20/01/10        CAAFI REGULATORY DEVELOPMENT MANUAL
This Manual provides an overview of CAAFI’s regulatory development pro...
20/01/10                   CAAFI REGULATORY DEVELOPMENT MANUAL

     •   Provide information on the CAAFI’s public consult...
20/01/10                   CAAFI REGULATORY DEVELOPMENT MANUAL

Consultations on regulatory and non-regulatory proposals a...
20/01/10                 CAAFI REGULATORY DEVELOPMENT MANUAL
These Sub-Committees all have an industry co-chair and a CAAF...
20/01/10                  CAAFI REGULATORY DEVELOPMENT MANUAL
     (f) NPLCs and NPSCs will be pre-released to the relevan...
20/01/10                                 CAAFI REGULATORY DEVELOPMENT MANUAL
In cases where the proposal is easy to unders...
20/01/10                             CAAFI REGULATORY DEVELOPMENT MANUAL
                                                 ...
20/01/10                  CAAFI REGULATORY DEVELOPMENT MANUAL


       2.3   Quality Assurance Officer (QAO) – Responsibil...
20/01/10                        CAAFI REGULATORY DEVELOPMENT MANUAL
                    •    The regulatory and non-regula...
20/01/10                 CAAFI REGULATORY DEVELOPMENT MANUAL
                •   Project Leader (PL)
                •   P...
20/01/10                 CAAFI REGULATORY DEVELOPMENT MANUAL
               •   Arrange for the electronic version of the ...
20/01/10                CAAFI REGULATORY DEVELOPMENT MANUAL
             2. Advise the Project Leader of changes required,...
20/01/10                    CAAFI REGULATORY DEVELOPMENT MANUAL

       5.3      Preparation of the Briefing Paper

      ...
20/01/10                   CAAFI REGULATORY DEVELOPMENT MANUAL
             The DP is developed for the purposes of consul...
20/01/10                 CAAFI REGULATORY DEVELOPMENT MANUAL
       8.7   Financial Authorising Officer (FAO) – Responsibi...
20/01/10                   CAAFI REGULATORY DEVELOPMENT MANUAL

                All responses received to the consultation...
20/01/10                  CAAFI REGULATORY DEVELOPMENT MANUAL
       11.1   Publishing and Distributing the Summary of Res...
20/01/10                  CAAFI REGULATORY DEVELOPMENT MANUAL




                                  ANNEX B – NPLC AND NPS...
20/01/10                     CAAFI REGULATORY DEVELOPMENT MANUAL
        •    An Annex containing the draft Legislative pr...
20/01/10                         CAAFI REGULATORY DEVELOPMENT MANUAL
 Draft NPLC formatted by
 Legal Officer and
 prepared...
20/01/10                       CAAFI REGULATORY DEVELOPMENT MANUAL
                    •    The title/description of the N...
20/01/10                          CAAFI REGULATORY DEVELOPMENT MANUAL
                     •     An Executive Summary, (si...
20/01/10                 CAAFI REGULATORY DEVELOPMENT MANUAL
       4.1   Background
             All NPLCs must be review...
20/01/10                 CAAFI REGULATORY DEVELOPMENT MANUAL
             2. Forward the draft NPLC to the Inspectorate St...
20/01/10               CAAFI REGULATORY DEVELOPMENT MANUAL
           1. Following receipt of comments/responses from the ...
20/01/10                 CAAFI REGULATORY DEVELOPMENT MANUAL
                •   Email notification to CAAFI Executive and...
20/01/10                       CAAFI REGULATORY DEVELOPMENT MANUAL
       to a NPLC through the CAAFI website and is the C...
20/01/10                 CAAFI REGULATORY DEVELOPMENT MANUAL
             2. When the advertisement has been approved by t...
20/01/10                CAAFI REGULATORY DEVELOPMENT MANUAL
             A letter to all subscribers of the Air Safety Com...
20/01/10                 CAAFI REGULATORY DEVELOPMENT MANUAL
              1. The QAO will supply to the Project Leader a ...
20/01/10                 CAAFI REGULATORY DEVELOPMENT MANUAL




BB.    NOTICE OF PROPOSED STANDARD CHANGE

1.     CAAFI t...
20/01/10                 CAAFI REGULATORY DEVELOPMENT MANUAL
           Generally, consultation on a newly developed SD is...
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
1.2.1 Responsibilities of the Committee Chair:.doc
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1.2.1 Responsibilities of the Committee Chair:.doc

  1. 1. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL This Manual provides an overview of CAAFI’s regulatory development processes and mechanisms. 1. CAAFI Responsibility to Consult CAAFI is responsible under sections 14 (2) (b) and 3 (b) of the Civil Aviation Authority Act 1979 for promoting full and effective consultation and communication with all interested parties on aviation safety issues. Aviation Security consultation will be in accordance with the National Civil Aviation Security Programme (as entailed under Regulations 3A of the Civil Aviation (Security) Regulations 1994) which has been delegated by the Minister for Civil Aviation to CAAFI. When conducting regulatory development activities, CAAFI’s method in conducting consultation is to seek early and on-going input and comments from interested parties regarding aviation safety issues and proposals to introduce new or amend Acts, Regulations (hereinafter referred to as the “Legislations”) and Standards. Where the change or amendment in the Legislations results in a difference from an ICAO Standard, whether more or less restrictive, then actions must be initiated under a separate procedure for the Filing of a Difference. This CAAFI procedure will come into effect after the NPLC procedure described in Annex B. 2. Effective Consultation is Fundamental CAAFI has made a commitment to improving mechanisms for consultation and supporting appropriate consultation with all relevant stakeholders. Consultation ensures that both the regulator and the regulated parties have a good understanding of the proposal, alternative options to address it, possible administrative and compliance mechanisms and associated benefits, costs and risks. However, a final Legislative or Standard change will be advised when there is a safety or security emergency. Industry was invited to participate in the Consultation Process by a letter sent in mid 2006 to all certificated and approved organisations. Organisations were asked, if they wished to participate, to provide one or more contact persons and their email addresses for the process. They were also given the opportunity to nominate, in respect of the 18 ICAO Annexes, any on which they were not interested in consultation. Most organisations expresses interest in the full range whilst a few limited their interest to their particular area of aviation related activity. 3. CAAFI’s Annual Regulatory Plans Annual Regulatory Plans prepared by the CAAFI to provide stakeholders with an early indication of potential regulatory (includes Acts, Regulations and Standard Documents) changes. These plans contain information about proposed regulatory activities, including a description of the issue, information about consultation opportunities and an expected timetable. This would: • Enable registration of relevant stakeholders prepared to be consulted on particular Legislations/Standards; • Automatically notify stakeholders of consultation processes in areas where they have registered an interest; 1
  2. 2. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL • Provide information on the CAAFI’s public consultation objectives and policies; • Provide links to current and past consultation processes; • Include information about new and upcoming changes to Legislations/Standards. 4. How CAAFI Consults on Regulatory Development Activities In meeting the requirements for an Annual Regulatory Plan, CAAFI has developed and maintains a website-based page that provides users with links to information on regulatory development projects underway or completed, consultation being undertaken and project progress/status reports. See http://www.caafi.org.fj/index.cmf “Proposed Legislative Change”. A Consultation Process is initiated when the CAAFI receives – • advice of a proposed change to an ICAO Annex or Document; or • advice of a proposed change to an CAAFI Legislations or Standards Document; or • a proposed change originates from an audit or an investigation (internal or external) and results in a change proposal for Legislations or a Standard; or • a proposed change originating from a review of existing documentation and results in a change proposal for Legislations or a Standard. CAAFI undertakes an iterative process of consultation, involving: • Discussion Papers (DPs) (optional); • Notices of Proposed Legislative Change (NPLCs) and Notices of Proposed Standards Changes (NPSCs); • Legal drafts of proposed Legislations and Standards. Initial consultation takes place during the early development of the policy, concept or regulatory options, where considered necessary, and at this stage a DP is prepared and circulated for consideration and comment. The DP essentially exposes the proposal concepts, ideas or options for stakeholder awareness and consideration.  See Annex A for a detailed explanation of the procedures followed by CAAFI to develop, consult, approve and publish DP’s. More formal consultation takes place once the policy and technical options have been assessed more thoroughly and recommendations for regulatory (and non-regulatory) change identified. • Proposed new and amended regulatory policies (affecting the Act and Regulations) are published in NPLCs; • Proposed new and amended standards (SDs) are published in NPSCs;  See Annex B for a detailed explanation of the procedures followed by CAAFI to develop, consult, approve and publish NPLCs, NPSCs. CAAFI also consults on the legal drafts of Legislations with the Solicitor General’s Legislative Drafting Department after NPLC consultations have been conducted but before the final decisions on regulatory policy are made and formal legislative-making activities are undertaken. 2
  3. 3. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL Consultations on regulatory and non-regulatory proposals are commensurate with the extent and scope of the change, its impact on affected parties, and the degree of acceptance with the change. For example, regulatory changes of a minor, editorial nature are not subject to the full NPLC process, but will involve less formal consultations, using the Air Safety Committee and Ground Safety Committee (see below) and notifications on CAAFI’s website. At the conclusion of the consultation process, a Notice of Final Legislative Change (NFLC) for Acts and Regulations, or Notice of Final Standard Change (NFSC) for standards, is published by CAAFI. While NFLCs and NFSCs are not consultative publications in the sense that they invite further comment, NFLCs and NFSCs serve to close consultations and notify affected parties of the changes being made by CAAFI, including an explanation of how comments received during the consultation process were disposed of.  See Annex C for a detailed explanation of the procedures followed by CAAFI to develop, approve and publish NFLCs and NFSCs. 5. Consultative Bodies and Processes CAAFI is committed to working cooperatively with the aviation community to maintain and enhance aviation safety. This is especially important as far as the development of standards and regulatory material is concerned. CAAFI has established the Air Safety Committee and Ground Safety Committee to meet this corporate objective. The Air Safety Committee and Ground Safety Committee serve as the principal consultative bodies used by CAAFI to provide advice and recommendations to CAAFI on regulatory issues and proposals and associated documentation. The Air Safety Committee and Ground Safety Committee are composed of industry bodies. It brings together CAAFI staff and representatives from a diverse range of aviation community organisations to work jointly during the development phase of regulatory material. The Air Safety Committee and Ground Safety Committee: • Provides advice to CAAFI on regulatory proposals and issues identified in DPs, NPLCs and NPSCs; • Assists CAAFI in identifying regulatory implementation issues and coordinating implementation activities; • Provides advice to CAAFI on other aviation safety issues that have regulatory implications; • Nominates industry subject matter experts to participate in regulatory development project teams; • Assists CAAFI in assigning priorities amongst regulatory development projects; • Assists CAAFI to determine the impact, costs and benefits of regulatory proposals. A member of the industry nominated by the respective Air Safety Committee and Ground Safety Committee members and selected by CAAFI from amongst the nominees, chairs the respective Air Safety Committee and Ground Safety Committee. The Air Safety Committee and Ground Safety Committee operate through sub-Committees that are broadly representative of the various functional sectors of the aviation industry. 3
  4. 4. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL These Sub-Committees all have an industry co-chair and a CAAFI co-chair. They are free to establish working groups as required to assist with Sub-Committee work. The respective Air Safety Committee and Ground Safety Committee meet three to four times annually. The respective Sub-Committees meet on an as required basis, which is usually two to three meetings per year, dependent on workload and priorities. All regulatory and non-regulatory proposals developed by CAAFI/Industry Project Teams (hereinafter referred to as the “Project Team” and consists of CAAFI and Industry members). The latter is nominated by the respective Air Safety Committee and Ground Safety Committee and is consulted on with the relevant Air Safety Committee and Ground Safety Committee before they are exposed for broader industry comment and input from the public at large.  See Annex D for a detailed explanation on the Terms of Reference of the Air Safety Committee and Ground Safety Committee; sub Committees and the Project Team and the Regulatory Development Project Phases. The following summarises Air Safety Committee and Ground Safety Committee involvement in a regulatory development project: (a) Any person or organisation, including the Air Safety Committee and Ground Safety Committee, its Sub-Committees and members, can recommend that CAAFI consider making new or amend the Legislations. Once a recommendation is accepted by CAAFI to proceed to the regulatory development/project stage, CAAFI will ask the respective Air Safety Committee and Ground Safety Committee to nominate industry members to staff the CAAFI/Industry Project Team established to develop the Legislations*. The Air Safety Committee and Ground Safety Committee can also recommend what priority should be given by CAAFI to the project. (b) The CAAFI/Industry Project Team is accountable for ensuring that the regulatory policy and framework principles are respected, including the conduct of appropriate risk assessments and cost/benefit analyses. The team will provide briefings to the relevant Air Safety and Ground Safety Sub-Committees (and the respective full Air Safety Committee and Ground Safety Committee if appropriate) to keep them up-to-date on project developments and seek their comments and advice on specific issues. (c) If necessary, the CAAFI/Industry Project Team will develop a Discussion Paper (DP) setting out the issues and possible solutions and asking for industry views on the issues. (d) If a DP is developed, it will be pre-released to the relevant Air Safety Committee and Ground Safety Committee and relevant Sub-Committees for comment, before it is published for broader industry and public comment. (e) After completing its research and analysis and considering all input received, the CAAFI/Industry Project Team will develop a Notice of Proposed Legislative Change (NPLC) describing the new or amended policies that are being recommended to address the safety issue or gap that gave rise to the project. Where new or amended standards are being recommended, a Notice of Proposed Standard Change (NPSC) will be developed*. 4
  5. 5. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL (f) NPLCs and NPSCs will be pre-released to the relevant Air Safety Committee and Ground Safety Committee and relevant Sub-Committees for comment, before they are published for broader industry and public comment. (g) Legal drafts of Legislations prepared by the Solicitor General’s Legislative Drafting Department and the CAAFI Legal Officer will not be included in the NPLCs, but will be circulated to the relevant Air Safety Committee and Ground Safety Committee and relevant Sub-Committees for comment when they are made available by the Solicitor General’s Legislative Drafting Department through the CAAFI Legal Officer. Industry groups and members not represented on the respective Air Safety Committee and Ground Safety Committee may also be consulted on the draft Legislations. (h) The CAAFI/Industry Project Team will consider all consultation comments received and develop a Notice of Final Legislative Change(NFLC) or, in the case of new or amended standards, a Notice of Final Standard Change (NFSC)*. The NFLC or NFSC will contain a Summary of Responses (SOR) that describes the comments received and how they were disposed of. In the case of Acts and Regulations, the NFLCs will contain the final draft Acts or Regulations approved by the Solicitor General’s Legislative Drafting Department and the NFSCs will contain the final draft of the Standard approved by the CAAFI. (i) NFLCs and NFSCs will be pre-released to the relevant Air Safety Committee and Ground Safety Committee and relevant Sub-Committees for comment before they are published. * For minor, editorial, housekeeping amendments and safety and security issues that require urgent implementation, CAAFI/Industry Project Teams are not likely to be established and CAAFI will not publish NPLCs/NFLCs or NPSCs/NFSCs. CAAFI will however normally notify the Air Safety Committee and Ground Safety Committee and relevant Sub-Committees of the amendments before they are formally published. 6. Consultation Communications and Vehicles Publications – For high-profile projects dedicated pamphlets may be produced. Articles on high- profile projects may also be featured in CAAFI’s Aviation Safety Magazine. Internet – All projects are featured on CAAFI’s web page http://www.caafi.org.fj/index.cmf Advertisements – CAAFI notifies consultation details through newspaper advertisements on regulatory matters and makes available electronic details via the CAAFI Website and through email notifications directly to affected parties/stakeholders. For Standard’s change, consultation details will be made available through email notification directly to affected parties/stakeholders. The consultation notification will: • Declare CAAFI’s intention to seek comment on CAAFI’s intention to make a proposed Legislations/standard; • Describe the manner in which copies/information of the consultative document (Discussion Paper/NPLC/NPSC) can be obtained; • Provide advice as to the period and method which responses may be made and lodged in relation to the proposal. Generally, CAAFI allows up to four weeks for respondents to comment on the proposal. 5
  6. 6. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL In cases where the proposal is easy to understand, minor or non-controversial, it can be subject to comment for shorter periods as determined by CAAFI. The Project Sponsor (usually the CAAFI Chief Executive) may extend the response period for large and complex proposals. ANNEX A – DISCUSSION PAPER 1. Background From time to time, it will be useful for CAAFI to issue a Discussion Paper (DP) to seek a preliminary response from the public regarding introduction of new Legislations or change proposals to existing Legislations, or to test options or concepts. The purpose of a DP is to seek public comment as to whether CAAFI should proceed with new Legislations or to initiate a change to existing Legislations. An evaluation of the DP comments/responses may determine whether or not CAAFI will proceed with the proposal and subsequently issue an NPLC for further consultation purposes. The DP is prepared by the Project Team and will generally contain the following information: • An Executive Summary, summarizing the background, purpose, benefits and, contain an invitation to interested parties to comment on the proposal; • The problem being addressed and why action is required; • Objectives of the proposal; • Options considered, together with any broad constraints that might make options not viable and an impact analysis (costs and benefits) of each option considered if required; • Details of consultation that has taken place previously – e.g., website drafts, seminars, etc; • Conclusions and the recommended options (if any); • Possible implementation aspects of the recommended option; • A response sheet showing how to submit DP comments, and how to obtain further information. A DP is a public document and must be registered when a decision for consultation on a proposal or Legislative change has been made and approved. The Project Sponsor (usually the Chief Executive) will approve the concept for initial consultation by way of a DP. Overview of Initial Consultation Process Project Leader Project Leader initiates need for with the Project Project Sponsor QAO assigns DP initial concept consultation and Team prepares approves proposal number and submits proposal to relevant draft for initial provides DP Project Sponsor for DP (using consultation with template to consideration/approval to template provided the public by way of Project Leader. proceed with consultation through QAO) – DP. through DP. negotiates development with Draft DP circulated (by the Legal Officer Legal Officer) for pre-issue Project Team review, clearance and acceptance considers all to: comments, make • CAAFI Executives changes as • Project Leader necessary, prepare • Respective Air Safety Committee final version DP. and Ground Safety Committee • Respective Air Safety and Legal Officer 6 Ground Safety Sub-Committee prepares DP for • Email to CAAFI Inspectorate final clearance staff purposes.
