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Aviation Safety Program Manual for the Civil Aviation Directorate

PDFPDF format (2,145 KB)
Issuing Office: Civil Aviation    
File No.: Z 5000-7-1 U Issue No: 01
RDIMS No.: 4135989 Effective Date: 2009-04-01

1.0 INTRODUCTION

1.1 Purpose

  1. The purpose of the Aviation Safety Program Manual is to provide an overview of Transport Canada’s Aviation Safety Program, in accordance with the requirements of paragraph 1.3.1(a) of the Civil Aviation Integrated Management System Standard.

1.2 Applicability

  1. This document is applicable to all Transport Canada Civil Aviation (TCCA) personnel.

1.3 Description of Changes

  1. This is a new document. There are therefore no changes.
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2.0 REFERENCES AND REQUIREMENTS

2.1 Reference Documents

  1. The following reference materials should be read in conjunction with this document:

    1. Treasury Board of Canada Secretariat. Results for Canadians: A Management Framework for the Government of Canada March 2000.

    2. Flight 2010 – A Strategic Plan for Civil Aviation, TP 14469 (04/2006).

    3. Civil Aviation Integrated Management System Standard, TP 14693 (05/2007).

    4. National Standard of Canada. CAN/CSA-ISO 9000-8000 International Organization for Standardization (ISO) quality management system standard series.

2.2 Cancelled Documents

  1. This document supersedes any document that describes the Civil Aviation Program.

2.3 Definitions

  1. The following definitions and terms apply to this document:

    1. Civil Aviation Directive (CAD)—an operational policy that provides formal direction and imposes specific responsibilities. A CAD describes what Civil Aviation personnel must achieve and defines their responsibilities. A CAD is mandatory in nature and application.

    2. Aviation Safety Program—the Department of Transport’s (Transport Canada) aviation safety activities administered by the Civil Aviation Directorate. These activities include the aviation safety regulatory framework and aviation safety oversight.

    3. Enterprise—means the holder of one or more Civil Aviation Documents. For example, Air Canada holds an Aircraft Maintenance Organization Certificate, an Air Operator Certificate, an Approved Training Organization Certificate and a Design Organization Authority. The term, enterprise manager, is intended to denote that oversight would be conducted on the whole enterprise rather than an individual certificate approach.

    4. Integrated Management System (IMS)—all interrelated Civil Aviation activities that are necessary to manage and conduct the Aviation Safety Program.

    5. Integrated Planning, Monitoring and Reporting Framework (IPMRF)—a framework that integrates a series of formerly independent planning, monitoring and reporting processes within Civil Aviation.

    6. Program Activity Architecture (PAA)—an inventory of all the activities undertaken by a department or agency. Activities are described in their logical relationship to each other and to the strategic outcome(s) to which they contribute. Refer to Figure 3 for further details on the Program Activity Architecture.

    7. Safety—the condition to which risks are managed to acceptable levels.

    8. Safety Management System (SMS)—a documented process for managing risks. The process integrates operations and technical systems with financial and human resource management to ensure aviation or public safety.

    9. Stakeholder—a person or organization with an interest in aviation safety. External stakeholders include the traveling public, the aviation industry, foreign civil aviation authorities, and the International Civil Aviation Organization (ICAO). Internal stakeholders include Civil Aviation personnel and the Minister of Transport, Infrastructure and Communities.
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3.0 OVERVIEW OF TRANSPORT CANADA

  1. Transport Canada is the federal department that develops and administers transportation policies and programs on behalf of the Government of Canada. The department is focused on developing a modern and relevant policy and legislative framework that will enhance the safety, security, competitiveness, and sustainability of an environmentally responsible transportation system.

  2. As a regulatory department, Transport Canada plays a key role in the government’s commitment to streamlined regulations that provide a high level of protection to the traveling public.

3.1 Transport Canada’s Vision, Mission and Strategic Objectives

  1. The department's vision statement provides for “a transportation system in Canada that is recognized worldwide as safe and secure, efficient and environmentally responsible.”

  2. Transport Canada’s mission is to “serve the public interest through the promotion of a safe and secure, efficient and environmentally responsible transportation system in Canada.”

  3. To succeed in its mission, Transport Canada is committed to being a world-leading organization that:

    1. Develops and implements effective policies, programs, and legislative and regulatory frameworks;

    2. Works in partnership with other governments, industry and stakeholders;

    3. Is recognized as a progressive, effective and accountable organization; and

    4. Sustains a healthy and productive work environment that values professional excellence, teamwork, open communication, diversity, continuous learning, and mutual respect.

  4. The Treasury Board of Canada Secretariat (TBS) approved Transport Canada’s Program Activity Architecture (PAA) in June 2008. This PAA is the structure that links all Transport Canada programs and activities to the Strategic Outcomes (SO) to which they contribute, as follows:

    1. An Efficient Transportation System (SO 1);

    2. A Clean Transportation System (SO 2);

    3. A Safe Transportation System (SO 3); and

    4. A Secure Transportation System (SO 4).

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4.0 OVERVIEW OF THE CIVIL AVIATION PROGRAM

4.1 History

  1. Aviation in Canada can be traced back to 1909 when a biplane was flown a distance of 800 metres during the first of a series of tests and demonstrations. A mere 20 years later, in 1929, Parliament passed the Aeronautics Act, providing a modern legislative foundation for regulating air traffic in Canada.

  2. In 1936, the Department of Transport Act was created to transfer control and supervision of civilian flight operations to the Department of Transport. In the years following, Canada’s airspace was recognized as a global transit area for long-distance international flights, and Civil Aviation became committed to providing world-class safety and administration.

  3. Transport Canada revised the Aeronautics Act in 1985 to reflect government direction and meet the needs of the aviation industry.

  4. Until the 1990s, airports in Canada were owned, operated, or subsidised by the federal government through the Department of Transport. Beginning in 1992, control of many Canadian airports was devolved to local airport authorities. This governmental initiative would later become known as the National Airports Policy (NAP).

  5. After conducting extensive studies in the early 1990's, Transport Canada made the decision to commercialize a number of its major activities, including the operation of most airports and the provision of air navigation services. The transfer of airport operations began in 1992. Civil air navigation services were transferred to NAV CANADA in 1996. These changes marked a significant shift in Transport Canada's mandate: rather than carrying out a dual role as regulator and major service provider, Transport Canada would now focus solely on its regulatory role.

  6.  The Canadian Aviation Regulations (CARs), which came into effect on October 10, 1996, replacing Air Regulations and Air Navigation Orders (ANOs).

  7. In 1999, Transport Canada released Flight 2005—A Civil Aviation Safety Framework for Canada. In 2006, the department followed with Flight 2010—A Strategic Plan for Civil Aviation. These key documents outlined and further supported the department’s strategic direction for the years ahead. They also introduced a  method of managing safety risks in civil aviation—one that would eventually lay the foundation upon which to build a solid, proactive safety culture through safety management systems (SMS).

  8. In Canada, SMS became law for airlines and aircraft maintenance organizations in June 2005; for airports and air navigation service providers, in January 2008—well in advance of the International Civil Aviation Organization (ICAO) standard requiring that member states establish an SMS regulatory framework for airline operations by January 1, 2009.

4.2 Civil Aviation’s Vision and Mission

  1. All strong organizations establish a vision and mission to guide the work of their employees. For Civil Aviation, this translates into the following:

    Vision
    An integrated and progressive civil aviation system that promotes a proactive safety culture.

  2. This vision reflects the dynamic interaction that is required between Civil Aviation and industry in order to administer its policy and regulatory frameworks and programs. In the context of an increasingly complex environment and an overall government direction that encourages a less prescriptive, more performance-based regulatory framework, Civil Aviation has structured its organization and regulatory framework such that its decision-making process includes a risk-based approach that addresses concerns from a systems perspective.

  3. Because Civil Aviation cannot deal with every situation, its involvement in these situations is assessed based on its responsibilities, its resources, and the likely effectiveness of such involvement relative to that of various actors, such as other governments, the private sector, non-governmental organizations, and the voluntary sector. Collaborative or consensual approaches, including formalized partnerships and less formalized networks, are one of the many options at Civil Aviation's disposal to achieve positive policy outcomes.

  4. Safety management is based on the premise that hazards, risks, and threats will always exist. Systemic and proactive management is therefore required to identify and control these hazards, risks, and threats before they lead to mishaps. A proactive safety culture involves Civil Aviation and industry working together to reduce the likelihood of accidents.

  5. For the purposes of the Aviation Safety Program and to bring strategic goals into focus, safety is defined as “the condition where risks are managed to acceptable levels.” This definition translates into Civil Aviation’s mission as follows:

    Mission
    To develop and administer policies and regulations for the safest civil aviation system for Canada and Canadians using a systems approach to managing risks.
  6. A systems approach to risk management promotes transparent processes that establish clear lines of accountability for decision-making. Civil Aviation’s mission is based on the concept that intervention strategies—such as rulemaking, oversight, and certification—are tools used to mitigate risk and that the Canadian public is, ultimately, the client.

4.3 Organizational Structure and Governance

  1. The Director General, Civil Aviation leads the Aviation Safety Program, which is divided into eight headquarter branches and five regional branches. (Refer to Figure 1) Both Headquarter and regional branches are managed by directors. Regional directors have a line reporting relationship with a regional director general and a functional reporting relationship with the Director General, Civil Aviation. Further description of the organizational structure can be found in Appendix A.

    Figure 1

    Aviation Safety Program

    Figure 1 - Aviation Safety Program

    Click on image to enlarge

  2. The functional relationship allows the Director General, Civil Aviation to provide direction within the scope of the Aviation Safety Program. The line relationship signifies a command over resources and activities.

  3. Four headquarter 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.

  4. Three headquarter branches (National Operations, National Aircraft Certification and International Operations) and all regional branches are responsible for the day-to-day operations of the Aviation Safety Program.  A sub-committee of National Civil Aviation Management Executive Committee (NCAMX), the Operational Civil Aviation Executive Management Committee (OCAMX), was established to provide a forum for the eight operational directors to:

    1. Develop a consistent approach to oversight activities;

    2. Monitor oversight activities to ensure they are consistent;

    3. Identify and incorporate best practices amongst all operational oversight branches; and

    4. Identify common challenges and needs.

  5. One headquarters branch (Civil Aviation Medicine) provides functional direction and performs operational activities.

  6. The NCAMX represents Civil Aviation’s governing body. The Committee acts as a forum for high-level decision-making regarding the Aviation Safety Program. Its members include all headquarter and regional directors; meetings are chaired by the Director General, Civil Aviation.

4.4 Aviation Safety Program Activity (PA 3.1)

  1. Transport Canada’s approved Program Activity Architecture (PAA) is the structure that links all Transport Canada program activities to its strategic outcomes. Civil Aviation activities are found within the Aviation Safety Program Activity (PA 3.1) that is linked to the strategic outcome “A safe transportation system”.

Figure 2

Transport Canada’s PAA Structure for “A Safe Transportation System”

Figure 2 - Transport Canada’s PAA Structure for 'A Safe Transportation System'

Click on image to enlarge

  1. Transport Canada’s PAA provides the framework under which Civil Aviation manages its resources to achieve expected results. The framework serves as the basis for resource allocations by Parliament, the Treasury Board, and departmental management.

  2. Results are measured using modern management tools to support two ultimate outcomes:

    1. Continued improvement in the high level of aviation safety in Canada; and

    2. A high level of public confidence in the Aviation Safety Program.

  3. As per the PAA, the Aviation Safety Program Activity is further defined by the following sub-activities*:

    1. 3.1.1 Aviation Safety Regulatory Framework;

    2. 3.1.2 Aviation Safety Oversight

      1. 3.1.2.1 Service to the Aviation Industry; and

      2. 3.1.2.2 Surveillance of the Aviation System.

    3. Internal Services

      1. Governance and Management Support;

      2. Resource Management Services; and

      3. Asset Management Services.

    * Refer to Figure 3 for further information of each sub-activity.

Figure 3

Figure 3 - Aviation Safety - Performance Measurement Logic Model

Click on image to enlarge

4.5 Aviation Safety Regulatory Framework (PA 3.1)

  1. Although regulations remain one of the key tools used by government to achieve public policy outcomes, there is an increasing need to consider new options. Prompted by factors such as globalization, international competitiveness, and new governance philosophies, Civil Aviation continues to explore innovative ways of collaborating with its stakeholders.

  2. As part of the Aviation Safety Regulatory Framework activities, Civil Aviation develops risk-based policies, regulations, standards, guidelines and education to promote a safe and harmonized aviation culture for Canadians, for air travellers in Canada, and for Canada’s aviation industry as a whole.

  3. Civil Aviation administers its policies and priorities within a legally sound framework through the following services:

    1. Develop safety policy and provide regulatory program advice related to civil aviation;

    2. Provide direction and advice in the development and drafting of legislation, regulations, standards, and advisory material;

    3. Provide leadership in the identification, mitigation, and management of risks;

    4. Provide legal support in ensuring compliance and enforcement of standards, regulations, and guidelines; and

    5. Provide advice and guidance, and represent the Minister before the Transportation Appeal Tribunal of Canada on civil aviation matters.

  4. Recognizing that there will always be risks and hazards in flying, Civil Aviation implemented safety management systems (SMS) for the industry in order to proactively manage risk in addition to regulatory compliance. Implementing SMS within an organization involves more than the day-to-day operational activities, but also those activities whose contribution could potentially and positively reduce risk. In an SMS approach, the organization is viewed as a whole in which each individual’s contribution is a necessary component to creating a safe, efficient, and highly effective standard of air travel.

