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|Issuing Office:||Civil Aviation Ontario Region|
|Activity Area:||Oversight||SSI No.:||SUR-001-P|
|File No.:||P 5000-1||Issue No:||02|
|RDIMS No.:||3977901 v8||Effective Date:||2010-06-26|
The purpose of this Supplementary Staff Instruction (SSI) is to ensure a consistent approach in conducting program validation inspections and process inspections and to provide staff with the regional procedures that supplement the national standard detailed in Staff Instruction (SI) SUR-001.
This document is applicable to Transport Canada Civil Aviation Ontario Region personnel. This procedure starts when the decision to conduct a program validation inspection or process inspection has been made and ends when the activity has been reported and recorded.
This SSI has been significantly updated to incorporate recent changes to the Surveillance Procedures SI-SUR-001 as well as updates based on recommendations received since last release. Changes have been identified with right hand change bars for your reference. The key changes to the document are:
Title changed from Program Validation Inspection SSI to Surveillance Procedures SSI
The term oversight has been removed from the document and replaced with surveillance
The term company has been replaced in some instances throughout the document with enterprise
Incorporation of Process Inspection procedures
Addition of Operational Support Personnel Activities
It is intended that the following reference materials be used in conjunction with this document. Obtain the latest version of headquarters documents from the Documentation Framework available through the green triangle on the intranet.
Staff Instruction (SI) SUR-001— Surveillance Procedures
Staff Instruction (SI) SUR-002—Enhanced Monitoring
Inspection and Audit Manual (IAM), TP #38608
Maintenance Schedule, TP #13904
Small Operator Maintenance Control Manual (SOMCM)
Civil Aviation Document (CAD) CAD SUR-008 - Surveillance Policy
Confirmation Request Form – RDIMS #1814040
Corrective Action Plan 2 Page form – RDIMS #1814391
Parallel Finding Form – RDIMS # 1814056
Parallel Observation Form – RDIMS # 1814062
Safety Features Card Certification Forms: 703-Fixed Wing RDIMS #4422076; 703 Rotary Wing RDIMS #4422105; and 704 Fixed Wing RDIMS #4422146
Operations 703/704 Worksheet RDIMS #4757558
Airport/Heliport Operator Worksheet RDIMS #4422273
Air Operator Maintenance Worksheet RDIMS #3977974
Approved Maintenance Organization Worksheet RDIMS #3977979
Air Operator/Approved Maintenance Organization Worksheet RDIMS #3977984
Flight Training Unit Maintenance Worksheet RDIMS #3977990
Flight Training Unit/Approved Maintenance Organization Worksheet RDIMS #3977996
Performance Rules 571.02 Maintenance Worksheet RDIMS #3977998
Manufacturers Worksheet RDIMS #3978003
Distributors Worksheet RDIMS #3978007
Approved Training Organization Maintenance Worksheet RDIMS #3978010
Dangerous Goods Worksheet RDIMS #5456060
Supplementary Staff Instruction (SSI) SUR-008-P Oversight Planning RDIMS #3815074
aa. European Aviation Safety Agency (EASA) Part 145 Approval Worksheet RDIMS #5290193
bb. Air Traffic Service Operator Worksheet RDIMS #4422373
cc. Flight Training Unit Operations Worksheet RDIMS #5954086
The following definitions and abbreviations are used in this document:
CAP – Corrective Action Plan
COM- Company Operations Manual
Convening Authority (CA) – the individual responsible for authorizing and overseeing the surveillance activity (PVI or PI) e.g. Superintendent, Operations Manager - East/West
Document - written, printed, or electronic matter that provides information.
Finding - means a non-conformance to a regulatory requirement.
ICA – Instructions for Continued Airworthiness
Interview – a discussion to obtain information.
Key personnel – the main individuals within an enterprise responsible for the running of the enterprise and/or the operational/maintenance control system (Person Responsible for Maintenance, Operations Manager, etc.).
Observation - means the outcomes obtained during documentation or on-site reviews that are used to confirm a specific requirement of a system, component or element.
Ops Support – Operational Support Personnel
PI – Principle Inspector
Planning – the activity of determining when and who will do something.
Process Inspection - means an in depth review of the processes utilised to produce an output. A score is not assigned.
