ICAO Universal Safety Oversight Audit Programme AUDIT SUMMARY REPORT OF TRANSPORT CANADA (Ottawa, Toronto and Montreal, 8 to 17 August 2000) INTERNATIONAL CIVIL AVIATION ORGANIZATION
ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME Audit Summary Report on the Safety Oversight Audit Mission to Canada (Ottawa, Toronto and Montreal, 8 to 17 August 2000) 1. BACKGROUND 1.1 Transport Canada was initially assessed under the voluntary ICAO Safety Oversight Assessment Programme from 14 to 23 October 1998 by an ICAO assessment team. This audit was carried out from 8 to 17 August 2000 pursuant to Assembly Resolution A32-11 and in accordance with the updated Memorandum of Understanding (MOU) agreed on 30 May 2000 between Canada and ICAO. The objectives of this audit were twofold. Primarily, its objective was to fulfill the mandate given to ICAO pursuant to the above-mentioned Assembly Resolution. Secondly, the audit was conducted with the objective of ascertaining the progress made in the implementation of the recommendations forwarded during the voluntary assessment conducted in 1998 and to re-ascertain the safety oversight capability of Transport Canada. The audit also aimed to ensure that Canada is in conformity with ICAO Standards and Recommended Practices (SARPs), as contained in Annexes 1, 6 and 8 to the Chicago Convention, associated guidance material and good aeronautical practices. 1.2 Canada submitted an action plan on 24 October 2000, and an update to the action plan on 7 June 2001, addressing all the findings and recommendations contained in the audit interim report and also containing comments and clarifications of some of the items contained in the audit interim report. The action plan submitted was reviewed by the Safety Oversight Audit (SOA) Section and was found to be satisfactory. The updated action plan and comments and clarifications provided were, as appropriate, taken into consideration in the preparation of this audit summary report. 2. CIVIL AVIATION ACTIVITIES IN CANADA At the time of the audit the civil aviation activities in Canada included: a) number of technical staff employed by the organization at Headquarters 293 b) number of regional offices 5 c) number of technical staff employed at regional offices 640 d) number of active pilot licences 58 648 e) number of active flight crew licences other than pilot licences 527 f) number of active licences other than flight crew licences 4 817 g) number of commercial air transport operators 853 h) number of air operator certificates (AOCs) and foreign air operator
- 2 - certificates (FAOCs) issued 1 843 1) AOCs 853 2) FAOCs 990 i) number of aircraft operations inspectors 226 1) Air carrier inspectors Headquarters 33 2) Air carrier inspectors Regions 143 3) Cabin safety inspectors Headquarters 13 4) Cabin safety inspectors Regions 10 5) Dangerous goods inspectors Headquarters 4 6) Dangerous goods inspectors Regions 23 j) number of aircraft registered in Canada 29 758 k) number of Certificates of Airworthiness issued 22 594 l) number of approved maintenance organizations (AMOs) 1 149 m) number of design organizations 19 n) number of aircraft manufacturing organizations 5 o) number of aircraft parts or equipment manufacturing organizations 97 p) number of aircraft type certificates issued 95 q) number of type certificates other than aircraft issued 96 r) number of aircraft airworthiness inspectors 258 3. SUMMARY OF FINDINGS 3.1 General statement 3.1.1 Canada has an appropriately established programme for regulating civil aviation activities, which primarily consists of the Aeronautics Act and the Canadian Aviation Regulations, developed through a properly structured consultation process, and complemented by an implementation policy and adequate enforcement measures. The regulatory framework in place in Canada is comprehensive and up-to-date, and complies with all international requirements necessary for the control, supervision and enforcement of civil aviation activities.
- 3-3.1.2 Transport Canada is an appropriately established, properly organized and adequately funded organization capable of accomplishing its functions and responsibilities effectively and efficiently. Technical staff are highly-qualified and properly trained in their assigned responsibilities. The civil aviation system established was found to be in conformity with ICAO requirements and capable of satisfactorily undertaking the safety oversight responsibilities in Canada. 3.1.3 Transport Canada has established an adequate system for meeting its personnel licensing responsibilities which includes a sound regulatory framework and sufficient and well-qualified technical personnel. It has also established an effective, interconnected computer database system that allows for the tracking of information on activities related to personnel licensing. However, consideration should be given to strengthening procedures for the issuance of validation certificates, reviewing the requirements for the Canadian Category 4 Medical Certificate and reviewing the requirements for the issuance of aircraft type ratings. Licensing of air traffic controllers should be better coordinated between units responsible for personnel licensing at both Headquarters and Regional Offices and the Air Traffic Services Standards Division. 3.1.4 A system for certification and supervision of commercial air transport operators has been established which conforms with the provisions of Annex 6, Parts I and III. Adequate operating regulations, sound flight operations organization, detailed and effective procedures and highly-qualified personnel for both the certification process and the supervision of the industry have been implemented to ensure a high level of safety in aircraft operations. The number of personnel in the aircraft operations inspectorate is becoming insufficient with respect to the increasing aviation activities in Canada, however, a national recruitment campaign is underway to bring staffing levels to full strength. 3.1.5 With respect to maintenance and the continuous airworthiness of aircraft, Transport Canada has established a comprehensive and adequate organization capable of accomplishing its functions and responsibilities efficiently and effectively. Technical staff are highly-qualified and appropriately trained for their assigned responsibilities. For aircraft engineering and manufacturing certification, Transport Canada has developed and implemented a comprehensive and effective safety oversight programme that ensures adequate control and supervision of all aeronautical products designed and manufactured in Canada. 3.2 Primary aviation legislation in Canada 3.2.1 Abstract of findings 3.2.1.1 The primary aviation law in Canada is the Aeronautics Act (the Act). The Act is divided into four parts: Part I contains thirteen sections pertaining to the powers of the Minister and the regulation of civil aviation. Part II of the Act was repealed and replaced, in part, by the National Transport Act. Part III relates to Staff and Part IV to the Civil Aviation Tribunal. A discussion paper, dated June 2000, containing more than thirty proposals to amend the Act was currently under review. 3.2.1.2 The Act contains appropriate enforcement provisions for contraventions of the Act and the Canadian Aviation Regulations (CARs), along with provisions allowing the Minister, or a delegated person, to access and inspect aviation installations and documents. This includes the right to seize evidence and to detain aircraft that are unsafe or likely to be operated in an unsafe manner.
