Aviation Safety Program Manual for the Civil Aviation Directorate
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Issuing Office: Civil Aviation
File Classification No: Z 5000-7-1 U
Issue No.: 04
RDIMS No.: 10728724
Effective Date: 2015-12-31
Table of Contents
- 1.0 INTRODUCTION
- 2.0 REFERENCES AND REQUIREMENTS
- 3.0 OVERVIEW OF TRANSPORT CANADA
4.0 OVERVIEW OF THE CIVIL AVIATION PROGRAM
- 4.1 History
- 4.2 Civil Aviation's Vision and Mission
- 4.3 Safety Management System (SMS) at a glance
- 4.4 Organizational Structure and Governance
- 4.5 Governance structure
- 4.6 Reporting Structure
- 4.7 Program 3.1 – Aviation Safety
- 4.8 Aviation Safety Regulatory Framework (P 3.1.1)
- 4.9 Aviation Safety Oversight (P 3.1.2)
- 4.10 Civil Aviation Support Services
5.0 MANAGEMENT SYSTEM
- 5.1 Risk Management
- 5.2 Management Responsibility
- 5.3 Resource Management
- 5.4 Program Design
- 5.5 Program Delivery
- 5.6 Measurement and Analysis
- 5.6.1 Stakeholder Satisfaction
- 5.6.2 Measurement and Monitoring
- 5.7 Continuous Improvement
- The purpose of the Aviation Safety Program Manual is to provide an overview of Transport Canada’s Aviation Safety Program, specifically per the Transport Canada Program Alignment Architecture (PAA) sections 3.1.1 Aviation Safety Regulatory Framework and 3.1.2 Aviation Safety Oversight.
- The Program Manual fulfills the requirements of paragraph 1.3.1(a) of the Civil Aviation Integrated Management System Standard.
- This document is applicable to all Transport Canada Civil Aviation (TCCA) personnel. It does not cover the sub-program 3.1.3 Aircraft Services of the P 3.1 Aviation Safety.
1.3 Description of Changes
- This “Aviation Safety Program Manual for the Civil Aviation Directorate, Issue 04 was updated to reflect organizational changes.
2.0 REFERENCES AND REQUIREMENTS
2.1 Reference Documents
It is intended that the following reference materials be used in conjunction with this document:
- Treasury Board of Canada Secretariat. Results for Canadians: A Management Framework for the Government of Canada March 2000;
- Civil Aviation Integrated Management System Standard, TP 14693 (05/2007);
- Transport Canada Program Alignment Architecture RDIMS # 10346543; and
- Performance Measurement Framework.
2.2 Cancelled Documents
- 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.
- The following definitions and terms apply to this document:
- 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.
- Aviation Safety Program — Refers to the PAA nomenclature that includes the Aviation Safety Regulatory Framework, the Aviation Safety Oversight and the Aircraft Services sub-programs.
- Enterprise — The holder of one or more TCCA issued Civil Aviation Documents under a single Accountable Executive. For example, a company holds an Approved Maintenance Organization Certificate, an Air Operator Certificate, an Approved Training Organization Certificate and a Design Organization Authority. The term Enterprise is intended to denote that surveillance is conducted on the whole enterprise rather than on an individual Canadian Aviation Document.
- Integrated Management System (IMS) — All interrelated Civil Aviation activities that are necessary to manage and conduct the Civil Aviation Program.
- Integrated Planning, Monitoring and Reporting Framework (IPMRF) — A framework that integrates a series of formerly independent planning, monitoring and reporting processes within Civil Aviation.
- Oversight — Activities that support the systematic promotion, monitoring, or enforcement of compliance with Transport Canada requirements governing safety or security and that contribute to departmental strategic outcomes.
- Program Alignment Architecture (PAA) — An inventory of all the programs undertaken by a department or agency. Programs are described in their logical relationship to each other and to the strategic outcome(s) to which they contribute. Refer to RDIMS 10346543 for further details on the Program Alignment Architecture.
- Safety — The condition to which risks are managed to acceptable levels.
- Safety Management System (SMS)Footnote 1 — A documented process for managing risks that integrates operations and technical systems with the management of financial and human resources to ensure aviation safety or the safety of the public.
- 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.
3.0 OVERVIEW OF TRANSPORT CANADA
- Transport Canada is the federal government department responsible for most of the transportation policies, programs and goals set by the Government of Canada to ensure that the national transportation system is safe, efficient and accessible to all its users. The department's vision statement is to have a transportation system in Canada that is recognized worldwide as safe and secure, efficient and environmentally responsible. 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.
- 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.
To succeed in its mission, Transport Canada is committed to being a world-leading organization that:
- Develops and implements effective policies, programs, and legislative and regulatory frameworks;
- Works in partnership with other governments, industry and stakeholders;
- Is recognized as a progressive, effective and accountable organization; and
- Sustains a healthy and productive work environment that values professional excellence, teamwork, open communication, diversity, continuous learning, and mutual respect.
The Treasury Board of Canada Secretariat (TBS) approved Transport Canada’s Program Alignment Architecture (PAA) in 2009. This PAA is the structure that links all Transport Canada programs to the Strategic Outcomes (SO) to which they contribute, as follows:
- An Efficient Transportation System (SO 1);
- A Clean Transportation System (SO 2); and
- A Safe and Secure Transportation System (SO 3).
- The visual depiction of the most recent approved PAA can be found at RDIMS 10346543.
4.0 OVERVIEW OF THE CIVIL AVIATION PROGRAM
- Aviation in Canada can be traced back to 1909 when a biplane was flown a distance of 800 meters 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.
- 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.
- Transport Canada revised the Aeronautics Act in 1985 to reflect government direction and meet the needs of the aviation industry.
- Until the 1990s, airports in Canada were owned, operated, or subsidized 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).
- After conducting extensive studies in the early 1990's, the Government of 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.
- The Canadian Aviation Regulations (CARs), which came into effect on October 10, 1996, replacing Air Regulations and Air Navigation Orders (ANOs).
- 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).
- In Canada, SMS became law for airlines and aircraft maintenance organizations in June 2005; for airports and some 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
The stated Vision and Mission for Civil Aviation are:
An integrated and progressive civil aviation system that promotes a proactive safety culture.
To develop and administer policies and regulations for the safest civil aviation system for Canada and Canadians using a systems approach to managing risks.
- This Vision and Mission reflect 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 more performance-based regulatory framework, Civil Aviation has structured its governance and activities such that its decision-making process includes a risk-based approach that addresses concerns from a systems perspective.
- 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 stakeholders, such as other Civil Aviation Authorities, the International Civil Aviation Organization (ICAO), the private sector, the non-governmental organizations, and the voluntary sector. Collaborative approaches, including partnerships and networking, are one of the many options at Civil Aviation's disposal to achieve positive outcomes.
- 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 Safety Management System (SMS) at a glance
- Safety Management System contributes to improve systems and procedures to maximize the safety of aviation operations. As SMS is directed towards external stakeholders, Civil Aviation imposes a similar model to reach management excellence and continuous improvement. This is the Integrated Management System (IMS) which can be considered as an internal SMS.
- 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.
- Safety is defined as “The condition to which risks are managed to acceptable levels.” SMS aims to reduce risks in aviation and seeks to steer the accident rate downward.
4.4 Organizational Structure and Governance
There are two Director Generals, Civil Aviation that lead the Aviation Safety Program; Aviation Safety Regulatory Framework and Aviation Safety Oversight and Transformation. The Civil Aviation Directorate is divided into seven headquarter branches and five regional branches. 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 Generals, Civil Aviation. Further description of the organizational structure can be found in Appendix A.
Civil Aviation Directorate
- The functional relationship allows the Director Generals, Civil Aviation to provide direction within the scope of the Civil Aviation Directorate. The line relationship signifies a command over resources and activities.
- Four headquarter branches provide national functional direction to the Civil Aviation Directorate. 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.
- Two headquarter branches (National Operations and National Aircraft Certification) and all regional branches are responsible for the day-to-day operations of the Directorate.
- One headquarters branch (Medicine) provides functional direction and performs operational activities.
4.5 Governance structure
- The National Civil Aviation Management Executive Committee (NCAMX) is Civil Aviation’s governing body. The Committee is comprised of the Director Generals, Civil Aviation as the accountable executives for the Directorate and Directors at Headquarters and in the regions. The Committee acts as a forum for high-level decision-making regarding Civil Aviation.
- The Aviation Safety Business Committee (ASBC) is the governance body responsible for the achievement of the activities belonging to Program Activity 3.1 – Aviation Safety. The ASBC is comprised of NCAMX and the Aircraft Services Directorate Executive (DG and Director).
- The Operational Management Committee (OMC) as a sub-committee of NCAMX acts as a forum comprised of the Associate Directors of Operations from each of the 5 regions as well as representatives from National Operations, National Aircraft Certification and Standards. Its purpose is to provide a forum for the horizontal and strategic integration of program delivery amongst the operational branches and to manage common issues related to the certification and oversight of the industry.
- The Analysis, Occurrence, Planning and Reporting Management Committee (AOPR-MC) is a sub-committee of NCAMX. It is a forum for the horizontal and strategic integration of program delivery and to manage common issues related to the mandate of the Regional AOPR organizations and the related Program Integration Divisions in the Headquarters (HQ)-based operational Branches (National Operations and National Aircraft Certification Branches).
- The Aircraft Certification Consultation Team (ACCT) serves as a venue for the sharing of best practices and providing collaborative support to Standards in evolving the regulatory framework for aircraft certification. The ACCT is composed of regional Technical Team Leads Engineering, NAC and Standards management and is co-chaired by the Directors of NAC and Standards.
- The National Integrated Management System Action Team (NIMSAT) provides a means to ensure that there is consistent implementation of the Civil Aviation Integrated Management System (IMS), as well as the continual improvement of the Civil Aviation Directorate. NIMSAT is comprised of a representative from the Business Management group within each HQ branch and region.
- The Civil Aviation IM/IT Planning and Priorities Forum Sub-committee has the mandate to ensure that all Information Management (IM) and Information Technology (IT) initiatives and activities are managed from a Civil Aviation-wide perspective and that they contribute to the organization’s strategic business goals. The Sub-committee has the authority to review and recommend the priority of Civil Aviation IM/IT related projects; substantiate cost / resource estimates of those projects / activities; and make recommendations to NCAMX.
The National Civil Aviation Learning Committee (NCALC) has the mandate to provide oversight and guidance in the identification, development, design, delivery and validation of learning programs, products and activities to meet the national civil aviation learning needs and to bring issues to NCAMX for decision as required.
Note: It is anticipated that the Aviation Safety Transformation Project, may impact the governance structures listed above.
4.6 Reporting Structure
- In Civil Aviation, a reporting structure is established whereby each employee has a clear line of reporting to a supervisor, manager or director. The organization structure is further detailed through organizational charts. These charts detail the reporting structure for all employees.
- HQ branches are divided into divisions, usually managed by a chief who reports to a director. The chief will have a number of direct reports as well.
- In the regions, Associate Directors of Operations (ADO) support the Regional Director. Each ADO will oversee a number of Technical Team Leads (TTL) and/or Service Team Leads (STL). They are responsible for the management of the operational oversight activities including service to aviation industry and surveillance of the aviation system. Other regional divisions such as Regional Standards Coordination; Analysis, Occurrence, Planning and Reporting and Enforcement division play a key role in specific areas that are vital to the program.
4.7 Program 3.1 – Aviation Safety
- Transport Canada’s approved Program Alignment Architecture (PAA) is the structure that links all Transport Canada programs to its strategic outcomes. Civil Aviation activities are found within Program 3.1 – Aviation Safety that is linked to the strategic outcome “A Safe and Secure Transportation System.” (Refer to Transport Canada’s Program Alignment Architecture (RDIMS: 10346543)
- The Aviation Safety Program also includes Aircraft Services.
- 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.
Program results are measured by establishing a series of Key Performance Indicators each with specific measurable targets. Using modern management tools, progress is assessed during periodic Management Review exercises. The performance measures support two ultimate outcomes:
- Continued improvement in the high level of aviation safety in Canada; and
- A high level of public confidence in the Aviation Safety Program.
- To support these outcomes, Civil Aviation is responsible to develop and administer a series of policies, regulations, and standards necessary for the safe conduct of Canadian civil aviation activities. It controls a portion of international airspace in a manner that is harmonized with the international aviation community.
As per the PAA, the Aviation Safety Program Alignment is further defined by the following sub-programs:
- 3.1.1 Aviation Safety Regulatory Framework; and
3.1.2 Aviation Safety Oversight:
- 18.104.22.168 Service to the Aviation Industry; and
- 22.214.171.124 Surveillance of the Aviation System.
