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GACA الحياء للطبيع وال按 General Authority of Civil Aviation EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES TABLE OF CONTENTS VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES CHAPTER 1. INTRODUCTION TO COMPLIANCE ENFORCEMENT AND THE RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES Section 1. GACA Compliance Enforcement Philosophy and Policy 2 Section 2. Inspector Responsibilities 5 section 3. The Aviation Safety & Environmental Sustainability Compliance……8 Enforcement Committee (CEC) CHAPTER 2. INVESTIGATIONS Section 1. Conduct a Complaint Investigation 12 Section 2. Conduct a Violation Investigation 29 Section 3. Determining the Regulation Believed Violated 39 CHAPTER 3. GACA COMPLIANCE ENFORCEMENT PROGRAM Section 1. General 43 Section 2. Enforcement Decision Tool 45 Section 3. Sanction Table 74 CHAPTER 4. IMMUNITY AND PROTECTION Section 1. Safety Information Received by the President 86 CHAPTER 5. SPECIAL CONSIDERATIONS Section 1. Reckless Operation of Aircraft 90 Section 2. Airworthy Or Un-Airworthy Aircraft 93 Section 3. Deviations Resulting From Emergencies 96 Section 4. Violation of Multiple Crew Members 97 Section 5. System Wide Violations 98 Section 6. Grounding of an Operator's Aircraft 99 Section 7. Part 129 Compliance 104 CHAPTER 6. ACCIDENTS AND INCIDENTS Section 1. Coordination of Aviation Occurrence Investigations with the AIB 106 CHAPTER 7. PETITIONS FOR RECONSIDERATION AND APPEALS Section 1. TBD 113 Page 1 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 6.0 GACA العامه للطيبان المضارع General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES CHAPTER 1. INTRODUCTION TO COMPLIANCE ENFORCEMENT AND THE RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES Section 1. GACA Compliance Enforcement Philosophy and Policy 13.1.1.1. APPLICABILITY. The Civil Aviation Law approved via Royal Decree M/44 dated 18/7/1426H forms the foundation of the Kingdom of Saudi Arabia’s State Safety Program. This law and the implementing General Authority of Civil Aviation Regulations (GACAR) provide requirements that all civil users of the aviation system must abide by. Compliance with these requirements in an essential aspect for maintaining aviation safety at an acceptable level. This section provides an introduction to compliance enforcement and the resolution of all identified safety deficiencies. 13.1.1.3. GACA COMPLIANCE ENFORCEMENT PHILOSOPHY. A. Background. The General Authority of Civil Aviation (GACA) compliance enforcement program has three broad aims and activity areas. It includes all those activities carried out by GACA to ensure that: - Regulated entities (e.g. certificate holders, holders of other authorizing documents issued by the President) comply with the regulations on a continuing basis through a thorough and systematic surveillance program. - Regulated entities that have been identified to be in violation of an applicable regulation are brought back into full regulatory compliance without delay. - Regulated entities are deterred from committing violations by imposing appropriate punitive measures when circumstances warrant. Aviation organizations required by GACAR Part 5 to have a Safety Management System (SMS) are allowed certain freedoms from punitive enforcement actions provided the organization self-identifies violations and then takes proactive steps to correct any noncompliances and safety deficiencies in a timely manner and in addition take the necessary actions to prevent a reoccurrence. The compliance enforcement program commences whenever the GACA Aviation Standards and Environmental Sustainability Sector (AVSES) learns of a violation, or alleged violation, of the GACARs by way of one of the following means: - Routine and non-routine surveillance - Incident investigations Page 2 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 6.0 GACA الطهاره للطيبان المحلي General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES - Accident investigations - Public complaints - Law enforcement agencies - Self-disclosure - Any other means 1) No matter how Aviation Standards and Environmental Sustainability (AVSES) Sector learns of a violation, if left unresolved, violations have the potential to adversely affect aviation safety and thus they must be rectified in a timely manner. For the GACA AVSES safety oversight programs to be effective, and for the Kingdom of Saudi Arabia to meet its international obligations under International Civil Aviation Organization (ICAO), GACA AVSES must resolve all identified regulatory noncompliances in a timely and effective manner. 2) The President has published a policy on the resolution of safety concerns and noncompliances. This policy is stated in paragraph 13.1.1.5, below. All GACA aviation safety inspectors (Inspectors) shall follow this policy for the resolution of identified safety concerns and noncompliances that fall within their jurisdiction. 13.1.1.5. GACA POLICY ON THE RESOLUTION OF IDENTIFIED SAFETY CONCERNS & NONCOMPLIANCES. A. All identified safety concerns and regulatory noncompliances shall be resolved in accordance with this policy and related work processes. B. Since not all safety concerns are of equal seriousness, the GACA policy on the resolution of identified safety concerns is to assign a deadline for resolution that is inversely proportional to the seriousness of the concern. That is to say, the most serious safety concerns must be resolved immediately (e.g. before further flight) while those concerns of least seriousness may be given up to sixty days to resolve. System improvements to correct the root causes of identified safety deficiencies may be given up to ninety days to implement provided that short term corrective actions are implemented to resolve the identified safety concern. C. Noncompliances are sometimes unintentional and/or of an isolated nature, while others are intentional and/or of a repetitive nature. The GACA policy on the resolution of noncompliances is to be intolerant of repetitive and intentional noncompliances by assigning short deadlines for resolution. Conversely, for error based and isolated noncompliances longer deadlines may be permitted for resolution provided the safety severity is low. Page 3 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 6.0 GACA الجماعه للطبياع والنماض General Authority of Civil Aviation EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES D. For violators who fail to meet the established deadlines or who fail to implement corrective actions to resolve the identified safety concern, the GACA must take remedial certificate actions. These actions may involve suspending or revoking the certificate, rating, authorization, or other privileges. The GACA may also pursue punitive measures in order to deter future violations. E. Records shall be generated and retained in the certificate holder's file that describes the corrective actions taken by the certificate holder and the final acceptance by GACA. For cases where actions against the certificate have been taken, the relevant