Alongside our Strategy and Values, we have articulated a set of five regulatory principles that underpin our approach to regulation. These are a set of principles we are guided by when carrying out our work to improve aviation and aerospace for consumers and the public.
Our regulatory principles
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Understanding and addressing risk
We will understand and address safety, security, and consumer protection risks across the sector, for the benefit of consumers and the general public. We will be clear that primary responsibility lies with those delivering the activity and require them to show us how they manage their own risk. We will work with partners where they are best placed to deliver better outcomes
One of the main reasons for having an aviation regulator is to protect the public from risks they can’t reasonably assess or protect themselves from, the impacts of which could be very significant. We need to understand and ensure risks are managed in a system-wide way. -
Delivering unique value
We will take a proactive, collaborative approach to the functioning and development of the regulatory system in the UK and worldwide. We will facilitate and nurture innovation and help others to do the same. We will deliver independent regulatory oversight within the legislative and policy framework set by Parliament and Government.
This principle is about what we bring to the table as an organisation. There are some areas where only an independent regulator can perform the role. We need to be able to identify these areas and demonstrate the value we add. -
Acting proportionately
We will explore different ways of achieving desired outcomes, regulating only where we have to. The benefits expected from our regulation will outweigh any burden or cost we impose. We will maintain a strong understanding of the differences among the organisations and individuals we regulate and will tailor regulatory approaches accordingly. -
Engaging proactively and transparently
We will constantly look outwards and challenge ourselves to prepare for sectoral and technological innovation and new challenges. We will draw on a wide range of evidence, ideas, and feedback from those we regulate and wider society to inform our decisions. We will be clear about how our actions and decisions may affect our stakeholders. We will publish appropriate information in a clear and accessible manner to ensure transparency.
Independence and accountability are absolutely fundamental for any regulator. Transparency is what brings independence and accountability alive. It helps prevent any regulator from becoming complacent, self-interested or beholden to a subset of stakeholders. -
Acting on our combined insight
We will value the collective insights of the CAA, and continually encourage innovative approaches in our work. We will draw on evidence, data, best practice, and external insights, particularly when balancing competing interests or considering trade-offs.
Our five regulatory principles (PDF)
Wendi – Introduction
Our Regulatory Principles were introduced in 2021, alongside our values of: 'Do the right
thing', 'Never stop learning', 'Build collaborative relationships' and 'Respect everyone'.
The principles are a framework that should be applied alongside our values, rather than
separately, because they complement and reinforce each other.
Hainsley - Understanding and addressing risk
We say
• We will understand and address safety, security and consumer protection risks across
the sector, for the benefit of consumers and the general public.
• We will be clear that primary responsibility lies with those delivering the activity, and
require them to show us how they manage their own risk.
• We will work with partners where they are best placed to deliver better outcomes.
In practice
One of the main reasons for having an aviation regulator is to protect the public from risks
they can’t reasonably assess or protect themselves from, the impacts of which could be very
significant.
We need to understand and ensure risks are managed in a system-wide way.
Tanya – Delivering unique value
We say
• We will take a proactive, collaborative approach to the functioning and development of
the regulatory system in the UK and worldwide.
• We will facilitate and nurture innovation and help others to do the same.
• We will deliver independent regulatory oversight within the legislative and policy
framework set by Parliament and Government.
In practice
This principle is about what we bring to the table as an organisation.
There are some areas where only an independent regulator can perform the role.
We need to be able to identify these areas and demonstrate the value we add.
Ramesh – Acting proportionately
We say
• We will explore different ways of achieving desired outcomes, regulating only where we
have to.
• The benefits expected from our regulation will outweigh any burden or cost we impose.
• We will maintain a strong understanding of the differences among the organisations and
individuals we regulate, and will tailor regulatory approaches accordingly.
In practice
Proportionality is a key element of the Principles of Good Regulation that we have regard to
and is fundamental to our work.
Regulators should only intervene when necessary; and where regulation is poorly designed
or implemented it can impose excessive costs and inhibit productivity.
Trisha – Engaging proactively and transparently
We say
• We will constantly look outwards and challenge ourselves to prepare for sectoral and
technological innovation and new challenges.
• We will draw on a wide range of evidence, ideas and feedback from those we regulate
and wider society to inform our decisions.