4.8 Aviation Safety Regulatory Framework (P 3.1.1)
- Regulations remain one of the key tools used by government to achieve public policy outcomes. Other means of achieving the outcomes include education, promotion, and awareness, and establishing collaborative partnerships with stakeholders when appropriate.
- As part of the Aviation Safety Regulatory Framework sub-program, Civil Aviation develops risk-based policies, regulations, standards and guidelines to promote a safe and harmonized aviation culture for Canadians, for air travelers in Canada, and for Canada’s aviation industry as a whole.
Civil Aviation administers its policies and priorities within a legally sound framework through the following services:
- Develop safety policy and provide regulatory program advice related to civil aviation;
- Provide direction and advice in the development of policy, drafting of legislation, regulations, standards, and advisory material;
- Provide leadership in the identification, mitigation, and management of risks; and
- Provide legal support in ensuring compliance and enforcement of regulations, standards, and guidelines.
- The Canadian Aviation Regulation Advisory Council (CARAC) is the means by which Civil Aviation assess and recommend potential changes to the Canadian Aviation Regulations (CARs) and their associated standards, through cooperative rulemaking activities. It provides functional advice to the regional and headquarters personnel and advises stakeholders on the consultation process.
4.9 Aviation Safety Oversight (P 3.1.2)
Through the Aviation Safety Oversight sub-program, Civil Aviation verifies the aviation industry’s compliance with the regulations through two sub-programs:
- Service to the Aviation Industry; and
- Surveillance of the Aviation System.
- Aviation Safety Oversight includes the activities related to the provision of services to the Aviation Industry as well as surveillance of the Aviation System. In both of these sub-programs, the objective is always compliance to the regulatory requirements.
4.9 1 Service to the Aviation Industry (P 126.96.36.199)
Transport Canada provides services to the aviation industry based on the Canadian aviation regulatory framework in areas such as:
- Issuance of personnel licenses;
- Medical assessments required for the certification of licensed aviation personnel;
- Issuance of operating certificates to organizations; and
- Certification of aeronautical products.
- 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 aeronautical products can operate safely and in compliance with applicable regulatory requirements.
- These services are provided in response to demand from the aviation industry. In meeting these demands, Civil Aviation has established and advertised service standards. These service standards communicate to stakeholders the commitment to timeliness and the related level quality for each service delivered when the stakeholders does business with Civil Aviation. Civil Aviation is currently in the process of building capacity to measure its performance against service standards nationally.
- 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).
4.9.2 Surveillance of the Aviation System (P 188.8.131.52)
- Transport Canada conducts system-based surveillance of the aviation system to monitor the aviation industry for compliance of the regulatory framework. This is done through a risk-based approach primarily through assessmentsFootnote 2 and inspections and, when necessary, audits and enforcement action.
- National Aircraft Certification conducts surveillance of industry delegates via certification project activities, in addition to the surveillance of aircraft /aeronautical products in respect to deficiencies.
- Assessments and Program Validation Inspections (PVIs)Footnote 3 are the primary ways that Transport Canada evaluates ongoing compliance and the level of effectiveness with regulatory requirements as per the Safety Management Systems.
- Civil Aviation Medicine conducts assessment on individuals in safety sensitive positions. In this perspective, surveillance is conducted on the population of pilots and air traffic controllers. Civil Aviation Medicine as well, monitors the examination work of the Civil Aviation Medical Examiners.
4.10 Civil Aviation Business Support Services
- In the departmental PAA, Internal Services are presented as an adjunct to the architecture and are not directly linked to the departmental Strategic Outcomes.
- Within Civil Aviation, business support services related to business, human resources and financial planning, monitoring and reporting, as well as continuous improvement with IMS (QA/QC), are embedded with Civil Aviation’s two sub programs.
- Civil Aviation’s business support resources are focused on the Civil Aviation Directorate’s programs to achieve departmental priorities and ensure oversight of compliance with legislation, policy and procedures associated with the related activities.
Note: Refer to Integrated Decision Making Framework (IDMF) (RDIMS: 9872636) for more detailed information how the department is structured.
5.0 MANAGEMENT SYSTEM
- 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.
- One of the challenges of developing and implementing a national program is maintaining consistency and integration among all planned and systematic activities and processes. To address this challenge, Civil Aviation published the Civil Aviation Integrated Management System Standard, which guides the development and management of the Civil Aviation Directorate. 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. The Director Management and Resources Services is the executive responsible for the implementation of the Civil Aviation IMS.
- 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.
The management system is comprised of five key processes that work together to ensure the effective and efficient management of the Civil Aviation Directorate. These processes are:
- Management responsibility;
- Resources (stakeholders);
- Program design;
- Program delivery; and
- Measurement and analysis.
- 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 3)
Processes within Management System
5.1 Risk Management
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 4)
- Risk management introduces the idea that the likelihood of an event happening can be reduced or the severity of 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 mitigating the risk itself.
Risk management is a systematic approach to setting the best course of action under uncertainty by identifying, understanding, assessing, monitoring, acting on, and communicating risk issues. Effective communication is essential to the success of the process. The business model is divided into five phases:
- 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.
- Preliminary analysis – Analyze 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).
- 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 Webpage in Civil Aviation Intranet site.
- 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 the components of the risk equation (probability and severity).
- Measure impact and Communicate – 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.
- The application of Risk management in Civil Aviation occurs on many levels. For example, the establishment of a Corporate Risk Profile helps senior management determine the ability and capacity to carry out the Program’s mandate. On an operational level, risk management processes are commonly used for decision making in assessing the risks to safety and to determine the appropriate mitigation strategies.
5.2 Management Responsibility
5.2.1 Management Commitment
- 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, monitoring and reporting process.
- 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
- Civil Aviation is committed to strong leadership in compliance with Transport Canada’s Code of Values and Ethics (RDIMS: 6587068) and the Values and Ethics Code for the Public Sector (VECPS). As a result, employees occupying higher risk positions, such as inspectors, technical support staff and managers (executives and equivalent levels) are required to complete a Declaration of Conflict of Interest and Post-Employment (RDIMS: 7139901) every two years.
- Furthermore, annual employee performance management process has been leveraged to highlight values and ethics and to discuss an employee’s behaviors in reference to Transport Canada’s Code of Values and Ethics. As well, we follow the guidelines specified in Transport Canada’s Code of Values and Ethics when an ethical issue or breach of the Code is verified. One way this leadership is demonstrated is through open communications between management and employees through various activities and forum whose purpose is to engage employees in the achievement of the organizational objectives.
- 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).
- 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.
- 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).
- 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
- Civil Aviation, through NCAMX, plans and conducts a management review annually to ensure that the organization is achieving its specific goals and objectives in an efficient and effective manner.
- Management reviews is also conducted at various levels of the organization on one or more activities on an ongoing basis (e.g., monthly financial reviews, business plans).
- The outcomes of the management review may result in corrective action plans leading to improvements of management systems and their processes, realignment of resource allocation, identification of issues 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
- Civil Aviation ensures that 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.
- Human resources management is linked to strategic and business plans both at the departmental and program level. Civil Aviation’s work and workforce are aligned with business priorities, and the integrated human resources plan identifies and responds to the challenges resulting from these priorities.
- Civil Aviation is committed to having a workforce representative of Canada's population, in accordance with The Treasury Board Secretariat promotion of diversity, key commitments under the Management Accountability Framework (MAF). As a result, this inevitably leads Civil Aviation to have more inclusive policies, programs, and services. In this perspective, diversity is a core organizational value. 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
- Civil Aviation identifies the competency requirements for all positions and then determines the corresponding learning requirements for personnel to attain and maintain competency requirements.
- Employees are made aware of how they individually and collectively contribute to the achievement of the organization’s strategic direction and objectives.
- Civil Aviation employees and managers have a shared responsibility to identify and prioritize learning activities through the performance management process that includes the establishment of a learning plan. The learning activities are linked to current position requirements or mandatory learning/development, specialized training to current position or learning that may support achieving career development goals.
Civil Aviation is committed to providing a safe workplace for its employees. As an employer, Civil Aviation is committed to:
- Providing tools, equipment, and training to foster a safe environment; and
- 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
- When introducing new activities or when significant modifications are made to existing ones, Civil Aviation follows a documented project management framework. Projects are aligned with the IPMRF.
5.5 Program Delivery
- 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.
- Prior to delivery of all program activities, monitoring functions that are built into the process are conducted. This ensures that the expected qualities of all the products and services are met.
5.6 Measurement and Analysis
5.6.1 Stakeholder Satisfaction
- Civil Aviation develops and publishes 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.
- Civil Aviation has established processes to measure and analyze its services, to ensure that they are being delivered within the service standards and that any determined corrective actions are documented in an opportunity for improvement session. 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.
- 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
- 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.
- Civil Aviation has developed a performance measurement framework that outlines our key performance indicators and results achieved. Performance indicators can be linked directly to the Civil Aviation strategic priorities as well as the Program’s mission statement.
5.7 Continuous Improvement
- 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.
- Civil Aviation ensures that continuous improvement of the program is accomplished by conducting management reviews. The outputs are incorporated into subsequent strategic and annual plans to ensure this improvement of Civil Aviation Program.
- Part of the strategic and annual plan is the Quality Assurance activities. Such activities are prioritized on a risk-based approach. Subsequently, these activities are planned and implemented following a five-year perspective.
6.0 CONTACT OFFICE
For more information please contact:
Management and Resource Services (AARA)
Suggestions for amendment to this document are invited and should be submitted via the same e-mail address mentioned above.
Director General, Aviation Safety Regulatory Framework
Director General, Aviation Safety Oversight and Transformation
Appendix A – Civil aviation organizational descriptions
The following section provides a brief description of Civil Aviation’s headquarters and regional branches:
- Policy and Regulatory Services Branch is responsible for the development of aviation safety policy, and provides analysis, coordination and advice in relation to Civil Aviation activities. Accident and incident data and trends analysis is integrated within this Branch, which is also responsible for providing human factors expertise and acting as Minister’s Observer during accident investigations, in collaboration with the Transportation Safety Board. The Branch oversees the regulatory development process, including the management of the Canadian Aviation Regulation Advisory Council (CARAC). It is also responsible for providing litigation support to the civil aviation section of Transport Canada Legal Services Unit. The Branch supports the undertaking of other branches, directorates, and federal departments where formalities are required by international or state protocols which include 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.
- 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.
- Management and Resource Services Branch provides guidance 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 the Program’s human resource and budget management and analysis and the Activity Reporting and Standards System (ARASS). This branch is the focal point for people management strategies including human resource planning, employee development, knowledge transfer and learning for Civil Aviation employees. The branch also provides advice on matters regarding aviation terminology; and offers professional linguistic services. Finally, the Branch provides for the centralized delivery of financial, administrative and HR transaction services to all HQ branches.
- Directors General Office (DGO) Branch acts as the single point of contact for information requests to ensure consistency of messages on many complex subjects resulting in optimal use of time and resources within short and strict deadlines. This minimizes the need for repetitive engagement of subject matter experts and allows for minimal strain on Directorate resources involved in regulatory or oversight activities, as well as other internal services, to provide succinct and pertinent information to senior management. The DGO also provides advice and support to the Directors General for the management and organization of National Civil Aviation Management Executive (NCAMX) meetings and NCAMX Town hall events.
- National Operations Branch is an operational unit that is responsible for the safety oversight of assigned enterprises including air navigation service providers and certain national air carriers, as well as all foreign air carriers operating to, from and within Canada. Its oversight responsibilities include assessments, inspections, safety promotion, and when necessary, audit and enforcement action. The branch manages and improves its 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 and Emergency Planning (CACEP) Division, is functionally responsible for all Civil Aviation emergency and contingency plans and emergency preparedness activities.
- National Aircraft Certification Branch is an operational unit that is responsible for the regulatory oversight of Canada’s largest aeronautical product design and manufacturing enterprises. This primarily involves the Canadian certification of aeronautical products emanating from these enterprises, facilitating the certification of these products in other countries and jurisdictions thus enabling exportation, and in addition holding State of Design responsibilities for the continuing airworthiness of these products wherever they may be owned and operated worldwide. Continuing airworthiness oversight responsibilities also include all Canadian registered aircraft including non-Canadian State of design products. The Branch’s operations are highly reliant on an established delegation of authority system established in 1968, whereby industry representatives are granted the authority to make findings of compliance to design standards and in some cases issue approvals. Ongoing surveillance of these delegates and delegated organizations comprises an important aspect of the Branch’s operations.
- 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.
- 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 aviation safety oversight of certain air enterprises typically headquartered in the region. Their oversight responsibilities include assessments, inspections safety promotion, as well as the certification of people, products and organizations, and when necessary, 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.