Staff Instruction (SI) No. REG-014

Process and procedures associated with the Transport Canada Civil Aviation (TCCA) Consolidated Record of Authorities and Official Credentials       

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Issuing Office: Civil Aviation, Policy and Regulatory Services Document No.: SI REG-014
File Classification No.: Z 5000-32 Issue No.: 01
RDIMS No.: 9070891-V5 Effective Date: 2014-10-27

TABLE OF CONTENTS

1.0 INTRODUCTION

1.1 Purpose

  1. This Staff Instruction (SI) provides the national standards for the policy associated with the Transport Canada Civil Aviation (TCCA) Consolidated Record of Authorities. It also establishes criteria for the Issuance of Official Credentials as they relate to TCCA inspector/officer functions and duties.
  2. This document sets out the requirements outlined in Civil Aviation Directive (CAD) REG-009 — TCCA Consolidated Record of Authorities and Official Credentials, RDIMS # 9194394.

1.2 Applicability

  1. This document applies to TCCA managers, inspectors and officers who exercise the duties and functions of positions listed in the TCCA Consolidated Record of Authorities accessible through the following link: RDIMS # 8496544.
  2. This information is also available to the aviation industry for information purposes upon request.

1.3 Description of changes

  1. Not Applicable

2.0 REFERENCES AND REQUIREMENTS

2.1 Reference documents

  1. It is intended that the following reference materials be used in conjunction with this document:
    1. Aeronautics Act (R.S., 1985, c. A-2), http://laws-lois.justice.gc.ca/eng/acts/a-2/;
    2. Canadian Aviation Regulations SOR/96-433, http://www.tc.gc.ca/eng/civilaviation/regserv/cars/menu.htm;
    3. TCCA Consolidated Record of Authorities, RDIMS # 8496544;
    4. Civil Aviation Directive (CAD) REG-009 — Policy on the Use and Management of the Transport Canada Civil Aviation (TCCA) Consolidated Record of Authorities and Official Credentials, RDIMS # 9194394;
    5. Transport Canada inspector/officer credentials, badges and stamps policy, RDIMS # 5536102;
    6. Protocol for official TC inspector/officer credentials badges and stamps, RDIMS # 2131014;
    7. Procedures respecting the issuance, tracking and use of Transport Canada inspector/officer credentials, badges and other instruments (RDIMS # 5536133); and
    8. Civil Aviation Directive (CAD) ADM 005 — Required Training for Civil Aviation Employees who Develop, Deliver and/or Support Oversight Activities, RDIMS # 9290074.

2.2 Cancelled documents

  1. As of the effective date of this document, the following document is cancelled:
    1. Directive 7A, 2002-04-01 — Issuance and Monitoring of Official Credentials for Ministerial Delegation.
    2. By default, it is understood that the publication of a new issue of a document automatically renders any earlier issues of the same document null and void.