documents and correspondence shall also be retained in the file. Page 4 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 6.0 GACA العامه للطيبان المضارع General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES CHAPTER 1. INTRODUCTION TO COMPLIANCE ENFORCEMENT AND THE RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES Section 2. Inspector Responsibilities 13.1.2.1. INSPECTOR RESPONSIBILITIES. - Aviation safety inspectors (Inspectors) are responsible for having the knowledge, skill, and ability to counsel and instruct the general public, the aviation public, and the aviation industry on the accepted methods of compliance with the General Authority of Civil Aviation Regulations (GARAR) - Inspectors are also responsible for preventing violations of regulations whenever possible. One way to assure this is through the certification process where an Inspector assures that applicants are in full compliance with the GACARs before issuing any certificate, rating, or authorization - Inspectors also ensure that all applicable persons comply with the regulations on a continuing basis through a thorough and systematic surveillance program - If, during the performance of any of these duties, the Inspector finds or becomes aware of any violation of the GACARs, the Inspector must investigate and report according to GACAR Part 13 13.1.2.3. DISCHARGING COMPLIANCE ENFORCEMENT RESPONSIBILITIES. Inspectors must remember some very important issues when carrying out compliance enforcement responsibilities: A. GACARs are the minimum standards for aviation safety. Inspectors can and should encourage compliance with the highest possible standards; however, when it comes to enforcement, the Inspector can only require compliance with the regulation, precisely as it is written. B. Regulations are sometimes permissive, sometimes restrictive. Restrictive regulations are enforceable; permissive regulations are not. If the regulation does not specifically say a person cannot, then a person can. This is not to say that either the stringent or lenient understanding of the GACARs should always be followed. Rather, the GACA's compliance enforcement program shall not be used for a reprisal against those in the public who are uncooperative so long as they are in compliance. On the other hand, Inspectors shall not: - “Wink” at the enforcement of regulations they do not like or do not understand - “Shrug” at regulatory standards with which they do not agree or at the failure of “good guys” to Page 5 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 6.0 GACA الطهاره للطهاره المحديه General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES comply - Have “double standards” for those who are friendly or hostile to “The Cause”—aviation safety C. However, Inspectors shall: 1) Always be mindful of the difference in being nosy and investigating, and use the latter to establish guilt or innocence and to find both mitigating and aggravating circumstances. 2) Be objective, i.e., report what they find, both bad and good—the good in those whom the Inspector finds offensive and the bad in those the Inspector likes. 3) Leave the final sanction (if applicable) to those who must decide it, but be sure to give those individuals the basis for sound decisions in the technical analysis. 4) Include the Inspector's feelings, opinions, and conjecture in the analysis, clearly separating them from the facts. 5) Report what the Inspector must instead of what the Inspector wants; be detached and not emotionally involved. 6) Take a positive, objective approach, not wasteful of diminishing resources, and always considering safety; keep in mind that proper regulation and promotion of the aviation industry are the same thing. 7) Try to avoid emotional reporting. The Inspector should always read what he wrote in aggravation after a “cooling off” period, and see if it still reflects a true and accurate picture of the event. Consultation with other Inspectors and the supervisor can sometimes be very effective, provided the Inspector is willing to take the advice given. If the Inspector is unwilling to accept that advice, his investigatory and reporting problems are likely to multiply. 13.1.2.5. UNIT SUPERVISOR AND REVIEWING PRINCIPAL INSPECTOR RESPONSIBILITIES. A. Immediate supervisors and principal inspectors (PIs) are responsible for assuring that their Inspectors are trained and given proper guidance in the investigation and reporting of violations. They are also responsible for: - Assigning the best qualified, available Inspectors to investigate and report on violations - Tracking the investigation and reporting process to assure timely progression - Assisting Inspectors during the investigation and reporting process by giving advice and counsel Page 6 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 6.0 GACA العامه للطيبان المضارع General Authority of Civil Aviation EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES B. Carefully and thoroughly reviewing each report to be sure it is prepared in accordance with General Authority of Civil Aviation (GACA) policy and guidelines. The review shall include a reference to and an analysis of each GACAR. This “look in the book” is absolutely essential to assure that a violation has indeed occurred and that there is evidence in the file to support all applicable elements of the rule. 13.1.2.7. GACA MANAGEMENT RESPONSIBILITIES. GACA managements (including General Managers) has overall responsibility for the effectiveness and propriety of the compliance program. Among those responsibilities are the quality and timeliness of each investigation and its corresponding report. Page 7 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 6.0 GACA العربيه للطبیان المحلي General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES CHAPTER 1. INTRODUCTION TO COMPLIANCE ENFORCEMENT AND THE RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES Section 3. The Aviation Safety & Environmental Sustainability Compliance Enforcement Committee (CEC) 13.1.3.1 General. A. The Aviation Safety & Environmental Sustainability (AVSES) Compliance Enforcement Committee (CEC) was formed in adherence to the executive administrative order 4/1/29568, dated 09/02/2023, by the GACA Executive Vice President Aviation Safety & Environmental Sustainability. B. The General Manager of the Safety & Risk Department heads the CEC or whomever the Executive Vice President of Aviation Safety & Environmental Sustainability deems appropriate for this position. C. The CEC members are all the departments' Managers and General Managers within the GACA Aviation Safety& Environmental Sustainability Sector. D. If the committee agrees on a course of action, but one or more of its members disagrees with the majority decision for whatever reason, the majority decision will be taken into action. In contrast, the disagreeing members' reasoning will be listed in the committee's agenda for future reference. 