4.6 Aviation Safety Oversight (PA 3.1.2)

  1. The Aviation Safety Oversight sub-activity is based on risk and supports the aviation industry’s compliance with the regulatory framework through two sub-activities:

    1. Service to the aviation industry; and

    2. Surveillance of aviation safety.

  2. Aviation Safety Oversight is conducted on an enterprise basis ensuring that services and surveillance are conducted for the entire enterprise rather than for each individual certificate approach.
  3. This approach builds clear accountability whereby an Enterprise Manager is accountable for all activities related to assigned enterprises.
4.6.1 Service to the Aviation Industry (PA 3.1.2.1)

  1. Transport Canada provides services to the aviation industry based on the Canadian aviation regulatory framework in areas such as:

    1. Issuance of personnel licenses;

    2. Medical assessments required for the certification of licensed aviation personnel;

    3. Issuance of operating certificates to organizations; and

    4. Certification of aeronautical products.

  2. While the end product of these activities is the delivery of a certificate, a license, or some other Civil Aviation document to an aviation stakeholder, the underlying purpose of these activities is for Transport Canada to reasonably assure itself that individuals, organizations and/or aeronautical products can operate safely and in compliance with applicable regulatory requirements. This underlying oversight activity is accomplished through a variety of mechanisms including documentation review, assessments, and inspections.
  3. These services are provided in response to demand from the aviation industry. In meeting these demands, Transport Canada has established and advertised service standards. These service standards communicate to our stakeholders our commitment to timeliness and the related level quality for each service delivered when they do business with our organization. 
  4. Overall stakeholder satisfaction is measured through various means, such as stakeholder surveys. Should specific issues or concerns arise, aviation stakeholders can submit them via the Civil Aviation Issues Reporting System (CAIRS) for prompt resolution.
4.6.2 Surveillance of Aviation Safety (PA 3.1.2.2)

  1. Transport Canada conducts surveillance of the aviation system to monitor the aviation industry for compliance of the regulatory framework. This is done primarily through assessments and inspections and, when necessary, audits and enforcement action.

  2. Assessments and Program Validation Inspections (PVIs) are the primary ways that Transport Canada evaluates ongoing compliance with regulatory requirements and the effectiveness of safety management systems, superseding traditional evaluation methods that focused solely on determining regulation compliance.

  3. These changes are consistent with the principles of SMS in which an organization is expected to take an ownership role in proactively managing safety and have programs in place to ensure its compliance with regulatory requirements. Transport Canada’s role is to ensure that organizations implement effective policies, processes, and procedures to accomplish this.

  4. The PVI process entails a focused evaluation of one or more components or elements of an organization or a safety management system, determined through interviews and reviews of the organization’s SMS components. A score is assigned based on a set of defined expectations that correspond to an element or a component that is being assessed.

4.7 Internal Services (PA 5.1)

  1. In the departmental PAA, Internal Services are presented as an adjunct to the architecture and are not directly linked to the departmental Strategic Outcomes.

  2. Civil Aviation has Internal Services that account for the variety of activities that remain under the authority of the NCAMX and the Director General, Civil Aviation (DGCA) and are shown in the following sub-sections.
4.7.1 Governance and Management Support (PA 5.1.1)

  1. Civil Aviation’s management is responsible for determining strategic direction, allocating resources among services and processes, analyzing exposure to risk, and determining appropriate corrective action, if required.

  2. The Integrated Planning, Monitoring and Reporting Framework (IPMRF) is used to capture all of the planning, monitoring and reporting activities that are performed in Civil Aviation. Each activity is monitored throughout the year, and reports are created at regular intervals to ensure that the expected results are achieved.
4.7.2 Resource Management Services (PA 5.1.2)

  1. Resources are allocated on a risk-based approach to regulatory framework and oversight activities. This risk-based approach provides the greatest safety benefit to ensure responsible spending and results by taking into account sound planning, budgeting, accounting, reporting, controlling and oversight, analysis, decision support and advice, and financial systems. Flexibility within the program allows priorities to be adjusted and resources to be reallocated in order to focus attention on high-risk safety issues.