2.3 Definitions and Abbreviations

  1. For the purpose of this document, the following definitions are used:
    1. Inspector/officer: TCCA department officials who exercise the functions and duties of positions listed in the TCCA Consolidated Record of Authorities. Note: The functions and duties of positions listed in the TCCA Consolidated Record of Authorities are not uniquely assigned to inspectors, hence the reference to the term officer.
    2. Manager: All levels of management who exercise the functions and duties associated with any of the positions listed in the TCCA Consolidated Record of Authorities and/or who have a supervisory role for those who exercise the functions and duties associated with any of the positions listed in the TCCA Consolidated Record of Authorities. (i.e., Director, Associate Directors, Chief, Program Manager, etc.)
    3. Ministerial Authorization: A document, signed by the Minister of Transport, within which are listed specific TCCA positions authorized to exercise the duties and functions associated with subsection 4.3(3), section 5.1 and subsection 5.9(2) of the AA.
    4. Official credentials: A Transport Canada Designation Identification Card (non-biometric or biometric), a badge or a stamp.
    5. Required training: Training programs that are focused on the duties performed by employees in accordance with work descriptions and as assigned by management.
    6. TCCA Consolidated Record of Authorities: A reference document that lists provisions of the AA and the CARs (including subsection 4.3(3), section 5.1 and subsection 5.9(2) of the AA) as well as the corresponding TCCA inspector/officer positions authorized to exercise associated functions and duties.
    7. Transport Canada (TC) Designation Identification (ID) Card: A non-biometric or biometric inspector/officer identification card.
  2. For the purpose of this document, the following abbreviations are used:
    1. AA: Aeronautics Act
    2. AARBH: The Regulatory Affairs Division of the Policy and Regulatory Services Branch, TCCA
    3. CAD: Civil Aviation Directive
    4. CARs: Canadian Aviation Regulations
    5. NCAMX: National Civil Aviation Management Executive
    6. RAIC: Restricted Area Identity Card
    7. RDIMS: Records, Document and Information Management System
    8. SI: Staff Instruction
    9. TC: Transport Canada
    10. TCCA: Transport Canada Civil Aviation
    11. TCID: Transport Canada Inspector Credentials Database

3.0 BACKGROUND

  1. In the context of the duties and functions assigned to TCCA inspector/officer positions under the provisions of the AA, only 3 require an official Ministerial Authorization, namely, section 5.1 and subsections 4.3(3) and 5.9(2). Ministerial Authorizations are signed by the Minister of Transport.

    Notes: Please note that subsection 4.3(3) is restricted to the Deputy Minister position. Subsection 4.3(1) is dealt with separately in the context of external delegations).
  2. The remaining AA and CARs authorities linked to functions and duties of TCCA inspectors/officers are administered by the Director General Civil Aviation. These authorities are exercised by TCCA inspectors/officers based on their respective work descriptions by virtue of the common law (Carltona principle) and subsection 24(2) of the Interpretation Act.
  3. Evidence of the AA and CARs authorities (as referenced in (a) and (b) above) is combined in a Consolidated Record of Authorities which is provided to TCCA inspector/officers as a reference tool.
  4. The exercise of the powers, duties and functions of inspectors/officers may be limited by managers in respect of employees who lack the knowledge, experience or training needed to exercise them fully or in respect of those who are not required to exercise responsibilities related to such authorities.
  5. TCCA Inspectors/Officers may be issued associated official credentials as applicable (a TC Designation ID (non-biometric or biometric) badge and/or stamp) to demonstrate evidence of the authority associated with their position. Management is expected to conduct individual assessments based on established criteria to make a determination as to whether or not an employee requires official credentials.

4.0 ASSESSMENT REQUIREMENTS AND CRITERIA

4.1 Assessment Requirements

  1. Managers shall conduct individual assessments in order to determine whether or not the holders of positions under their supervision meet the requirements to exercise duties and functions associated with authorities of the AA and the CARs. The assessment will also assist them in determining whether or not the criteria for the issuance of official credentials are met.
  2. Managers shall conduct such assessments and make their determination using the criteria listed in sections 4.2 and 4.3 below.  Managers shall also document the resulting decision by using the record keeping tools provided in section 5 below.
    1. Implementation:
      1. Please note: A decision made as a result of an evaluation shall be documented using a memorandum that will be filed in each evaluated employee’s record (please refer to the sample provided at section 5. This evaluation and recording exercise will need to have been completed no later than one year after the coming into effect of this SI for all concerned.
  3. Individual assessments shall be conducted by managers for all inspectors/officers, including:
    1. New TCCA inspector/officer; 
    2. Any existing TCCA inspector/officer assuming the duties and functions of a new position (change of position) within TCCA; and
    3. Any inspector/officer exercising new responsibilities within the same position (i.e. generic job descriptions. [i.e., the inspector /officer is the holder of generic position X. Position X’s work description contains duties (a) to (e)]). Initially, the inspector/officer in question is assigned duties (a) to (c).  Subsequently, he or she is assigned duties (a) to (e).
  4. Such an assessment will help managers determine whether or not the inspector/officer under his or her supervision can be authorized to exercise functions and duties associated with the authorities of theAA and the CARs. Such an assessment might also help managers establish any condition or restrictions under which the inspector/officer can exercise related functions and duties.  Finally, the assessment will assist managers to determine whether or not associated official credentials need to be issued.
  5. Managers shall also consider an individual assessment for all existing TCCA inspector/officer in conjunction with Employee Performance Management assessments.  Through this exercise, managers will have the opportunity to either, confirm or make changes to the authorities previously authorized; make sure that training is up to date; amend, add or remove any conditions or restrictions if applicable; and/or recommend issuance, denial or cancellation of associated official credentials.
  6. Issuance of official credentials is always subject to management recommendation and functional director approval.

