Chapter 4. Communications, Liability and Surveillance
4.7.1 Post Appointment Monitoring
Each appointed Delegate should be subject to a period of monitoring and support by the associated Core Delegate. For example, a minimum period of one year is envisaged with formal quarterly reviews taking place between the Core and recently appointed Delegates. During each review, the Core Delegate will review a sample of the approvals accomplished by the Delegates. Feedback will be provided to the Delegate on the quality of the approvals and action required to correct any deficiencies identified. Records of the quarterly reviews will be maintained for review. During the monitoring period, the newly appointed Delegate should be encouraged to continue develop contacts with Transport Canada personnel. Demonstration of satisfactory performance will be required in order to terminate the monitoring process.
4.7.2 Delegate Audits
To ensure the integrity of the delegation system and the findings made by individual Delegates, it is essential that a DAO/AEO conduct scheduled self audits, and that TCCA conduct period audits of the DAO/AEO or DAR. This is described in subsections 22.214.171.124 and 126.96.36.199. The Delegate will make available the necessary facilities including, work facilities for TCCA audit team members, access to the Regulations, Standards and Advisories utilized by the Delegate and all the Records as requested by TCCA.
Upon formal notification of the audit findings, a written response should be provided to TCCA within a time period acceptable to TCCA. The response should include corrective actions for non-compliance findings and timetables for their implementation. All findings shall be resolved in a time period acceptable to TCCA.
188.8.131.52 Delegate Self Audit
AEOs and DAOs shall include procedures in their approved DAPM or EPM for conducting a self audit in accordance with the requirements of AWM Chapter 505. To paraphrase AWM Chapter 505, it states that "Upon request, permit the Minister to inspect facilities, products and records of the organization/Delegate" and that the DAPM/EPM must provide "A description of the system used by the applicant for auditing the performance of the design approval organization".
These procedures shall as a minimum:
Identify AEO/DAO manager/authority responsible for the audit;
Indicate the frequency of audits;
Indicate extent of audit;
A requirement that the findings be documented in an audit report and retained;
Indicate distribution of the audit reports; and
- A requirement that a Corrective Action Plan be developed and implemented to address the deficiencies noted in the Audit Report.
184.108.40.206 TCCA Audit
There are three types of audits conducted on Delegates, the Initial or Certification, the Special Purpose and the Comprehensive. The Initial or Certification Audit should be carried out within six months after initial authorization of the Delegate. The Special Purpose Audit may be conducted if risk indicators are present. The Comprehensive (Specialist) Audit shall be carried out on a reoccurring basis as required by the Frequency of Inspection Policy Document. The Comprehensive Audit may be carried out as part of a Combined Audit.
All audits will be conducted in accordance with procedures outlined in the Manual of Regulatory Audits. The convening authority for the audits will be the Aircraft Certification Branch Director, Regional Manager Aircraft Certification, the Regional Director Civil Aviation or the Director General Civil Aviation as appropriate. The audits will determine if the Delegate has been complying with the EPM/DAPM, CARs, AWM, Airworthiness Directives, ACSIs and ACPLs.
Findings from the audits will be documented in an Audit Report. Delegates shall prepare a Corrective Action Plan in accordance with the Manual of Regulatory Audits to address the deficiencies noted in the Audit Report.
Delegates shall give TCCA personnel access to their facilities and records for surveillance and audit purposes.
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