Surveillance Procedure Manual

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
Dr. Nasim Zaidi

30th April, 2009 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

Pages 22A, 22B,
5 07th Oct 2015 22C, 22D SED
6 25th Oct 2017 Pages 11, 15 SED

Pages
12,13,14,15,17,19,23,27,
36,37,38,39,40,41,43,45,
7 18th May 2018 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

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
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
Directorate of of Directorate of of Aircraft
Space & of Flight
Air Safety Aerodrome Airworthiness
of Flying
Engineering
Navigation Standards Standards Training
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
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
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.

22B
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
22C
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.

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

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

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 of

continued oversight of operators, all Directorates / Regional offices are required to
carry out night surveillance inspections in their regions, sub-regions ensuring that
the 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
Total No. of Total No. of

Name of the Breakup of pending
Surveillance Surveillance Total deficiency detected Total deficiency Total deficiency
Operator /
targeted for conducted during (Number) corrected (Number) pending (Number)
deficiencies month wise Remarks
Organization (Number)
the month the month
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

Operator /
the month the month

Rev. 2, 18th May 2018 38

MONTH_______________
NON SCHEDULED OPERATORS

1 2 3 4 5 6 7 8

Operator /
the month the month

Rev. 2, 18th May 2018 39

MONTH_______________
STATE GOVERNMENT OPERATORS

1 2 3 4 5 6 7 8

Operator /
the month the month

Rev. 2, 18th May 2018 40

MONTH_______________
OTHER OPERATORS/ ORGANISATION

1 2 3 4 5 6 7 8

Operator /
the month the month

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
inspection /AMO / Aircraft
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

Breakup of pending
Name of the Surveillance Surveillance Total deficiency detected Total deficiency Total deficiency
Directorate targeted for conducted during (Number) corrected (Number) pending (Number)
(Number)
the month the month

Rev. 2, 18th May 2018 46

TABLE B1
MONTH_______________
SCHEDULED OPERATORS
1 2 3 4 5 6 7 8

Breakup of pending
(Number)
the month the month

Rev. 2, 18th May 2018 47

TABLE B2
MONTH_______________
NON SCHEDULED OPERATORS

1 2 3 4 5 6 7 8

Breakup of pending
(Number)
the month the month

Rev. 2, 18th May 2018 48

TABLE B3
MONTH_______________
STATE GOVERNMENT OPERATORS

1 2 3 4 5 6 7 8

Breakup of pending
(Number)
the month the month

Rev. 2, 18th May 2018 49

TABLE B4
MONTH_______________
OTHER OPERATORS/ ORGANISATION

1 2 3 4 5 6 7 8

Breakup of pending
(Number)
the month the month

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/

6. DATE OF AUDIT
SURVEILLANCE: 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

19. DATE
RESPONSIBLE 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 Check Remark
Check Remark
1 General condition Journey log book/ Technical log or C Aircraft condition
equivalent
2 Emergency exit 1 General external condition
21 Journey log book or equivalent
3 Equipment 2 Doors and hatches
22 Maintenance release
Documentation 3 Flight controls
23 Defect notification and rectification
4 Manuals (incl. Tech Log) 4 Wheels, tyres and brakes
5 Checklists 24 Pre-flight Inspection 5 Undercarriage, skids/ floats
6 Radio navigation charts 6 Wheel well
7 Minimum equipment list B Safety/Cabin

7 Powerplant and pylon
1 General internal condition
8 Certificate of registration 8 Fan blades
2 Cabin attendants station and crew
9 Noise certificate (where applicable) 9 Propellers, rotors (main/ tail)
rest area
10 AOC or equivalent 10 Obvious repairs
3 First aid kit/ emergency medical kit
11 Radio licence 11 Obvious unrepaired damage
4 Hand fire extinguishers
12 Certificate of Airworthiness (C of A) 12 Leakage
5 Life jackets/ flotation devices
6 Seat belt and seat condition

Flight Data 7 Emergency exit, lighting and D Cargo
13 Flight preparation marking, Torches
1 General condition of cargo
8 Slides/ Life-Rafts (as required), compartment
14 Weight and balance sheet
ELT
2 Dangerous goods
9 Oxygen Supply (Cabin crew and
passengers 3 Safety of cargo on board
Safety equipment
15 Hand fire extinguishers 10 Safety instructions
16 Life jackets/ flotation devices 11 Cabin crew members E General
17 Harness 12 Access to emergency exits 1 General
18 Oxygen equipment 13 Safety or passenger baggage
19 Flash light 14 Seat Capacity
Flight Crew
20 Flight crew licence

55
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
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.

60

61
(APPENDIX ‘G’)
DIRECTOR GENERAL OF CIVIL AVIATION TECHNICAL CENTRE, OPP.
SAFDARJUNG AIRPORT NEW DELHI – 110003
Sub: - Night Surveillance Checks

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.
Rev. 5, 7th October 2015 62

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Surveillance & Enforcement Division Surveillance Procedure Manual

Directorate General of Civil Aviation

Issued : April 2009

Rev. 1, 05th Jan 2010 1

Intentionally Left Blank

Rev. 1, 05th Jan 2010 2

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

Dr. Nasim Zaidi

Rev. 1, 05th Jan 2010 3

Intentionally Left Blank

Rev. 1, 05th Jan 2010 4

Rev. 5, 07th Oct. 2015 5

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

6 25th Oct 2017 Pages 11, 15 SED

Rev. 7, 18th May 2018 6

Intentionally Left Blank

Rev. 5, 7th October 2015 7

Rev. 1, 05th Jan. 2010 8

Intentionally Left Blank

Rev. 1, 05th Jan. 2010 9

Intentionally Left Blank

Rev. 1, 05th Jan. 2010 10

1.1 Surveillance Policy: -

Directorate of Air Transport.

Rev. 6, 25th Oct 2017

DGCA’s Regional/Sub Regional offices are located at Delhi, Mumbai, Kolkata,

In order to further strengthen and enhance the Safety oversight system a

1.2 Enforcement policy and procedures manual

Compliance and enforcement actions need to be applied as consistently as possible.

Rev. 2, 18th May 2018 12

SURVEILLANCE AND ENFORCEMENT DIVISION

2.1 Surveillance Division

2.2 Formation of Annual Surveillance Plan (ASP):-

ASP is formulated by the Regional offices/Directorates for the operators operating in

Rev 4, 18th May 2018 13

2.3 FUNCTIONS OF DIRECTORATES AT HEADQUARTERS – WITH RESPECT TO

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

1. Execution of regional surveillance plan as per ASP.

Rev.1, 18th May 2018 14

2.5 SURVEILLANCE PROCEDURE

2.6 Responsibility of the Officer(s) carrying out surveillance:-

b) Company procedures / manuals.

Rev 2, 18th May 2018

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

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

Rev 1, 5th Jan. 2010

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

Rev. 6, 18th May 2018

REPORTING CHANNELS OF SURVEILLANCE ACTIVITIES

Directorate Directorate Directorate

REGIONAL REGIONAL REGIONAL

Rev.6, 25th Oct 2017

Intentionally Left Blank

Rev 1, 18th May 2018

Intentionally Left Blank

Rev 1, 5th Jan. 2010

3.1 SURVEILLANCE OF FOREIGN AIRCRAFT (SOFA)

Further, paragraph 4.2.2.2 of ICAO Annex 6 (Operation of Aircraft, Part I –

3.1.1 Procedure for Inspection: