Voluntary compliance is expected of participants in the civil aviation system.
However, sometimes CAA can use tools, such as a finding or an improvement notice, to encourage compliance.
Findings
Findings raised during monitoring (including certificate renewals) record non-compliance with our authorising legislation, a condition attached to an aviation document, or any part of provisions of any document forming the agreed standards or conditions on which the issue and continuance of an aviation document depends.
The finding will identify the legislative standard or requirement that is breached or the relevant system or procedure that is involved.
CAA staff performing monitoring activities believe participants are best placed and responsible for identifying root causes and proposing an action plan and timeline for addressing any breach of legislative standard or requirement. We review their plan and accept it, or work with the participant until the plan and timeline is acceptable, then we monitor until completion.
Findings are intended to encourage a participant to voluntarily return to compliance. If this level of engagement isn’t present, regulatory sanctions can require the risk exposure to be managed.
Improvement notices
While findings are well established in the aviation sector, improvement notices are a newer regulatory tool.
The Civil Aviation Act 2023, which came into effect on 5 April 2025, introduced improvement notices, which were previously only able to be issued under the Health and Safety at Work Act 2015.
Under section 298 of the Civil Aviation Act 2023 inspectors can issue an improvement notice if they reasonably believe that a person is contravening, or is likely to contravene, a provision of civil aviation legislation.
Improvement notices fill a gap which previously existed between the issuing of a finding and the next step which was regulatory action – which includes imposing restrictions on, or withdrawing, a participant’s ability to operate.
Improvement notices can be used to enable a more reasonable, fair and proportionate response in some circumstances.
The difference between findings and improvement notices is that improvement notices are legislated and must be complied with as they carry potential fines on conviction.
Decisions to issue improvement notices will be made on a case-by-case basis. CAA will endeavour to take a no surprises approach. This means that the inspector engages with the participant before issuing the notice; the notice contains all important information about what is required from the participant and the offences for not complying with the improvement notice; and that the participant can appeal the issuing of the improvement notice.