  7. 7. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL Project Leader (in Draft DP formatted conjunction with by Legal Officer) prepares Legal Officer and DP Briefing Paper, obtains prepared for pre- Project Sponsor issue review endorsement and (CAAFI/respective distributes Air Safety Briefing Paper to Committee and CAAFI Executives (in Ground Safety advance of the publication Committee). of the DP). All comments Project Leader reports Formatted DP DP published on received by QAO findings to Project circulated (by CAAFI website. collated and Sponsor with Legal Officer) for recommendations for Final review, Availability of DP submitted to Project Team for consideration on policy clearance and announced by Legal consideration/analys and future project approval to: Officer through: is and disposition proceeding. • Project Leader • Industry email • Inspectorate Staff subscribers list after closing period. If Project Sponsor • Newspaper advert Project Team decides not to proceed – Approval and signed • Email to consolidates all SOR to DP finalized, by Project Sponsor. Inspectorate Staff comments and approved and published, prepares Summary closing initial Online Response consultation. System loaded of Responses (SOR) (QAO) for logging to the DP. If Project Sponsor comments/responses decides to proceed, SOR to DP can be incorporated in subsequent NPLC/consultation requirements Proceed to further project development and consultation through NPLC process 2. Procedure for the Registration of the DP 2.1 Staff Responsible • The Project Leader (PL) responsible for developing the DP • QAO 2.2 Project Leader (PL) – Responsibilities 1. Contact the QAO and provide the following details: • Your name (contact details) • The title/description of the DP • The Legislations affected/proposed • The project registered number and the project file number • The intended public release date and closing date. Note: As the DP development nears completion, you will be able to provide a more definitive public release and closing date, which must be notified to the QAO for inclusion in the final DP. 7
  8. 8. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL 2.3 Quality Assurance Officer (QAO) – Responsibilities 1. Register the DP allocating the next sequential number from the DP/NPLC register. The DP is registered by year, by sequential number and subject code: For example: DP 0906GS = 09 Year registered 06 Sequential number of registration - numbering is not maintained within the subject code group but rather codes are numbered in order of registration (in that year) on a CAAFI wide basis, GS Maintenance code. Note: The Codes for activities are: GS = Ground Safety; or AS = Air Safety. 2. Enter the DP details into the DP/NPLC Register Database. 3. Create a DP Production File using File Request Form template. 4. Create a DP Response File. 5. Submit to Project Leader. 3. Procedure for Writing the DP 3.1 Staff Responsible • The Project Leader (PL) responsible for developing the DP • Legal Officer • QAO. 3.2 Project Leader (PL) – Responsibilities The Project Leader will: 1. Request a copy of the DP template (MS Word document) from the QAO. 2. In conjunction with and with assistance from the Project Team and the Legal Officer, using the DP template, will prepare the DP as necessary: • It may be useful to refer to previous DPs, copies of which can be found on the CAAFI website/Intranet or obtained from the QAO. 3. In preparing the DP include the following components: • An Executive Summary, (signed by the Project Sponsor) providing an overview and the purpose of the DP, the benefits expected, an invitation to comment and details of the comment period; • A description of the issue and why CAAFI action is necessary to address the issue; • The objectives of the proposal; what outcomes, goals or targets are sought in relation to the identified problem; 8
  9. 9. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL • The regulatory and non-regulatory options being considered for dealing with the problem and identification of the broad constraints that might make options not viable; • An impact analysis identifying those individuals or parties likely to be affected by the proposal(s), the effect of the options on existing Legislations, the impact of options (in terms of costs and benefits), the distributional effects, the data sources and assumptions made, and a summary statement as to why the particular option is preferred; • Any consultation carried out previously – for example: seminar gatherings, website data including, details of the main affected parties and the views of the parties; • A conclusion and the recommended option, including:  A summary of the assessment of each option;  The preferred option;  An outline of the assumptions;  Why options were rejected/preferred;  A description of how the proposals could be implemented and assessed. Note: In preparing the DP, the following writing style matters should be useful and considered: Are the conclusions that you want the reader to reach clear in your mind? Have you addressed the concerns of the reader? Do your arguments lead logically to your conclusions? Have you put what is important first? Are your sentences short and your language clear? Have you used clear (not obscure) technical language? 4. On completion, forward the draft DP (MS Word) document (by email) to the Legal Officer for formatting, editorial review, and to commence the clearance process. 4. The Clearance and Approval of the DP 4.1 Background All DPs must be reviewed, cleared and approved by the persons listed on the relevant DP Clearance Sheet prior to being published for aviation community/public/industry comment. Each draft DP must be circulated for pre-issue clearance review. Comments and/or suggested changes are consolidated and incorporated into the final DP, which is then circulated for final clearance, prior to publication/issue. The Project Sponsor makes final approval. The final clearance process includes the preparation of a CAAFI Executive Briefing Paper for information/awareness purposes. Further consultation for industry and CAAFI field personnel to explain the proposal, main changes, and effect on industry/CAAFI may be necessary and is a considered option for each Act or Regulation. 4.2 Staff/Groups Responsible 9
  10. 10. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL • Project Leader (PL) • Project Sponsor (usually the Chief Executive) • Legal Officer • Inspectorate Staff • Quality Assurance Officer • Secretariat Support Officer • Respective Air Safety Committee and Ground Safety Committee • Respective Air Safety and Ground Safety Sub-Committee/Working Group. 4.3 Draft DP Pre-issue Review/Clearance Procedure Project Leader (PL) – Responsibilities 1. Prepare the draft DP using the template/style format (in conjunction with the Project Team, the respective Air Safety Committee and Ground Safety Committee, Sub-Committee/Industry representatives, the Legal Officer and the QAO). Legal Officer – Responsibilities 1. Format the draft DP to the standard template, insert the DP document registration number. 2. Prepare DP Pre-Issue Clearance Sheet and forward the Pre-Issue Clearance Sheet along with the draft DP to the PL. Project Leader (PL) – Responsibilities 1. Finalise the draft DP in conjunction with the Project Team. When satisfied, sign the Pre-Issue Clearance Sheet. 2. Forward the draft DP to the Inspectorate Staff [or equivalent] for technical content consideration/clearance (Inspectorate Staff signs the Pre-Issue Clearance Sheet when satisfied). 3. Following Inspectorate Staff clearance, forward the draft DP to the Project Sponsor for policy clearance and approval to release the draft DP for pre-issue review purposes (Project Sponsor signs the Pre-Issue Clearance Sheet when satisfied/approved). Inspectorate Staff – Responsibilities 1. When satisfied that the draft DP technical content is acceptable/within the Terms of Reference, sign the DP Pre-Issue Clearance Sheet. 2. Forward the draft DP and Pre-Issue Clearance Sheet to the Project Sponsor for consideration and approval to release the draft for review purposes. Project Sponsor – Responsibilities 1. When satisfied that the policy intent/content is acceptable and the draft DP is acceptable for circulation for review purposes, sign the DP Pre-Issue Clearance Sheet. 2. Return the draft DP and Pre-Issue Clearance Sheet to the Project Leader for on forwarding to the Legal Officer. Legal Officer – Responsibilities 1. Prepare the following correspondence (using the standard templates): 10