Process Inspection Lead – the individual conducting the process inspection and or leading a team to conduct the process inspection.
Program Validation Inspection (PVI) – a focused review of one or more components of an organization or Safety Management System. A score is assigned.
Program Validation Inspection Manager (PVIM) - the individual, designated by the Convening Authority, responsible for the conduct of the program validation inspection.
Random Sampling – a selection method that allows each item to have an equal chance of being chosen.
QA – Quality Assurance
Record - evidence or information constituting an account of something that has occurred, been said, etc.
Rules of Evidence – the process of collecting and safekeeping items (documents, photographs, parts etc.) that may be needed for an enforcement action.
SI – Staff Instruction
SSI – Supplementary Staff Instruction
Scheduling – the task of establishing the date, time and location of the activity.
Supporting documentation – any item(s) (photocopies, photographs, parts, documents etc.) that corroborates a finding of non-conformance.
Surveillance – means all activities directly related to a certificate holder’s compliance with the applicable regulations and standards including, but not limited to, assessments, validation inspections, process inspections, audits, company visits (formal or informal), ramp, cockpit, cabin or aircraft inspections, facility or shop visits, review and approval of company documentation, correspondence by any means, as well as any other activity that could be used to gather information related to a certificate issued by the Minister.
Team Member – the individual appointed by the CA or PVI Manager to participate in a surveillance activity. This included PVI, Process Inspection, etc.
The primary means used within Civil Aviation to conduct routine surveillance has been various types of inspections. A shift in surveillance policy has driven the program to focus on measuring an organization’s ability to hold itself accountable for its own compliance. It is Transport Canada’s role to determine if the system is compliant with the regulatory requirements and is being used by the enterprise and if the system processes are effective. It is not Transport Canada’s role to find every example of non-compliance that may exist within a enterprise’s system(s).
This SSI was created to harmonize the surveillance program in Civil Aviation, Ontario Region with the policy and instructions stipulated in the National Staff Instruction “Surveillance Procedures” SUR-001 (SI-SUR-001).
This SSI fulfills the SI-SUR-001 requirements by establishing the standard to be used for PVI and process inspection planning, the assigning of responsibilities, establishing the administration process, and providing a recording method for consistent delivery of the program.
Operations Manager - East/West – ensuring the financial and human resources are made available to accomplish the tasks
Convening Authority (CA) – responsible for authorizing, assigning resources and developing and monitoring the surveillance plan, and ensuring compliance with this SSI. The CA is usually the Superintendent.
Operational Support Person (Ops Support) – responsible for conducting the administrative activities in support of the PVI or process inspection in accordance with this SSI when requested by the Convening Authority.
Process Inspection Lead – responsible for the overall management of the process inspection in accordance with this SSI, including participating in the process inspection and managing a team and writing the report if required.
Program Validation Manager (PVIM) – responsible for the overall management of the PVI process in accordance with this SSI, including managing the team, writing the report and participating in the PVI.
Principle Inspector (PI) – responsible for providing information to the PVI Manager or Process Inspection Lead when requested.
Team Member– responsible for conducting the PVI or process inspection in accordance with this SSI.
It is recommended that a minimum of two people be assigned to each PVI (a PVI Manager and a Team Member).
SI-SUR-001 contains guidance on team selection and qualifications.
It is recommended that the PI be a member of the PVI team. However, when possible, the PVI Manager duties should be assigned to someone other than PI.
Schedule the surveillance activity (PVI or Process Inspection):
Select team member(s);
Conduct the preparation and ensure it is completed by the team member(s); and
a. Screen Select appropriate company
b. Select audit and inspection tracking tab
c. Highlight and select applicable Branch
Select “Planned Tab”
d. Confirm Mandatory Inspection Box selected
e. Under “Type” confirm “Program Validation Inspection” or “Process Inspection”
f. Planned date: Update “planned date”
g.Planned Order – risk (low, medium, high) leave at default “Medium”
h. Fill in Planned Resources & Cost breakdowns as applicable (optional)
i. Save all updates
Select “Contacts Tab”
j. Convening Authority: Confirm appropriate “Superintendent”
k. Inspection Manager: Confirm appropriate ”PVI Manager” or “Process Inspection Lead”
l. Confirm Office of Primary Interest:
m. CAP Inspector: “PI or person assigned”
n. Follow-up Inspector: “PI or person assigned”
o. Save all updates
Send an appointment request to the Team Member(s), for a minimum of 2 days pre-validation preparation, 1 day on-site, and 1 day post validation, using “MS OUTLOOK Calendar” indicating the enterprise name and planned date;
1. It is recommended that the preparation be scheduled for 2 weeks prior to the date of the on-site activities.
2. Additional time on site may be required for large, complex, multi-functional companies.
3. The preparation can be done as a group or can be done individually depending on team member locations, schedules and experience levels. There are benefits to both methods. Regardless of which method is chosen the PVI Manager or Process Inspection Lead must ensure effective use of TC resources and that team discussions of issues and the plan for on-site activities are discussed before the scheduled on-site date.
Start the applicable Process Confirmation Checksheet (PVI Appendix A, RDIMS #3977908 or Process Inspection Appendix K RDIMS #5957072); and,
Ensure all Team Members track their actual time spent during each phase of the activity, including travel time.
Block out time in their MS Outlook for pre- (preparation) and post- (assessing etc.) activities. For a PVI, a minimum of two (2) days per phase of the activity is to be blocked out.
1. Rescheduling of an activity refers to the changing of the “planned” date and rescheduling it within the same fiscal year.
2. Cancelling of an activity refers to changing the date or cancelling the activity so it will not be completed within the fiscal year in which it was planned.
a. Coordinate with the Team Members; and,
b. Advise the CA of the new date.
Main NACIS Screen
a. Selecting appropriate company
b. Selecting audit and inspection tracking tab
c. Selecting the applicable planned activity
Select “Planned Tab”
d. Planned date: Updating “planned date” with the re-scheduled date
e. Saving all updates
Complete an entry in the Risk Indicators Assessment Database for all applicable certificates (ie. Operations, Maintenance, DG)
Consult with the CA;
Provide justification for the cancellation which may include, but is not limited to the following circumstances:
Certificate action occurring
Lack of resources
Advise the Team Member(s) and PI if applicable;
Update MS Outlook;
Finalize the Risk Indicators Assessment Database entry made; and
Open the applicable “Reference” number for the activity planned;
Enter the justification in the Notes section of the Audit/Inspection Planned Tab;
Change the “Status” flag to “Cancelled”.
Contacting the PI, advising of the upcoming PVI and obtaining information on the enterprise when required;
Contacting Aviation Enforcement Manager, and requesting a records’ check regarding any issues or enforcement actions (historical or on-going) applicable to the enterprise or key personnel since the last surveillance activity.
Contacting the enterprise key personnel by phone, fax or email to:
Notify the enterprise of intent to perform a PVI;
Confirm the date. If the date is different than the planned date in NACIS Ref 5.1(4) revise NACIS and MS Outlook Calendar as applicable;
Confirm their preference for further communications regarding the PVI ie. Fax, email or post;
Arrange for site facilities and equipment as required;
Identify and arrange for all documents not held by Transport Canada, to be forwarded to the TCC. E.g. Documents incorporated by reference (SOPs, Procedures Manuals, Small Operator Maintenance Control Manual QA Checklists); and
Request pertinent enterprise records be made available on-site during the PVI;
Health and Safety Questionnaire (Appendix C, RDIMS #3977912)
For an Operational Control PVI on a Fixed Wing 702, 703 or 704 Certificate Holder, print a copy of the Checklist and Guide for the development of a fixed wing company operations manual, which is available on the Transport Canada website at:
For an Operational Control on a Rotary Wing 703 Certificate Holder the COM Certification Form RDIMS # 3977915;
For an Operational Control PVI on a 703 or 704 Certificate Holder carrying passengers - the appropriate Safety Features Card Certification Form for the operation (RDIMS #4422076, RDIMS # 4422105 or RDIMS #4422146).
Select “Actual Tab”
Enter date in: CA letter sent
Save; confirm status changes from Planned to Scheduled.
Transportation and accommodation arrangements are made in accordance with the Travel Directive; and,
Tools and equipment that may be required during the PVI are arranged for.
Appropriate time is planned for each phase of the PVI.