- 4-3.2.1.3 Under the Act, the issuance of a Canadian Aviation Document (licence, permit accreditation, certificate or other document issued by the Minister) may be refused if, in the opinion of the Minister or a delegated person, public interest or the aviation record of the applicant warrants this refusal. In addition, the Minister, or a delegated person, may suspend, cancel or refuse to renew a Canadian aviation document on grounds as may be prescribed by regulation. 3.2.1.4 The responsibilities of the Minister established under the Act may be delegated to Transport Canada Inspectors. A formal and comprehensive system of delegation of authority has been established for each position requiring such authority, and is contained in a document entitled Ministerial Delegation of Authority. 3.2.1.5 Transport Canada s enforcement programme complies with Article 12 of the Chicago Convention by ensuring that every aircraft complies with the regulations and by providing for the prosecution of persons violating the regulations. The enforcement-related provision contained in the Act has prompted the identification of Offence Creating Provisions (OCPs) in the CARs and the Criminal Code also identifies aviation-related offences. Every Transport Canada Branch has the power to enforce a set of provisions. OCPs may be enforced through suspension or cancellation of Canadian Aviation Documents, fines or prosecution. Procedures are detailed in the Aviation Enforcement Procedures Manual. 3.2.1.6 Following the ICAO assessment in 1998, Transport Canada undertook to review its national legislation and regulations for compliance with ICAO SARPs. Reviews of Annexes 1, 6 and 8 to the Chicago Convention have been completed and a further review is currently underway to determine which differences can be eliminated within a reasonable time frame. 3.2.1.7 Canada ratified Article 83 bis, an amendment to the Chicago Convention, on 23 October 1985 to allow for the transfer of certain functions and duties from the State of Registry to the State of the Operator. However, the national legislation has not yet been appropriately amended to allow for its implementation. To date, Canada has not been involved in the conclusion of any Article 83 bis transfer agreements. 3.2.1.8 Transport Canada has established a comprehensive civil aviation regulatory programme, which includes four main components: the development of CARs; the Canadian Aviation Regulation Advisory Council (CARAC); the enforcement programme; and the Civil Aviation Tribunal. 3.2.1.9 The CARs cover high-level technical regulatory requirements for civil aviation activities. The CARs were introduced in October 1996 to replace the previous system of Air Regulations and Air Navigation Orders which set out the rules of conduct and the standards required for the issuance and maintenance of aviation licences, permits and certificates (Canadian Aviation Documents). The CARs are complimented by standards which are incorporated by into the regulations. These standards provide the detailed requirements in the various areas of civil aviation. The CARs and standards are kept up-to-date on a quarterly basis. The regulatory structure is complemented by policy letters and guidance material such as handbooks, manuals and guidance material. 3.2.1.10 Each amendment to the CARs and related standards is submitted for consultation to the Canadian Aviation Regulation Advisory Council (CARAC). CARAC was inaugurated on 1 July 1993 and is sponsored by the DGCA. It is an informal body that has a key role in the rule-making process. Its major components are the Plenary, the Civil Aviation Regulatory Committee (CARC), which is made up of senior
- 5 - management staff of Transport Canada, and the various Technical Committees, consisting of representatives of Transport Canada, the aviation community, and other interested parties. As a matter of policy, Transport Canada uses CARAC for consultation on all aspects of its rule-making activities, including amendments to the regulations. 3.2.1.11 Proposed amendments to standards which have been accepted by a Technical Committee are reviewed internally by Transport Canada and are deemed to come into force thirty days following the date of their publication. If a consensus on a proposed amendment to a standard cannot be achieved by a Technical Committee, the matter is submitted to the CARC for final decision. 3.2.1.12 Proposed amendments to regulations are automatically submitted to the CARC for approval, after consultation at the Technical Committee level. Once approved by the CARC, the amendments to the regulations are forwarded to the Department of Justice for review. Amendments are then submitted to the Special Committee of Council which recommends their publication in the Canada Gazette, Part I, and subsequently, to the Canada Gazette, Part II. 3.2.2 Corrective action plan proposed/implemented by Canada With respect to the recommendation that Canada ensure that its legislation is appropriately amended to allow for the proper implementation of Article 83 bis of the Chicago Convention, Transport Canada indicated that conditions to enable transfer agreements have been provided by the Department of Justice. An internal working group has been mandated to review the CARs by August 2001 to determine the most appropriate method of amendment. Recommendations will be presented to the Civil Aviation Regulatory Committee by October 2001 and consultation will be conducted, as required, with the CARAC on any proposed amendments by Spring 2002. 3.3 Civil aviation organization system in Canada 3.3.1 Abstract of findings 3.3.1.1 The organizational structure of Transport Canada is made up of the Headquarters in Ottawa, five Regional Offices and twenty-seven Transport Canada Centres (TCCs). The DGCA at Headquarters reports to the Assistant Deputy Minister, Safety and Security. Each Regional Director of Civil Aviation from the five Regional Offices reports to the Regional Director General, Transport Canada. Therefore, there is no hierarchal relationship between Headquarters and the Regional Offices but a functional line of reporting is in place and the necessary coordination is carried out through several formal and informal mechanisms. 3.3.1.2 The general transportation policy is defined by the Transport Canada Executive Management Committee and, at the aviation level, the administration of the system is overseen by the National Civil Aviation Management Executive, which is chaired by the DGCA and made up of the Regional Directors of Civil Aviation. The Executive Management Committee conducts functional workshops and establishes crossfunctional teams. Several other national committees, advisory groups and working groups ensure a coordinated and harmonized management of civil aviation activities throughout the country. 3.3.1.3 In general, it is the responsibility of Headquarters to ensure the continued development of policies, standards and regulations pertinent to safety oversight of civil aviation activities in Canada. This is done in collaboration with the Regional Offices from which the majority of the safety oversight programme
- 6 - itself is implemented. The Canadian civil aviation system employs 933 technical staff members located at Headquarters, the Regional Offices and the twenty-seven TCCs. A total of 226 clerical staff is also employed by Transport Canada including 85 at Headquarters and 141 clerical staff at the Regional Offices. All staff members are adequately supplied with the necessary equipment required to perform their duties and responsibilities. 3.3.1.4 The civil aviation organizational components of Transport Canada include branches in Aerodrome Safety, Air Navigation Services and Airspace (ANSA), Aircraft Certification, Aircraft Maintenance and Manufacturing, Civil Aviation Medicine, Commercial and Business Aviation, General Aviation, International Aviation, Aviation Learning Services, Programme Services, Regulatory Services/Enforcement, and Safety Services/System Safety. 3.3.1.5 Resource requirements of Transport Canada are determined by means of an Activity Reporting and Standards System (ARASS), a computerized database used for planning and analysing the operational workload. 3.3.1.6 The Aviation Learning Services Branch is charged with the development and delivery of technical training to all Transport Canada staff. Requisite training for employees holding Ministerial delegation of authority is included in Civil Aviation Directive No. 7. Following the ICAO safety oversight assessment of 1998, a formal training programme for inspectors holding a delegation of authority has been redefined into four phases. Improvements in this area, especially in the establishment of a database for tracking training records, have been implemented. 3.3.1.7 Transport Canada maintains an adequate and current supply of required civil aviation documentation and publications to effectively accomplish its functions and responsibilities. 3.3.1.8 Transport Canada has experienced some difficulties in recruiting and retaining appropriately qualified staff. To resolve the problem, it has launched a number of initiatives to address this and other recruitment and staff retention issues, including the national recruitment campaign, initiated in late 1999. This campaign was launched to address three areas of concern: the small pool of available applicants, competition with industry, and the enormous growth of aviation activities in Canada. In addition to the efforts of Transport Canada, the Government of Canada has also taken substantial measures to bridge the remuneration gap with industry. 3.3.1.9 The challenge of under staffing has, in some cases, resulted in fewer monitoring inspections and slower air operator certification, in particular in the greater Toronto area where almost one-third of Canada s aviation activities takes place. Transport Canada indicated that interim mitigation measures being implemented seem to have been largely successful as the latest national accident/incident statistics are exhibiting a downward trend. However, if left uncorrected over the long term, this reduction in the frequency of audits and inspections may still have a detrimental effect on Transport Canada s civil aviation safety oversight capability. 3.3.2 Corrective action plan proposed/implemented by Canada With respect to the recommendation that Transport Canada continue its efforts to correct the shortage of inspectorate staff, Transport Canada indicated that it intends to continue its recruitment and retention efforts currently underway and, in the interim, will also continue to apply mitigation measures such
- 7 - as risk management techniques which have been put in place to offset the impact of staff shortages on safety oversight. Transport Canada indicated that, given the current competitive environment, it could not project a time frame within which the ICAO recommendation to improve the staffing situation would be implemented. 3.4 Personnel licensing and training in Canada 3.4.1 Abstract of findings 3.4.1.1 Implementation of the personnel licensing system in Canada is a joint activity, shared by Headquarters and the Regional Offices. At Headquarters, the Director of the General Aviation Branch, who reports directly to the DGCA, is responsible for managing personnel licensing, aircraft registration and training, and examination activities. Under the Director of the General Aviation Branch is the Chief of the Personnel Licensing Division, the Chief of Flight Training and the Chief of Flight Crew Examinations. 3.4.1.2 In each of the Regions, the General Aviation Manager, under the authority of the Regional Director Civil Aviation, is in charge of organising theoretical examinations, issuing licences, certifying and overseeing the Approved Training Units, and designating and overseeing the flight examiners. Outside the hierarchical reporting lines of authority, a strong functional relationship exists between the Regional Office personnel licensing staff and inspectors and their counterparts at Headquarters. 3.4.1.3 There are twenty-six technical staff engaged in licensing activities at Headquarters and eighty-seven in the Regions. The technical staff are adequately trained for carrying out their activities, and have immediate access to the regulations and manuals required for their duties and responsibilities. 3.4.1.4 Transport Canada issues all licences outlined in Annex 1 with the exception of the flight navigator and flight operations officer/flight dispatcher licences. However, in the case of the latter, a system of certification of dispatchers exists as part of the air operator certificate. Transport Canada also issues several recreational licences which are not contained in Annex 1. To avoid confusion with international licences, these are referred to as permits, and include the recreational permit, the ultra-light aeroplane permit and the gyroplane permit. Student pilot permits for aeroplanes, gliders, ultralight aeroplanes, helicopters, balloons, gyroplanes are also issued. All these licences and permits are of the continuing type. 3.4.1.5 Four categories of medical certificates are issued of which the first three meet the Annex 1 requirements for Classes 1, 3 and 2 medical certificates, respectively. The privileges of the student pilot permits for the aeroplane, the ultralight aeroplane, and for the glider; pilot permits for recreational aeroplane and for the ultralight aeroplane; and a pilot licence for the glider, can be exercised with a Category 4 Medical Certificate. This Category 4 Medical Certificate does not meet the requirements of the Class 2 Medical Assessment contained in Annex 1. Holders of the Category 4 Medical Certificate can fly in Canada in day VFR conditions, even in controlled airspace, notwithstanding that their certificates do not meet the established standards for such an operation. 3.4.1.6 The different ratings issued by Transport Canada include class ratings for single pilot nonhigh performance aeroplanes; individual type ratings for high performance aeroplanes, multi-pilot aeroplanes, and every helicopter type; individual aircraft type ratings restricted to cruise relief pilot duties; instrument rating for aeroplanes and helicopters; night rating for aeroplanes, helicopters, balloons, gyroplanes; and VFR OTT (over the top) for aeroplanes and helicopters. The CARs also contain four classes of instructor ratings
- 8 - (for both aeroplane and helicopter) of which the Classes 1, 2 and 3 can be awarded with increased experience of instruction and by tests. 3.4.1.7 There is no provision under Part IV of the CARs for a type rating for an aircraft certificated for operation with a minimum crew of at least two pilots, to demonstrate knowledge required for safe operation of the applicable type of aircraft, as required in Annex 1. In addition, no provision exists in the same Part IV to ensure that training is conducted under appropriate supervision. The approval of type rating training courses is only required as part of the approval of the operations manual, as stipulated under Parts VI and VII of the CARs. 3.4.1.8 Transport Canada uses several electronic databases which are interconnected and which allow staff to have access to updated information on individuals and organizations as well as on trend analysis. This includes the Distributed Air Personnel Licensing System (DAPLS), which is used for the administration of personnel licences, and the Flight Training and Aviation Education (FTAE) database, which maintains a record of all written examinations and flight tests, and of the status of all designated flight test examiners and flight instructors. 3.4.1.9 A system of designated flight test examiners (DFTEs) is in place for providing flight tests for the pilot permit-recreational-aeroplane, private pilot and commercial pilot licence and the multi engine class and instrument ratings. The overall administration of the DFTE programme, including policy and standardization, is the responsibility of Headquarters whilst the training, evaluation, approval and monitoring of the DFTEs are done by the Regional Offices. Minimum requirements for DFTEs are published in the Designated Flight Test Examiner Manual and a system for the control and supervision of the DFTEs has been established to ensure their continued proficiency. 3.4.1.10 The assessment of the personnel licensing, training and examination activities in each Region is carried out by means of Quality Assurance Reviews (QARs) on a triennial cycle. In addition, speciality audits are carried out at least twice a year to ensure consistent application of established policy and procedures in relation to the DAPLS database and the personnel licensing system, and to identify and rectify existing problems. 3.4.1.11 Medical certification is conducted by the Civil Aviation Medicine Directorate (CMAD), which has six Regional Aviation Medical Officers (RAMOS) under its authority. The Director of the CMAD reports to the DGCA. The RAMOs are physicians employed by Transport Canada and review medical reports submitted by the Civil Aviation Medical Examiners (CAMEs). Cases may also be referred to the Aviation Medicine Review Board (AMRB). 3.4.1.12 The AME Licensing and Training Division (AARPB) of the Aircraft Maintenance and Manufacturing Branch at Headquarters and the corresponding units in the Regional Offices have functional responsibility for the licensing of AMEs. Following the ICAO safety oversight assessment of 1998, Transport Canada revised the AME licensing regulatory standard and adopted a new licensing model and a credit card style licence. In addition to simplifying the licensing control system, the new licensing model conforms with the changes made to Annex 1 with the adoption of Amendment 162 and the elimination of the distinction between Type I and Type II AME licences. 3.4.1.13 Transport Canada issues licences for air traffic controllers but the written examinations and practical tests are conducted by NAV CANADA. Although the application forms and progress reports have
- 9 - been certified by NAV CANADA ATS officers, duly authorized by Transport Canada, they are not reviewed by the Air Traffic Services Standards Division prior to being processed. Not all the Regional PEL Units have included the list of persons authorized to carry out air traffic controller training and testing activities on the DAPLS database. Although the licensing of air traffic controllers is in a transitional stage, the system under the existing arrangement lacks adequate coordination between those units involved in the licensing of air traffic controllers. 3.4.1.14 Except for specifically identified cases as indicated in the CARs, foreign licences are not validated for the purpose of allowing an applicant to operate on a commercial air service in Canada. Validations are normally issued for a year. Transport Canada does not request individual applicants for foreign licence validations to submit original documents (i.e. licence and pilot logbook) for verification purposes, and is prepared to issue validation certificates on the basis of a faxed copy of the applicant s licence. In addition, Transport Canada s requirements for the issuance of validation certificates are not published in its Aeronautical Information Publication (AIP). 