  11. 11. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL • Arrange for the electronic version of the draft DP including the comment instructions and closing date to be posted on CAAFI Web Updates; • An email to CAAFI Executives seeking their comments  Ccd to Project Leader and QAO; • Notification via email to the respective Air Safety Committee and Ground Safety Committee members for information/comment; • Notification via email seeking respective Air Safety and Ground Safety Sub Committee members for information/comment; • Email to CAAFI Inspectorate Staff seeking comments. 3. Place a copy of the Pre-Issue Clearance Sheet on the DP Production File along with any other relevant correspondence (e.g., staff notification email). 4.4 Final DP Clearance and Approval Procedure Project Leader (PL) – Responsibilities 1. Following the closing date for the pre-issue clearance review, consolidate, evaluate and consider all comments, suggestions, etc., and annotate the DP master electronic version. 2. Sign/date the Final Clearance Sheet and submit the reworked draft DP to the Legal Officer for finalisation purposes. 3. Prepare the Briefing Paper and submit to Executives. Legal Officer – Responsibilities 1. Following receipt of comments/responses from the appropriate addressee(s), make adjustments to the DP as necessary in conjunction with the Project Leader, and finalise the DP format and presentation ready for ‘Final’ Clearance. 2. Prepare the Final Clearance Sheet and final DP package to include the: • DP Print master • DP Mock-up. 3. Pass the final formatted DP (paper copy) under cover of the clearance sheet to the Inspectorate Staff for review. Inspectorate Staff – Responsibilities 1. Conduct a readability review and grammar check of the document. Annotate by hand (in red ink), recommended changes or suggestions on the DP paper copy provided. 2. Negotiate suggested changes with the Project Leader. 3. When completed, forward the annotated copy, via the Project Leader, to the Legal Officer for necessary amendment action. Project Leader (PL) – Responsibilities 1. On receipt of the final document package, consider, accept and incorporate any changes, sign the Final Clearance Sheet and forward the package to the Inspectorate Staff [or equivalent] (technical speciality) for clearance/sign-off of technical/policy. Inspectorate Staff – Responsibilities 1. Check the final DP for technical acceptability. 11
  12. 12. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL 2. Advise the Project Leader of changes required, if any, and sign the Final Clearance Sheet. Return the final document package to the Project Leader for on forwarding to the Project Sponsor for recommendation purposes. Project Leader (PL) – Responsibilities 1. Following Inspectorate Staff sign-off (if applicable); submit the final document package to the Project Sponsor for policy sign-off and approval to publish. Project Sponsor – Responsibilities 1. Check that the final DP (view the DP mock-up) is acceptable for publication and release. 2. Sign/date the DP ‘Executive Summary’ on the ‘print master’. 3. Sign/date the Final Clearance Sheet and return the approved DP package to the Project Leader for on forwarding to the Legal Officer for publication and distribution. Legal Officer – Responsibilities 1. On receipt of the approved DP, arrange: • QAO to upload the key change proposals and DP response information to the Online-response system; • Distribution; • The availability notification advertisement; • Posting on the CAAFI Website; • Email notification to CAAFI Executive and CAAFI staff; • Notification to the Air Safety Committee and Ground Safety Committee and relevant Air Safety and Ground Safety sub-Committee (through the QAO). 5. The CAAFI Executive Briefing Paper 5.1 Purpose of the Briefing Paper The clearance procedures for the DP require the CAAFI Executive to be briefed on the concepts, options or issues proposed within the document as well as any controversial elements and strategies for mitigating the effect. The Briefing Paper is not designed to seek approval from the Executive for document release; rather, the Paper is to provide a clear ‘snapshot’ of what is proposed in the particular consultation document. 5.2 Content of Briefing Paper The Briefing Paper is comprised of a two to three page report that includes a dot- point summary giving: • Background information; • The main issues; • Any controversial elements; • The consultation process; • Any proposed remedial actions to address risks; • A strategy statement and why CAAFI’s position is preferred in situations where there has been significant industry opposition. 12
  13. 13. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL 5.3 Preparation of the Briefing Paper The Briefing Paper is to be prepared by the Project Leader in conjunction with the Legal Officer and is to be submitted to the Executive Secretariat at the earliest date possible (ideally within the month before the intended publication of the DP) and no later than five working days before the DP is scheduled to be published. Note that where there is more than one Briefing Paper in any one month, the Briefing Papers will be submitted under cover of the one Minute. To ensure that standardized Briefing Paper submissions are made to the Executive, the Legal Officer has developed a standard template for Briefing Papers for the Project Leader’s use/reference. The Briefing Paper is maintained in both electronic and paper format and is provided to the Project Leader by the Legal Officer when and as required. 6. Uploading the DP Online Response System (ORS) To assist and enhance receipt and coordination of consultation responses, the CAAFI has introduced the Online Response System (ORS). This system is available to interested parties/aviation stakeholders to electronically provide comments/submissions/responses to a DP through the CAAFI website and is the CAAFI preferred manner for responding to a consultation document. The ORS is an electronic corporate database containing each response received to a consultation document. 7. Procedure for Publishing and Distributing the DP The Legal Officer is responsible for arranging the publication and distribution of the DP. The publication and distribution requirement are initiated when the DP has been approved (signed by the Project Sponsor). DPs will be provided on the CAAFI website and emailed to the industry subscribers list. The CAAFI Website facility will allow anyone to download and print the DP. 7.1 Legal Officer – Responsibilities 1. On notification that the DP has been signed by the Project Sponsor send the final DP master to the CAAFI Webmaster for loading to the CAAFI ‘Proposed Legislative Change’ web page. 2. Email copies of the DP as required on request. 8. Procedure for Advertising the Availability of the DP 8.1 Advert in the newspaper 13
  14. 14. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL The DP is developed for the purposes of consultation and is readily made available to the public for comment. The ‘notice of availability’ of a DP is advertised nationally through the newspaper. The preparation and publication of the advertisement is a time-critical phase within the DP process and must be achieved in parallel with the development of communication channels, the establishment of the availability date and the DP response closing date. The cost for advertising availability of a DP/NPLC is borne by the CAAFI. 8.2 Staff Responsible • Manager Corporate Service • Financial Authorizing Officer (FAO) • Legal Officer 8.3 Legal Officer – Responsibilities 1. On notification of the expected release and response closing date submit the advertisement to the newspaper Agency. Note: This activity must commence at least one week before the intended advertising date to ensure newspaper publication/copy time commitments are met. Once The newspaper Agency advises that the advertisement is ready as a ‘proof’ and provides an Advert Schedule (Costs), print a copy of the Advert Proof and Advert Schedule and give a copy to the Manager Corporate Service for approval procedures. The advertisement must be approved and notification of its approval provided to The newspaper Agency by midday on the Wednesday preceding the intended Friday advertisement date. 2. When the advertisement has been approved by the Manager Corporate Service, advise the newspaper Agency that the advert is approved and to complete the booking process. Provide a copy of the Proof and Advert Schedule to the Financial Authorizing Officer for Purchase Order records. 3. The Legal Officer maintains a schedule of publications for advertising DP availability. 8.4 Legal Officer – Responsibilities 1. Check advertisement and provide clearance for the advertisement to proceed. 8.5 Manager Corporate Service – Responsibilities 1. Approve the proposal to spend CAAFI funds and for the release of the advertisement. 8.6 Legal Officer – Responsibilities 1. Raise a ‘Proposal to Spend CAAFI Funds’ for the service. 2. Obtain FAO approval for the ‘Proposal to Spend CAAFI Funds’ and the ‘Purchase Order’. 3. Acquit the ‘Purchase Order’ on receipt of the advertising service provider's invoice. 14
  15. 15. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL 8.7 Financial Authorising Officer (FAO) – Responsibilities 1. Consider and, if appropriate, approve the ‘Proposal to Spend CAAFI Funds’ and the Purchase Order’. 8.8 The newspaper Agency (expected actions) The newspaper Agency is expected to: • Prepare a cost estimate to publish the advertisement in the newspaper as per the publication schedule and to return the draft to the Legal Officer for proof reading/acceptance. • Continue any necessary, negotiation on the advertisement content until a product satisfactory to CAAFI is obtained. • Ensure the advertisement is published as required. 8.9 Notification of availability The Legal Officer will transmit a Notice of Availability to CAAFI Executives, and any relevant interested parties. The Legal Officer sends an email to the Industry email subscribers list announcing the availability of the DP. A letter to all subscribers of the Air Safety Committee and Ground Safety Committee mailing list announcing the availability of the DP is sent by the Legal Officer. 9. Receiving and Reviewing Comments/Responses to the DP 9.1 Staff Responsible • QAO • Project Leader (PL) • Legal Officer. 9.2 Online Response from Industry – Respondents Respondents to a CAAFI DP can use a variety of paper or electronic means (online, email, fax, letter) to submit their comments to CAAFI. CAAFI’s preferred method for responding to consultation documents is for respondents to complete the online response form QA 109 on the CAAFI website at: http://www.caafi.org.fj/index.cmf. All responses to a DP are captured in the database and are registered, filed by the QAO and retained by the Legal Officer. When a respondent uses the online response form, the response is emailed to the OnlineResponseSystem@caafi.org.fj mailbox. The QAO is responsible for importing this response into a database file. 9.3 Reviewing and Assessing Responses 15