13.1.3.3 Roles and Responsibilities of the CEC. A. The CEC must ensure that all compliance enforcement cases encountered by the Aviation Safety & Environmental Sustainability Sector are handled in full compliance with GACAR Part-13 and Volume-13 of this handbook. B. The CEC will maintain complete records and archives of all compliance enforcement cases handled by the Aviation Safety & Environmental Sustainability Sector. Such filing is in addition to the filing performed by each respective department in accordance with this volume. C. The CEC must approve All compliance enforcement formal actions taken by the GACA Aviation Safety & Environmental Sustainability Sector. The CEC must forward Compliance Enforcement actions requiring senior GACA management approvals with the CEC's recommendations. D. The CEC will ensure the appropriate channeling of compliance enforcement data into the safety information system of the KSA State Safety program. Page 8 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 6.0 GACA العليه للطبيه والن المحيي General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES E. The CEC will compile a periodic compliance enforcement report to the Executive Vice President of Aviation Safety & Environmental Sustainability (every six months). The information must at least include the following: 1) Shortlisting of the compliance enforcement cases during the reporting period. 2) Analysis of the regulatory violations that include root causes and accumulated historical trends of such violations. 3) Recommendations to enhance the level of regulatory compliance. 13.1.3.5 Compliance Enforcement Procedure. A. Each Aviation Safety & Environment Sustainability Department will investigate alleged regulatory violations by Chapter-2 of this volume. B. Each Aviation Safety & Environment Sustainability Department will follow the GACA Compliance Enforcement Program following Chapter-3 of this volume except for taking any action against the alleged regulatory violators. C. For any compliance enforcement case, the concerned Aviation Safety & Environment Sustainability Department(s) will compile a complete report following Chapter-2 and Chapter-3 of this volume and forward it to the CEC. D. The head of the CEC, upon receiving a case of non-compliance, calls the members of the committee for a physical or virtual meeting, the committee consisting of the General Managers and whomever the head of the CEC deems appropriate. E. The above committee will: 1) Evaluate the compliance enforcement case to ensure it was handled entirely with this volume. 2) In cases where compliance enforcement actions require senior GACA management approvals, the committee will evaluate those actions. The committee will forward the proposed compliance enforcement actions to the GACA senior management if approved. 3) The committee will evaluate all other proposed compliance enforcement actions not requiring GACA senior management approvals. If approved, those actions will be executed by the concerned department's General Manager. 4) The CEC will extract any safety data from each compliance enforcement case and ensure that such data is appropriately fed into the KSA SSP Safety Data Collection System. Page 9 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 6.0 GACA الحياء للطبيه والن المحليه General Authority of Civil Aviation EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES 13.1.3.7 Compliance Enforcement Central Records A. The CEC will maintain a centralized record system for all compliance enforcement cases handled by the Aviation Safety& Environment Sustainability Sector. This record system is separate from the filing and recording of compliance enforcement cases performed by individual departments following this volume. B. The minimum contents of the compliance enforcement centralized record system are: 1) Each compliance enforcement case will be assigned a unique reference number. 2) A copy of the compliance enforcement report prepared by the department(s) that handled the case. 3) Exact references to the GACARs that have been violated. 4) Identification of the violator(s), both; individuals and organizations as applicable. 5) The Safety Risk Level, the Conduct Category, and the proposed type of Compliance Enforcement action determined for each violated GACAR under the Enforcement Decision Tool (EDT) in Chapter-3 of this volume. 13.1.3.9 Periodic Compliance Enforcement Reports. A. The CEC will compile a periodic compliance enforcement report every six months. The report will be submitted to the Executive Vice President of Aviation Safety & Environmental Sustainability and circulated to all departmental General Managers of the Aviation Safety & Environmental Sustainability Sector. B. The minimum contents of the CEC periodic report are: 1) Shortlisting of all compliance enforcement handled during the reporting period. 2) Clear identification of the alleged violators (both; individuals and organizations). 3) Precise listing of the GACARs violated during the reporting period. For example, the GACAR part and the GACAR section (and subsections) as applicable. 4) Accumulated statistical analysis of all compliance enforcement cases. 5) Any correlation between the compliance enforcement data and other safety information data collected under GACAR Part-4. Page 10 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 6.0 GACA الجماعه للطيران المدني General Authority of Civil Aviation EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES 6) Root cause analysis of the GACARs violations. 7) Evaluation of the results of previously recommended actions. 8) Recommendations to improve regulatory compliance. 13.1.3.11 Aviation Safety & Environmental Sustainability Compliance Enforcement Data System. A. The Aviation Safety & Environmental Sustainability Compliance Enforcement Data System (CEDS) is a centralized computerized data storage and retrieval system designed for the storage and retrieval of all compliance enforcement cases handled in accordance with this volume. B. The owner of the CEDS is the Safety & Risk Department which is responsible for the management and update of the CEDS in addition to providing the system's accessibility to the appropriate management staff within the Aviation Safety & Environmental Sustainability Sector. C. The CEDS data structure contains all the data fields listed under (13.1.3.7 Compliance Enforcement Central Records). D. The CEDS provides dynamic data retrieval and reporting capabilities required by Aviation Safety & Environmental Sustainability management to analyze compliance enforcement data efficiently. Page 11 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 6.0 GACA العامه للطيبان المضارع General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES CHAPTER 2. INVESTIGATIONS Section 1. Conduct a Complaint Investigation 13.2.1.1. GACA ACTIVITY REPORTING (GAR). A. Resolved as a Complaint. 1) 1737 (OP) 2) 3740 (AW) B. Other. 1) 1771 (OP) 2) 3766 (AW) 13.2.1.3. OBJECTIVE. The objective of this section is to provide guidance to aviation safety inspectors (Inspectors) on how to process and investigate complaints received by the General Authority of Civil Aviation (GACA). Through analysis and investigation, Inspectors must determine the appropriate resolution of complaints. Successful completion of this task may result in several different outcomes based on the nature and type of the complaint and its method of resolution. Complaints about noncompliance with the GACA Regulations (GACARs) should be handled as a formal complaint and processed using the provisions of GACAR 13 and Chapter 2, Section 2 of Volume 13 of this handbook. Complaints that do not allege noncompliance with the GACARs may be about safety or non-safety issues. Complaints about safety issues should be thoroughly analyzed and the necessary corrective actions taken. Non-safety complaints, such as noise complaints, passenger handling, etc., may or may not be investigated by the GACA and could be referred to another GACA Sector or Department or even another government agency. 13.2.1.5. GENERAL. A. Authority. The Kingdom of Saudi Arabia (KSA) Civil Aviation Law authorizes the President to prescribe rules, regulations, orders and minimum standards in the national interest. GACAR Part 13 derives its authority from the KSA Civil Aviation Law and authorizes the President to conduct investigations. GACAR § 13.27, describes what is considered to be a formal complaint of noncompliance with the GACARs, and gives guidance as to what the complaint must contain and how it is to be submitted. Complaints that do not meet the requirements to be a formal complaint of noncompliance, as specified in GACAR § 13.27(b), are considered to be reports, as defined in GACAR § 13.23 and may, or may not, fall under the provisions of that section. B. Determination of GACA Responsibility. Areas of Aviation Standards and Environmental Sustainability Page 12 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 4.0 GACA العربيه للطبيه والنماض General Authority of Civil Aviation EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES (AVSES) responsibility for complaint issues may be determined by using the following criteria: - There was an alleged noncompliance with the GACA Regulations (GACARs) - The performance of Air Navigation Service (ANS) facilities or functions was a factor (i.e., Air Traffic Service (ATS), Navigational Aids (NAVAID)) - The airworthiness of aircraft of Saudi Arabian-registry was a factor - The competency of GACA certificated airmen was involved - The adequacy of the GACARs was in question Note: Complaints concerning the GACA Economic Regulations are outside of the scope of this section. Any complaints concerning the Air Transport Regulations should be forwarded to the Air Transport Department. C. Inspector Responsibilities. GACA aviation safety inspectors (Inspectors) must first determine the type of the complaint. Once the type of complaint has been established, the Inspectors should determine whether it is a simple matter that can be resolved on the spot, whether it requires further GACA action, whether it is a formal complaint of noncompliance and may warrant an investigation, or whether it should be referred to another GACA Sector or Department or to another government agency. Complaints about issues beyond normal GACA Inspector responsibilities should be coordinated with the appropriate GACA AVSES offices and should be referred to the appropriate department, agency, or division. Examples of such issues are: complaints about aerodromes, which should be forwarded to the Aerodrome Safety Division; complaints about Air Navigation Service, which should be forwarded to the ANS Safety Division, etc. 1) Many complaints are not a clear case of noncompliance with the GACARs. Further analysis usually indicates whether noncompliance has occurred or not. 2) When noncompliance has not occurred, a complaint may often be resolved quickly by explanation to the complainant and the complaint can be closed without further action. 3) Sometimes there is a limited amount of evidence of noncompliance; but not enough to support further action. In that case, the Inspector may leave the complaint open until sufficient information is available to pursue an investigation, or the Inspector may close the complaint with a record stating that insufficient evidence is available to pursue an investigation. 4) In non-safety related complaints that do not apply to GACA AVSES areas of responsibilities, the complaint should be referred to the government agency or division that is responsible for handling the issue identified in the complaint. In cases where the Inspector is not sure who has jurisdiction in the Page 13 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 4.0 GACA العليه العامه للطيبان المحلي General Authority of Civil Aviation EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES area of complaint, they should consult their supervisor. 5) Inspectors must thoroughly document any complaint that may require long term GACA attention or involvement. 6) In addition to obtaining a complete statement from the complainant, the Inspector may benefit by making an on site visit or by compiling a file of photographs, charts, maps, etc. Since the information in the file could be used in an ensuing compliance enforcement action, completeness and accuracy of the evidence is crucial. 7) Once an Inspector determines that compliance enforcement action is a likely option, formal evidence must be gathered. At that point, since formal evidence gathering is beyond the scope of this section, the Inspector should follow the instructions contained in Section 2 of this chapter. 8) When investigating a complaint, the Inspector should: - Gather any data or information that may be pertinent to the case, - Analyze how safety may have been affected and the possible impact on life or property, and - Analyze and report any mitigating or aggravating circumstances involved in the complaint. 9) The information gathered during the complaint investigation may indicate the need for a compliance enforcement action. Should this occur, the information gathered may become the evidence necessary as proof in compliance enforcement action. The methods used to gather evidence given that are presented in Section 2 of this chapter apply equally well to the process of investigating complaints. 10) Complaints and concerns should receive prompt handling, including a written GACA response. The written response, whether a final answer, an interim response, or an acknowledgement, will be sent within ten working days from the time of receipt. 11) Even if the complaint investigation does not result in a finding of GACAR noncompliance, there should still be a response in writing to the complainant explaining the results of the investigation. 12) The final letter of reply to the complainant should respond directly to the concerns or issues cited in the complaint. A final response should be courteous, concise, and free of generalities and should thoroughly respond to the original complaint. 13) Before replying to complaints concerning sensitive or significant issues, the Inspector should discuss the content, form, and manner of response with their supervisor. 14) Specific information regarding possible or pending compliance enforcement actions should not be Page 14 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 4.0 GACA اللغه العربيه للطبع والن الصحي General Authority of Civil Aviation EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES discussed within a response. 13.2.1.7. COMPLAINTS. It is GACA policy to respond to all complaints that come to the attention of the GACA, whether received by email, mail, phone, or in person. A. Complainants. Persons employed in the aviation industry, private individuals, or organizations with an interest in aviation can contact the GACA with a specific complaint or concern regarding an element of the industry regulated under the GACARs. 1) Although permissible, individuals or entities who complain via telephone should be requested to submit their specific complaint(s) in writing. 2) While information provided anonymously may be useful in planning surveillance, response to an anonymous complaint is hindered because direct access to the complainant may be limited or non-existent. However, anonymous safety-related complaints and complaints of noncompliance with the GACARs must be investigated to the extent possible. B. Kinds of Complaints. 1) Formal Complaints and Reports. See GACAR § 13.27 for the applicable rule language. 2) Complaints within the Inspector's Area of Responsibility. Certain complaints can and should be investigated at the lowest level. This would include complaints against regulated entities such as certificated aircraft, flight crew members, authorized ANS service providers, air agencies and air operators within the purview of the Inspectors responsibilities. If, during a complaint investigation, it becomes evident that compliance enforcement action, surveillance, or inspection is required, the Inspector should close the complaint and initiate the appropriate action. a) If the complaint investigation results in a finding of GACAR noncompliance, a determination is made of whether remedial administrative or remedial certificate action should be taken. If remedial administrative action is appropriate, the violator will be issued a Noncompliance Record (NCR) as specified in GACAR Part 13, Subpart D. If remedial certificate action or punitive action is warranted, the violator may be subject to certificate action, issuance of an order, or punitive action, as specified in GACAR Part 13, Subparts F or G, as appropriate. b) The complaint investigation may prompt the GACA to work with the regulated entity in order to prevent a recurrence of the action or incident that brought about the complaint. 3) Complaints about GACA AVSES Personnel. The Inspector will forward all complaints that involve actions or behavior of GACA AVSES personnel, regardless of area of responsibility, to the appropriate General Manager. Page 15 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 4.0 GACA اللغه العربيه للطيران المحتري General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES 4) Complaints Outside GACA AVSES Responsibility. GACA Inspectors deal only with issues specified in the GACARs. If an Inspector receives a complaint that does not involve GACA AVSES responsibilities (see paragraph 13.2.1.5C), that complaint must be referred to the appropriate governmental office. a) Environmental Concerns. This involves complaints about noise in the vicinity of aerodromes, pollution, proximity of aerodromes to persons, etc. Other environmental concerns, such as agricultural chemicals sprayed by aerial work operators operating under GACAR Part 133 operators, may not be the concern of the GACA AVSES when no aviation safety issues are involved. b) GACA certificated Air Operators. The complainant will refer consumer complaints (e.g., lost luggage, late departures or arrivals, etc.) about GACA certificated air operators directly to the air operator. This also applies to foreign air carriers operating under GACAR Part 129. c) Equipment Failure. This category of complaints involves flight procedures, faulty navigational aids, or ATS procedures. This type of complaint generally comes from flight crew members rather than the general public, and the Inspector should refer them to the ANS Safety Division, who will coordinate with the appropriate ANS facility or service provider. d) Hazardous Aerodrome Conditions. This type of complaint may come from the public or from flight crew members, and may involve the physical condition or layout of an aerodrome or hazards posed by construction. Inspectors should refer these complaints to the Aerodrome Safety Division, who will coordinate with the aerodrome operator. e) Security. Security complaints may involve such diverse areas as people who feel security is not adequate enough or people who feel they have been treated unfairly by security personnel. Inspectors should refer these complaints to the appropriate security facility. f) Military Complaints. Complaints involving military aerodromes, personnel, or operations usually involve noise or low flying, and often come from people who live close to areas of military operations. Refer the complainant to the senior officer of the subject military facility. g) Alleged Criminal Activity. Complaints of this nature can also be very diverse. The Inspector should not become involved unless aviation safety is also an issue. Refer these to the appropriate law enforcement facility. 5) Above all else, identified noncompliances must be processed in accordance with the compliance enforcement procedures prescribed in Chapter 3 of Volume 13 of this handbook and GACAR Part 13. 13.2.1.9. COMPLAINT RESOLUTION TECHNIQUES. When the problem appears to be within the Aviation Standards and Environmental Sustainability Sector areas of responsibility, the Inspector should obtain a complete Page 16 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 4.0 GACA الحياء للطبيه والن المحترف General Authority of Civil Aviation EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES statement of the alleged occurrence. A. Taking Statements. Complainant or witness statements are normally acquired during an interview with the complainant. Figures 13.2.1.5 and 6 contain information on interviewing, which may be helpful in obtaining statements from complainants or witnesses. 1) The demeanor of the Inspector is very important. It is critical to remain objective and emotionally detached from the issues concerning the complaint. Even if the occurrence or the potential consequences are serious, the Inspector must never personalize the case. This is true even when the facts seem to develop very clearly. A case that may eventually require substantiation for formal proceedings must be built on a carefully, objectively, and thoroughly constructed assemblage of the facts. Sometimes a long period of time elapses between the occurrence and the formal proceeding, and many facts may be forgotten or unobtainable by then. Objectivity and clear thinking allow the Inspector to gather seemingly unrelated pieces of information that may be relevant later. It is best to deliver comprehensive evidence with a technical viewpoint. 