3.4.1.15 Credit for military flight experience for the issue of a Canadian licence are provided in CAR 421 for the private pilot licence (PPL), commercial pilot licence aeroplane (CPL(A)), commercial pilot licence helicopter (CPL(H)), ATPL(A), ATPL(H) and the flight engineer licence. A summary of the credit allowed is also contained in the Personnel Licensing Procedures Manual. 3.4.1.16 The recency requirements for maintaining the validity of licences and ratings are contained in the CARs and the supporting Standard. For those pilots employed in operations governed by private operator passenger transportation and commercial air services, there are more stringent recency and proficiency requirements. Moreover, the recency of experience and competency requirements imposed by insurance companies, in relation to the mandatory insurance coverage of aircraft, are even more stringent than those contained in the CARs. 3.4.1.17 Knowledge requirements for the issuance of flight crew licences must be met by the successful completion of written examinations. The multiple choice questions for various written examinations are developed by Headquarters Flight Crew Examinations Division, which has a technical staff of eight persons for this purpose. The total multiple choice questions (MCQ) bank contains about 5 500 questions. The FTAE database provides the applicant with an analysis of the results, with to those areas where the results are unsatisfactory. 3.4.1.18 The Headquarters Flight Training Division has the responsibility of developing and maintaining flight test standards. The tests themselves are mostly conducted by DFTEs using the flight training standards defined for each licence, permit and rating. Results are entered in the FTAE database. DFTEs conduct approximately 90 per cent of all the flight tests, with the exception of the test for the instructor rating which must be given by a Transport Canada inspector. 3.4.1.19 Following the ICAO safety assessment of 1998, Transport Canada has conducted audits of institutions providing training, such as NAV CANADA Training Institute, the Gander Regional School, and the Vancouver Regional School. At the time of the audit, corrective action plans, as applicable, had yet to be submitted by the training institutes. 3.4.1.20 Provisions governing the certification of Flight Training Units (FTUs) are contained in the CARs and related Standards. There are, at present, 230 FTUs in Canada. The requirements for certification
- 10 - are contained in the Certification Manual for Flight Training Units and additional guidance material is provided to schools in the form of the Transport Canada document How to Start a Flight Training Unit. The oversight of the schools is ensured through various forms of visits, inspections, and a full audit which is conducted, in accordance with the Manual of Regulatory Audits, every three years. 3.4.1.21 Transport Canada is currently preparing for the introduction of the first integrated commercial pilot training course in September 2000, and is in the process of re-certifying all AME approved training organizations, to allow them to prepare and administer all technical examinations from September 2001. The regulatory examination will continue to be prepared and administered by Transport Canada. 3.4.2 Corrective action plan proposed/implemented by Canada 3.4.2.1 With respect to the recommendation that a policy be implemented whereby individual applicants for foreign licence validations submit their original documents (i.e. licence and pilot logbook) for verification purposes, Transport Canada indicated that, with respect to the issuance of validations for commercial operations, verification of copies will be requested from the commercial operator in cases where faxed copies are being accepted by Transport Canada. This policy will be promulgated in the Personnel Licensing Procedures Manual and the AIP will be amended to reflect the validation requirements by 2000-2001. However, with respect to private recreational flying, Transport Canada indicated that it views such verification as being unnecessarily cumbersome. Transport Canada advised that, in its view, to have the licensing authority verify the licence and logbook of each applicant is impractical and not justified in light of aircraft training and rental requirements of Canadian flight schools and rental operators. 3.4.2.2 With respect to the need to strengthen the existing level of coordination between the Air Traffic Services Standards Division, the Headquarters Personnel Licensing Division, and the Personnel Licensing Units located in the Regional Offices, Transport Canada indicated that ATC licensing procedures have been reviewed with the aim of strengthening the coordination and approval procedures. Transport Canada further noted that licensing application forms and progress reports are reviewed by the Air Traffic Services Standards Division during Transport Canada audits of ATS facilities. Implementation of the delegation of authority for ATC licensing to the Air Traffic Services Standards Division is currently underway. All the appointments as Authorized Persons to issue initial Air Traffic Controller licences have been reissued and entered into the DAPLS database. 3.4.2.3 With respect to the recommendation that the regulations be amended so that holders of student pilot permits, pilot permits for recreational aeroplane and for the ultra-light aeroplane, and pilot licences for gliders can only exercise their privileges having passed a Canadian Category 3 Medical Assessment, Transport Canada indicated that it does not intend to implement the ICAO recommendation. Canadian procedures for medical validation to the Category 4 standard will be clearly indicated in the AIP and a difference filed with ICAO. 3.4.2.4 With respect to the recommendation that a standard be developed requiring an applicant for a type rating for an aircraft certificated for operation with a minimum crew of at least two pilots, to demonstrate knowledge needed for the safe operation of the applicable type of aircraft, Transport Canada indicated that a course standard for the training leading to the issue of two-crew type ratings is proposed for Part IV of the CARs, in addition to an approval and supervision mechanism for this activity. The amendments will be implemented by 2001-2002.