  2. The IPMRF provides support to the planning of resources within Civil Aviation. This framework defines all the activities that must be performed in order to plan, monitor, and report on Civil Aviation’s resources and activities. Some of the programs captured in this framework include the following:

    1. Integrated Business Plan (IBP);

    2. Activity Reporting And Standards System (ARASS);

    3. Human Resources and Financial Reporting;

    4. Management Review;

    5. Employee Performance Management (EPM) process;

    6. Oversight Policy Document; and,

    7. Civil Aviation Clientele Database.

  3. Civil Aviation supports the department’s information management and technological services that endorse government priorities and program delivery. These services are used to increase productivity and enhance the service delivery within Civil Aviation.
4.7.3 Asset Management Services (PA 5.1.3)
  1. Civil Aviation operates under the processes that are governed by Transport Canada’s procurement and material management policy and regulations. These processes include details on contracting services, procurement of goods and services, and management of assets.
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5.0 MANAGEMENT SYSTEM

  1. Like other government departments, Civil Aviation must respond to an environment that is increasingly complex, brought on in part by a changing workforce, globalization, new safety challenges, and emerging technological advancements. This requires a policy framework that is dynamic in that it allows for the development of medium- and long-term strategies and approaches that respond effectively to emerging issues. This then translates into a risk-based analysis that offers options in a way that is balanced and fair while keeping in mind the impacts on both Civil Aviation and Civil Aviation stakeholders

  2. One of the challenges of developing and implementing a national program is maintaining consistency and integration among all planned and systematic activities and processes.

  3. To address this challenge, Transport Canada published the Civil Aviation Integrated Management System Standard, which guides the development and management of Civil Aviation’s activities and processes. The Standard sets out the requirements for management practices and controls for coordinating all activities and processes, while ensuring consistency in the delivery of the Aviation Safety Program across the country. These processes are interlinked and documented through Civil Aviation’s Documentation Framework.

  4. The documentation required for Civil Aviation’s management system is found in the form of a Conformity Matrix against the Integrated Management System (IMS) Standard. (Refer to Appendix B).

  5. Civil Aviation’s management system aligns with the Management Accountability Framework (MAF) that articulates principles of good public service management, which the Treasury Board of Canada Secretariat expects senior public service managers to follow. The MAF is structured around ten key elements that collectively define "management" and provides public-service managers with a clear list of management expectations within an overall framework for high organizational performance.

  6. Five key processes work together within the management system to ensure the effective and efficient management of the Aviation Safety Program. These processes are:

    1. Management responsibility,

    2. Resources (stakeholders),

    3. Program design,

    4. Program delivery, and

    5. Measurement and analysis.

  7. Continuous improvement and risk management are integrated within these processes and form part of management review and facilitate the redesign of a particular activity process. (Refer to Figure 4)

    Figure 4

    Figure 4 - Processes Within Management System

    Click on image to enlarge

5.1 Risk Management

  1. Civil Aviation has a business model that is based on risk management and applies to all activities and processes in the delivery and management of its regulatory program. (Refer to Figure 5)

    Figure 5

    Figure 5 - Civil Aviation's Business Model

    Click on image to enlarge

  2. Risk management introduces the idea that the likelihood of an event happening can be reduced or its consequences minimized. In Civil Aviation, the term is frequently used in the context of decision making pertaining to managing situations that affect aviation safety. Effective risk management seeks to maximize the benefits of a risk—usually a reduction in time or cost—while minimizing the risk itself.

  3. Risk management is the process of identifying risks, assessing their implications, deciding on a course of action, and evaluating the results. Effective communication is key to the success of the process. The business model is divided into five phases:*

    1. Initiation;

    2. Preliminary analysis;

    3. Risk estimation and risk evaluation;

    4. Risk control and intervention; and

    5. Impact measurement and communication.

    * Refer to Appendix C for further descriptions of each phase.

  4. A by-product of risk management is an improved level of comfort knowing that resources are being allocated in the best possible way to meet safety priorities. This by-product is especially important given the department’s shared commitment to safety with the aviation community and given the limited resources to meet that commitment.

5.2 Management Responsibility

5.2.1 Management Commitment

  1. Management is committed to developing, implementing, and continuously improving programs and services within Civil Aviation. This commitment is defined and reviewed as part of the organization’s strategic direction and business planning process.

  2. NCAMX conducts management reviews that contribute to the strengthening of the system by identifying opportunities for improvement and determining program changes based on new business direction.
5.2.2 Values and Ethics
  1. Transport Canada demonstrates strong leadership in providing compliance with the Values and Ethics Code for the Public Service.
5.2.3 Stakeholders

  1. Civil Aviation’s stakeholders are people or organizations with an interest in aviation safety. These include external stakeholders (e.g., traveling public and the aviation industry) and internal stakeholders (e.g., Civil Aviation personnel and the Minister of Transport, Infrastructure and Communities).

  2. Civil Aviation is focused on enhancing stakeholder satisfaction and considers stakeholder needs and expectations when designing and delivering its program while balancing resource requirements and public safety.

  3. One way to monitor the level of stakeholder satisfaction is through stakeholder feedback, such as Civil Aviation Issues Reporting System (CAIRS) and Canadian Aviation Regulation Advisory Council (CARAC) process.

  4. The Civil Aviation Service Charter reaffirms the commitment to high standards of service and is an example of Civil Aviation’s strengthened effort to deliver a regulatory program that is effective, efficient, transparent, and responsive.
5.2.4 Management Review

  1. Civil Aviation is committed to reviewing the effectiveness of the management system to ensure that the organization is achieving its specific goals and objectives in an efficient and effective manner. NCAMX performs a management review at planned intervals (at minimum of once per fiscal year).

  2. Management reviews may also be done at various levels of the organization on one or more activities (e.g., monthly financial reviews, business/work plan).

  3. Various topics can be discussed at management reviews and may include audit results, collection and analysis of data, quality assurance activities, status of preventive/corrective actions, civil aviation risk profile, stakeholder feedback (including results from CAIRS, surveys, and other methods of customer communication), process performance, and levels of service.

  4. The results from the management review may include corrective action plans, improvements to management systems and their processes, realignment of resource allocation, identification of outstanding elements between existing program activities, internal and independent audits, strict document controls, and ongoing monitoring of corrective actions.

5.3 Resource Management

5.3.1 Human Resources

  1. Civil Aviation ensures its workforce and organizational structure are effectively positioned to deliver and adapt to the program requirements of today and the future. The continuous evolution of the program is in response to many external challenges.

  2. Human resources management is linked to strategic and business plans both at the departmental and program activity level. Civil Aviation’s work and workforce are aligned with business priorities, and its integrated human resources plan identifies and responds to key human resources challenges.

  3. The Treasury Board Secretariat included the promotion of diversity as one of its key commitments under the Management Accountability Framework (MAF). Civil Aviation recognizes that having a workforce representative of Canada's population inevitably leads to more inclusive policies, programs, and services. Diversity is a core organizational value—one worthy of preservation and nurturing. Respect for others is of utmost importance, and differences shall be embraced as Civil Aviation strives to achieve an organization that reflects Canada's diverse society.
5.3.2 Competency Awareness and Learning

  1. Civil Aviation identifies the competency requirements for all positions and then determines the corresponding learning requirements for personnel to attain and maintain competency requirements. Civil Aviation strongly supports employee training and evaluates learning programs to verify their effectiveness.

  2. Employees are made aware of how they individually and collectively contribute to the achievement of the organization’s strategic direction and objectives.
5.3.3 Workplace

  1. Civil Aviation is committed to providing a safe workplace for its employees. As an employer, Civil Aviation is committed to:

    1. Providing tools, equipment, and training to foster a safe environment; and

    2. Addressing all human and physical factors of the work environment and ensuring they meet the requirements of the Canada Labour Code, Part II, and supplemental requirements).

5.4 Program Design

  1. When introducing new activities or when significant modifications are made to existing ones, Civil Aviation follows a Five Step Improvement Plan. The purpose of the improvement plan is to apply consistency to the design or modification of activities.

  2. Civil Aviation considers the required personnel, materials, and information when planning, documenting, and designing services and processes.

5.5 Program Delivery

  1. The delivery of an activity, product, or service requires the involvement of employees across the organization. The interaction is at multiple levels and may cross-organizational and geographical boundaries. Accordingly, program delivery requires effective communication, data and information exchange, and clear assignment of roles and responsibilities.

  2. Prior to delivery of all program activities, the quality control functions that are built into the design process are conducted. This ensures that the expected qualities of all the products are met.

5.6 Measurement and Analysis

5.6.1 Stakeholder Satisfaction

  1. Civil Aviation develops service standards to ensure the timeliness of safety oversight services. In designing service standards and delivering its services, Civil Aviation strives to address stakeholder requirements while balancing its responsibilities for public safety and the judicious use of public funds.

  2. Measurement and analysis is conducted to ensure services are being delivered within the service standards and that any corrective actions determined by Civil Aviation management are documented in a service improvement plan. This type of plan is based on stakeholder focus priorities; sets targets for improvement in client satisfaction; and then monitors and reports on performance to obtain levels of service.

  3. The Civil Aviation Issues Reporting System (CAIRS) is available to stakeholders to report opportunities for service improvement. The reported situations are reviewed by management and help identify areas to monitor and improve the way Civil Aviation does business.
5.6.2 Measurement and Monitoring
  1. Civil Aviation monitors and, where applicable, measures the processes that are used for program delivery in order to verify that planned results and service standards have been met. When results have not been met, a corrective action plan is developed and delivered.
5.7 Continuous Improvement

  1. The management system is based on the principle of the continuous improvement cycle and is a key output of the measurement and analysis of management reviews.

  2. Civil Aviation ensures that continuous improvement of the program is accomplished by setting a schedule to review the outputs of the program (e.g., policy objectives, audit results, analysis of data, corrective and preventative action plans, and management reviews). The outputs are then tied into the future year’s planning and contribute to improving the system.
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6.0 CONTACT OFFICE

For more information please contact

Director, Management Services (AARA)

Phone: 613-990-1280
Facsimile: 613-949-7779
E-mail: judy.rutherford@tc.gc.ca

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APPENDIX A

Civil Aviation Organizational Descriptions

The following section provides a brief description of Civil Aviation’s headquarter and regional branches.

  1. Policy and Regulatory Services Branch is responsible for the development of civil aviation safety policy. Data and trends analysis, a key component of policy development, is integrated within this branch to provide information necessary to conduct risk assessments and identify the strategic issues that are critical to aviation safety. This branch oversees the regulatory development process and provides representation and advice on matters of the Transportation Appeal Tribunal of Canada (TATC).

  2. Standards Branch develops regulations, standards, operational and enforcement procedures, and guidance and safety-awareness material in order to mitigate risks to aviation safety. Accordingly, this branch establishes the corresponding training requirements for the inspectorate and provides operational units with functional guidance and regulatory interpretation. Standards Branch is also responsible for regulating aircraft registration and leasing; maintaining the Canadian Civil Aircraft Register; and maintaining safety oversight of recreational aviation and special flight operations such as air shows.

  3. Management Services Branch provides corporate advice and services to the national management team. It develops and manages Civil Aviation’s Integrated Management System (IMS); acts as an authority for internal quality assurance; and oversees the implementation of specific quality improvement plans and corrective action plans. The branch is also responsible for national human resource and budget management and analysis and the Activity Reporting and Standards System (ARASS). This branch offers a suite of multimedia services such as graphic design and video productions to the Civil Aviation Directorate as well as to the department at large. Transport Canada inspector identification cards are administered by this branch. Management Services Branch also provides services with respect to application development and information technology. Finally, this branch is the focal point for people management strategies including human resource planning, employee development, knowledge transfer and learning for Civil Aviation employees.

  4. Civil Aviation Secretariat Branch is responsible for the strategic management of high-profile issues affecting the aviation industry and the public, including matters that trigger media interest. It is responsible for a comprehensive communications program and for services such as the Civil Aviation Communications Centre. The Civil Aviation Secretariat Branch manages a variety of communications projects and develops communication strategies for major initiatives. The branch also manages publication activities including the Civil Aviation Internet and Intranet sites; provides advice on matters regarding aviation terminology; and offers professional linguistic services.

  5. National Operations Branch is an operational unit that is responsible for the regulatory oversight of air navigation service provider’s enterprises and certain national air carrier’s enterprises. Its oversight responsibilities include assessments, inspections, safety promotion, and when necessary, audit and enforcement action. The branch enhances the oversight program through quality assurance activities and data analysis, which identify strategic and tactical issues critical to aviation safety. In addition, National Operations, through the Civil Aviation Contingency Operations (CACO) Division, has responsibilities for contingency planning and occurrence reporting in both the national and regional regulatory and operational fields of Civil Aviation and is also the Civil Aviation focal point for emergency preparedness activities.

  6. National Aircraft Certification Branch is an operational unit that is responsible for the regulatory oversight of certain aeronautical product manufacturing enterprises. Its oversight responsibilities includes aircraft and other aeronautical products designed or operated in Canada, the assessment and inspection of the organization’s safety management systems, safety promotion, and, when necessary, audits and enforcement action. The National Aircraft Certification Branch enhances the oversight program through quality assurance activities and data analysis, which identify strategic and tactical issues critical to aviation safety. The branch also guides the aerospace industry with respect to certification in highly technical fields. This specialized area approves the design of aircraft and their components including approval of aircraft repair and modification designs to a variety of international standards. National Aircraft Certification is responsible for the continuing airworthiness of aeronautical products.

  7. International Operations Branch is an operational unit that concentrates its oversight efforts on foreign carriers that operate in Canadian airspace. The International Operations Branch enhances the oversight program through quality assurance activities and data analysis, which identify strategic and tactical issues critical to aviation safety. In addition, the branch supports the undertakings of other branches where formalities are required by international or state protocols. This includes coordinating and participating in technical input for the International Civil Aviation Organization (ICAO) and other international civil aviation bodies and providing strategic guidance to the Canadian Permanent Mission to ICAO. This branch also coordinates other international aviation initiatives—inter-departmentally and within Transport Canada Civil Aviation— such as the North American Aviation Trilateral (NAAT) and bilateral/trilateral liaison requirements of a special nature.

  8. Medicine Branch develops and applies the regulations, standards, and procedures for performing medical assessments that are required for the certification of licensed aviation personnel. The branch also plays a pivotal role in creating and harmonizing international aviation medical standards.

  9. Regional Civil Aviation Branches are found in each of the five Transport Canada regions—Atlantic, Ontario, Quebec, Prairie and Northern, and Pacific. The regional Civil Aviation branches are operational units. They are responsible for the regulatory oversight of certain air enterprises typically headquartered in the region. Their oversight responsibilities include assessments, inspections safety promotion, and when necessary, audits and enforcement action. They enhance the oversight program through quality assurance activities and data analysis, which identify strategic and tactical issues critical to aviation safety. They are responsible for the strategic management of regional Civil Aviation’s high-profile issues affecting the aviation industry and the public including matters that trigger media interest.
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APPENDIX B

Conformity Matrix for IMS Standard

This Conformity Matrix is currently under development.

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APPENDIX C

Civil Aviation Business Model

Civil Aviation’s business model is based on risk management and applies to all activities and processes in the delivery and management of its regulatory program. The business model is divided into five phases:

  1. Initiation—Collect and integrate proactive and reactive data from various sources internal and external to Transport Canada Civil Aviation in order to identify issues. For example, issues are raised through the Civil Aviation Issues Reporting System (CAIRS) and through management system assessments.

  2. Preliminary analysis—Analyse the issue by understanding the causal, contributing, and underlying factors; determine the scope of the issue; establish a benchmark to enable measurement of the impact. Continuously monitor reported issues for trends (aggregate issues).

  3. Risk estimation and risk evaluation—Once the hazard, the likelihood of its manifestation, and its severity are understood, decide if the risks are tolerable/acceptable or not. If the risks are acceptable, then no intervention is required. However, in order for the organization to enhance its monitoring capability and contribute to continuous learning, a report is produced and stored for future use. If the risks are not acceptable, determine how to intervene to bring the hazardous conditions into the range of acceptability. The dimension of cost-benefit is examined in the context of risk mitigation calling into question whether the benefits of any proposed risk mitigation strategy offset the costs of its implementation. For more information, consult the Risk Management in Civil Aviation Intranet site.

  4. Risk control and intervention—Generally, there are three strategies for managing risk: (1) eliminate the hazardous condition; (2) mitigate the risks; or (3) transfer the risk. In terms of mitigation, Civil Aviation designs and executes intervention strategies that address one or more components of the risk equation (probability, severity, or exposure). The following table lists regulatory risk mitigation strategies.

    Legislative Policy
    Rule-making
    The making, amending, or repealing of
    • Laws
    • Regulations
    • Standards
    The issuance/withdrawal of
    • Orders
    • Exemptions
    • Decrees
    • Other item
    		Promotion and Education
    • Conferences, seminars
    • Newsletters, journals, papers
    • Briefings
    • Multi-media safety products
    Regulatory Oversight
    • Educating for compliance
    • Monitoring
    • Assessments
    • Validations
    • Inspections
    • Audits
    • Enforcement
    		Strategic Investments/Divestiture
    • Privatize
    • Commercialize
    • Nationalize
    • Subsidize
    Legislative Policy
    Authorizations (certification)
     The issuance or withholding the issuance of
    • Certificates
    • Licences
    • Permits, or
    • Other authorizing documents

    		 Strategic Leverage
    • Public/Private Partnerships
    • Industry empowerment
  5. Impact Measurement and Communication—After a time, the results of the risk mitigation strategy should be ascertained to determine if the planned interventions are achieving the desired results, if any adjustments to the original plan must be made, and to justify current or future resource expenditures. If the planned interventions are not achieving the desired results, a diagnostic exercise must be conducted to discover where the failure occurred in the application of the business model. The answer may be in the design or execution of the mitigation strategy phase, the decision-making phase (the misapplication or inappropriateness of risk criteria), or the analysis or data-capturing phases. As part of a transparent process, the results of the measurement and diagnostic, if applicable, should be communicated to stakeholders.
Date modified:
2012-02-27