Directive No. 39
Original

Aviation Enforcement – Safety Management Systems

Policy Objective:

To enable the Enforcement Program to contribute to a smooth transition to a Safety Management System (SMS) framework, by allowing certificate holders to achieve future compliance through the effective use of internal reporting programs, the analysis of reported events, and the implementation of subsequent corrective measures.

Background:

As Transport Canada and the aviation industry set out to implement SMS, Civil Aviation Enforcement must be proactive in developing a flexible approach to this evolving safety framework. To that effect, TC must encourage certificate holders and their employees to make use of internal reporting process to report non-compliance situations that may impact on safety, without fear of reprisal or punitive action.
 
Accordingly, the National Civil Aviation Management Executive (NCAMX) has agreed to develop this Civil Aviation Directive requiring the application of the SMS investigation policy and procedures established in Appendix A, B and C herein attached.

Policy Statement:

Transport Canada agrees to promote voluntary compliance with regulatory requirements, without necessarily resorting to punitive action, by providing certificate holders governed by an SMS, the opportunity to determine, by themselves, proposed corrective measures to prevent recurrence of a contravention, as well as the best course of action to help foster future compliance.

Although the development of a safety culture is encouraged as an essential element of the SMS framework, Transport Canada will not compromise safety, nor ignore any contraventions of the regulations.

The policy and procedures established in Appendix A and B shall be used in enforcement activities regarding all organizations governed by a current SMS, as well as those organizations that do not have a fully implemented SMS, or that are not yet required by regulations to have one, provided that the conditions established in Appendix C are met.

Application:

This directive applies to all Civil Aviation functions responsible for oversight or certification of the aviation industry, as well as to those responsible for enforcement and investigation of regulatory contraventions.

Further Information:

Merlin Preuss
Director General
Civil Aviation

Effective date: December 16, 2005
Expiry date: This directive will be revised as necessary as the implementation of SMS in aviation organizations evolves.

Appendices:

Appendix A: Aviation Enforcement Policy
Appendix B: Aviation Enforcement Procedures
Appendix C: Aviation Enforcement Supplementary Guidance