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Staff InstructionSubject: National Surveillance Planning Standard

Issuing Office: Civil Aviation Document No.: SI SUR-009 File Classification No.: Z 5000-32 Issue No.: 02 RDIMS No.: 7309510-V13 Effective Date: 2012-05-31

TABLE OF CONTENTS

1.0 INTRODUCTION .............................................................................................................................. 3 1.1 Purpose ............................................................................................................................................ 3 1.2 Applicability ...................................................................................................................................... 3 1.3 Description of Changes .................................................................................................................... 3

2.0 REFERENCES AND REQUIREMENTS ......................................................................................... 3 2.1 Reference Documents ..................................................................................................................... 3 2.2 Cancelled Documents ...................................................................................................................... 3 2.3 Definitions and Abbreviations .......................................................................................................... 3

3.0 BACKGROUND ............................................................................................................................... 4

4.0 ROLES AND RESPONSIBILITIES ................................................................................................. 4

5.0 GENERAL PLANNING PROCEDURE ........................................................................................... 5

6.0 GATHER INPUT DATA ................................................................................................................... 7 6.1 Tombstone Information .................................................................................................................... 7 6.2 Surveillance Interval ......................................................................................................................... 7 6.3 Enterprise Complexity ...................................................................................................................... 7 6.4 Allocation Exceptions ....................................................................................................................... 7

7.0 CREATING A 5 YEAR FORECAST ................................................................................................ 8 7.1 Populate Planning Form................................................................................................................... 8 7.2 Distribute Allocation Exceptions ....................................................................................................... 8 7.3 Apportion Enterprises by Surveillance Interval ................................................................................ 9

8.0 ANNUAL PLANNING ...................................................................................................................... 9 8.1 Adjusting Surveillance Team Size and Setting Team Composition ................................................. 9 8.2 Determine Resource Availability .................................................................................................... 10

9.0 ANALYSIS AND ARASS PLANNING........................................................................................... 10 9.1 Extension of Surveillance Interval .................................................................................................. 11

10.0 ANNUAL SURVEILLANCE PLAN APPROVAL ........................................................................... 11

11.0 ANNUAL SURVEILLANCE PLAN SCHEDULING ....................................................................... 11

12.0 REVISIONS TO THE SURVEILLANCE SCHEDULE DURING THE CURRENT YEAR .............. 11

13.0 ANNUAL SURVEILLANCE PLAN UPDATE ................................................................................ 12

14.0 SURVEILLANCE PLAN MONITORING AND REPORTING ........................................................ 12

15.0 INFORMATION MANAGEMENT .................................................................................................. 12

16.0 DOCUMENT HISTORY ................................................................................................................. 12

17.0 CONTACT OFFICE ....................................................................................................................... 13 APPENDIX A—ENTERPRISE COMPLEXITY ........................................................................................... 14 APPENDIX B—RESOURCE AVAILABILITY DETERMINATION ............................................................. 19 APPENDIX C—DISTRIBUTION OF ENTERPRISES ................................................................................ 20 List of Figures Figure 1 – Surveillance Planning ............................................................................................................... 6 Figure 2 – Enterprise Complexity Point Ratings ................................................................................... 14 Figure 3 –Complexity Rating.................................................................................................................... 16 Figure 4 – Full Time Equivalent Days Required for Planned Surveillance Activities ........................ 17

National Surveillance Planning Standard

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1.0 INTRODUCTION

1.1 Purpose

(1) The purpose of this Staff Instruction (SI) is to provide guidance with respect to the development and on-going maintenance of a 5-year surveillance plan that covers all Transport Canada Civil Aviation (TCCA) enterprises.

1.2 Applicability

(1) This document is applicable to all TCCA personnel responsible for surveillance planning.

1.3 Description of Changes

(1) This document has undergone extensive revision and should therefore be considered a new document.

2.0 REFERENCES AND REQUIREMENTS

2.1 Reference Documents

(1) It is intended that the following reference materials be used in conjunction with this document:

(a) Civil Aviation Directive (CAD) SUR-008 — Surveillance Policy;

(b) Staff Instruction (SI) SUR-001 — Surveillance Procedures;

(c) SI SUR-005 — Guidance on the Use of Risk Indicators in the National Aviation Safety Information Management System; and

(d) SI QUA-008 — Risk Management Process for Aviation Safety Activities.

2.2 Cancelled Documents

(1) Not applicable.

(2) By default, it is understood that the publication of a new issue of a document automatically renders any earlier issues of the same document null and void.

2.3 Definitions and Abbreviations

(1) The following definitions are used in this document:

(a) Assessment: the surveillance activity conducted to evaluate effectiveness and level of compliance with the Canadian Aviation Regulations (CARs), as described in SI SUR-001;

(b) Enterprise: the holder of one or more TCCA issued certificate 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 certificate;

(c) Planned Surveillance: all surveillance activities conducted at a predetermined interval, in accordance with CAD SUR-008;

(d) Program Validation Inspection: a process comprised of a documentation review and an on-site review of one or more components of a Safety Management System (SMS) or other regulated areas of an enterprise;

(e) Regional Coordinator: staff within an operational area that have been tasked with the functional development of a surveillance plan;


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(f) Service: all oversight activities, other than surveillance activities, conducted at the request, or for the optional use, of the recipients, and includes the issuance of certificates, licenses, approvals or other authorizations by the Minister to enable activities regulated by the CARs; and

(g) Surveillance: all oversight activities directly related to a enterprise’s compliance with the applicable regulations and standards including, but not limited to, assessments, validation inspections, process inspections, audits, company visits (formal or informal), ramp, cockpit, cabin or aircraft inspections, facility or shop visits, review and approval of company documentation, correspondence by any means, as well as any other activity that could be used to gather information related to a certificate issued by the Minister.

(2) The following abbreviations are used in this document:

(a) ARASS: Activity Reporting and Standards System

(b) CASIMS: Civil Aviation Surveillance Information Management System;

(c) NACIS: National Aviation Company Information System;

(d) NASIMS: National Aviation Safety Information Management System;

(e) NCAMX: National Civil Aviation Management Executive;

(f) OCAMX: Operational Civil Aviation Management Executive;

(g) PVI: Program Validation Inspection;

(h) RDIMS: Records, Document and Information Management System; and

(i) TCC: Transport Canada Centre

(j) TCCA: Transport Canada Civil Aviation

(k) TMX: Transport Management Executive Committee.

3.0 BACKGROUND

(1) A key component of Transport Canada, Civil Aviation’s (TCCA) oversight activities is surveillance. Through both planned and unplanned surveillance activities, TCCA gains confidence that the industry is in compliance with the Canadian Aviation Regulations (CARs) and associated Standards.

(2) In accordance with the Management Accountability Framework (Area of Management 9 – Integrated Risk Management), TCCA is taking a standardized, risk based approach to planning surveillance activities across all operational areas, taking into account all available safety information regarding TCCA approved enterprises.

(3) Civil Aviation Directive (CAD) SUR-008 – Surveillance Policy details the process through which risk based intervals are assigned for conducting planned surveillance activities. Planned surveillance intervals range from 1 year for high risk and/or high impact organizations to 5 years for low risk and/or low impact organizations.

4.0 ROLES AND RESPONSIBILITIES

(1) The roles and responsibilities regarding surveillance planning are described as follows:

(a) SO3 Management Board is responsible for:

(i) the annual approval of a national surveillance plan;


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(ii) approving deviations from the approved surveillance plan, as recommended by National Civil Aviation Management Executive (NCAMX); and

(iii) the annual review of the national surveillance plan’s performance.

(b) Regional Direction Generals (RDGs) and Director General, Civil Aviation (DGCA) are responsible for:

(i) the annual approval of surveillance plans for civil aviation operational groups under their area of control; and

(ii) the annual review of their surveillance plan’s performance.

(c) NCAMX is responsible for

(i) reviewing and recommending to the SO3 Management Board, the approval of deviations from the approved surveillance plan;

(ii) reporting on the surveillance plan’s performance to RDGs and the DGCA; and

(iii) performing periodic management reviews of the surveillance policy.

(d) Heads of operational groups (Regional Directors, Civil Aviation (RDCAs) and applicable headquarters Directors) are responsible for:

(i) preparing a surveillance plan for RDG or DGCA approval;

(ii) ensuring the current year of the approved surveillance plan is scheduled; and

(iii) reporting any deviations or proposed deviations from the approved surveillance plan to NCAMX.

(e) Regional Coordinators are responsible for:

(i) developing surveillance plans for their operational area in accordance with the procedures detailed in this Staff Instruction (SI) and in consultation with applicable stakeholders.

(f) Director, Standards is responsible for:

(i) the maintenance of the National Surveillance Planning Standard; and

(ii) the development and maintenance of surveillance planning tools.

5.0 GENERAL PLANNING PROCEDURE

(1) Each TCCA operational group shall develop and document a surveillance plan in accordance with this staff instruction. This surveillance plan shall cover a five (5) year period and include all enterprises within the purview of the operational group.

(2) Heads of operational groups shall take advantage of geographically assigned resources by initiating the planning procedures at the TCC or work group level and then rolling it up at the operational group level. This will facilitate the analysis of the planning projections later in the process.