Complex and multi-functional PVI may require additional time for pre, on-site and post PVI activities.
Save the document(s) into RDIMS using the applicable TCC protocols;
Note: If the document(s) are required for the documentation review, retain a copy prior to sending to Information Management for scanning.
Enter the RDIMS number(s) on the Process Confirmation Checksheet, Item #7;
Request the specialist(s) review the supplemental documents if they are not part of the PVI Team. e.g. Cabin Safety for the Safety Features Card(s); and
Consult with CA if concerned with comments on the Health and Safety form.
Note: Aircraft Maintenance and Manufacturing, Commercial and Business Aviation and Dangerous Goods, Flight Training Unit Operations, Air Traffic Services and Airports/Heliports have worksheets referenced in Section 2.1. All other divisions should utilize their existing worksheets.
A check of the policies and procedures in the manual, or appropriate sections of the manual.
The development of a PVI Plan, Appendix G, RDIMS #5440840. Depending on the scope and complexity of the PVI, not all areas of the PVI Plan are required. Objective, Scope and Depth are the only required fields in the plan. When conducting multiple interviews, include the Interview Portion of the PVI plan, which maybe provided to the enterprise in advance of the on-site activities.
The development of a sampling plan to identify the sample area(s). A Sampling Template is available in RDIMS #4954087. Record on the PVI worksheet the random sampling method used. Stratified sampling details are available in SI-SUR-001 7.8.1 (3) (d).
Note: The sampling method must be random and repeatable. Examples of random repeatable are computer generated (random number generator) or a record produced on a particular day of the week, e.g. Thursday. A random number generator can be found at http://www.random.org.
The development of questions for the planned interviewees based on their duties. The questions must relate to the expectations, and interviewees level of knowledge of the system; and
The identification of areas of concern that may warrant further review on-site per the applicable worksheet(s).
1. If a significant or safety related manual deficiency is identified, it can be highlighted for inclusion in a manual non-compliance finding.
2. An instruction or procedure must include the details of who does what, where, when and how.
3. If it has been determined that the document or section does not meet the regulatory requirements and examples have been identified and documented (three examples are generally required to support a non-conformance) the team is to continue reviewing the document to gain an understanding of the enterprise.
4. If significant examples of non-compliance are identified during the remainder of the review, the examples can be used as additional examples or may be used instead of the previously identified examples. Use the strongest examples to support the finding.
For Operational Control: one year.
For Quality Assurance: two company audit cycles but no more than the preceding two years of enterprise records and include previous surveillance records and any associated findings and corrective action plans.
a. Operations: Select CBA>OC>
Maintenance: Select AO>
General Aviation: Select GA>OC
b. Select Reports
c. Select Pre-Audit - enter company file number or click box to allow you to enter the company name
d. Ensure the correct company criteria are shown and click OK.
Company Information Section
Applicable Certificate Information Section
Notify the PI or OPI of any updates required;
Indicate your name in the section at the bottom of the last page of the report; and
Retain Pre-Audit report as part of the PVI Records.
a. Verify legal name and trade name with company files, manuals and NACIS;
b. Identify company scope;
c. Approved Company Manuals or applicable section, and incorporated by reference documents;
d. Company File review - RDIMS and/or Hard Copy;
e. Previous audit / inspection / surveillance reports; and
f. Exemptions if applicable. Exemptions are retained on File number 2500-1.
g. Civil Aviation Daily Occurrence Reports (CADORs);
h. Aircraft files;
i. Airworthiness Directives;
j. If special processes exist, review process specifications e.g. NDT;
k. Personnel licence databases to confirm validity of enterprise personnel qualifications and licences;
l. Continuing Airworthiness Web Information System (CAWIS);
m. Type Certificates;
n. Transport Canada databases (e.g. CCARCs, FTAE, AMES, etc);
o. Enterprise web page, if applicable;
p. Approved Check Pilot Information from NACIS and FTAE Statistics, as applicable.
If issues arise which may require parallel finding(s) or observation(s); and/or,
If additional areas are considered for inclusion in the PVI. The Inspection and Audit Manual check sheets are available as a guideline for additional areas.
PVI Manager will convene an entry meeting with enterprise key personnel and the PVI Team. Appendix D, RDIMS #3977921 contains a sample guide detailing discussion points for the entry meeting.