  16. 16. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL All responses received to the consultation document (letter, fax, email, online) are collated by the QAO and provided to the Project Leader for Project Team consideration. The Project Leader, in conjunction with the project team/review group, is responsible for reviewing these comments. The Project Leader, in conjunction with the Legal Officer, should prepare ‘pie charts’ showing the statistics of each Option presented in the DP. These statistics can be obtained from reports generated from the Online Response System. 9.4 Preparing the Summary of Responses (SOR) 1. The QAO will supply to the Project Leader a template for a Summary of Response (SOR). 2. A ‘CAAFI Response’ and ‘Disposition’ should be given to each comment received. 3. The Project Leader in conjunctions with the Project Team must then forward the SOR document by email to the Legal Officer for formatting prior to publication. 4. The Project Leader must prepare a preamble to the SOR. 5. The Legal Officer will send the formatted SOR to the Project Leader for his/her approval/final edit. 6. The Project Leader must send to the Legal Officer the final SOR for publishing. 10. Closing the Discussion Paper Consultation Process 10.1 Summary of Responses (SOR) Generally, the consolidation of comments, CAAFI’s responses and disposition actions to a DP is not prepared and released separately unless CAAFI does not intend to proceed with the proposal expressed in the DP. In such cases a consolidation summary of responses, the outcome and CAAFI’s intentions would be published closing the DP proposals. Where CAAFI intends to proceed with the proposals, the evaluation of the comments received for a DP are documented and the consolidation of the comments, CAAFI’s responses, and the disposition actions, are folded into the subsequent NPLC as an Annex. The SOR to a DP must be reviewed, cleared and approved prior to being published. Each draft SOR to a DP must be circulated for pre-issue review. Comments and/or suggested changes are consolidated and incorporated into the final SOR, which is then circulated for final clearance, prior to publication/issue. The Project Sponsor makes final approval and signature. 11. Procedure for Publishing and Distributing the Summary of Responses 16
  17. 17. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL 11.1 Publishing and Distributing the Summary of Responses The Legal Officer is responsible for arranging the publication and distribution of the Summary of Responses (SOR). The publication and distribution requirement are initiated when the SOR has been approved (signed by the Project Sponsor). SORs will be provided on the CAAFI website and emailed to the Industry subscribers list. The CAAFI Website facility will allow anyone to download and print the SOR. 11.2 Legal Officer – Responsibilities 1. On notification that the Project Sponsor has signed the DP, send the final SOR master to the CAAFI Webmaster for loading to the CAAFI web page. 2. Email copies of the SOR as required on request. 11.3 Advertising SOR Availability The ‘notice of availability’ of a SOR is advertised nationally through the newspaper (The newspaper Agency). The similar procedure used for advertising the availability of the DP is used for the SOR. The Legal Officer is responsible for the preparation and publication of the SOR availability notification advertisement. The cost for advertising availability of a SOR is borne by the CAAFI. 11.4 Notification of Availability The Legal Officer will transmit a Notice of Availability to CAAFI Executives, Inspectorate Staff and any relevant interested parties. A notice that the SOR has been published will be distributed directly (by Legal Officer) to all respondents to the DP and to industry email subscribers list. 17
  18. 18. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL ANNEX B – NPLC AND NPSC B. NOTICE OF PROPOSED LEGISLATIVE CHANGE 1. Background A Notice of Proposed Legislative Change (NPLC) is necessary when public consultation is required to address matters of final draft policy, Legislations change/improvement. The NPLC is CAAFI's method of articulating final policy to be contained in new Legislations or in regulatory proposals, and the NPLC provides all interested/affected parties (stakeholders) the opportunity to comment on the proposal. The NPLC is structured to provide readers with a synopsis and the likely impact of the proposed Legislations/regulatory development. For reference purposes, examples of previously issued NPLCs may be accessed through the CAAFI Website at http://www.caafi.org.fj Once published the NPLC is considered as a public document and therefore must be registered when a decision for consultation on a proposal or regulatory change has been made and approved. The Project Sponsor (usually the Chief Executive) will authorise the development of an NPLC for formal consultation purposes. The NPLC is to be prepared by the Project Leader/Project Team and should contain the following: • An Executive Summary, providing background, purpose and benefits expected of the NPLC, and an invitation (signed by the Project Sponsor) seeking comment; • Details of the consultation that has already taken place – e.g., DP, Website drafts, etc; • A synopsis of change proposals, including a background, the problem being addressed, the objectives of the proposal and the action required; • Options considered, together with identification of the broad constraints that might make options not viable and an impact analysis (costs and benefits) of each option considered as and if necessary; • Conclusions and the recommended option; • Implementation details of the preferred option and a review strategy of the Legislations, once made/commenced; • A response sheet and information on how to submit comments, and information on how to obtain further information/inquiries; Development Management M 18
  19. 19. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL • An Annex containing the draft Legislative proposals/draft Legislations (if available – otherwise the NPLC contains an explanation of policy intent only); • An Annex containing the proposed draft Standards (SD) (where relevant); • An Annex containing a consolidated summary of responses to any DPs issued previously on the same subject matter (if any); and • An Annex containing a comparison of existing Legislations with the proposed new Legislations (if necessary/relevant). NPLCs vary in detail depending on the proposed Legislations. In some cases there may not be an alternative method to achieve the objective. In other cases, it may not be possible or practicable to provide a full cost-benefit analysis of a particular proposal. In the majority of cases, the NPLC will describe the proposed policy intent and outcomes rather than detailing the specific Legislations. Note: NPLCs covering changes to the Act and Regulations will generally only contain policy outcome/intent explanations and not legal drafts. After the final policy has been established following input from the aviation industry/community and the public, final drafting instructions will be sent to the Solicitor- General’s Legislative Drafting Department to draft the proposed new Legislations. The drafted Legislations (exposure drafts) will then also be made available to the aviation industry (stakeholders) and public for further comment prior to finalization of the Legislations. CAAFI’s comments and a disposition of comments to all responses received to a NPLC is prepared and made available to all NPLC respondents and to the general public following the consolidation of the NPLC comments/responses. This, and an overview of the consultation process followed, a background to the development of the proposal, an analysis of responses, a conclusion and implementation plans, together with the final Legislations and associated supporting material will be published in a Notice of Final Legislative Change (NFLC). The NFLC will close the consultation on the particular proposal. Regulatory Development Management Manual Project Leader initiates Project Sponsor Project Leader authorizes consultation QAO assigns with the Project 12B.1. Background need for formal NPLC number and Team prepares draft consultation and submits with the public by way of proposal to relevant NPLC. provides NPLC NPLC (using Project Sponsor for template to Project template provided consideration NPLC to usually contain Leader. through QAO) – /authorization to policy intent explanation, negotiates draft proceed with not legal drafts. NPLC development Draft NPLC circulated (by with the consultation through Project Leader Legal Officer) for pre-issue Legal Officer. NPLC. (in conjunction review, clearance and acceptance to: with Legal Officer) prepares Project Team NPLC Briefing • CAAFI Executives considers all Paper, obtains • Project Leader comments to draft Project Sponsor • Respective Air Safety NPLC, make changes endorsement and Committee and Ground as necessary, prepare distributes Safety Committee final version NPLC. Briefing Paper to • Respective Air Safety and Ground Safety Sub- CAAFI 19 Legal Officer Executives (in Committee prepares NPLC for advance of the • Email to CAAFI final clearance publication of the Inspectorate staff purposes. NPLC).
  20. 20. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL Draft NPLC formatted by Legal Officer and prepared for pre-issue review (CAAFI/respective Air Safety Committee and Ground Safety Committee). Note: Generally the NPLC will contain explanations of policy intent and outcomes rather than legal drafts/Regulations. NPLC published Project Leader Formatted NPLC on CAAFI All comments to reports NPLC circulated (by website. NPLC received by outcome and findings Legal Officer) Legal Officer, to Project for Availability of collated and Sponsor with Final review, NPLC announced submitted to Project recommendations for clearance and by Legal Officer Team for consideration on approval to: through: consideration/ policy and future • Project Leader • Industry email analysis and project requirements. • Inspectorate Staff subscribers list disposition after • Newspaper closing period. Project Sponsor advert endorses policy and Approval and • Email to CAAFI Project Team recommendations, signed by Project Inspectorate consolidates all authorizes project to Sponsor. Staff comments and proceed to next prepares Summary of phase. Online Response System loaded Responses (SOR) to (QAO) for the NPLC and Project Leader logging commences continues preparing structuring NFLC. the NFLC; prepares legal drafting instructions and finalises RIS (as necessary) – see further procedures. Proceed to further project development, legal drafting, further consultation process and NFLC NOTE: If applicable, CAAFI to proceed with notifying a difference with ICAO. Process available on intranet on “General Procedures - OP-07-1-10 Procedure for Listing and Notifying Differences” 2. Procedure for the Registration of the NPLC 2.1 Staff Responsible • The Project Leader (PL) responsible for developing the NPLC • QAO. 2.2 Project Leader (PL) – Responsibilities 1. Contact the QAO and provide the following details: • Your name (contact details) 20
  21. 21. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL • The title/description of the NPLC • The Legislations affected/proposed • The project registered number and the project file number • The intended public release date and closing date. Note: As the NPLC development nears completion, you will be able to provide a more definitive public release and closing date, which must be notified to the QAO for inclusion in the final NPLC. 2.3 QAO – Responsibilities 1. Register the NPLC allocating the next sequential number from the DP/ NPLC register. The NPLC is registered by year, by sequential number and subject code: For example: NPLC 0906GS = 09 Year registered 06 Sequential number of registration - numbering is not maintained within the subject code group but rather codes are numbered in order of registration (in that year) on a CAAFI wide basis, GS Maintenance code; Note: The Codes for the activities are: GS = Ground Safety; or AS = Air Safety. 2. Enter the NPLC details into the DP/NPLC Register Database. 3. Create a NPLC Production File using File Request Form template. 4. Create a NPLC Response File. 5. Submit to Project Leader. 3. Procedure for Writing the NPLC 3.1 Staff Responsible • The Project Leader (PL) together with the Project Team responsible for developing the NPLC • Legal Officer • QAO. 3.2 Project Leader (PL) – Responsibilities The Project Leader will: 1. Request a copy of the NPLC template (MS Word document) from the QAO. 2. In conjunction with and with assistance from the Project Team and the Legal Officer, using the NPLC template, will prepare the NPLC as necessary: • It may be useful to refer to previous NPLCs, copies of which can be found on the CAAFI website/Intranet or obtained from the QAO. 3. In preparing the NPLC include the following components: 21
  22. 22. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL • An Executive Summary, (signed by the Project Sponsor) providing an overview and the purpose of the NPLC, the benefits expected, an invitation to comment and details of the comment period’; • A synopsis of the Proposed Change(s), including a background, the consultation carried out previously including, the details/views of those mainly affected parties and, if full consultation not undertaken, the reasons why; • A description of the issue and why CAAFI action is necessary to address the issue; • The objectives of the proposal; what outcomes, goals or targets are sought in relation to the identified problem; • The regulatory and non-regulatory options being considered for dealing with the problem and identification of the broad constraints that might make options not viable; Note: As the legal drafts may not be available in all instances, an explanation of the policy intent and outcomes are to be provided. This explanation should indicate what is intended and the expected impact. • An impact analysis identifying those individuals or parties likely to be affected by the proposal(s), the effect of the options on existing Legislations, the impact of options (in terms of costs and benefits), the distributional effects, the data sources and assumptions made, and a summary statement as to why the particular option is preferred; • Any consultation carried out previously – for example: via a discussion paper, seminar gatherings, website data including, details of the main affected parties and the views of the parties; • A conclusion and the recommended option, including:  A summary of the assessment of each option and the preferred option;  An outline of the assumptions and why options were rejected/preferred; and  A description of how the proposals could be implemented and reviewed/assessed. Note: In preparing a NPLC proposing regulatory change/improvement, cognizance of ICAO SARPs should be taken. In preparing the NPLC, the following writing style matters should be useful and considered: Are the conclusions that you want the reader to reach clear in your mind? Have you addressed the concerns of the reader? Do your arguments lead logically to your conclusions? Have you put what is important first? Are your sentences short and your language clear? Have you used clear (not obscure) technical language? 4. On completion, forward the draft NPLC (MS Word) document (by email) to the Legal Officer for formatting, editorial review, and to commence the clearance process. 4. The Clearance and Approval of the NPLC 22
  23. 23. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL 4.1 Background All NPLCs must be reviewed, cleared and approved by the persons listed on the relevant NPLC Clearance Sheet prior to being published for aviation community/public/industry comment. Each draft NPLC must be circulated for pre-issue clearance review. Comments and/or suggested changes are consolidated and incorporated into the final NPLC. This is then circulated for final clearance, prior to publication/issue. The Project Sponsor makes final approval. The final clearance process includes the preparation of a CAAFI Executive Briefing Paper for information/awareness purposes. Further consultation for industry and CAAFI field personnel to explain the proposal, main changes, and effect on industry/CAAFI may be necessary and is a considered option for each Act or Regulation. 4.2 Staff/Groups Responsible • Project Leader (PL) • Project Sponsor (usually the Chief Executive) • Legal Officer • Inspectorate Staff • Quality Assurance Officer • Secretariat Support Officer • Air Safety Committee and Ground Safety Committee • Air Safety Committee and Ground Safety Sub-Committee. 4.3 Draft NPLC Pre-issue Review/Clearance Procedure Project Leader (PL) – Responsibilities 1. Prepare the draft NPLC using the template/style format (in conjunction with the Project Team, the relevant Air Safety Committee and Ground Safety Committee, Sub-Committee/Industry representatives, the Legal Officer and the QAO). Legal Officer – Responsibilities 1. Format the draft NPLC to the standard template, insert the NPLC document registration number. 2. Prepare NPLC Pre-Issue Clearance Sheet and forward the Pre-Issue Clearance Sheet along with the draft NPLC to the PL. Project Leader (PL) – Responsibilities 1. Finalise the draft NPLC in conjunction with the Project Team. When satisfied, sign the Pre-Issue Clearance Sheet. 23
  24. 24. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL 2. Forward the draft NPLC to the Inspectorate Staff [or equivalent] for technical content consideration/clearance (Inspectorate Staff signs the Pre-Issue Clearance Sheet when satisfied). 3. Following Inspectorate Staff clearance, forward the draft NPLC to the Project Sponsor for policy clearance and approval to release the draft NPLC for pre- issue review purposes (Project Sponsor signs the Pre-Issue Clearance Sheet when satisfied/approved). Inspectorate Staff – Responsibilities 1. When satisfied that the draft NPLC technical content is acceptable/within the Terms of Reference, sign the NPLC Pre-Issue Clearance Sheet. 2. Forward the draft NPLC and Pre-Issue Clearance Sheet to the Project Sponsor for consideration and approval to release the draft for review purposes. Project Sponsor – Responsibilities 1. When satisfied that the policy intent/content is acceptable and the draft NPLC is acceptable for circulation for review purposes, sign the NPLC Pre-Issue Clearance Sheet. 2. Return the draft NPLC and Pre-Issue Clearance Sheet to the Project Leader for on forwarding to the Legal Officer. Legal Officer – Responsibilities 1. Prepare the following correspondence (using the standard templates): • Arrange for the electronic version of the draft NPLC including the comment instructions and closing date to be posted on CAAFI Web Updates; • An email to CAAFI Executives seeking their comments  Ccd to Project Leader and QAO; • Notification via email to the relevant Air Safety Committee and Ground Safety members for information/comment; • Notification via email seeking the relevant Air Safety Committee and Ground Safety Sub-Committee members for information/comment; • Email to CAAFI Inspectorate Staff seeking comments. 2. Place a copy of the Pre-Issue Clearance Sheet on the NPLC Production File along with any other relevant correspondence (e.g., staff notification email). 4.4 Final NPLC Clearance and Approval Procedure Project Leader (PL) – Responsibilities 1. Following the closing date for the pre-issue clearance review, consolidate, evaluate and consider all comments, suggestions, etc., and annotate the NPLC master electronic version. 2. Sign/date the Final Clearance Sheet and submit the reworked draft NPLC to the Legal Officer for finalization purposes. 3. Prepare the Briefing Paper and submit to Executives. Legal Officer – Responsibilities 24
  25. 25. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL 1. Following receipt of comments/responses from the appropriate addressee(s), make adjustments to the NPLC as necessary in conjunction with the Project Leader, and finalise the NPLC format and presentation ready for ‘Final’ Clearance. 2. Prepare the Final Clearance Sheet and final DP package to include the: • NPLC Print master • NPLC Mock-up. 3. Pass the final formatted NPLC (paper copy) under cover of the clearance sheet to the Inspectorate Staff for review. Inspectorate Staff – Responsibilities 1. Conduct a readability review and grammar check of the document. Annotate by hand (in red ink), recommended changes or suggestions on the NPLC paper copy provided. 2. Negotiate suggested changes with the Project Leader. 3. When completed, forward the annotated copy, via the Project Leader, to the Legal Officer for necessary amendment action. Project Leader (PL) – Responsibilities 1. On receipt of the final document package, consider, accept and incorporate any changes, sign the Final Clearance Sheet and forward the package to the Inspectorate Staff [or equivalent] (technical speciality) for clearance/sign-off of technical/policy. Inspectorate Staff – Responsibilities 1. Check the final NPLC for technical acceptability. 2. Advise the Project Leader of changes required, if any, and sign the Final Clearance Sheet. Return the final document package to the Project Leader for on forwarding to the Project Sponsor for recommendation purposes. Project Leader (PL) – Responsibilities 1. Following Inspectorate Staff sign-off (if applicable); submit the final document package to the Project Sponsor for policy sign-off and approval to publish. Project Sponsor – Responsibilities 1. Check that the final NPLC (view the NPLC mock-up) is acceptable for publication and release. 2. Sign/date the NPLC ‘Executive Summary’ on the ‘print master’. 3. Sign/date the Final Clearance Sheet and return the approved NPLC package to the Project Leader for on forwarding to the Legal Officer for publication and distribution. Legal Officer – Responsibilities 1. On receipt of the approved NPLC, arrange: • QAO to upload the key change proposals and NPLC response information to the Industry • Distribution • The availability notification advertisement • Posting on the CAAFI Website 25
  26. 26. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL • Email notification to CAAFI Executive and CAAFI Inspectorate staff • Notification to the relevant Air Safety Committee and Ground Safety Committee and relevant Air Safety and Ground Safety Sub-Committee (through the QAO). 5. The CAAFI Executive Briefing Paper 5.1 Purpose of the Briefing Paper The clearance procedures for the NPLC require the CAAFI Executive to be briefed on the concepts, options or issues proposed within the document as well as any controversial elements and strategies for mitigating the effect. The Briefing Paper is not designed to seek approval from the Executive for document release; rather, the Paper is to provide a clear ‘snapshot’ of what is proposed in the particular consultation document. 5.2 Content of Briefing Paper The Briefing Paper is comprised of a two to three page report that includes a dot- point summary giving: ● Background information; ● The main issues; ● Any controversial elements; ● The consultation process; ● Any proposed remedial actions to address risks; ● A strategy statement and why CAAFI’s position is preferred in situations where there has been significant industry opposition. 5.3 Preparation of the Briefing Paper The Briefing Paper is to be prepared by the Project Leader in conjunction with the Legal Officer and is to be submitted to the Executive Secretariat at the earliest date possible (ideally within the month before the intended publication of the NPLC) and no later than five working days before the NPLC is scheduled to be published. Note that where there is more than one Briefing Paper in any one month, the Briefing Papers will be submitted under cover of the one Minute. To ensure that standardized Briefing Paper submissions are made to the Executive, the Legal Officer has developed a standard template for Briefing Papers for the Project Leader’s use/reference. The Briefing Paper is maintained in both electronic and paper format and is provided to the Project Leader by the Legal Officer when and as required. 6. Uploading the NPLC Online Response System (ORS) To assist and enhance receipt and coordination of consultation responses, the CAAFI has introduced the Online Response System (ORS). This system is available to interested parties/aviation stakeholders to electronically provide comments/submissions/responses 26
  27. 27. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL to a NPLC through the CAAFI website and is the CAAFI preferred manner for responding to a consultation document. The ORS is an electronic corporate database containing each response received to a consultation document. 7. Procedure for Publishing and Distributing the NPLC The Legal Officer is responsible for arranging the publication and distribution of the NPLC. The publication and distribution requirement are initiated when the NPLC has been approved (signed by the Project Sponsor). NPLCs will be provided on the CAAFI website and email notification to industry. The CAAFI Website facility will allow anyone to download and print the NPLC. 7.1 Legal Officer – Responsibilities 1. On notification that the NPLC has been signed by the Project Sponsor send the final NPLC master to the CAAFI Webmaster for loading to the CAAFI ‘Proposed Legislative Change’ web page. 2. Email copies of the NPLC as required on request. 8. Procedure for Advertising the Availability of the NPLC 8.1 Advert in the newspaper The NPLC is developed for the purposes of consultation and is readily made available to the public for comment. The ‘notice of availability’ of a NPLC is advertised nationally through the newspaper. The preparation and publication of the advertisement is a time-critical phase within the NPLC process and must be achieved in parallel with the development of communication channels, the establishment of the availability date and the NPLC response closing date. The cost for advertising availability of a DP/ NPLC is borne by the CAAFI. 8.2 Staff Responsible • Manager Corporate Service • Financial Authorizing Officer • Legal Officer 8.3 Legal Officer – Responsibilities 1. On notification of the expected release and response closing date submit the advertisement to the newspaper Agency. Note: This activity must commence at least one week before the intended advertising date to ensure newspaper publication/copy time commitments are met. Once the newspaper agency advises that the advertisement is ready as a ‘proof’ and provides an Advert Schedule (Costs), print a copy of the Advert Proof and Advert Schedule and give a copy to the Manager Corporate Service for approval procedures. The advertisement must be approved and notification of its approval provided to the newspaper agency by midday on the Wednesday preceding the intended Friday advertisement date. 27
