Improving Canada’s
Civil Aviation Safety Program:
An Action Plan to April 2013

April 2012

Message from the Deputy Minister

Canada has one of the best aviation safety records in the world. The accident rate has been on a downward trend for more than ten years, and air traffic has been on an upward trend. 

At Transport Canada (TC), we take our role in aviation safety very seriously and are constantly looking for ways to make the skies safer for all Canadians. As a result, the Transport Canada Civil Aviation Program (the TCCA Program or the Program) has undergone major changes in how it carries out this role in recent years. 

The extent of these changes, and the length of time taken to complete them, has created uncertainty within the Program. It is important that we now work collectively to complete major initiatives and to build a strong foundation for the effective operation of the Program in the coming years.

This document sets out the Action Plan to build a strong, risk-based safety program. It will ensure that actions are tracked and that resources remain focused on the highest-priority areas. 

TC has a skilled professional staff and a committed management team. We are driven by the desire to build a civil aviation system that will serve Canada effectively for many years to come. Our organization, systems, processes and tools must be well-defined and clear, yet flexible enough to keep up with the ongoing changes that make aviation such an exciting field. 

Canadians have reason to be proud that Canada’s aviation safety record is so strong. Much hard work has already been done, and we have learned many lessons. There will no doubt be other challenges and lessons, and we are committed to meeting and learning from them proactively. 

Carrying out this Plan is a priority for me and for the senior management of the Department. I am confident that the Assistant Deputy Minister, Safety and Security, the Director General, Civil Aviation, and the Regional Directors General will ensure that this Plan is implemented and that the culture of continuous improvement in the Program becomes even stronger.

Yaprak Baltacıoğlu
Deputy Minister
Transport Canada


Message from the Assistant Deputy Minister, Safety and Security and the
Director General, Civil Aviation

The introduction of Safety Management Systems (SMS) to the Civil Aviation regulatory framework, combined with the shift to a systems-based surveillance methodology, was a significant evolution in how Transport Canada Civil Aviation (TCCA) carried out its role in providing support for aviation safety. Combining those changes with changes to internal processes through reorganization and the Integrated Management System (IMS) has created a major transformation project that is not yet complete.

Over and above these processes, the Office of the Auditor General of Canada (OAG) examined the TCCA Program in 2008 and again in 2011. While the results of the 2011 audit will only be released in April 2012, the discussions generated by the audit activity have helped identify additional opportunities to strengthen the Program. 

At the same time, the day-to-day implementation of new processes and procedures has helped identify areas where tools and guidance materials can be strengthened. We recognize that in the immediate future, specific actions are needed to complete the transformation initiatives that are underway and to address the immediate opportunities for improvement identified by employees in delivering the program, as well as those that we anticipate the OAG will recommend. 

This Plan sets out actions that will be taken from now until April 2013 to sustain and enhance a strong civil aviation program. It provides a clear picture of the goals we are striving to achieve and of the actions to be taken, as well as a roadmap of steps, deliverables, and timelines for completion. 

More importantly, it provides an opportunity for us to move forward together. Employee engagement across TCCA is vital to the success of the Program, and those delivering the Program must play a role in shaping it. We are committed to having representatives from across TCCA—both from Headquarters (HQ) and the Regions—come together to work on the specific initiatives in this Plan.  

Communications and engagement are an essential part of this Plan. We will provide opportunities for employees to identify areas for improvement and also to participate in finding solutions to challenges. These opportunities will not only be provided during the implementation of this Plan, but also on an ongoing basis.

We look forward to engaging you in this Action Plan.

Gerard McDonald                                                                               Martin J. Eley 
Assistant Deputy Minister                                                                  Director General
Safety and Security                                                                            Civil Aviation


Table of Contents

INTRODUCTION

THE ACTION PLAN

I.  AVIATION SAFETY REGULATORY FRAMEWORK

II. OVERSIGHT: SERVICES TO THE AVIATION INDUSTRY

III. OVERSIGHT: SURVEILLANCE OF THE AVIATION SYSTEM

III. a) SURVEILLANCE PLANNING

III. b) SURVEILLANCE ACTIVITIES

III. c) ENFORCEMENT. 27

IV. INTEGRATED MANAGEMENT SYSTEM

IV. a) QUALITY ASSURANCE

IV. b) MONITORING AND REPORTING

IV. c) OTHER IMS ACTIVITIES

V. ORGANIZATIONAL STRUCTURE: NATIONAL ORGANIZATION TRANSITION IMPLEMENTATION PROJECT

VI. HUMAN RESOURCES PLANNING AND LEARNING

VII. COMMUNICATIONS AND ENGAGEMENT

Annex A: An Overview of Transport Canada Civil Aviation

Annex B: International activities

Annex C: Transport Canada Civil Aviation Glossary

INTRODUCTION

Transport Canada Civil Aviation: An Overview

Under the Aeronautics Act, the Minister of Transport has the power to inspect, audit, and enforce regulations related to any aircraft, aerodrome, other aviation facility, or any premises used for the design, manufacture, distribution, maintenance or installation of aeronautical products. 

Transport Canada Civil Aviation (TCCA) has approximately a quarter of the Department’s employees. There are approximately 1 400 full-time equivalents (FTEs)—587 in the national Headquarters (HQ) and 826 in five Regions headquartered in Moncton, Dorval, Toronto, Winnipeg, and Vancouver.

TCCA defines safety as “the condition to which risks are managed to acceptable levels”.

Building on this definition, TCCA’s vision is:

An integrated and progressive civil aviation system that promotes a pro-active safety culture.

Its mission statement is:

To develop and administer policies and regulations for the safest civil aviation system for Canada and Canadians using a systems approach to managing risks.

Civil Aviation’s vision and mission, as well as complete descriptions of TCCA Program activities, are explained in the Aviation Safety Program Manual, and a summary is provided in Annex A.  

Roles and responsibilities in delivering the Transport Canada Civil Aviation Program

The Director General, Civil Aviation (DGCA) leads the Transport Canada Civil Aviation Program (the TCCA Program or the Program) which is divided into eight HQ branches and five Regional branches (see Figure 1). The Regional Directors, Civil Aviation (RDCAs) each have a line reporting relationship with a Regional Director General (RDG) and a functional reporting relationship with the DGCA.

The functional relationship allows the DGCA to provide direction within the scope of the Program and the allocation of resources across the Program. The line relationships in HQ and in the Regions signify accountability for resources and activities.

Four HQ branches provide national functional direction to the Civil Aviation organization. Functional direction is the exercise of functional authority by (1) issuing and monitoring compliance with operational policies and procedures; and (2) providing guidelines and advice on the interpretation and implementation of these operational policies and procedures.

Figure I

Due to its unique demands for technical expertise, Civil Aviation Medicine operates as both a functional authority and operational branch, providing medical certification services to the program.

The DGCA reports to the Assistant Deputy Minister, Safety and Security, who in turn reports to the Deputy Minister. The RDCAs report to the RDGs, who also report to the Deputy Minister. The core responsibilities in the delivery of the Program at each of these levels are:

Deputy Minister; Associate Deputy Minister

  • To be accountable to the Minister for the effective and efficient delivery of the Program

Assistant Deputy Minister and Associate Assistant Deputy Minister, Safety and Security

  • To oversee the Program
  • To ensure links and coherence across safety and security programs for all modes

Regional Directors General

  • To oversee the conduct of the Program in their respective Region in accordance with the national direction and resource allocation

Director General, Civil Aviation

  • To oversee the overall and ongoing performance and operation of the Program nationally
  • To assume the functional direction in the operation of the Program
  • To recommend budget levels for the Program
  • To allocate the approved budget levels across the Program
  • To ensure the accountability for all financial and human resources in the HQ branches

Operational Directors (HQ); Regional Directors, Civil Aviation

  • To ensure the delivery of the Program at the Regional level and the portion of the Program delivered from HQ
  • To ensure the accountability for financial and human resources within their span of control

HQ Functional Directors

  • To ensure the functional direction for the Program in their areas of responsibility
  • To ensure the accountability for financial and human resources within their span of control

Associate Directors, Operations; Chiefs

  • To ensure the strategic management of the delivery of the Program within their area of responsibility
  • To ensure the accountability for financial and human resources within their span of control

Supervisors; Technical Team Leads 

  • To supervise the delivery of the assigned program responsibilities

Governance

The governance structure within any organization provides internal coherence and aligns efforts to achieve desired outcomes. Within TCCA, the structure is designed to provide opportunities for engagement on policy and operational issues while supporting the clear functional direction required for the Program to operate effectively.

The National Civil Aviation Management Executive (NCAMX) committee manages the TCCA Program and is chaired by the DGCA. Membership includes all Directors nationally. It is the decision-making body for all policy and operational issues affecting the delivery of the Program. It also provides the forum for discussing Program-related issues.  

There is also an operations sub-committee called Operations – Civil Aviation Management Executive (O-CAMX); in 2012–13, the membership of this committee will transition from the director level to the Associate Directors of Operations and the Chiefs of operational branches. This group makes recommendations to NCAMX on operational issues and provides a vehicle for managers to bring forward and discuss issues from their operational groups. Under the new structure, O-CAMX will be chaired by either an Operational Director or a Regional Director.

The Civil Aviation Regulatory Committee (CARC) is a subset of NCAMX and allows TCCA senior management to consider various factors, including input from aviation industry stakeholders regarding rulemaking activities. Its role and responsibilities are to finalize regulatory recommendations to Departmental senior management for consideration by the Minister, and ultimately by the Treasury Board of Canada Secretariat (TBS); to identify and prioritize regulatory issues; and to consider, approve, reject, or adapt, as well as direct, the implementation of recommendations made by the Civil Aviation Regulation Advisory Council (CARAC) Technical Committee. The Director, Standards and the Director, Policy & Regulatory Services act on CARC’s behalf during the performance of CARAC activities; the CARAC Secretariat is responsible for day-to-day procedural and administrative tasking.

The Civil Aviation Management Executive (CAMX) is comprised of HQ and Operational Directors in Ottawa who report directly to the DGCA. CAMX is responsible for the integrated management of the HQ program (including business planning within HQ and people management) and is chaired by the DGCA. The People Management Committee is a sub-committee of CAMX and is designed to support the local delivery of the Civil Aviation HR Plan.

The governance structure is supported by the Civil Aviation Secretariat and the Management Services Branch.

The governance structure will provide an opportunity for operational issues identified by front-line employees to be considered by TCCA management on an ongoing basis. Fulfilling this role effectively will depend on the Regions and branches having formal structures in place to capture employee feedback, bring issues to O-CAMX and NCAMX, and inform employees of decisions taken. Section VII of this plan addresses this issue further.  

THE ACTION PLAN

Structure of the Action Plan

The Program Activity Architecture (PAA) is an inventory of all the programs and activities undertaken by a department or agency that shows how programs and activities are related to each other and to the strategic outcomes of the Department. Within the Transport Canada (TC) PAA, Civil Aviation is structured as follows: 

3.1       Aviation Safety

3.1.1    Aviation Safety Regulatory Framework

3.1.2    Aviation Safety Oversight

            3.1.2.1 Service to the Aviation Industry

            3.1.2.2. Surveillance of the Aviation System

3.1.3    Airport Capital Assistance

3.1.4    Aircraft Services

This Action Plan focuses on Aviation Safety Regulatory Framework (3.1.1) and Aviation Safety Oversight (3.1.2) and does not currently include either Airport Capital Assistance (3.1.3) or Aircraft Services (3.1.4). It also focuses on the domestic component of the TCCA Program. While this represents the majority of activities, TCCA carries out activities regarding foreign air operators conducting commercial air services into and out of Canada, as well as foreign aeronautical products registered in Canada. A summary of the international activities is included in Annex B. Moreover, the issues identified as priorities in this plan are predominantly related to the oversight operations; this reflects the priorities identified for immediate action. Looking beyond the Action Plan, it will be important to build the issues that reflect the full scope of both TCCA and the aviation sector in regular business planning. The PAA structure is used as the basis for organizing this transition plan, providing a direct link between this plan and the integrated business planning for the TCCA Program. In addition to the PAA elements, the structure of this plan includes sections for the Integrated Management System (IMS), the National Organizational Transformation Implementation Project (NOTIP), and Communications and Engagement, which all operate across the Program. Specifically, this Plan is structured to address:

I. Regulatory Framework

II. Oversight: Service to the Aviation Industry

III. Oversight: Surveillance of the Aviation System:

            a) Surveillance Planning

            b) Activities

IV. Integrated Management System:

            a) Quality Assurance

            b) Monitoring and Reporting

            c) Other activities

V. Organizational Structure: National Organizational Transformation Implementation Project (NOTIP)

VI. Communications and Engagement

The DGCA is accountable for implementing this plan through NCAMX with the full support of the RDGs. The Civil Aviation Transition Steering Committee, which is chaired by the Associate Deputy Minister, will track the progress of the plan and will provide input and direction as needed. The Steering Committee Terms of Reference are in RDIMS #7080016.

I.  AVIATION SAFETY REGULATORY FRAMEWORK

Goals

  • The government maintains a robust regulatory framework that:
    • addresses significant  safety risks in the aviation industry;
    • places responsibility on industry to be proactive in addressing safety issues;
    • is responsive to emerging safety issues; and
    • is consistent with the standards and recommendations of the International Civil Aviation Organization (ICAO).

Context

The legal authority for the regulatory framework for the TCCA Program is in the Aeronautics Act. TCCA also administers regulations under the Transport of Dangerous Goods Act, the Canada Labour Code Part II, and the Emergency Preparedness Act. In total, there are approximately 1 700 regulations.  

The last complete review of the aviation safety regulations resulted in the implementation of the Canadian Aviation Regulations (CARs) in 1996. Most attention on the regulatory framework in recent years has been focused on the introduction of Safety Management Systems (SMS)[1].  However, there is also considerable ongoing work to review and update the CARs to address emerging risks, technologies, and safety issues. 

It is the responsibility of a certificate holder to comply with the appropriate regulations, and TCCA is responsible for monitoring compliance with those regulations. 

SMS

In 1999, TC committed to adopting an SMS approach to regulating civil aviation in Canada. SMS increases industry accountability for safety and strengthens the safety culture in the aviation industry. It imposes additional regulatory requirements for operators to establish integrated risk management programs aimed at taking proactive action to address safety issues before they develop into more serious incidents or accidents. This makes operators less dependent on TC to identify weaknesses in their systems.

The Department was later recognized as an early SMS implementer by ICAO. ICAO is now implementing SMS Standards and Recommended Practices (SARPs) globally, and the close working relationship with ICAO has ensured that TCCA’s SMS framework meets or exceeds ICAO SARPs.

Other regulatory activity

Regulatory changes are driven by several factors, such as changes in international requirements, findings from Transportation Safety Board of Canada (TSB) investigations, and safety concern reporting from within TCCA. Mechanisms are in place to identify these safety concerns, analyze the best way to address them, and set priorities. It is important that these processes be as streamlined as possible.

The CARAC[2] process was established in July 1993 and incorporated into the CARs in October 1996 as a means to consult on standards, and it is used as a pre-Gazette consultation process for regulations. CARAC is composed of representatives from the aviation community, TCCA, and other interested parties, thus providing a consultation forum for the Civil Aviation regulatory program. 

Implementation: Accomplishments to date

SMS has been introduced in Canada using a phased-in approach. TCCA started SMS with the large air carriers and their related aircraft maintenance operations, followed by airports and air navigation services. The introduction of SMS for each type of operating certificate was phased in over three years to allow companies to build the various elements in a logical manner. SMS regulations are currently in place for larger air operators and certified air navigation service providers, as well as airports in Canada. This covers air carriers who together fly 95% of the revenue passenger miles in Canada. 

With respect to the ongoing review of regulations, a CARAC Modernization Project has been launched to make the rulemaking process more responsive to safety regulatory initiatives through the use of an expedited rulemaking process. The project will also make the process more efficient for industry and TCCA by streamlining and reducing process burden (so that less time, for example, will be spent on committees, processes and editing). It will also make the process more effective by prioritizing issues earlier through greater preliminary analysis (and therefore ensuring, for example, that the right people meet at the right time on the right issues).

Regulatory changes must also be subject to rigorous legal analysis—and at times, substantial legal research—before drafting can begin on specific details of proposed regulations. This and other TBS requirements for thoroughness, which are laid out in the Cabinet Directive on Streamlining Regulations, can take considerable time to complete for complex issues. In some cases, TCCA is also moving towards increased use of performance-based regulations, which can be more challenging to draft but which often may better reflect the considerable operational variations in the industry. It will be important to work closely with the Department of Justice (DOJ) to determine how to best meet TCCA’s goals within the regulatory framework.  

Steps have already been taken to improve the responsiveness of the process. In 2011, focus groups were used to look at issues arising from two accidents: Lyall Harbour and Cougar Helicopters. In both cases, the accidents led to recommendations by the TSB that required an immediate focus. This approach allowed for the development of both short-term solutions, such as guidance and industry best practices, and longer-term solutions, such as rulemaking. 

The reality of moving a limited number of files forward each year makes setting priorities even more important, and a review of outstanding Notices of Proposed Amendments (NPAs) is also planned this year.

Next steps

a)         Completing current SMS implementation: airports and air navigation services providers

In 2008 and 2009, SMS regulations for airports and air navigation services providers came into force. TC will conduct assessments on implementation in these sectors in 2012 and 2013 to determine compliance with the regulatory requirements following the three-year phase-in period.

When SMS was introduced, the regulation on quality assurance for 705 operators was supposed to follow shortly afterwards. This regulation was part of a broader regulatory package that included the further implementation of SMS. As this has now been delayed, the regulation requiring quality assurance (QA) for 705 operators will be moved forward independently. 

b)         Assessing capacity for extending SMS to remaining aviation operations

In 2009, a decision was taken by NCAMX to delay the schedule for rolling out the SMS regulations for the remaining aviation sectors; this was done to allow more time for the industry to prepare and for TCCA to refine oversight tools and provide updated training for front-line employees. In the interim, operators must still comply with the requirements of the existing regulatory framework.

SMS regulations have yet to be implemented in the following areas: commuter services, air taxis, aerial work, other approved maintenance operations, aircraft manufacturing, aircraft certification, and flight training[3]

The approximately 800 remaining air operators represent more than 90% of the certificate holders. To date, experience has shown that the workload involved in SMS certification is far greater than initially thought; therefore, TCCA will have to balance service/surveillance resources to complete SMS implementation activities in this larger group.

Having decided in 2009 to wait until the conditions were right to implement SMS further, TCCA will now focus on determining what the right conditions are for further roll-out. TCCA will not implement further SMS regulations until there is confidence of sufficient capacity in industry and internally to move in this direction. The decision on proceeding in each sector will be made based on an assessment of industry readiness to adopt an SMS approach and of TCCA’s capacity to carry out the necessary surveillance, both in terms of workload and training and tools. This analysis will take place as part of the current Action Plan.  

There is not a “one-size-fits-all” SMS for all aviation operations. While all SMS are expected to produce the same outcomes, the design of these systems will vary with the size and complexity of the organizations implementing them. Many smaller operators have found it challenging to implement an effective and efficient SMS that is commensurate with their size and complexity, and inspectors have not always felt they had the right tools for surveillance of smaller operators. When determining the conditions for future roll-out of SMS, it will be important to keep all options open, including possibilities such as differentiation of application by size or voluntary implementation of SMS. It is also important to continue to ensure that the tools and guidance materials are appropriate for all sizes and types of operators. 

ICAO Standards

ICAO standards required SMS to be implemented for airports, aircraft maintenance operations, and Air Operations Certificate (AOC) holders authorized to conduct international commercial air transportation operations by 2010; they also require SMS to be implemented for engineering organizations and design operations by 2013. Canada has regulated SMS for large carriers (CAR 705) and for aircraft maintenance operations rated to work on aircraft operated by these large carriers. International commercial air transportation can also occur in areas in which SMS has yet to be implemented. There are also aircraft maintenance operations working on aircraft in international operations other than the large carriers. It will be necessary to file a difference with ICAO to identify where Canada is not meeting these deadlines for these groups. 

c)         Complete the CARAC Modernization Project

The CARAC Modernization Project changes are being implemented in phases, and work is well underway. The key upcoming milestones are:

  • June 2012: Complete stakeholder consultations on new approaches and areas for improvement with draft recommendations for senior management review. Approval by CARC, and presentation at CARAC plenary in Fall 2012;
  • June 2012: Review rulemaking amendments currently in the system awaiting drafting and consultation; prioritize those that need to proceed and determine whether they need to be revalidated.

Component

Action Item

Target Date

OPI

Completing current SMS implementation

  • Assess compliance of airports and air navigation operations

  • MAR 2013

    RDCAs; Director, National Operations.

    Advancing the quality assurance regulation for 705 operators

    • Meet with Justice to determine mechanism for publication of CAR 705 quality assurance requirements and amend regulatory package accordingly for CARC and Director General Regulatory Committee consideration.

    June 2012

    Director, Standars

    Director, Policy and Regulatory Services

    Extending SMS to remaining aviation operations

  • Communicate with industry that further implementation of SMS will be put on hold

  • Carry out analysis and determine the conditions for further SMS implementation and inform necessary stakeholders of decision.

  • APR 2012

    JAN 2013

    Director, Civil Aviation Secretariat

    Director, Standards

    Director, Civil Aviation Secretariat

    Completing the CARAC Modernization Project

  • Revalidate rulemaking changes currently in the systems

  • Validate recommendations to proposed streamlined regulatory process and present to CARAC  plenary session

  • AUG 2012

    NOV 2012

    Director, Policy and Regulatory Services

    Examining how to improve flow of regulatory proposals under development

  • Engage with DOJ and build on the end-to-end review that is part of the CARAC Modernization Project

  • SEPT 2012

    Director, Policy and Regulatory Services

    Future work

    • Several existing regulations require review and updating. Some of these will be completed in the review of existing NPAs this year, and a decision will be made on when and how they will be moved forward. Moving beyond this work in the current Action Plan is not feasible. In future, it will be important to prioritize proposed changes as they come up and to review regulations proactively and in a scheduled way to see if they require updating.

    Risks and Considerations

    • TCCA has not yet fully adapted to the changes that have occurred in recent years.  Further extending SMS before the organization is ready to absorb additional change could have broader impacts on the ability to deliver the TCCA Program effectively. An assessment of TCCA’s capacity to further implement SMS, including the timing of such a move, is needed. 
    • Industry must be consulted on plans for future implementation. While some operators have expressed concerns, others have been generally supportive of SMS, and some small and medium operators have voluntarily begun implementing SMS prior to the creation of a regulatory requirement to do so. Certificate holders already in an SMS regime consistently say, mostly publicly at SMS information sessions, that SMS is good for business—not just for safety—and that the overall impact on small operations may be positive. The Air Transport Association of Canada (ATAC) is preparing its members who are not yet regulated for SMS implementation and has expressed the concern that TCCA is no longer committed to SMS since it has delayed implementation for so long. At the same time, expanding SMS to small- and medium-sized operators could be perceived to run counter to the current focus on reducing red tape and the regulatory burden, particularly for small and medium enterprises. Moving forward with SMS will have to be assessed in the context of the overall regulatory framework for these operators.
    • The delay in announcing the next steps on SMS is causing uncertainty in industry and in industry associations; in future, clear communication will be important in order to sustain a strong working relationship with the sector. 
    • When SMS was initially introduced, there were misconceptions that incorrectly linked it to de-regulation and a shift away from oversight responsibilities by TC. These myths persist in some areas, and communications have not always been effective in explaining SMS. It is possible that these concerns could surface again with further implementation of SMS.

    II. OVERSIGHT: SERVICES TO THE AVIATION INDUSTRY

    Goals

    In 2008, TCCA published a Service Charter that sets out guiding principles for the provision of services to stakeholders. The overarching goal of the Charter is the following:

    • Services are designed and delivered, to the best of our ability, based on our stakeholders’ needs and expectations.

    Context 

    TCCA provides services to the aviation community in many areas, including issuing operating certificates, certifying aeronautical products, and performing medical assessments required for the certification of licensed aviation personnel. Some services are fee-based, whereas others are free.

    These services are driven by demand and are primarily related to the business activity of the applicant. TCCA’s ability to respond to service requests in a timely way has an economic impact on the industry, and any gaps in service carry economic risks. 

    In April 2008, NCAMX reviewed past experience in resource use and established an allocation of 29% of resources to service activities and 71% to surveillance activities for budgetary and planning purposes. Given that services are driven by demand, the resource requirements are difficult to constrain, and there is a sense that meeting the existing demand for services would require more than the 29% of resources currently allocated to the planning process. Moreover, the distribution of resources between services and surveillance is not consistent across all branches. For example, in an area such as aircraft certification (National Aircraft Certification and Regional Offices), the proportion of resources spent on services will be higher than in other oversight areas.    

    Providing services does have an impact on surveillance activities. Contact with an operator during service delivery can provide valuable insights into operations. The data can provide us with a perspective that can influence the assessment of risk of the operator and any follow-up surveillance of the operator.

    In an era of fiscal restraint, it will be important to review the overall approach to providing services in order to balance demand and available resources. 

    Implementation: Accomplishments to date

    In compliance with the principles set forth in the Charter, TCCA has published a standardized framework for developing, reporting and monitoring Service Standard Activities in accordance with TBS requirements. Transport Canada Service Standards Activities (TP 14984) provided stakeholders, employees and the public with a full inventory of services offered by TCCA, as well as timelines and other relevant details for each service.

    Tracking performance in relation to service standards is being established through the implementation of the ccmMercury Activity Tracking System (ATS). This will be fully implemented in 2013–14.

    Next steps

    Civil Aviation Directive (CAD) No. 3 provides guidance on the application of cost recovery, but it is not clear that this is being applied consistently across the TCCA Program. As part of this action plan, NCAMX will review the consistency of the application of this CAD.

    In the coming years, TC will face increasing demands for its services as the industry continues to grow. There will also be pressure through initiatives such as the Red Tape Reduction Commission to improve the levels of client service. 

    A significant challenge is the lack of solid data on actual resource use across different oversight activities. The Activity Reporting and Standards System (ARASS; see section IV b) will provide the tool for compiling reliable data on the current use of resources. The full implementation of the ccmMercury ATS system in 2013 (see section IV c) will also provide performance data on service standards. The data captured in the Standardized Cost Recovery and Activity Monitoring System (SCRAM) and ARASS is currently being analyzed to provide a picture over several years of resources dedicated to providing services in National Aircraft Certification.

    As demand grows, it will be important to identify options for providing services effectively, as well as their associated risks. A review of existing practices in other modes and around the world could also be informative. Possible options could include changing service standards; increasing the cost recovery fees for services to increase available funding; moving resources from surveillance to services; and reviewing both surveillance resource requirements as well as the regulatory requirements that drive demand for services specifically looking at what needs to be done by the Minister, and what could be either removed or transferred to industry accountability. In the case of Civil Aviation Medicine, steps have already been taken to reduce the frequency of medicals required for pilots to comply with ICAO standards.

    Component

    Action Item

    Target Date

    OPI

    Services to the sector 

    • NCAMX to review the application of Civil Aviation Directive No. 3 –Recovering the Incremental Costs of Providing Services Inside/Outside Canada
    • Review the policy aspects of oversight services to determine whether changes could or should be made
    • Start developing options, including associated risks, for future resource allocation between services and surveillance activities 

    SEPT 2012

     

     

    MAR 2013

     

     

    MAR 2013

    Director, Management Services

     

    Director, Policy and Regulatory Services

     

    Director,
    Standards

    Director, Standards

    Director, Management Services

    Future work

    • Once there is clear answer on whether any services will be changed in the future, it will be important to look at how to make service delivery more efficient. For the certification of manuals, for example, it is clear that clearer expectations could be given to the industry on preparing manuals and to inspectors on reviewing manuals. 
    • Following from this clear direction, combined with an analysis of the overall balance of resource use across the TCCA Program, further options can be developed with full consideration of safety as well as economic risks associated with not providing timely services. This work will be considered for 2013–14.

    Risks and Considerations

    • Any gap between the planned and actual levels of service activity has a direct impact on the resources available for surveillance activities. Until there is better data on the actual allocation of resources, there may be a risk that planned surveillance activities are not completed as resources are drawn into services.
    • Scaling back services in any way could have an economic impact on the sector, as it could impact air operations’ ability to expand or develop new products. Any decisions to increase fees for services could also have an impact on business decisions.

    III. OVERSIGHT: SURVEILLANCE OF THE AVIATION SYSTEM

    Goals

    A surveillance system will be developed that:

    • is based on a nationally consistent risk assessment methodology;
    • directly links frequency of surveillance activities to risk profiles;
    • provides effective monitoring of surveillance activity and identifies emerging issues in both Program delivery and safety concerns;
    • uses integrated data from different sources to enhance the ability to detect emerging risks and support decision making;
    • has a variety of tools to ensure effective surveillance activities; and
    • continues to develop improved enforcement tools that are consistent with surveillance procedures and practices.

    Context

    Surveillance is used to gain confidence that the industry is in compliance with the CARs and their associated Standards. Introducing SMS as a common regulatory approach in companies provided TCCA with the opportunity to evolve its approach to surveillance by using sound quality management techniques. In parallel to companies developing their SMS, TCCA needed to develop new tools and training for inspectors to perform surveillance under the new regulations.  

    At the same time, it became evident that focusing on systems rather than on the output from those systems was more effective, even when an organization was not covered under the SMS regulations. In March 2005, the TCCA Program adopted a strategy to develop a systems-based approach[4] to all surveillance activity; it deliberately moved away from its previous audit-based approach to inspections, including for operations not yet covered by SMS.

