SURVEILLANCE PROCEDURES MANUAL - Directorate...

Surveillance & Enforcement Division Surveillance Procedure Manual

Directorate General of Civil Aviation

SURVEILLANCE

PROCEDURES MANUAL

Issued : April 2009

Effective : June 2009 Rev. 1, 05th Jan 2010 1


Intentionally Left Blank

Rev. 1, 05th Jan 2010 2


PREFACE

The Surveillance Procedures Manual has been prepared for use and guidance of

DGCA officers in the performance of their duties with respect to the surveillance

requirements. It is designed to provide foundation for promoting safety through

regulation and a proactive safety oversight system, as envisioned. The provision of

this manual shall apply to the surveillance activities on all operators, service

providers and other organization approved by DGCA.

All subject matters pertaining to Surveillance and Enforcement Division of DGCA,

duties, responsibilities and procedures have been covered to the extent possible.

Officers are expected to use good judgment while dealing with the matters where

specific guidance is not available.

The manual will be updated from time to time based on suggestions / inputs received

30th April, 2009

Dr. Nasim Zaidi Director General of Civil Aviation

Rev. 1, 05th Jan 2010 3



Rev. 1, 05th Jan 2010 4


INDEX

Chapter CONTENTS No.

1. INTRODUCTION

2. SURVEILLANCE RESPONSIBILITY AND PROCEDURES

3. SURVEILLANCE OF FOREIGN AIRCRAFT (SOFA/ SAFA)

4. RESOLUTION OF SAFETY CONCERNS

5. SAFETY INFORMATION ANALYSIS SYSTEM (SIAS) IN DGCA

6. MONITORING DEFICIENCIES

7. MONITORING OF SURVEILLANCE ACTIVITIES

8. NIGHT SURVEILLANCE INSPECTION

9. RECORDS

10. TRAINING

APPENDICES ‘A’ - TABLES TO BE PRESENTED BY REGIONAL OFFICES/ DIRECTORATES TO SED FOR MONTHLY SURVEILLANCE REVIEW. ‘B’ - TABLES TO BE PRESENTED BY SED FOR MONTHLY SURVEILLANCE REVIEW ‘C’ – DEFICIENCY REPORTING FORM ‘D’ – SOFA INSPECTION CHECKLIST ‘E’ – CHECKLIST FOR ASSESSMENT OF SURVEILLANCE ACTIVITY ‘F’ – CHECK LIST FOR CROSS REGIONAL CHECKS ‘G’ – CHECKLIST FOR NIGHT SURVEILLANCE CHECKS

Rev. 5, 07th Oct. 2015 5


RECORD OF REVISIONS

Revision No. Date Affected Pages Entered by

1 05th Jan 2010 Complete Revision DAW

2 25th April 2013 Pages 56 - 57 DAW

3 18th Nov 2013 Pages 13-14 DAW

4 18th Nov 2013 Page 22 DAW

5 07th Oct 2015 Pages 22A, 22B,

SED 22C, 22D

6 25th Oct 2017 Pages 11, 15 SED

7 18th May 2018

Pages 12,13,14,15,17,19,23,27,36,37,38,39,40,41,43,45,

46,47,48,49,50,52,53 SED

Rev. 7, 18th May 2018 6



Rev. 5, 7th October 2015 7


VISION

Endeavour to promote

safe and efficient

Air Transportation

through regulation and proactive

Safety

Oversight system.

Rev. 1, 05th Jan. 2010 8



Rev. 1, 05th Jan. 2010 9


Intentionally Left Blank Rev. 1, 05th Jan. 2010 10


CHAPTER – 1

INTRODUCTION

1.1 Surveillance Policy: - The purpose of surveillance is to determine whether compliance with regulations and standards is being maintained, in relation to the approved provisions in the Operator’s Manual or exposition required to be submitted (for acceptance/approval by DGCA) under the entry process, and maintained during the validity of the certificate. The rules place emphasis on this exposition and the management and quality assurance systems that show how the organisation will stay in compliance.

During the surveillance the focus is on checking what is being done, against what the organisation says it will do, as set out in the manual(s). The procedures set out in the organisation’s manual will be a combination of those required to maintain compliance with regulatory (minimum) standards, and those arising from company (additional) standards activities. A deviation from procedures required to maintain compliance with the minimum standards is a finding of non-compliance, and a finding of non-conformance in other cases, and the corrective action will be determined accordingly.

The DGCA has been established as a safety regulator with legal competence for rulemaking and relevant aviation safety regulations. DGCA is the principal regulatory body for implementing and enforcing civil aviation regulations and is also responsible for regulation of air transport services to/from and within India. The DGCA discharges State Safety Oversight obligations on behalf of the State. DGCA has its Headquarters in New Delhi, consisting of the following Directorates:-

Directorate of Air Transport.

Directorate of Flight Standard.

Directorate of Airworthiness.

Directorate of Aerodrome Standards.

Directorate of Air Safety.

Directorate of Training & Licensing.

Directorate of Flying Training.

Directorate of Aircraft Engineering.

Directorate of Regulation & Information.

Directorate of Administration

Directorate of Airspace & Air Navigation Services Standards

Rev. 6, 25th Oct 2017

11

Surveillance & Enforcement Division Surveillance Procedure Manual DGCA’s Regional/Sub Regional offices are located at Delhi, Mumbai, Kolkata, Chennai and Bangalore and sub-regional offices at Hyderabad, Bhopal, Lucknow, Kanpur, Patiala, Patna, Bhubaneswar, Guwahati and Cochin. In order to further strengthen and enhance the Safety oversight system a Surveillance and Enforcement Division in Headquarters has been setup.

1.2 Enforcement policy and procedures manual The Enforcement Policy and Procedures Manual has been prepared by DGCA to provide details about the Enforcement policy and procedures, roles and responsibilities of DGCA officers, description of the enforcement tools available, guidelines and procedure for appropriate use of enforcement tools, Reporting enforcement, Recording enforcement, Collecting and handling evidence, Investigations by officers, Gaining access, Note taking & interviewing and Detaining aircraft. The Enforcement Policy and Procedures Manual also provide details about DGCA statutory provisions to be complied with by the industry and the procedure to be followed for their enforcement. In this connection, it is vital to keep in mind the difference between compliance and enforcement. Compliance consists of all regulations and safety standards being met. When compliance exists, there is no need for enforcement. Enforcement is the action necessary when compliance is not present. Enforcement requires legal and administrative action. Compliance and enforcement actions need to be applied as consistently as possible. However, DGCA Officers/Inspectors shall consider each case individually in order to determine an appropriate enforcement action. They should take/recommend actions that, in their professional judgment, will appropriately serve the purposes of the DGCA’s safety mandate. It is essential that enforcement action where required is taken in as fair and equitable a manner as possible, through application of consistent, transparent and systematic procedures. A vital part of this aspect is to achieve uniformity, transparency and consistency of enforcement action. Similar conduct under similar circumstances should result in the same type of enforcement action. In addition, precedents of action taken on similar lapses in the part should be kept in mind while deciding enforcement action. The cases for enforcement action recommended by Directorates for discussion are brought forward by SED for consideration by BFAS. After decision by BFAS, the same will be intimated to respective directorate to take enforcement action. The procedures detailed here in shall be followed by the officers of DGCA, while performing surveillance.

Rev. 2, 18th May 2018 12


CHAPTER 2

SURVEILLANCE AND ENFORCEMENT DIVISION

2.1 Surveillance Division India being one of the contractual signatories to the convention on International Civil Aviation and a member of the International Civil Aviation Organisation (ICAO), has an obligation to promote safe, orderly and efficient operation of aviation activities. To meet state obligations, DGCA has developed a system of surveillance to ensure that the standard maintained at the time of issue of aviation documents, such as approval certificate, licence, rating, etc. is maintained throughout the validity period. Therefore, primary responsibility of the DGCA is Safety Oversight, and to meet this obligation, DGCA has prepared an Annual Surveillance Programme (ASP) in respect of all the Directorates. In order to ensure effective monitoring of the surveillance programme and enforcement action, DGCA has created a “Surveillance & Enforcement Division (SED).

2.2 Formation of Annual Surveillance Plan (ASP):-

2.2 a) Role of Regional /Sub Regional offices /Directorates for the formation of the ASP:-

ASP is formulated by the Regional offices/Directorates for the operators operating in their Region/area. The procedure invoked by Regional/Sub Regional/Directorates requires that all non-compliance and safety related findings are recorded by the inspectors as part of their routine regulatory oversight function. These findings raised are to be communicated to the Head of the Office in their respective Region/Directorate and entered into a database maintained in their office. The findings should be classified into various level wise and in line with the appropriate regulations (i.e. CAR 145 and 145.A.25 facilities, 145.A.65 Quality System, 145.A.70 MOE etc.). The data will be reviewed and analysed on an annual basis to facilitate establishment of what the most prevalent / significant findings are with the Operator. This data will be used in planning the next DGCA surveillance plan to guide inspectors as to the most significant issues to be focused on and also to adjust the frequency of inspections. Significant findings will require increased frequency of audits, spot checks and nil or no significant findings may result in a reduction of the frequency in the routine planned audits. The data analysed should be sent to SED annually.

2.2 b) Role of SED for the release of the ASP:- The analysis Data received from Regional/Sub Regional Offices/Directorates on the annual basis will be further analysed by SED to check for industry trends. The conclusions of the same will be addressed in monthly Surveillance Meetings. The complete data for all Directorates will be consolidated in the SED. This data / information gathered will be used to ensure that weak areas and weak operators are given more quality inspections and monitor the entire surveillance program for all Directorates/Regions.

2.2 c) Revision of ASP:- After release of ASP there shall not be any revision to its original contents. However if necessary, surveillance Program can be revised as a supplement to the ASP. Rev 4, 18th May 2018 13


2.3 FUNCTIONS OF DIRECTORATES AT HEADQUARTERS – WITH RESPECT TO

SURVEILLANCE ACTIVITIES In carrying out the surveillance function, each Directorate at Headquarter has the

following broad responsibilities:

(i) Develop an Annual Surveillance Programme (ASP) each year related to their area of surveillance and submit it to Surveillance Monitoring & Enforcement

Division latest by 15th of November every year. (ii) Develop a checklist for surveillance area giving reference of regulations to

applicable be complied with schedule surveillance activities, assigning

officers and resources.

(iii) Maintain records of surveillance activities/create Data Base.

(iv) Follow up implementation and closure of corrective actions by tracking

mechanism.

(v) Take/ Recommend regulatory action where necessary to ensure compliance

with the rules.

(vi) Report on the performance of surveillance every month in prescribed formats (Appendix A).

(vii) Attend the monthly surveillance monitoring meeting to represent their

surveillance programme and submit the summary of monthly surveillance

report to the SED latest by 15th of the following month.

2.4 FUNCTIONS OF REGIONAL/SUB-REGIONAL FIELD OFFICES WITH RESPECT TO SURVEILLANCE ACTIVITIES

The Regional / Sub Regional and other field offices have the following functions:-

1. Execution of regional surveillance plan as per ASP. 2. Compliance with the procedures manual as developed by each directorate

while carrying out surveillance. 3. Recording and reporting of findings to the respective directorate by the 10th of

every month. 4. Report on the performance of surveillance every month in prescribed formats

(Appendix A).

Rev.1, 18th May 2018 14


5. Highlight in the report with proper justification if there was any subtraction in monthly surveillance target than ASP and/or shortfall in compliance

6. Attend the monthly surveillance monitoring meeting to represent their surveillance programme and submit the summary of monthly surveillance report to the SED latest by 15th of the following month.

7. Assess the action taken by the organization and carry out follow up audit if required.

8. Report violations to the respective directorates including nil response. 9. Report Level I findings to the respective directorates and SED.

10. Present the execution of the surveillance program in the monthly review meeting.

11. Maintain record of the surveillance.

2.5 SURVEILLANCE PROCEDURE

A monthly review of ASP/Audits will be held on tentatively 3rd Monday of the following month in DGCA Hqrs., wherein monthly progress, shortfalls against monthly targets / problems faced etc; will be analyzed by DGCA along with analysis of identified deficiencies categorized into level I & II. These deficiencies will be fed into the ASP Data Base for resolution, tracking and dissemination of safety related issues.

2.6 Responsibility of the Officer(s) carrying out surveillance:- i) Intimate the organization of the DGCA surveillance plan at least 7 days in advance

of the officers visit. On request from the organization, the dates of inspection may be deferred by a week, and another suitable date intimated. It this is also requested for deferment, a third date should be given. Any further request for postponement should not be agreed to and the surveillance to be carried out on dates finally intimated. If the inspection is not allowed by the organization, it should be reported to DGCA Headquarters as level 1 finding for immediate enforcement action.

ii) The assigned officers should be familiarise themselves with the reference regulation

in a thorough manner. The officer should study

a) Applicable regulations, CARs, AICs / DGCA circulars etc.

b) Company procedures / manuals.

c) Previous audit(s) / Inspection reports (at least two previous reports must be

studied and actions taken by organization to close all previous findings should

be noted).

d) Applicable checklist should be updated with any changes in the regulations /

manuals and customization notes for the specific organization should be

prepared. Rev 2, 18th May 2018

15


e) The division specific information with respect to area of surveillance such as

ADs, MMEL revision no., manufactures latest instruction with regard to AMM

revision etc should be noted prior to commencement of audit.

It is expected that the study and familiarization with the organization specific material will take 2-3 days prior to the surveillance date. Head of office should ensure that the surveillance team is relieved of extraneous office duties to enable them to prepare for meaningful surveillance.

1. The surveillance shall be started with a meeting of Accountable

Manager / Post Holder with the Audit Team. 2. Surveillance shall be carried out with the use of customized audit check

list. 3. Observations made during surveillance shall be recorded against each

item of audit check list 4. The completed deficiency reporting form should then the forwarded to

the concerned operator/organization for necessary corrective action (Appendix ‘C’).

5. After receipt of notification of findings, the approved organization shall define a corrective action plan and demonstrate corrective action to the satisfaction of the DGCA within a period depending upon the level of the finding.