Note: Let the enterprise decide on appropriate personnel to attend.
Record date, time and all attendees, including TC personnel, and retain as part of the final PVI package.
Details shall be recorded in the space provided on the Entry Meeting Sample, Appendix F, PVI Worksheets or incorporated attachment(s) e.g. extra note pages referred to in the worksheet.
To gain a thorough understanding of the enterprise’s processes and procedures;
To determine whether the system described by the interviewee is consistent with the system described in the manual;
To determine whether the system is being used and meets the regulatory requirements; and;
To determine if enterprise personnel understand their system and their duties and responsibilities within the system.
To verify the system is being documented as described by the enterprise;
To verify the effectiveness of the Program(s) from the records sampled; and
To verify there are sufficient personnel to support the operation of the Program.
Name / Identifier / Licence Number & Position of Interviewee (Name to be removed in report);
Time / Date; and
Pertinent details of interviewees’ responses.
The identification of the document, record or aeronautical product sampled (i.e. type of records, software, parts, aircraft registration, etc; and,
The scope or range (date of training or range, page number, work order number, etc.).
Copy the document and then certify it as a true copy and include the date and Inspector’s signature (or delegation stamp) on photocopied document;
Not mark or highlight the document in any other way; and
Secure film or digital memory when taking photographs.
PVI Manager shall conduct an exit meeting with enterprise key personnel. Appendix E, RDIMS #3977923 contains a sample exit briefing.
Note: Let the enterprise decide on appropriate personnel to attend
Record the date, time, attendees (including TC personnel), and relevant discussion points pertaining to issues identified during the PVI and retain as part of the final PVI package.
Details shall be recorded in the space provided on the Exit Meeting Sample Appendix E, PVI Worksheets or incorporated attachment.
Conduct an analysis of the worksheets and associated documents generated by the PVI. Refer to SI-SUR-001 14.8.5 for additional guidance;
Document on the worksheet(s) the results of the analysis;
Compare the results of the PVI worksheet(s) against the level 3 expectations to determine compliance or non-compliance for the areas evaluated;
Save the PVI Worksheets into RDIMS (either by scanning directly or saving the electronically created and completed document); and
If the Worksheets have been saved into RDIMS, record the RDIMS reference number(s) on the Process Confirmation Checksheet (Item #16).
Note: If there is only one person with functional expertise on the team, that team member may consult with other functional specialists (subject matter experts) to determine compliance depending on availability and time constraints.
Score of 1: the component or system is not fully documented, not implemented or not functioning.
Score of 2: the component or system is partially implemented but not effective. (Has not met all of the level 3 expectations).
Score of 3: the organization or systems meets all the level 3 expectations
Score of 4: the organizations meet all of level 3 criteria and some of level 5 best practices
Score of 5: the organization meets of level 3 and level 5 best practices
When writing findings, a single example of non-compliance can be used e.g. where a enterprise had an untrained pilot who operated an aircraft or an Airworthiness Directive was not complied with, and more than three examples of non-compliance can also be included. The additional examples may be inserted into the Examples section of the finding form or may be attached as an Appendix. In addition a statement at the bottom of the findings section of the finding form indicating that the examples are not an exhaustive list can be made.
Use the best (strongest) examples that demonstrate that the system or process is not functioning or is not compliant.
Complete the letter and the findings to compile the PVI Report.
Ensure that the report clearly states the results of the validation similar to an executive summary and that it includes a score, interpretation of the finding (minor, moderate, major, critical), corrective action information and enforcement information where applicable;
Note: Executive Summary details are contained in SI-SUR-001 Section 9.2. Do not include subjective statements, suggestions or recommendations in the report.
Include in the “Non-Conformance With” section of the finding form, the applicable expectation(s) that was not satisfied. This will provide the Certificate Holder with a link between the finding, regulatory requirement and expectation(s) identified in the report letter.
Use the IAM numbering system to identify the appropriate area of non-conformance when drafting the finding; the numbering system does not identify the IAM checksheet used, but rather the area of inspection for NACIS tracking purposes.
Send the PVI report to the enterprise within 10-30 calendar days of the exit meeting. If the 30-calendar day report delivery requirement cannot be met, consult with the CA.