    This has shifted the point of entry for interactions with companies. Previously, the point of entry for surveillance was at the level of output and assessed whether output demonstrated compliance. Now, the entry point is to look at systems and processes to determine how they work, as well as sampling output as a means of verifying the findings at the systems level. 

    Entry Point

    Surveillance Goal

    Surveillance Tool

    Management System
    (e.g. SMS)

    • Look at whether SMS comply with regulations and are effective
    • Gain confidence that the organization complies with other regulations through sampling

    Assessment

    Operational Systems
    (e.g. QA, operational control)

    • Look at one component of an SMS (e.g. quality assurance) or at key operational systems in a non-SMS company (e.g. operational controls) to determine if that component complies with the regulations
    • Gain confidence that the organization is in compliance with other regulations through sampling

    Program Validation Inspection (PVI)

    Operational Processes
    (e.g. Technical dispatch)

    • Offers a very narrow look at specific processes in an organization (SMS or non-SMS)
    • Focuses on output

    Process Inspection (PI)

    The move towards an enterprise approach to surveillance of companies holding more than one certificate has also led to a change in TCCA’s approach. Rather than different inspector teams doing their surveillance independently, multidisciplinary inspection teams would work together to provide the necessary surveillance of a company’s entire operation (e.g. maintenance and operations would be reviewed at the same time).

    Delivering an effective surveillance system requires a partnership between those that establish procedures and guidelines and those that implement them. With the exception of Civil Aviation Medicine, this relationship is between Standards Branch and the operational groups. Continuing to strengthen this partnership will be a vital underpinning of the overall delivery of the TCCA Program.

    III. a) SURVEILLANCE PLANNING

    Context

    Surveillance planning has two components: setting planned surveillance intervals, followed by scheduling planned surveillance activities. The frequency and use of various surveillance tools must reflect available resources, with resources targeted to the highest-risk areas. Currently, surveillance intervals are established on a fixed basis in the surveillance policy for all operators, regardless of risk; when Regions and National Operations cannot achieve these intervals, they are required to document their risk assessment to support a longer surveillance interval. Now that experience has been gained in working with the new surveillance approach, new surveillance frequencies that successfully manage risk within the sector and reflect the capacity of the TCCA Program are required.

    A robust risk-based decision-making framework is therefore central to surveillance planning, and TCCA bases its decision making on risk indicators (predictors of possible risk). Risk-based decision making requires solid data and analysis, as well as consistent methodologies to translate information into operational plans. TCCA gathers aviation safety data from a range of sources, such as accident investigations, surveillance activities, safety studies, and risk assessments. To date, the tools have not been in place to fully integrate and analyze this data in a way that can support the surveillance program, or to allow TCCA to examine risk at a national level rather than within Regions. 

    Implementation: Accomplishments to date

    Work is underway to strengthen the tools for risk-based decision making and to provide for their consistent use across the program. The new risk-indicator module in the National Aviation Safety Information Management System (NASIMS) is almost complete, and a working group has been established to develop the surveillance planning tool. 

    Next steps

    a)            Implement a consistent national methodology for risk assessment of operators 

    The first step is to finalize and implement the NASIMS risk-indicator module. A national Civil Aviation working group, including inspectors and managers, has developed a series of common risk indicators to be used to determine risk levels for different types of operations. The resulting online risk indicator tool will be launched; it addresses 10 key hazard areas applicable to all aviation enterprises. This tool has been developed to provide a standardized approach to risk-based surveillance using common data sources. 

    This module provides a series of 77 standard questions in 10 categories to be applied by all inspectors in assessing an operation. The categories are:

    • labour difficulties;
    • management practices;
    • quality assurance program;
    • scope/product line/facility;
    • contracting for goods and/or services;
    • turnover in personnel;
    • key personnel;
    • safety record;

    • regulatory record; and
    • seasonal or specialized operations. 

    The use of the risk module generates a risk “score” for the operation that will be comparable to the score of other companies in any Region.

    Guidance material and training on how to use the risk indicator tool, including data sources to be used in answering the questions, have been developed and reviewed nationally.

    As data is built over time, trends in risk scores and comparisons of risk scores between enterprises will be able to be analyzed as part of a broader safety risk profile to assist planners and decision makers.

    b)            Implement a surveillance planning tool

    As the next step, a national working group with inspectors and managers is currently developing a surveillance planning tool that will take the score from the database and combine it with relevant information on risk exposure, including the number of passengers, the type of work, the type and number of aircraft, and whether the flight is national or international.   

    This tool will provide the basis for establishing five-year surveillance plans, ensuring that all operators—even if deemed to be low-risk—are built into surveillance planning. 

    The goal of the new planning tool will be to move away from rigid surveillance frequencies to frequencies that directly relate to the risk level identified in the planning tool. Surveillance frequencies could range from once a year for high-risk operations to, for example, once every five or six years for low-risk operations. 

    Critical to the operation of this planning approach is that the risk indicator module is a real-time tool. The lead inspector for any operator is responsible for remaining aware of changes to an operation and updating the risk module as changes occur. Updates are required annually at a minimum; to complete an update, the inspector must be aware of what is happening within the companies. An ongoing relationship with companies is therefore needed beyond the formal surveillance activities.

    A change in the risk profile of an operation would trigger action, such as an unplanned surveillance activity, and a review of the overall surveillance frequency. 

    As the planning tool will be used for all operators, there will be a need for TCCA to transition operators, such as 604 and 702 operators, into the tool. The surveillance approach for 604 operators has not yet been confirmed. For 702 operators, which are considered low-risk as a group, there will have to be contact with the operator to complete the risk assessment and to obtain a realistic risk score. Moving forward, all operators will be built into the regular surveillance planning process. 

    NCAMX will also have to agree on how to transition to the new planning tool. Planning for 2012–13 is being carried out on the basis of CAD SUR-008, and NCAMX will need to determine exactly how the transition to the new multi-year planning tool will take place over the course of the year.

    c)            Modify or clarify requirements for specific surveillance activities to balance risk and resource use

          i.        Implementing SMS for airports

    Airports are scheduled to be compliant with the SMS regulations by March 2012. This phased-in implementation required validation at each phase of the three-year implementation process. Given the large number of airports, this had become a significant use of resources and has diverted inspectors from other surveillance activities. Regular surveillance activities at airports have continued during the SMS phase-in, and inspectors also approve all manuals that are modified as a result of SMS implementation. Experience has shown that these regularly planned surveillance activities, along with manual approval activities, provide valuable oversight information, which eliminates the need for a full acceptance validation inspection at the end of each phase. 

    The need for the validation at the end of each phase of implementation has therefore been eliminated effective November 2011, and the validation will now take place as part of routine surveillance.

         ii.        Reducing the frequency of monitoring for the ACP Program

    The Accredited Check Pilot (ACP) Monitoring Program established that ACPs be monitored each year. Based on two risk assessments, NCAMX agreed in December 2011 that the frequency could be reduced to every second year on an interim basis. Flexibility continues for more frequent monitoring based on a risk assessment. A working group would examine the long-term direction on the ACP Monitoring Program.  Reducing the frequency of the Monitoring Program could potentially allow the reallocation of some resources to surveillance activities in higher-risk areas.

        iii.        Review of policy on sub-base inspections

    When a Canadian air operator has more than one base for operations, whether the sub-bases are within Canada or overseas, the current policy provides for—but does not require—on-site inspections of these sub-bases. These activities take a lot of time; reducing them would free up resources for higher-risk areas of surveillance. A risk assessment was carried out by the Pacific Region (with the participation of Standards), which has a high number of operators with sub-bases off shore. This assessment concluded that the inspection of sub-bases was not a requirement provided that the surveillance of the operator’s home base was strengthened. Specifically, the operator has an obligation to demonstrate that they have the processes in place to manage all of their operations, including those located off shore. Certificate holders must demonstrate to the Minister that they have sufficient systems, equipment and facilities for the control and safe conduct of that operation. Such applications are not to be approved unless the operation has an acceptable regulatory compliance record; there are no other significant risk indicators; and the level of detail provided in the applicant’s submission is sufficient to allow for approval without an on-site visit of the foreign operation. A sufficient level of detail may include documentation that demonstrates that the applicant has considered the hazards and risks of the proposed operation and has implemented or designed appropriate risk mitigation strategies. It may also require a more rigorous demonstration that they have the appropriate facilities and equipment to conduct the proposed operations.

    Component

    Action Item

    Target Date

    OPI

    National Aviation Safety Information Management System (NASIMS)

    • Finalize and roll out the risk indicator database
    • Finalize and roll out the surveillance planning tool

    DONE

    MAY 2012

    Director, Standards

    Update the direction on surveillance frequency

    • Roll-out of the new planning tool will include risk-based surveillance frequencies, including guidance materials

    MAY 2012

    Director, Standards

    Clarify surveillance frequencies for other operators in the short term

    • Issue updated Staff Instruction (SI)

    APR 2012

    Director, Standards

    Implement SMS for airports

    • Remove the requirement for validation of each phase of SMS implementation

    DONE

    Director, Standards

    Reduce frequency of monitoring of the ACP Program

    • Issue an interim Internal Process Bulletin (IPB) to move the frequency of ACP monitoring to every two years

    Start developing alternative options through a strategic evaluation of service and surveillance activities, including associated risks, for future resource allocations between service and surveillance activities

  •  

  • DONE

    APR 2012

    Director, Standards

    Review policy for sub-base inspections

    • Issue an IPB to establish recommended approach to sub-base surveillance for approved maintenance operations and holders of AOCs

    DONE

    Director, Standards

    Project lead: Pacific

    Risks and considerations

    • Implementing the new risk-based approach to planning will require strong management commitment and employee engagement; the system will only be as good as the data that is entered at the ground level. Operational personnel are engaged in building the planning tool and will need to become its ambassadors. A strong communications plan and engagement strategy will be needed to ensure staff commitment during the roll-out.
    • Changes to the ACP Monitoring Program and to the sub-base inspection requirements will be based on risk assessment and will be part of an overall approach to align resources to highest-risk areas. The changes may create a perception that the program is not meeting its obligations to other countries because no visits are being made to offshore bases; however, site visits are not required, and home-base surveillance will be strengthened to include the sub-base considerations. Site visits would still take place where deemed necessary. 

    III. b) SURVEILLANCE ACTIVITIES

    Context

    TCCA is shifting to a systems approach for the proactive identification of risks to safety. This ongoing modernization has included the adoption of a systems-based approach to TCCA surveillance activities. TCCA has also developed new documents related to policies, practices, procedures and controls to guide and support its work.

    Implementation: Accomplishments to date

    As noted above, new tools have been developed to support the current approach to surveillance. The main guidance document for inspectors in using these tools is SI SUR-001: Surveillance Procedures, which came into effect in March 2008 and has since undergone several major revisions. As experience has been gained with the new tools, additional guidance materials have been provided as needed.

    Next steps

    a)    Ensuring the right mix of tools is available

    Effective surveillance requires sufficient contact with an operator for an inspector to have an overall understanding of the operations and to identify potential issues. In the transition to a systems-based approach to surveillance, the focus has shifted to using the assessment and PVIs as the key tools; as a result, many other tools that are still available are not being used.

    The Process Inspection (PI) was initially intended as a reactive tool when a quick review was needed following an incident. Including planned PIs as part of the surveillance program will provide greater flexibility and could be an important mechanism for accomplishing and documenting activities that were previously examined during unplanned visits, such as the following:  

    - aircraft ramp checks, which are PIs that ensure that aircraft that are deemed safe and compliant (and therefore airworthy) are dispatched;

    - interim process sampling, such as parts control at large approved maintenance organizations or manufacturers that is completed as a result of intelligence gained during interim visits between planned PVIs or assessments; or

    - training course sampling to determine if individuals are getting required training as advertised when on TCCA-approved programs. 

    During the implementation of PIs as planned activities, it will be important to ensure that all required guidance materials have been updated and are in place and that the necessary training is also provided. 

    b)    Clarification of guidance materials

    As experience has been gained in using new tools and procedures, it has become evident that there are areas where additional clarity or guidance would be beneficial. (One such area involves the ways of applying the guidance materials to operators of different sizes.) These areas have been identified through consultation with the Regions and operational branches, who will also be directly involved in or leading the work (RDIMS #7264337). A surveillance workshop has already been held to look at changes to SI SUR-001 and at the relationship between SI SUR-001 and SIs SUR-014, 015 and 016. A revised version of SI SUR 001 is expected in the summer 2012. As guidance documents are being finalized, implementation and training plans will be developed as necessary, and time will be built into the approval process to allow for document testing with front-line employees.

    c)    Update documentation

    In addition to ensuring that the inspectors have the necessary guidance to carry out their activities, there is a need to update existing documentation to reflect the current reality. This work will be prioritized with the Regions to ensure that the most pressing concerns are addressed first.  

    d)    Specific guidance for CAR 604 operators

    The transfer of responsibility for CAR 604 operators back to TC from the Canadian Business Aviation Association (CBAA) means that the regulatory framework and the guidance materials have had to be developed. The direction on surveillance for 604 operators has not yet been determined, and several options are being examined.

    e)    Pilot test and launch CASIMS

    A new tool that will be implemented is the Civil Aviation Surveillance Information Management System (CASIMS). It will provide tools for reporting and for generating worksheets required for surveillance activities, which will simplify inspectors’ work. It will also be the tool used for data entry on reports of inspections and, as such, will provide the necessary data to analyze trends in findings and to support a more robust planning process.

    Component

    Action Item

    Target Date

    OPI

    Clarification of guidance materials

    • IPB on Notices of Suspension (NoS)
    • Surveillance workshop: NoS; review worksheets for PVIs and PIs
    • Additional guidance materials on Pis

    APR 2012

    DONE

    JUN 2012

    Director, Standards

    Project lead: Ontario

    Update documentation to be consistent with new terminology, enterprise model, and other elements

    • Operational branches to identify top-priority documents for updating
    • Update the top 5–10 documents identified
    • Civil Aviation certification process to be developed and documented for all certificate holders and organizations
    • Certification manual focus group to be formed to review all documentation related to certification 
    • Prioritize and start updating all remaining operational documents

    APR 2012

    NOV 2012

    MAR 2013

    JULY 2012

    APR 2013

    Director, Standards

    Project lead:  Quebec

    Project lead:

    PNR

    Specific guidance for CAR 604 operators

    • Develop guidance documents for CAR 604 operators while on Interim Order (published through IPBs)

    DONE

    Director, Standards

    Implement CASIMS

    • Start pilot testing
    • Integrate documentation requirements into CASIMS and issue updated procedures for document management to staff
    • Launch program nationally

    FEB 2012

    FALL 2012

    FALL 2012

    Director, Standards

    Atlantic pilot

    Delegation of authorities have not been clarified for the new Associate Director, Operations (ADO) and Technical Team Lead (TTL) positions

    • Issue memorandum to explain crosswalk between delegations under the previous organizational structure and the new ADOs, Chiefs and TTLs to provide clarity on the roles and expectations and to outline training requirements for these positions
    • Ministerial approval of full delegation charts

    JAN 2012

    FALL 2012

    Director, Policy and Regulatory Services

    Future work

    Although the TCCA Program is a national program, there are instances in which Regions or operational branches have developed their own approaches to an issue. This has led to inconsistencies. While the reasons vary, this creates difficulties for the industry, which receives different direction. It also creates a lack of consistency in the application of enforcement activities, which risks undermining the case when legally challenged. Most importantly, it frustrates employees and managers and wastes valuable time and energy. The actions identified in this Plan will start to eliminate some of those inconsistencies as clear guidance is provided. A next step will be to review Program delivery systemically to identify where inconsistencies still exist. 

    Risks and considerations

    • These actions are designed to improve the delivery of surveillance activities and to respond to issues raised directly by those on the front line of delivery. Not moving forward would lead to continued frustration and to a lack of consistency and competency in delivering surveillance activities.

    III. c) ENFORCEMENT

    Context

    Changes in surveillance approaches and the development of new tools have allowed for a more comprehensive assessment of operators and have provided more opportunities to identify and deal with lack of compliance. This is especially true in cases when there have been multiple areas of non-compliance, which might not have required strong enforcement action under previous systems. The ability to look comprehensively and formally at overlapping concerns within a company—particularly when there is evidence that the operator does not take safety as seriously as expected—has strengthened TCCA enforcement tools. This area is still evolving as training, tools, documentation and legal precedents have transitioned over recent years. Experience and feedback from inspectors and others has shown that further clarity is needed on the use of tools that exist and on the appropriate enforcement approach to be taken when non-compliance is found.

    TCCA is working towards an improved ability to identify high-risk operators in order to increase the frequency or scope of surveillance and to monitor the effectiveness of a document holder’s corrective measures more closely. The surveillance program guidance material is being updated to reflect the procedures and tools needed to ensure that the benefits of the systems-based approach to surveillance are preserved. These updates are also being made so that the program’s results can be easily used in cases when punitive enforcement or certificate action is required.

    Implementation: Accomplishments to date

    A special-purpose surveillance workshop was convened to address this issue. The output of the workshop will be used to update guidance material. Furthermore, the Chief of Aviation Enforcement Standards recently held a number of workshops across the country to explain the SIs, including the legal authority and obligations of the Minister when suspending or cancelling CADs

    TCCA has developed SIs that explain the legal concepts surrounding the suspension or cancellation of CADs. 

    An IPB is being developed to communicate immediate changes to the guidance material. In this way, operational units will be able to take action immediately while the formal guidance material is being developed and implemented.

    Next steps

    The clarification of SIs SUR-014, 015 and 016 will provide greater certainty regarding the circumstances and the documentation that must be in place to issue an NoS.  

    Better governance is required to improve national consistency and to ensure that the Regions and HQ are fully focused on higher-risk areas. It would also ensure that there are clear processes to allow for inspectors to provide surveillance and for senior management to be  aware of and to monitor the effectiveness of corrective actions implemented by those who are found to be non-compliant. 

    Updated guidance material for the surveillance program will include more robust instructions on how to analyze the results of surveillance activity. Specifically, the guidance material will recommend that an enterprise’s past record be included in that analysis and that a framework on appropriate actions to take be provided. 

    Serious or continued non-compliance cases will be presented at NCAMX meetings for discussion, which will allow for a broader consideration of risk assessments and of the effectiveness of corrective actions taken. NCAMX members must be aware of any red flags in the surveillance reports, such as multiple problems with a given operator. 

    Future work

    A working group will be established to review the overall enforcement system, identify priorities and develop a work plan. The starting date for this work will be determined as the implementation of the Action Plan continues.

    IV. INTEGRATED MANAGEMENT SYSTEM

    Goals

    The Integrated Management System[5] (IMS) is a set of common standards and procedures; it is, most importantly, a mindset for achieving excellence and is central to quality assurance (QA), both for internal and external operations within TCCA. IMS is being implemented within TCCA to make internal processes more rigorous, because this was also asked of the industry. 

    Specifically, it is:

    • a standards-based quality management system;
    • a way to incorporate risk systematically into management processes and decision making;
    • a way to establish a reporting culture in the organization; and
    • a way to improve management culture.

    It aligns the management processes within TCCA directly with the expectations under the TBS’s Management Accountability Framework (MAF) and includes areas such as risk management, performance measurement, monitoring, and reporting.

    IMS represents a systems-based approach to internal management. The IMS Standard was published in February 2003 as the basis for all internal processes. The IMS is not a system unto itself; it is a way of operating that brings consistency to the management of the TCCA Program across all Regions and branches. As the final elements of IMS are implemented, it is becoming an integral part of how TCCA carries out its business.

    IV. a) QUALITY ASSURANCE

    Context

    TCCA must implement internal QA activities to provide the desired level of assurance that our policies, procedures, and processes—particularly those related to our oversight activities—are consistently followed. Internal QA will cover all aspects of TCCA and will support continuous improvement. The 2008 audit by the OAG recommended the implementation of QA to assess the consistency of oversight activities, and the Management Control Framework Audit recommended that TCCA complete the implementation of a “quality assurance regime”. 

