GOVERNMENT OF INDIA
OFFICE OF DIRECTOR GENERAL OF CIVIL AVIATION
TECHNICAL CENTRE, OPP SAFDARJUNG AIRPORT
NEW DELHI
Aerodrome Inspector’s Handbook
This Manual is for the use by DGCA officials involved in
Aerodrome Inspections
March 2011
PREFACE
The Aerodrome Inspectors Hand book has been prepared for use and
guidance of DGCA Aerodrome Inspectors in the performance of their duties with
respect to the surveillance inspections of aerodromes in India. Primarily it is a
handbook of “What”, “Why”, and “How”, tailor made for now and capable of
evolution. It will be a primary reference document for all inspectors in Directorate
of Aerodrome Standards. It covers the regulatory objectives of the DOAS.
All subject matters pertaining to Surveillance Inspections conducted by
Aerodrome Inspectors of DGCA, their duties, responsibilities, accountabilities
and procedures have been covered to the extent possible and also current tools
and mechanisms to meet the objectives and policies. Officers are expected to
use good judgement while dealing with the matters where specific guidance is
not available.
The Hand book will be updated from time to time based on
suggestions/inputs received.
E K Bharat Bhushan
Director General of Civil Aviation
24 March 2011
i
Record of Revisions
Revision No.
Date
Affected pages
Entered by
01
12.10.2015
63-65, 80,
108-118
Sudhir
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Aerodrome Inspectors Handbook
Content page
Sl.No.
Contents
Page No.
1.
Definitions
1
2.
Introduction
5
3.
Purpose of the Handbook
8
4.
Scope and structure of the handbook
8
5.
Regulatory Objectives
8
6.
Safety Regulatory Policy Statement
9
7.
Inspectors’ Responsibilities and Accountabilities
10
8.
Regulation activity/Safety Oversight with modified tools
12
9.
Appendices (1 to 9)
17-105
9.1 Appendix 1
Revised Inspection Checklist
17-41
9.2 Appendix 2
Suggested examples of Core and
themed focus for inspection areas
42-43
9.3 Appendix 3
Examples of Audit Style Questions
44-58
iii
Sl.No.
Contents
Page No.
9.4
Appendix 4
Outline of Inspection Techniques for
some Inspection Areas
59-76
9.5
Appendix 5
Suggested Format for Inspection
Report Form and Airports’ Action
Taken Reports.
77-79
9.6
Appendix 6
Minimal areas to be checked during a
complete cycle of initial to renewal
inspections
80-92
9.7
Appendix 7
Qualification, Experience, Skills, and
Attributes profile for technical staff
93-94
9.8
Appendix 8
Technical staff training syllabus,
including Aerodrome Inspector
95-100
9.9
Appendix 9
Types of Training Courses – module
numbers refer to the numbering in
Appendix 8
101-105
9.10
Appendix 10
Inspection Notification Letter – Draft
106-107
9.11
Appendix 11
Checklist for acceptance of Aerodrome
Manual
108-118
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Inspectors Handbook March / 2011
Definitions
Aerodrome Layout –in the context of Surface Movement Guidance and
Control Systems (SMGCS), from ICAO Doc 9830, Advanced Surface
Movement Guidance and Control System Manual (A-SMGCS).
Basic (B): An aerodrome with one runway, having one taxiway to one apron
area.
Simple (S): An aerodrome with one runway, having more than one taxiway to
one or more apron areas.
Complex (C): An aerodrome with more than one runway, having many
taxiways to one or more apron areas.
Compliance
The meeting of Civil Aviation Requirements (CAR), whether they are the
equivalent of ICAO Standards (shall) or Recommended Practices (should).
Compliance Checklist
A checklist, for which there is no specific DGCA form, to be developed by the
applicant/licensee, which shows if a specific CAR requirement is being met,
and if not the extent of non-compliance.
ICAO Critical Element
Elements of a State safety oversight system, the effective implementation of
which is an indication of a State’s capability for safety oversight
Hazard
A condition or an object with the potential to cause injuries to personnel,
damage to equipment or structures, loss of material, or reduction of ability to
perform a prescribed function (ICAO 9859, edition 2).
Hazard Log
A document containing:
 a description of each hazard, not only from change scenarios, but also
day-to-day activity;
 its consequences;
 the assessed likelihood and severity of the safety risks of the
consequences; and required safety risk controls, most usually mitigation
measures.
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Inspectors Handbook March / 2011
The hazard log will form part of the database on aircraft safety related
occurrences, incidents and accidents, and therefore part of the data used to
pro-actively formulate safety interventions (examples of hazard logs can be
found in the appendices to Chapter 5 of ICAO Doc 9859). The hazard log
should be updated as new hazards are identified and proposals for further
safety risk controls (i.e. further mitigation measures) are introduced.
Inspection
As well as being an umbrella term, as is Inspector, as a job title in the DGCA,
inspection is a mechanism that generally takes a snapshot by measurement
or counting of a physical characteristic, such as runway strip width or the
number of RFF vehicles. It is the more traditional way of undertaking safety
oversight (before safety oversight was a commonly used term in this context).
Level of Safety
The degree of safety of a system. It is an emerging property of the system,
which represents the quality of the system, safety-wise. It is expressed
through safety indicators. An acceptable level of safety is the level that is
acceptable as a minimum and that must be assured by a system in actual
practice.
Risk Management; more specifically safety risk assessment
A generic term that encompasses the assessment, mitigation and continued
review of the safety risks of consequences of hazards that threaten the
capabilities of an organisation, to a level As Low As Reasonably Practicable
(ALARP). Safety risk management is a key component of the safety
management process.
Safety Audit
Like inspection, audit is also a specific mechanism, but one that looks deeper
at processes for how something is used, or how a document meets a
requirement, rather than just a physical inspection.
Safety Assurance Report
A structured argument, supported by a body of evidence that provides a
compelling, understandable and valid case that change in a system/subsystem meets the service providers risk acceptability and change
management criteria for a given application in a given operating environment.
It is more than risk management, or even a safety assessment, as it includes
in its scope the outcomes of activities and assurances required by the change
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Inspectors Handbook March / 2011
management process, such as testing prior to entry-into- service. Depending
on the nature of the application and operating environment a safety case may
meet the requirement for a safety assurance report.
Safety Performance Indicators and targets
Safety indicators are the parameters that characterise and/or typify the level
of safety of a system; safety indicator value is the quantification of a safety
indicator and safety targets are the concrete objectives of the level of safety.
Safety review
Is the DOAS process to review a submission on a significant change in a
service provider’s operation, such the deployment of new technologies,
change or implementation of procedures, or in situations of a structural
change in operations. The process is an evaluation of the application of the
related safety and change management activities by the service provider.
Severity
The possible consequences of an unsafe event or condition.
Surface Movement Guidance Control System (SMGCS)
An SMGCS consists of the provision of guidance to, and control or regulation
of, all aircraft, ground vehicles and people on the movement area of an
aerodrome. For a more detailed description see ICAO Docs 9476 and 9830.
Tolerability
The concept of tolerating a level of risk that is higher than the licensee’s
acceptable threshold, on the basis that:

There are demonstrable benefits to travellers, users, and society, that
outweigh the safety risk level; providing that all of the following apply:

There has been a rigorous assessment of the risk, and it has been
signed off by the Accountable Executive.
The licensee can demonstrate that all mitigation measures have been
identified and implemented in order to reduce the safety risk level to
ALARP, at a cost that is reasonable and proportionate to the safety
risk.
That the subject safety risk level and the threshold levels of what is
acceptable and not acceptable are kept constantly under review by the
licensee.


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Inspectors Handbook March / 2011

The safety risk will be declared to affected parties in an appropriate
document.
Traffic Density (from ICAO Doc 9476, SMGCS Manual)
Defined as Light, Medium or Heavy, as measured in the mean busy hour:
Light: Not greater than 15 movements per runway or typically less than 20
total aerodrome movements.
Medium: Of the order of 16 to 25 movements per runway or typically between
20 to 35 total aerodrome movements.
Heavy: Of the order of 26 or more movements per runway or typically more
than 35 total aerodrome movements.
Visibility Condition
One of three visibilities (four if operations in visibility insufficient for the pilot to
taxi by visual guidance only, normally taken as an RVR of 75metres or less)
under which the aerodrome operator plans to maintain operations; see ICAO
Doc 9476, SMGCS Manual and Doc 9830, Advanced SMGCS Manual for the
definitions of these visibilities.
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Inspectors Handbook March / 2011
Introduction
As a member of ICAO, India has duties and responsibilities for regulating
aviation, including:
1. The effective and uniformly applied implementation and enforcement of
the safety-related Standards and Recommended Practices contained in
the Annexes to the Chicago Convention, as reflected in national
requirements.
2. The establishment of State acceptable levels of safety (ALoS).
3. Overseeing the performance of aviation safety within its own national
boundaries and for aviation services the output of which crosses into other
State boundaries, such as Indian registered airlines operating international
services.
Furthermore, the obligations on the State regulator requires the establishment of
comprehensive and effective regulatory activity, as part of a State Safety
Programme (SSP), in a similar way to service providers having obligations to
establish and implement an effective Safety Management System (SMS).
It is important to distinguish the responsibilities and roles that the regulator and
the service providers have in the area of operational safety. Day-to-day
management of operational safety and risks to safety is the responsibility of the
providers of the aviation services.
The State safety regulator has the responsibility for regulatory functions,
including “safety oversight”. ICAO has identified and defined the following critical
elements (CE) of a State’s safety oversight system:
CE-1. Primary aviation legislation. The provision of a comprehensive and
effective aviation law consistent with the environment and complexity of
the State’s aviation activity, and compliant with requirements contained
in The Convention on International Civil Aviation.
CE-2. Specific operating regulations. The provision of adequate
regulations to address, at a minimum, national requirements emanating
from the primary aviation legislation and providing for standardised
operational procedures, equipment, and infrastructures (including safety
management and training systems), in conformance with the Standards
and Recommended Practices (SARPs) contained in the Annexes to the
Convention on International Civil Aviation.
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Inspectors Handbook March / 2011
The term “regulations” is used in a generic sense to include but is not
limited to instructions, rules, edicts, directives, set of laws, requirements,
policies, and orders.
CE-3. State civil aviation system and safety oversight functions. The
establishment of a Civil Aviation Authority (CAA) and/or other relevant
authorities or government agencies, headed by a Chief Executive
Officer, supported by the appropriate and adequate technical and nontechnical staff and provided with adequate financial resources. The CAA
must have stated safety regulatory functions, objectives and safety
policies.
The term “State civil aviation system” is used in a generic sense to
include all authorities with aviation safety oversight responsibility which
may be established by the State as separate entities, such as: CAA,
Airport Authorities, Air Traffic Service Authorities, Accident and Incident
Investigation Authority, and Meteorological Authority.
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Inspectors Handbook March / 2011
CE-4. Technical personnel qualification and training. The establishment
of minimum knowledge and experience requirements for the technical
personnel performing safety oversight functions, and the provision of
appropriate training to maintain and enhance their competence at the
desired level. The training should include initial and recurrent (periodic)
training.
CE-5. Technical guidance, tools and the provision of safety critical
information. The provision of technical guidance (including processes
and procedures), tools (including facilities and equipment) and safety
critical information, as applicable, to the technical personnel to enable
them to perform their safety oversight functions in accordance with
established requirements and in a standardised manner. In addition, this
includes the provision of technical guidance by the oversight authority to
the aviation industry on the implementation of applicable regulations and
instructions.
CE-6. Licensing, certification, authorization and approval obligations.
The implementation of processes and procedures to ensure that
personnel and organisations performing an aviation activity meet the
established requirements before they are allowed to exercise the
privileges of a licence, certificate, authorisation and/or approval to
conduct the relevant aviation activity.
CE-7.Continued surveillance obligations. The implementation of
processes, such as inspections and audits, to proactively ensure that
aviation licence, certificate, authorisation and/or approval holders
continue to meet the established requirements and function at the level
of competency and safety required by the State to undertake an aviationrelated activity for which they have been licensed, certified, authorised
and/or approved to perform.
This includes the surveillance of
designated personnel who perform safety oversight functions on behalf
of the CAA.
CE-8. Resolution of safety concerns. The implementation of processes
and procedures to resolve identified deficiencies impacting aviation
safety, which may have been residing in the aviation system and have
been detected by the regulatory authority or other appropriate bodies.
This would include the ability to analyse safety deficiencies, forward
recommendations, support the resolution of identified deficiencies, as
well as take enforcement action when appropriate.
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Inspectors Handbook March / 2011
It is these (eight) critical elements that ICAO uses as an audit metric when
conducting its Safety Oversight Audit, including the formulation of its findings and
recommendations. The development of this handbook and the DGCA plan to
recruit more inspectors is in response to one of the findings of ICAO’s audit of
India.
Purpose of the Handbook
To meet the needs outlined in the introduction, but also to address future
development needs. In essence, it is a handbook of “what”, “why” and “how’;
tailor made for now, and capable of evolution. In its evolved form it should be a
primary reference document for all inspectors in DOAS.
Scope and structure of the handbook
This handbook covers the regulatory objectives of the Directorate of Aerodrome
Standards and are detailed in the next section.
After the sections on regulatory objectives, the DOAS safety policy statement
and inspectors responsibilities, there is a summary of current tools and
mechanisms to meet the objectives and policies.
The handbook then discusses the weaknesses and gaps prevailing in the current
oversight system, before suggesting modifications to the tools used, including
revisions to CAR Section 4, Series F. There are appendices, as listed in the
contents page.
Some sections are deliberately left to be developed, as part of the evolutionary
development.
Regulatory Objectives
To:
1. Assess airport service providers’ adherence to State guidance, and
compliance with national requirements.
2. Satisfy itself that airport service providers’ are:
a. Organizationally competent.
b. Implementing safety management systems to established plans.
c. Monitoring agreed safety performance targets and taking necessary
corrective actions.
3. Enforce licensing requirement, taking licensing action when necessary.
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Inspectors Handbook March / 2011
This is being achieved to the extent possible within the limitations of existing
tools by:
1. Ensuring that there is an appropriate legislative framework for airport
licensing and safety oversight/surveillance. This comprises a hierarchy of
legislative documents, starting with the Aircraft Act and Rules, expanded
upon in Civil Aviation Requirements (CARs) and supported by current and
future guidance in Advisory Circulars.
2. Establishing and implementing an effective and adequate system for:
a. The aerodrome licensing function, including initial and recurrent
licensing for:
i.
A new site.
ii. An existing airport.
b. The continued surveillance function, including:
i.
periodic and ad-hoc inspections; and
ii. airport infrastructure project and major
evaluation.
maintenance
3. Enforcement functions.
DOAS Safety Regulatory Policy Statement
1. Adopt a balanced approach to safety regulation and safety
oversight/surveillance, neither being passive and allowing service
providers to, in effect, self-regulate; nor dominating the service providers
and inhibiting their capability to meet their responsibilities (organisational
competence issue), including in the application of service providers’
SMSs. This should include the development of a policy on what DOAS
would be content to leave to the Licensee to resolve under their SMS.
2. Develop within the Directorate a positive safety and regulatory culture,
reflecting the expectations that the DGCA has of service providers, as
well as the expectations that ICAO has of the DGCA, as expressed in its
eight critical elements. DOAS will, therefore:
a. undertake an analysis of tasks and ensure that it has the
organisational capability and competence to carry out those tasks,
identifying and following-up on training and resource needs within
its functional area;
b. use its resources in the most effective and efficient way, in terms of
safety performance outcomes;
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Inspectors Handbook March / 2011
c. provide:
i.
technical guidance within its scope of activity to internal staff
and to those it regulates; and
ii. a legislative framework that is fit-for-purpose in its scope,
format and content.
3. To apply the regulatory legislation
mechanisms in the following way:
and
appropriate
regulatory
a. in a uniform and standardized manner, without fear or favour;
b. transparently and reasonably;
c. with regulatory resolve where that is necessary in order to ensure
that safety is not compromised; and
d. whilst not allowing safety oversight activity to reduce, direct the
appropriate resource to the appropriate levels of safety risk.
4. To pursue, in collaboration with licensees1, its safety objective of
developing the safety environment and resolving safety-concerns at
Indian airports by:
a. Requiring
full
compliance
for
new,
upgraded
or
replacement/refurbishment infrastructure projects.
For noncompliances that are the subject of exemptions these should be
reviewed for potential correction when there are such infrastructure
projects or major maintenance programmes. Exemptions that are
the result of historical legacies will be considered, with appropriate
supporting documentation and evidence.
b. Capturing safety-critical occurrence data from world-wide, national
and service provider sources, in order to:
i.
identify safety trends applicable to Indian aviation; and
ii. focus regulatory effort on the most significant safety concerns.
c. Regularly reviewing safety regulations and guidance to ensure that
they remain “fit for purpose”.
d. Driving continuous improvements in aviation safety by using
performance based, as well as administrative mechanisms.
DOAS Inspectors’ Responsibilities and Accountabilities2
1. To adhere to the DGCA policies, processes and procedures, including
those relating to:
1
2
It is not possible for the regulator or the service providers to achieve this objective on their own, and
collaborating while maintaining regulatory distance should also build trust and encourage licensees to
regard the DGCA as a contributor to safety.
See Appendix 1 for Inspector experience, qualification and personal attribute profile.
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Inspectors Handbook March / 2011
a.
b.
c.
d.
the evaluation of License applications;
safety inspection and auditing (including documentation);
the identification and follow-up on safety concerns;
airport infrastructure and major maintenance programme
evaluation; and
e. enforcement.
2. To remind license applicants and holders of:
a. their obligations when necessary;
b. advise them where and when non-compliance could lead to
enforcement action or delays in responding to license applications;
and
c. recommend enforcement action to senior management when
necessary.
3. Assisting licensees to the extent possible and appropriate, as part of
collaborative working, but avoiding undertaking tasks that are more
appropriately those of the licensee. For example, in relation to a noncompliance observation, suggesting action for consideration but not going
further by offering absolute and worked-up solutions, as that is the
responsibility and task of a licensee. If the licensee is not able to
determine the necessary action themselves it may raise a question about
their organisational competence3.
4. To ensure that they maintain their personal competence, advising DOAS
management if recurrent or specialist training should be considered.
5. To bring to management’s notice any shortfall of the regulatory
mechanisms, with constructive suggestions for more effective working.
6. Subject to appropriate competence and training, undertake tasks set by
senior management.
7. To exercise due care for equipment and tools which they have been
issued by DOAS for their use in the office or on-site, and bring to
management’s attention any that are suspected of being inaccurate and in
need of certified calibration.
Inspectors’ authorities
1. Aerodrome Inspectors have the authority to inspect the aerodrome.
2. After inspection, a report will be submitted to DGCA Headquarters and the
concerned aerodrome along with the observations, Non-compliances of
3
An issue of appropriate roles and effective use of DGCA resource.
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Inspectors Handbook March / 2011
CAR regulations. The observations are to be briefed to the aerodrome
management for initiating corrective action.
3. The Level-1 findings is any significant non-compliance with the applicable
requirement which lowers the safety standard and hazards seriously the
flight safety shall be addressed immediately and intimated to the
respective DGCA office for follow up.
Regulation activity/Safety Oversight with modified tools
The following are the protocols to follow for all regulatory inspections.
Inspection and Audit - As well as inspection being an umbrella term, it is the
process for a physical inspection, generally by counting, measuring and
observation confirming by checklist the existence of an aspect of the facility –
the “what”, whereas audit gets behind the “what” of these aspects to probe
the “how” – how they are used, how effective they are etc.
Both of these techniques will employ observation, not only of
equipment/facilities but also of activities and procedures. Observation is one
of the primary sources of evidence that an aerodrome is conforming, not only
to national rules/regulation, but also to company SOPs. Evidence is essential
in supporting a finding.
A risk assessment - A risk assessment, as part of risk management, is a
process to determine if a particular risk is within the limits of the service
provider’s acceptability or tolerability criteria. A Safety Assurance Report
includes a specific application of risk assessment and is defined at the
beginning of this document.
Inspection/Audit protocols:
1. Inspector behavior and regulatory approach:The expected attitude, approach and demeanor of DOAS Inspectors are
largely summed up in the sections on the DOAS Policy statement and the
Inspectors responsibilities and accountabilities.
2. Focus for and areas of priority for the different types of inspection using a
common checklist:The check-list in Appendix 1 has been drafted to be more readable, with
inspection areas grouped into themed or domain areas:
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Inspectors Handbook March / 2011
a. in order to present the scope of the inspection into infrastructure
and functional areas, including the areas of greater safety-risk
consequences;
b. in such a way that the checklist can be used for all types of
inspection; and
c. in a format that can potentially be considered for additional use as
the inspection report.
For an initial inspection it would normally be the case for all the areas to
be covered. For the interim annual surveillance the inspection areas
should be focused in the areas that:




