest

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of a crew-member to use assigned rest-period to acquire rest

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

failure of operator to provide specified time free from duty

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to notify crew member of start and duration of time free from duty

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to provide a crew members with additional rest when they are re-positioned

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of an operator to schedule rest in advance and not to interrupt crew

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of an operator to outline method of complying with section in operations manual

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250




FOREIGN AIR OPERATORto operate in (Insert State) contrary to conditions and operations specifications of a Foreign Air Operations Certificate (FAOC)

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to conduct over- flight / tech stops without DGCA authorization

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

to operate a foreign state aircraft without DGCA authorization

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

to commence a flight from (Insert State) under ETOPS unless authorised to do so.

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to commence a flight that will penetrate MNPS or NAT-MNPS airspace

a) when aircraft is not certificated to operate in such airspace

b)when the operator does not hold authorization for operation

c)when operation is not authorised in foreign operator’s Air Certificate.

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to commence an IFR/night VFR flight in (Insert State) on a route other than an air route


b) contrary to set Standards

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to commence a single-engine day IFR/night VFR flight in (Insert State) with passengers in scheduled flight.

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC to give access to flight deck to authorised person.

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of operator /PIC to give suitable seat to inspector

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of operator to provide a confirmed seat to a cabin safety inspector

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to take-off with frost, ice snow adhering to critical surfaces

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to take-off when ice is expected and an inspection is not done

14-30 days $1000 / $5000

30-60 days $2500 /

60 or more $5000 / $25000




$12500

to inspect an aircraft for contamination without having had appropriate training

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of a crew member to inform PIC of possible ice & PIC to have aircraft inspected accordingly

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

AERIAL WORKto operate contrary to provisions and operations specifications of an AOC

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

Failure of operator to ensure personnel are instructed on their duties

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

Failure of personnel to follow procedures in company operations manual

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate without an operational control system that meets the standards and is under control of operations manager

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to commence a flight without authorization 3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to permit the commencement of a flight without having prepared an operational flight in accordance with Standards

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

Failure of an operator maintain aircraft in accordance with maintenance control system

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to carry persons not essential to operation



1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to operate at night, in VFR- or IFR:

a) while towing,

b) carrying external loads

c) dispersing products or

d) where the aircraft is a single-engine aircraft

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




to fly at night with persons other than crew members on board

a) when the pilot does not hold an IFR rating

b) when not authorized in AOC or in accordance with Standards

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate land aircraft over water beyond gliding distance from shore


b) when not in accordance with standards

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC to ensure that passengers are given safety briefings

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to operate at night without at least 1 landing light

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to operate multi-engine aircraft in IMC without

a) 2 generators/alternators without specific equipment

b) 2 independent sources of energy

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

to engage in a single-pilot IFR operation without

a) an auto-pilot

b) a headset and boom microphone

c) chart holder

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

to operate an aircraft where pilot and side seats are not equipped with safety belts that include shoulder harness

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an aircraft carrying an external load without an authorized/approved attachment device

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to designate PIC & SIC for each flight

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to permit a person to act or to act as PIC, SIC or CRP (Cruise Relief Pilot)a) when person does not hold a valid licence, rating or equivalent foreign document

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000




b) without having completed a competency check

c) without having fulfilled the requirements of operator’s training program

Failure of operators to establish training system

a) designed to ensure persons acquire required competencies

b) that meets DGCA approval

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operators to

a) include a detailed syllabus of training in operations manual

b) provide training facilities as per standards

c) establish and maintain a safety awareness program

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of an operator to establish and maintain a record relating to:

a) name, licence, type and ratings

b) medical category and expiry date

c) date on which person successfully completed training

d) information relating to failures

e) type of aircraft/flight training equipment used

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operators to retain records for (Specify period) in years

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of operators to retain most recent copies of examinations

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of operators to maintain company operations manual

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to submit a copy of the Operation Manual to the DGCA

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to amend manual as necessary

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to provide copies of operations manual to all concerned

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250




failure of person with a copy of manual to keep it up-to-date

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to establish SOP for aircraft requiring two or more pilots

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to ensure a copy of SOP is carried on board aircraft

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

AIR TAXY OPERATIONto operate contrary to provisions and operations specifications of an AOC

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of operator to ensure personnel are instructed on their duties

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of personnel to follow procedures in company operations manual

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure to operate a scheduled air service between airports or military aerodrome

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000


3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000


7-14 days $500 / $2500

14 or more $1000 / $5000

to permit a person to commence a flight without having prepared an operational flight in accordance with Standards

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC to carry a copy of flight plan on board

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to retain a copy of flight plan for period specified in OPS manual

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to maintain aircraft in accordance with maintenance control system

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to authorize flight without sufficient fuel as specified

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC to give access to the pilot compartment to an inspector

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

Failure of operator /PIC to make a suitable 1-3 days 3 – 7 days 7 or more




seat available to the inspector. $ 100/ $ 500 $ 150 to $ 750 $ 250 to $ 1250

to operate a single-engine aircraft with passengers in IFR flight or VFR at night

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate a land aircraft over water beyond point at which it could reach the shore



3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate a single-engine aircraft with more than 9 passengers

a) in an aircraft that is not a transport category helicopter


3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to carry passengers with external loads when not authorized

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to simulate emergency situations with passengers on board

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate VFR

a) at night below 1000’ above the highest obstacle within 3 nm of aircraft

b) by day in an aeroplane at less than 300’ AGL or at a horizontal distance of 300’ from an obstacle

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to commence a VFR flight when flight conditions are not VFR

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to take-off in IMC at take-off minima but below landing minima for a runway

a) when not authorized in an AOC


3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate a multi-engine aircraft with passengers in IFR or night VFR at a weight that would prevent aircraft from maintaining a MOCA in the event of an engine failure

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate VFR (special)



3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




to operate IFR or VFR at night in uncontrolled airspace on any route other than an air route that has been established in accordance with Standards

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to terminate an IFR approach with a landing

a) when landing surface conditions

a) wind speed and direction

have not been ascertained by radio or visually

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate when aircraft is not within weight & balance (W &B) limitations

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to have a system for determining W &B

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to describe and provide instructions on use of its W & B system in its operations manual

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to establish a system to ensure

a) passenger move to/from aircraft safely

b) all passengers are seated and secured

c) the presence of passengers at emergency exits does not pose a hazard

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to fuel an aircraft with passengers on board unless in accordance with Standards

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to allow use of portable electronic devices

a) when not in accordance with procedures that meet Standards

b) when not in accordance with procedures in operations manual

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC to ensure that passengers are given safety briefings

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of PIC to ensure that persons with comprehension difficulties are briefed

a) in a way that meets their needs

b) meets the standards

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to provide safety 1-3 days 3-7 days 7 or more




information to every passenger $100 / $500 $150 / $750 $250 / $1250

failure of PIC to ensure that passengers are given an emergency briefing when necessary

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC to ensure that persons next to an emergency exit are briefed on how to operate it

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to operate a multi-engine aircraft without

a) power/vacuum failure warning device

b) alternate static source

c) 2 generators/alternators without specific equipment

d) 2 independent sources of energy

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

to operate an aircraft at night without at least 1 landing light

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to operate with passengers in IMC when thunderstorms are reported or forecast without thunderstorm detection equipment or weather radar

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to engage in a single-pilot IFR operation without

a) an auto-pilot

b) a headset and boom microphone

c) chart holder

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

to operate pressurized aircraft without protective breathing equipment

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate a pressurized aircraft without specified first aid oxygen equipment and supply

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an aircraft where pilot and side seats are not equipped with safety belts that include shoulder harness

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an aircraft when emergency equipment does not meet standards and is not inspected

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

to carry passengers with less than two crew


10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000





failure to designate P-I-C and S-I-C 3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to permit a person to act or to act as PIC, SIC or CRP

a) when person does not hold a valid licence, rating or equivalent foreign document

b)when person has not completed 3 take-off/landings within 90 days

c) without having successfully completed a PPC (Pilot Proficiency check)

d) without having fulfilled the requirements of operator’s training program

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

To act as PIC VFR night with a non-flight crew member without an IFR endorsement

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to permit a person to act or to act as PIC with passengers on board

a) without having acquired (Insert Hours) in a single-engine aeroplane or helicopter

b) without having acquired (Insert Hours) in a multi-engine aeroplane

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

To permit a person to act or to act in an operational control position without having met training requirements

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

Failure of persons to satisfy the operator that they have required knowledge and skills after an absence of three months or more

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

Failure of operator to

a) include a detailed syllabus of training in operations manual



3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operators to

a) include a detailed syllabus of training in

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250




operations manual



failure of an operator to establish and maintain a record relating to:

a) name, licence, type and ratings




e) type of aircraft/flight training equipment used

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to retain records for (Specify period) years

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to retain most recent copies of examinations

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to maintain company operations manual

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to submit a copy of manual to the DGCA

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250


1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250


1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of person with a copy of manual to keep it up-to-date

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to establish SOP for aircraft requiring 2 or more pilots

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000


1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250




COMMUTER OPERATIONto operate contrary to the provisions and operations specifications of an AOC

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000


3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000


3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to establish system for timely dissemination of information

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure to operate a scheduled service between airports or military aerodrome

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000


3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000


7-14 days $500 / $2500

14 or more $1000 / $5000


3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC to carry a copy of flight plan 1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of operator to retain a copy of flight plan for duration specified in OPS manual

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operators to maintain aircraft in accordance with maintenance control system

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of operators to establish a checklist system for each type of aircraft

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

failure of crew member to follow checklist 3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to authorize a flight without sufficient fuel as specified

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC to give access to the cockpit by an inspector

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of operator/PIC to make a suitable seat available to the inspector

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to simulate emergency situations with 1-3 days 3-7 days 7 or more




passengers on board $100 / $500 $250 / $1250 $500 / $2500

to operate VFR

a) at night below 1000’ above highest obstacle within 3 miles of aircraft

b) by day in an aeroplane at less than 300’ AGL or at a horizontal distance of 300’ from an obstacle

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to commence a VFR flight when conditions are not VFR

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to take-off in IMC at take-off minima but below landing minima for runway



2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750




3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate IFR or night VFR in uncontrolled airspace on any route other than an air route that has been established in accordance with Standards

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate CAT II or III approaches

a) when not authorized

b) when not in accordance with Manual of All Weather Operations

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

to terminate an IFR approach with a landing

a) when runway conditions

b) wind direction and speed have not been ascertained

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

to operate an aircraft that is not within weight & balance limitations for every phase of flight

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000


3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operators to specify its W & B system and instructions on its use in the company operations manual

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250





a) passengers move to/from aircraft safely

b) all passengers are seated and secure

c) chairs are upright, trays are stowed when appropriate

d) passengers at emergency exits does not pose a hazard

e) that crew can exercise adequate supervision of passengers

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to assign a person to perform duties on board aircraft without training in (Insert days)

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to fuel aircraft with passengers on board when not in accordance with Standards

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

to allow use of portable electronic devices when not in accordance with

a) commercial air service standards

b) operations manual

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC to ensure passengers are briefed

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of PIC to ensure that persons with comprehension difficulties are given a briefing


b) meets the standards

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of PIC to ensure that passengers are given an emergency briefing when necessary

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC to ensure that persons next to an emergency exit are briefed on how to operate it

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to provide safety feature cards

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to take-off when weight

a) exceeds maximum take-off weight, as appropriate

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000




b) exceeds landing weight

to take-off in a large aeroplane at a weight that will not yield a net take-off flight path that will not clear all obstacles by 35’, or 200’ within aerodrome boundaries or 300’ outside boundaries


b) when not in compliance with standards

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to operate a multi-engine aircraft with passengers on board when weight will not allow aircraft to maintain

a) the MOCA of an airway/air route if in IMC or IFR

b) the MOCA of the route if in IFR or VFR night on a company air route

c) 500 AGL when VFR with any engine inoperative

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to dispatch/take-off a turbo-jet or large aeroplane where the landing weight

a) will not allow the stopping of aircraft within specified length at destination

b) will not allow the stopping of aircraft within specified length at alternate

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to dispatch/take-off when landing distance available on a wet runway is less than 115% of the LDA as per Flight Manual

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to operate in IMC without

a) at least 2 generators - 1 of which is capable of meeting all electrical load requirements in an emergency

b) 2 independent sources of energy capable of driving gyroscopic instruments

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate at night without 1 landing lights 1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to take-off/continue flight in icing conditions without icing equipment and aircraft type certificate authorization

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to operate at night flights in icing conditions without a means of illuminating





or detecting ice $100 / $500 $250 / $1250 $500 / $2500

to operate with passengers in IMC where thunderstorms are forecast without thunderstorm detection equipment or weather radar

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate single-pilot, IMC without

a) auto pilot capable of lateral and longitudinal control

b) headset and boom microphone and transmit button on control column

c) lighted chart holder

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

to operate a pressurized aircraft without specified protective breathing equipment

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000


3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an aircraft where pilot seat and seat beside it are not equipped with safety belt system that includes a shoulder harness

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate without at least 1 hand-held fire extinguisher located in the passenger compartment

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an aircraft without inspecting required emergency equipment

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

to operate with less than 2 pilots

a) if an aeroplane carries 10 or more passengers, or

b) an aircraft carries passengers in IFR flight

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000


3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to use/act as PIC, SIC or CRP when person

a) does not hold valid licence, rating or equivalent foreign document

b) has not completed 3 take-offs/landings within preceding / 90 DAYS

c) has not successfully completed a PPC

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000




d) has not fulfilled company’s training requirements

to act as PIC of an IFR flight with less than (Insert Number of hours)

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to act as PIC of a VFR flight with less than (Insert Number of Hours)

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to act as PIC of a night VFR flight without an IFR rating

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to use/acting as a dispatcher when person has not met the training requirements or who does not possess a certificate

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of a dispatcher to demonstrate knowledge and abilities to operator after an absence of ( Insert period in months) or more

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to establish training system that

a) ensures trainees acquire competencies necessary to perform their functions

b) is approved by the DGCA

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000


a) include a detailed syllabus in operations manual

b) provide training facilities


1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to manage training and qualification records

a) name, licence type and rating




e) type of training aircraft/equipment used

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to retain record of PPC for ( Insert period in years)

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250





1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250


3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to submit a copy of the manual to the DGCA

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250


1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250


1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of person provided with a copy of ops manual to keep it up-to-date

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to carry a copy of aircraft operating manual on board

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to establish SOP for each aircraft requiring 2 or more pilots

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000


1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

AIRLINE OPERATIONto operate contrary to the provisions and operations specifications of an AOC

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to carry person on cargo flights when person is not

a) an employee

b) a person whose presence is necessary

c) a person travelling to/from assignment

d) owner/shipper of animals

e) dependant of employee of the air operator

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250


3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000


3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to establish system for 1-3 days 3-7 days 7 or more




timely dissemination of information $100 / $500 $250 / $1250 $500 / $2500

failure to operate a scheduled service between airports or military aerodrome

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000


3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000


7-14 days $500 / $2500

14 or more $1000 / $5000


3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC to carry a copy of flight plan 3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to retain a copy of flight plan for period specified in OPS manual

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to maintain aircraft in accordance with maintenance control system

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of operator to establish a checklist system for each type of aircraft

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

failure of a crew member to follow checklist

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

to authorize flight without sufficient fuel as specified

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to operate on a route containing a point that is beyond 60 mins. from an adequate alternate at the 1 engine-inoperative speed

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of PIC to give access to the cockpit to an inspector

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of operator/PIC to make a suitable seat available to the inspector

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to admit an unauthorized person to the flight deck who does not have a seat in the passenger compartment

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of operator to provide a cabin safety inspector with a confirmed seat

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000

failure of crew member on flight deck to 1-3 days 3-7 days 7 or more




wear belts and harnesses as required $100 / $500 $150 / $750 $250 / $1250

to simulate emergency situations with passengers on board

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of PIC to ensure that crew members are given a pre-flight briefing that meets the Standards

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to operate VFR

a) by day at less than 1000’ AGL or 1000’ from any obstacle

b) by night at less than 1000’ (2000’ in designated mountainous region) above the highest obstacle within 5 miles from the aircraft

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to commence a VFR flight when flight conditions are not VFR

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to take-off in IMC at take-off minima but below landing minima for runway when alternate is not within

a) 60mins flying time at 1 engine-inoperative speed for a twin engine aircraft

b) 120mins flying time at the 1 engine-inoperative speed for aircraft with more than 2 engines or under ETOPS authorization

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750


a) when aircraft is not a helicopter

b) when not authorized in AOC

c) when not in compliance with standards

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate IFR or night VFR in uncontrolled airspace on any route other than an air route that has been established in accordance with Standards

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate CAT II or III approaches

a) when not authorized

b) when not in accordance with Manual of All Weather Operations

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

to terminate an IFR approach with a landing 2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750




a) when runway conditions

b) wind direction and speed

have not been ascertained

to operate an aircraft that is not within weight & balance limitations for every phase of flight

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000


1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operators to specify its W & B system and instructions on its use in the company operations manual

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250


a) passengers move to/from aircraft safely

b) all passengers are seated and secure

c) chairs are upright, trays are stowed when appropriate

d) passengers at emergency exits does not pose a hazard

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to fuel aircraft with passengers on board when not in accordance with Standards

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

to allow use of portable electronic devices when not in accordance with

a) Aviation compatible standards

b) operations manual

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of a flight attendant at take-off and landing to occupy a seat.

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to assigning a flight attendant seat to a passenger

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to establish a carry-on baggage control system

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to permit a person to board with carry-on baggage that has not been subject to control system and that cannot be

a) stowed in an approved overhead rack/compartment

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500




b) stowed under a passenger seat

c) restrained

to close passenger-entry doors without having verified carry-on baggage for compliance with requirement.

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

failure of operator to ensure that passengers are given safety briefings

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to give passenger safety briefings in English /National language.

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to ensure that persons with comprehension difficulties are given a briefing


b) meets international standards

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to ensure that passengers are given an emergency briefing when necessary

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to ensure that persons next to an emergency exit are briefed on how to operate it

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

requires operator to provide safety feature cards

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to take-off when weight

a) exceeds maximum take-off weight, as appropriate and Land when weight

b) exceeds landing weight

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to take-off in an aeroplane at a weight that will not yield a net take-off flight path that will not clear all obstacles by 35’, or 200’ within aerodrome boundaries or 300’ outside boundaries

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to take-off at a weight that will not yield a net flight path

a) that has a positive slope of 100’ above all terrain/obstacles within 5 NM on either side of intended track

b) that will clear terrain/obstacles by 2000’, within 5 Nm on either side of intended

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000




track

to operate an aircraft with 3 or more engines

a) beyond 90 mins from a suitable aerodrome with all engines operating at cruise power

b) at a weight that will not allow the clearing of terrain/obstacles by 2000’ within 5 nm on either side of intended track at the yield based on 2 engine inoperative enroute net flight path data

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to dispatch/take-off in an aeroplane where the landing weight

a) will not allow the stopping of aircraft within specified length at destination

b) will not allow the stopping of aircraft within specified length at alternate

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

prohibits dispatch or take-off of aircraft when landing distance available on a wet runway is less than 115% of the LDA as per Flight Manual.

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to operate an aircraft without

a) 2 independent static sources

b) rain removal system for each pilot station

c) heating/de-icing for each carburetor/fuel injection system

d) placards on doors/exits with statement for securing for take-off/landing

e) emergency means of unlocking doors that can be locked by passengers

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate at night without 2 landing lights 1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500

to take-off/continue flight in icing conditions without icing equipment and aircraft type certificate authorization

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to operate at night flights in icing conditions without a means of illuminating or detecting ice

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500




to operate with passengers in IMC where thunderstorms are forecast without thunderstorm detection equipment or weather radar

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate a pressurized aircraft without specified protective breathing equipment

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000


3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an aircraft without specified interphone system

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate with passengers without prescribed public address system

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate with crew member seats that are not equipped with safety belts that include shoulder harness

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate without specified lavatory fire protection equipment

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to operate an aeroplane where passenger seat cushions do not meet fire protection requirements

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to operate an aeroplane without floor escape path markings as per requirement.

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to operate without flashlight stowage provisions that are inaccessible from flight attendant seats

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate aircraft capable of carrying Sixty passengers or more without prescribed number of megaphones

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to operate without prescribed number of first aid kits

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to operate aircraft with a seating configuration of 100 without an emergency first aid kit/ Physician Kit

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to operate without a crash axe 1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to operate without appropriate hand-held fire extinguishers

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




to operate pressurized aircraft above FL250

a) without portable oxygen equipment for each flight attendant , or

b) oxygen equipment is available throughout the cabin

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to ensure that equipment carried meets requirements of Standards

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to inspect required emergency equipment in accordance with schedule set out in operations manual

2-5 days $150 / $750

5-10 days $400 / $2000

10 or more $750 / $3750

failure of flight attendant to have a flashlight readily available

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250


3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate with passengers without prescribed number of flight attendants

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate with fewer flight attendants necessary to perform specific functions

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to designate in-charge flight attendant

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to use/act as PIC, SIC or CRP when person


b) has not completed 3 (three) take-offs/landings within preceding 90 days

c) has not successfully completed a PPC


10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

failure of a pilot to meet consolidation period in accordance with standards

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to use/act as flight engineer or SO when person


b) has not completed ( Insert Hrs.) of flight time within (Insert period) in months or

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000




met the Standards

c) has not successfully completed line indoctrination


to assign a PIC with a SIC without meeting experience-on-type requirements stipulated in the Standards

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

to use/act as a flight attendant

a) who has not met the company’s training requirements

b) has not successfully completed line indoctrination within 90 days of completing company’s training program

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

to use/act as a dispatcher who has not met the Company’s training requirements or who does not possess a certificate.

10-21 days $750 / $3750

21-35 days $1500 / $7500

35 or more $3000 / $15000

failure of operator to notify DGCA when dispatcher certificate is issued or invalid

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to use/act as PIC on a route or into an aerodrome

a) without having acted as a crew member/observer on that route or into that aerodrome or

b) received specified training

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to establish training system that

a) ensures trainees acquire competencies necessary to perform their functions

b) is approved by the DGCA

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000


a) include a detailed syllabus in operations manual

b) provide training facilities


1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to manage training and qualification records

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000




a) name, licence type and rating




e) type of training aircraft/equipment used

failure of operator to retain records in prescribed formats for ( Insert period) years

1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500


1-3 days $100 / $500

3-7 days $250 / $1250

7 or more $500 / $2500


3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to submit a copy of manual to the manual to the DGCA

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250


1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250


1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of person provided with a copy of manual to keep it up-to-date

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to submit a copy to the DGCA for approval

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to carry a copy on board 1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to establish SOP 3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to submit a copy of SOP to the DGCA

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250


1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to establish & maintain a flight attendant manual (FAM)

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to provide a copy of FAM to each flight attendant

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of flight attendant to keep FAM up-to-date

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250




AIRCRAFT MAINTENANCE REQUIREMENT FOR AIR OPERATOR

to operate an aircraft that has not been maintained in accordance with a maintenance control system

a) that meets the standards

b) that is not described in Maintenance Control Manual (MCM)

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of operator to:

a) appoint a person responsible for maintenance control system

b) ensure the person is competent

c) authorize the person to remove an aircraft from service

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to provide for maintenance control personnel and facilities

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to include in its maintenance control system procedures for

a) recording defects

b) ensuring defects are rectified

c) detecting recurring defects

d) scheduling rectification of defects that have been deferred

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to include technical dispatch procedures in its maintenance control system that ensure aircraft are

a) airworthy

b) appropriately equipped

c) maintained as per MCM

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to establish an evaluation program

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of the person responsible to distribute information resulting from an evaluation

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to establish a 3-7 days 7-14 days 14 or more




maintenance control manual (MCM) $250 / $1250 $500 / $2500 $1000 / $5000

failure of operator to comply with policies & procedures in the MCM

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to submit each page of a MCM for DGCA approval

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to amend the MCM as appropriate

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to make a copy of the MCM available to persons performing functions described in the MCM

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to amend MCM within (Specify period) of an approval

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

to allow another agency perform maintenance unless qualified

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to ensure tasks are completed in accordance with arrangement

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to ensure all tasks listed in maintenance agreements are completed

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to authorize persons to perform elementary work unsupervised when the person

a) has not been trained

b) has never performed the task before

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to ensure persons performing work or requesting servicing have been trained

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to implement a training program to ensure maintenance staff are trained in the regulations, standards and procedures

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

failure of operator to establish, maintain and retain for (Specify period) years records of:

a) all personal qualifications of appointees

b) authorizations

c) all training

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

failure of operator to provide a copy of record to the person in question

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250




failure of operator to report service difficulties to the DGCA

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

AIR NAVIGATION SERVICES AIR TRAFFIC SERVICES

to act as a controller

a) within ( Specify period in hours)) of consumption of alcohol,

b) while under the influence of alcohol

c) while under the influence of a drug

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of a controller to issue clearances/instructions in accordance with the (Insert State) Domestic Air Traffic Control Separation Standards

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to operate an ATC/FSS unit without holding/complying with conditions set out in an ATS operating certificate (ATSOC)

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of ATSOC holder to provide services at an operational location in accordance with

a) ATS Site Manual and

b) (Insert State) Domestic Air Traffic Control Separation Standards

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to use/act as FSS specialist:

a) who has not successfully completed training

b) who has not been certified as competent

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of ATSOC holder who operates a FSS

a) to maintain training records

b) to provide the DGCA with a copy of a training record

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

TELECOM-MUNICATI-ONAERONAUTICAL




failure of operator of aeronautical telecommunications system

a) to operate and maintain system in accordance with ICAO Annex 10

b) maintain documentation to show how compliance is being achieved

14-30 days $1000 / $5000

30-60 days $2500/ $12500

60 or more $5000 / $25000

to perform functions related to installation/maintenance/operation of aeronautical telecommunications system without having successfully completed specific training

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of operator of ground equipment in support of GPS to

a) install/maintain/operate equipment in accordance with GNSS IFR Operations

b) maintain documentation to show how compliance is being achieved

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

requires operator of aeronautical system to provide the DGCA with documentation referred to in subpart

1-3 days $100 / $500

3-7 days $150 / $750

7 or more $250 / $1250

AERONAUTICAL INFORMATION SERVICESrequires person responsible for AIS (AIP) to deliver services in accordance with ICAO annexes 4 & 15

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

to publish IFR approach in A I P

a) if not developed in accordance with the Criteria for the development of IFR approaches

b) by a person who has been appropriately trained

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

AVIATION WEATHER SERVICESto provide weather services

a) not in accordance with ICAO Annex 3

b) Manual of Surface Weather Observations

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000




SAFETY MANAGEMENT PROGRAMMEfailure of person providing any service described in part to establish a safety management program

14-30 days $1000 / $5000

30-60 days $2500 / $12500

60 or more $5000 / $25000

failure of manager safety program to

a) have direct access to CEO

b) conduct risk assessments

c) coordinate collection and analysis of data requires program manager to perform specific functions

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

LEVELS OF SERVICEfailure to provide

a) (Insert days) days advance notification of termination of service

as far in advance as possible for all other reductions in levels of service.

3-7 days $250 / $1250

7-14 days $500 / $2500

14 or more $1000 / $5000

to change level of service before DGCA has had reasonable opportunity to review study

14-30 days $1000 / $5000

30-60 days $2500/ $12500

60 or more $5000 / $25000

AVIATION OCCURENCESfailure to report aviation occurrences to the DGCA

7-14 days $500 / $2500

14-21 days $1000 / $5000

21 or more $2000 / $10000




11.5 CARs Non-Designated OffencesViolations of the following sections of the CARs are normally handled by prosecution.

Offence

to:

a) walk, stand, park a vehicle or cause an obstruction at an aerodrome

b) tow an aircraft on the manoeuvring area without displaying lights

c) park an aircraft on the manoeuvring area without it being lighted as prescribed

d) cause an obstruction on surface of water aerodrome

e) knowingly remove, deface, extinguish, etc. any signal/marker etc. used for the navigation of aircraft

f) knowingly display a marker/signal/light, etc. to cause someone to believe the place is an aerodrome

g) knowingly display a marker/signal/light etc. likely to be hazardous to aircraft safety

h) allow an animal to be unrestrained within the boundaries of an aerodrome

i) discharge a firearm at an aerodrome

to smoke/display an open flame at an aerodrome without authorization

to:

a) operate specified aerodromes without an airport certificate

b) use an airport contrary to airport certificate

c) walk, stand, park a vehicle or cause an obstruction at an airport

d) cause an obstruction on surface of water airport

e) tow an aircraft on the manoeuvring area of an airport without displaying lights

f) park an aircraft on the manoeuvring area of an airport without it being lighted as prescribed

g) knowingly remove, deface, extinguish, etc. any signal/marker etc. used for the navigation of aircraft

h) knowingly display a marker/signal/light etc. likely to be hazardous to aircraft safety

i) allow an animal to be unrestrained within the boundaries of an airport

j) discharge a firearm at an airport

to smoke/display an open flame at an airport without authorization

to consume alcoholic beverages that are not provided by operator

failure of a passenger to comply with instructions of crew member

to smoke during t/o, landing or as directed




to smoke in lavatory

to tamper with smoke detectors

to use portable electronic devices when not authorized

to operate a non-piloted aircraft without /not in accordance with a special flight operations certificate

to fly model aircraft/kites, launch model rockets into cloud or in a manner likely to endanger aviation safety

failure to wear/use hypothermia suits when so directed

failure of responsible persons to report overdue aircraft and provide all pertinent information to the flight

failure of a passenger to use seat belts/restraints as directed

to be responsible for more than 1 infant

to use a child restraint system

a) when not seated adjacent to the infant

b) when not familiar with manufacturers installation of such a system

c) when not familiar with the method of securing the infant

to carry carry-on baggage that has not been subjected to security checks


Inspection Page 1 - 135

Abbreviations

AI - Airworthiness Inspector

AME - Aircraft Maintenance Engineer

AOC - Air Operator Certificate

ATC - Air Traffic Control

ATS - Air Traffic Services

CAI - Civil Aviation Inspector

CARs - Civil Aviation Regulations

CVR - Cockpit Voice Recorder

DCAM - Director, Civil Aviation Medicine

DGCA - Director General, Civil Aviation

FDR - Flight Data Recorder

IFR - Instrument Flight Rules

MANOPS - ATC Manual of Operations

NFA - No Further Action

OPI - Office of Primary Interest


136 Inspection

Glossary

“Act” - The Aeronautics Act, XXXXX (State Act Reference)

“Administrative Action” - Deterrent action taken by or on behalf of the Government / DGCA, including oral counselling, suspension or cancellation of documents of entitlement and imposition of a moneatry penalty.