    Implementation: Accomplishments to date

    QA procedures and processes have been developed and are applied to assess certain components of the Program in order to identify gaps and best practices. While the processes for conducting formal QA activities have been documented in SIs, the workflows associated with the development of an annual risk-based QA plan have not been formalized.

    Next steps

    A risk-based approach will be developed for setting the priorities for the internal QA plan. The approach for developing this plan will be aligned with the indicators in the NASIMS risk module as well as the Departmental audit processes. Using a risk-based approach does not mean that some areas will not be examined, but simply that they will be reviewed during the later years of the plan. 

    Component

    Action Item

    When

    OPI

    QA

    • Finalize a national risk-based QA process for internal QA
    • Add process for tracking and monitoring internal QA activities to the IMS database
    • Develop, implement and test national internal QA plan

    DONE

    FEB 2012

    MAR 2013

    Director, Management Services

    Risks and considerations

    Not all areas within TCCA are mature enough for a QA process to be applied; processes are new or are only being finalized, and performance data may not be available. The QA plan will focus initially on those areas that are best placed for QA; it will need to evolve and mature as the systems mature.  

    If the QA planning were to be delayed, there would be a risk that TCCA operations would not be characterized by appropriate diligence, transparency, consistency and process integrity. This includes:

    • expectations for oversight activities may not be defined clearly enough;
    • oversight protocols may not be implemented in a manner that reflects regulations and related direction and expectations; and
    • oversight protocols may not be applied consistently across the national TCCA Program.  

    IV. b) MONITORING AND REPORTING

    Context

    The Activity Reporting and Standards System (ARASS) provides TCCA Program managers, except in Civil Aviation Medicine, with an automated tool for planning and analyzing workload requirements, resource analysis and performance reporting. ARASS is a management information system containing a database of approximately 2 400 tasks completed within the national TCCA Program. ARASS has been in place as a planning and reporting tool since 1988. While it has continued to evolve over time, it is still not fully aligned with the new organizational structure and surveillance methodologies.

    Implementation: Accomplishments to date

    Task description updating in ARASS is complete. Version 3.0 is being finalized, and all modules will be ready for launch in April 2012. Training has already begun.

    New available-hours formulae for officers and support staff have been developed and approved for use in the updated system. Current operational tasks have been simplified and restructured to capture key activities nationally, resulting in a 93% total reduction in operational task descriptions.

    Next steps

    Training on the new ARASS will continue through April 2012. All 2012–13 data will be captured under the new task descriptions.

    TCCA has many databases that capture information for different uses. As systems cannot share data, there is an increased workload for employees who have to enter the same information in different places. Rationalizing the many systems will take time and investment.  In the short term, a chart is being developed to show the links across various databases.

    Component

    Action Item

    When

    OPI

    ARASS

    • Finalize the update of the operational task descriptions in ARASS
    • Roll out ARASS with necessary training

    MAR 2012

    APR 2012

    Director, Standards

    Director,

    Management Services

    Databases

    • Develop a chart that shows the links between various databases

    MAY 2012

    Director, Secretariat.

    Risks and considerations

    • If ARASS enhancements do not proceed, TCCA will not have a central source for its statistical data to assist in work planning, departmental performance reporting, resource allocation/reallocation, and justification of new and existing resource requirements within the national TCCA Program. This data is also needed for internal/external reviews, such as the comprehensive review, the audits by the OAG, and reviews by the Standing Committee on Transport, Infrastructure and Communities.

    IV. c) OTHER IMS ACTIVITIES

    Implementation: Accomplishments to date

    A number of processes have been developed and implemented, and they are evolving through a continuous improvement process. A few key examples of procedures, processes and tools that have been designed and implemented in compliance to the standard include:

    • Civil Aviation Issues Reporting System (CAIRS): has been put in place to promote a culture among internal and external stakeholders of reporting issues for resolution.
    • Documentation Framework: has established a mechanism to review the large inventory of policy, procedural and other types of documents that exist in TCCA and to promote consistency in document development process as well as prevent redundancy and duplication.
    • Risk Management Methodology: has been used consistently since early 2000 and promotes sound decision making, a defensible assessment of emerging risks, and appropriate mitigation strategies. A revised methodology is now in place, and mandatory training has begun. The new methodology has been incorporated into the Delegated Officer Initial Training (DOIT).
    • Integrated Business Planning, Monitoring and Reporting Framework: allows the Department to streamline its approach to activity planning, monitoring and reporting and to provide the means to report on results.

    Governance

    To support decision making, the governance structure of TCCA has been strengthened.  Specifically, NCAMX will extend its weekly meeting once a month to enable a deeper discussion of issues, which will support more timely decision making. The membership of O-CAMX has been modified to include the ADOs in the Regions and the Chiefs in the HQ operational branches, together with the Standards Branch. This will give a stronger voice to the managers who are closer to the front line of operations.

    Next steps

    Work will continue on several fronts in the coming months, with a view to finalizing implementation of the key pieces of the IMS Standard. Building in management review will confirm compliance with the standard, evaluate effectiveness, and measure TCCA’s success in managing and interacting to deliver results.

    Component

    Action Item

    Target Date

    OPI

    Management review

    • Complete guidance material for including draft SIs ready for consultation
    • Complete design for dashboard
    • Pilot test process

    MAR 2012

    APR 2012

    JUNE 2012

    Director, Management Services

    Program development and design

    • Publish procedures on project management
    • Develop Web site to communicate best practices

    NOV 2011

    JAN 2012

    Director, Management Services

    Performance measurement

    • Pacific and Prairie and Northern Regions implementing ccmMercury ATS to track performance against service standards
    • Quebec Region and National Operations next in line for implementation
    • Capacity for reporting by region within Departmental Performance Report (DPR)

    MAR 2012

    MAR 2013

    APR 2013

    Director, Management Services

    Risk management

    • Complete risk management update training

    JUNE 2012

    Director, Management Services

    Future work

    • Once all the individual pieces of the IMS Standard are put in place, a regular schedule for reviewing and updating the IMS guidelines will be developed. Such a review should include building in the necessary steps for transitioning to new systems.

    Risks and considerations

    • Recognizing the demands on resources to implement significant change while maintaining an operational program, the management team made a conscious decision to make SMS and reorganization the top priority. Another factor in this decision was that IMS implementation has sufficiently progressed to withstand a hiatus in continued implementation.
    • TCCA has provided ongoing information and training on IMS and has dedicated considerable resources to areas such as risk management. In other areas, such as program design and program management, support and training has been limited due to competing priorities and a lack of available resources.
    • Not proceeding now with the remaining key elements of the IMS would leave gaps in TCCA’s ability to run the Program effectively.

    V. ORGANIZATIONAL STRUCTURE: NATIONAL ORGANIZATION TRANSITION IMPLEMENTATION PROJECT

    Goals

    TCCA is undergoing a significant reorganization. The objectives for the end state of the reorganization are to provide: 

    • A centralized responsibility for rulemaking that is separate from oversight functions: 
      • The Standards Branch in HQ has functional authority for the development and revision of standards.
      • The Policy and Regulatory Services Branch in HQ has functional authority for the legislative and regulatory agenda and for research and recommendations on aviation safety and policy matters.
    • Horizontal integration of internal management and processes:
      • The Management Services Branch in HQ has functional authority for the development and maintenance of the management processes and systems across TCCA and within HQ.
    • Delivery of the oversight program through five Regional Offices and four operational branches in HQ:
      • National Operations;
      • National Aircraft Certification;
      • International Operations; and
      • Civil Aviation Medicine[6].
    • Integration and coordination between the functional authorities in HQ and the operational branches:
      • A unit or units in each operational branch and Region will be the focal point for all matters related to standards, analysis, QA, enforcement and management services.
    • An enterprise-based approach to the delivery of the oversight program:
      • Employees with surveillance responsibilities will report to TTLs, with enterprise “teams” being created through matrix management.
      • One accountable executive in the company and in TCCA to improve communication and to strengthen partnerships with industry and assist in meeting the safety challenges.

    Context

    The combination of SMS and IMS contributed to a growing need to restructure TCCA to take full advantage of both of these initiatives and at the same time address some long-standing issues internal to the organization.

    The TCCA Program was structured somewhat differently in each Region. There were about 2 000 work descriptions for employees, the vast majority of which were outdated; this led to numerous employee grievances. In addition, the span of control for the DGCA and RDCAs was believed to be too broad. Functional areas, such as Commercial and Business Aviation, General Aviation, and Maintenance and Manufacturing, had each developed their own processes, tools, quality control mechanisms, and operational standards, which created some duplication of effort and inconsistency.

    The National Organization Transition Implementation Project (NOTIP) was created to finalize and implement a new organizational structure that would accommodate a systems-based approach to doing business and resolve the backlog of outdated work descriptions. This project has involved working with managers and employees at all levels to describe the work of each position (either in groups or as individual positions), as well as the relationships between different functions. In addition to describing the work and writing each work description, NOTIP leads and provides direction and support to management in all activities associated with classification, including employee transitioning from the old to the new organization. Some initial expectations of the reorganization, such as the creation of Enterprise Team Lead (ETL) positions, have evolved as the thinking has progressed, and some refining of the structure continues to take place.

    Implementation: Accomplishments to date

    The total number of work descriptions within TCCA is currently expected to be 279. As of February 24, 2012, 56 work descriptions had been classified and are final; 31 have been submitted for classification; 58 work descriptions are in the process of being finalized (i.e. they are in consultation with focus groups or being translated); 102 are in the drafting and consultation stage; and 32 have not been started yet. These work descriptions cover approximately 1 420 positions.

    From an organizational perspective:  

    • all executive (EX) positions are complete, as are executive assistant positions reporting to EXs;
    • all Regional positions are complete, with the exception of engineers, operational support, and positions in Strategies and Coordination, Program Services, and Regional Secretariat. The Civil Aviation Secretariat is 70% complete;
    • two divisions in National Operations are complete, and three are in the final stages of review; and
    • the current focus of activity is on advancing the work in the Standards Branch.