are at the time presenting the greatest threats to safety, or that are
expected to present such threats during the following year;
have been the subject of new or revised requirements;
are the subject of corrective action; and
may need previous conclusions or evaluations to be re-validated.
For the renewal inspection the expectation would be for all areas to be
covered, but not necessarily to the same degree, and with the emphasis
on the core areas and those not covered in the interim annual inspection.
Finally for a new site the checklist can be used to focus on areas that give
an overall picture of the feasibility for the site to be suitable for an airport,
including:




Weather aspects.
Land levels re runway slopes.
RFF aspects outside potential boundary, particularly in the 1000
metre areas.
Environment buildings, water table (drainage aspects), light
pollution and potential for distraction, and wildlife.
The checklist in Appendix 1 shows nominal inspection areas for the
various types of inspection, and Appendix 2 gives suggestions for
alternative core and themed areas.
3. Stages in the inspection process:
a. Pre-inspection preparation:-
13
i.
Determine the inspection team and appoint a team leader.
ii.
For the interim (surveillance) or the renewal inspections
determine the intended scope of the inspection, i.e. the
themed/domain areas (see introductory box of the checklist
in Appendix 1, Appendix 2 for more on this).
Inspectors Handbook March / 2011
iii.
Tailor the inspection checklist for the team make-up and the
selected areas of inspection.
iv.
Audits of documents, including:




AM, including AEP and SMS.
AIP entries, including exemptions and “Hot Spot” chart.
Pre-inspection documents from the airport, as required
by the revised Series F CAR and Attachment.
Those relevant to the intended inspection areas.
v.
Following the document audit, determine suitable initial highlevel audit questions for the planned audit areas.
vi.
Pre-inspection DOAS notification to the airport (having first
revised the standard pre-inspection letter as necessary, in
order for the inspector to ask for additional documents to be
made available either before the inspection or for the
inspection). The letter should indicate:

Any additional documentation that should be sent to
DOAS before the inspection, or to be made available
from the beginning of the inspection.

The intended areas to be visited and indicative timings
for the inspection schedule, with the caveat that
depending on inspection observations other areas may
be included and some of the planned areas dropped.

The people the inspector would like to meet.

System elements that the inspector may require to be
demonstrated.
An indicative draft for a letter is at Appendix 10.
b. Pre-inspection on-site briefing:-
14
i.
Framework and schedule for the inspection, covering issues
that may have arisen from the office-based document audit,
as well as pre-knowledge, e.g. non-adherence to a
corrective action plan.
ii.
Confirmation of:

the planned scope of the inspection, with the comment
that other areas may need to be included, depending on
observations;

additional documents that will be required;
Inspectors Handbook March / 2011
iii.
iv.
v.

the people the inspector would like to meet, with the
comment that other people may need to be included,
depending on observations; and

areas of inspection where a demonstration or test of
facilities may be required, where operational demands
may need to taken into account, and some prearrangement is required, e.g. a test of water hydrants or
RFF vehicle systems,
The intention to notify as soon as possible, either during the
pre-brief or during the inspection of:

significant findings that require immediate action for
operations to continue;

findings that will require an action plan for a specific
issue, such as a non-compliance; and

additional people requested to be at the de-brief.
Invitation to the applicant or licensee to:

Advise the inspector of any non-compliances that have
been identified by the applicant or licensee and not
previously declared to the DGCA.