(3) The surveillance planning procedure follows the generic process flow diagram provided below. Each portion of the process flow diagram is supported by appropriate sections of this SI.


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Figure 1 – Surveillance Planning


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6.0 GATHER INPUT DATA

6.1 Tombstone Information

(1) For the purpose of this staff instruction, TCCA enterprise tombstone information includes:

(a) Enterprise name;

(b) TCCA file number;

(c) Surveillance Interval Matrix (SIM) value ;

(d) Surveillance interval (see Section 6.2 of this SI);

(e) Complexity rating (see Section 6.3 of this SI);

(f) Whether the enterprise is subject to an allocation exception (see Section 6.4 of this SI); and

(g) Date of last Program Validation Inspection (PVI) or Assessment. For those enterprises that have not yet been subject to a PVI or Assessment, consider the date of their last regulatory audit.

(2) For each enterprise to be included within the surveillance plan, acquire their tombstone information.

(3) This information can be retrieved from sources such as the Risk Profile form, NASIMS, NACIS, CASIMS, or any other source used to record information concerning TCCA enterprises.

6.2 Surveillance Interval

(1) For each enterprise to be included within the surveillance plan, acquire their risk based surveillance interval.

(2) Surveillance intervals are determined using the Risk Profile form (RDIMS 7264635) in accordance with the processes described in CAD SUR-008.

(3) Surveillance intervals are based on the risk profile of the enterprise. The risk profile of an enterprise is a combination of the likelihood that the certificated organization is managing risks to an acceptable level of safety and compliance and a determination of the impact of the certificated organization on the aviation transportation system and public confidence. Plotting the risk profile on the Surveillance Interval Matrix provides a planned surveillance interval of 1 year (high risk and/or high impact organizations) to 5 years (low risk and/or low impact organizations).

6.3 Enterprise Complexity

(1) For each enterprise to be included within the surveillance plan, TCCA shall establish their complexity rating. The resources required to complete a planned surveillance activity depends on the complexity of the TCCA enterprise undergoing surveillance.

(2) TCCA enterprise complexity is determined using the Risk Profile form (RDIMS 7264635) during the determination of risk based surveillance intervals in accordance with CAD SUR-008.

(3) The process to determine TCCA enterprise complexity and the corresponding number of Full Time Equivalent (FTE) days required to complete a surveillance activity is provided in Appendix A of this SI.

6.4 Allocation Exceptions

(1) An allocation exception is a condition under which a TCCA enterprise would not be subject to its surveillance interval as determined by the processes described in CAD SUR-008. Examples of such a condition include, but are not limited to, enterprises that:

(a) Have voluntarily surrendered their certificate(s);

(b) Are under certificate action (i.e. suspension); or


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(c) Are authorized to perform work or to operate in accordance with an agreement or arrangement with a foreign State or civil aviation authority (e.g. European Aviation Safety Agency).

(2) For each enterprise included within the surveillance plan, TCCA shall identify all those that are subject to an allocation exception.

7.0 CREATING A 5 YEAR FORECAST

(1) The 5 year forecast provides senior management with a long range view of planned surveillance activities for TCCA approved enterprises. The 5 year forecast takes into account the surveillance intervals set in accordance with CAD SUR-008 and the complexity ratings established in accordance with Section 6.3 of this SI.

(2) This process step involves the assignment of the planned surveillance activities for each enterprise within a five year period. This assignment is done by completing the ‘5 Year Outlook’ fields in the Surveillance Planning form (RDIMS 7588097).

(3) The assignment of specific surveillance activities is completed via indicating a ‘P’ for a PVI and an ‘A’ for an Assessment in the appropriate year within the ‘5 Year Outlook’. Non-SMS enterprises shall only be subject to PVIs as a planned surveillance activity, whereas SMS compliant enterprises shall be subject to both PVIs and Assessments as specified in CAD SUR-008.

(4) The 5 year forecast shall be prepared at the TCC or work group level, and then rolled up at the operational group level.

7.1 Populate Planning Form

(1) Using the data gathered in Section 6.0 of this SI, populate the Surveillance Planning form (RDIMS 7588097).

(2) For ease of use with respect to the remaining steps within this process, sort the enterprises in the planning form in the following fashion:

(a) Highlight all input data within the form, including the header row;

(b) Select ‘Custom Sort’ under ‘Sort & Filter”; and

(c) Sort by the following, in the order presented:

(i) Allocation exception;

(ii) Surveillance Interval;

(iii) Complexity; and

(iv) Last Visit Date.

7.2 Distribute Allocation Exceptions

(1) For each enterprise within the surveillance plan that has been identified as being subject to an allocation exception, assign within the ‘5 Year Outlook’ when each enterprise will be subject to a planned surveillance activity such that it respects the surveillance timelines specified by the exception.

(2) For those enterprises subject to an allocation exception that make it such that they will not be subject to surveillance (e.g. voluntarily surrendered certificate), ensure they are not included in the ‘5-Year Outlook’.

(3) For each enterprise within the surveillance plan that has been identified as being subject to surveillance allocation exception due to the fact that they are authorized to perform work or to operate in accordance with an agreement or arrangement with a foreign State or civil aviation


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authority, assign within the ‘5 Year Outlook’ when each enterprise will be subject to a planned surveillance activity.

(4) The assignment of surveillance activities described in (3) shall respect the surveillance interval specified in the agreement or arrangement except in those cases where the surveillance interval for the enterprise determined using CAD SUR-008 is shorter than that specified in the applicable obligation. In those cases, the shorter interval shall be used.

(5) In the case of an enterprise with multiple certificates, the portion of the enterprise subject to an agreement or arrangement may use a surveillance interval that is assigned in accordance with the agreement or arrangement, while the portion of the enterprise not subject to an agreement or arrangement may use a surveillance interval that is assigned in accordance with the methodology described in CAD SUR-008. Where these two surveillance intervals are the same, enter the enterprise as one line item in the Surveillance Planning form. Where these two surveillance intervals are different, enter the enterprise as two separate line items in the Surveillance Planning form.

7.3 Apportion Enterprises by Surveillance Interval

(1) For all those enterprises not subject to allocation exceptions, apportion them within the ‘5 Year Outlook’ according to the procedures described below.

(2) First distribution of enterprises

(a) During the development of the first surveillance plan produced in accordance with this staff instruction, every attempt should be made to distribute enterprises within the ‘5 Year Outlook’ such that interval between their last PVI or Assessment and next planned PVI or Assessment respects the interval determined in accordance with the process described in CAD SUR-008.

(b) Should this result in an uneven distribution of enterprises (i.e. a large portion of enterprises being in certain years within the ‘5 Year Outlook’), then all enterprises within the plan shall be evenly distributed across the ‘5 Year Outlook’ according to the process described in Appendix C of this SI. This process evenly distributes enterprises in a risk based manner that respects the date of the last PVI or Assessment.

(3) Distribution of enterprises during revisions of the surveillance plan

(a) Following the first distribution, the surveillance interval of each enterprise shall be respected during each subsequent revision of the surveillance plan.

(b) New enterprises shall be added to the surveillance plan in a manner compliant with its risk based surveillance interval as determined by CAD SUR-008.

8.0 ANNUAL PLANNING

(1) For each TCC or work unit of an operational group, refine the first year of the surveillance plan to take into account actual data as opposed to average national planning numbers.

(2) More specifically, the annual planning shall take into account:

(a) the actual team size required to complete the surveillance activity;

(b) the type of inspectors required to complete the activity; and

(c) the actual resources available to perform the surveillance work.

8.1 Adjusting Surveillance Team Size and Setting Team Composition

(1) For each surveillance activity listed in year one of the 5 year outlook, identify the actual surveillance team size and composition required to effectively conduct the activity. The national


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planning numbers included in Figure 4 of Appendix A shall be used as the starting point and then adjusted, as required, based on the following factors:

(a) the enterprise’s risk profile;

(b) the enterprise’s size and complexity;

(c) scope of the surveillance activity;

(d) previous surveillance results; and

(e) the enterprise’s enforcement record.

(2) Adjustment of team size and selection of team composition shall be completed in the Surveillance Planning Form (RDIMS 7588097).

(3) Taking into account the criteria listed in (1), the surveillance team size may be increased or decreased. More specifically, the team size may be increased to ensure an effective surveillance activity and may be decreased if it will not negatively impact the effectiveness of the activity. By default, the form shall include the standard team size defined by the enterprise’s complexity rating.

(4) Taking into account the criteria listed in (1), the team composition shall be set to reflect the team size identified in (3). One team member shall be identified as the activity manager.

(5) The team composition may include, as required, a mix of airworthiness, operational, aerodrome and specialty inspectors.

8.2 Determine Resource Availability

(1) For the current year of the surveillance plan, each TCC or work group shall determine the number of inspectors by type available for the conduct of planned surveillance activities, including:

(a) Airworthiness inspectors;

(b) Flight Operations inspectors;

(c) Dangerous Goods inspectors;

(d) Cabin Safety/Aviation Occupational Safety and Health inspectors;

(e) Aerodrome Flight Inspectors;

(f) Aerodrome Technical Inspectors;

(g) Air Navigation Flight Inspectors; and

(h) Air Navigation Technical Inspectors.

(2) Using the process described in Appendix B of this SI, each operational group shall determine the number of FTE days available each year for planned surveillance activities, for every type of inspector listed in (1).

9.0 ANALYSIS AND ARASS PLANNING

(1) Once the annual plan is established in accordance with Section 8.0, compare the resource required to complete the surveillance activities in year one with the actual resources available within the TCC or work group. The Surveillance Planning Form will indicate whether there is a projected surplus or deficit in resources for each inspector group (e.g. airworthiness, operations, airport AO, airport TI and cabin safety).

(2) A projected resource surplus or deficit in the annual surveillance plan does not give TCCA management a complete picture with regards to overall resource planning. To get an


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understanding of the actual impact, operational groups shall input the surveillance plan data into their annual ARASS plan.

(3) The ARASS planning data will provide the required context to the annual surveillance planning results. More specifically, it will provide management with a better understanding of their ability to absorb a surveillance resources deficit through a shift in overall resources required to deliver the complete Civil Aviation program. In other words, the annual surveillance plan may:

(a) project a surveillance resource deficit that, when integrated in ARASS planning, anticipates sufficient overall resources to accomplish all Civil Aviation tasks, including oversight (surveillance and service) activities and non-oversight activities; or

(b) project a surveillance resource deficit that, when integrated in ARASS planning, anticipates insufficient overall resources to accomplish all Civil Aviation tasks, including oversight (surveillance and service) activities and non-oversight activities.

(4) In the case where ARASS planning indicates an overall resource deficiency as described in (3)(b), operational groups shall, to the extent possible, assign resources between TCC or work group in order to make up the deficit.

(5) Once resource assignment is maximized in accordance with (4), and the ARASS planning continues to indicate an overall resource deficiency, regional planners shall identify the affected operational areas to the head of their operational group so that they may make appropriate planning adjustment.

9.1 Extension of Surveillance Interval

(1) Where operational groups continue to project an annual surveillance plan resource deficits, heads of operational groups may decide, as a last resort, to extend surveillance intervals in accordance with the provisions of CAD SUR-008.

10.0 ANNUAL SURVEILLANCE PLAN APPROVAL

(1) All surveillance plans shall be submitted to:

(a) RDGs and DGCA for the annual approval of surveillance plans for civil aviation operational groups under their area of control; and

(b) SO3 Management Board for the annual approval of a national surveillance plan.

(2) Any proposed changes to an approved surveillance plan outside of the situation described in Section 12.0 of this SI shall be reported to NCAMX for review and to the SO3 Management Board for approval.

11.0 ANNUAL SURVEILLANCE PLAN SCHEDULING

(1) Based on the approved surveillance plan, each operational area shall schedule the current year of their surveillance plan (i.e. the upcoming year) in accordance with their regional scheduling procedures.

12.0 REVISIONS TO THE SURVEILLANCE SCHEDULE DURING THE CURRENT YEAR

(1) Once scheduled, an enterprise’s planned surveillance activity can be performed +/- 3 months from the month in which the activity was initially planned and still be considered completed on time.


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(2) In those instances where a change being proposed involves moving any surveillance interval beyond those +/- 3 months, adjustments shall be made to the surveillance plan in accordance with the process described in CAD SUR-008.

13.0 ANNUAL SURVEILLANCE PLAN UPDATE

(1) All surveillance plans shall be reviewed, at a minimum, annually. Reviews should consider:

(a) Any changes to the operational group associated with the surveillance plan (e.g. staffing levels, mandate, etc.);

(b) Any changes to any relevant enterprise’s operations;

(c) The introduction of any new enterprise(s);

(d) The removal of any enterprise(s);

(e) The most up-to-date risk profile information concerning all relevant enterprises;

(f) Feedback from surveillance activities from the previous year from both TCCA enterprises and personnel; and

(g) Any changes or developments to TCCA surveillance policy, process and/or procedures.

(2) At a minimum, all surveillance plans shall be revised annually to include a new fifth year.

(3) Any amendment to a surveillance plan shall be conducted in accordance with the procedures described in Sections 6.0 through 9.0 of this SI.

14.0 SURVEILLANCE PLAN MONITORING AND REPORTING

(1) Each operational area shall monitor the performance of their surveillance plan and provide monthly progress reports to NCAMX.

(2) NCAMX shall report on the surveillance plan’s performance to RDGs and DGCA, who will ensure that the SO3 Management Board have the necessary information to perform an annual review of the national surveillance plan’s performance.

15.0 INFORMATION MANAGEMENT

(1) All surveillance planning decisions and supporting documentation must be saved in RDIMS using the appropriate subject file classification.

16.0 DOCUMENT HISTORY

(1) Staff Instruction (SI) SUR-009 Issue 01, RDIMS 4728552 (E), 4747379 (F), dated 2009-07-21 – National Planning Standards


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17.0 CONTACT OFFICE

For more information, please contact the: Chief, Technical Program Evaluation Coordination (AARTT)

Phone: 613-952-7974 Fax: 613-952-3298 E-mail: [email protected]

Suggestions for amendment to this document are invited, and should be submitted via the following e-mail address: [email protected]

Aaron McCrorie Director, Standards Civil Aviation


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APPENDIX A—ENTERPRISE COMPLEXITY

1.0 PROCEDURE

(1) The number of FTE days required to complete a planned surveillance activity will depend on the complexity rating (i.e. high, medium or low) of the TCCA enterprise. The complexity rating of an enterprise is determined by the addition of the point rated criteria provided below, which is divided into types of enterprise.

Figure 2 – Enterprise Complexity Point Ratings

Criteria Point Rating

CAR 406, 604, 701, 702, 703, 704 and 705

Number of certificates in different categories (including non-AOC certificates)

1 = 1 point 2 = 2 points 3 or more = 3 points

Number of employees 1-10 = 1 point 11-50 = 2 points 51 or more = 3 points

Number of domestic bases 2 or less = 1 point 3-10 = 2 points 11 or more = 3 points

Number of aircraft 3 or less = 1 point 4-10 = 2 points 11 or more = 3 points

Number of aircraft types 1 or less = 1 point 2-5 = 2 points 6 or more = 3 points

Type of operations (highest certificate only) 604, 406, 701 non-NAFTA, 702 = 1 point 703 = 2 points 701 NAFTA, 704, 705 = 3 points

International operations Yes = 2 points No = 0 points

CAR 561, 563, 566 and 573

Number of certificates in different categories 1 = 1 point 2 = 2 points 3 or more = 3 points

Number of employees 1-10 = 1 point 11-50 = 2 points 51 or more = 3 points

Number of domestic bases 2 or less = 1 point 3-10 = 2 points 11 or more = 3 points

Number of specialized ratings 1 or less ratings = 1 point 2 or 3 ratings = 2 points 4 or more ratings = 3 points

Type of operations

573, 561 component manufacturers, 563 = 1 point 703 associated 573, specialized 573 = 2 points 561 aircraft or engine manufacturer, 704/705 associated 573, 800 = 3 points

International facilities Yes = 2 points No = 0 points


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Criteria Point Rating

CAR 302

Number of Certificates in different categories1 Certificate = 1 point 2 Certificates = 2 points 3 Certificates or more = 3 points

Number of Employees 1-10 employees = 1 point 11-50 employees = 2 points 51 employees or more = 3 points

Airport Category (based on ARASS definitions)

Simple = 1 point Complex = 2 points International = 3 points

Reason for Certification (Based on CAR 302.01)

Public Interest = 1 point Built-up Area = 2 points Schedule Service = 3 points

Highest Landing Surface Category (Based on TP 312)

Non-instrument = 1 point Non-precision = 2 points Precision = 3 points

Highest Runway Code (Based on TP312)

Code 1 or 2 = 1 point Code 3 = 2 points Code 4 = 3 points

CAR 305

Number of Certificates in Different Categories

1 Certificate = 1 point 2 Certificates = 2 points 3 Certificates or more = 3 points

Number of Employees 1-10 employees = 1 point 11-50 employees = 2 points 51 employees or more = 3 points

Heliport Classification (Based on STD 325.19)

H3 = 1 point H2 = 2 points H1 = 3 points

Reason for Certification (Based on CAR 305.02)

Public Interest = 1 point Built-up Area = 2 points Schedule Service or Precision Instrument Approach = 3 points

Approach Path(s) Multiple Approaches = 1 point Approach Arc < 90˚ = 2 points Single Approach or Arc <10˚ = 3 points

Lighting None / day use only site = 1 point STD 325 = 2 points TP 2586 = 3 points

Elevated / Roof Top Landing Area Yes = 2 points No = 0 points


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(2) For each enterprise, add the number of points and use the total to determine the related complexity rating using the following table.

Figure 3 –Complexity Rating

Complexity Rating Point Total

CAR 406, 604, 701, 702, 703, 704 and 705

Low Complexity 6-9

Medium Complexity 10-15

High Complexity 16-20

CAR 561, 563, 566 and 573

Low Complexity 5-8



CAR 302

Low Complexity 6-10



CAR 305

Low Complexity 6-12



Based on the complexity rating of the enterprise, the number of FTE days used for planning purposes shall be determined by referencing the national planning standard contained in the following table (figure 4):


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Figure 4 – Full Time Equivalent Days Required for Planned Surveillance Activities

Enterprise Complexity PVI Assessment Follow up

CAR 406, 604, 701, 702, 703, 704 and 705

Low

Team members: 3 Preparation: 2 days On-site: 2 days Management: 3 days (2+2)3 + 3 = 15 Total: 15 days


30%

Medium



30%

High



30%

CAR 561, 563, 566 and 573

Low



30%

Medium



30%

High



30%


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Enterprise Complexity PVI Assessment Follow up

CAR 302, 305

Low



30%

Medium



30%

High



30%


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APPENDIX B—RESOURCE AVAILABILITY DETERMINATION

1.0 INPUTS

(1) The availability of a TCCA surveillance resource (i.e. inspector) is determined using:

(a) Total annual number of inspector FTE available days derived from ARASS;

(b) Average annual number of training days taken by the inspector;

(c) Average annual number of travel days taken by the inspector;

(d) A deduction for the amount of time used by inspectors for non-oversight activities, this includes tasks such as:

(i) Investigation, enforcement and compliance;

(ii) Promotion, education and interpretation;

(iii) Policy development;

(iv) Functional direction;

(v) Internal priority; and

(vi) Workshops and meetings.

This deduction has been determined using historical ARASS data to be 25% (national average);

(e) An allotment of 71% of inspector time for surveillance activities, as defined in the TCCA Program Activity Architecture (PAA);

(f) A deduction of 20% for unplanned surveillance activities; and

(g) A deduction of 30% for follow-up activities.

(2) The final number of FTE days is equal to the number of FTE days available for planned surveillance activities.

2.0 PROCEDURE

(1) For each type of inspector, determine their average annual number of training and travel days using historical data (ARASS, finance, and human resources records).

(2) For each type of inspector, input these two pieces of data into the Resource Availability Form (RDIMS 7586325) to determine the number of available FTE days (all other criteria are already included in the form).


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APPENDIX C—DISTRIBUTION OF ENTERPRISES

1.0 ENTERPRISES SUBJECT TO A ONE YEAR SURVEILLANCE INTERVAL

(1) For those enterprises subject to a surveillance interval of one year, assign surveillance activities within each year of the ‘5 Year Outlook’.

2.0 ENTERPRISES SUBJECT TO A TWO YEAR SURVEILLANCE INTERVAL

(1) For those low complexity air operator enterprises (identified as ‘LO’ in the Surveillance Planning form) subject to a surveillance interval of two years, assign surveillance activities for half of them within the first year of the ‘5 year outlook’. Priority should be given to those enterprises which have not been subject to planned surveillance for greater than two years.

In those cases where greater than half of the enterprises have not been subject to planned surveillance for greater than two years, priority should be given to those enterprises with a greater SIM value (i.e. from greatest to smallest: 5C, 4E, 4D and then 4C).

(2) For the remaining half, assign surveillance activities within the second year of the ‘5 Year Outlook’.

(3) Repeat the process described in paragraphs (1) and (2) for low complexity, non-air operator enterprises (identified as ‘LN’ in the Surveillance Planning form).

(4) For those medium complexity enterprises subject to a surveillance interval of two years, apportion them over the first two years of the ‘5 Year Outlook’ in accordance with the same process described in paragraphs (1) and (2).

(5) For those high complexity enterprises subject to a surveillance interval of two years, apportion them over the first two years of the ‘5 Year Outlook’ in accordance with the same process described in paragraphs (1) and (2).

(6) For all enterprises subject to a surveillance interval of two years, assign within the ‘5 Year Outlook’ the remaining surveillance activities required to comply with the interval (e.g. all those enterprises planned within the first year must also be subject to surveillance in years 3 and 5).

3.0 ENTERPRISES SUBJECT TO A THREE YEAR SURVEILLANCE INTERVAL

(1) For those low complexity air operator enterprises (identified as ‘LO’ in the Surveillance Planning form) subject to a surveillance interval of three years, assign surveillance activities for one third of them within the first year of the ‘5 year outlook’. Priority should be given to those enterprises which have not been subject to planned surveillance for greater than three years.

In those cases where greater than one third of the enterprises have not been subject to planned surveillance for greater than three years, priority should be given those enterprises with a greater SIM value (i.e. from greatest to smallest: 5B, 5A, 4B, 4A, 3E, 3D and then 3C).