    Given the length of time it has taken to implement the new organization, the Senior Management Steering Committee agreed in the summer of 2011 to accelerate the completion of the project. The strategies include:

    • streamlining the critical implementation processes as described in the Sub-Project Redefining NOTIP;
    • strengthening communication and engagement to ensure all internal stakeholders are aware of the project, its implementation, and progress;
    • working closely with bargaining agents and employees to identify and respond to potential concerns related to implementing NOTIP;
    • strengthening the NOTIP team to allow for several streams of work to proceed at the same time; and
    • improving mechanisms to resolve conflicts that may impede the progress of the project.

    National Aircraft Certification (NAC) work descriptions will no longer be part of the NOTIP project plan, with the exception of the work descriptions in Program Services and Strategies and Coordination. However, work descriptions for NAC still require updating. These work descriptions will be updated via the normal course of business. This is because the NOTIP project has affected only one structural change to NAC: the separation of Rulemaking and Operations. The resulting NAC structure is compatible to a great extent with NOTIP objectives and does not require significant further redesign. As a result, there are few remaining NAC-related NOTIP activities. 

    Next steps

    As the processes of consultation, drafting and review progress, issues arise that require decisions before work descriptions may be finalized. These issues can slow down the process and so will be dealt with as quickly as possible as they arise. There are currently three areas being examined:

    •       National Aircraft Certification: The goal is to clarify the roles and responsibilities of National Aircraft Certification, Standards–Aircraft Certification, and Regional engineers. This affects the finalization of work descriptions for Regional engineers.
    •       QA, Planning and Analysis, Occurrence Reporting, Standards Integration and Enforcement: These groups play a key role in bridging between the HQ branches and Regional operations; the organizational structure of these teams is under review. 
    •       Requirement for a pilot licence: Many positions in TCCA require a valid pilot licence. However, there are some positions that have traditionally been held by pilots that, upon review, may no longer have this requirement. A steering committee has been set up to develop criteria to help identify when a pilot licence is required and to review positions remaining to be classified that currently require a pilot licence against the criteria.

    The current deadlines are based on an expectation that 30 work descriptions will flow to Human Resources for classification each month. Delays in finalizing work descriptions reduce this number and could cause delays in the issuance of classification decisions.

    Deliverables

    Target Date

    OPI

    Consultation on work and finalization of work descriptions

    Spring 2012

    Executive Director, NOTIP

    Issuance of classification decisions

    Fall 2012

    Director General, Human Resources

    Transition strategy and staffing

    December 2012

    Executive Director, NOTIP; Director General, Human Resources

    Risks and considerations 

    As current implementation moves forward, known challenges include:

    • a loss of patience on the part of managers and employees who find it is taking too long to implement the reorganization;
    • an occupational structure that divides employees into different occupational groups in contrast to a workplace focused on teams doing similar work, bringing to bear some different skill sets;
    • some groups’ dissatisfaction with the results of the Regional Inspector classification decisions released on November 29, 2010;
    • general fiscal challenges across government that may impact TC and TCCA financial flexibility; and
    • the length of time (it currently takes 16 to 19 months from start to finish) that is required to write, update and review work descriptions, as well as classify and staff positions.

    These challenges will be mitigated through specific strategies and actions identified in the NOTIP Charter (Revised to Meet Implementation Target).

    VI. HUMAN RESOURCES PLANNING AND LEARNING

    Goal

    An integrated human resource (HR) plan for TCCA that sets out:

    • the competencies needed for the delivery of the TCCA Program;
    • strategies for recruitment and retention of employees; and
    • learning and development priorities for the TCCA Program.

    Context

    TCCA requires a wide range of skills and competencies to deliver the TCCA Program. In addition to the technical expertise required in the inspectorate, the successful operation of the TCCA Program requires expertise in fields such as law, economics, medicine, engineering, systems safety, program support and administrative support. A comprehensive HR plan covers the whole of TCCA and includes recruitment and retention, learning and development, as well as succession planning at all levels and in all fields of work. In recent years, corporate attention in TCCA has been given to the learning needs of the inspectorate while less emphasis has been placed on other areas. Shifting this balance is important moving forward.  

    The current corporate focus on training reflects the obligation that TCCA safety inspectors receive the required training to exercise delegated authority on behalf of the Minister of Transport. The Department has programs in place to ensure that the inspectors are competent and qualified to conduct the activities required for their jobs. An integrated HR plan must also look at areas where discretionary training is needed to build the competencies across all parts of the Program. The restructuring of TCCA has drawn attention to the concerns of some employees about classification standards and compensation differences between occupational groups. Further to previous questions raised by employees within TC, TC senior management have been successful in getting the support of the TBS to advance the review of the Technical Services occupational group as part of classification modernization within the federal public service. As a result, consultations started in July 2011 with TC senior managers as part of the occupational group structure (OGS) review that is occurring throughout the public service. TC HR staff is also actively engaged in working with the TBS to provide the information and support needed to advance this file. The adopted process is rigorous; it will take time to propose options and solutions as this process must involve union consultations as well as other government departments with Technical Service groups, including the Technical Inspection (TI) group. The review also includes a look at both the Aircraft Operations (AO) and Air Traffic Control (AI) occupational groups. Based on experience, it can be expected to take approximately two years for the review itself to be completed and several more years for any conversion activity to occur, depending on the results of the review and the changes required. Regular updates on the process will be provided to employees.

    Implementation: Accomplishments to date

    TCCA established an integrated HR plan in April 2009, and it is now being updated for 2012–13. 

    In 2010, TC introduced new mandatory surveillance procedures training. Based on the feedback received to date from inspectors and the associated changes to SUR-001, the Department is confident that this training enhances inspectors’ competencies and helps with surveillance activities. TCCA is in the process of enhancing its initial training program for newly hired inspectors to ensure that it is aligned with oversight requirements. One program gap that has been identified is an inconsistency in adequately documenting the results of surveillance activities; it will be necessary to strengthen the documented procedures and the related training to address this.

    Table 2 lists the surveillance-related training that has been delivered as of March 31, 2012. The listed courses continue to be offered.

    Table 2: Surveillance-related training  

    Course Title

    No. of inspectors trained

    % complete

    No. of inspectors left to train

    1Introduction to SMS 

    795

    99.6%

    4

    1Proactive Interviewing Skills

    783

    98.5%

    12

    1Quality Assurance

    763

    96.6%

    20

    2Surveillance Procedures (updated SMS training)

                3754

    94%

    45

    1These courses are now rolled into the Delegated Officer Initial Training (DOIT) for new hires.

    2Training is expected to be completed in 2013 with 24 offerings remaining.

    3Priority for this training was initially encouraged for managers and superintendents.

    Next steps

    A)   While the focus was placed on essential training for delegated officers, some areas of specialized training were put on hold. It is now necessary to carry out a needs analysis process and set priorities for the re-development of specialized training. A working group was established for this purpose in December 2011.

    B)   Supporting managers in their role is a priority for NCAMX. Prairie and Northern Region is piloting a “TTL Bootcamp” in May 2012 for its TTLs, and lessons learned will be shared across the TCCA Program.

    Component

    Action Item

    Target Date

    OPI

    Determine needs for specialized training

    • Working group to be established
    • Working group to recommend next steps and action plan to NCAMX

    DEC 2011

    To be determined

    Director, Management Services

    Updated Integrated HR Plan

     

    To be determined

    Director, Management Services

    Future work

    • The operational administrative support staff is a vital part of the overall TCCA Program delivery. The work descriptions for these positions are only now being finalized across the Regions. Once they are in place, a broader learning needs analysis will be carried out for this group.

    A plan should be developed for carrying out learning needs analyses in other areas to support the implementation of the HR Plan. 

    VII. COMMUNICATIONS AND ENGAGEMENT

    Goal

    A strong communications and engagement strategy that will:

    • build a common understanding of and shared commitment to the TCCA Program;
    • engage staff in shaping the future direction of the TCCA Program;
    • ensure that all staff have the information they need to carry out their role effectively;
    • create a culture of open dialogue in which issues can be raised and solutions found collaboratively; and
    • support the implementation of the new organizational structure through NOTIP.

    Context

    TCCA has been in a state of significant change for many years. The extent of the changes and the lack of completion have created a sense of frustration and uncertainty among staff and have contributed to lower morale. The reality of having many managers in acting positions has also made it difficult to build and sustain the leadership needed to build a better work environment. Staff is now impatient to see the TCCA Program move to a steady state. 

    Front-line employees delivering the TCCA Program are often best placed to identify the opportunities for improvement. Many of the actions identified in this plan are the result of feedback from operational groups. It is important that employees feel that they can provide feedback and know that it is being heard, considered, and acted upon where possible. It is also important that they are part of finding solutions and improving the TCCA Program. 

    Effective two-way communication is not only needed vertically in the organization, but also horizontally. Prior to the reorganization, functional workshops provided the forum for operational staff to meet their counterparts across the country and discuss and resolve common challenges. This vehicle has been put on hold as the new organization becomes established, which has left a void.

    Implementation: Accomplishments to date

    National working groups have already played an important part in shaping the direction of the Program—for example, through the Risk Indicator Working Group and ARASS Working Group.

    In NOTIP, employees are directly engaged in visualization exercises for their specific areas as well as discussions on their work descriptions. The DGCA and the Executive Director, NOTIP, visited all Regional Offices in early 2011 to discuss concerns related to NOTIP and to classification levels for some groups of employees. 

    Recent discussions at the TC management table as well as within NCAMX helped identify many of the actions described in this action plan. This open dialogue is important in moving forward in operating the TCCA Program. In order to continue building this dialogue, the DGCA recently launched town hall meetings with the extended NCAMX management team.

    Next steps

    Central to building engagement is building the shared understanding of the TCCA Program’s underpinnings. Discussions in late 2011 highlighted that there are differences in the interpretation of some central elements of the TCCA Program, particularly the definition of a “systems-based approach”[7] to surveillance activities.  A lack of shared understanding will undermine efforts to build a consistent national application of the TCCA Program. This issue has been discussed with NCAMX and with managers at all levels.

    All parts of TCCA—both HQ and Regions—continue to be actively engaged in delivering this plan and, in many cases, leading specific initiatives. More specifics on the actions to be taken, including the teams identified to date to work on initiatives, can be found in RDIMS #7264337. 

    The delivery of this Plan in the next fiscal year, and the ongoing identification of priorities across the whole of TCCA for future business planning, requires mechanisms for engagement and dialogue that are ongoing and sustainable. 

    Regular staff meetings at all levels and in all parts of the organization are an important part of the engagement strategy. Building a culture where employees and their managers meet regularly to discuss the challenges facing the organization, the opportunities that exist to do things differently, and the context for the TCCA Program coming from HQ will strengthen the Program. Employees must also be aware of the issues being discussed and the decisions being taken at the national level. The communications plan will be updated to include possibilities for sharing documents, such as O-CAMX and NCAMX records of decision.

    A communications and engagement strategy (RDIMS #6828498) has been developed that focuses on overall messaging and on announcing specific changes as they are implemented.   It is important that communications are timely and proactive when changes are implemented, rather than leaving a void that could potentially create misunderstandings. The communications strategy also includes vehicles that will further engage employees in understanding the direction of the TCCA Program and that will build an environment in which dialogue on the direction of the Program can take place. 

    Middle managers play an important role in shaping and delivering the Program, and they will be engaged in a discussion on the tools they need to succeed as managers and as leaders of change.

    External communications are also important. Front-line staff needs to be equipped to respond to questions from operators on various aspects of the Program. Strengthening the internal flow of information will help in this area as, for example, inspectors will have a better understanding of why changes are being made to the Program. A more structured approach to providing specific answers to questions that inspectors face will be examined.

    To reflect the importance of communications and engagement, all EXs in the TCCA Program will have a commitment on this area included in their Performance Management Agreements for 2012–13.

    Component

    Action Item

    Target Date

    OPI

    Communications and engagement strategy

    • Develop communications and engagement strategy
    • Discuss systems-based surveillance at NCAMX meeting
    • Launch town hall discussions with all managers
    • Consult within Regions and branches on the Action Plan
    • Update communication and engagement strategy and develop specific plans and products as needed
    • Implement communications plans
    • Provide regular updates on the implementation of the plan, including updates on the OGS process

     DONE

    DONE

    DONE

    DONE

    ONGOING

    ONGOING

    ONGOING

    Director, Civil Aviation Secretariat

    EX commitment to communications and engagement

  • Include in the 2012–13 PMP process

  • MAY 2012

    All EXs

    Future work

    In many areas, increased communication with industry around TCCA’s expectations in areas such as manuals and QA could reduce pressure on inspectors as the operators would be better equipped to get things right the first time. There has been some discussion with industry associations of the role that they could play in this regard; this will continue to be explored as a longer-term direction, as will other means of communicating with the industry.

    Annex A: An Overview of Transport Canada Civil Aviation

    The core activities of Civil Aviation are:

    • Aeronautical product design and manufacturing sector: Canada is an aerospace world leader. The Canadian aerospace industry comprises more than 400 firms located in every region of the country. Collectively, these aerospace companies employ more than 80 000 Canadians. Since 1990, Canadian aerospace industry sales have more than doubled, reaching $23.6 billion in 2008.  In addition, the Canadian aerospace industry is the country’s leading advanced technology exporter—Canada exports more than 80% of its aerospace output.
    • Air operations sector: Canada controls one of the largest domestic and international airspaces and the second largest civil aviation aircraft fleet (almost 35 000 registered aircraft) in the world. The TCCA Program oversees 2 600 domestic and 1 400 foreign air operators. 
    • Aircraft maintenance sector: Canada’s aircraft maintenance organizations ensure that all aeronautical products in Canada are maintained to national and international airworthiness standards. Products range from aeronautical product overhaul and maintenance to training programs with more than 14 000 aircraft maintenance engineers (AME).
    • Aerodrome operations sector: TCCA provides oversight for approximately 570 certified airports and 1 775 registered aerodromes. Included in this number are a diverse range of operations: certified airports and heliports; registered aerodromes; water aerodromes; and snow and ice aerodromes and heliports.
    • Air navigation services sector: NAV CANADA is a not-for-profit private company that provides civil air navigation services in Canada, including air traffic control, flight information, and weather briefings. In addition to the national services provided by NAV CANADA, approximately 200 other organizations provide air navigation services on a local or regional basis.
    • Personnel: Within this system, TCCA also medically certifies some 70 000 pilots and 2 000 air traffic controllers.

    Annex B: International activities

    This plan has been developed for the domestic component of the TCCA Program. While this represents the majority of activities, TCCA carries out activities regarding foreign air operators conducting commercial air services into and out of Canada, as well as foreign aeronautical products registered in Canada. 

    With respect to foreign air operators, TCCA is responsible for:

    • the certification and surveillance of all foreign air operators conducting commercial air services into and out of Canada;
    • the certification and surveillance of Specialty Air Service (SAS) operations conducted pursuant to the North American Free Trade Agreement (NAFTA); and
    • the approval of overflights within Canadian airspace and technical stops at Canadian airports.

    For foreign aeronautical products registered in Canada, TCCA is responsible for:

    • the type certification and ongoing continuing airworthiness oversight of foreign aircraft, engines and propellers to be registered and operated in Canada.

    The authority related to foreign air operators comes from Section 701 of the Canadian Aviation Regulations (CARs). The International Civil Aviation Organization (ICAO) also sets surveillance requirements requiring a state to “establish a programme with procedures for the surveillance of operations in their territory by a foreign operator and for taking appropriate action when necessary to preserve safety”.

    Surveillance of foreign air operator certificate holders includes ramp inspection and, where deemed necessary, focused inspections and/or in-flight inspections to verify compliance with regulatory requirements.

    The certification and continuing airworthiness activities related to foreign aeronautical products is conducted by the National Aircraft Certification Branch.

    The resources required to carry out surveillance of foreign air operators are drawn from the International Operations Branch and other operational branches and Regional Offices. These resources have to be factored into planning decisions at the operational level. The surveillance of foreign air operators is moving to a risk-based planning process in order to align resources to the highest-risk operations. As TCCA moves forward, it will be important to ensure that international activities are fully integrated into the overall Program.

    Annex C: Transport Canada Civil Aviation Glossary

    This glossary defines common terminology used within the TCCA Program in order to ensure a shared understanding.

    Safety Management System (SMS)

    The regulatory requirement that an aviation company have in place a documented process within an aviation operation for managing risks that integrates operations and technical systems with the management of financial and human resources.

    systems-based approach to surveillance

    The surveillance approach applied to all aviation operations, regardless of whether they are subject to SMS regulations, whereby an examination is made of the systems and processes in place, rather than on the output and results achieved.

    Integrated Management System (IMS)

    A set of common standards, procedures that is central to quality assurance both for internal and external operations within TCCA. (TP 14693 – The Civil Aviation Integrated Management System Standard). IMS brings both a level of rigor to internal processes and creates a mindset of excellence. It aligns internal processes with the requirements of the Management Accountability Framework (MAF).

    enterprise-based approach to surveillance

    When an aviation enterprise has more than one operating certificate, surveillance activities are carried out on the enterprise as a whole rather than discretely on each individual certificate.

    Enterprise Team

    A team that brings together employees with the range of expertise required to carry out enterprise based surveillance. Members of these teams may be from different organizational units.

    CARAC

    The Canadian Aviation Regulation Advisory Council (CARAC) was established to increase public access and participation in Civil Aviation’s rule-making process; to discuss and debate issues from various viewpoints; to bring the various rulemaking proposals to the notice of senior management at an earlier stage; and to facilitate harmonization with other national aviation jurisdictions. The Council was inaugurated on July 1, 1993, and is sponsored by the Director General, Civil Aviation (DGCA).  CARAC is composed of representatives from the aviation community, Transport Canada Civil Aviation (TCCA) and other interested parties thus providing a consultation forum for the Civil Aviation regulatory program.

    NASIMS

    National Aviation Safety Information Management System (NASIMS) is a web-based application that provides safety information management capabilities for use by TCCA Headquarters and Regional personnel. NASIMS houses safety-related information and provides a means of linking to and displaying information maintained by other Civil Aviation systems such as RDIMS, CADORS, NOTAMs, NACIS and NASD, as well as extensive regulatory and policy guidance material to aid in risk-based decision making for surveillance activities.

    CASIMS

    Civil Aviation Surveillance Information Management System (CASIMS) provides a mechanism for the storage and retrieval of data relating to Civil Aviation Document holders with respect to SMS assessments, Program Validation Inspections, Process Inspections, new entrants and the phased-in implementation process. It also provides for the retrieval and trending of results from the aforementioned activities.

    NACIS

    National Aviation Company Information System (NACIS) is a Civil Aviation computer application containing, or having access to, all relevant certification, inspection and audit information related to Transport Canada-approved aviation companies.

    CAIRS

    The Civil Aviation Issues Reporting System (CAIRS) is a means for stakeholders to raise and resolve issues at the lowest possible level.

    CARs

    The Canadian Aviation Regulations are a compilation of regulatory requirements designed to enhance safety and the competitiveness of the Canadian aviation industry. They correspond to the broad areas of aviation that Transport Canada Civil Aviation is mandated to regulate (e.g. personnel licensing, airworthiness, and commercial air services).

    705 operators

    Airline

    703 operators

    Air Taxi

    702 operators

    Aerial Work

    604 operators

    Private Operators Passenger Transportation

    406

    Flight Training

    561

    Manufacture of aeronautical products



    [1] Annex C:  Transport Canada Civil Aviation Glossary

    [2] Annex C: Transport Canada Civil Aviation Glossary

    [3] CAR704, 703, 702, 406, 531 and 561 certificate holders

    [4] Annex C: Transport Canada Civil Aviation Glossary

    [5] Annex C: Transport Canada Civil Aviation Glossary

    [6] Due to the unique nature of the aviation medicine program, Civil Aviation Medicine combines rulemaking with oversight

    [7] Annex C: Transport Canada Civil Aviation Glossary