- 11-3.5 Aircraft operations certification and supervision in Canada 3.5.1 Abstract of Findings 3.5.1.1 Transport Canada issues AOCs in conformance with regulations defined in the CARs. The AOC is issued without an expiration date in conjunction with operations specifications, and is in conformance with Annex 6, Part I SARPs. Transport Canada also issues a Foreign Air Operator Certificate (FAOC), which is required for foreign airlines operating within Canada. The content requirements for an AOC holder s operations manual is in conformance with Annex 6, Part I, Appendix 2. 3.5.1.2 The responsibility for the certification of commercial air transport operators is delegated to the Certification Standards Division within the Commercial and Business Aviation Branch at Headquarters. At the Regional level, the responsibility is delegated to the Air Operator Certification Division within the Commercial and Business Aviation Branch. In addition, the Foreign Inspection Division within the Commercial and Business Aviation Branch at Headquarters has the responsibility to certificate all foreign applicants planning to conduct operations in Canadian airspace. 3.5.1.3 A Principal Operations Inspector (POI) is assigned to each AOC holder and serves as the focal point for all contact with the commercial air transport operator. An operations inspector may serve as POI for numerous small, limited-service AOC holders. POIs are rotated every three to four years to avoid complacency. Airline operations inspectors receive guidance from the Air Carrier Inspector Manual and the Airline Inspection Division Standard Operating Procedures Handbook. 3.5.1.4 The issuance of an AOC to a prospective commercial air transport operator is guided by policies and procedures established in the Air Operator Certification Manual. All applicants must meet the applicable requirements defined in the CARs and in the Commercial Air Service Standards (CASS). Application forms and corresponding information concerning the requirements are contained in the manual Starting a Commercial Air Service. A list of required manuals, programmes, documents, forms, inspections, agreements, and proficiency checks are outlined in this manual and in the booklet titled A Practical Guide for New Canadian Entrants for Prospective Air Carriers. Generally, the certification process can be completed in thirty to sixty days for small operators, and two to six months for large operators, depending upon the ability of the applicant to prepare the required documentation. 3.5.1.5 To operate in Canada, foreign airlines are required to obtain an FAOC. The majority of current FAOC holders are from the United States. To be issued an FAOC, the foreign operator must first have a valid AOC or equivalent document issued by the State of the foreign commercial air transport operator and must comply with ICAO Standards. The operations manual and other technical documents are inspected by the Foreign Inspection Division within the Commercial and Business Aviation Branch at Headquarters, and inspections are performed locally and/or at the principal base of the foreign operator. Additional procedures are described in the Foreign Air Operator Certification Procedures Manual and the Foreign Air Operator Certification and Inspection Manual. 3.5.1.6 A review of the AOC certification process in Canada and an audit of the files of selected commercial air transport operators indicated that a comprehensive certification system is in place. Required documents are scrutinized by appropriate specialists, as well as equipment, organization, staffing, training, maintenance and other matters affecting the safety of air operations.