  28. 28. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL 2. When the advertisement has been approved by the Manager Corporate Service, advise the newspaper Agency that the advert is approved and to complete the booking process. Provide a copy of the Proof and Advert Schedule to the Financial Authorizing Officer for Purchase Order records. 3. The Legal Officer maintains a schedule of publications for advertising NPLC availability. 8.4 Legal Officer – Responsibilities 1. Check advertisement and provide clearance for the advertisement to proceed. 8.5 Manager Corporate Service – Responsibilities 1. Approve the proposal to spend CAAFI funds and for the release of the advertisement. 8.6 Legal Officer – Responsibilities 1. Raise a ‘Proposal to Spend CAAFI Funds’ for the service. 2. Obtain FAO approval for the ‘Proposal to Spend CAAFI Funds’ and the ‘Purchase Order’. 3. Acquit the ‘Purchase Order’ on receipt of the advertising service provider's invoice. 8.7 Financial Authorising Officer (FAO) – Responsibilities 1. Consider and, if appropriate, approve the ‘Proposal to Spend CAAFI Funds’ and the Purchase Order’. 8.8 The newspaper Agency (expected actions) The newspaper Agency is expected to: • Prepare a cost estimate to publish the advertisement in the newspaper as per the publication schedule and to return the draft to the Legal Officer for proof reading/acceptance. • Continue any necessary, negotiation on the advertisement content until a product satisfactory to CAAFI is obtained. • Ensure the advertisement is published as required. 8.9 Notification of availability The Legal Officer will transmit a Notice of Availability to CAAFI Executives, and any relevant interested parties. The CAAFI Webmaster sends an email to the industry email subscribers list (and any other relevant mailing list, e.g., ‘Aerodromes’) announcing the availability of the NPLC. 28
  29. 29. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL A letter to all subscribers of the Air Safety Committee and Ground Safety Committee mailing list announcing the availability of the NPLC is sent by the Legal Officer. 9. Receiving and Reviewing Comments/Responses to the NPLC 9.1 Staff Responsible • QAO • Project Leader (PL) • Legal Officer. 9.2 Online Response from Industry – Respondents Respondents to a CAAFI NPLC can use a variety of paper or electronic means (online, email, fax, letter) to submit their comments to CAAFI. CAAFI’s preferred method for responding to consultation documents is for respondents to complete the online response form QA 109 on the CAAFI website at: http://www.caafi.org.fj/index.cmf. All responses to a NPLC are captured in the database and are registered, filed by the QAO and retained by the Legal Officer. When a respondent uses the online response form, the response is emailed to the OnlineResponseSystem@caaf.org.fj mailbox. The QAO is responsible for importing this response into a database file. 9.3 Reviewing and Assessing Responses CAAFI policy requires that if a submission is received within the prescribed response period, then CAAFI must consider the submission before the proposed Legislations is made or the Legislations is submitted to the Ministry for Civil Aviation. Currently, regulatory development policy allows four weeks for responses/comments to a NPLC. However, the Chief Executive may extend (or reduce) this period, depending on the complexity and urgency of the product/subject being considered. The Project Leader responsible should document all submissions received and record the decisions on the issues and comments contained in each submission. These records will be necessary if questions are raised about a decision to proceed in a particular direction. The Project Leader, in conjunction with the Legal Officer, should prepare ‘pie charts’ showing the statistics of each Key Proposed Legislative Change presented in the NPLC. These statistics can be obtained from reports generated from the Online Response System. 9.4 Preparing the Summary of Responses (SOR) 29
  30. 30. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL 1. The QAO will supply to the Project Leader a template for a Summary of Response (SOR). 2. A ‘CAAFI Response’ and ‘Disposition’ should be given to each comment received. 3. The Project Leader in conjunction with the Project Team must then forward the SOR document by email to the Legal Officer for formatting prior to publication. 4. The Project Leader must prepare a preamble to the SOR. 5. The Legal Officer will send the formatted SOR to the Project Leader for his/her approval/final edit. 6. The Project Leader must send to the Legal Officer the final SOR for publishing. 12B 10. Closing the Discussion Paper Consultation Process 10.1 Notice of Final Legislative Change (NFLC) .12. Closing the Discussion Paper (NPLC) consultation process An NFLC, inclusive of the SOR, is published which will close the consultation process. Details of the NFLC can be found in Annex C. ICAO Differences Any Differences with ICAO SARPs that may result from a Legislative or Standard development project must be identified. The process for the identification and notification of differences can be found on the intranet General Procedures – OP-07-1-10 Procedure for Listing and Notifying Differences Project Leaders should refer to the ICAO-net website (www.icao.int/icaonet/) for the most recent version of the ICAO SARPs and to the AIP publication for the most recent differences filed by Fiji. A master list of ICAO differences is also held by the CAAFI Legal Officer. 30
  31. 31. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL BB. NOTICE OF PROPOSED STANDARD CHANGE 1. CAAFI to Develop and Amend a SD Responsibility Responsibility for the approval of the development and amendment of the technical requirements of a SD resides with the relevant Controller responsible for the particular regulatory area/functional activity. The responsibility for the authorisation of the publication of an approved SD or the publication of an amendment to an approved SD resides with the Chief Executive. The publication and amendment of the SD shall comply with the standards developed and formatted by CAAFI. 2. SD Availability As the SD is mandated by the Act and Regulations, the SD will be made available for aviation industry use as an online version on the CAAFI Website - a downloadable file in Adobe Acrobat PDF format - at http://www.caafi.org.fj “Aviation Laws & Standards” web page. 3. Development/Preparation of a SD 3.1 Responsibility The CAAFI and industry technical specialists appointed in the particular Project Team will be responsible for the development and preparation of the SD in conjunction with the development of the associated Legislations. The SD is prepared using the Microsoft Word template. The template provides a predetermined style for the input of technical material. The QAO maintains the SD template and will make it available electronically to the Project Team developing a SD. 31
  32. 32. 20/01/10 CAAFI REGULATORY DEVELOPMENT MANUAL Generally, consultation on a newly developed SD is undertaken with the associated Legislations. 12BB.3. Development/Preparation of a SD 3.2 Determining whether standards are to be placed in a SD The Project Team responsible for developing the Legislations will identify whether technical specifications and aviation safety standards apply to the particular Legislations being developed. Such specifications and standards may be contained in ICAO SARPs or national standards or other international standards/specifications. 3.3 Preparing a Draft SD On establishing that standards will be contained in a SD, the Project Leader is to request (through the Legal Officer) the SD ‘template’ from the QAO. 3.4 Consultation on a Newly Developed SD A newly developed SD will be exposed for industry consideration/comment by way of the NPSC for the associated Legislations. All comments on the draft SD will be captured and consolidated by the Legal Officer and forwarded to the Project Leader for Project Team consideration/evaluation. Comments and suggested changes accepted by the Project Team evaluation process are to be incorporated in the draft SD as necessary by the Project Leader. The Project Leader is to return the draft SD (incorporating all changes following consultation) to the QAO for final formatting purposes prior to submission to Legal Officer. The QAO will then return the final draft SD to the Project Leader for the Project Sponsor authorisation. 3.5 Preparing the Final SD Following the incorporation of all suggested changes, the Project Leader is to forward the draft SD to the Chief Executive for endorsement/clearance. On Chief Executive clearance, the Project Leader is to return the draft SD to the QAO for on forwarding to the LO for preparation as a Legislative instrument. 3.6 Preparation of a SD as a Legislative instrument Legal Officer will prepare the draft SD as a Legislative instrument. The Legal Officer will negotiate directly with the Project Leader on SD content, layout and presentation as necessary until all parties are in agreement. The final SD will be prepared by Legal Officer for the Chief Executive authorisation and signature. However, note that the SD will not be effective until the associated Legislations has been made and has commenced. 32

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