Advisory Circular (AC) No. 400-004

Industry Invigilation of Computer Delivered Examinations

Issuing Office:	Standards	Document No.:	AC 400-004
File Classification No.:	A 5000-34	Issue No.	03
RDIMS No.:	13756482-V3	Effective Date:	2018-02-08

• 1.0 Introduction

  • 1.1 Purpose
  • 1.2 Applicability
  • 1.3 Description of Changes

• 2.0 References and Requirements

  • 2.1 Reference Documents
  • 2.2 Cancelled Documents
  • 2.3 Definitions and Abbreviations

• 3.0 Background

• 4.0 Appointment

• 5.0 Training

• 6.0 Auditing/Transport Canada Responsibilities

• 7.0 Renewal

• 8.0 Procedures for Suspension or Revocation of Authorized Examination Invigilator Privileges

• 9.0 Follow Up Action

• 10.0 Grounds for Suspension or Cancellation of Appointment (Letter of Authorization)

• 11.0 Reinstatement of Authorization

• 12.0 Facilities and Equipment

• 13.0 Software Supplied By Transport Canada

• 14.0 Invigilation Procedures

  • 14.1 Computer Delivered Examination Process
  • 14.2 Meeting the Candidate
  • 14.3 Admission to Written Examinations
  • 14.4 Misconduct During Testing
  • 14.5 Handling of Candidate Comments on Written Examinations
  • 14.6 Cheating

• 15.0 Language

• 16.0 Time Limits for Licence Application

• 17.0 Charges

• 18.0 Summary Of Examination Requirements

• 19.0 Invigilator Guidelines

• 20.0 Custody and Security

• 21.0 Examination Version

• 22.0 Record Of Examinations

• 23.0 Pass Mark

• 24.0 Examination Results/Feedback

• 25.0 Failure of an Examination and Partial Passes

• 26.0 Expiry of Examinations

• 27.0 Rewrite Waiting Period

• 28.0 Candidate Request for Assistance

• 29.0 Challenge of a Question

• 30.0 Electronic Computers

• 31.0 Information Management

• 32.0 Document History

• 33.0 Contact Office

• Appendix A – Application for Appointment as an Authorized Examination Invigilator

• Appendix B – Sample Letter of Authorization

• Appendix C – Sample Letter of Authorization Renewal

• Appendix D – Sample Letter of Recommendation for Written Examination

• Appendix E – Sample Application for Admission to Examination

• Appendix F – Sample of Inspection

• Appendix G – Sample Finding Form

• Appendix H – Sample Record of Written Examinations

• Appendix I – Sample Question Clarification Form

1.0 Introduction

1. This Advisory Circular (AC) is provided for information and guidance purposes. It may describe an example of an acceptable means, but not the only means of demonstrating compliance with regulations and standards. This AC on its own does not change, create, amend or permit deviations from regulatory requirements nor does it establish minimum standards.

2. The overall administration of the Authorized Examination Invigilator (AEI) program, including policy and standardization, is the responsibility of Transport Canada – Headquarters. Final selection, on-site training, authorization and monitoring of the Authorized Examination Invigilators (AEIs) are the responsibility of the Transport Canada Regional Offices.

3. Authorized Examination Invigilator privileges and authority are granted to individuals in accordance with the terms, condition and guidelines of this AC.

1.1 Purpose

1. The purpose of this AC is to set out the policies and procedures for the appointment of Authorized Examination Invigilators.

1.2 Applicability

1. This document is applicable to all persons seeking or exercising authority as Authorized Examination Invigilators and Transport Canada employees working with AEIs.

1.3 Description of Changes

1. Section 30.0 –Electronic Computers – amended the list of Approved Electronic Computers to include the ASA CX-3 FLIGHT COMPUTER.

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:

   1. Part I, subpart 4, Schedule IV of the Canadian Aviation Regulations (CARs) — Charges;
   2. Part IV, subpart 0 Division II of the CARs — General;
   3. Section 401.13 of the CARs — Examination Prerequisites;
   4. Part IV, Standard 421.13 of the CARs — Examination Prerequisites;
   5. Part IV, Standard 421 Division II to Division VI of the CARs — Flight Crew Permits, Licences and Ratings;
   6. Transport Canada Publication (TP) 14984, Edition 01, 2010-04-01 — Transport Canada Civil Aviation Service Standards Activities (With And Without Charges).

2.2 Cancelled Documents

1. As of the effective date of this document, the following document is cancelled:

   1. TP 13802, Fourth Edition, November 2005 — Industry Invigilation of Computer Delivered Examinations.

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 abbreviations are used in this document:

   1. AC: Advisory Circular.
   2. AEI: Authorized Examination Invigilator. An individual who is authorized on behalf of Transport Canada to invigilate certain types of Civil Aviation examinations.
   3. CDE: Computer Delivered Examinations.
   4. FTAE: Flight Training and Aviation Education (Computer System).
   5. FTU: Flight Training Unit.
   6. GALRO: General Aviation On-Line Services.
   7. PVI: Program Validation Inspection.
   8. TATC: Transportation Appeal Tribunal of Canada.

2. The following definitions are used in this document:

   1. Authorisation: An official authorization to invigilate written examination that is conditional upon certain qualifications and standards and the continued need for assistance to carry out the powers, duties and functions of the Minister.

3.0 Background

1. In 2002, Transport Canada (TC) started approving AEI to administer certain Computer Delivered Examinations (CDE) at Flight Training Units (FTU) in Canada. These examinations included– Student Pilot Permit or Private Pilot Licence for Foreign and Military applicant's aviation regulations, Recreational Pilot Permit – Aeroplane, Gyroplane Pilot Permit, Ultra-light Aeroplane Pilot Permit, Glider Pilot Licence, Hang Glider – Class"E" Air Law and Procedures, Balloon Pilot Licence and Private Pilot Licences – Aeroplane and Helicopter. Those AEIs must be associated with a flight training organization and recommended by that organization to Transport Canada for appointment.

2. In 2006, it was announced that the AEIs would be the preferred venue for delivering the above mentioned examinations.

4.0 Appointment

1. Conditions of Appointment

   1. An AEI is an individual in the aviation industry associated with an organization that provides flight training, is recommended for appointment by that organization, and is appointed by Transport Canada. The general conditions of appointment are:

      1. The applicant is a minimum age of 21 years;

      2. The applicant must be employed by an organization holding a Flight Training Unit Operator Certificate or be a member of a Glider, Balloon, Gyroplane or Ultra-Light Aeroplane Flight Training Unit;

      3. The AEI shall not be a candidate or student for any of the examinations they have access to;

      4. The AEI must pass a Reliability Status Check;

      5. The AEI shall inform Transport Canada immediately of any change of employment, change of location or conflict of interest such as embarking on a training program that includes any of the examinations that the AEI has access to;

      6. Appointment can vary from 6 months to a two year period, valid to the first day of the 7^th or 25^th month, and is not transferable to any other person, location or organization;

      7. The AEI must have reasonable computer knowledge and competence or have access to technical support;

      8. The AEI must know the policies and requirements outlined in this AC.

         Note: This designation is a privilege, not a right and all AEIs must understand that a designation may be terminated at any time for any reason Transport Canada considers appropriate and/or at the discretion of the Regional Service Team Lead.

2. Appointment Process

   1. The potential AEI will complete the application form (Form 26-0655) included in this package, along with a Personnel Screening, Consent and Authorization Form (Form TBS/SCT 330-23E) available at http://www.tc.gc.ca/media/documents/ca-standards/cde_form_330-23e.pdf, and a copy of their fingerprints (Form C-216) available at the nearest Royal Canadian Mounted Police (RCMP) detachment, local Police Station or Transport Canada Regional Security Office.

   2. Every application must be accompanied by a sketch (digital images, photos, etc.) of the testing area floor plan, restrooms, work stations, partitions (if applicable), camera(s) and monitor(s) (if applicable) and any other physical element of the testing area, and all must be clearly labelled. The method of surveillance must be clearly indicated.

   3. Transport Canada will send the necessary applications to the prospective AEI on request. The completed applications will be forwarded to the Regional Service Team Lead, Civil Aviation. The Regional Service Team Lead will complete the recommendation portion of the Personnel Screening form and forward it with the fingerprints to the Security and Informatics offices.

   4. Once the Reliability Status check has been approved and the references have been checked, the Regional Service Team Lead will then approve the application.

   5. Transport Canada will visit the examination site, confirm the physical set-up meets the required conditions, and brief the prospective AEI, including a practice session. Prior to this visit, a Government Sign-In by Verified.Me account will be set up, access to the Examination website will be granted and the Computer Delivered Examination (CDE) software should be installed by the AEI. User IDs and password for the software will also be issued. If satisfied, the Regional Office will then issue a Letter of Authorization in coordination with the Headquarters, Flight Crew Training, Evaluations and Examinations Division.

3. Letter of Authorization

   1. The external delegate's instrument of authority to administer CDE is a 'Letter of Authorization signed by the Regional Service Team Lead, Civil Aviation.

   2. The letter:

      1. Sets forth the privileges authorized;

      2. Is valid only within the boundaries of the region of appointment;

      3. Is valid only while employed at the current Flight Training Organization;

      4. Is normally valid for a period of 6 months or 2 years, to the first day of the 7^th or 25^th month from the date of issue. Durations of shorter periods may be issued at the discretion of the Regional Office;

   3. The person understands that authorization as an AEI may be cancelled or suspended for breach of a condition of issuance, administrative reasons or for any other reasons set out in sections 6.71 or 7.1(1) of the Aeronautics Act;

   4. That the person understands, accepts and will carry out the function of an AEI on behalf of the Minister in accordance with the duties, and functions contained in this AC;

   5. The letter is valid only when the Statement of Acceptance of Responsibilities and Obligations is signed and returned to Transport Canada;

   6. The Regional Office will issue the 'Letter of Authorization. The AEI shall take no action until the letter is received;

   7. The Regional Office will notify Headquarters, Flight Crew Training, Evaluation and Examination Division that they have issued the letter, at which point the AEI will be activated in the Flight Training and Aviation Education (FTAE) system. This will now allow the AEI to download and invigilate examinations;

   8. The AEI must display the 'Letter of Authorization and certificate in the designated location where the written examinations will take place and should be readily visible to the candidates.

5.0 Training

1. Transport Canada Regional Office will provide initial training for the AEI. The training will consist of technical and procedural aspects of the AEI program.

2. Newly approved AEIs must receive initial training before commencing their duties.

3. AEIs that have a break in service are not required to repeat initial training upon resuming their AEI duties, if the return to service is within 24 months of the cancellation unless changes to the program have occurred.

4. General Areas of Training:

   1. Information about Transport Canada policy and procedures;

   2. Service the AEI is expected to provide the candidate;

   3. Personnel responsibilities as representatives of Transport Canada.

5. Specific Areas of Training:

   1. Administrative requirements;

   2. Security of the testing process;

   3. Proper function of the computer system;

   4. Identification of candidate;

   5. Eligibility of candidate;

   6. Test authorization;

   7. Selection of test and attempt numbers;

   8. Time allowed for the test and passing score;

   9. Use of reference materials and aids;

   10. Material supplied to the candidate;

   11. Visual or video surveillance of the candidate;

   12. Cheating, including section 400.02 of the CARs;

   13. Handling of candidate comments on test;

   14. Written Examination Feedback Letters and expiry dates;

   15. Security of examination material.

6.0 Auditing/Transport Canada Responsibilities

1. The Region will monitor the work of the AEIs. A file on each invigilator will be opened at the Regional Office and a list of AEIs will be maintained in the FTAE System.

2. A process inspection, to ensure adequate performance and that the guidelines are followed, will be performed in conjunction with the organization's scheduled surveillance activities at the interval set by the national annual surveillance plan established in accordance with Civil Aviation Directive SUR-008 – Surveillance Policy. Findings will be kept on the AEI's file. Invigilation specific inspections may be conducted at the discretion of Transport Canada; a copy of the inspection reports will be documented and kept on the AEI's file. An example of an Inspection Report can be found in the Appendix and can be used for self-auditing purposes.

3. Transport Canada may also conduct unscheduled inspections of the AEI in reaction to safety intelligence obtained from various sources.

4. AEIs may be asked to advise Transport Canada when examinations will be written at their location and Transport Canada may attend and monitor the process.

5. Transport Canada will conduct remote observation by reviewing statistical data in the FTAE system.

7.0 Renewal

1. It is the responsibility of the AEI to apply for renewal of their authority in writing 90 days prior to expiry (by facsimile or e-mail is acceptable). The Regional Offices will:

   1. Confirm that the AEI continues to meet the requirements for initial authorization;

   2. Review the file and performance of the invigilator to assure no misuse of the system such as multiple downloads of specific examination selection, timely upload of results file and that the AEI has downloaded examinations, supervised candidates and uploaded results in the past authorized period;

   3. Ensure that the AEI has a history of constructive interaction with Transport Canada;

   4. Perform a site inspection at the AEI location as per 6.0 (2) of this AC;

   5. Issue a new Letter of Authorization if warranted and advise Headquarters;

   6. If a request is not received, Transport Canada will assume that the examiner does not wish to renew the authorization;

2. If the AEI does not receive the new Letter of Authorization by the expiry date, the system will automatically lock the AEI out and the AEI will not be able to download any examinations or upload any examinations results;

3. If an AEI has been expired for more than 24 months, they must meet the requirements for initial authorization.

8.0 Procedures for Suspension or Revocation of Authorized Examination Invigilator Privileges

1. When it is determined that an AEI is not complying with the provision of this AC or the Statement of Acceptance of Responsibilities and Obligations, Transport Canada Regional Office will provide the AEI with a written notice of the actions necessary to gain compliance. Until compliance has been gained, the AEI will not be able to download any examinations.

2. If a second complaint or infraction occurs, a 30 day removal of privileges may ensue.

3. Numerous or severe infractions or a third occurrence of any previously addressed discrepancy may result in permanent removal of privileges of the AEI.

4. Before reinstating the AEI's privileges, the AEI must provide written confirmation to Transport Canada Regional Office that all noncompliant items have been corrected and specify how this will not be repeated (corrective actions). A follow up inspection may be required before reinstatement of the AEI privileges.

5. The AEI will be notified of the proposed action by an initial letter sent by certified mail from Transport Canada Regional Office. The letter will include specific reason for the proposed action. These letters will be maintained on the AEI's file.

6. The AEI will be given the opportunity to appeal the decision in writing or in person within 10 days of receipt of the initial letter.

7. After full consideration of all factors concerning the issue, Transport Canada Regional Office will make a final decision and transmit that decision to the Headquarters in writing. The final decision letter and a record of the appeal will be sent to the AEI by certified mail.

8. Upon closure of a testing center, all electronic records must be transmitted to Transport Canada before computer hardware is removed from the facility. Other items to be transmitted via certified mail include but are not limited to the appendices, charts and paper copies of candidate feedback letters.

Note: When an AEI relocates or is inactivated, the AEI # must be retired permanently.

9.0 Follow Up Action

1. Any AEI inspection activity must be recorded. Notification of all discrepancies must be submitted by form of letter, fax or e-mail to the AEI.

2. The AEI will coordinate resolution of discrepancies with the respective Region within 30 business days after formal notification.

3. If Transport Canada feels the discrepancy(ies) are deserving of immediate action, the AEI must be contacted immediately to coordinate a resolution plan and/or suspension of the AEI's privileges at the offending FTU.

10.0 Grounds for Suspension or Cancellation of Appointment (Letter of Authorization)

1. Grounds for cancellation of an appointment or refusal to renew are:

   1. A record of conviction of an offence punishable on summary conviction under section 7.3 of the Aeronautics Act or the Canadian Aviation Regulations (CARS);

   2. Issue of an examination when Examination Prerequisites (Standard 421.13 of the CARs) are not met;

   3. Failure to appropriately verify candidate identification;

   4. Failure to comply with the terms and conditions set forth and agreed upon in the 'Responsibilities and Obligations' and the 'Letter of Authorization';

   5. Need for repeated direction in the proper conduct and administration of written examinations or unacceptable performance in the duties or responsibilities. Inability to function independently – requiring frequent assistance and guidance in complying with procedures and meeting required standards. History of poor performance in carrying out the responsibilities and duties of the AEI;

   6. Multiple downloads and cancellations;

   7. Choosing of specific examinations;

   8. Not uploading results in a timely manner;

   9. Not deleting results files after e-mail has been received from Transport Canada;

   10. History of lost results files;

   11. Evidence of malpractice or fraudulent use of the designation;

   12. If there is no longer a need for the AEI;

   13. Allowing or assisting fraud or cheating;

   14. Conflict of interest, such as the AEI embarking on a program to attempt one of the examinations that the AEI has access to;

   15. Compromising the Integrity of any examinations or CDE System;

   16. Failure to maintain security of the examinations, examination materials (appendices and maps) including the software passwords;

   17. Failure to submit the examination charges in a timely manner;

   18. Upon the written request of the AEI;

   19. For any reason the Regional Manager considers appropriate and in the public interest;

   20. Evidence of misconduct, including carelessness, collusion, conflict of interest, test compromise, or any other act which would jeopardize the proper functioning of the AEI program;

   21. Obsolete or inadequate equipment;

   22. Degradation of security;

   23. Unauthorized use of official information;

   24. Falsification, concealment or covering up mistakes;

   25. Failure to provide required surveillance during testing;

   26. Complaints about the AEI's failure to provide acceptable service to candidates;

   27. Any discrepancy(ies) found during an AEI inspection;

   28. Test administration inactivity resulting in no test administered for a period of 6 months and/or 6 tests administered in a 12 month period.

11.0 Reinstatement of Authorization

1. The Regional Manager may consider the reinstatement of a suspended authorization at any time deemed appropriate where it is in the interest of need and service to the public. The criteria for initial authorization will have to be met.

12.0 Facilities and Equipment

1. The requirements of the on-line examination computer are:

   1. Pentium or higher series computer running Windows 7 or higher operating system, 2GB of RAM, 100 MB free disk space, 15" or larger monitor (800 x 600 small fonts). Newer MS operating systems will be evaluated and supported in the future. The computer must be password protected to prevent unauthorized access and use.

   2. The delegated examination computer must reside in the examination room at all times.

   3. Microsoft Internet Explorer version 6.0 or higher (with 128 bit SSL encryption, SSL 3.0 enabled, Cookies enabled, JavaScript enabled and Microsoft VM, Sun VM or Apple JVM enabled) is supported.

   4. The examination computer must be connected to a printer to print results/feedback letters. The printer must not be accessible to candidate during the examination.

   5. Appendices must be printed in color on 8½ x 11 papers.

   6. The AEI must provide and maintain an electronic mail account. The valid e-mail address must belong specifically to the AEI. The AEI is responsible for informing Transport Canada of any electronic mail address changes.

   7. All computers used for examination invigilation must be dedicated to examinations only and no other programs shall be loaded that could assist the candidate. This computer should bear a notice "For Official use of Transport Canada Written Examinations only".

   8. The examination computer may have access to the Internet in order to download examination and upload results. An internet connection must not be available during the examination.

   9. The AEI must notify Transport Canada of any changes made to the Examination computer. Additional computers must be pre-approved by Transport Canada.

2. The requirements for the testing area are:

   1. Building must conform to local building, sanitation and health codes (only obvious discrepancies to be noted by the visiting inspector).

   2. The AEI must be able to clearly and fully view all candidates at all times, be aware of all activities in the testing room, and be alert for any misconduct.

   3. Visual surveillance of the candidate does not preclude the performance of other task by the AEI; however, additional duties must not interfere with the candidate surveillance. If additional duties require the AEI to be out of the visual or video surveillance range, the AEI must arrange for another approved AEI to perform surveillance before leaving the area.

   4. Video surveillance systems are authorized (and audio is recommended). The system must cover the entire testing area and permit the AEI to have a clear and full view of each candidate and testing station on a video monitor.

   5. If video monitoring is used, a sign must be visible to the candidate advising that the testing area is being video-monitored.

   6. Restroom facilities must be located in the same building where the written examinations are conducted.

   7. There must be proper control of temperature and ventilation.

   8. Testing location must be free of clutter and maintained in a neat and orderly manner.

   9. There must be adequate lighting. Avoid glare on computer monitor screens.

   10. There must be adequate physical space and table workspace. Separate cubicles with suitable partitions between terminals are recommended so that candidates are not able to view monitors at other testing stations. In absence of partitions, 1.5 meters (5 feet) spacing is required between test terminals. All testing station workspace must be at least 90 cm (3 feet) wide, and the monitor and keyboard offset to allow adequate room to use test materials.

   11. There should be no possibility of disturbance from noise or distractions from within the room or from adjoining rooms. Test rooms shall be free from any other activity during testing sessions.

   12. No reference material (books, wall charts, simulators, etc.) shall be visible or accessible.

   13. The invigilating site/facility must have adequate provisions for security. Examination materials are classified as"PROTECTED B" and they include user ID, password, examination material and candidate results. Unauthorized copies are prohibited. Physical access to"PROTECTED B" material must be restricted. They should be stored in a cabinet secured with a padlock. Padlock combinations or keys must be controlled and given only to the AEIs at that organization. Treasury Board Policy on Operational Security Standard on Physical Security (http://www.tbs-sct.gc.ca/pol/doc-eng.aspx?id=12329§ion=text#Security) can provide general guidance. Specific models of cabinets and locks listed in the Manual are not mandatory.

   14. Each test center will need to maintain the required charts and appendices for the examinations. The appendices should be downloaded from the General Aviation Licensing & Registration On-line (GALRO) web site. The appendices must be printed in color. The invigilating site will be required to print the appendices and may store them in a binder for re-use. Maps to be used for"Examination Purposes Only" may be purchased through the Operational Support Services Division (the telephone number is listed on the GALRO site under Notifications) or at 613-991-4071 or 1-866-949-2262. The AEI will be required to provide their name, the Flight Training Unit or Company they belong to and confirm that they are an AEI. The maps and appendices may be re-used while in acceptable condition.

   15. It is the responsibility of the AEI to notify Transport Canada Regional Office of a testing center closure or changes in phone number, company name, location or testing center. Physical layout must be approved by Transport Canada Regional Office before the changes are implemented.

Note: Any site found in noncompliance with this AC will have their privileges suspended until the changes have been submitted to and approved by the Transport Canada Regional Office.

13.0 Software Supplied By Transport Canada

1. Computer Delivered Examinations (CDE) software is required to run the examinations. The software is available for download from the GALRO web site. The AEI User ID and the password will be provided once the applicant has passed the initial security check.

14.0 Invigilation Procedures

14.1 Computer Delivered Examination Process

Note: The candidate's whereabouts and activities during this period should be monitored at all time and the candidate is not permitted to review any notes or material.

Note: More comprehensive procedures are available in the" AEI Procedures Guide".

1. All software and examinations are expected to be downloaded to the examination computer(s) via the internet. Downloads and uploads are encrypted.

2. The software to run Transport Canada's computer delivered examinations only needs to be downloaded once. It remains resident on the examination computer.

3. The AEI must download all procedures guides and print the appendices in color.

4. A practice examination is already included in the CDE software should the candidate want to become familiar with the examination format.

5. Each examination must be downloaded through the GALRO web site. The examinations consist of two files which are saved onto the examination computer.

6. The candidate must sign the log sheet before commencing the examination. An example of the log sheet can be found in Appendix H of this AC.

7. Appendices and maps are provided to the candidate in paper copy. The candidate begins the examination and an on-screen time clock displays the time remaining.

8. Questions are presented one at a time,"radio buttons" are provided to make the answer selection, a bookmark is provided to flag questions that the candidate would like to return to later. A progress strip and elapsed time indicator are available on screen. A"Help" button describes the functions available.

9. Only the AEI can monitor the candidate for compliance with the rules.

10. Should a power failure or some other event cause the program to stop, the elapsed time and answers are automatically saved. Should there be a requirement to abandon the examination (fire alarm, etc.), the AEI can"Pause" the examination so it can be resumed later.

11. When the candidate completes the examination:

    1. Selecting the"Done" button will grade the examination;

    2. The AEI will enter his/her password again;

    3. A results/feedback letter will be generated (identical to those generated at Transport Canada offices) and an electronic results file will be generated;

    4. The AEI will print the feedback letter, sign it, provide a copy of it to the candidate, and keep a copy of it along with the candidate's recommendation letter in the AEI's file;

    5. The AEI will immediately upload the results file to Transport Canada through the GALRO web site;

    6. On receipt of an e-mail stating the results have been received and imported into the FTAE database, the AEI will delete the results file from the exam computer. A copy of this e-mail shall be kept as proof that the process has been fully completed.

12. Should the examination time expire before the candidate has completed the examination, the examination is automatically ended.

14.2 Meeting the Candidate

1. It is important to always respect the candidate. A certain level of nervousness will always be present in written examination candidates. An AEI should conduct himself/herself in a manner that does not add to the normal stress of the test situation.

14.3 Admission to Written Examinations

1. The AEI shall confirm that the candidate meets the admission requirements, as applicable, with respect to medical fitness, identification, instructor recommendation and experience (section 401.13 of the CARs).

CAR 421.13 Examination Prerequisites

1. For admission to a written examination required for the issue of a permit, licence or rating an applicant shall have met the medical standards for the issue of the permit, licence or rating and shall produce proof of medical fitness in one of the following forms:

   1. A Medical Certificate in the appropriate medical category;

   2. A Medical Assessment Letter (Form 26-0417) in the appropriate medical category;

   3. In the case of a Student Pilot Permit – Aeroplane, Pilot Permit – Ultra-light Aeroplane or Pilot Licence- Glider, a Civil Aviation Medical Declaration (Form 26-0297);

   4. A temporary Medical Certificate in the appropriate medical category; or

   5. A Medical Examination Report assessed to the appropriate medical category by the Regional Aviation Medical Officer

2. For admission to written examination, proof of identification shall be required in the form of a permit, licence or other official document bearing the signature and photograph of the candidate. (amended 2005/12/01)

3. To be eligible to write the examination required for the issue of a permit, licence or rating, the candidate shall produce the following letter of recommendation dated within 60 days prior to the date of the written examination; (amendment 2005/12/01)

   1. An applicant for a Pilot Permit – Gyroplane, Private Pilot Licence, or Commercial Pilot Licence shall provide a letter of recommendation from the Flight Training Unit or from the Flight instructor who is responsible for the training of the applicant, stating that the applicant has completed the ground school instruction, and has reached a sufficient level of knowledge to write the examination; (amended 2000/09/01)

   2. An applicant for a Class 4 Instructor Rating shall provide a letter of recommendation from the applicant's ground training instructor stating that the applicant has completed the ground school instruction, and has reached a sufficient level of knowledge to write the examination; (amended 1998/03/23)

   3. In the case of a DND applicant, proof of having qualified to pilot wings standards;

   4. In the case of an applicant holding a licence issued by a Contracting State, the recommendation shall not be required provided the applicant is applying for the equivalent or lower Canadian licence; (amended 2005/12/01)

   5. A letter of recommendation required under this subsection may only be used once. (amendment 2003/03/01)

4. To be eligible to write the examination required for the issue of a permit, licence or rating, the candidate shall provide proof that the experience and training requirements set out below have been met; (amended 1998/03/23)

   1. an applicant for a Pilot Permit – Gyroplane, Pilot Permit – Recreational-Aeroplane, or a Private Pilot Licence shall have completed 10 hours flight time in the same category of aircraft, or hold a valid Pilot Permit – Ultra-light Aeroplane; (amended 1998/03/23)

   2. an applicant for a Class 4 Instructor Rating shall have completed fifty percent (50%) of the flight training requirement, and all ground school requirements;

   3. an applicant for a higher class of Instructor Rating shall have completed fifty percent (50%) of the flight instructor experience requirement;

   4. an applicant for an instrument rating shall have completed a minimum of 20 hours of instrument flight or ground time; (amended 1998/03/23)

   5. an applicant for an Airline Transport Pilot Licence (Aeroplane) shall, when enrolled in an approved integrated ATP(A) course, have completed the ground school requirements and the Group 1 instrument rating flight test; and (amended 2005/12/01)

   6. all other applicants shall have a minimum of fifty percent (50%) of the total flight experience for the issue of the permit, licence or rating. (amended 2005/12/01)

Notes:

To have an on-line examination downloaded, the applicant must have been issued a file number from Transport Canada. This six-digit number is shown on a Licence, Permit, Medical Certificate, or Medical Assessment Letter issued by Transport Canada. It is insufficient for a new student pilot to sign a Medical Declaration at the time of the examination.

A letter of recommendation shall identify the recommending Flight Training Unit or Freelance Instructor. It may also attest to the experience requirement.

Experience is normally proven with a pilot log or Pilot Training Record. A statement of experience in the recommendation letter is acceptable.

14.4 Misconduct During Testing

1. The AEI must report all violent, disruptive or abusive acts, including incidents or allegations of cheating to their Regional Transport Canada contact responsible for the AEI program.

14.5 Handling of Candidate Comments on Written Examinations

1. All comments and/or concerns about the written examination questions or contents must be forwarded to the Regional Transport Canada contact responsible for the AEI program.

14.6 Cheating

1. If the candidate is suspected of cheating as per subsection 400.02(1) of the CARs, the AEI shall:

   1. Immediately pause the examination and escort the candidate from the area. Advise the candidate of your concerns.

   2. Collect all examination materials, including appendices, maps and seize all proof of cheating. Advise the candidate that further testing may continue only after the AEI is satisfied that there was no cheating.

   3. Immediately notify Transport Canada Regional Office.

   4. Cancel the examination if cheating is verified.

   5. Make notes of his/her observations.

   6. Keep any materials that were used or other evidence of the cheating.

   7. Neither the AEI nor candidate should be placed in physical jeopardy.

2. The AEI must not express opinions regarding test questions or answers before, during or after an examination.

3. The AEI may clarify the procedures but not the content of the examination for the candidate.

4. A person other than the candidate reading an on-line examination is a breach of security as this is"PROTECTED B" material, and contrary to paragraph 400.02(1)(b) of the CARs below.

   CAR 400.02(1) Except as authorized by an invigilator, no person shall, or shall attempt to, in respect of a written examination:

   1. copy or remove from any place all or any portion of the text of the examination;

   2. give to or accept from any person a copy of all or any portion of the test of the examination;

   3. give help to or accept help from any person during the examination;

   4. complete all or any portion of the examination on behalf of any other person; or

   5. use any aid or written material during the examination.

      Note: An AEI may not under any circumstances authorize any of the points listed in CAR 400.02(1).

   CAR 400.02(2) A person who commits an act prohibited under subsection (1) fails the examination and may not take any other examination for a period of one year.

5. An AEI's privileges may be withdrawn if assisting the candidate other than as specified above.

6. Reports of cheating involving testing center personnel may result in the immediate suspension of all testing privileges. Confirmed cases may result in the permanent shutdown of that testing center. In addition, appropriate enforcement action may be taken against testing center personnel or any person that might be involved.

15.0 Language

1. CAR 401.13(2) The applicant for a flight crew permit, licence or rating must be sufficiently competent in one of the official languages to be able to read the examination questions and to write the answers without assistance.

2. A dictionary cannot be used.

16.0 Time Limits for Licence Application

1. To qualify for the issue of a permit or licence, the applicant shall have completed all applicable written examinations, including rewrites and all supplementary examinations in the case of a partial pass, during the 24-month period immediately preceding the date of application for the permit or licence.

17.0 Charges

1. Appendix IV of section 104.01 of the CARs specifies the charges to be submitted to Transport Canada for written examinations.

2. As per subpart 104 of the CARs. Schedule IV a fee for each supplementary examination shall be charged.

3. As per section 104.05 of the CARs, the AEI will collect the charge from the candidate before the candidate begins the examination.

4. Once per month, Transport Canada headquarters will advise Transport Canada Finance of the examinations written, and the AEI organization will receive an invoice for the examination charges. If invoices are not paid in a timely manner, the AEI's privileges will be temporarily suspended until all outstanding invoices are paid. If there is a history of non payment, the AEI's privileges will be cancelled.

5. The AEI can charge a service fee at their own discretion.

18.0 Summary Of Examination Requirements

LICENCE/PERMIT	EXAM REQUIRED	TIME LIMIT (hours)	MEDICAL CATEGORY	MEDICAL VALIDITY PERIOD 40+ years/<40 years	FLYING HOURS	RECOMMEND LETTER	COMMENTS
RECREATIONAL PERMIT: Aeroplane	RPPAE	3	1,3 OR 4	24/60 MTHS	10 hrs in Category	NIL
Supplementaries	RALAW RANAV RAMET RAGEN	1 1½ 1 1					If more than one Supplementary, time allowed is sum of times on each, not to exceed 3 hours. All required supplementaries written in one sitting.
PRIVATE: Aeroplane	PPAER	3	1 or 3	24/60 MTHS		FTU Letter
Supplementaries	PALAW PANAV PAMET PAGEN	1 2 1½ 1½					If more than one Supplementary, time allowed is sum of times on each, not to exceed 3 hours. All required supplementaries written in one sitting
Helicopter	PPHEL	3
Supplementaries	PHLAW PHNAV PHMET PHGEN	1 2 1½ 1½					If more than one Supplementary, time allowed is sum of times on each, not to exceed 3 hours. All required supplementaries written in one sitting
Aero to Helo	PHRAC	1½				FTU Letter	Must hold Private licence in the other category
Helo to Aero	PARAC	1½
BALLOON Foreign (on basis of)	PIBAL PSTAR	2 1½	1 or 3	24/60 mths	8 hrs	NIL
GLIDER Foreign (on basis of)	GLIDE PSTAR	2 1½	1,3, or 4	60 mths	3 hrs
HANG GLIDER in Class E Airspace	HAGAR	2½			NIL
GYROPLANE	GYROP	2	1 or 3	24/60 mths	10 hrs in Category	FTU Letter
ULTRALIGHT POWERED PARACHUTE	ULTRA	3	1, 3, or 4	60 mths	5 hrs 2.5 hrs	NIL

19.0 Invigilator Guidelines

1. Admit the candidate as per section 14.3 of this AC.

2. The AEI must provide a daily log for candidate sign-in and sign-out. A sample is provided in Appendix H of this AC. The sign-in/out logs must be maintained in an accurate and complete manner. The log sheets must be retained for a period of three years.

3. Provide an introductory lesson to familiarize candidate with the computer testing procedures/examination software if required using the sample examination only.

4. When loading the examination, ensure the candidate has the correct examination, e.g. PPAER (Private Pilot – Aeroplane) or PPHEL (Private Pilot – Helicopter), and that the correct candidate file number is used.

5. Ensure that the candidate is given the following examination items:

   1. The correct examination and appendix printed in color;

   2. The correct navigation chart – as listed on the examination instruction page; and

   3. Scrap paper – up to three pieces of blank note paper may be taken into the examination room to be used for rough work. More may be requested but the amount should be recorded and returned with the examination;

6. Other materials required for writing examinations:

   1. Pencils, eraser, ruler, non permanent marker as required;

7. Some examinations will require the use of an E6B or Jeppesen CR2 type manual computer or one of the Transport Canada approved hand-held electronic calculators or computers (https://tc.canada.ca/en/aviation/licensing-pilots-personnel/flight-crew-licences-permits-ratings/accepted-electronic-computers-flight-crew-examinations). Inspect these flight computers before the test to ensure that they do not have any writing on them. See section 30 of this Advisory Circular for details.

8. Some examinations will require navigation plotting tools such as a protractor and ruler/scale. Ensure the scale is not of the type containing reference material (e.g. cruising altitude rules, etc.). If so, an alternate ruler shall be provided or the information must be covered with obscuring tape.

9. No electronic devices such as portable telephone, iPods, pagers, electronic planners, wrist watches with note pad capabilities, etc. are allowed in the room during the writing of examinations.

10. No reference material shall be allowed into the room during the writing of an examination. This includes instruction manuals associated with any of the approved hand-held electronic calculators or flight computers.

11. Dictionaries are not allowed in the examination room.

12. Dyslexic candidates are not permitted extra time and are not entitled to have extra help.

13. The candidate should not normally leave the room until the examination is completed. Should the candidate need to leave for some reason, the AEI must escort them. The AEI must advise the candidate that leaving the testing area without supervision will result in termination of the examination. Candidates have been caught cheating in this situation.

14. There shall be no talking by candidates while sitting for an examination. Instruct the candidate that he or she may not communicate with any other candidate once test administration has commenced.

15. The time allowed for writing the examination is stated on the instruction page of the examination. An on-screen clock is provided with the on-line examination.

16. The candidate shall be briefed on the rules for no reference material, leaving the room, talking, cheating, and unforeseen problems such as power failure or fire alarm. Time should be taken to clear up any questions the candidate may have regarding the test before the test is started.

17. The candidate shall be monitored at all times during the examination. The AEI must give the candidate undivided attention during the test and ensure that any discussion of test results with the candidate is done in private.

18. Upon completion of the examination, all material including work notes or scrap paper is to be returned to the invigilator. No notes are to be retained by the candidate. Work notes and scrap paper are to be shredded by the invigilator.

19. The appendix and maps should be thoroughly cleaned and any marks made by a candidate should be erased. If, after erasing, the marks are still visible, the page should be replaced. All appendix pages should be accounted for. If the lines drawn on maps are too visible, the maps should be replaced and the old marked ones destroyed.

20. AEIs are acting as Minister's agents while invigilating a written examination and must not succumb to business pressures and scheduling that may interfere with the invigilation of the written examination. The Minister has a responsibility to oversee the performance of his or her delegates and may address concerns through discussion, oral counselling and, if required due to continued problems, suspension of authorities.

20.0 Custody and Security

1. Ensuring the custody and security of all flight crew personnel licensing examination material is the responsibility of the Regional Service Team Lead, Civil Aviation.

2. To ensure that the material is not disclosed, Protected B material is to be stored in a container with an integral lock. AEIs must secure the records, logs, payment information, test authorizations, appendices and access passwords to the on-line examination material as appropriate for documents of Protected B nature. Should an AEI be unwilling or incapable of maintaining this standard, the AEI's privilege of invigilating examinations will be suspended by the Regional Service Team Lead, Civil Aviation until an acceptable standard of security can be maintained. Examination charts are not classified as protected.

3. The lockable storage area must remain secured at all times when not in use by the AEI.

4. The Privacy Act protects the privacy of individuals with respect to personal information held by a government institution. In accordance with 8(2) of the Privacy Act, a copy of the examination results may be given to the candidate and a copy will be retained by the AEI who invigilated the examination. Specific information about the result of the written examination will not be given by Transport Canada to anyone but the individual named on the feedback letter except in accordance with the Privacy Act.

5. Pursuant to the Privacy Act, written examination results are records of personal information and as such must be treated as confidential information by all parties privy to the results. Appropriate security measures must be taken to ensure that access to the documents is restricted to those rightfully in possession of them.

21.0 Examination Version

1. The FTAE software will select an examination for an initial candidate randomly. Re-write attempts will be generated so that the same examination series is not used in subsequent attempts.

2. AEIs shall not cancel and re-download a different examination for the purposes of selecting a specific examination. Doing so is a violation of the process and will result in a suspension of authorities.

22.0 Record Of Examinations

1. A log of all written examination attempted shall be kept by the AEI. An example of this log is in Appendix H of this AC. It shall include full legal name, last, first, middle and suffix if applicable, date of test, title of examination (Private Pilot – Aeroplane), examination code (PPAER) and attempt number. By signing this log sheet, the AEI certifies that all candidates meet the applicable eligibility requirements. A copy shall be forwarded to the Regional Transport Canada Office upon request.

2. The AEI must also keep the candidate's letter of recommendation, if required for the examination along with a copy of the feedback letter. This information along with the log from (1) is to be secured, kept for not less than three years, and must be available to Transport Canada on request.

3. After three years, the records may be sent for destruction by forwarding them to the AEI's regional examination office with instructions that the material is"Protected" and to be destroyed. The material shall be placed in two envelopes. The outer envelope shall not bear any security marking, it shall have a return address, and it shall be addressed to the appropriate Transport Canada Regional Office. The inner envelope should be sealed, addressed and marked 'PROTECTED – TO BE OPENED BY REGIONAL TEAM LEAD, CIVIL AVIATION".

23.0 Pass Mark

1. The required pass mark for each examination is indicated on the examination instruction screen.

24.0 Examination Results/Feedback

1. On completion of the examination, the CDE software will provide a feedback letter showing the score and indicating the weak knowledge areas. The recommending Flight Training Unit (FTU) (Chief Flight Instructor) or recommending instructor may be advised of the results, on request, as they are a component of the record. Other persons shall only be informed of an individual's written examination results with the written consent of the candidate. AEIs must sign the Results/Feedback Letter. Should for any reason the feedback letter not print, the AEI must contact their Regional Transport Canada Office for a copy for themselves and the candidate.

25.0 Failure of an Examination and Partial Passes

1. Flight crew written examinations are divided into two categories, non-sectionalized and sectionalized examinations. Recreational Pilot Permit – Aeroplane, and Private Pilot Licence – Aeroplane and Helicopter use sectionalized examinations (titled RPPAE, PPAER and PPHEL). All other recreational level licences and permits use non-sectionalized examinations (e.g. PIBAL, GLIDE or ULTRA).

2. Successful completion of a non-sectionalized examination requires that a candidate obtain an overall pass mark. When a candidate fails, for licensing purposes, the examination shall be rewritten in its entirety.

3. Successful completion of a sectionalized examination requires that a candidate write the complete examination and obtain an overall pass mark as well as a pass mark in each of the four mandatory subject areas. When a candidate obtains less than a pass mark on the overall examination, the candidate shall rewrite the complete examination.

4. A candidate who obtains a pass mark on a sectionalized examination but who fails one or more mandatory subject areas will be assessed a partial pass and must rewrite supplementary examinations during one sitting for the failed section or sections. This will be indicated in the feedback letter.

5. A supplementary examination is categorized as a non-sectionalized examination and is scored accordingly. All required supplementary examinations shall continue to be written in one sitting until each is passed.

Note: When writing more than one supplementary examination, the maximum time allowed shall be the sum of the times indicated on the exam instruction page, but not to exceed the total time allowed for the main examination (e.g. 3 hours for the PPAER, PPHEL or RPPAE).

26.0 Expiry of Examinations

1. All written examinations must be successfully completed during the 24-month period immediately preceding the date of application for a permit or licence. Any mandatory subject areas that were successfully completed on the main examination, when a partial pass was obtained, must be rewritten if they go beyond the 24-month period.

27.0 Rewrite Waiting Period

1. A candidate who fails an examination required for the issue of a personnel permit or licence may be re-examined on the same subject at intervals specified in section 400.04 of the CARs. Further training may or may not be required at the discretion of the Regional Team Lead, Civil Aviation or by Transport Canada licensing personnel authorized by the Regional Team Lead, Civil Aviation.

2. The CDE software will automatically calculate the rewrite date for a failed examination and print it on the candidate's feedback letter. This date may be changed, as required, at the discretion of the Regional Team Lead, Civil Aviation or Transport Canada licensing personnel authorized by the Regional Team Lead, Civil Aviation. Where a person fails an examination, the Minister shall inform the person in writing of the date on which the person may rewrite the examination and whether the person is required to provide evidence of further study or instruction before rewriting the examination. A candidate may submit a request to the Minister to shorten the period between examination attempts and the Minister shall grant the request on receipt of confirmation that the person has reviewed their weak knowledge areas.

3. In the case of a partial pass, regardless of how many previous attempts were required to achieve this assessment, the initial waiting period to write the first supplementary examination or examinations will be 14 days. Subsequently, the increasing intervals specified in subsection 400.04 (1) of the CARs apply when rewriting supplementary examinations.

   CAR 400.04(1) Subject to subsection (2), a person who fails an examination or a section of a sectionalized examination required for the issuance of a flight crew permit, licence, rating or foreign licence validation certificate is ineligible to rewrite the examination or the failed section for a period of:

   1. In the case of a fist failure, 14 days;

   2. In the case of a second failure, 30 days; and

   3. In the case of a third or subsequent failure, 30 days plus an additional 30 days for each failure in excess o two failures, up to a maximum of 180 days.

   CARS 400.04(4) A person who passes a sectionalized examination but fails one or more sections of that examination shall rewrite the failed section or sections in one sitting.

28.0 Candidate Request for Assistance

1. The candidate shall not receive assistance in completing any portion of the examination.

29.0 Challenge of a Question

1. Should a candidate challenge a question, they should note the examination and question number, and personally contact the regional licensing office after the examination is completed. An example of a Question Clarification can be found in Appendix I.

30.0 Electronic Computers

1. Approved Electronic Computers:

   1. The following electronic computers have been approved for use with all flight crew personnel licensing written examinations requiring numerical computations:

      1. Jeppesen/Sanderson PROSTAR;

      2. Jeppesen/Sanderson AVSTAR;

      3. Jeppesen TECHSTAR;

      4. Jeppesen TECHSTAR PRO;

      5. ASA CX-1a PATHFINDER;

      6. ASA CX-2 PATHFINDER;

      7. ASA CX-3 FLIGHT COMPUTER;

      8. CESSNA SKY/COMP;

      9. NAV-GEM;

      10. SPORTY'S E6B.

      This list can be confirmed by reference to Transport Canada, Flight Crew Examination's web page https://tc.canada.ca/en/aviation/licensing-pilots-personnel/flight-crew-licences-permits-ratings/accepted-electronic-computers-flight-crew-examinations.

   2. Requests for pocket electronic computer approval are to be forwarded by the manufacturer along with a functional sample computer, all available software, if applicable, and instructions on completely clearing all memory without affecting any programming to:

      Transport Canada
      Flight Crew Training, Evaluation and Examination (AARTF)
      Place de Ville, Tower C, 6^th Floor
      330 Sparks Street
      Ottawa, Ontario, Canada
      K1A 0N8

2. Clearing the Memory Bank:

   1. Memory bank clearing for Transport Canada approved electronic computer is accomplished as follows before and after the examination:

      1. ON-OFF-ON will clear the ASA CX-1a PATHFINDER, the Jeppesen/Sanderson PROSTAR and AVSTAR, and the CESSNA SKY/COMP.

      2. SPORTY'S E6B – In this case, a small amount of data might be retained using the ON-OFF-ON clearing method. Therefore, to ensure all stored data is cleared, the TIMER and ENTER keys should be pressed simultaneously, or one of the batteries should be removed and reinstalled.

      3. NAV-GEM Flight Computer (GA1, GA2, GA3, BP1, BP2 and HP1) – Turn the computer ON-OFF-ON, then type CLEAR and press ENTER. Next type MEM and press ENTER. The computer should display a number greater than 900, which indicates the number of data area bytes.

      4. ASA CX-2 PATHFINDER and the ASA CX-3 – All memory functions can be cleared by removing and reinstalling all batteries.

3. Calculators:

   1. A pocket electronic calculator may include a tape printout. Upon completion of a written examination, all printout material must be given to the invigilator.

   2. No device capable of being used to type or store a significant quantity of language text will be allowed.

      CAR 400.02(3) A person who uses a hand-held calculator during an examination shall use a hand-held calculator whose memory is cleared before and after the examination in the presence of the invigilator.

4. User Manuals

   1. Candidates are not permitted to use hand-held pocket computer user manuals or instructions while writing Transport Canada examinations, as it would greatly increase invigilator workload to ensure ineligible material was not added to these publications.

      CAR 400.02(4) A person who uses a hand-held electronic computer during an examination shall use a hand-held electronic computer:

      1. that has been specifically designed for flight operations;

      2. that has been approved by the Minister for examination purposes; and

      3. whose memory is cleared before and after the examination in the presence of the invigilator.

31.0 Information Management

1. Not applicable.

32.0 Document History

1. Not applicable.

33.0 Contact Office

For more information, please contact:

Flight Crew Training, Evaluation and Examinations (AARTF)

Phone: 613-410-9019
Fax: 613-990-6215
E-mail: chantal.avon@tc.gc.ca

Suggestions for amendment to this document are invited, and should be submitted via the Standards Branch « AART Documentation Services » at the following Internet address:

AARTinfodoc@tc.gc.ca

Original signed by Jean-François Mathieu on January 26, 2016

for

Robert Sincennes
Director, Standards
Civil Aviation
Transport Canada

Appendix A – Application for Appointment as an Authorized Examination Invigilator

 

 

Appendix B – Sample Letter of Authorization

Appendix C – Sample Letter of Authorization Renewal

Appendix D – Sample Letter of Recommendation for Written Examination

Appendix E – Sample Application for Admission to Examination

Appendix F – Sample Of Inspection

 

 

Appendix G – Sample Finding Form

 

 

Appendix H – Sample Record of Written Examinations

 

Month/Year: ____________

FLIGHT CREW 
RECORD OF WRITTEN EXAMINATIONS

FLIGHT TRAINING UNIT: _________________________________

AEI INITIALS	DATE	EXAMINATION NAME	CANDIDATE NAME	LICENCE NUMBER	TIME LIMIT	TIME START	CANDIDATE SIGNATURE	TIME FINISH	CANDIDATE SIGNATURE

Appendix I – Sample Question Clarification Form