6. On receipt of such form from the operator / organization, DGCA officers shall review the target date depending upon the level of deficiency for corrective action before acceptance of the same. The time period as specified in enforcement circular No. 1of 2009 dated.

1st September 2009 shall be kept in mind while allowing the target date for corrective action.

7. All organizations shall take prompt action of resolving the non-conformities brought out during the surveillance inspection, spot checks or safety audits conducted by DGCA.

8. Time period for compliance shall be counted from the next calendar day of the date of raising the DRF.

9. Where the organization fails to implement the corrective action after the time period agreed with DGCA, the Regional office will forward the non-compliance report to DGCA Hdqrs. for consideration by the DGCA with appropriate recommendation.

10. Where no reasonable and justified reasons are assigned for non-implementation of the corrective action plan within the time frame agreed upon with DGCA office, necessary enforcement action will be initiated against the organization or the person responsible for non-compliance as the case may be.

Rev 1, 5th Jan. 2010

16


11. The time periods as specified above supersede any other time periods specified in any other regulation such as CAR 21, CAR 145 etc. Variation of the time periods for compliance shall only be with the approval of the Director General.

12. A monthly program of Audit is also prepared by some directorates / divisions which covers Scheduled & Non scheduled operators. A monthly progress report of ASP will be submitted by all Regional Offices (including Sub-Regional Offices) and Hdqrs. officers to their respective Directorates in Hdqrs. by 10th of the following month on prescribed proforma (Appendix ‘A’). All Directorates at Hdqrs. shall send report to SED by 15th of the following month.

3. SED Functions:

The Surveillance and Enforcement Division in Headquarters has a key role to plan, monitor, oversee and enforce actions on behalf of Directorates/Regional and Sub Regional offices. Key functions of SED are: -

1. Development of a consolidated system of Surveillance for all Directorates and

to monitor compliance of the program as applicable to each Directorate. 2. Compile the Annual Surveillance Program (ASP) comprising of all

Directorates. 3. To notify Annual Surveillance Plan for various Directorates and publish the

same on and DGCA website. The plan includes the area of activity to be inspected month wise.

4. ASP is published in two Parts – Part I outlining ASP of Airworthiness Directorate and Part II outlining the ASP of the remaining directorates.

5. To compile data on surveillance received from various directorates of

DGCA Headquarters and field offices on standard formats (Appendix B). 6. To maintain data Base of Surveillance compliance and closure of

deficiency findings. 7. To organize a monthly monitoring meeting with all Directorates and

Regional Heads to analyze compliance of monthly surveillance targets and closure of the deficiencies pointed out by the field inspectors.

8. To refer all Level 1 and important level 2 findings to Board for Aviation Safety (BFAS) for taking action as per administrative provisions of Enforcement policy and Procedures Manual and Rules as applicable.

Rev. 6, 18th May 2018 17


REPORTING CHANNELS OF SURVEILLANCE ACTIVITIES

HDQRS DIRECTOR GENERAL

LEGAL (Directorate of SURVEILLANCE AND ENFORCEMENT Regulation

DIVISION and Information)

Directorate

Directorate Directorate

Directorate Directorate

of Air

of Flight Directorate of of Directorate of

of Flying of Aircraft

Space & Air Safety Aerodrome Airworthiness Engineering

Navigation

Training Standards Standards

DANGEROUS CABIN GOODS SAFETY

REGIONAL REGIONAL REGIONAL REGIONAL

REGIONAL

OFFICES OFFICES OFFICES

OFFICES OFFICES

Rev.6, 25th Oct 2017 18



Rev 1, 18th May 2018

19




20


CHAPTER 3

3.1 SURVEILLANCE OF FOREIGN AIRCRAFT (SOFA)

Under Article 16 of the Convention on International Civil Aviation, State are entitled to search aircraft from other States on landing and departure and to inspect the certificates and other documents prescribed by the Convention and its Annexes, provided there is no unreasonable delay to the operation. Further, paragraph 4.2.2.2 of ICAO Annex 6 (Operation of Aircraft, Part I – International Commercial Air Transport – Aeroplanes) also requires that States shall establish a programme with procedures for the surveillance of operations in their territory by a foreign operator and for taking appropriate action when necessary to preserve safety. Designated airlines of foreign countries who have been issued the operating

authorization / permit by DGCA are subjected to surveillance by inspectors of DGCA

in accordance with the procedures established as follows:-

3.1.1 Procedure for Inspection:

The surveillance of foreign airlines shall be limited only to ramp inspection including

documentation reviews. An annual programme for the surveillance shall be drawn by DGCA in advance. However, in certain situations, unannounced inspections may also be carried out.

The ramp inspection shall be carried out by a team comprising of trained inspectors

from operations and airworthiness holding appropriate credentials issued by DGCA. While performing a ramp inspection, the various elements of the inspection – the visual inspection of the aircraft exterior, the inspection in the flight deck and the inspection of the passenger cabin and/or cargo compartments – may be divided among the inspectors. Before the commencement of the inspection, the Inspectors shall identify themselves to the pilot-in-command or, in his absence, to a member of the flight crew or to the most senior representative of the operator prior to commencing the onboard part of their ramp inspection. When it is not possible to inform any representative of the operator or when there is no such representative present in or near the aircraft, the general principle will be not to perform a ramp inspection. In special circumstances, if


21

Surveillance & Enforcement Division Surveillance Procedure Manual it is decided to perform a ramp inspection, it shall be limited to a visual check of the aircraft exterior only. The inspection shall be as comprehensive as possible within the time and resources available. In case of availability of only limited amount of time, the number of inspection items shall be reduced. The checklist of be used for carrying out the ramp inspection is given at Appendix ‘D’. The general principle shall be that the ramp inspection shall not cause an unreasonable delay in the departure of the inspected aircraft. Possible causes for delay may be, but are not limited to, doubt regarding the correctness of the flight preparation, the airworthiness of the aircraft or any matters directly related to the safety of the aircraft and its occupants.

3.1.2 Post Inspection Actions:

The checklist used for the inspection shall be completed and a copy handed over to the pilot-in-command, or in his absence, to a member of the flight crew or to the most senior representative of the operator present in or near the aircraft upon completion of the inspection. A signed acknowledgment of receipt of the proof of inspection shall be requested from the recipient and be retained by the inspector. Refusal by the recipient to sign shall be recorded in the document. In case of disagreements concerning inspection findings, the deficiencies shall be communicated to the foreign airlines’ regulatory authority. Serious safety deficiencies would require DGCA to initiate a dialogue with the regulatory authority of the state of the Operator including the operator. Failure to take positive action to rectify the deficiencies may result in cancellation / revocation of foreign airlines authorization. Inspection team will provide a copy of the inspection report to Surveillance and Enforcement Division for taking follow up action with the regulatory authority of the airline concerned. Where action is expected to be taken by the airline the regulatory authority will be requested to intimate the action taken to DGCA. The annual programme for SOFA will be monitored by SED and will be reviewed by the DG in the monthly surveillance meeting. SOFA findings should be communicated by SED Division to the regulatory authority of the foreign airline. Finding raised by the inspectors should be intimated to the state authority by the operators within a period of 60 days. SOFA findings should be communicated by SED Division to the regulatory authority of the foreign airline.