2) It is essential to take complete and accurate information from the person initiating the complaint. At a minimum, a complete report includes: a) The name, address, and daytime and home telephone numbers of the person initiating the complaint. Sometimes the Inspector must investigate an anonymous complaint; however, it is preferable to be able to maintain contact with the source. b) Information concerning the witness' occupation, particularly any aviation experience. c) A complete statement of the specific incident. What happened? Who was involved? Does the complainant have information about the aircraft, especially the aircraft registration marks? What were the date, time, and location of the occurrence? Was an aerodrome involved and which one? d) The signature of the witness or complainant, when practicable. 3) When possible, the Inspector should take physical evidence such as photographs, charts, maps, diagrams. The witness may present the information or may know of another source of the information which the Inspector may contact. In any case, the Inspector either receives or gathers any supporting evidence. How much evidence to gather, in what form, and who may be informally contacted are areas requiring the Inspector's judgement. However, if and when the information indicates a noncompliance investigation, then the complaint becomes a noncompliance investigation task and the guidance in Section 2 of this chapter should be followed. B. Active Listening. Communication is a two way process: speaking and listening. Much emphasis is placed on acquiring good speaking skills, especially for Inspectors who have a great deal of public contact. More Page 17 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 4.0 GACA العلانيه للطيبان المضارع General Authority of Civil Aviation EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES often than not, an emphasis on listening is left out, and listening is so crucial to assuring that the receiver of the communication (the Inspector) gets the message accurately. Effective or active listening is a skill that comes from practice and from a genuine desire to know what the other person means. During the resolution of a complaint, an Inspector must gather information from many sources, but the predominant source is people. The Inspector conducts personal interviews as part of a complaint resolution or an investigation, and this is often the source of a great deal of valuable information. However, for the information obtained in the interview to be valuable, it must be accurate. Thus, the Inspector must exercise effective listening skills to ensure accuracy. The primary step toward effective listening is to stop talking. An Inspector must listen to complaints from many sources, and the Inspector's response will vary, depending on the source and the nature of the complaint. Inspectors receiving complaints over the telephone usually encounter a complainant who may be irate or emotional. The complainant has probably selected the telephone number of the office that the complainant feels is most likely to help; however, it may or may not be the correct office. The Inspector must remember that, no matter how irate, obnoxious, or emotional the complainant may be, the matter must not be taken personally. Figure 13.2.1.1, Tips for Active Listening, contains some listening tips that are good to remember when handling complainants, either by telephone or in person. 1) Inspector's Role in Active Listening. The inspector who initially receives a complaint, whether by telephone or by personal contact, represents the GACA in a “frontline position.” Whatever the circumstances of the contact, or nature of the complaint, the inspector should assume an attitude of quiet, active listening and helpfulness. The inspector’s demeanor should be calm, restrained, and respectful. Most of all, the Inspector must truly listen for what is actually said, not for what he wants to hear. 2) Handling Referrals. If it seems immediately clear that the nature of the problem is not within the scope of the GACA AVSES, the Inspector should allow the contact to finish talking, and then repeat the witness's description of the event. This brief reiteration of the complaint sends a signal to the complainant that the complaint was heard, understood, and considered. Then the Inspector may proceed to explain clearly and patiently that the complaint may be referred to the appropriate government office. If the complainant resists being referred elsewhere, positive use of assertiveness techniques should generally convince the complainant. 3) Follow-up. The Inspector should follow up on any complaint by giving the complainant the name of the appropriate office and, if possible, the telephone number. In some instances, the Inspector may wish to make the initial contact for the complainant. If the Inspector is not certain whom the complainant should contact, it is acceptable to acknowledge that fact. The Inspector should obtain the complainant's name and daytime telephone number and promise to return the call as soon as possible. Then the Inspector should consult their supervisor or conduct independent research before calling the complainant back with the appropriate information. C. Enlisting Assistance. Sometimes the Inspector needs the support and assistance of personal contacts in order to gather information about the complaint. Inspectors may use the assistance of law enforcement Page 18 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 4.0 GACA العليه للطبيه وال меди General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES persons, aerodrome personnel, air operator personnel, or other contacts. 13.2.1.11. PREREQUISITES AND COORDINATION REQUIREMENTS. A. Prerequisites. For GACA Inspectors, this task requires knowledge of the GACARs, GACA policies and orders, and the investigative process. B. Coordination. This task may require coordination with a variety of contacts, including: - Inspectors of a different specialty (i.e.; airworthiness or operations) - Other GACA offices - Law enforcement agencies • Air traffic service providers - The military • The aerodrome manager • Other KSA government agencies 13.2.1.13. REFERENCES, FORMS, AND JOB AIDS. A. References: - Related GACAR parts • Volume 13, Chapter 2, Section 1 of this handbook, Conduct a Violation Investigation B. Forms: • GAR C. Job Aids. • Sample letters and techniques contained in Figures 13.2.1.1 through 13.2.1.6 13.2.1.15. COMPLAINT RESOLUTION/INVESTIGATION PROCEDURES. A. Initial Notification. Upon receipt of a telephonic complaint, office visit, or written complaint, determine Page 19 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 4.0 GACA الطبيه العامه للطبیعات General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES the nature of the complaint. 1) Collect and record as much information as possible from the complainant. 2) Assess whether it can be immediately resolved, whether it warrants further action by GACA, or whether it should be referred. B. GACA Activity Report. Open a GAR record and insert all information received from the complainant. (see paragraph 13.2.1.1 for GAR codes) C. Determine Appropriate Action. 1) Complaints Requiring No action. If upon initial contact the complaint can be resolved by the Inspector through an explanation, fill out the GAR record with the name, address, and telephone number of the complainant. Enter a thorough description of the complaint in the remarks section. Close the GAR record with a “No Action.” 2) Complaints Warranting Referrals. Examine the evidence and make referrals to the appropriate office as necessary. Consult the most recent GACA guidance for detailed instructions on handling consumer inquiries. Complete a GAR report documenting the issue of the complaint and the details of the referral. a) Refer complaints about noise to the appropriate aerodrome. b) Refer complaints about agricultural chemicals sprayed by GACAR Part 133 operators to the aerial work operator when no aviation safety issues are involved. c) For non-safety related consumer complaints concerning air operators, inform the complainant that he must contact the air operator directly. If possible, provide the address or telephone number. d) Refer complaints involving instrument flight procedures to the GACA ANS Sector. e) Refer complaints about faulty navigational aids or about air traffic service procedures to the appropriate ATS facility. f) Refer complaints about hazardous aerodrome conditions to the aerodrome manager. g) Refer complaints about aerodrome security to the to the appropriate aerodrome manager and to the appropriate GACA security office. h) For complaints involving military aerodromes or military personnel, contact the appropriate military facility. Page 20 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 4.0 GACA العاميه للطيبان المضارع General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES i) Refer complaints concerning alleged criminal activity to the appropriate law enforcement office. 3) Complaints Requiring GACA Action. Advise the complainant that you or another Inspector will investigate the complaint. a) Fill out a complete witness statement (Figure 13.2.1.2). b) Forward the completed witness statement to the supervisor for assignment and coordination with the appropriate unit. D. Investigation of Complaints. When the Inspector is assigned a complaint to handle that may involve an investigation: 1) Gather any evidence essential to the investigation. Be certain that the evidence includes any aircraft registration or HZ numbers, flight crew member certificate, and previous noncompliance and accident/incident history. 2) If appropriate, make an informal phone call to the subject of the complaint in order to gather information. 3) If necessary, visit the scene or area involved in the complaint in order to become familiar with the setting and to gather complete information. 4) After gathering all information and evidence, determine if the evidence warrants opening an investigation of noncompliance or whether it requires no action. 5) When an investigation of noncompliance is warranted and initiated, refer to Section 2, Conduct a Violation Investigation, and to GACAR Part 13. 6) If no action is required, close out the GAR record appropriately. E. Follow-up to Complainant. Advise the complainant in writing of the results of the Inspector's preliminary investigation (Figure 13.2.1.3 or 13.2.1.4, as appropriate). 1) If there is insufficient information to proceed with an investigation, inform the complainant and indicate what additional information is required. Provide the complainant with a suspense date to provide the additional information. If that information is not received by the suspense date, close out the complaint in the GAR record. 2) If the inspector is proceeding with a formal investigation, inform the complainant that the matter is being investigated. Indicate that the complainant will be informed of the disposition of the investigation and give an estimated time to expect a further update. Page 21 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 4.0 GACA الطبيه العامه للطبیان المحلي General Authority of Civil Aviation EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES F. Prepare GACA File. Prepare an office file which includes any evidence, correspondence, witness statements, and the disposition of the complaint. G. GAR. Annotate the GAR record with explanatory remarks as to whether the case was referred or is being handled with a formal investigation. 13.2.1.17. TASK OUTCOMES. Completion of this task results in one or more of the following: - A letter to the complainant indicating the disposition of the complaint - A record in the GAR system documenting the disposition of the complaint - Initiation of an investigation of noncompliance - Referral of the complaint to another government office or to another area of the GACA Figure 13.2.1.1. Tips for Active Listening <table><tr><td>1.</td><td>Stop talking.</td></tr><tr><td>2.</td><td>Empathize with the witness person.</td></tr><tr><td>3.</td><td>Ask organized questions.</td></tr><tr><td>4.</td><td>Be patient.</td></tr><tr><td>5.</td><td>Concentrate on what the person is saying.</td></tr><tr><td>6.</td><td>Show the other person that you want to listen and that you are listening.</td></tr><tr><td>7.</td><td>Put the talker at ease.</td></tr><tr><td>8.</td><td>Be aware of your emotions and prejudices.</td></tr><tr><td>9.</td><td>Control your anger.</td></tr><tr><td>10.</td><td>Get rid of distractions.</td></tr><tr><td>11.</td><td>Get the witness' main points.</td></tr><tr><td>12.</td><td>React to ideas, not to the person.</td></tr><tr><td>13.</td><td>Don't argue with the visibly, verbally, or mentally.</td></tr><tr><td>14.</td><td>Listen for what is not said.</td></tr><tr><td>15.</td><td>Listen to how something is said.</td></tr><tr><td>16.</td><td>Don't antagonize the witness.</td></tr><tr><td>17.</td><td>Listen for the witness' personality.</td></tr><tr><td>18.</td><td>Avoid classifying the witness prematurely.</td></tr><tr><td>19.</td><td>Avoid jumping to conclusions.</td></tr><tr><td>20.</td><td>Again, stop talking and just listen.</td></tr></table> Page 22 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 4.0 GACA العليه العامه للطيران المضي General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES Figure 13.2.1.2. Sample Witness Statement and Referral Job Aid WITNESS STATEMENT: Date and time of complaint: ____ Name of Caller: ____ Home phone number: ____ Daytime phone number: ____ Occupation: ____ Aviation Experience: ____ Name of Person Involved: ____ Aircraft Registration Marks: ____ (or description) Description of Complaint: REFERRALS CHECKLIST: 1. Air Operator Service: Call appropriate air operator if issue of complaint 2. Aircraft Noise: Call appropriate facility/agency or affected entities 3. Aerodrome Security: Call Aerodrome Manager at ____. 4. For Aerodrome Hazards: Call Aerodrome Manager at ____. 5. Military Aircraft: Call appropriate military facility/unit at ____. 6. Air Traffic Service: Appropriate ATS facility at ____. 7. Near Mid air Collision: Appropriate ATS facility at ____. 