4.2 Criteria for authorization to exercise functions and duties associated with the AA and the CARs

  1. The decision to authorize managers and inspectors/officers to exercise their functions and duties under the authorities of the AA and the CARs and to issue, deny or cancel associated official credentials shall be made further to an assessment(s) of the following:
    1. Authorize with due consideration to safety, protection of persons and property, management guidance and limitations of training and experience: Managers and inspectors/officers shall be authorized to exercise functions and duties linked to authorities found under the AA and the CARs subject to any conditions deemed necessary for safety, the protection of persons and/or property and to any limitations imposed by management in respect of inspectors/officers or managers who lack knowledge, experience or training needed to fully exercise the legislative and/or regulatory authorities assigned to their position; or
    2. Limiting authorizations to those which are required: Some Managers and Inspectors/officers who are not required to exercise responsibilities linked to authorities of the AA or the CARs (i.e. the inspector /officer is the holder of generic position X. The work description contains duties (a) to (e) of which only (d) and (e) are linked to AA or CARs authorities. However, the inspector/officer in question is not required to exercise responsibilities related to AA or CARs authorities given that he or she is only authorized to exercise duties (a) to (c)).
    3. Restrict authorizations for new appointees: A new TCCA manager or inspector/officer or an existing TCCA manager or inspector/officer who assumes the functions and duties of a new TCCA position (position change) may initially receive restricted authority to perform partial duties when, in his or her manager's view, he or she has acquired some knowledge, experience or training allowing him or her to perform specified duties.

4.3 Criteria for the issuance, denial or cancellation of TC official credentials

  1. Managers and inspectors/officers may be issued official credentials based on full authority, or based on partial authority, subject to any limitations imposed by management in respect of employees who lack knowledge, experience or training needed to exercise the legislative and/or regulatory authorities. Official credentials may also be denied or cancelled if the criteria (set out below) allowing the issuance of such credentials are not met or are no longer being met.
  2. Not all managers or inspectors/officers authorized to exercise functions associated with the authorities of the AA and the CARs require official credentials such as a TC designation ID card (biometric or non-biometric), a badge and /or a stamp. The decision to issue, deny or cancel TCCA official credentials shall be made in accordance with the following criteria:
    1. An official TC designation non-biometric ID Card
      1. An official TC designation non-biometric ID Card may be issued to holders of positions authorized to exercise functions and duties associated with the following provision of the Aeronautics Act:
        1. Paragraph 8.7(1)(a):
        2. Subject to subsection 8.7(4) of the Aeronautics Act:
        3. (a) to enter any aircraft, aerodrome, facility relating to aeronautics or any premises used for the design, manufacture, distribution, maintenance or installation of aeronautical products for the purposes of making inspections or audits relating to the enforcement of Part I of that Act.
      2. Required training must either be completed to receive the authorities set out above or management deems sufficient the Structured On-the-Job Training completed so far by the inspector/officer and applicable restrictions have been imposed accordingly.
    2. An official TC biometric RAIC-compatible Designation ID card
      1. An official TC biometric RAIC-compatible designation ID card may be issued ONLY to holders of positions requiring access to restricted areas at Class I and Class II airports in order to exercise associated functions and duties OR for holders of a position that requires the exercise of powers, functions or duties giving rise to compliance with the International Traffic in Arms Regulations (ITARs). The following additional requirements also apply:
        1. The inspector/officer's position is linked with the authority to exercise functions and duties associated with subsection 8.7(1) of the AA;
        2. The inspector/officer's manager deems sufficient the Structured On-the-Job Training completed so far by the inspector/officer and applicable restrictions have been imposed accordingly;
        3. The authority is required for the inspector/officer to carry out core duties of an operational nature such as airside inspections, audits, assessments, validation or oversight duties as opposed to management/administration duties or upon approval of branch directors for operational requirements; and
        4. The inspector/officer holds a Secret or Top Secret security clearance status.
    3. An official TC badge
      1. An official TC badge may be issued to holders of positions authorized to exercise functions and duties associated with the following provision of the Aeronautics Act:

        Paragraph 8.7(1) (a):
        Subject to subsection 8.7(4) of the AA, to enter any aircraft, aerodrome, facility relating to aeronautics or any premises used for the design, manufacture, distribution, maintenance or installation of aeronautical products for the purposes of making inspections or audits relating to the enforcement of Part I of that Act; and
      2. Required training must either be completed to receive the authorities set out above or management deems sufficient the Structured On-the-Job Training completed so far by the inspector/officer and applicable restrictions have been
    4. An official TC stamp
      1. An official TC stamp may be issued to TCCA Inspectors/officers holders of positions in the areas of Airworthiness or Flight Operations. The issuance of a stamp shall be subject to the need for the inspector/officer to carry out tasks that require the use of an official TC stamp.
    5. The following table gives an indication of the general impact of the criteria described above:
Positions associated with schedules that may be issued TC Official credentials: Positions associated with schedules that will not normally be issued TC
Official Credentials:

A-3, A-4, A-5
N-1 to N-25
R-1 to R-9 and R-12 to R-15
S-1 to S-9; S-11 to S-22 and
S-24 to S-26
T-1 to T-7, T-9 and T-10

(For a list of corresponding position titles, please see RDIMS # 8522709).

R-10 and R-11
S-10 and S-23
T-8

 

 

(For a list of corresponding position titles, please see RDIMS # 8522709).

5.0 INFORMATION MANAGEMENT

  1. The following tools are available to managers to assess and manage the use and level of the employee's legislative and regulatory authorities allowing them to exercise the functions and duties of their respective position:
    1. TCCA Consolidated Record of Authorities within which managers will find a list of authorities and job positions (RDIMS # 8496544).
    2. List of TCCA official position titles and associated schedules (RDIMS # 8522709).
    3. Memorandum template for recording assessment results (RDIMS # 9365650).
    4. The Transport Canada Inspector Credentials Database (TCID) through which managers shall make their recommendation for issuance, denial or cancellation of official credentials. The application for official credentials through the TCID involves several steps which are described in the Procedures respecting the issuance, tracking and use of Transport Canada inspector/officer credentials, badges and other instruments (RDIMS # 5536133) the TCID can be accessed through the following link for those who have obtained appropriate Entrust and TCID login passwords.
    5. Bridging document (RDIMS-#9145562)
      Please note: The schedules/position titles listed within the TCID will eventually be amended to reflect the updated TCCA Consolidated Record of Authorities version, however, in the meantime, please use the Bridging document (RDIMS/9780272) for guidance in checking which combination of schedules apply to your specific position.

6.0 DOCUMENT HISTORY

  1. Not applicable

7.0 CONTACT OFFICE

For more information, please contact:

Regulatory Affairs, AARBH

Phone: 613-990-1184
Fax:     613-990-1198
E-mail: Marie-Anne.Dromaguet@tc.gc.ca

Suggestions for amendment to this document are invited, and should be submitted via:

AARBConsultationAARB@tc.gc.ca

Original signed by

Martin J. Eley
Director General, Civil Aviation

Date modified: