Directive No. 20
Revision 4

Frequency of Inspection Policy

Policy Objective:

To provide a consistent and standard approach in conducting regulatory oversight activities.

Background:

Based on a 1995 review of oversight activities within the National Civil Aviation Program, two key concerns were identified:

• a lack of national adherence to established inspection and audit frequencies; and
• the absence of a structured approach to determining inspection and audit frequencies.

To address these issues, the Frequency of Inspection Policy Document was developed to achieve a high degree of uniformity throughout the National Program. It is the single source authority detailing the frequency of performing specified regulatory oversight tasks in accordance with Part 1 para. 4.2 of the Aeronautics Act.

The directive incorporates the use of risk indicators contained in the former Manual of Regulatory Audit. The risk indicators are incorporated to assist those involved in the management of regulatory oversight activities and to identify, support and document any adjustments to prescribed frequencies.

Policy Statement:

Personnel involved in the management or execution of oversight activities are responsible for:

• complying with the frequencies to the extent that resources allow, and the amendment process specified in the Frequency of Inspection Policy Document;
• using risk indicators, as outlined in Appendix A, when determining any adjustments to the periodic cycle, which is in keeping with the organization's operating principles to use risk management techniques and policies in decision-making [Flight 2005: A Civil Aviation Safety Framework for Canada (TP 13521); Risk Management and Decision-Making in Civil Aviation (TP 13095)];
• documenting and communicating any sought deviation to the frequency policy to the relevant Functional Director; and
• conducting all audits and inspections in accordance with the procedures prescribed in the Inspection and Audit Manual.

Application:

This policy applies to all employees involved in the management or execution of oversight activities.

Definitions:

For the purpose of this directive, definitions are those outlined in the Frequency of Inspection Policy Document which are consistent with those in the Inspection and Audit Manual.

Approach:

The organization's approach is to:

• audit or inspect in accordance with the cycle outlined in the Frequency of Inspection Policy Document to the extent that resources allow;
• conduct all audits and inspections in accordance with the procedures prescribed in the Inspection and Audit Manual;
• conduct an annual review of inspection and audit frequencies at the national workshops held for each functional area;
• determine any adjustments required to inspection and audit frequencies by applying risk indicators as outlined in Appendix A and a risk management decision-making process described in Civil Aviation Directive No. 30 and guide entitled Risk Management and Decision-Making in Civil Aviation (TP 13095);
• assess resource impacts for any adjustments to the inspections and audit frequencies;
• approve resource neutral adjustments by the HQs Functional Director;
• approve adjustments requiring resource changes by the Director General, Civil Aviation.

Further information:

Robert Sincennes
Director, Quality Assurance (AARF)
Telephone: (613) 993-8976
Facsimile: (613) 993-7038
E-mail: sincero@tc.gc.ca

Merlin Preuss
Director General
Civil Aviation

Effective date: May 31,2003
Review date: May 31, 2005