Rev. 4, 18th Nov 2013

22


3.2 EU SAFETY ASSESSMENT OF FOREIGN AIRCRAFT (SAFA) PROGRAMME. 3.2.1 The EU SAFA Programme is a European Programme regarding the

performance of ramp inspections on aircraft used by third country operators.

Under this programme aircraft of Indian operators can be subjected to ramp

inspection by participating states, chiefly concerned with the aircraft

documents and manuals, flight crew licenses, the apparent condition of the

aircraft and the presence and condition of mandatory cabin safety equipment.

The applicable requirements for these inspections are:

i. The ICAO international standards for aircraft used by third country operators;

ii. The relevant EU requirements for aircraft used by operators under the

regulatory oversight of another Member State;

iii. Manufacturers’ standards when checking the technical condition of the

aircraft; and

iv. Published national standards of the participating states (e.g. Aeronautical

Information Publications (AIPs)) that are declared applicable to all operators

flying to that State.

3.2.2 In case of significant irregularities, the operator and the DGCA are contacted in

order to arrive at corrective measures to be taken not only with regard to the

aircraft inspected, but also with regard to other aircraft which could be

concerned in the case of an irregularity which is of a generic nature. All data

from the reports as well as supplementary information are shared and

centralised in a computerised database managed by EASA.

3.2.3 The inspection is carried out by authorised inspectors using a checklist with 53

inspection items during ramp checks. The checks may include pilots licenses,

procedures and manuals carried in the cockpit, compliance with these

procedures by flight and cabin crew, safety equipment in cockpit and cabin,

cargo carried in the aircraft and the technical condition of the aircraft.

Rev. 5, 7th October 2015 22A

Surveillance & Enforcement Division Surveillance Procedure Manual 3.2.4 The inspections and the categories of findings are recorded in the centralised

database. Depending upon the influence of safety on aircraft, the findings are

Categories as Cat G, 1, 2 and 3 as follows.

Category G: General remarks not based on non-compliance

Category 1: Noncompliance having no or minor influence on the safety of aircraft

Category 2: Noncompliance having significant influence on the safety of aircraft

Category 3: Noncompliance having Major influence on the safety of aircraft

The classes of action taken by foreign CAA based on category of findings are as follows:-

G General Observation 1 Information for Captain 2 Information to Authority and Operator 3a Restrictions on aircraft flight Operation 3b Corrective action before flight 3c Aircraft grounded by inspecting NAA 3d Immediate operation ban

3.2.5 When considering the findings established during a ramp inspection, Category

2 (significant) and Category 3 (major) findings require the highest attention

when it comes to the need for rectification. Based on the category, number and

nature of the findings, several actions may be taken by the inspecting states 3.2.6 If the findings indicate that the safety of the aircraft and its occupants is

impaired, corrective actions will be required. Normally the aircraft captain will be

asked to address the serious deficiencies which are brought to his attention. In

rare cases, where inspectors have reason to believe that the aircraft captain

does not intend to take the necessary measures on the deficiencies reported to

him, they will formally ground the aircraft. The formal act of grounding by the

State of Inspection means that the aircraft is prohibited from resuming its flights

until appropriate corrective measures are taken.

Rev. 5, 7th October 2015 22B

Surveillance & Enforcement Division Surveillance Procedure Manual 3.2.7 Another type of action is called “corrective actions before flight authorised”.

Before the aircraft is allowed to resume its flight, corrective action is required to

rectify any deficiencies which have been identified. 3.2.8 In other cases, the aircraft may depart under operational restrictions. An

example of such a restriction would be the case where there is a deficiency

regarding passenger seats. Operation of the aircraft is possible under the

condition that the deficient seats are not occupied by any passengers. 3.2.9 It is standard practice that the captain of the aircraft which has just been

inspected is debriefed about the findings. In addition, Category 2 and Category

3 findings are communicated to the DGCA by for information and to the

operator with the request to take appropriate action to prevent reoccurrence. 3.2.10 In some cases, when the findings on an aircraft are considered important,

individual Participating States may decide to revoke the entry permit of that

aircraft. This means that the particular aircraft is no longer allowed to land at

airports or fly in the airspace of that State. Such a ban can be lifted if the

operator of the aircraft proves that the problems have been properly

addressed and corrected. Such entry permit repercussions can therefore be,

and usually are, of a temporary character.

3.2.11 Centralised database

3.2.11.1 The centralised database is managed and maintained by EASA. EASA has

provided access for user management of data in respect of Indian operator

to the DGCA. Operators can register online to that database; and the access

is limited to ramp inspection reports on their own aircraft. Once the operator

has access, any follow-up information on the inspection can be uploaded to

the database. After receipt of reports from foreign CAA, Airlines are required

to take corrective and preventive measure to prevent reoccurrence of defect

in future. The corrective and preventive actions on each finding are also

required to be uploaded by the Airline to the EASA data base to close the

findings. The user manual for the data base is also available on the

http://www.safa.easa.europa.eu

Rev. 5, 7th October 2015

22C

Surveillance & Enforcement Division Surveillance Procedure Manual 3.2.12 Procedures followed by DGCA

3.2.12.1 DGCA nominates an officer to EASA to function as a DGCA Co-ordinator for

user management of the access of Indian operators and the DGCA officers

to the centralised data base. An official from Airworthiness and a FOI shall

be provided access by the DGCA Co-ordinator for monitoring the SAFA

inspection report through EASA data base. Nodal officials of Indian

operators shall be provided access to SAFA website by the DGCA Co-

ordinator for continuous monitoring, download of SAFA reports and upload

of corrective and preventive actions. The nominated Airworthiness and FSD

officials shall monitor the follow up actions submitted by the operators to

ensure proper implementation of corrective actions in order to address the

reported findings. 3.2.12.2 In case, when the findings on an aircraft are considered serious in nature,

appropriate actions may be initiated by DGCA against operator to address

the findings. If considered necessary, enforcement action in accordance

with enforcement manual may be initiated against the operator.

Rev. 5, 7th October 2015

22D


CHAPTER 4

RESOLUTION OF SAFETY CONCERNS

4.1 BOARD FOR AVIATION SAFETY (BFAS)

For effective implementation of surveillance programme, it is necessary that surveillance carried out by various directorate should be monitored at Headquarters. Therefore a standing Board for Aviation Safety (BFAS) has been setup at DGCA Hdqrs under the chairmanship of Director General of Civil Aviation with the objective to resolve category level I safety deficiencies in a timely manner. This Board will also act as Enforcement Office of DGCA.

All JDGs, DDG (R & I) and the head of the concerned directorate whose finding is under review will constitute the Board. The SED will arrange to convene the meeting of BFAS every month to review all Level I and important level II findings. Surveillance programme of each directorate will also be reviewed. All directorates are required to forward all Level I and important level II findings along with the details to SED whenever they receive from their respective directorates / Regional units. In addition to above the Board will also review the following:-

1. Cases where significant non compliance occurs with the applicable requirement which lowers the safety standards and hazards seriously the flight safety.

2. Cases of violations to the Aircraft Rules and CARs and other DGCA Directives requiring enforcement actions.

3. Repetitive findings which could lower the safety standards and could possibly hazard the flight safety.

4. Other deficiencies if not rectified within the stipulated time period. 5. Cases put up under Appeals. 6. Review of recommendations of Courts of Inquiry and similar safety

recommendation. 7. Important incidents to all aircraft and 8. Other Important safety issues

The Board decides on the Enforcement actions to be taken in a fair, transparent and firm manner. The decisions are taken in line with Aircraft Rules and penalties invoked as per Schedule VI after adhering to the procedures as per the Enforcement Policy and Procedures Manual. The Board meets at least once a month to decide on

Rev. 2, 18th May 2018 23

Surveillance & Enforcement Division Surveillance Procedure Manual the actions to be taken against the cases under submissions by the SED. In the process of ensuring Enforcement the following principles are adhered to:-

1. Natural justice and accountability 2. Impartial and unbiased consideration 3. Proportionality and standardization of enforcement actions.

The cases under consideration are presented by the concerned directorate and

discussed in the Board. The decisions of the Board are minuted and conveyed to the

participants and concerned directorates for taking effective enforcements.

Rev. 1, 5th Jan. 2010 24


CHAPTER – 5

SAFETY INFORMATION ANALYSIS SYSTEM (SIAS) IN DGCA

1. Need for pro-active actions for strengthening and enhancement of aviation

safety requires no emphasis. Utilization of safety related information and

taking corrective actions for future is one effective way to promote safety.

2. Safety related information is furnished to Directorate of Air Safety (DAS) from various sources such as WSOs, airlines, aerodromes etc. These information relate to Incidents / Occurrences (also referred as Troubles) which may have affected operations of aircraft and also have potential of converting into serious affected / accidents in future if pro – active actions are not taken by the concerned and also other stake holders (as per iceberg theory).

3. Notification of accidents / serious incidents / incidents are covered under the

following legal provisions: (i) Rule 68 and Rule 77 b of the Aircraft Rules; (ii) Civil Aviation Requirement under Section 5 Series C Part 1 of 2006 and (iii) Air Safety Circular No. 5 of 1982.

4. The circular of 1982 lists about 75 types of occurrences required to be

reported to DAS.

5. In cases of accidents / serious incidents / incidents where formal investigations are ordered by DGCA / MOCA, recommendations are generated for action by concerned stake holders. Likewise, Permanent Investigation Boards (PIBs) set– up at the level of airlines etc. also produce recommendations pertaining to cases falling in their jurisdiction. Stakeholders based on PIB results carry out post occurrence / incident analysis and take corrective actions. Cases of such occurrences, their analysis and corrective actions and, in particular, trends shall be disseminated to the industry in de – identified form for sharing and proactive action at their end to prevent recurrence of such troubles in their organizations. Functions of DAS with respect to SIAS: - (i) Ensure that occurrences as per Circular of 1982 are reports as per

timeline by all concerned. (ii) Reports received will be categorized under following categories:

Engineering / Maintenance troubles. Human Factors

Operations

Rev. 1, 5th Jan. 2010 25


Ground Handling Runway incursion, FOD etc.

ATC (RA / TA)

Bird Hit

Misc.

(iii) Compile month–wise occurrences, analyze, determine trends

occurrence wise, de–identify and disseminate useful information to all stakeholders as a periodic bulletin.

(iv) A safety information database on the basis of (ii) above will be generated.

(v) Each operator will be required to fully utilize the information shared with them by DGCA.

(vi) A month wise chart / pie chart will be prepared by DAS for discussion

in BFAS.

6. The above information will be presented in monthly meeting of BFAS by DAS

where respective directorates will also be asked to attend. In case of need,

the concerned operator will also be asked to clarify issues before the BFAS.

Rev. 1, 5th Jan. 2010 26


CHAPTER – 6

MONITORING DEFICIENCIES

6.1 PROCEDURE FOR MONITORING DEFICIENCIES BY SURVEILLANCE AND

ENFORCEMENT DIVISION: All deficiencies observed during surveillance carried out by various Directorates/

Regional/Sub Regional Offices/Divisions are required to be forwarded by the 10th of every month to their respective Directorates. The Directorates at Hdqrs. will examine level of the deficiencies and forward a report in the prescribed pro forma to the

Surveillance & Enforcement Division (SED) latest by 15th of the following month.

6.2 Monthly Review at Headquarters

A monthly review meeting of the compliance of annual surveillance programme will

be held tentatively on 3rd Monday of every month under the chairmanship of Director

General of Civil Aviation. Representatives of all the Directorates & Regions are required to attend this meeting. In the meeting the SED will present analysis of the monthly progress, shortfall against the monthly target and also analyze the deficiencies categorized as Level I/II. After analysis, these deficiencies will be fed into the annual surveillance programme data for resolution, tracking and dissemination of safety related issues.

All the field offices are required to intimate DGCA immediately, whenever they observe any Level I finding while carrying out their surveillance programme. These Level I findings will be examined in the Board for Aviation Safety (BFAS) meeting.

The BFAS meeting is normally held on 5th of the following month. This Board is

headed by Director General and three Joint Director Generals are the members of the Board. Director of the respective Directorate, whose Level I deficiency is being discussed, is also a member of the Board along with the Director Regulations. Each case is represented by the Secretary of the Board in association with the concerned Director. If there is any emergency, the meeting can be held immediately to resolve Level 1 discrepancies.

All Level I and important level II discrepancies are discussed in the BFAS meeting, to take a view on the action to be taken against the concerned organization/personnel. If enforcement action has been already taken or initiated by Region/Directorate against any Level I / important level II findings same shall be highlighted in table E (Appendix ‘A’).Records of all Level I and important level II findings and action taken are being maintained by the respective Directorate and also by the SED.

Rev. 2, 18th May 2018 27


6.3 GENERATION OF COMPUTER DATA FOR ALL DEFICIENCIES: Surveillance & Enforcement Division has been provided an independent computer with a

software to store data relating to monitoring of Level I and Level II deficiencies. After

monthly review meeting the deficiencies are being fed into computer. The system is

capable of monitoring open and close deficiencies of organizations/operators wise.

6.4 DEFICIENCIES RECORD IN THE FORM OF FILES:

SED shall also maintain manual record in the form of files of all the deficiencies

observed while carrying out surveillance of organizations/operators. These

records/files cover the following organizations/operators:-

1. Scheduled/non-scheduled operators 2. Approved organisations related to airworthiness 3. Flying training institutes 4. Aerodrome/airports 5. Design approved organisations 6. Foreign operators 7. Dangerous goods

SED maintain only Level I and Level II deficiencies. It is the responsibility of each

Directorate to ensure that open discrepancies do not exceed the time limit

determined by DGCA from time to time.

Rev. 1, 5th Jan. 2010 28


Chapter 7

MONITORING OF SURVEILLANCE ACTIVITIES

7.1 Assessment of surveillance activities by DGCA Headquarters In order to ensure that surveillance inspections are carried out as per ASP and proper procedures are followed for grading findings as Level I or Level II, surveillance records are maintained properly and closure actions of deficiency reporting form are taken after due completion of all actions, it is necessary that assessment of surveillance activity of various Directorates are carried out by DGCA nominated inspectors.

To achieve the above objective a quarterly plan shall be prepared by Surveillance Enforcement Division with the approval of DG. As a matter of procedure the nominated assessment officers shall intimate the Heads of respective Directorates /Region / Sub-region / about their plan to carry out assessment at least seven days in advance. The assessment officers must use the check list (Appendix ‘E’) for conducting the assessment and also provide or refer to the checklist to be used in the assessment. A compliance report of the checklist may be asked for. This will ensure that the desired areas / activities have been looked into fully by the assesse and all records updated to facilitate assessment. The assessment officers should submit the assessment report along with the checklist

duly completed to SED within one week of the completion of the assessment.

7.2 Cross Regional Checks As a continued measure to enhance safety, cross regional checks shall be carried

out by nominated officers by DGCA Headquarters. The cross regional checks are intended to ensure uniformity and standardization of surveillance procedures followed amongst various Directorates / regions. Further, such checks will also enhance streamlining of surveillance procedures adopted in various Directorates / regions. For this purpose, a quarterly plan will be submitted by the SED after approval of the DG to the nominated officers for carrying out such checks. As a matter of protocol, it is desired that nominated officers must intimate the Head of concerned Regional / Sub Regional offices about their

Rev. 1, 5th Jan. 2010 29

Surveillance & Enforcement Division Surveillance Procedure Manual plan to carry out the checks well in advance (at least seven days) . A checklist (Appendix ‘F’) enclosed with this chapter has been framed by SED for this purpose, which shall be used. The nominated officers should submit their report along with the checklist duly completed to SED within one week of completion of the check.

Rev. 1, 5th Jan. 2010 30


Chapter 8

NIGHT SURVEILLANCE INSPECTION

In order to enhance safety of operation and to maintain higher standard ofcontinued oversight of operators, all Directorates / Regional offices are required tocarry out night surveillance inspections in their regions, sub-regions ensuring thatthe activities carried out by various operators / organizations during the night are meeting the desired level of standards. The purpose of such inspection is also to ensure that operators do not shortcut any procedures, deployment of necessary manpower, release of aircraft without proper defect rectification, extend MELs due to absence of managerial supervision at night or any other reason.

The operators need not be intimated for such night surveillance inspections. This will

make operator aware of the fact that the DGCA may conduct surprise surveillance

checks during night also and will make operator vigilant and alert to follow the laid

down procedures while conducting tasks during night. The surveillance inspectors

must ensure that the operator has detailed adequate staff / manpower for the

particular activity and the personnel use laid down procedures, updated technical

data and are provided with adequate facilities for satisfactory performance of the

task. The working environmental conditions, fatigue level, human factor / human

performance and use of alcohol, psychoactive substance must also be checked.

These are some of the areas where compromises can be made while performing the

task. A standard checklist (Appendix ‘G’) for the night surveillance may be used as a guideline by various Directorates while carrying out night surveillance. Respective Directorates must also have night surveillance checklist for specific area of activity / task for the operator and enclose the same with the surveillance chapter in their Directorate procedures manual for effective and standardization of night surveillance checks. The reports of night surveillance shall be submitted by all directorates as per Proforma at Appendix B (Table ‘F’) to surveillance enforcement division as a part of monthly surveillance meeting.

Rev. 1, 5th Jan. 2010 31



Rev. 1, 5th Jan. 2010 32


CHAPTER - 9

RECORDS

9.1 Documents – Surveillance and Enforcement Division 9.1.1 SED shall maintain approved organisation wise files with deficiencies and

enforcement actions. A data base for the Regions/Directorates and

Headquarters as a whole shall also be maintained. The database shall have

the following information:-

1. Surveillance Area 2. Name of the Region 3. Organization 4. Surveillance Date 5. Regulation Reference 6. Deficiency Detail 7. Deficiency Closure Details.

9.1.2 Regional Offices shall maintain deficiency reporting forms organisation wise

and aircraft wise in their respective surveillance files 9.1.3 The surveillance records shall be maintained for 5 years.

Rev. 1, 5th Jan. 2010 33



Rev. 1, 5th Jan. 2010 34


CHAPTER 10

TRAINING

Training is essential to understand working procedures of the surveillance activities. Therefore, training shall be conducted for all the officers on Procedures so that they can understand the system and carry out surveillance monitoring of the DGCA Annual Surveillance Programme and also to ensure records and procedures for Enforcement Division. Head of the office will train all officers engaged in the task of surveillance through

class room training and on-job training on the following subjects:-

1. Objective of the surveillance programme 2. Responsibility of various directorates 3. Preparation of DGCA Annual Surveillance Programme (ASP) 4. Surveillance Procedures 5. Follow up action of observations 6. Procedure for enforcement action 7. Monitoring of surveillance programme & enforcement action 8. Maintenance of records of surveillance and enforcement action. 9. Compilation of surveillance records / information received from

Regional Offices and various directorates. 10. Presentation in the monthly surveillance meeting. 11. Follow up action and record keeping in SED.

Rev. 1, 5th Jan. 2010 35


(Appendix ‘A’)

TABLES TO BE PRESENTED BY REGIONAL OFFICES/ DIRECTORATES TO SED FOR MONTHLY SURVEILLANCE REVIEW The following Tables are presented: -

1. Table A – Entire Area of Activity. 2. Table B1 – Scheduled Operators 3. Table B2 – Non Scheduled Operators 4. Table B3 - State Government Operators 5. Table B4 – Other Operators / Organization 6. Table C – Enforcement Actions 7. Table E – Audit/ Surveillance Inspection Summary 8. Table F – Night Surveillance at a Glance

Rev. 2, 18th May 2018


TABLE A (Region / Dte.)

SURVEILLANCE AT A GLANCE

MONTH_______________

NAME OF THE OFFICE –

ENTIRE AREA OF ACTIVITY 1 2 3 4 5 6 7 8

Name of the Operator / Organization

Total No. of Surveillance targeted for the month

Total No. of Surveillance conducted during the month

Total deficiency detected (Number)

Total deficiency corrected (Number)

Total deficiency pending (Number)

Breakup of pending deficiencies month wise (Number)

Remarks

Level Level Level Level Level Level >1 >2

I II I II I II months months

Note: Provide proper justification in the Remarks column of table A, B1, B2, B3 and B4;

(a). if there was any subtraction in monthly surveillance target than ASP and/or shortfall in compliance. (b). if any finding was not closed within specified time limits.

Rev. 2, 18th May 2018 37


TABLE B1 (Region / Dte.)


MONTH_______________


SCHEDULED OPERATORS 1 2 3 4 5 6 7 8








Remarks



Rev. 2, 18th May 2018 38




MONTH_______________


NON SCHEDULED OPERATORS 1 2 3 4 5 6 7 8








Remarks



Rev. 2, 18th May 2018 39




MONTH_______________


STATE GOVERNMENT OPERATORS 1 2 3 4 5 6 7 8








Remarks



Rev. 2, 18th May 2018 40




MONTH_______________


OTHER OPERATORS/ ORGANISATION 1 2 3 4 5 6 7 8








Remarks



Rev.2, 18th May 2018 41


TABLE C (Region / Dte.)

ENFORCEMENT ACTIONS

FOR THE MONTH: _________________

NAME OF THE OFFICE: ________________

Sl. No. Name of the AMO Actions initiated (show cause No. of cases Action Taken – Closed Cases Open Cases notices / warnings)

Rev. 1, 5th Jan. 2010 42


TABLE E (Region / Dte.)

AUDIT/SURVEILLANCE INSPECTION SUMMARY

Name & Address of Organization: (Organisation Code No.) Name of Directorate:

Total No. of Deficiency:

CA-2001 Date of Area of Finding Details CAR/other Level of Target Date Close Open Remarks

S/N Surveillance Surveillance reg. ref. Findings

Note: Highlight in the remarks column if enforcement action has been taken / initiated against any findings.

Rev. 2, 18th May 2018 43


TABLE F (Region / Dte.)

NIGHT SURVEILLANCE AT A GLANCE

FOR THE MONTH OF ------------

NAME OF THE OFFICE----------------- Name of the Name of

S/N officer with date Area of

Operator Finding Details Action taken and time of the Inspection /AMO / Aircraft

inspection

Signature of Officer Signature of Officer Signature of Officer Designation : Designation : Designation: Date: Date: Date: Time: Time: Time:

Rev. 1, 5th Jan. 2010 44


(Appendix ‘B’)

TABLES TO BE PRESENTED BY SED FOR MONTHLY SURVEILLANCE REVIEW The following Tables are presented: -

1. Table A – Entire Area of Activity. 2. Table B1 – Scheduled Operators 3. Table B2 – Non Scheduled Operators 4. Table B3 - State Government Operators 5. Table B4 – Other Operators / Organization 6. Table C – Enforcement Actions 7. Table E – Audit/ Surveillance Inspection Summary 8. Table F – Night Surveillance at a Glance

Rev. 2, 18th May 2018 45


TABLE A


MONTH_______________


ENTIRE AREA OF ACTIVITY 1 2 3 4 5 6 7 8

Name of the Directorate







Remarks



Rev. 2, 18th May 2018 46


TABLE B1


MONTH_______________


SCHEDULED OPERATORS 1 2 3 4 5 6 7 8








Remarks



Rev. 2, 18th May 2018 47


TABLE B2


MONTH_______________


NON SCHEDULED OPERATORS 1 2 3 4 5 6 7 8








Remarks



Rev. 2, 18th May 2018 48


TABLE B3


MONTH_______________


STATE GOVERNMENT OPERATORS 1 2 3 4 5 6 7 8








Remarks



Rev. 2, 18th May 2018 49


TABLE B4


MONTH_______________


OTHER OPERATORS/ ORGANISATION 1 2 3 4 5 6 7 8








Remarks



Rev. 2, 18th May 2018 50


TABLE C

ENFORCEMENT ACTIONS

FOR THE MONTH: _________________

NAME OF THE OFFICE: ________________

Sl. No. Directorate Actions initiated (show cause No. of cases Action Taken – Closed Cases Open Cases

notices / warnings)

Rev. 1, 5th Jan. 2010 51


TABLE E (Region / Dte.)

AUDIT/SURVEILLANCE INSPECTION SUMMARY

Name & Address of Organization: (Organisation Code No.) Name of Directorate:

Total No. of Deficiency:

CA-2001 Date of Area of Finding Details CAR/other Level of Target Date Close Open Remarks

S/N Surveillance Surveillance reg. ref. Findings

Rev. 1, 18th May 2018 52


TABLE F (Region / Dte.)

NIGHT SURVEILLANCE AT A GLANCE

FOR THE MONTH OF ------------

NAME OF THE OFFICE----------------- Name of the Name of

S/N Directorate Area of

Operator Finding Details Action taken Inspection /AMO / Aircraft

Rev. 1, 18th May 2018 53


(Appendix ‘C’) GOVERNMENT OF INDIA

OFFICE OF THE DIRECTOR OF AIRWORTHINESS

XXXXXXXXXXXXXXXXXX

DEFICIENCY REPORTING FORM (FORM-2001)

1. NAME OF THE 2. REFERENCE NO. 3. ISSUE DATE

ORGANISATION

4. AREA OF 5. NAME OF THE RESPONSIBLE MANAGER/

SURVEILLANCE: 6. DATE OF AUDIT

QM

7. NON-CONFORMITY/ DEFICIENCY DETAILS:

8. LEVEL OF FINDING 9. CAR/ DOC REFERENCE 10. ENCLOSURES

11. NAMES OF THE AUDITOR & TEAM 12. SIGNATURE OF THE TEAM LEADER 13. DATE 14. TARGET DATE LEADER

RESPONSE OF THE ORGANISATION

15. ROOT CAUSE OF THE DEFICIENCY

16. CORRECTIVE ACTION DETAILS & NUMBER OF ATTACHMENT PAGES

17. NAME OF THE 18. SIGNATURE OF THE RESPONSIBLE

RESPONSIBLE 19. DATE

MANAGER MANAGER

20. NAME OF THE 21. SIGNATURE OF THE QM 22. DATE

QM

23. COMMENTS OF THE AUDITOR WITH REFERENCE TO THE ACTION TAKEN

Rev. 1, 5th Jan. 2010 54


(APPENDIX ‘D’)

Government of India SURVEILLANCE OF OPERATIONS BY A FOREIGN Directorate General of Civil Aviation OPERATOR Opp. Safdarjung Airport, New Delhi, India - 110017

CHECKLIST

Date: Time: Place:

Operator: State: AOC No:

Route from: Flight No: Route to: Flight No:

Flight Type: Aircraft Type: Aircraft Model:

Registration No: Construction No:

Flight Crew State of licensing: Acknowledgement of Receipt (*)

Name:…………………………… Signature:…………………..

Function:…………………………

Check Remark A Flight Deck

1 General condition

2 Emergency exit

3 Equipment

Documentation

4 Manuals

5 Checklists

6 Radio navigation charts

7 Minimum equipment list

8 Certificate of registration

9 Noise certificate (where applicable)

10 AOC or equivalent

11 Radio licence

12 Certificate of Airworthiness (C of A)

Flight Data

13 Flight preparation

14 Weight and balance sheet

Safety equipment

15 Hand fire extinguishers

16 Life jackets/ flotation devices

17 Harness

18 Oxygen equipment

19 Flash light

Flight Crew

20 Flight crew licence

Check Remark Journey log book/ Technical log or equivalent

21 Journey log book or equivalent

22 Maintenance release

23 Defect notification and rectification

(incl. Tech Log)

24 Pre-flight Inspection

B Safety/Cabin

1 General internal condition

2 Cabin attendants station and crew

rest area

3 First aid kit/ emergency medical kit

4 Hand fire extinguishers

5 Life jackets/ flotation devices

6 Seat belt and seat condition

7 Emergency exit, lighting and

marking, Torches

8 Slides/ Life-Rafts (as required),

ELT

9 Oxygen Supply (Cabin crew and

passengers

10 Safety instructions

11 Cabin crew members

12 Access to emergency exits

13 Safety or passenger baggage

14 Seat Capacity

Check Remark

C Aircraft condition 1 General external condition 2 Doors and hatches 3 Flight controls 4 Wheels, tyres and brakes 5 Undercarriage, skids/ floats 6 Wheel well 7 Powerplant and pylon 8 Fan blades 9 Propellers, rotors (main/ tail) 10 Obvious repairs 11 Obvious unrepaired damage 12 Leakage

D Cargo 1 General condition of cargo

compartment 2 Dangerous goods 3 Safety of cargo on board

E General 1 General


Surveillance & Enforcement Division Surveillance Procedure Manual Action taken

Item

Remarks

Aircraft grounded by inspecting DGCA inspector

Corrective actions before flight

Restrictions on the aircraft operation

Information to the operator and authority

Information to the Captain

No remarks

Inspector(s) signature

(*) Signature by any member of the crew or other representative of the inspected operator does in no way imply acceptance of the listed findings but simply a confirmation that the aircraft has been inspected on the date and at the place indicated on this document. This report represents an indication of what was found on this occasion and must not be construed as a determination that the aircraft is fit for the intended flight.

Rev. 1, 5th Jan. 2010 56


(APPENDIX ‘E’)

DIRECTOR GENERAL OF CIVIL AVIATION

TECHNICAL CENTRE, OPP. SAFDARJUNG AIRPORT NEW DELHI – 110003

Sub: - Check List for Assessment of Surveillance Activity

I. Audit Composition 1. Name of Directorate / Region / Operator

2. Team Member(s) 1.

(Names & Designations) 2. 3.3. Area(s) to be audited

4. Date of Audit

II. Guidelines for conducting Assessment 1. Intimation to the assessee

Yes No

2. Forwarding of checklist for assessment of surveillance to the assessee

3. Receipt of compliance of checklist from the assessee. (Note: - The assessee to fill up Block III and submit to assessor before assessment.)

III. Items to be Assessed

1. Check for any previous audit findings pending.

2. Check availability of ASP 2010 for the office

3. Check availability of Surveillance Procedure Manual ( SPM ) and familiarity of all concerned with the same

4. Check availability of Enforcement Manual, Circular and familiarity of all concerned with the same.

5. Check for the Procedure Manual for conducting Surveillance.

6. Availability of Database for Surveillance

Rev. 1, 5th Jan. 2010 57


7. Check Implementation of ASP 2010 . No. of Surveillance Planned

Month wise a. No. of Surveillance carried out

Month wise b. No. of Surveillance Pending

Month wise with reason and when scheduled

8. Check Deficiency detected are raised on deficiency reporting form

. No. of deficiency reporting form raised Month wise

a. No. of deficiency reporting form closed Month wise

b. No. of deficiency detected Level I……. Level II……..

c. No. of deficiency pending > 1 month

d. No. of deficiency pending > 2 month

e. Intimation to the concerned 9. Check whether deficiency reporting form

reflects regulation reference of the finding 10. Check whether findings have been

properly classified as Level I / II 11. Check action taken on the Level I /

II finding 12. Check for the Quality of closure of

deficiencies reporting form by next level official.

13. Check the procedure followed for monitoring of findings which are open

14. Check for Surveillance Records 15. Check Enforcement Action Taken 16. Any additional observation/ area

covered during the audit

IV. Summary – Analysis / Synopsis of Surveillance Activity

Signature of Assessees Signature of Assessor

(Team Members) 1.

2.

3.

Rev. 1, 5th Jan. 2010 58


DIRECTOR GENERAL OF CIVIL AVIATION (APPENDIX ‘F’) TECHNICAL CENTRE, OPP. SAFDARJUNG AIRPORT

NEW DELHI – 110003

Sub: - Check list for Cross Regional Checks

I. Audit Composition 1. Name of Regional Office

2. Names of Surveillance Inspectors 1. 2. 3.

2. Area(s) under Surveillance

3. Date of Surveillance

II. Guidelines for conducting Audit 1. Intimation to the Office

Yes No

III. Items to be Audited 1. Check for any previous audit findings pending. 2.Check availability of ASP 2010 for the office 3. a. Check availability of Surveillance Procedure Manual ( SPM ) and familiarity of all concerned with the same. b. Check availability of

Directorate Procedure Manual. 4. Check availability of Enforcement

Manual, Circular and familiarity of all concerned with the same.

5. Check for the Procedure Manual for conducting Surveillance.

6. Availability of Database 7. Check Implementation of ASP 2010 a. No. of Surveillance Planned Month wise b. No. of Surveillance carried out

Month wise c. No. of Surveillance Pending Month

wise with reason and when scheduled

Rev. 1, 5th Jan. 2010 59


8. Check Deficiency detected are raised on deficiency reporting form a. No. of deficiency reporting

form raised Month wise b. No. of deficiency reporting

form closed Month wise c. No. of deficiency detected Level

I……. Level II…….. d. No. of deficiency pending > 1 month e. No. of deficiency pending > 2 month f. Intimation to the concerned

9. Check whether deficiency reporting form reflects regulation reference of the finding

10. Check whether findings have been

properly classified as Level I / II

11. Check action taken on the Level I / II finding

12. Check for the Quality of closure of deficiencies reporting form by next level official.

13. Check the procedure followed for

monitoring of findings which are open

14. Check for Surveillance Records 15. Check Enforcement Action Taken 16. Any additional observation/ area

covered during the audit


Signature of Assessees Signature of Assessor

(Team Members) 1. 2. 3.


Surveillance & Enforcement Division Surveillance Procedure Manual Rev. 5, 7th October 2015

61


(APPENDIX ‘G’)

DIRECTOR GENERAL OF CIVIL AVIATION TECHNICAL CENTRE, OPP.

SAFDARJUNG AIRPORT NEW DELHI – 110003

Sub: - Night Surveillance Checks

I. Audit Composition 1. Name of Regional Office

2. Names of Surveillance 1.

Inspectors 2. 3.3. Area(s) under Surveillance

4. Date of Surveillance

II. Guidelines for conducting Audit 1. Intimation to the Operator

Yes No

III. Items to be Audited 1. Check for sufficient manpower 2.Check validity of Licenses / certificates 3.Check for availability of Procedures / updated technical data, Tools / Equipments etc. 4.Check for adequacy of facility 5. Check for the roster. 6.Check for adequate lighting 7.Availability of Tools / Tool Kits 8.Check for use of Psychoactive Substances, alcohols etc. 9.Airworthiness / Operations Inspectors / Cabin Safety / Dangerous goods / Aerodrome Standards / Flight Standard Dte. / Air Safety to refer to the surveillance checklist for night surveillance as laid down in their procedure manual


Signature (Team Members)

1. 2. 3.


SURVEILLANCE PROCEDURES MANUAL - Directorate...

Documents

Transcript of SURVEILLANCE PROCEDURES MANUAL - Directorate...