“XXXXX (Insert State) Aviation Document” - Any licence, permit, accreditation, certificate or other document issued by the Government/DGCA under of the Aeronautics Act/CARs to or with respect to any person or in respect of any aeronautical product, aerodrome, facility or service. A XXXXX (Insert State) aviation document includes virtually any document of entitlement that authorizes a person to perform functions on his own behalf.

“Civil Aviation Rules” / “Rules” - the Aeronautics Act and all documents enabled pursuant thereto.

“Compliance” - Conformity with the provisions of the regulations. Compliance and enforcement can be used interchangeably.

“Comprehensive Investigation” - The follow-up to the initial violation process to obtain conclusive evidence as to whether or not a violation occurred so that appropriate deterrent action can be taken.

“Counsel Government Counsel is any lawyer representing the interests of the government during criminal proceedings.

“Designated Provisions” - Regulations specified in XXXXX (Insert Specific Rule/Regulation) for which deterrent action is limited to administrative measures; judicial action cannot be taken. The majority of the offence-creating provisions of the CARs have been designated.

“Deterrent Action” - Administrative (or judicial measures) taken in response to a violation to induce future compliance.

“Enforcement Action” - The steps including deterrent action that must be taken from the moment a possible violation of the regulations has been detected until the case is concluded.

“Functional Authority” - Technical services within Civil Aviation grouped by aeronautical knowledge or skills (such as General Aviation, Air Navigation, etc.) within which there may be further specialization (e.g. Personnel Licensing, Enforcement, Aircraft Evaluation, etc.). Functional authority includes the prerogative of a functional specialist to prescribe how the activity within the specialist’s area of expertise should be carried out.

“Functional Direction” - The exercise of functional authority through the issuing of and ensuring compliance with policies and procedures and through the provision of instructions to supervisors and subordinates.

“Hybrid Offence” - An offence under subsection 7.3(1) of the Aeronautics Act that may be proceeded against by way of indictment, by summary conviction procedures or by administrative process.

“Incompetent” - Lacking knowledge, ability or fitness necessary for effective action; unable to meet specified requirements; not legally qualified.

“Indictable Offence” - An offence that is considered very serious, that carries with it the possibility of a severe penalty and that must be proceeded with by way of indictment. Some offences under the Aeronautics Act/CARs may be addressed by indictment.

“Initial Violation Process” - The immediate actions taken on observing or being apprised of a violation. Information is gathered concerning the occurrence and, if an infraction has occurred, a decision is made to conclude the case with an Oral Counselling or to send the information to (Concerned Supervisor) for further investigation.


Inspection Page 1 - 137

“Inspector” - Any Transport Canada aviation official with appropriate authority under the Delegation of Authority document.

“Investigator” - An Aviation Enforcement Inspector

Note: Inspectors inspect; Investigators investigate.

“Line Authority” - The prerogative of line managers to direct the activities of the staff and resources over which they are responsible.

“Government” - The Government of XXXXX (Insert State) and all persons with delegated authority to act on its behalf in aeronautics matters.

“Negligence” - Conduct falling below the standard required for the protection of others against unreasonable risk of harm.

“Night Time” - For the purpose of an investigation, official "night time" will be determined by using the tables in the Air Almanac.

“Non-Designated Provisions” - The CARs that have not been designated under CAR 103.08 and therefore, if contravened, must be addressed by document suspension or through judicial action..

“Offence-Creating Provisions” - Provisions of the civil aviation rules that mandate a certain form of conduct or prohibit certain conduct and which, if contravened, can result in judicial or adminstrative deterrent action.

“Reasonable Grounds To Believe” - The knowledge of facts that would lead a reasonable person of ordinary intelligence and prudence to believe.

“Recklessness” - Conduct that shows deliberate disregard of, or indifference to, the consequences of one's actions under circumstances involving risk of harm to life or property.

“Regulations” - The XXXXX (Insert State) Civil Aviation Regulations.

“Summary Conviction Offence” - An offence that is considered to be less serious than an indictable one and accordingly carries with it a less severe penalty.

“Summary Conviction Procedure” - There is no choice of court - the trial procedure takes place in a provincial court. There is no right to have a preliminary inquiry and there is no right to a trial before a jury.

“XXXXX (Insert State) Civil Aviation Official” - Any officer of XXXXX (Insert State) CAAwhose duties on behalf of the DGCAare related to the safe and lawful operation of the XXXXX air transportation system.

“Violation” - The breach of any offence-creating provision of the Regulations. The terms “violation” and "contravention" are used interchangeably.


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