Directive No. 28
Revision 1

Provide feedback to the Director, Management Services

Civil Aviation Issues Reporting System

Policy Objective:

To implement a Civil Aviation Issues Reporting System that fosters a respectful regulatory and work environment through the prevention, effective management, and prompt resolution of issues, and to provide a basis for a reporting culture in Civil Aviation.

Background:

A well-performing organization wants its stakeholders (employees, clients, the public) to raise issues, provide feedback (positive or negative, informally or formally), and suggest improvements to the way it manages and operates. Stakeholders know how the organization should work and know if things do not work properly. The best organizations use information from stakeholders to root out problems and improve how the organization functions.

The main reasons for a formal reporting system are:

• To allow stakeholders to provide feedback to management that is fundamental to good management.
• To provide stakeholders with a right to voice constructive comments to management.
• To draw attention to areas where the organization can improve its efficiency and effectiveness.
• To promote stakeholder satisfaction and allow stakeholders to report positive comments and compliments.
• To generate savings by resolving issues close to the source by preventing the unnecessary escalation of issues that consume time and resources through formal established redress mechanisms.

Policy Statement:

Civil Aviation recognizes the need for a system by which stakeholders may raise issues with management in hopes of resolving them at the lowest possible level in the organization. To accomplish this, Civil Aviation provides a means to raise issues (concerns, complaints, compliments, and suggestions for improvement), before resorting to formal, established redress mechanisms arises.

Application:

This policy applies to all employees of Transport Canada Civil Aviation.

Definitions:

An issue refers to a concern, complaint, compliment or suggestion that a stakeholder wishes to raise.

A hazard is a condition, object, or activity with the potential of causing injury to employees, damage to equipment or structures, loss of material, or reduction of ability to perform a prescribed function.

A stakeholder is a person or an organization with an interest in aviation safety. This includes internal stakeholders (Transport Canada Civil Aviation employees), and external stakeholders such as the public, the aviation community, foreign civil aviation authorities, and government employees outside Civil Aviation.

Informal resolution is the informal communications and conversations that take place to resolve any issue before a written report is made or the person resorts to a formal established redress mechanism.

A formal review is the process under this policy that involves a written report and review of the issue by an Accountable Manager.

A formal established redress mechanism is a process and associated procedures that exists through statute, Government of Canada or Transport Canada policy, or is established through collective agreements.

First level manager is the Regional Manager or Division Chief of the service in question, or an employee’s immediate supervisor.

Second level manager is the next level of management above the first level manager.

Accountable Manager is the Director of the applicable Branch or Region.

Report Coordinator is the person designated to receive and coordinate requests for a formal review.

Self-report occurs when a Transport Canada Civil Aviation employee involved in an issue makes a report under this policy.

Principles:

The issues reporting system adheres to a number of key principles:

• Accessible - The system is easily accessible, is visible to users and simple to invoke.
• Communication - Informal dialogue between the parties involved in an issue is encouraged before a formal review or established redress mechanism is launched.
• Confidential - Confidentiality, if requested, will be maintained. This is to encourage individuals to identify themselves when they report. The integrity of the reporting system can only be maintained through honesty, trust, accurate information, and well-intentioned purposes.
• Protection - Employees who act in good faith and use or participate in the issues reporting system in accordance with this policy will not face reprisal, subject to the disciplinary policy of this Directive.
• Fair - All issues reported are considered worthy of a thorough and objective review, including when necessary, a review and investigation by persons not involved in the matter at issue.
• Feedback - If a formal review of an issue is undertaken, a reasoned and understandable written response will be provided that sets out the rationale for the decision.
• Timely - The process aims to offer a quick resolution to issues. The process provides for early discussions between parties in order to resolve issues as quickly as possible.

