Chapter 4 - Checklists
- 4.1 Purpose
- 4.2 Applicability
- 4.3 Specialty Area Checklists
- 4.4 Checklists
Inspection and audit checklists have been developed to provide a systematic approach to the inspection of an organizations' 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 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.
The AM&M Inspection and Audit (Checklists) Manual is made available to any organization or operator; it is hoped that they will make use of the material presented in this manual 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.
Audit checklists will:
- be used in the inspection of a process, procedure or program;
- be amended to reflect the current revision of the applicable regulation or standard
- be supplemented to include processes specified in the appropriate control manual;
- be completed or have areas that are not completed so annotated; and
- be signed and dated by the team member responsible for that specialty area or specialty area sub-group.
4.3 Specialty Area Checklists
The following specialty areas have checklists developed, which cater to Maintenance and Manufacturing functional responsibilities:
|Certificate Holder/Canadian Aviation Regulation||Checklist Ref.|
|Air Operator maintenance requirements/CAR 706||AOC 702/703|
|Flight Training Unit maintenance requirements/CAR 403||FTU 403|
|Private Operator maintenance requirements/CAR 604||POC 604|
|Approved Maintenance Organization/CAR 573||AMO 573|
|Approved Training Organization CAR 403||ATO 566|
|Approved Manufacturing Organization AWM 561||MAN 561|
Inspection checklists, forms and other guidance materials will guide inspectors 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.
4.4.2 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 inspectors (and operators who use the checklists during their certification activities) to interpret regulatory requirements in a standardized manner.
An example of this is the Master Minimum Equipment List/Minimum Equipment List Policy and Procedures Manual TP 9155. When the requirements of this manual have been addressed and all items have been assessed "OK", then the operator would be ready to utilize specific MELs once approved for their aircraft type.
As indicated in section 184.108.40.206 of the IAM, there are times when it is not possible or necessary to examine 100% of a company's systems. Sampling principles would then apply and inspectors are authorized to use this technique in meeting their objective. It is also important that the inspector document what element(s) were covered by the activity undertaken and what portions of the checklist(s) that were completed and what were not. This is simply indicated by using the "N/C" (not checked) box on the checklist or by providing a short narrative. Checklists utilized are to be appended to the appropriate company audit file and therefore will be available for review by follow-on inspection personnel/audit teams; this will allow future inspections to focus on those areas that were not reviewed during the previous activity.
4.4.3 Checklist Amendment
Checklist(s) will be revised as required. Amendments are published as complete Parts. Current checklist revision date noted in the lower left corner of the checklist page footer should match the date for the applicable Part noted on the next page.
Inspection and Audit Checklists
|Part 1||Air Operator maintenance requirements CAR 706, organizations certified under CAR 704 or CAR 705 (March 2001)|
|Part 2||Air Operator maintenance requirements CAR 706, organizations certified under CAR 702 or CAR 703 (March 2001)|
|Part 3||Maintenance Organization requirements CAR 573 (August 2005)|
|Part 4||Flight Training Unit maintenance requirements CAR 403 (March 2001)|
|Part 5||Manufacturing Organization requirements AWM 561 (March 2001, under review)|
|Part 6||Training Organization requirements CAR 403/Std. 566 (March 2001)|
|Part 7||Private Operator maintenance requirements CAR 604 (May 2001)|
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