Use a method of delivery that provides confirmation of receipt. When the report is hand delivered, ensure to record the date of delivery on the PVI Process Confirmation Checksheet;
Save the PVI Report to RDIMS; ref: 10.1 and record the RDIMS number on the Process Confirmation Checksheet; and,
Forward the RDIMS link via email to the CA and PI(s), if the PI is other than PVI Manager, upon completion and delivery to the enterprise,
Note: A Process Inspection is a surveillance method not normally requiring appointment of a CA; official notification to the enterprise; opening and or closing meetings; or report to the certificate holder if there are no findings.
The CA is notified of the activity;
NACIS is updated with the process inspection date in accordance with Section 5.1(4); and,
Process Inspection Template, Safety Profile (RDIMS #4676175)
Process Inspection Template, Performance Measurement (RDIMS #4675951)
Process Inspection Template, Emergency Preparedness & Response (RDIMS #4675907)
Process Inspection Template, Investigation and Analysis (RDIMS #4675876)
Process Inspection Template, Training (RDIMS #4675842)
Process Inspection Template, Generic (RDIMS #5003211)
Note: To ensure sufficient space for documenting the results of the process inspection, single sided printing of the worksheet(s) should be considered. Do NOT double side print any document that will need to be scanned into RDIMS
Previous assessments, PVIs, or audits including corrective actions and follow-up where applicable;
Accident or incident data, including CADORS;
Previous enforcement action; and
Exemption, waivers, approvals, limitations and authorizations.
Using the process inspection worksheet created during the documentation review, follow the process from step to step.
Guidance on “tracing”, the method commonly used to follow a process, is available in SI-SUR-001, Section 17.4 (RDIMS #4650769).
Save all applicable documents into RDIMS including the process inspection worksheet;
Update NACIS with the RDIMS # of the process inspection worksheet;
Update ARASS with 1 completion per Process Inspection conducted and record all time using the “Actual Days” task; and,
Make an entry into the Risk Assessment Indicator Database.
Complete the letter and the findings to compile the process inspection report;
Ensure that the report clearly states the results of the inspection and that it includes corrective action information and Enforcement information where applicable;
Use the IAM numbering system to identify the appropriate area of non-conformance when drafting the finding; the numbering system does not identify the IAM checksheet used, but rather the area of inspection for NACIS tracking purposes;
Send the process inspection report to the enterprise within 10-30 calendar days of the inspection date. If the 30-calendar day report delivery requirement cannot be met, consult with the CA;
Use a method of delivery that provides confirmation of receipt. When the report is hand delivered ensure to record the delivery date on the Process Confirmation Checksheet, item #15;
Save the Report to RDIMS; Ref. 8.1 and record the RDIMS number on the Process Confirmation Checksheet;
Save all applicable documents into RDIMS including the process inspection template;
Update NACIS with the RDIMS # of the process inspection worksheet;
Update ARASS with 1 completion per Process Inspection conducted and record all time using the “Actual Days” task; and
Make an entry into the Risk Indicator Database.
All documents that are electronically created for the PVI or Process Inspection are saved into RDIMS; and,
Other documents that support the activity are scanned and saved into RDIMS or paper profiled ie. PVI Worksheets, Process Inspection Template, etc.
Do not scan multiple PVI documents into one RDIMS file or save multiple documents into one email, then save into RDIMS ie. Scan PVI Notification Letter, PCC, and Report into one RDIMS document.
Name - enter Program Validation Inspection or Process Inspection…Report or Notification Letter or Worksheet, etc. (as applicable to the document) ABC Airlines May 2003"
Description – optional
Author and OPI – ensure the proper default are selected
Security - select 2 (Protected A) for the PVI/Process Inspection Report and select 1 (Unclassified) for all other PVI/Process Inspection documents
Access - When selecting “Protected A” for the inspection report, the PVI Manager or Process Inspection Lead will ensure that PA and AAR Civil Aviation have read only “Access” rights.
If the Access rights need to be modified, press the “Edit” button and follow the steps below:
Double Click on "Groups"; Highlight PA Civil Aviation – Click on "Add"; In the "Current Trustees Box" Highlight PA Civil Aviation - Access Rights Select "Read Only"
Double Click on "Groups"; Highlight AAR-Civil Aviation - Click on "Add"; In the "Current Trustees Box" Highlight AAR-Civil Aviation - Access Rights Select "Read Only";
Ensure the Process Confirmation Checklist is scanned into RDIMS.