Brief the inspector on new W.I. P areas and significant
changes in activity since the last inspection or stage in an
application for a license.
Expectations at the end of the inspection; this will include
corrective action plans for any findings requiring them, to be
proposed by the applicant or licensees and agreed by the
DGCA, before the inspector leaves the airport. The action
plan will need to be signed by the Accountable Executive, or
a person authorized to sign on his behalf (Accountable
Executive still retains the accountability), as well as the
DGCA inspection team leader.
c. The on-site inspection, following the pre-brief:Basically the implementation of the inspection plan that developed
from the pre-inspection preparation, modified as necessary by the
outcome of the pre-inspection on-site briefing, and the observations
and findings as the inspection progresses.
During the interviews, and site-visits – be they physical inspection
or observation based (of an SOP, for example) - the inspectors
should look for evidence that what was said or written to be done is
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Inspectors Handbook March / 2011
actually done during the day-to-day operation, for example results
of the airport’s internal monitoring and auditing of SOPs. See also
Appendix 4, outline of inspection techniques for some selected
inspection areas.
Before the post-inspection briefing the inspection team shall have
an internal meeting to agree and write-up the results, and to advise
the applicant or licensee of the people the inspection team would
like to be present at the de-brief.
d. Post-inspection briefing:i.
the observations and findings, together with supporting
evidence; and
ii.
expectations by DGCA of action by the applicant or licensee;
iii.
signing off by the applicant/Licensee and DGCA of the
corrective action plan, as required.
e. Enforcement and Follow-up: -
16
i.
Identify non-compliances with Rules or CARs, and request
(in the demand sense), and in accordance with the
procedures in the Enforcement Manual, a corrective action
plan, to be signed off on the inspection report.
ii.
For a Licensee that does not accept i) above continued Noncompliances with the Rules or CARs may attract action in
the form of warning penalties, operational restrictions or
licence suspension. If action under the Enforcement Manual
provisions is initiated the Licensee will be given the
opportunity of a hearing, unless there is an immediate safety
concern or threat to safety, in which case inspectors should
contact the Director of Aerodrome Standards.
iii.
Dependent on the outcome of the hearing action deemed
appropriate will be taken.
Inspectors Handbook March / 2011
Appendix1
Inspection Checklist and Report
AERODROME STANDARDS DIRECTORATE
INSPECTION CHECK LIST - TO BE USED FOR ALL INSPECTIONS, AS INDICATED IN THE PROTOCOLS
Notes:
1. Deficiencies are to be noted as a finding, quoting the legislative reference of CAR and/or guidance material.
The level of finding, Level I or Level II, shall be indicated for the each observation. Level 1 and 2 are defined
as4:
Level 1 – Any significant non-compliance with the applicable requirement which lowers the safety standard,
thus compromising flight safety.
Level 2 - Any non-compliance with the applicable requirement which could lower the safety standard, and
possibly compromises flight safety.
2. For audit Areas that the DGCA inspector cannot confirm without specialist information or knowledge, they
will need to be confirmed by the applicant, with supporting evidence as appropriate. For example:
 That the number of runways, and their orientation and length/width provisions meet/will the Operational
Objective for the aircraft and traffic level that they are intended to serve.
 The accuracy of promulgated data are to the accuracies required in CAR Series B.
4
Modified from the definitions in the DGCA Enforcement Circular 1/2009 to address the issue of the licensee challenging and wanting an objective assessment.
17
Inspectors Handbook March / 2011
NAME OF AERODROME:
DECLARED TRAFFIC DENSITY, VISIBILITY
CONDITION AND AERODROME LAYOUT –
(Refer to ICAO Docs 9476, SMGCS and
9830, Advanced SMGCS)
DATE AND TYPE OF INSPECTION:
18
TRAFFIC
DENSITY
VISIBILITY
CONDITION
AERODROME
LAYOUT
DATE:
TYPE:
Inspectors Handbook March / 2011
AREAS FOR INSPECTION – GROUPED BY
OVERALL FUNCTION, AS A SYSTEM, OR
AREA OF ACTIVITY/POTENTIAL HAZARD
LEGISLATION OR
GUIDANCE
REFERENCE
NOMINAL INSPECTION AREAS
Year 2
Year 3
(Surveillan
(Renew
ce)
al)
All
Suggested
New
Areas
Area
Areas
Site
not
s
for DOAS to covered
consider/rev in Year 2
ise
All of A
To be
B viii
filled in
when
Year 2
determi
ned
Bi
E vii
D i, ii & iii
G ii
F, any
J xi
element
needing
change due
traffic or
that has
been subject
to W.I.P
RULE, CAR, AC,
OR ICAO.
Year 1
(Initial
)
19
LEVEL
FINDINGS
Inspectors Handbook March / 2011
G
I i, ii & iii
J i – review
against
traffic
changes, v
& vi
K
M
20
Li
N iii
P
Inspectors Handbook March / 2011
A
AERODROME MANAGEMENT
SYSTEMS, MANUALS AND
PROCEDURES AS PART OF THE
AERODROME MANUAL
A.1
.
AERODROME INFORMATION AND
DATA
i
Overall quality of the manual and
document control aspects (including
document maintenance and change
control). Adequacy and accuracy of
Information in parts A, B, C, and Parts 1,
2, and 3, including:
 date of latest revisions (to check with
those in use at the airport);
 exemption details (also check AIP
entry);
 operational restrictions, if any (also
check AIP entry – Exemption
Procedure for non-compliances 2006,
paragraph 4.5 refer) and
 aeronautical information (text and
charts, such as the Aerodrome layout
Chart and Type A and B charts).
.
21
LEGISLATION OR
GUIDANCE
REFERENCE
RULE, CAR, AC OR
ICAO.
CAR Series B, Part
1, paragraph 1.4.4.
AD AC No 1 2006
Exemption
Procedure for noncompliances 2006
Due to the
importance of
promulgated data
meeting the
accuracies required
in the CARs, any
concerns in this
area need to be
FINDINGS
LEVEL
Inspectors Handbook March / 2011
probed with the
licensee through
audit style questions
and requests for
“show me” evidence
to support
compliance
statements.
A.
2
PROCEDURES
i
Promulgation of revision to information in
the AIP or to issue a NOTAM (check
current NOTAMS)
ii
For Access Airside
iii
Self Inspection by the Licensee, including:
(Document audit to check for existence
and fitness for purpose; sample the
outputs and follow-up during the field
inspection, as felt necessary)
 the movement area;
Rule 81
and/or AD AC No 1
2006 and CAR
Series B, Part 1V,
paragraph 2.13
Rule 81
and or AD AC No 1
2006
 obstacle limitation surfaces;
 visual aids;
Plus (New) SMS
CAR No ??
 electrical system; and
 provision of Equipment for selfinspection task (AD AC 3 2009)
22
Plus CARs such as
Series B, 9.5.7
Inspectors Handbook March / 2011
iv
Movement Area Maintenance
v
Safety during construction/Works-inProgress (W.I.P)
vi
Obstacle Control Procedure, including
surveys
vii
Low Visibility Procedure
viii
Coordination between ATM and
Aerodrome Operations
ix
Apron Management, including Safety
Management
x
Airside Vehicle Control
xi
xii
Procedures associated with an AOCC
Wildlife Hazard Management
xiii
Disabled Aircraft Removal
xiv
Handling of Hazardous Material
xv
Protection of Navigation Aids
xvi
Reporting of occurrences and data
analysis and usage
23
Rule 81
CAR Series B, 9.3
to 9.11
and/or AD AC No 1
2006
Plus CAR Series B,
Attachment A,
section 13
Rule 81
CAR Series B, 9.3
to 9.11
and/or :
 AD AC No 1
2006
 Rule 133A
Rule 81
CAR Series B, 9.3
to 9.11
and/or AD AC No 1
2006
Plus CAR Series B,
Attachment A,
section 18
Plus ICAO Doc
9137, Part 8
New SMS CAR N#
Inspectors Handbook March / 2011
xvii
Promulgating safety critical information,
including that for the AIP, such as “Hot
Spots” , and NOTAMS
CAR Series X, Part
1V, paragraph 8
xviii
Other airport specific operational
requirements, such as that for movements
of military aircraft
Good Accepted
Practice
A.
3
SAFETY MANAGEMENT MANUAL
i
Audit some of A.1.4 against the requested
pre-inspection documentation, e.g.
progress against the agreed safety
performance indicators and targets.
Output and actions from System
Description and Gap Analysis
ii
Safety Policy and Objectives
iii
Accountable Executive and Safety
Manager
iv
SMS Implementation Plan and record of
compliance/progress
v
Risk Management Process, comprising:
 hazard Identification; and
 risk assessment, including the existence
of and reference to the Hazard Log.
24
New SMS CAR No
AD AC No #
Organisational
Competence
Licensee’s
Implementation Plan
Inspectors Handbook March / 2011
vi
Safety Assurance, comprising:
 safety performance monitoring and
measurement;
 management of change; and
 continuous improvement of the SMS.
vii
Safety Promotion, comprising:
 training and education; and
 safety communication.
viii
A.
4
i
Level of compliance of SMS – review
the latest audit by the Licensee of his
SMS.
AERODROME EMERGENCY PLAN
(AEP)
Establishment of an aerodrome
emergency committee.
25
Rule 81 and AD AC
N# 1 2006
Good practice –
ICAO Doc 9774
Paragraph 4.3
Inspectors Handbook March / 2011
ii
Scope of Plan:
 the various emergency situations,
including unlawful seizure and bomb
threat;
 procedures to transit from normal
operations to abnormal operations to
normal operations; and
 frequency and scale of drills, tests and
emergency exercises (Full Scale and
Table Top);
iii
Policy and procedure to appointment of
the on-scene commander
iv
Communication plan for all stakeholders.
v
Arrangements for evaluating the outputs
from drills and exercises.
A.5
SAFETY COMMITTEES AND SAFETY
TEAMS
CAR Series B, 9.1
Rule 81 and AD AC
N# 1 2006
Rule 81-SMS
(as well as checking for establishment,
check that they are meeting as planned
and following–up on agreed actions)
i
ii
iii
Aerodrome Safety Committee (licensee
and stakeholder membership).
Safety Review Board (SRB) and Safety
Action Group (SAG).
Aerodrome Environmental Management
26
Rule 81-SMS
Inspectors Handbook March / 2011
Committee – Action Items and Correction
of
iv
Runway Safety Team
v
Apron Safety team
B
RUNWAY AND ENVIRONS – Check if
there is a walking inspection being done
during the inspection; if so it is an
opportunity to physically inspect some of
the following areas/elements
i
Runway and shoulder surface condition
Runway friction
Rubber removal
ii
Slopes
iii
Drainage
iv
Strips - size, surface, strength and
obstructions/depressions/trenches
v
Separation distances
vi
RESAs – size, surface, strength and
27
CAR Section 4
Series X
Good practice
CAR Series B,
3.1.22 to 3.26 and
3.2
Plus CAR Series B,
Attachment A,
section 5, 6 and 7
CAR Series B, 3.2.4
Plus CAR Series B,
Attachment A,
section 4
CAR Series B,
3.1.19
CAR Series B, 3.4
Plus CAR Series B,
Attachment A,
section 8
CAR Series B, 3.1.
11 to 3.1.12
CAR Series B, 3.5
Inspectors Handbook March / 2011
obstructions/depressions/trenches
vii
viii
Plus CAR Series B,
Attachment A,
section 9
Protection/Demarcation of localizer & glide CAR Sec 9
path sensitive/critical areas
reflecting Annex 10.
Vol 1, Attachments
C and G
Runway orientation, prevailing wind and
CAR, Section 4,
runway usage
Series B
3.1
Plus CAR Series B,
Attachment A,
section 1
ICAO Airport
Planning Doc 9184,
Parts 1-3
ICAO Design
Manual, Part 1
C
TAXIWAYS AND INTERFACES
i
Surface condition
ii
CAR, Section 4,
Series B, 3.9.14/15
Width – any changes in need or provision? CAR, Section 4,
Series B,
3.9.5
iii
Separation distances
28
CAR, Section 4,
Series B
3.9.8
Inspectors Handbook March / 2011
iv
Strips - size, surface, strength and
obstructions/depressions/trenches
v
Slopes
vi
Drainage
vii
Route designations
CAR, Section 4,
Series B,
2.5.1 and
5.4.3.35/36
ICAO Doc 9476,
Table 2-3
viii
Hot Spots
CAR, Section 4,
Series X, Part IV, 8
e)
D
APRON AREAS
i
Surface condition
ii
FOD and waste collection system
iii
Visual markings -break away point, edge
,vehicular lane, taxi lane, safety line,
equipment parking area etc.
29
CAR, Section 4,
Series B, 3.11
CAR, Section 4,
Series B,
3.13.1
CAR Series B, 9.4.3
and 9.4.4
Plus ICAO Doc
9137 Part 8,
10.6.1.1 and 10.6.3
CAR Series B,
5.2.14
Plus ICAO Doc
9157, Part 4
Inspectors Handbook March / 2011
iv
Illumination
30
CAR Series B,
5.3.23 and 25
Plus ICAO Doc
9157, Part 4
Inspectors Handbook March / 2011
v
Parking stand
identification/coordinates/docking system
– PAPA, AGNIS/VDGIS/Aerobridge etc.
CAR Series B,
5.3.24
vi
Equipment parking area
vii
Other mandatory or information signage
viii
Stand clearances
ix
Apron services/Management?
ICAO Doc 9137,
Party 8, 10.6
CAR Series B, 9.5
Section 4, Series B
5.4.2,5.4.3
Section 4, Series B
3.13.6
Section 4, Series B
ICAO Doc 9137 part
8,
Ch 10
E
VISUAL NAVIGATION AIDS
i
PAPI
ii
Approach lighting
iii
Runway lighting - THR, END, TDZ, EDGE, CAR Series B, 5.3.6
C/L, RETIL
to 5.3.15
iv
Runway marking - TDZ, aiming point, THR CAR Series B, 5.2
C/L Side strip, Designation, RET/ taxiway
links etc
v
Obstruction lighting
31
CAR Series B,
5.3.5, plus CAR
Series B,
Attachment A,
section 12
CAR Series B, 5.3.4
CAR, Section 4,
Inspectors Handbook March / 2011
vi
Lighting of restricted or unserviceable
areas
vii
For an existing aerodrome seek ATC
opinion re the presence of any light
pollution issues.
For a new site or apron layout change any potential distracting/conflicting lighting
issues
F
MANOEUVRING AREA SURFACE
MOVEMENT GUIDANCE AND
CONTROL SYSTEM (SMGCS or
ADVANCED SMGCS {A-SMGCS});
ALL APPROPRIATE TO THE VISIBILITY
CONDITION, TRAFFIC DENSITY AND
AERODROME LAYOUT DECLARED BY
THE APPLICANT/LICENSEE - SEE
ICAO Doc 9476 SMGCS Manual and
Doc 9830, Advanced SMGCS
32
Series B
paragraph 6.1 and
6.3
CAR, Section 4,
Series B paragraph
7.1 to 7.4 and
paragraph 13 of
Attachment A
CAR Series B
5.3.1,
CAR, Section 4,
Series B
1.6
ICAO Planning
Manual, Doc 9184,
Parts 1-3
Inspectors Handbook March / 2011
F.1
AIRCRAFT AND VEHICULAR USE
i
Marking - mandatory
ii
Markings - informative
iii
Signage - mandatory
iv
Signage - informative
v
Lighting
vi
Procedures
vii
Obs. lights of obstructions/obstacles
F.2
CAR Series B,
5.2.1, 5.2.3, 5.2.8,
5.2.10, 5.2.11,
5.2.14, 5.2.16,
CAR Series B,
5.2.17
CAR Series B,
5.4.1, 5.4.2
CAR Series B,
5.4.1, 5.4.3
CAR Series B,
5.3.16, 5.3.17,
5.3.19, 5.3.20,
5.3.22, 5.3.25
See A.2 vii.
ICAO Doc 9137,
Part 8, Chapter 19
CAR Series B, 9.5.4
to 9.5.6
See E
VEHICULAR USE ONLY
i
movement area road marking
ii
movement area road signs
iii
movement area road lighting
33
CAR Series B,
5.2.15.1 to 5.2.15.3
ICAO Doc 9157,
Part 4
CAR Series B,
5.4.7.1 to 5.4.7.5
CAR Series B,
Inspectors Handbook March / 2011
5.3.26. to 5.3.25.7
iv
normal and emergency access routes
G
OBSTACLE ENVIRONMENT
i
For an existing airport:
a. Office based:
 The date of the last survey and that it
complied with procedures - see A. 1.3.
iv.
 Obstructions on the Type A and B
charts reflect the latest survey heights
b. Airside, sample check on a recent
building structure with the clino-meter
(coarse check).
ICAO Doc 9137,
Part 8
For a new site:
CAR, Section 4,
Series B
1.6
ii
 AEMC Issues, including potential
environmental and operational safety
issues/conflicts
 Survey data, in the context of the
operational objective.
34
CAR Series B,
9.2.26 to 9.2.28
No survey
periodicity
requirement, but
good practice, and
implied in relevant
requirements,
including CAR,
Series B, 4.1 to 4.4,
The Aircraft Act
1934 Section 9, as
well as Annex 15
Chapter 10 and
CAR equivalent
ICAO Service
Manual Doc 9137,
Parts 3 and 6
ICAO Planning
Manual, Doc 9184,
Inspectors Handbook March / 2011
Parts 1-3
H
OTHER OPERATIONAL
AREAS/FEATURES
i
Boundary wall/fence/security
CAR Series B, 9.10
ii
Signal square/wind direction indicator
iii
Cooling off pit
CAR Series B,
Attachment A,
section 16
BCAS requirement
iv
Isolation parking stand
I
i
WILDLIFE MANAGEMENT
Knowledge of the specific hazards at the
airport
ii
Actions to meet the hazards
iii
Level of Manpower
J
RESCUE FIRE-FIGHTING (RFF)
i
Category
35
CAR, Section 4,
Series B para 3.14
CAR, Series B,
9.4.1 to 9.4.4
ICAO Doc 9137,
Part 3
CAR, Series B,
9.4.3 and 9.4.4
ICAO Doc 9137,
Part 8 Chapter 9
ICAO Doc 9137,
Part 3
CAR Sec 4 Series F
CAR Series B, 9.2.4
to 9.2.7
Plus CAR Series B,
Attachment A,
section 17
Inspectors Handbook March / 2011
ii
Equipment for rescue & fire fighting
iii
Extinguishing agents
iv
SOPs
v
Watch and overall staff complement
36
CAR Series B,
9.2.20 and 9.2.38
CAR Series B,
Attachment A,
section 17
ICAO Doc 9137,
Part 1
And Part 8, 17.1.2
CAR Series B, 9.2.8
to 9.2.19
AD AC1
ICAO Doc 9137, 1.5
b).
Implied by all
requirements,
including Aircraft
Rules 81 (2), as well
as being Good
Practice
CAR Series B,
9.2.36 and 9.2.37
ICAO Doc 9137,
Part 8, 17.4
Inspectors Handbook March / 2011
vi
Training
vii
Communication systems
viii
Rescue resources - water storage
ix
Hydrant system or other supplementary
water supplies
x
Grid map
xi
Crash Gates, Rendezvous points and
1000 meter access
xii
Response times
37
CAR Series B,
9.234 and 9.2.35
Plus CAR Series B,
Attachment A,
section 17
ICAO Doc 9137,
Part 8 17.6.1 to
17.6.4
Plus CAR Series B,
Attachment A,
section 17
Plus CAR Series B,
Attachment A,
section 17
CAR Series B,
9.2.14
ICAO Doc 9137
17.7.2
CAR Series B, 9.1.5
ICAO Doc 9137,
Part 7, Chapter 7
CAR, Section 4,
Series B
9.2.26 to 28
CAR, Section 4,
Series B
9.2.21 to 24
Inspectors Handbook March / 2011
xiii
Maintenance of RFF equipment
xiv
Maintenance of records( log books,
vehicle, drill etc)
K
AERODROME MAINTENANCE
i
Maintenance Programme, General –
existence and application
CAR, Section 4,
Series B,10.1
ii
Maintenance Programme, Pavement –
existence and application
iii
Maintenance Programme, Visual Aids –
existence and application
CAR, Section 4,
Series B
10.2, and 10.3 if
applicable
CAR, Section 4,
Series B,10.4
L
ELECTRICAL POWER SERVICES
i
Primary Power Supply, including primary
and secondary supplies, as well as
compliance with switch over times
ii
System Design Compliance
38
CAR, Section 4,
Series B, 9.2.25
Aircraft Rule 81(2)
(d)
CAR, Section 4,
Series B
8.1
ICAO Design
Manual, Doc 9157,
Part 5
ICAO Annex 10, Vol
1, Chapter 2.
CAR, Section 4,
Series B
8.2
ICAO Design
Manual, Doc 9157,
Part 5
Inspectors Handbook March / 2011
iii
Monitoring System Established and
Implemented
M
N
ORGANISATIONAL COMPETENCE
ATS INTERFACE AREAS
i
Harmonization of SMS requirements, to
meet the license’s SMS requirements
ii
Coordination of ATS and aerodrome
ground procedures, including appropriate
areas of A.2
As A.2, plus ICAO
Doc 9137, 10.4.1
iii
For a new site the following will need to be
considered at some stage in the
evaluation for licensing:
 ATM Airspace issues, in relation to:
 Any adjacent civil aerodromes.
 Any adjacent military aerodromes.
 Danger areas or restricted/prohibited
airspace.
 Proximity of existing or proposed
structures that may create a conflict with
planned navigation aids, radars or
communication systems at the proposed
aerodrome.
CAR, Section 4,
Series B
1.6
39
CAR, Section 4,
Series B 8.3
ICAO Design
Manual, Doc 9157,
Part 5
ICAO Doc 9476,
Table 2-3
ICAO Planning
Manual
Parts 1-3
Inspectors Handbook March / 2011
O
IMPRESSIONS ON OVERALL
CONDITION AND OPERATION: No
observation, or Potential area for a
safety concern - N or P)
i
Surface of the movement area
ii
General cleanliness of areas outside the
runway and taxiway strips (drains,
electrical inspection pits etc)
iii
Safety behaviour airside
iv
Driver discipline
P
ANY OTHER AREA OBSERVATION or
remarks (With CAR or Guidance Ref)
Subjective but important, give examples to support
DOCUMENTS REVIEWED
In the DGCA Office
1. The Aerodrome Manual
2. zzz
At the Airport
1. xxx
2. yyy
AIRPORT STAFF SPOKEN TO OR INTERVIEWED, WITH JOB TITLES,
By telephone during office preparation or at the pre
and post briefs
1. XXX
2. YYY
40
During the on-site inspection/audit
1. WWWW
2. ZZZZ
Might
be
exampl
es of
the
propos
ed
Level
III
Findin
gs
Inspectors Handbook March / 2011
POST INSPECTION REPORT AND ACTION PLAN
FINDING
Inspectio
n
checklist
referenc
e & Level
of
Finding
Brief Description
AGREED ACTION BY THE
LICENSEE/APPLICANT
AGREED
DATE TO
BE
COMPLET
ED
PERSON
RESPONSIBLE
FOR COMPLETING
THE ACTION
Other comments by DGCA inspection team:
SIGNATURE OF AIRPORT ACCOUNTABLE EXECUTIVE SIGNATURE OF INSPECTION TEAM LEADER:
OR PERSON TO SIGN OF BEHALF OF
(ACCOUNTABLE EXECUTIVE STILL RETAINS THE
ACCOUNTABILITY):
41
Inspectors Handbook March / 2011
Appendix 2
Thoughts on Core and Themed focus of Inspection Areas
For Development of the Handbook
These core and themed areas are offered as further suggestions to those already incorporated in the inspection checklist.
They must be considered and decided upon by DOAS before application. The rationale for scope of the core and themed
areas should be included in any promulgation to staff and stake-holders .
Core areas
both year 1 and year 2
(these are only suggested
examples)
SMS implementation
progress, including
 safety performance against
agreed criteria;
 knowledge on weak/strong
areas, and
 most significant risks to
safety.
Output of airports inspection
process, including what was
found and what are the followups to findings.
Progress on non-compliance
correction
42
Areas for Inspection and audit
Themed areas (examples)
Year 1
Year 2
Mid-term Inspection
Renewal Inspection
RFFS
Airport maintenance
These could be reversed in order to include observation or desk
evaluation of a major exercise
All aspects of SMGCS
Apron Mgt
Physical check of a selected
area, from:
 OCLs
 Taxiways
Preparation for seasonal weather
change affect on operations,
including review of hazards
Remarks
Inspectors Handbook March / 2011
 Apron pavements
 Drainage
 AGL, including a check of
overall appearance from the
ATC tower.
 Electrical power
Results of AEP exercises and Aerodrome “safeguarding”
Document audit of the
actions from
processes
Aerodrome Manual
Outputs from runway and
Airport’s communication and
All aspects of runway and
apron safety teams, such as a safety promotion, including
surrounds, inc strips and RESA
Hot Spot diagram and its
training
promulgation
Activity of Airport Safety
Areas that are weather relevant, e.g. Fog and LVPs or monsoon
Committees – audit to
season and runway condition and maintenance procedures, as well
determine if agreed actions
as drainage status.
have been followed up and
how the running of the
Committee compares to
TORs
Wildlife Management
Or keep flexible for team leaders to select each year’s themed areas from a menu of
options/areas depending on the situation at a specific airport and “weather” or traffic
change seasons. For example for an airport to be inspected 3 months before the fog
season to choose SMGCS and LVP s as themed areas. Similarly for the monsoon
season or spikes in traffic changes.
43
Inspectors Handbook March / 2011
Appendix 3
Examples of Audit Style Questions
Inspection Area:
References from Inspection
Checklist.
A.
Aerodrome information
1 and data
i
A.
Example audit style questions
How do you ensure that the aeronautical information that you
provide for promulgation in the AIP and elsewhere meets the
required accuracies?
Procedures
i
a. When was the last time such information was revised?
b. Did it meet the accuracy requirements?
a. Where are the procedures for allowing appropriate access
airside?
b. How do you measure the procedure for effectiveness in
controlling access?
a. How do you measure runway precipitation on your runways?
b. What do you do if there is more than 25% of the runway covered
with water over 3mm in depth?
c. What do you do if instead of 25% it is 50% coverage?
d. When was the last time you measured runway precipitation and
what were the results?
e. What did you do with the results? Did that follow an SOP?
f. With the monsoon season imminent what are your procedures
for runway care and status promulgation
ii
iii
44
Notable points
Inspectors Handbook March / 2011
g. What was the date for the last scheduled check on the PAPIs?
h. Was that undertaken?
i. If so, what were the results?
Show me please.
a. Is this maintenance being implemented to a programme?
b. If not, why not?
c. If yes, is the programme being met?
d. When was the last and the next scheduled activity?
a. How and Where is this procedure spelt out?
b. How is it coordinated with users and other stakeholders?
a. When was the last survey undertaken?
b. Did it show any changed or additional obstructions in the Type B
chart area that penetrated the performance surface?
c. If so, when was the Chart revised?
d. What does the organisation do if there is a penetration of the
obstacle control surfaces?
e. Can you show me the procedure please?
a. How effective is/was the procedure during the most recent period
of low visibility conditions?
b. How do you measure that effectiveness?
a. What mechanism do you use to ensure that there is adequate
scope and timeliness for coordinating activity with the ATS
provider?
b. Please show me the last time it was applied, and what was the
outcome?
a. What is the greatest safety concern on the apron?
b. How are you trying to resolve that by Apron Management and
apron operating procedures?
c. How effective is it?
d. Are the outcomes consistent with the agreed safety targets?
iv
v
vi
vii
viii
iv
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Inspectors Handbook March / 2011
x
a. What organisation has the responsibility for overall control of
vehicles on the apron?
b. How is the control exercised?
c. How do you determine if it is effective enough?
d. If not considered effective enough, what action is being
undertaken?
What are the procedures for:
a. coordinating with ATC?
b. AOCC operations during an AEP exercise or actual emergency?
a. What is the greatest risk to safety in this context?
b. How do you know that (result of a wildlife survey?).
c. If not from a wildlife survey or extensive pre-knowledge how have
you made that judgement?
d. Are things changing?
e. How do you know that?
a. When was the plan last tested?
b. If not in recent times, how do you know if it is still adequate?
a. What personnel are trained in handling hazardous materials?
b. Do you have training records for them?
i. If not, a finding.
ii. If yes, show me please.
c. When was the last refresher training conducted?
d. Do any other staff members get involved with hazardous
materials? If yes, have they had training, and if not why not?
a. Do you know what the effect would be on an aircraft using the aid
if the critical or sensitive areas were infringed?
b. How do you ensure that these areas are not infringed?
c. To what extent are the mechanisms effective?
d. How do you know that?
a. What processes do you have for occurrence reporting?
b. What do you do with the reports?
xi
xii
xiii
xiv
xv
xvi
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Inspectors Handbook March / 2011
c. Are the reportees being advised of the follow-up?
d. If not, why not?
a. Is there a “Hot Spot” chart for your airport?
b. If yes, is it published for the use of stakeholders, and where?
c. If no, when will you comply with the requirement to produce one?
a. Are there other airport SOPs for specific operations?
b. If so, may I see them please.
xvii
xviii
A.
3
i
Safety Management
Manual
a. Were there any significant gaps found from the system
description in the scope of the SMS?
b. Were there any significant gaps found in the defences against
hazards?
c. If no, then can you show me the risk assessments for the noncompliances and the Hot Spot chart please?
How does the organisation determine and maintain the adequacy of
its staff establishment and its organisational capability?
