Staff Instruction (SI)

Aircraft Certification Inspection and Audit Procedures

Issuing Branch: Aircraft Certification    
Activity Area: Regulatory Standards SI No.: GEN-006
File No.: 5009-32-2 Issue No: 01
RDIMS No.: 865693-V9 Effective Date: 2006-06-12

1.0 Introduction

1.1 Purpose
1.2 Applicability
1.3 Description of Changes

2.0 References

2.1 Reference Documents
2.2 Cancelled Documents
2.3 Definitions and Abbreviations

3.0 Background

4.0 Aircraft Certification - Specialty/Element Areas of Audit

4.1 Aircraft Certification Main Areas for Audits

6.0 Sample Documents

7.0 Checklists – DAO / AEO

8.0 Contact Office

Appendix 1 - Inspection and Audit Checklists (DAO/AEO)
Appendix 2 - Inspection Checklists – DAR
Appendix 3 - Delegated Projects – Technical Review Checklist

1.0 Introduction

1.1 Purpose

(1) The purpose of this document is to provide additional policy specifics and procedures that pertain to inspection and audit activities. Its purpose is to ensure that inspection and audit activities are conducted in a standardized manner thus providing a level playing field for those organizations for which Aircraft Certification engineers hold oversight (surveillance, inspection and audit) responsibility.

(2) Where applicable, material presented in this Staff Instruction (SI) is intended to supplement that provided in the Inspection and Audit Manual (IAM); where any conflict exists between information provided in this document and that set out in the IAM, the IAM will take precedence.

1.2 Applicability

The procedures, checklists, forms and guidance material contained or referred to in this SI apply to the conduct of inspections and audits on the following Design Approval Organizations (DAO), Airworthiness Engineering Organizations (AEO) and Design Approval Representative (DAR).

1.3 Description of Changes

This is a new issue.

2.0 References

2.1 Reference Documents

It is intended that the following reference materials be used in conjunction with this document:

(a) Part V. Subpart 11, of the Canadian Aviation Regulations (CAR) 511--Approval of the Type Design of an Aeronautical Product,
(b) Transport Canada Publication (TP) 13751 E—Inspection and Audit Checklists (DAO/AEO);
(c) Chapter 505 of the Airworthiness Manual (AWM)--Delegation of Authority;
(d) Chapter 513 of the AWM--Approval of Modification and Repair Designs;
(e) Design Approval Procedures Manual (DAPM);
(f) Engineering Procedures Manual (EPM);
(g) Inspection and Audit Manual (IAM); and
(h) Operating Procedures Manual (OPM).

2.2 Cancelled Documents

Not applicable.

2.3 Definitions and Abbreviations

The following definitions and acronyms are used in this document:

(a) Definitions:

(i) Design Approval Organizations (DAO)--means the group of individuals in the employ of and nominated by the applicant (corporation) pursuant to AWM subsections 505.403(c) and (d) and 505.405(c);
(ii) Airworthiness Engineering Organizations (AEO)--means the group of individuals in the employ of and nominated by the applicant (corporation) pursuant to AWM subsections 505.103(c) and (d) and 505.105(c); and
(iii) Design Approval Representative (DAR)--means a delegate is an individual who is appointed to act independently on behalf of the Minister to find compliance of regulatory requirements and issue Limited Supplementary Type Certificates and Repair Design Certificates as detailed in CAR/AWM 513 and AWM 505 C.
(iv) Third Party--means an organization or individual, involved with the auditee, in the design manufacture or provision of parts, components or materials supplied to the auditee for incorporation into the type design of the auditee’s aeronautical product(s) (e.g., design organization, approved manufacturing organization, subcontractors, suppliers, etc.).

(b) Acronyms:

(i) Activity Reporting and Standard System (ARASS)
(ii) Aircraft Certification Policy Letter (ACPL)
(iii) Aircraft Certification Staff Instruction (ACSI)
(iv) Airworthiness Control Committee (ACC)
(v) Airworthiness Directives (AD)
(vi) Airworthiness Directive & Service Bulletin (AD& SB)
(vii) Airworthiness Engineering Organizations (AEO)
(viii) Airworthiness Manual (AWM)
(ix) Canadian Aviation Regulations (CAR)
(x) Certification Data Review (CDR)
(xi) Certification Process (CP)
(xii) Certification Test (CT)
(xiii) Changed Product Rule (CPR)
(xiv) Configuration Control (CC)
(xv) Convening Authority (CA)
(xvi) Commercial Air Service Standards (CASS)
(xvii) Design Approval Organization (DAO)
(xviii) Design Approval Representative (DAR)
(xix) Design Approval Procedures Manual (DAPM)
(xx) Designated Engineer (DE)
(xxi) Engineering Data Review (EDR)
(xxii) Engineering Procedures Manual (EPM)
(xxiii) Exercise of Delegation (EoD)
(xxiv) Engineering Test and Witnessing (ET)
(xxv) Flight Test and Witnessing (FT)
(xxvi) Inspection and Audit Manual (IAM)
(xxvii) Instructions for Continued Airworthiness (ICA)
(xxviii) Leave and Extra Duty (LEX)
(xxix) Aircraft Maintenance and Manufacturing (M&M) TCCA
(xxx) Material Review Board (MRB)
(xxxi) National Aeronautical Product Approval Information System (NAPA)
(xxxii) Operating Procedures Manual (OPM)
(xxxiii) Policy Letter (PL)
(xxxiv) Post-Certification Activities (PCA)
(xxxv) Previous Audit (PA)
(xxxvi) Records and Documentation (R&D)
(xxxvii) Resource Library (RL)
(xxxviii) Service Bulletin (SB)
(xxxix) Service Difficulties Reporting (SDR)
(xl) Software Aspects (SA)
(xli) Staff Instruction (SI)
(xlii) Third Party Engineering Support (TPES)
(xliii) Transport Canada Civil Aviation (TCCA)

3.0 Background

(1) Aircraft Certification inspection and audit activities confirm for TCCA that a Canadian civil aviation document holder is conducting their business in compliance with regulatory requirements.

(2) A company receives its approval on the basis that the documentation, submitted for TCCA approval, meets regulatory requirements. For the company to receive TCCA approval, company control manuals (i.e., Design Approval Procedures Manual, Engineering Procedures Manual, Operating Procedures Manual, etc.) must clearly explain how the organization intends to meet the requirements of the standards and regulations under which the company will be operating. The manuals are reviewed to ensure that the means of achieving compliance with regulatory requirements is referenced and documented by process.

(3) Once approved, the company control manuals form important standards to which the organization will be evaluated. If for any reason, procedures or processes specified in a manual are inadequate or are not being complied with by company personnel, such deficiencies must be brought to the attention of the company for rectification. Moreover, non-compliance with other regulatory requirements must also be brought to the attention of the company. Where a non-compliance/non-conformance is identified during an inspection or audit, a finding will be assigned citing examples of the deficiencies. Corrective action and follow-up will be conducted in accordance with the process specified in the IAM.

(4) Checklists, forms and material presented or referred to in this document are designed to provide auditors with guidance information in an effort to accurately assess an organization’s level of compliance with regulatory requirements. Checklists may be general in nature or refer to more specialized forms or other guidance material. Auditors may also supplement these checklists with information contained in other authoritative publications as required.

4.0 Aircraft Certification–Specialty/Element Areas of Audit

4.1 Aircraft Certification Main Areas for Audits

(1) Delegation of Authority (Reference Chapter 505 of the AWM);

(2) Design Approval Procedures Manual (Reference Chapter 505 of the AWM) and DAPM/EPM);

(3) Certification Process;

(4) Post-Certification Activities and

(5) Third Party Operations.

(6) Each area may be further divided into its systemic functional areas. For example, the Certification Process will include Type Certification Data Review, Type Design Drawings and Specifications Control, Type Certification Approval Records, and Documentation.

(7) Approaching the organization by systemic functional area permits an organized, more focused approach to the activity, which will aid in the organization’s overall assessment. The systemic functional areas will include smaller elements consisting of procedural and technical aspects. For example, Type Certification Data Review should include the following items:

(a) The correct certification basis;
(b) The review of all affected areas;
(c) Acceptable means of compliance; and
(d) Data substantiation compliance.

(8) For the oversight of a Design Approval Delegate, the functional areas should include the following items:

(a) Issuance of LSTCs and RDCs;
(b) Findings of Compliance;
(c) Flight Authority recommendations;
(d) Production of design data; and
(e) Production of substantiating data.

(9) The fundamental areas of a delegation for DAO/AEO/DAR may be limited to some or a combination of the following functional specialties:

(a) Engineering:

(i) Aircraft Structures
(ii) Powerplants and Emissions
(iii) Fuel and Hydro Mechanical Systems
(iv) Avionics and Electrical Systems
(v) Occupant Safety and Environmental Systems
(vi) Software

(b) Flight Test:

(i) Pilot
(ii) Analyst

(10) The ‘Element’ area checklists and their use are discussed in more details in Checklists DAO/AEO.

5.0 Audit

(1) The following procedures are found in the IAM and should be considered when initiating an audit.

(a) Classification and Type;
(b) Audit Planning;
(c) Audit Phases;
(d) Notification – Audit Management;
(e) Notification – Auditee;
(f) Audit Plan;
(g) Audit Budget. Overtime Procedures During an Audit;
(h) Pre-Audit Meeting;
(i) Physical Audit;
(j) Post-Audit;
(k) Audit Follow-up; and
(l) Audit Report Review.

6.0 Sample Documents

(1) Sample documents to aid Auditors plan, conduct, report and conclude the audit process. This material relates to the combined audit process and is easily tailored to other activities such as specialty, special purpose audits or routine inspections. These documents are found in the IAM:

(a) Confirmation Request Form 26-0672;
(b) Conformation Request Tracking Form 26-0673;
(c) Corrective Action Form (1 page) 26-0674;
(d) Corrective Action Form (2 pages) 26-0675;
(e) Finding Form 26-0676;
(f) Parallel Finding Form 26-0677;
(g) Parallel Observation Form 26-0678; and
(h) Evidence Log 26-0679.

7.0 Checklist – DAO / AEO

(1) In spection and audit checklists have been developed to provide a systematic approach to the inspection of an organization’ various element areas. The checklists are designed to guide auditors through specific items within the element area. Questions contained within the checklist(s) are intended to provoke or stimulate analysis of the element considering the performance-based nature of our regulations. Normally, each question contains a reference(s) to applicable regulatory requirements for the auditor’s convenience. Where an operator fails to comply with requirements, they will be considered in non-compliance, which will necessitate corrective action.

(2) This SI is made available to any organization or operator; it is hoped that they will make use of the material presented in this document as they evaluate their systems for effectiveness and compliance with regulatory requirements. It is anticipated that companies will further develop checklists and materials that pertain to processes and procedures described in their company manuals.

(a) Audit checklists will be:

(i) Used in the inspection of a process, procedure or program;
(ii) amended to reflect the current revision of the applicable regulation or standard;
(iii) supplemented to include processes specified in the appropriate control manual;
(iv) completed or have areas that are not completed so annotated; and
(v) signed and dated by the team member responsible for that specialty area or specialty area sub-group.

(b) The following specialty areas have checklists developed, which cater to Aircraft Certification functional responsibilities:

Certificate Holder / Canadian Aviation Regulation Checklist Reference

Design Approval Procedures Manual (AWM Chapter 505) 1
Self-Audit System (AWM 505) 2
Airworthiness Control Committee (ACC) (ACSI 45 & 46) 3
Personnel Authorized to Perform a Delegated Function (AWM 505) 4
Resource Library (AWM 505, SI GEN-003) 5
Certification Process (AWM 511) 6
Third Party Engineering Support (AWM 505) 7
Software Aspects of Aircraft Certification (DAPM/EPM) 8
Certification Data Review (AWM 511 & 513) 9
Type Certification Approval Records and Documentation (AWM 505, 511 & 513) 10
Type Design Drawings and Specifications Control (AWM 505, 511 & 513) 11
Engineering Test and Witnessing (AWM 511, 513 and ACPL 33) 12
Flight Testing (AWM 511, 513, 516 and SI 513-008) 13
Designated Engineer (DE) Support to Maintenance and Manufacturing 14
Instructions for Continued Airworthiness (AWM 523/525.1529 & 527/529.1529 & 533/535.4) 15
Post Certification Activities (AWM 513) 16
Airworthiness Directives/Service Bulletin Compliance (CAR 593) 17
Service Difficulty Reporting (CAR 591 Service Difficulty Reporting) 18

Information Note:

Even though guidance materials such ACSI and ACPLs are referenced in this list; Findings of non-compliance can only be written against the CAR/AWM/DAPM/EPM etc as explained in section 5.9.

(3) Checklists. Inspection checklists, forms and other guidance materials will guide auditors through the inspection process of a particular element area. Regardless of the purpose for the inspection (routine, annual inspection, special purpose audit) the checklists, forms and guidance materials are to be used as indicated. This ensures that all inspections are conducted in a uniform manner and that the results of the activity are appropriately documented.

(4) Specific Checklists. Certain element area checklists or guidance documents provide a level of detail that is suitable for completing certification activities. The checklist or guidance document may, when completed, ensure a complete review of that particular aspect or characteristic of a company. Often, these checklists aid or assist auditors (and operators who use the checklists during their certification activities) to interpret regulatory requirements in a standardized manner.

(5) Checklist Amendment. Checklist(s) will be revised as required. Amendments are published as complete Parts.

8.0 Contact Office

For more information please contact:
Policy Standards Coordinator (AARDH/P)
Phone: (613) 990-8234
Facsimile: (613) 996-9178

Original signed by Martin Thieringer for

Gilles Morin
Chief, Regulatory Standards
Aircraft Certification Branch

Appendix 1 - Inspection and Audit Checklists (DAO/AEO)
Appendix 2 - Inspection Checklists – DAR
Appendix 3 - Delegated Projects – Technical Review Checklist


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