- 12-3.5.1.7 Within the Commercial and Business Aviation Branch at Headquarters, inspectors are assigned to the Divisions of Airline Inspection, Air Operations, Cabin Safety Standards, Certification Standards, Dangerous Goods Standards, and Foreign Inspection. At the Regional level, inspectors are assigned to the Divisions of Cabin Safety, Transportation of Dangerous Goods, Air Operator Certification, Air Operations, and Business Aviation. The Director of the Branch at Headquarters reports directly to the DGCA, and at the regional level the division managers report directly to their respective Regional Director Civil Aviation. 3.5.1.8 The total number of civil aviation inspectors assigned to operational matters at the Commercial and Business Aviation Branch level is 225, which includes 176 flight operations inspectors, twenty-six dangerous goods inspectors, and twenty-three cabin safety inspectors. In the Airline Inspection Division at Headquarters, the airline operations inspectors are assigned oversight of AOC holders operating large and advanced technology aircraft, but these inspectors may be based in locations outside Headquarters in order to be nearer to the main base of the AOC holder. In the event regulatory enforcement action is required, fifty-four enforcement inspectors, located at Headquarters and the Regional Offices, are assigned the responsibility for enforcement proceedings. 3.5.1.9 Inspectors are recruited through a comprehensive selection process and the inspectors responsible for aircraft operations are required to hold air transport pilot licences. Delegated authority to inspect is given only after the completion of training courses and on-the-job training. Transport Canada delegates some of its safety oversight responsibilities to approved check pilots (ACPs). Internal procedures have been established for the designation of inspectors and for monitoring their performance. 3.5.1.10 In addition to regulatory audits performed under the National Audit Programme, ongoing monitoring inspections are performed by civil aviation inspectors to ensure continuing compliance by AOC holders. Transport Canada has established a surveillance programme and the frequency of inspection is related to a risk indicator for each operator. 3.5.1.11 The established surveillance plan is very comprehensive and takes into account for each operator fleet and aircraft type, in-flight route inspections, ramp inspections, periodic proficiency checks, training monitoring and other checks such as cabin safety and transport of dangerous goods. The results of each inspection are incorporated in the tracking system of the computer database. Monitoring inspection checklists are available and function as inspection reports, becoming permanent records of the inspection activities. 3.5.1.12 Transport Canada has delegated oversight responsibilities to ACPs, with procedures for their approval outlined in the Approved Check Pilot Manual. An adequate system is in place for the selection and monitoring of the ACP cadre. 3.5.1.13 Cabin safety oversight responsibilities have been delegated to cabin safety inspectors with policies and procedures for these inspectors described in the Cabin Safety Inspector Manual, the Flight Attendant Manual Standard, and the Flight Attendant Training Standard. A review of the ARASS firstquarter surveillance plan summary report for cabin safety inspections confirmed that the majority of planned inspections have been accomplished. Currently, the CARs do not specify the limits applicable to flight time, flight duty periods, and rest periods for cabin crew even though the limits for flight crew members have been determined and are specified in the CARs. Transport Canada uses the term flight attendant instead of the term cabin crew used in Annex 6, Part I, Chapter 1.
- 13-3.5.1.14 Dangerous goods inspectors are responsible for the oversight of the transport of dangerous goods by air, and are based at Headquarters and the Regions. These inspectors answer legislative questions, enforce the CARs, and assist air operators with the development and approval of dangerous goods training programmes and operations manuals. Policies and procedures are provided in the Transportation of Dangerous Goods Aviation Inspector s Manual and in the Guidelines and References for the Development and Standardization of Dangerous Goods Training Programmes for Air Transport in Canada. There are currently 952 AOC holders approved by Transport Canada for the transportation of dangerous goods. 3.5.2 Corrective action plan proposed/implemented by Canada With respect to the recommendation that regulations be established specifying the limits applicable to flight time, flight duty periods and rest periods for cabin crew, Transport Canada indicated that a final working group report, along with regulations and their rationale, will be drafted before 31 December 2001. The report will be tabled at CARAC by December 2002 and NPAs will be prepared in response to the recommendations of CARAC. The NPAs will be presented to CARAC for final determination by July 2003 and sent to the Regulatory Unit for legal editing by August 2003. The regulatory process will be initiated following the Regulatory Unit review. 3.6 Airworthiness of aircraft in Canada 3.6.1 Abstract of findings 3.6.1.1 Parts V and VII of the CARs are primarily dedicated to airworthiness certification matters and aircraft maintenance requirements for air operators and maintenance organizations. These CARs are complemented by Standards giving more detailed requirements in the relevant areas. With the exception of the latest amendment to Annex 8 regarding the least risk bomb location and Chapter 11 involving security into aircraft design, Canada s national regulations are in conformance with Annex 8. 3.6.1.2 The Aircraft Maintenance and Manufacturing Branch, Aircraft Certification Branch, General Aviation Branch and Learning Services Branch constitute the most relevant branches of Transport Canada responsible for airworthiness-related activities. The Aircraft Maintenance and Manufacturing Branch is responsible for policy, standards and procedures and managing the National Audit Programme. It is composed of six divisions: AME Licensing and Training Division; Aircraft Evaluation Division; Policy Development Division; Standard and Procedures Division; Recreational Division; and the Division for the National Audit Programme. 3.6.1.3 The Aircraft Certification Branch establishes and regulates standards for aeronautical products designed and operated in Canada. It is Headquarters responsibility to develop policies, standards and regulations pertinent to aircraft certification; to provide functional direction to regional offices; to review and approve the type designs of domestic and foreign aeronautical products resulting in the issuance of Transport Canada s Type Certificates; to review and approve domestic and foreign design changes (modifications and repairs) made to aeronautical products; to approve and oversee design approval delegates; and, in conjunction with the Manufacturing and Maintenance Branch, to ensure the continuing airworthiness of aeronautical products and issuance of airworthiness directives. 3.6.1.4 To ensure standardization and consistency in the application of requirements between Regional Offices, Transport Canada has implemented QARs with the objective of continuing appraisal of