• We will be clear about how our actions and decisions may affect our stakeholders.
• We will publish appropriate information in a clear and accessible manner to ensure
transparency.
In practice
Independence and accountability are absolutely fundamental for any regulator.
Transparency is what brings independence and accountability alive.
It helps prevent any regulator from becoming complacent, self-interested or beholden to a
subset of stakeholders.
Gerard – Acting on our combined insight
We say
• We will value the collective insights of the CAA, and continually encourage innovative
approaches in our work.
• We will draw on evidence, data, best practice and external insights, particularly when
balancing competing interests or considering trade-offs.
In practice
The amount of data that we have access to is ever increasing and there is a legitimate
expectation that we use data and evidence to underpin our decisions.
At the same time there are risks around the type and sheer quantity of available data that
can pose risks to a regulator, such as quality and gaps.
To help overcome these risks, it’s important to understand the data sources available and
consider how to use it intelligently to maximise regulatory outcomes.
Applying the principles
These principles are an articulation of our regulatory approach, which is designed to improve safety, security and consumer protection outcomes. We will be guided by the principles when designing, prioritising or implementing regulatory activities. We also have regard to the Principles of Good Regulation, the Regulators’ Code and the Regulators’ Growth Duty, and are guided by the consumer principles which provide a consumer focused lens for regulation.
Better regulation
Our principles are reinforced by the government's Better Regulation framework and its Regulators' Code, to which all UK regulators must comply. The Code's core principles are:
- Proportionality - Regulators should intervene only when necessary; remedies should be appropriate to the risk posed, and costs identified and minimised
- Accountability - Regulators should be able to justify decisions and be subject to public scrutiny
- Consistency - Government rules and standards must be joined up and implemented fairly
- Transparency - Regulators should be open and keep regulations simple and user-friendly
- Targeting - Regulation should be focussed on the problem and minimise side effects.
Our recent work to improve the regulatory environment in aviation
- Reforming the General Aviation landscape
- Performance Based Regulation (PBR)
- Our 'Pack Peace of Mind' campaign
- E-conditions for experimental aircraft
In support of these principles we publish:
- clear guidance on how to apply for, or renew, Certificates, Licences and Approvals and we define clearly the terms or privileges of Certificates, Licences and Approvals;
- the charges applicable to the grant and renewal of Certificates, Licences and Approvals;
Additionally, to assist in clear understanding, we provide written and/or oral advice about any of the foregoing and in respect of our interpretation of requirements.
Where applicants are unable to meet the Certification, Licensing or Approval requirements, we will explain why this is so and indicate what steps could be taken to comply so that the relevant privileges may be granted or renewed.
In the event of any formal proposal to refuse or revoke a Certificate, Licence or Approval, we will set out fully and clearly the grounds for taking such action. Before formal enforcement action is taken, we will provide an opportunity to discuss the circumstances of the case and, if possible, resolve points of difference, unless immediate action is required in the interests of safety.
Where there are rights of appeal against formal action, advice on the appeal mechanism will be clearly set out in writing at the time the action is taken (see also Appeals Against Regulatory Decisions.
Growth Duty
"The Growth Duty" requires regulators to consider the economic consequences of their actions; be proportionate in their decision making; and to keep regulatory burdens to a minimum. The Duty came into statutory effect on 29 March 2017. The CAA reports on the growth duty in an annual report published at the same time as the CAA Annual Report and Accounts.
Business Impact Target
The Business Impact Target (BIT) provides an incentive across Government to reduce unnecessary regulatory burdens on business and applies to all CAA measures that regulate the activities of business. Relevant regulatory activities that we have carried out from June 2017 need to be reported on, whether they count towards the target (Qualifying Regulatory Provisions (QRPs)) or not (Non Qualifying Regulatory Provisions (NPQRs)).
Under section 24A of the Small Business, Enterprise and Employment Act, we are required to publish, for each reporting period, a list of QRPs and a summary of NQRPs.
