INTRODUCTION PRINCIPLES SCOPE External training, communication and dissemination of safety information

11-APP 4-1 Appendix 4 to Chapter 11 GUIDANCE ON THE DEVELOPMENT OF A STATE’S ENFORCEMENT POLICY AND ENFORCEMENT PROCEDURES IN AN SMS ENVIRONMENT ENFORCEMENT POLICY

1. INTRODUCTION

This enforcement policy is promulgated under the statutory authority in [State’s applicable civil aviation regulations, air navigation orders or regulatory standards].

2. PRINCIPLES

2.1 This enforcement policy is the culmination of a comprehensive review by [State’s CAA] of its capacity and regulations for evaluating safety activities by service providers. 2.2 The implementation of safety management systems SMS requires that [State’s CAA] develop a flexible enforcement approach to this evolving safety framework while at the same time carrying out enforcement functions in an equitable, practical and consistent manner. A flexible enforcement approach in an SMS environment should be based in two general principles. 2.3 The first general principle is to develop enforcement procedures that allow service providers to deal with, and resolve, certain events involving safety deviations, internally, within the context of the service provider’s SMS, and to the satisfaction of the authority. Intentional contraventions of the [State’s Civil Aviation Act] and the [State’s Civil Aviation Regulations] will be investigated and may be subject to conventional enforcement action if appropriate. 2.4 The second general principle is that no information derived from safety data collection and processing systems SDCPS established under SMS shall be used as the basis for enforcement action.

3. SCOPE

3.1 The principles underlying this enforcement policy statement and associated enforcement procedures apply to service providers operating in accordance with ICAO Annex 1 — Personnel Licensing; Annex 6 — Operation of Aircraft, Part I — International Commercial Air Transport — Aeroplanes, and Part III — International Operations — Helicopters; Annex 8 — Airworthiness of Aircraft; Annex 11 — Air Traffic Services; and Annex 14 — Aerodromes, Volume I — Aerodrome Design and Operations. 3.2 Within the context of this guidance the term “service provider” refers to any organization providing aviation services. The term includes approved training organizations that are exposed to safety risks during the provision of their 11-APP 4-2 Safety Management Manual SMM services, aircraft operators, approved maintenance organizations, organizations responsible for type design andor manufacture of aircraft, air traffic service providers and certified aerodromes, as applicable.

4. GENERAL