- 14 - technical operations based on Transport Canada s legislative and regulatory requirements, to ensure satisfactory operations and technical proficiency in conformance with established standards. This review is normally scheduled to ensure compliance to the three-year minimum standard. A corrective action plan is required by the Regional Offices. A review of audit records reflected compliance to the three-year minimum standard. 3.6.1.5 The DGCA is responsible to the Minister for the conduct of the National Audit Programme. The audit is conducted within intervals of six to thirty-six months, covering all large commercial air transport operators and maintenance organizations and manufactures. The National Audit Programme also includes a follow-up of the findings identified during the audit, which are required to be inspected in the following two years. The audit teams are composed of representatives from Headquarters and Regional Offices. 3.6.1.6 Regional aircraft certification offices are responsible for input into the development of policies, standards and regulations pertinent to aircraft certification; the review and approval of domestic and foreign design changes (modifications and repairs) made to aeronautical products (i.e. Supplemental Type Certificates (STCs)); the issuance of Appliance Type Certificates for products intended to be installed on aircraft; the approval and oversight of design approval delegates; and, in conjunction with the Manufacturing and Maintenance Branch, the oversight of the continuing airworthiness of aircraft operated in the region. 3.6.1.7 An appropriately established and controlled technical library, called the Technical Reference Centre, is available to all inspectors at Headquarters. However, it was indicated that keeping approved airworthiness data, such as the maintenance manuals and overhaul manuals, up-to-date is very difficult due to lack of amendment information from the manufacturers. Each Regional Office has a technical library and a system in place to coordinate movement of publications from one Region to another when necessary. 3.6.1.8 Transport Canada has an adequate number of airworthiness/engineering staff to facilitate and carry out its safety oversight responsibilities in the aircraft certification area. Recent salary increases have improved the overall capability of Transport Canada to attract and retain a highly qualified cadre of engineering personnel to support its oversight functions. A review of certification records revealed a consistent certification criteria being applied in accordance with internal directives. 3.6.1.9 Training records were reviewed for engineering staff and were found to be adequate and in conformance with an approved training schedule. There were adequate staff in the engineering area to fulfill its oversight responsibilities. 3.6.1.10 In the Quebec Regional Office, the Aircraft Maintenance and Manufacturing Branch is divided into two separate divisions: the Maintenance Division. However, due to a lack of inspectors in the Manufacturing Division, surveillance of the stand-alone AMOs was not performed in 1999 and 2000. With the new recruitment programme in place and a new audit and inspection programme starting in September 2000, the new surveillance programme is expected to solve this particular concern. 3.6.1.11 The CARs and Standards supplemented by the Staff Instructions and Policy Letters provide the airworthiness inspectors and engineers sufficient elements and adequate guidance to be followed. 3.6.1.12 All Canadian registered aircraft or aircraft operated in Canadian airspace, other than ultralight and hang-gliders, are required to have a flight authorization. The issuance of a C of A is covered in
- 15 - CAR 507. This CAR also covers imported aircraft and validation of foreign C of As. There is a detailed administrative procedure designed to assist applicants for a C of A to ensure a smooth application process. 3.6.1.13 The C of A remains valid as long as all airworthiness requirements are fulfilled and an annual airworthiness information report is completed and signed by the owner or an authorised delegated person and submitted to Transport Canada. A continuous airworthiness surveillance of commercial aircraft is performed through the National Audit Programme, ramp checks and the assigned inspector to the air operator. However, there is no procedure in place in respect of aircraft over 5 700 kg maximum certificated take-off mass (MCTOM) to inform the organization responsible for type design on faults, malfunctions, defects and other occurrences, that cause or may cause adverse effects on the continuing airworthiness of the aircraft, as indicated in Annex 8, Part II, paragraph 4.2.5. 3.6.1.14 AMO approval is covered in CAR 573. Transport Canada will issue an AMO certificate on the basis of the approved maintenance control manual for commercial air transport operators with an AMO or a maintenance policy manual for stand-alone AMOs. AMO approvals for national organizations are issued without an expiration date, but for foreign AMOs, the certificate expires every two years and must be reissued after a full approval process. Sufficient procedures and guidance material is available to the industry and the inspectors for the surveillance programme. There have been extensive revisions to the CARs which have been approved through the CARAC. The new revision will bring the relevant CARs in line with the requirements of Annex 6, Chapter 8 on approved maintenance organizations. 3.6.1.15 Files at the Regional Office for the continuing airworthiness of aircraft, commercial air transport operators maintenance arrangements and AMO certification were reviewed and confirmed conformance with ICAO Standards and in adherence with guidance material. 3.6.1.16 Three different levels of airworthiness review have been established to facilitate the type certification of foreign products intended for import into Canada. The levels have been developed to enable Transport Canada to take advantage of and give maximum credit to the national airworthiness authority responsible for the type certification of imported products. In each case, however, compliance with Canadian standards of airworthiness must be assured. 3.6.1.17 Level 1 and 2 utilize elements of risk management and are based on confidence in the responsible authority to perform type certification of aeronautical products in a manner similar to Transport Canada. Level 1 is essentially a paperwork exercise and would apply to less complex products and to authorities that have a bilateral agreement for certification. Level 2 is an on-site review and permits limited objectives to be achieved for more complex products used in transporting passengers or providing services. Level 2 also applies to engines and propellers which are to be incorporated in Canadian designed aircraft. Level 3 is a more comprehensive on-site review and evaluation, and typically, would be applied where products being imported into Canada have been type certificated by an airworthiness authority of which Transport Canada has little or no knowledge or when there are applications for new type design approvals. 3.6.1.18 Each approved design organization and manufacturer is provided the required safety oversight by Headquarters and the Regional Offices in accordance with the Frequency of Inspection Policy (FIP) Manual. This manual is also used in conjunction with the National Audit Programme, which establishes the required criteria and inspection requirements along with compliance checklists. A review of audit records revealed that Transport Canada is in conformance with the programme requirements.