Note: When the Scanning Request form is used, ensure it include the name in accordance with the naming convention, the number of pages to be scanned and instructions to IM to scan all pages.
Select “Actual Tab”
a. Entry meeting date and Exit meeting date;
b. “Actual Resources and Cost breakdown” fields as applicable;
Select “Findings Tab”
c. Select “Add” button and enter Finding details as required by the fields in NACIS;
d. Enter Follow-up as appropriate.
Select “Audit Report Tab”
e. Actual sent date. Accept default date for CAP due.
f. Reference RDIMS document number of the report in “notes” section
Select “CAP Tab”
g. Confirm the “ Due date” field has been populated.
h. CAP Inspector – PI or person assigned by Superintendent.
i. Refer to Tombstone Data section
j. Confirm the Status block shows “CAP Due”
k. Use Bring Forward function in NACIS to notify the CAP Inspector and the PI of the CAP Due Date
Note: The database is located on the Ontario Region Intranet Site, Civil Aviation, Audits and Inspections, listed as Risk Indicator Assessment Form.
The PVI Manager or Process Inspection Lead shall:
Update the Risk Indicator Assessment Data Base with entries for all applicable functions (ie. CBA entry, M&M entry, etc.), within 10 working days of sending the report or completing the Process Inspection; and,
Advise the CA when Risk Indicator Assessment(s) have been completed and the applicable functions for which assessments were completed.
The CA is responsible for claiming the applicable PVI or Process Inspection completion task in ARASS.
Note: Only the CA should claim the completion task.
The Team members will claim the actual days (7.5 hours per day) spent on inspection activities. eg. Preparation, on-site and post activities.
The PVI Manager or Process Inspection Lead and Team Members are responsible for claiming any aircraft and/or aeronautical product inspections and/or monitoring of training, which occurred during the On-Site activities using the applicable ARASS tasks.
Each Team Member will provide the PVI Manager or Process Inspection Lead with their actual time spent during each of the 3 phases of the surveillance activity, including Travel Time.
The PVI Manager or Process Inspection Lead will compile the hours spent during the PVI or Process Inspection and record in the applicable area of the Process Confirmation Checksheet after each phase.
The PVI Manager or Process Inspection Lead will note the date the report was sent (if applicable) on the Process Confirmation Checksheet.
The PVI Manager or Process Inspection Lead shall review the Process Confirmation Checksheet for accuracy, enter their name and date and forward to the CA.
The CA shall review the Process Confirmation Checksheet, enter their name, and date where indicated.
The Process Confirmation Checksheet shall:
Be saved into RDIMS if created electronically or depending on TCC protocol (paperless offices) and marked Final; or
If created in hard copy, fill out a scanning request form, send document to IM for scanning and place the original on the hard copy file; and
Other Civil Aviation divisions should be advised when unsafe practices or regulatory violations are discovered or when we have information that could impact approvals. When required to contact a TC specialist outside the surveillance Team, consult with PVI Manager, Process Inspection Lead or CA for guidance on the applicable communication protocols.
|Program Validation Inspection Process Confirmation Checksheet||Appendix A||3977908|
|Program Validation Inspection Notification Letter||Appendix B||3977910|
|Health and Safety Questionnaire||Appendix C||3977912|
|Entry Meeting Notes||Appendix D||3977921|
|Exit Meeting Notes||Appendix E||3977923|
|Evidence Log||Appendix F||3977930|
|PVI Plan Template||Appendix G||5440840|
|Program Validation Inspection Report – with findings||Appendix H||3977939|
|Program Validation Inspection Report – NIL findings||Appendix I||3977946|
|Operational Support Activities||Appendix J||5968729|
|Process Inspection Confirmation Checksheet||Appendix K||5957072|
|Process Inspection Report – with findings||Appendix L||5957164|
For more information or to provide comments please contact:
Ontario Region Civil Aviation Standards – PAHQ
Please forward any comments or concerns to the mailbox at:
Original signed by
A/Regional Director, Civil Aviation