8. Criminal Activity: Local police at ____. Page 23 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 4.0 GACA العامه للطيبان المضاحي General Authority of Civil Aviation EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES 9. Dangerous Goods: Call appropriate certificate holder (Air Operator or Preparer) or Aerodrome Manager at ____. 10. Navigational Facilities: Call responsible ATS facility at ____. 11. Aviation Medical: Call the Aviation Medicine Division at ____. 12. GACA Management: Notify GACA General Manager ____. Inspector: ____ Date: ____ [Note: Inspector should sign and date to attest to the information's accuracy.] Figure 13.2.1.3. Sample Letter of Closing Out a Complaint That Requires Further Action GACA LETTERHEAD Date Name Address Dear ____, This letter responds to your inquiry on [insert date complaint was received] regarding [insert brief description of the nature of the complaint]. Our findings indicate that further action may be warranted and we will investigate. If you have any additional information, please contact this office as soon as possible. Thank you for your concern and cooperation in this matter. Sincerely, [Inspector's signature] Figure 13.2.1.4. Sample Letter of Closing a Complaint Without Further Action GACA LETTERHEAD Date Page 24 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 4.0 GACA الحياء للعلوم والطبيه General Authority of Civil Aviation EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES Name Address Dear ____, This letter responds to your inquiry on [insert date complaint was received] regarding [insert brief description of the nature of the complaint]. We have found insufficient evidence to proceed with noncompliance action, and we consider this matter closed. However, if you have any further information that would assist the GACA in pursuance of an action, please contact this office. Thank you for your concern and cooperation in this matter. Sincerely, [Inspector's signature] Figure 13.2.1.5. Interviewing Techniques Interview Technique. One of the best ways to obtain evidence from witnesses and certificated airmen is through a one on one interview. As an interviewee, the certificated airman should be interviewed in private with just the interviewer, the investigating inspector, present, unless the certificated airman specifically requests someone, i.e., legal assistance, to be present also. As the interviewer, the Inspector must honor this request and not attach any inferences of guilt to it. Witnesses as interviewees should also be interviewed individually so that the Inspector will be more likely to obtain untainted information about what that person saw or heard. If Witness B is allowed to hear the information provided by Witness A, Witness B’s account may be prejudiced by what he has heard. That is, the evidence will not be as “pure” as when the interviews are conducted separately. When interviewing anyone who may be in noncompliance, both a witness and especially a certificated airman, it is important to remember that the goal to is to obtain information through a free exchange and not to interrogate. 1) An interview means a meeting where the interviewer approaches the interviewee as a peer. The interviewee is encouraged to cooperate and allowed to relate observations or information without interruption or intimidation. An interview is usually conducted informally, with a voluntary answering of questions. 2) Interrogation means formal questioning done by someone in a position of authority or power, such as a lawyer witness confrontation in a court proceeding or a law enforcement officer in questioning a suspect. Interrogation presumes non cooperation and fosters an adversarial relationship. The free giving of information is restricted by the aim of eliciting a confession. In this situation, questioning by the interviewer is likely to be devious, shrewd, or clever with the intention of tricking, trapping, or antagonizing the interviewee to get information at any cost. The negative connotations are obvious. Page 25 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 4.0 GACA العامه للطبيعات General Authority of Civil Aviation EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES 3) Inspectors shall use the interview rather than the interrogation technique in the questioning of witnesses or flight crew members in noncompliance. 4) Generally, when people are offered the opportunity to act as witnesses and assist in aviation safety by voluntarily giving a statement or account in an atmosphere of mutual respect and courtesy, most willingly provide information. Information given voluntarily by witnesses is generally untainted and could aid in the justification for the recommendation of a remedial approach to correcting safety deficiencies. Figure 13.2.1.6. Examples of how to Degrade An Interview Or Lose A Witness Page 26 EBOOK VOLUME 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 4.0 GACA العاميه للطيبان المضاحي General Authority of Civil Aviation [Non-Text] EBOOK VOLUME 13. COMPLIANCE ENFORCEMENT & RESOLUTION OF IDENTIFIED SAFETY DEFICIENCIES <table><tr><td>Waiting or Procrastinating</td><td>Not contacting the witness immediately gives the witness time to forget, flee, or lie. They may also get cooled off, told off, paid off, laid off, or otherwise be subjected to social, political, or economic pressures. Thinking the issue will go away is wrong.</td></tr><tr><td>Arguing</td><td>Arguing with the witness, especially if he thinks he is overly smart, can make him defensive or combative and greatly degrade the quality of the interview.</td></tr><tr><td>Rushing</td><td>Not taking the time to get acquainted or letting the witness know by your words and actions that you can't waste time talking to him can lessen his willingness to respond.</td></tr><tr><td>Overreacting</td><td>Adding your values and philosophy concerning the witness' response may alter or inhibit further responses to the Inspector's questions.</td></tr><tr><td>Phoning rather than Face-to-Face</td><td>Calling and asking the witness to send a statement removes much of the Inspector's opportunity to "read" the witness and generate questions on-the-fly which can only result from a face-to-face interview.</td></tr><tr><td>Berating</td><td>Reprimanding the witness or inferring how stupid he is can lessen the witness' willingness to respond accurately to questions.</td></tr><tr><td>Frightening</td><td>Using words like "confession," "stool pigeon," "thief," etc.; can frighten the witness.</td></tr><tr><td>Bluffing</td><td>Telling the witness that he is obligated by law to answer your questions; demanding to see the witness' records, etc. can frighten and intimidate the witness unnecessarily.</td></tr><tr><td>Using Legalese</td><td>Impressing the witness with big, legal-sounding words can confuse or inhibit the witness.</td></tr><tr><td>Interrogating</td><td>Overly pressing the witness for facts can make the witness defensive.</td></tr><tr><td>Being Formal</td><td>Keeping the witness at a distance; not befriending the witness even though the witness may want to communicate.< …(205,856 more chars)