Disciplinary Policy:

Transport Canada Civil Aviation employees are encouraged to report and self-report issues. Employees who act in good faith and use or participate in the issues reporting system in accordance with this policy will not face reprisal or disciplinary measures, unless reports are of a malicious nature or a self-reported issue involves deliberate non-compliance, willful negligence, operating outside the scope of duties or illegal actions. Employees who seek reprisal against persons that use or participate in the issues reporting system in good faith may face disciplinary action themselves.

Procedures:

Civil Aviation has created an issues reporting system comprised of two elements:

1. A process for external stakeholders to raise issues; and
2. A process for internal stakeholders to raise issues and identify hazards.

This policy and associated procedures are intended to compliment - not replace - formal established reporting systems and redress mechanisms available to stakeholders. As well, this policy is intended to help resolve issues informally before one of these mechanisms is initiated. Stakeholders always have the right to immediately initiate a formal established redress mechanism, if they so choose.

Procedures and guidance on the reporting system are published separately from this policy in the following documents:

• A Guide for the Public to on How to Raise Issues with the Civil Aviation Program (RDIMS #914842)
• Civil Aviation Issues Reporting System (CAIRS): An Employee Guide to Report Issues (RDIMS #914853)
• Civil Aviation Issues Reporting System (CAIRS): Report Coordinators Procedures (RDIMS #914872)
• Civil Aviation Issues Reporting System (CAIRS): Procedures for Managers (RDIMS #914882)

Roles and Responsibilities:

Issues are dealt with effectively through the support of each person in the process, as outlined below.

All Civil Aviation Employees are responsible to:

1. Report all issues and identify hazards;
2. Promote communication between their fellow employees and clients in order to resolve issues and concerns before they become larger problems;
3. Discuss, if practical, issues in an informal, undocumented manner with a manager in order to find a solution;
4. Initiate a formal review within Civil Aviation if they are unable to resolve the issue informally and would still like the issue considered;
5. Initiate a formal established redress mechanism if they are unable to resolve the issue within Civil Aviation and would like the matter dealt with (NOTE:  an employee always has the right to use a formal established redress mechanism without first attempting to resolve the issue within Civil Aviation); and,
6. Ensure the system is used in accordance with its intended purposes.

The DGCA and RDCAs are responsible to assign:

1. A Report Coordinator in headquarters and their regions respectively.

NCAMX members are responsible to:

1. Provide leadership and support for a reporting culture;
2. Ensure the issues reporting system is implemented in their area of responsibility;
3. Support the principles of confidentiality and the disciplinary policy;
4. Identify trends or areas of concern that might require broader action; and,
5. Monitor for any violations of principles of the reporting system.

First and Second Level Managers are responsible to:

1. Encourage open communication and informal dialogue with all stakeholders;
2. Manage the issue reporting system process in accordance with the procedures associated with this policy;
3. Promote and adhere to the principle of fairness;
4. Maintain a record of the issues brought to them and its solution;
5. Conduct a risk analysis and decide the disposition of the issues;
6. Determine the root cause and ensure, as required, that corrective action is taken and recorded within their area of responsibility; and,
7. Follow-up on the corrective action to ensure the corrective action successfully addressed the root cause.

Report Coordinators are responsible to:

1. Coordinate the process in accordance with the procedures and guidance material associated with this Directive.

The Quality and Resource Management Branch is responsible to:

1. Establish a process to monitor, evaluate and report on the performance of the reporting system;
2. Prepare periodic reports, if requested, for management on the issue reporting system in accordance with the Integrated Management System quality assurance activities; and,
3. Periodically review and maintain this policy, associated procedures, and guidance material.

Further Information

Robert Sincennes
Directeur, Assurance de qualité(AARF)
Téléphone : (613) 993-8976
Télécopieur : (613) 993-7038
Courriel : sincero@tc.gc.ca
330, rue Sparks Street (AARA)
Ottawa ON K1A 0N5

Effective date:  April 14, 2005
Expiry date:  This directive will remain in place until revoked. This directive will be reviewed annually