- Non Qualifying Regulatory Provisions Summary BIT, period covered: Covered: 8 May 2015 - 8 June 2017
- Non Qualifying Regulatory Provisions Summary BIT, period covered: Covered: 9 June 2017 - 20 June 2018
- Non-Qualifying Regulatory Provisions Summary BIT, period covered: Covered: 21 June 2018 - 20 June 2019
- Non-Qualifying Regulatory Provisions Summary. BIT, period covered: 17 December 2020 - 16 December 2021
- Non-Qualifying Regulatory Provisions Summary BIT, period covered: 17 December 2021 - 16 December 2022
Your role
You can help us to provide the best service possible by:
- being clear exactly what you require of us;
- providing clear and correct information and documentation, and fees when required;
- being prepared for scheduled visits by our staff;
- providing ideas about how we can improve our services;
- informing us when our services do not meet the standards we have published
Appeals against regulatory decisions
Except in the cases of provisional suspensions or variations pending further enquiry, decisions made at the direction of the Secretary of State, and medical certificates, a decision to revoke, suspend or refuse to grant a certificate, licence etc. can be appealed against to the Members of the CAA (Civil Aviation Regulations 1991 - Regulation 6).
Full details of the appeals process can be obtained from:
Secretary and Legal Adviser
Civil Aviation Authority
Westferry Circus, Canary Wharf, London, E14 4HE
Further information is available for requests for review of certain personnel licensing and certification decisions.
Our service standards
General service standards
- Our staff will be courteous and helpful.
- Visitors who have a pre-arranged appointment will be seen on time.
- Telephones will be answered promptly. Your enquiries will be dealt with at that time or under a 'call back' arrangement acceptable to you. The nature of some enquiries may be required to be submitted in writing to us and this will be advised where applicable.
- Written communications will be replied to within ten working days. Some communications and requests for information require comprehensive responses which might take longer to prepare. In these cases, we will acknowledge your correspondence within ten working days. We will advise when you can expect to receive a comprehensive reply and who may be contacted on the matter. Specific service standards, including response times, can vary, and are available below.
- We aim to achieve our specific service standards (see below) on 90% of occasions. This target has been set because our ability to meet these standards is affected by many factors, not least of which is seasonal variation in demand.
- It should also be noted that we are sometimes not the only organisation involved in a particular process. However, if this is the case we will inform you of the situation.
- We are working towards further digitisation of our service, including our on-line services.
- We aim to continuously improve how we provide our services.
Specific service standards
Our service standards, set out below, are based on the assumption that the following necessary inputs have been provided by you, the applicant:
- a correct and complete application with the relevant and required supporting documents. Incorrect or incomplete applications will result in delays;
- the application is submitted on behalf of an appropriately approved organisation or suitably authorised individual;
- the required and requested information in a satisfactory and timely manner;
- the appropriate fees;
- timely access to your facilities, personnel or aircraft, as we require;
Our standards also assume that we are satisfied with the results of any required:
- examination or competency check
- inspection, audit, technical assessment, or survey
- flight inspection or flight test whether carried out by us or by an appropriately approved organisation
For long or complex projects, or where other Aviation Authorities are involved, a progress review process will be established with the applicant, SARG, and the other agencies involved. In such cases, where the following service levels cannot be achieved, individuals/organisations will be contacted with a revised timeframe for completion.
- Personnel Licences will be assessed within 10 working days. This may take up to 30 working days where a technical assessment is required.
- The results of Personnel Licence examinations will be notified to the candidates within 10 working days of the examination date.
- Commercial Pilots Licence and Instrument Rating skill tests will be provided within 10 working days of the applicant's requested date, weather permitting.
- The results of Initial Class 1 medical examinations will be notified within 10 working days.
- Completed new aircraft registrations and overseas de-registrations will be produced within 3 working days.
- Changes of registered ownership and other register amendments will be produced within 7 working days
- Mortgage entries, discharges and priority notices will be produced within 3 working days
- Permissions, Exemptions and Variations will be issued within 10 working days.
- Permission for Commercial Operation will be issued within 28 working days.
- Reports on the results of audits and inspections will be provided within 20 working days of the completion of the audit or inspection.
- Airworthiness Approval Certificates will be issued within 20 working days. **
- Certificates of Airworthiness will be issued within 15 working days. **
- Air Operator Certificates will be issued within 20 working days. **
- Airworthiness Review Certificates will be renewed within 5 working days
- Permits to Fly will be issued or renewed within 20 working days. **
** Following the receipt of a recommendation by the responsible technical authority within the CAA