Surveillance
Why A New System?
The CAA's Surveillance System had not been significantly changed since it was implemented in the early 1990s.
CAA internal reviews, and recommendations by the Office of the Auditor General (OAG) identified that the efficiency and effectiveness of the Director's surveillance processes needed to be improved. The OAG also said surveillance should be risk-based, and that the CAA's certification process needed to be more consistently applied, and better documented.
The CAA responded by developing three major projects to improve the integration, consistency and effectiveness of the certification and surveillance functions.
Surveillance Project
Begun in late 2004, the Surveillance project focused on increasing the productivity of CAA auditors, streamlining processes and improving the quality of information obtained from surveillance activities.
Risk Assessment and Intervention Project
Begun in 2005, the Risk Assessment and Intervention project focused on enhancing the way the CAA assessed the risk to safety posed by each aviation operator.
Certification Project
Begun in 2005, the Certification project involved the design, development and implementation of enhanced certification procedures to ensure a consistent and thorough process.
Integration of these Projects
The three new projects are integrated.
The new processes introduced as part of the Certification Project will see 100-percent checklists created for each applicant for a certificate. These checklists will identify all Civil Aviation Rule Parts applicable to the applicant so that a comprehensive check can be made that their exposition details their means of meeting all relevant rule requirements. The results from the certification process will feed into the initial risk profile for the operator, and will also be a significant factor in the development of the subsequent surveillance plan for the operator. The 100-percent checklists will be available for use in any audits or inspections of the operator.
When deciding the depth and scope of an audit, CAA managers will choose which elements of the 100-percent checklist are to be used, and link them to the audit plan. CAA field staff will use tablet computers on audits, so that in most cases they can complete the checklists as they go.
Findings from audits and other surveillance activities effect an operator's risk profile. At the end of a surveillance activity, CAA managers will review the updated risk profile for the operator and decided what, if any, action is required.