(2) For the following third, assign surveillance activities within the second year of the ‘5 Year Outlook’. Again, priority should be given to those enterprises which have not been subject to planned surveillance for greater than three years according to the process described in paragraph (1).

(3) For the remaining third, assign the appropriate surveillance activities within the third year of the ‘5 Year Outlook’.

(4) Repeat the process described in paragraphs (1) through (3) for non-air operator enterprises (identified as ‘LN’ in the Surveillance Planning form).

(5) For those medium complexity enterprises subject to a surveillance interval of three years, apportion them over the first three years of the ‘5 Year Outlook’ in accordance with the same process described in paragraphs (1) through (3).


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(6) For those high complexity enterprises subject to a surveillance interval of three years, apportion them over the first three years of the ‘5 Year Outlook’ in accordance with the same process described in paragraphs (1) through (3).

(7) For all enterprises subject to a surveillance interval of three years, assign within the ‘5 Year Outlook’ the remaining surveillance activities required to comply with the interval (e.g. all those enterprises planned within the first year must also be subject to surveillance in year 4).

4.0 ENTERPRISES SUBJECT TO A FOUR YEAR SURVEILLANCE INTERVAL

(1) For those low complexity air operator enterprises (identified as ‘LO’ in the Surveillance Planning form) subject to a surveillance interval of four years, assign surveillance activities for one quarter of them within the first year of the ‘5 year outlook’. Priority should be given to those enterprises which have not been subject to planned surveillance for greater than four years.

In those cases where greater than one quarter of the enterprises have not been subject to planned surveillance for greater than four years, priority should be given those enterprises with a greater SIM value (i.e. from greatest to smallest: 3B, 3A, 2E, 2D, 2C, 1E and then 1D).

(2) For the second quarter, assign surveillance activities within the second year of the ‘5 Year Outlook’. Again, priority should be given to those enterprises which have not been subject to planned surveillance for greater than four years according to the process described in paragraph (1).

(3) For the third quarter, assign surveillance activities within the third year of the ‘5 Year Outlook’. Again, priority should be given to those enterprises which have not been subject to planned surveillance for greater than four years according to the process described in paragraph (1).

(4) For the remaining quarter, assign surveillance activities within the fourth year of the ‘5 Year Outlook’.


(6) For those medium complexity enterprises subject to a surveillance interval of four years, apportion them over the first four years of the ‘5 Year Outlook’ in accordance with the same process described in paragraphs (1) through (4).

(7) For those high complexity enterprises subject to a surveillance interval of four years, apportion them over the first four years of the ‘5 Year Outlook’ in accordance with the same process described in paragraphs (1) through (4).

(8) For all enterprises subject to a surveillance interval of four years, assign within the ‘5 Year Outlook’ the remaining surveillance activities required to comply with the interval (i.e. all those enterprises planned within the first year must also be subject to surveillance in year 5).

5.0 ENTERPRISES SUBJECT TO A FIVE YEAR SURVEILLANCE INTERVAL

(1) For those low complexity air operator enterprises (identified as ‘LO’ in the Surveillance Planning form) subject to a surveillance interval of five years, assign surveillance activities for one fifth of them within the first year of the ‘5 year outlook’. Priority should be given to those enterprises which have not been subject to planned surveillance for greater than five years.

In those cases where greater than one fifth of the enterprises have not been subject to planned surveillance for greater than five years, priority should be given those enterprises with a greater SIM value (i.e. greatest to smallest: 2B, 2A, 1C, 1B, and then 1A).

(2) For the second fifth, assign surveillance activities within the second year of the ‘5 Year Outlook’. Again, priority should be given to those enterprises which have not been subject to planned surveillance for greater than five years according to the process described in paragraph (1).


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(3) For the third fifth, assign surveillance activities within the third year of the ‘5 Year Outlook’. Again, priority should be given to those enterprises which have not been subject to planned surveillance for greater than five years according to the process described in paragraph (1).

(4) For the fourth fifth, assign surveillance activities within the fourth year of the ‘5 Year Outlook’. Again, priority should be given to those enterprises which have not been subject to planned surveillance for greater than five years according to the process described in paragraph (1).

(5) For the remaining fifth, assign surveillance activities within the fifth year of the ‘5 Year Outlook’.


(7) For those medium complexity enterprises subject to a surveillance interval of five years, apportion them over the ‘5 Year Outlook’ in accordance with the same process described in paragraphs (1) through (5).

(8) For those high complexity enterprises subject to a surveillance interval of five years, apportion them over the ‘5 Year Outlook’ in accordance with the same process described in paragraphs (1) through (5).