Does the Accountable Executive at the airport have the authorities
and decision making powers specified in the CAR?
a. How is your SMS implementation progressing compared to your
implementation plan?
b. If not on-plan, why not?
c. If your SMS strategy is not currently predictive, do you plan to
make it so? If so, when?
a. How effective is the SMS?
b. How do you measure that effectiveness
a. When was the change management process last applied?
b. Was it documented?
Show me please.
ii
iii
iv
vi
vi
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vii
viii
A.
4
i
c. Does your change management process cover changes in areas
other than physical Characteristics?
d. If no, a finding
e. If yes, please can we see the process?
f. How do you know if you have sufficient resources to adequately
implement the SMS?
g. What is the turn-over rate for staff; if considered high why is that?
What are the current safety promotion activities?
How compliant are you with your SMS processes?
Aerodrome Emergency
Plan
a. Who chairs your Emergency Committee and when did it last
meet?
b. What actions were agreed at that last meeting?
c. Have they been carried out in the due time?
a. When was the last exercise?
b. Have any subsequent corrective actions been undertaken?
c. If yes, were they actioned in due time?
d. If no, why not?
a. Who is the nominated as the on-scene commander?
b. Is that person/post on-duty today?
What is the plan for communication within the AEP?
a. How do you evaluate the outcomes from exercises?
b. How is the output communicated to interested parties?
ii
iii
iv
v
A.
Safety Committees and
Safety Teams
i
a. What are the Terms of Reference for the Airport Safety
Committee?
b. Is the membership and role in line with the AD AC guidance?
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Inspectors Handbook March / 2011
ii
iii
iv
Who chairs the two internal safety boards?
What has been the output from the AEMC in the last year?
What outputs are currently being actioned from the Runway Safety
team?
What outputs are currently being actioned from the Apron Safety
team?
v
B
i
Runway and Environs
a. What is the runway inspection regime?
b. What was the last maintenance action undertaken on the
runway?
c. What preventative maintenance do you undertake?
d. How do you stabilise the surface of the shoulders, in order to
minimize the risk of engine ingestion damage?
a. Are the runway slopes in compliance with the CARs?
b. If not, do you have an exemption from the CAR?
c. Do you ask for operational feed-back from aircraft operators on
the runway condition?
d. If so, how do you do this?
a. During heavy rains do the runways become flooded
(aviation/aircraft performance definition) or suffer from standing
water/water patches?
b. If not, how do you determine this?
c. If yes, what action do you take, and is there a programme for
corrective action?
ii
iii
iv
If we go out to inspect the runway strips will they be fully compliant,
with no exposed ducts, spoil heaps, uneven ground or areas of sub
standard bearing strength?
Are the runway separation distances compatible with the way the
runways are being used?
v
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Inspectors Handbook March / 2011
vi
vii
How have you determined that your RESAs are sufficient in size?
How do you ensure that the ILS critical and sensitive areas are not
infringed?
a. Do the runways meet the orientation requirements of the CAR?
b. Can you provide evidence of that?
viii
C
Taxiways and
Interfaces
i
a. What is the taxiway inspection regime?
b. What was the last maintenance action undertaken on the
taxiways?
c. What preventative maintenance do you undertake?
a. Do you have any taxiway movements by aircraft of a higher Code
than designed for?
b. If so, have you undertaken an assessment of the risks?
a. Are the taxiway separation standards compatible with the aircraft
codes using the runway?
b. If not, what risk control measures do you have in place?
How do you stabilise the surface of the strips, in order to minimise
the risk of engine ingestion damage?
a. If any of the taxiway slopes are non-compliant, are they
considered to be a hazard?
b. How did you make this judgement?
a. Do you have any taxiways that have standing water on the
surfaces during heavy or prolonged rainfall?
b. If so, has the drainage been assessed for adequacy?
a. Have you had any occurrences reported, verbally or in writing,
involving the Apron to Runway route designations?
b. If so, what action is being taken
Does your “Hot Spot” chart reflect any issue raised in vii above?
ii
iii
iv
v
vi
vii
viii
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D
i
Apron Areas
a. What is the apron surface inspection regime?
b. What was the last maintenance action undertaken on the apron?
c. What preventative maintenance do you undertake?
a. Is the presence of FOD on the apron getting better or worse?
b. How do you know?
a. When were the apron markings last repainted?
b. Are they adequate at present?
c. Do you have plans to repaint the markings?
Does the apron lighting create any distraction to ATC or pilots on
the manoeuvring area?
a. Have you had any occurrences reported, verbally or in writing,
involving these equipments?
b. If so, what action is being taken
a. Does the airport have a problem with equipment being parked
outside the designated areas?
b. If yes, what action is being taken?
c. If no, can we go to the apron areas now please?
a. Are there mandatory or information signs associated with the
apron area of at the taxiway/apron interface?
b. If no, should there be?
c. If yes, are they fully compliant?
a. Are the stand clearances compliant?
b. Are the clearances being adhered to?
c. How have you determined that?
ii
iii
iv
v
vi
vii
viii
ix
a. Which organisation has the overall coordination role on the
apron?
b. How is that coordination applied in order that close liaison is
achieved between ATS, the airlines and the airport?
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E
i
Visual Navigation Aids
a. When were the PAPI units last checked?
b. How is this done?
c. Is that in accordance with the maker’s maintenance schedule?
d. What was the result?
e. Can you show me the record of maintenance and any corrective
actions?
a. When was the last flight check of the visual navigation aids last
undertaken?
b. What did it show?
c. If needed, was corrective action taken?
d. If so, please show me the reports?
a. Do the runway and approach lighting systems meet the
photometric and serviceability requirements?
b. If yes, how is this measured?
a. When were the runway markings last repainted?
b. Are they adequate at present?
c. Do you have plans to repaint the markings?
Are there any superfluous obstruction lights that maybe be
contributing to light pollution and distraction to ATC or pilots?
a. What is the policy and method of lighting unserviceable areas?
b. Is it effective?
c. How do you measure that?
Are there any superfluous or poorly positioned lights that maybe be
contributing to distraction to ATC or pilots?
ii
iii
iv
v
vi
vii
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Inspectors Handbook March / 2011
F. 1 Manoeuvring Area
Surface Movement
Guidance and Control
System (SMGCS),
aircraft and vehicular
use
i
ii
iii
iv
v
vi
53
The following audit Qs can be adapted and extended for all of the
areas in F.1:
a. Does your SMGCS meet the guidance in ICAO Doc 9476, the
SMGCS Manual, and 9830 A-SMGCS, as appropriate?
b. If not, what action is being taken?
c. If none, do any of the non-adherence feature in the identified “Hot
Spots”?
a. What is your process for confirming that the removal of or
repainting of movement area markings have been undertaken to
plan?
b. In relation to aircraft movements when is this confirmed?
c. Can you demonstrate that that was done for the last
removal/repainting?
a. Do you have a drawing showing information markings?
b. How often do you review the appropriateness of information
markings?
How have the sign mountings and plinths been designed and
constructed to reduce damage to an aircraft leaving a taxiway or
runway?
a. Please show me drawing showing informative, as well as
mandatory signs.
b. How often do you review the appropriateness of information
signs?
a. How do you measure light output to ensure that the air/ground
lighting meets specifications?
b. What design features are there to prevent all of the lighting
failing?
How do you ensure that procedures are appropriate during changes
SMGCS requirements?
Inspectors Handbook March / 2011
vii
How do you ensure that obstruction /obstacle lighting is still
appropriate and does not contribute to confusion to ATC or pilots?
F. 2 Manoeuvring Area
Surface Movement
Guidance and Control
System (SMGCS),
vehicular use only
i
ii
iii
iv
G
i
ii
The following audit Qs can be adapted and extended for all of the
areas in F.2:
a. Does your SMGCS for vehicular use meet the guidance in ICAO
Doc 9476, the SMGCS Manual, or 9830 A-SMGCS, as
appropriate?
b. If not, what action is being taken?
c. If none, has there been an exercise conducted to determine the
areas that present the greatest risk of collision by a vehicle with
an aircraft, of a runway incursion by a vehicle?
Obstacle Environment
Is the Type B chart in line with the current object environment?
a. Has there been a full survey undertaken?
b. If so, has the data shown been compared with the proposed
runway coding, orientation, and landing aid category?
c. If so, would the site be compliant in terms of the object
environment and Obstacle limitation Surfaces?
d. Are there any obstacles that infringe the Obstacle Clearance
Surfaces?
e. If so, are they the subject on agreed non-compliances, and are
there operational restrictions or other mitigation measures in
place?
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Inspectors Handbook March / 2011
H
Other Operational
Areas/Features
i
a. How secure is the boundary wall/fence?
b. Can you give evidence of this?
How are the signals kept up-to-date with the current operating
mode?
a. What are the clearances from operational areas and
visual/electronic navigation aids?
b. How is fitness for purpose determined?
Has this been tested and found effective?
ii
iii
iv
I
i
ii
Wildlife Management
How would you detect a change in bird flight paths on the airport?
How do you measure the effectiveness of methods used to control
and manage wildlife hazards?
a. How do you know if you have enough manpower and other
resources for wildlife management?
b. If using a contractor, have you audited their procedures,
manpower and resource provision, and verified effectiveness of
controls
iii
J
Rescue and FireFighting
i
Does the RFF category meet the requirement for the class of aircraft
using the airport, in terms of fuselage length and movement
numbers?
a. How many vehicles are on-line today?
b. Is that in compliance?
a. How do you ensure that the agents remain effective as intended?
b. Where are they stored, and how do you ensure that that storage
facility is acceptable?
ii
iii
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Inspectors Handbook March / 2011
iv
Have the SOPs been tested in terms of the application of Human
Factors principles?
a. Do you have full watch cover?
b. Can you give evidence of that please?
a. Does the training of the officers match the tasks they are
scheduled for today?
b. Can you show me evidence of that by training records please?
a. Are all of the firefighters trained and certificated to international
standards in radio telephony>
b. If not, when will they be?
c. If yes, please show me the training and certification records
What is the system for meeting the water requirement for
extinguishing fires, both for initial and sustained response?
a. Show me the plan of the airside water hydrants please
b. When was (a hydrant selected by the inspector) last tested?
During the airside inspection ask for that one to be opened,
subject to an operational hazard assessment by the inspector.
Please show me the grid map/chart
a. When was it last updated?
b. Does it still accurately reflect the airside infrastructure and layout?
c. Are all of the crash gates and RVPs correctly shown?
a. Is the access to all of the crash gates kept clear?
b. Are the locks regularly checked, and what is the policy/procedure
on access by the outside services?
a. When was the last test of response times carried out, and what
was the result.
b. If the required time was not met what action is being taken?
a. To what schedule programme are the fire vehicles maintained?
Show me the records for the vehicle or selected equipment that is
on line for this watch please.
v
vi
vii
viii
ix
x
xi
xii
xiii
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xiv
K
i
Where are the records kept for exercises, testing and drills?
Maintenance
How are Human Factors principles taken account of in the design
and application of the maintenance programmes?
What is the policy for corrective action when a portion of the runway
shows coefficient of friction characteristics lower than the specified
minimum?
How are the orientation, outputs and beam spread of the light units
of the visual aids measured, in order to determine serviceability
status?
ii
iii
L
Electrical Power
Systems
i
a. Do the switch-over times from primary to secondary power meet
the requirements?
b. When was this tested and what were the results?
Show me the records please.
a. For a runway meant for use in RVRs of less than 550 metres
what system is used to ensure that pilots will not be left without
adequate visual guidance should there be a failure of ground
power equipment?
a. Are the lighting systems used for aircraft control, e.g. stop-bars?
b. If so, what is the automatic system for monitoring and relaying the
actual lighting configuration airside to ATC?
ii
iii
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Inspectors Handbook March / 2011
M
Organisational
Competence
N
i
ATS Interface Areas
What process do you have for ensuring that the SMS Manuals can
be applied in a harmonized manner in the areas that interface with
ATS?
What are the coordination procedures for:
i.
W.I.P areas?
ii. LVO – prior, during, and post?
iii.
Daily inspection activity?
a. How have you conducted a comprehensive obstacle survey
conducted of the site and appropriate area surrounding the site,
and how have the results been used?
b. What type of survey has been conducted of adjacent/nearby
wildlife food sources that may have an impact on the wildlife
hazard at the site?
c. What type of weather hazards may be presented to aircraft using
the new airport?
ii
iii
O
i
ii
iii
iv
P
a. How does the organisation evaluate/determine if it is
organisationally competent?
b. How is it determined if this method is effective?
Impressions of overall
condition and operation
Any other area
observations
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Appendix 4
Outline of Inspection/Audit Techniques for some selected Inspection Areas
1. Night Inspection
Purpose:
As well as to be satisfied that the facility provision meets the safety
requirements for night time operations, to assess if the licensee or
applicant has effective processes in place to:
a. monitor the adequacy and performance of the facility for night-time
and LVP conditions; and
b. determine if night-time and LVP conditions present specific or
additional and unidentified areas of risk.
Salient points/issues/areas to inspect and for audit questions:
a. Viewing the overall airside facility from the ATC visual control room
can be a very effective way of seeing the system as a whole and
system interfaces. A visit there before a field inspection may
indicate areas to be inspected, such as a new W.I.P area that does
not look secure from an incursion by an aircraft. A visit after a field
inspection may confirm a non-compliance finding as being
significant, or not. It is also an opportunity to seek another
view/opinion on adequacy.
b. Be familiar with what ATC personnel and pilots need to see in
terms of patterns of lights, e.g. the minimum number of runway
centerline lights for an ILS approach.
c. Look for:
i.
“black holes” that may present a hazard in the context of
runway incursion outcomes; or
ii.
59
potential situations, particularly involving temporary layouts
due W.I.P, that may have introduced a confusing or
ambiguous situation that could suck a pilot or ATC officer
into a wrong interpretation of marking, signage or lighting, or
a combination of those individual elements, with the potential
for putting an aircraft into a position other than that intended.
Inspectors Handbook
March 2011
d. Whilst you may be seeing the situation in good or average visual
conditions during an inspection, try to picture it in the minimal
conditions that would be permitted in terms of visibility,
precipitation, wind conditions and cloud cover.
Conclusions:
Findings from this area of inspection maybe more about the effectiveness
of the facility, rather than mere compliance.
2. AEP and RFF
Purpose:
As well as to be satisfied about basic compliance with requirements, the
inspector needs to be satisfied about:
a. RFF - That the system of the vehicles, extinguishing agents,
firefighters, procedures, management and training is “fit for
purpose”. This must take account of the particular operational
environment and traffic mix. For example, does each watch have
sufficient firefighters trained in all the tasks that could be expected
to have to be performed during that watch, in normal and abnormal
situations?
b. AEP – Consider those areas where potential latent weaknesses
may emerge if one of the lines of defences fails; procedures and
equipment for communication can be one of these.
Salient points issues/areas to inspect and for audit questions:
a. As well as the more obvious audit style questions that arise from
the above others may need to be formulated to test any statements
or assertions given about “fitness for purpose”. Often these are not
immediately obvious until the audit has started. For example, on
finding out that some of the watch firefighters are on standby at
home or undertaking other, secondary, tasks questions about
response capability arise (real cases experienced by the ICAO
consultant when on audit outside India – on more than one
occasion).
b. Think whole system and not just measurable or countable
elements.
c. Be prepared to ask the “what if” questions, for example, what if the
hand held radio of a key player in the communication/coordination
plan fails during an emergency situation?
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Conclusions:
The inspector has to be satisfied about the match between the provision of
staff and “things” and the demands that may be placed on the system
provision, during normal operations as well as abnormal operations. In
particular, with the prevailing traffic density and mix, as well as airport
environment, including “visibility condition – see definition”.
3. Apron and Apron Services
Purpose:
To be satisfied that the licensee ensures, through compliant facility
provision and process/procedural means, that the apron areas, including
any cargo apron, are operated in a disciplined way, in accordance with
company and stakeholder SOPs, and that they:
a. have processes in place to monitor all activities; and
b. are able to take corrective action when necessary.
Salient points issues/areas to inspect and for audit questions:
a. Overall system compliance with CARs.
b. Confirm that any W.I.P/ unserviceable areas are correctly marked,
lit and promulgated, and that clearances comply with CARs and
company SOPs/policies.
c. That there are SOPs for all vehicular movements and that
stakeholders, particularly the aircraft operators adhere to them – do
this by observing a turnaround, after having studied the SOPs.
d. Any examples of hazardous vehicle movements, including the
boxing in of fuel bowsers (no escape route away from the apron).
Conclusions:
As well as seeking assurances about system compliance, the inspector
will be keen to see evidence of coordinated and disciplined activity on the
stands during preparation for and during aircraft turnarounds.
4. Wildlife Management
Purpose:
To address the high-profile safety concern caused by the potential of
wildlife to generate a catastrophic outcome to an aircraft on take-off or
landing.
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Salient points issues/areas to inspect and for audit questions:
a. Applicant/Licensee’s processes to collect, analyse and act on data.
b. Applicant/Licensee’s knowledge of the strike threats (have they had
a professional survey/evaluation of the threat, including off-airport
wildlife attractants?).
c. Applicant/Licensee’s wildlife management programme to contain
threats, including:
i.
Ensuring security of the airport boundary wall or fences.
ii. Coordination with stakeholders.
iii. Bird-strike control methods, including:
1. grass maintenance programme;
2. the continual review and provision of adequate
resources;
3. monitoring processes for adherence to procedures
and follow-up/corrective actions;
4. management of garbage areas;
5. activity of the AEMC; and
6. recording and analyse of strikes and promulgation of
data.
Conclusions:
As with ASMGS, the inspector needs to be satisfied about the threat at the
system level, as well as the individual element level.
5. SMGCS
Purpose:
To confirm through physical inspection, audit and observation techniques
that the airport has, maintains and operates as planned, a system that
meets the needs of (aircraft) operational objectives, e.g. Cat IIIb landing
and take-off in xxx RVR. That system comprises a number of elements,
that include hardware (equipment), software (procedures, training) and
life-ware (people), as described in the context of Human Factors (SHEL
diagram5).
5
For more on this see ICAO Doc 9859, Edition 2 Safety Management Manual – Chapter 2.6
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Salient points issues/areas to inspect and for audit questions:
a. Does the system meet the guidance in the ICAO SMGCS Manuals
for:
i. Equipment – ground lighting and signage (bear in mind the
need for coordination with ATM in this area).
ii. Other guidance provision – markings.
iii. Procedures.
b. Specialist driver and operative training for those permitted airside
during LVO.
c. Specialist equipment for vehicles permitted to operate on the
movement area during LVO.
Conclusions:
The inspector needs to have planned the inspection of this area with
attention to all the elements of the system including procedures and
operative training, as well as physical provision.
6. Aerodrome ATM Interfaces
Purpose:
Apron management service is a service provided to regulate the activities
and the movement of aircraft and vehicles on an apron. Depending upon
volume of traffic and operating conditions, an appropriate apron
management service is provided by an ATS unit, aerodrome operating
authority or by a cooperative combination of these.
When the aerodrome control tower partially participate in the apron
management service, inspector is obligated to see that procedures are
established and followed to facilitate the orderly transition of functions
between the apron management unit and the aerodrome control tower.
Salient points issues/areas to inspect and for audit questions
a) Arrangements between air traffic control and the apron
management unit;
b) Clear bifurcation of scope of work for the ATC and Apron
management.
c) Arrangements for allocating aircraft parking positions;
d) Arrangements for initiating engine start and ensuring clearance
of aircraft push-back;
e) Marshalling service,
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f) Arrangement for Follow me services.
g) Arrangement expeditious movement of vehicles,
h) Arrangement for the highly coordinated two way communications
between the aircraft, vehicle, apron control unit and the ATC.
i) Where conditions warrant, provision of separate communication
channels including procedures for use of visual signals.
j) System and procedure for aircraft and vehicle control in lowvisibility operating conditions.
k) Arrangement for integrated system of surveillance, control and
guidance, and communication with the use of technology
applications. (ASMGCS) in these areas.
l) Procedure for reporting of incidents/ accidents.
Conclusions:
The inspector needs to have planned the inspection of this area with
attention to all the elements of the system including responsibilities,
operating procedures, reporting and communication and training as well
as seeking assurances about system compliance, the inspector will be
keen to see evidence of coordinated and disciplined activity on the
maneuvering area during normal and low visibility operations.
7. Risk Assessment Reviews
See Attachment A to this Appendix
8. For a new aerodrome site
Purpose:
To be satisfied that the new site will be practical for a new airport, taking
account of such issues as required non-DGCA clearances, CARs, and the
ground and airspace environment, noting any potential hazards, such as
weather.
Salient points issues/areas to inspect and for audit questions:
a. Pre- site inspection (office preparation)
i.
Location of the site, in relation to other aviation activity,
including airspace considerations – have appropriate
aviation and other maps and charts available.
ii. Operational objectives, including the intended aircraft codes
and operational categories.
iii. The plan for the applicant to monitor progress to plan during
construction, employing an independent engineer/auditor to
furnish appropriately certified safety assurances and
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Inspectors Handbook
iv.
v.
vi.
vii.
viii.
12/10/2015
compliance statements at the planned milestones, to the
DGCA as well as to the applicant (Series F).
Any feasibility reports/master Plans that are in existence.
Any HAZLOG that has been prepared.
Identify the specific areas you wish to examine on site,
people to interview/meet, and audit questions to ask.
Prepare documentation to take and pre-request any to be
available on-site.
Ensure availability of the necessary inspection tools, and
that they are serviceable.
b. For site-visit
i.
As well as assessing general compliance, evaluate:
ii. Soil condition, for example, would it be susceptible to waterlogging, or encouraging wildlife, particularly birds.
iii. Potential for obstructions such as trees to become a problem
in years to come through growth.
iv. Confirm or otherwise, intial satisfaction or concerns from the
office-based document audit/study.
c. For safety oversight during construction
i.
Ensure that the applicant’s independent engineer/auditor
supplies the required safety assurances and compliance
statements.
Conclusion:
The inspector has to be satisfied about the locational advantages/
disadvantages of the site vis-à-vis operational objectives and that the
construction process is meeting the regulatory compliance and quality
assurance.
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Outline of Inspection/Audit Techniques for some selected Inspection Areas
Inspecting Safety Critical Airports
Purpose:
To be satisfied that the facility provision not only meets the safety
requirements, in accordance with the CARs, but that the minimum
requirements are exceeded where found to be necessary, and that the
Licensee has rigorous SMS processes in place in order to ensure that:


adequate risk management mitigation/control measures are
identified, adhered to and reviewed on a regular basis, in order to
ensure that they remain “fit-for purpose”; and
coordination and collaborative working between the relevant
stakeholders addresses the particular risks to safety that have
given the airport the “critical” designation.
Salient points/issues/areas to inspect and for audit questions include:
e. Scope and rigour of the hazard identification and risk management
process, including evidence of its application.
f. Matching the overall provision to any specific weather hazard that
has contributed to the “critical” designation, for example wind-shear
warning systems if appropriate.
g. Consider the adequacy of system, rather than specific elements in
isolation, for example:
i.
The SMGCS:
 Does the overall system provision reflect the guidance
on SMGCS in ICAO Docs 9426 and 9830?
 Viewing the overall airside facility from the ATC visual
control room can be a very effective way of seeing the
system as a whole and system interfaces.
 Look for Black holes that may present a hazard in the
context of runway incursion outcomes.
ii. The areas surrounding the runway, not only the basic land
and distance provisions, but surface, slope and suitability for
purpose requirements.
 Are all of the “essential for navigation” equipments in
the strip mounted on surface flush and de-lethalised
plinths, as well as being frangibly mounted?
 Are all electrical ducts properly covered and
maintained?
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Is the cleared and graded area really cleared and
graded and what about the area beyond; should that
be cleared and graded if excursions are more
probable, for whatever reason.
iii. Runway – not only meeting slope and strength requirements,
but if runway length and minimum provision of RESA is a
reason for “critical” designation, that the following are the
focus of rigorous provision, maintenance and performance
monitoring (in relation to SOPs):
 Runway safety team.
 Runway safety equipment, e.g. dedicated surface
friction measuring devices.
 Runway design in relation to water run-off and friction.
 Removal of contaminants and FOD.
 Visual navigation aids – lighting, signage and
markings.
 Measuring and timely reporting of precipitation, taking
account of the impact on aircraft performance of
“water patches” and “flooded” runway, as defined.
Ask on what basis any minimum RESA has been considered
sufficient, or has the minimum been provided just because it
complies with the minimum requirement?
iv. Wildlife management – is the system as good as it should be
to contribute to the avoidance of other risks to safety?
v.
Obstacle surveying and control - is the system as good as it
should be to contribute to the overall avoidance of other risks
to safety?
vi. Promulgation of safety critical information - is the system as
good as it should be to contribute to the overall avoidance of
other risks to safety.
vii.
SOPs for inspection and corrective action – do they exist
and is there evidence of scrupulous adherence?
viii. Are there SOPs for operational restrictions as mitigation
measures to reduce probabilities of an undesirable outcome,
for example if there are no additional risks (just a commercial
penalty), a restriction on tailwind landings/take-offs on a wet
length critical runway, or where there is minimum RESA, or
both?
h. The focus and effectiveness of the Airport Safety Committee.
i. The provision and effectiveness of safety promotion processes.
Whilst you may be seeing the situation in good or average visual
conditions during an inspection, try to picture it in the minimal
conditions that would be permitted in terms of visibility,
precipitation, wind conditions and cloud cover.
Conclusions:

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Findings from this area of inspection maybe more about the effectiveness
of the facility, and safety risk control measures, rather than mere
compliance.
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Attachment A to Appendix 4
Reviews of Safety and Risk Assessments
Guidance for technical staff in the Directorate of Aerodrome Standards
(DOAS) who are expected to review risk assessments submitted by
aerodrome licence holders/applicants
Introduction
This guide is aimed primarily at reviewing risk assessments as part of the risk
management process of an SMS. The guidance addresses qualitative risk
assessments or quantitative assessments when built on a foundation of analysis
of a small database. A reminder at the start; risk assessments are a valuable
tool to assist in decision-making, but cannot offer guarantees. Wrongly used or
abused and the following proposition could reflect reality:
“Risk assessment is like a political prisoner: if you torture it long enough, it may
give you the answer you want” reputedly uttered by a United States
Environmental Protection Agency administrator.
Also, bear in mind that sometimes hazard identification, together with mitigating
actions, might be sufficient for a particular set of circumstances. Before the
regulator receives the assessment the owner should have had it validated within
their company, in line with the arrangements in their Safety Management System
(SMS). The licence holder has the responsibility to assess and manage the
operational risks at their airport, not the regulator. The risk assessment is for the
licence holder to undertake; if they are unable to do this then it could be argued
that there is a competence issue.
The role of the regulator and the purpose of their safety review are to be satisfied
about the licence holders’ management of safety, including the licence holders’
assessment of risks, as part of licence holder’s SMS.
A review cannot be effectively undertaken unless the regulator and the industry
know what the regulator is seeking and what industry’s expectations are when
they send the regulator an assessment. It may not be necessary for the
regulator to review all of a license holder’s risk assessments; which ones and
when is a matter for the judgement of the regulator, taking account of the
maturity of the license holder’s safety management system and regulatory
resource. Above all else the regulator must be satisfied that any risk assessment
or simple, but rigorous, hazard identification, together with accompanying
mitigations, has produced a valid and acceptable answer.
However, in some cases it may be difficult to evaluate the answer to that
question directly, but indirect evaluation by posing audit style questions such as
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the following may assist. Although the following use the term risk assessment,
much of it is equally applicable to hazard identification, which is the first step in
the risk assessment process:
1. Is the company’s risk assessment process likely to enable and encourage a
valid, complete and correct assessment to be made?
2. Is so, has that process been applied adequately and would the conclusions
be defendable, in a court of inquiry for example?
In simple language, have the significant risks to aircraft safety been identified and
sufficient mitigating actions taken to manage them? In even more simplistic
terms, has the producer of the assessment identified what could go wrong, as
well as what could fail, and demonstrated that what they are doing, or are
preparing to do about it good enough?
Discussion
Industry should not use the risk assessment process as a way around or out of a
regulatory requirement because they do not like the requirement, or it is
considered difficult to implement. Just being difficult is not the same as
insurmountable; the latter may be a justifiable reason for seeking DGCA
acceptance for a non-compliance, and the use of risk management to identify
appropriate mitigating measures, but not the former.
The risk assessment process should be undertaken for safety significant
changes or circumstances that include:
1. New and significant, equipment, infrastructure, traffic levels or even
organisational changes that are to be introduced.
2
The licensee/applicant cannot meet a specific regulatory requirement for a
reason that has been indicated to be considered by the regulator as valid and
in line with the provisions of National Requirements.
3. The regulatory requirements/guidance do not cover a specific situation, or
the requirement/guidance may not go far enough for a specific set of
circumstances.
4. The requirement is written in an objective (goal based), rather than
prescriptive, style that allows more than one-way of compliance.
In the event of an accident, or even incident, the safety or risk assessment could
be under scrutiny by parties such as the relevant accident investigation authority,
the courts and insurers. Without overplaying that issue the regulator has to be
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satisfied about fundamental safety assurances before accepting a risk
assessment received from those it regulates.
It must be remembered that the regulator’s safety review can be valid only for the
situation covered by the risk assessment; if the assessment does not cover
changes in levels or type of traffic for example then the review and conclusions
would not be valid for those changes.
The continued validity of the scope of a risk assessment underlines the need for
assessments to be continually reviewed to determine if there have been any
changes to the situation originally assessed. The owners of risk assessments
should be encouraged to review their assessments on a regular basis, for
example annually, in order to verify their validity and to get into the habit of
review.
How does the regulator respond to a challenge to the credentials of staff
undertaking safety reviews of industry risk assessments? Staff members need to
feel confident and comfortable about this; an answer could be that the regulator
is doing no less than they may have in the past, as a sensible regulator and as a
long stop for those regulated. However, that is not quite enough. The regulator
expects those that it regulates to present robust material using a rigorous
process. It is reasonable to expect the regulator to practice what it preaches; a
regulator’s opinion, particularly one that leads to a non-acceptance or nonapproval, must be able to stand up to challenge. As part of this, regulatory staff
members need to be sufficiently confident and competent in risk assessment in
order to be able to evaluate and accept assessment-based safety assurances
from industry.
The regulator must be meticulous in recording conclusions and use all of the
expertise it has within its ranks, particularly where specialist discipline expertise
is required and that discipline is not represented in the aerodrome department of
the regulator, or ATS department for the aerodrome/ATS interface areas.
An ultimate test of satisfaction about the validity of a risk assessment received
from those regulated would be for the regulator to be satisfied that the owner of
the risk assessment could robustly defend that risk assessment as being
complete, objective, reasonable, correct and in accordance with the company
SMS.
Additionally, that any mitigating measures and actions are commensurate with
the level of risk and effective as risk reduction mechanisms. If the regulator
cannot be confident and satisfied about that then they would have difficulty
defending their evaluation and acceptance of the assessment. If the regulator
cannot pass this test after challenge by a court of law for example, then they will
lose credibility. The regulator must also be able to demonstrate that it applies a
standard approach.
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The Review Process
Risk Assessment
Applying the above, the regulator needs to determine if they are comfortable
about the following issues, by asking questions such as those in italics (answers
should be Yes, or Y):
1. The claim being made by the licence holder and the objective he is
seeking to meet – are they stated up front in the risk assessment?
Y/N
2. The levels of ownership of the assessment – is there sufficient evidence
that the assessment has been assessed, challenged, accepted and
signed off by the people in the company with the relevant and overall
safety accountabilities, before being presented to the regulator?
Y/N
3. Uncertainty and its treatment in order to reduce uncertainty as much as
practicable and in proportionate to the risk – has the licence holder
undertaken a sensitivity test as a means of giving more credibility in any
areas of uncertainty that are inherent in any qualitative (and even
quantitative) assessment process, rather than just accepting a “first pass”
that give results that seem acceptable? This might be demonstrated by
evidence of reiteration in the risk assessment process.
Y/N
4. The scope of the assessment – does it cover all the likely hazards,
including human factors and any new hazards introduced by mitigation
measures for original risks?
Y/N
5. Priority of aircraft safety compared to commercial and other interests:
a. Has the licence holder stated their safety policy and criteria for
acceptability?
Y/N
b. Has the licence holder complied with their own policy in relation to
the priority given to safety?
Y/N
6. The degree of objectivity employed – what evidence is there that the
assessment has been undertaken in an objective way and not to produce
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a pre-determined or desired outcome, irrespective of the actual risk? For
example:
a. Are there terms of Reference for the risk assessment team: if so
could they have constrained the team towards a desired outcome,
either directly or by implication?
Y/N
b. Were the impact and hazards of all aspects of a particular change
included in the assessment; for example, the impact on operations,
equipment and procedures?
Y/N
c. Has the licence holder come to a conclusion and formulated an
action plan, including a review process for the assessment?
Y/N
7. The degree and usage of a constructive culture of challenge as part of the
overall process, within the company safety culture, but without incurring
unnecessary external consultant costs. This is important when the
assessment has been done for the licence holder by a third party, be it a
consultant or member of the Corporate body that owns the aerodrome, or
aerodromes if group ownership.
a. Is there a “peer review” (an independent team of peers), or similar
mechanism in the process?
Y/N
b. Did the team that undertook the hazard identification and the
evaluation of the risk acceptability include an objective challenger
acting in a non-partisan and independent manner?
Y/N
i. If there is, as the regulator would expect, is there evidence at
the appropriate level, not necessarily detailed, to show that
their input was heeded and acted on and has the action
been recorded?
Y/N
The above are examples only; there can be others, as well as those that cascade
from initial questions. The following are some additional points and questions to
consider in the detailed evaluation, having used the above process as a
preliminary action:

Check the make-up of the hazard identification team. Does it include all the
necessary disciplines?
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
Have all the hazards been identified (they may have been, but then rejected
of course), or are there perceived gaps; for example, the rejected take-off
around V1 for RESA assessment or the safety implications of an
environmental imperative in a new ATS procedure?

Are the language, risk matrix and process used appropriate to aircraft safety
risks? Is the risk matrix part of the SMS procedures? Whilst the process
addressing occupational safety can be similar to for aircraft operational
safety, in terms of the basic steps and risk matrix, the concept language,
definitions and sub-processes will need to be different. This is an issue for
those licence holders who want a detailed process applicable to all risks.
With respect to sensitivity testing, has the licence holder asked the question – is
my judgement of severity or probability too optimistic and what would be the
result if I made either or both more pessimistic? For example, where there is
uncertainty about the level of risk, did the licence holder do a reiteration, moving
along one or both axes in the risk matrix to see if the result would be different
and, if it was, to determine what the mitigation measures might be for that
reiteration (it can be valid in the other direction of course). In essence, have they
gone through the what if reasoning?

Has the licence holder relied too much on historic data and experience,
particularly where there is a limited database? Put another way, have the
future trends been adequately identified and taken into account?

Beware of thin and unjustified assessments of, or changes to, probability or
severity in order to bring the level of risk into the acceptable range, and
invalid application of the As Low As Reasonably Practicable (ALARP)
philosophy.

Mitigation measures must be action items, included in a plan with timescales
and delivery dates, not statements of intent such as “review”.

Is there a commitment to regular reviews of assessments, including prior to
the introduction of significant changes, for example, a change in the type of
traffic?
If the regulator cannot be satisfied about the answers to these and other
questions it will be for the evaluation team to seek guidance from their
management. The management team should produce guidance on the make-up
of evaluation teams and signing off requirements for the Directorate.
If mathematical expressions of probability are used they should be in a form that
will be appropriate to the circumstance. Probabilities per flight hour, which derive
from aircraft operations, maybe appropriate for ATS purposes, but are not
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normally appropriate or very useful for airports, whereas probabilities in terms of
events per 10,100 or 1000s of years could be. However, even the latter measure
has limitations; a specific frequency might be acceptable at airport x, with
particular types of aircraft and activity, but not at another with different levels of
activity and aircraft types.
Additional aspects to be covered when reviewing safety assurance
documentation, be it a Safety Assurance Report, Safety Assessment or
Safety Case
Such documentation is a fundamental component of the management of change,
and is a process for developing a structured argument, supported by a body of
evidence that provides a compelling, understandable and valid case that a
system meets the service providers risk acceptability criteria for a given
application in a given operating environment.
This process would be applied to a significant change event, such as any predetermined major change in:




equipment or infrastructure;
traffic type, mix or volume;
operating environment;
staff levels, organisational structure or business model, including
contractors’ services.
The purpose is to provide satisfactory safety assurance internally, as well as to
the DGCA, operational partners and users, all in the context of the specific
change event, all in the form of an explicit and comprehensive document.
It must present adequate rationales and evidence that the safety of the
aerodrome and its systems are adequate to support the roles demanded of them.
Before presentation to the DGCA for their safety review it has to be signed off by
the highest level of management, expected to be the “Accountable Executive
(AE)”. As well as an introduction, it will comprise the following, and inspectors
should be satisfied about the content as they for the outcome of a risk
assessment:
a) For the area of safety performance and management – statements:
a. Of who is accountable, including the post of “Accountable
Executive”, and responsible for what within the licensee’s
organisation, as well as other partners and stakeholders’
organisations.
b. On what safety standards apply where, with specific targets stated,
where applicable.
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c. About any assumptions made, and the communications with and
outcomes of the ATS provider and users.
b) A description of how the system operates:
a. stemming from the operational objectives;
b. the associated operational and functional requirements of the key
functional areas of the overall facility, technical systems within the
facility,
human
resources,
communication
and
documentation/records;
c. in normal and abnormal modes, particularly at the interfaces; and
d. with equipment and system dependencies identified, including
training.
In essence a comprehensive technical specification, whilst being
proportional to the level of complexity of the subject area.
c) Statements of what can go wrong, where and with what potential
outcomes. An explanation of the procedures used for this process of risk
assessment.
d) Statements of the process used to determine the acceptability, or
otherwise, of these identified risks. This will include what has or will be
done and by when in order to reduce risk, in accordance with the
licensee’s safety risk tolerability criteria and that will maintain or improve
upon the safety performance criteria set by the licensee and agreed with
the DGCA.
e) Time programming for a change, together with the plan for testing or
validation, with operational trials where appropriate, before transition or
introduction into service; in essence, the project plan.
f) The arrangements that will be in place to monitor the system against
safety performance expectations, and to prevent deviations from expected
performance. In the event that such deviations cannot be prevented,
promulgated mechanisms for stopping operations in a timely way; include
the identification of the post or person responsible and accountable for
making these decisions.
g) How findings from this event will be used as an input to inform the
licensee about the readiness and acceptability of any systems or sub
systems needed in the longer-term and how to maintain or improve safety.
h) Evidence that is available to support the validity, scope and acceptability
of all the above.
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Appendix 5
Format for Inspection Report Form and airports’ Action Taken Reports
The following is an illustration of the use of the Inspection Checklist as an Inspection Report, with imaginary
findings, 2 in number.
NAME OF AERODROME:
DECLARED TRAFFIC DENSITY, VISIBILITY
CONDITION AND AERODROME LAYOUT –
(Refer to ICAO Docs 9476, SMGCS and
9830, Advanced SMGCS)
TRAFFIC
DENSITY
VISIBILITY
CONDITION
AERODROME
LAYOUT
DATE AND TYPE OF INSPECTION:
A.
4
i
AERODROME EMERGENCY PLAN
(AEP)
Establishment of an aerodrome
emergency committee.
C
TAXIWAYS AND INTERFACES
viii
Hot Spots
77
DATE:
TYPE:
Rule 81 and AD AC
N# 1 2006
Good practice –
ICAO Doc 9774
Paragraph 4.3
No evidence of an Emergency
Committee
Meeting
1
CAR, Section 4,
Series X, Part IV, 8
e)
No Hot Spot Chart
1
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DOCUMENTS REVIEWED
In the DGCA Office
At the Airport
3. The Aerodrome Manual
4. zzz
3. xxx
4. yyy
AIRPORT STAFF SPOKEN TO OR INTERVIEWED, WITH JOB TITLES,
By telephone during office preparation or at the pre
and post briefs
3. XXX
4. YYY
During the on-site inspection/audit
3. WWWW
4. ZZZZ
POST INSPECTION REPORT AND ACTION PLAN
FINDING
Inspectio
n
checklist
referenc
e & Level
of
Finding
A.4. i
Brief Description
AGREED ACTION BY THE
LICENSEE/APPLICANT
No Meeting of the
Emergency Committee
78
To re-establish the Emergency
Committee, set a meeting, agree an
AGREED
DATE TO
BE
COMPLET
ED
1 month’s
time
PERSON
RESPONSIBLE
FOR COMPLETING
THE ACTION
COO (name)
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action plan (to be monitored), and
advise DGCA in the next month.
C. viii
No Hot Spot Chart
March / 2011
(specify
date)
To develop and promulgate the Hot Spot 2 Month’s
chart within the next two months
time
COO (name)
(specify
date)
Other comments by DGCA inspection team: Nil
SIGNATURE OF AIRPORT ACCOUNTABLE EXECUTIVE SIGNATURE OF INSPECTION TEAM LEADER:
OR PERSON TO SIGN OF BEHALF OF
TTTTTTTT
(ACCOUNTABLE EXECUTIVE STILL RETAINS THE
ACCOUNTABILITY): WWWWWW
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Appendix 6
Minimal areas to be checked during a complete cycle of initial to renewal
inspections
For all areas the following:
 Confirmation of full compliance with the CARs, including their
characteristics and location, as well as application; this includes frangibility
requirements where applicable.
 For any area of non-compliance to be acceptable to the DGCA,
satisfaction that adequate safety-risk control measures are in place. This
will require an assessments of the risks to be undertaken by the
applicant/licensee before acceptance by the DGCA.
This confirmation and satisfaction can be achieved by a mixture of physical
inspection, i.e. measuring, counting and observing, and audit style inspection.
In addition to the above the minimum scope and depth for an inspection, either
by physical or audit style inspection, including observation of day-to-day
operations (of SOPs for example), will be as listed below. The areas match
those in the inspection checklist.
Aerodrome management systems, manuals and procedures as part of the
Aerodrome Manual;
An accepted aerodrome manual provides basis for the suitability of the
aerodrome for the aircraft operations initially and for on-going surveillance of
aerodromes and aerodrome operators by the Aerodrome Inspectors.
A checklist has been developed and provided in Appendix 11 for acceptance of a
submitted aerodrome manual. Parts of the Aerodrome Manual assessment would
be done by the inspector during the visit to the aerodrome. The Director General
has authority to accept, reject or require modification to the submitted aerodrome
manual
The following would be expected content:
Aerodrome information and data:



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Evidence of an implemented quality management system.
Data defined and presented in the appropriate format, including that
required by the AIP.
Processes/procedures for:
 validating data as being correct and meeting the accuracy/integrity
requirements;
 coordination
of
data
with
ATM
and
AIS;
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March 2011
 data transmission; and
 modification of published data, for example following construction
works.
SOPs, including charts and plans:
Access to movement area:



An up-to-date plan clearly showing all the access points to the movement
area.
A procedure describing the access checks.
A procedure describing the fence checks if required.
Inspection of movement area:




Coordination with ATM services for the inspections of the movement area.
Description of the scope and periodicity of the inspections, and the
reporting, transmission and filing.
Actions to be taken and their monitoring.
Assessing the state of the runway, i.e. flooded, water patches, wet or
contaminated, and describing who orders the measures, who does them
and how, and how the ATM services are informed of the results.
Maintenance of the movement area:


A procedure for measuring periodically the runway friction characteristics
and for assessing their adequacy and any action required.
A maintenance schedule, including the measures of the runway friction
characteristics, the monitoring of the pavements, visual aids, drainage
systems.
Snow and ice control, and other meteorological hazardous conditions:





81
A snow and ice control plan, including the means and procedures used as
well as the responsibilities and criteria for closing and reopening the
runway.
Coordination for snow and ice removal between the aerodrome operator
and the ATM services.
Plans to deal with other meteorological hazardous situations that may
occur on the aerodrome, such as strong winds.
Procedures describing the actions that have to be taken, and defining the
responsibilities and criteria for closing and reopening the runway.
Coordination with the weather services in order to be advised of any
significant weather phenomenon.
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Visual aids and aerodrome electrical systems:

maintenance of the visual aids and the electrical systems, describing:
 Routine and emergency tasks, including power supply
maintenance.
 inspection frequency.
 Reporting, transmission and the filing of the reports.
 Monitoring of the subsequent actions.
 Coordination with the ATM services on the maintenance of visual
aids.
 Where the aerodrome licensee has contracted out this
maintenance, how the licensee ensures that the contracted
organisation undertakes their tasks as contracted, and meets the
licensee’s safety requirements.
Safety during construction/W.I.P:
Describing:





notification to the different stakeholders;
the management of risks;
safety monitoring;
coordination and interfacing with ATM services and other stakeholders
and contractors, including the enforcement of safety measures during the
works; and
the reopening of facilities, if applicable.
Obstacles control:



The production of appropriate obstacle charts.
Obstacle monitoring, describing the checks, their frequency, filing and
follow-ups.
Survey updating, data revision, quality checking and promulgation.
Low visibility operations:



82
For coordination between the aerodrome operator and the ATM services,
including awareness on LVP status, and on deterioration of visual aids
status.
To describe the actions to be taken when LVP are in process, including
vehicle control, visual range measurement and the protection of navigation
aids.
Actions to take in the event of failure or infringement of an element in the
LVP system requirement.
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Coordination between ATM and airport operations:










83
During LVPs, including awareness on LVP status, and on deterioration of
visual aids status.
For the inspections of the movement area;
Measurement of runway friction characteristics describing who orders the
measures, who does them and how, and how ATM services are informed
of the results.
During the maintenance of visual aids.
During construction activity that could affect aircraft operations.
During apron operations and management.
During wildlife management activity.
During grass cutting and other activity within the runway strip.
Handling of aircraft operational data.
For any change of RFF service provision.
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Apron management, including safety management:






For coordination with the ATM services.
Ensuring that stands are used by suitable aircraft.
For ensuring clean, FOD free and appropriately marked and lit stands.
For the collection of the FOD bins and appropriate disposal of the
contents.
Coordination with other parties accessing the apron such as fuelling
companies, de-icing companies and other ground handling companies.
For adherence to apron safety rules and procedures, including those for
over and under-wing operations, as well as the arrival and departure of
aircraft.
Airside vehicle control:


For formal and adequate driver training including continuous and specialist
training, and awareness education.
To ensure that:
 vehicles on the movement area are adequately maintained and
equipped;
 all drivers have undertaken the formal training plan;
 vehicle operations are adequately monitored.
Procedures associated with an AOCC:





Real time display updates of stands, with associated limitations and any
restrictions that apply.
Allocation of stands, in coordination with ATC and aircraft operator.
Monitoring and reporting of non-adherence to Apron SOPs or any
occurrence that has the potential to cause harm to people or damage to
aircraft.
Handling of abnormal situations.
For validating display information when it is suspected there is an error or
fault.
DOAS to integrate into the checklist and audit question list.
Wildlife hazard management:




84
Describing the actions taken for discouraging the presence of wildlife, who
is in charge of those actions and their required competence requirements.
How and when these actions are carried out, including the reporting and
filing of these actions.
To record and analyse the incidents involving animals.
To collect the animals’ remains and take follow-up action.
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


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March 2011
To monitor corrective actions.
To report incidents involving animals, as required.
For coordination with the ATM services during wildlife management
activity.
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Disabled aircraft Removal:
Disabled aircraft plan describing the tasks of the aerodrome operator and the
means available – or that can be made available.
Handling of hazardous materials:
Describing the method to be followed for delivery, storage, dispensing and
handling of hazardous materials.
 The details of the special areas for the storage of hazardous materials
(and special approvals).
 For assurances about aircraft fuel quality.
Protection of navigational aids:



Describing the arrangements for ground maintenance in the vicinity of
these facilities, including the grass mowing criteria and the coordination
with ATM services.
Measures to prevent the non-intentional entrance into the protected area
associated with the facilities.
Reporting of occurrences and data analysis and usage:






Reporting of occurrences, in a standard format.
On ward transmission to the appropriate part of the organisation for action.
Evaluation of and action on the report.
Analysis.
follow-up action, including ensuring that the reportee is advised of the
analysis outcome, e.g. technical/corrective action to be taken.
For ensuring confidentiality.
Promulgating safety-critical information, including that for the AIP, such as “Hot
Spots” and Notams:


For the collection and evaluation of data and other source material, in
order to identify “Hot Spots”.
For the production and promulgation of the “Hot Spot” chart.
SMS Manual:



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That the description of the aerodrome (could be a summary in the SMS
Manual) is comprehensive and matches the facility, its interfaces,
environment, and intended operational objectives.
Evidence of a gap analysis and SMS planning.
A Safety Policy reflecting the organization’s commitments regarding
safety, signed off by the “Accountable Executive
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The operator’s structure to show an “Accountable Executive” with the
authorities and decision making powers required in the CARs, as well as
the safety manager in a position independent from any operational line
task regarding aerodrome safety.
Definition of responsibilities and accountabilities of appropriate members
of staff regarding safety as well as the reporting lines
Criteria for assessing the operator’s SMS structure should be tailored to
the size of the operator and complexity of the operation.










Evidence of the documentation of SMS, including an implementation plan,
with a record of achievement against that plan, and inputs and outputs of
the SMS processes.
Process to identify and analyse hazards to the safe operations of aircraft,
to put in place suitable mitigating measures to avoid or reduce levels of
safety risk, and to assess risks against company risk acceptability levels.
A continually reviewed hazard log.
An occurrence reporting process, and supporting educational facilities to
encourage the reporting of occurrences by staff, users and contractors.
Processes to analyse occurrences, and subsequent action taken,
including dissemination, whilst giving confidence about identities of
reportees.
Safety performance monitoring and measurement. The existence of
processes to set, record and monitor safety performance metrics, and take
corrective action in the event that performance is not meeting the targets,
and as part of an objective to improve the SMS and safety performance.
Process for the management of change.
An internal safety monitoring and auditing programme, including training
programme for those involved.
A formal training programme, with effectiveness measures, and follow-up
actions.
A process for promoting and communicating safety-related information,
including reasons for specific safety interventions.
AEP:
An up-to-date aerodrome emergency plan, describing:
 its purpose, scope and tasks;
 the type and frequency of drills and exercises;
 the involvement of other agencies and rescue services; and
 procedures, including:
 communications and coordination between the stakeholders
and participants/agencies;
 that for moving from normal operation to abnormal operations
and back to normal operations.
 Evidence of regular exercises in relation to that plan.

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 Communication plan, involving all of.
Safety Committees and Apron and Runway Safety Teams:





Appropriate Terms of Reference and stated functions.
Appropriate Committee/Safety Team membership.
Schedule of meetings and evidence that meetings happen.
Availability and distribution of meeting minutes.
Evidence of actions being agreed and followed up with stated deadlines
and responsible person.
Runways and environs:



The physical characteristics of the runway, shoulders, strips and RESAs
must reflect the aerodrome reference code, determined by the
characteristics of the aircraft being accepted by the aerodrome.
The surface condition of the runway must meet the operational needs of
the aircraft it serves, including runway friction requirements.
The runway declared distances must be capable of being demonstrably
accurate by validated survey data and evidence of confirmatory
measurement by the applicant/licensee. Sampling of distances should
also be undertaken during a physical inspection.
Taxiways and interface areas:

The physical characteristics must reflect the aerodrome reference code,
determined by the characteristics of the aircraft being accepted by the
aerodrome. As well as the basic taxiways, this includes:
 shoulders;
 strips;
 slopes;
 RETs;
 curves radii; and
 holding bays and holding positions, including road holding
positions;
Apron areas:




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Adequate illumination that is fit for purpose, but does not create a
distraction for pilots or Air Traffic Controllers.
Sufficient equipment parking areas for the amount of apron equipment.
Clear markings.
Evidence of the stands being used by the type of aircraft for which the
stand and its clearances are designed.
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Fuel shut off switches at the Head of stands if there is a fuel hydrant
system.
A clean and FOD/litter-free apron surface.
Baggage trolleys having a means of securing bags during transit on and
around the apron.
Clear exit routes for fuel bowsers.
Visual navigation aids (other than SMGCS):




Overall appearance of the runway lighting as seen from the ATC Control
tower if possible, if not from the most appropriate positions on the runway
and undershoot/overshoot areas (taking account of potential hazards to
inspectors).
There should be a system for assessing/measuring light output and the
procedures for corrective action.
Are there policies on action to be taken in the event of consecutive lights
outages that could be more significant than single light outages?
PAPI maintenance; an impression of the rigour of the maintenance level
can be ascertained form a general visual assessment of the PAPI units,
their mountings and the surrounding area s, and by using the “PAPI”
dance. Ask about the PAPI checks and, if necessary ask for a
demonstration of how a ground check is carried out.
SMGCS:




The Licensee should be aware of the significance of traffic density,
visibility condition and airport complexity, in relation to the level of SMGC
that should be included in an overall system.
The system provided should reflect the elements listed in ICAO guidance
– see Doc 9476, SMGCS Manual, Table 2-2 and 2-3, and Doc 9830,
Advanced SMGCS Appendix A.
This includes airport operational
regulations, procedures and document revision, as well as equipment and
other “hardware” provision.
The required working conditions of the different lighting systems and
power supply must be specified in relation to the different types of
approaches as well as the operating minima.
The SMGCS lighting of closed areas must not be illuminated, nor must
ground markings lead into the closed areas.
Obstacle limitation surfaces:


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Any obstacles that do penetrate the OLS have been the subject of the
necessary risk management, are marked, lit, marked on appropriate
charts, and are the subject of any operational restrictions, as appropriate.
Obstacle free zone surfaces to be defined in compliance with the
regulation when
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required, with no object infringements.
Objects on the areas near the runway or the taxiways to be recorded and
to meet the requirements (Runway strips, clearway, stop way, runway end
safety area, taxiway strips, radio altimeter operating area, pre-threshold
area).
Rescue and fire-fighting services:









A process/procedure that ensures the level of RFF service provision
matches the level and type of air traffic.
That the numbers of rescue and fire fighting personnel on the operational
run are available in times consistent with the response time requirements.
That the level of qualification of the fire-fighters on each watch is
consistent with the tasks expected of them.
That there is a formal and recorded training programme for all operational
staff.
That there are SOPs with the necessary scope for the RFF service
declared.
The rescue and fire fighting service must be provided with an up-to-date
map of its response area, including the access roads and showing the
positions of the RVPs and crash gates.
As well as meeting the response times there must be evidence of this
being tested on a regular basis in different operational and environmental
conditions by all those personnel that have driving responsibilities, and in
a ”fully operationally- ready state”.
The communication and alerting systems between the fire station, the
control tower and the rescue and fire fighting vehicles must also be tested
and revised where appropriate.
The rescue and fire fighting service must have a procedure describing the
maintenance of the rescue and fire-fighting vehicles and its monitoring and
recording.
Other operational areas:


Fencing or other secure means of preventing unauthorised entry to the
airside area, including wildlife, such as dogs.
Wind direction indicator s provided in operationally effective locations and
effectively illuminated at an aerodrome intended for use at night;
Wildlife management:


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An adequate evaluation of the wildlife hazard.
Management of food/putrescable waste.
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Existence of monitored actions to be subsequently taken to discourage
wildlife and their monitoring.
Provision of adequate trained, motivated and experienced manpower as
well as equipment.
Boundary security, including around any water courses and
channels/ducts.
Aerodrome maintenance:



The programme for visual navigation aids and the SMGCS equipment,
and actions that are taken when faults are found, particularly if those faults
could compromise the visual navigation aids or SMGCS appropriate to the
operating conditions at the time.
Systems for real-time monitoring and feed-back of service provision
systems that are operationally critical, including communication systems.
General and pavement maintenance systems – observation of an element
of such maintenance should be included during the 2 year cycle; periods
of temporary runway closure for painting or other maintenance work are
particularly useful for a mixture of physical inspection and audit.
Electrical power services:





Be properly approved/certified.
Availability of adequate primary power supply.
The switch-over time adequately monitored and any shortfall followed up.
The feedback system for the status of the ground aids when required.
Other areas of ATM, as agreed between DOAS and the ATM Directorate,
so as to ensure the interfaces between the ATM services and the
aerodrome operator are sufficiently coordinated.
Organizational competence:

The process for the License uses to determine organisational
competence, and for follow-up to findings from that process.
ATS Interface areas:

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Coordination between ATC and the airport:
 Military aircraft and other non-scheduled movements.
 During Work-in Progress.
 For abnormal operations and during AEP exercises.
 Declaring and monitoring during Low Visibility Operations.
 When airside system demand exceeds supply.
 Promulgation of safety-critical data.
 CNS/SMGCS equipment status display.
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 Assessment of Obstacle Clearance Surfcaes on a periodic basis (in
addition to professional surveys).
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Appendix 7
Qualification, Experience, Skills, and Attributes profile for technical staff in
DOAS, including those for inspector duties
Technical backgrounds may vary, but all individuals must possess a skill-set
covering the following areas and, ideally the collective experience should cover
all technical disciplines. The degree to which each staff member is expected to
meet the expectations will be dependent on their role in DOAS:












Communication.
Technical and safety professional competence in the areas regulated.
Interviewing techniques.
Auditing techniques.
The principles of project management.
Airport Management systems.
Drafting in clear concise and unambiguous style regulatory documents,
including inspection and other reports.
Competence to evaluate aerodrome infrastructure project and licensing
application documents, as submitted by applicants and licensees.
Competence to explain/justify, at the pre and post audit briefs, the line of
enquiry.
Competence to extract information/facts from a reluctant interviewee.
Competence to record findings (partly as subsequent evidence).
Use of probing/open questions rather than just tick boxes, including “What
If” questions, and those that go beyond just checking compliance of
hardware, infrastructure and facilities.
And personal attributes:










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Knowledgeable, authoritative and confident.
Willing to look outside own technical discipline, in order to cover the
interface areas.
Analytical.
Regulates in a transparent and consistent manner without fear or favour
Objective.
Polite and patient.
Fair and operates with integrity.
Team player, able to work on own initiative within the team.
Able to take on the role of long-stop or mentor when appropriate.
Applies regulatory resolve when appropriate – firmness without arrogance.
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Specific Qualifications and experience:
1. Qualifications
A professional level qualification in one of the technical disciplines
employed by airport service providers or their primary users:
a. Engineering in an aviation setting – civil, electrical, air traffic, or
mechanical;
b. air traffic management;
c. airport operations;
d. aircraft operations;
e. rescue and fire-fighting
f. safety and quality management in an aviation setting; or
g. project management in an aviation setting.
In the absence of an appropriate qualification being available to obtain,
such as airport operations then an appropriate higher level and scope of
experience can be accepted as an alternative.
2. Experience
a. On entry - 7 years experience, preferably in at least 1 operational
position and showing a progressive increase in operational
responsibilities and accountabilities. Where an increased level of
experience is being considered in lieu of a professional
qualification, the minimum should be 10 years, including a middle
level post in an operational position and preferably one that has
included inspection/auditing/safety performance monitoring.
b. On internal transfer - 10 years experience, preferably in at least 1
operational position and showing a progressive increase in
responsibilities
and
accountabilities,
including
inspection/auditing/safety performance monitoring.
Where an
increased level of experience is being considered in lieu of a
professional qualification, the minimum should be 15 years,
including a senior operational position.
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Appendix 8
DOAS technical staff training syllabus, including Aerodrome Inspectors
DOAS technical staff must be trained both initially recurrently for their specified
role in DOAS. That includes the lead inspector role, as well as for any required
specialisation, all appropriate to the specific operating environment and to
facilitate/produce a balanced multi-disciplined safety-oversight team.
Initial training must appropriate include On-the -Job Training (OJT) with
appropriate supervision and, for inspectors an observed and assessed inspection
completed before being cleared to operate without supervision. Assessment
must be performance oriented with a minimum performance expectation. OJT
will complement the theoretical training and offer opportunities to reinforce that
training. Once cleared to operate without supervision a staff member must be
thoroughly briefed on the issues at the airports with which he will be involved. All
technical staff must also be trained in the process and procedures used to
coordinate with other elements of the DGCA and agencies within the State
structure, particularly at the interface areas.
The following syllabus content list is arranged in numbered stand-alone modules,
each of which should have associated learning outcomes; these must be
developed by DOAS. These modules are then specified, as appropriate, for the
induction, initial, recurrent, team leader and specialised training courses. It
should be noted that for all the modules the desired level of knowledge of and
familiarity with the regulatory and guidance documents needs to be built into the
module content and delivery:
Modules:
1. The DGCA, the legislative Framework, the aviation system and DOAS
processes and procedures
Part 1 – DGCA level
Legislative framework of the basic aviation law and enabling
legislation/guidance, including the relationship to ICAO requirements6:
a.
b.
c.
d.
Responsibilities, accountabilities and authorities.
Organisational structure.
Core values/vision.
Safety policies and objectives, including the State Safety
Programme (in outline).
e. Processes and procedures.
f. Expectations of its staff.
6
If the inspector under training is not familiar with ICAO then an outline of ICAO and its functions must be included.
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Part 2 - Similar content to Part 1, but at Directorate (DOAS) level,
including:
a. The areas of interface with other parts of the aviation system.
b. Differences in issues between the aerodrome area and other
functional areas in the aviation system, for example many, if not
most, of the staff regulated within an aerodrome organisation are
not licensed in the same way as pilots, engineers or air traffic
controllers.
c. Specific interpretations/adaptations of DGCA policies/procedures
for DOAS application, taking account of a. above and other
considerations, for example, most risk assessments in the
aerodrome sphere will be qualitatively, not quantitatively, based.
Part 3 –The DOAS Procedures Manual; to include:
a. Record keeping and administration.
b. Expected behaviour and regulatory approach of inspectors, this will
be covered in greater detail in safety oversight inspections/audit
protocols.
c. Coordination with other elements of the DGCA and agencies within
the State structure.
2. The aerodrome related CARs (Part 4, Series B) in more, but nor
excessive, detail. Essentially following the Chapters of Annex 14 as the
CARs are a replication of A14, but making the point that the CAR is more
demanding as some A14 Recommended Practices are CAR Standards.
When covering the design and operational principles, including the infrastructure and service areas covered by the national regulations,
include/bring in areas such as:
a. Serviceability criteria for lighting and electrical power – lighting
outputs and switch over times etc.
b. Pavement and aircraft pavement classifications.
c. Basic aircraft and ATC operational requirements, i.e. the
operational requirement/functional specifications (in broad terms)
behind the CAR requirements.
3. The first of the modules going into more detail on the CAR areas - Safety
management systems (service provider) and State Safety Plan
(Regulator), particularly in relation to the DOAS function. Include:
a. existing knowledge of the areas of greatest safety concern at Indian
airports;
b. risk assessment evaluation and safety performance expectation (of
the service providers) aspects and, for the recurrent training, a
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different risk assessment evaluation case-study from that used in
the initial training.
4. The Aerodrome Manual.
5. Aeronautical data in greater detail:
a. Aerodrome data, including the “why” of the accuracy integrity
requirements; include the need for QMS. Refer back to the
Aerodrome Manual as so much of it is about data. Cover the
relationship with data in the AIP.
b. Accident, incident and occurrence data and the need and use of a
database.
6. Regulatory Mechanisms, Part 1- Aerodrome certification, its purpose and
process.
Refer back to the legislation and cover the associated
documentation required by the CARs, including:
a. The Aerodrome Manual; in outline, but taking the opportunity to
highlight aspects such as the safety performance criteria (of an
SMS – part of the AM) and its relationship with the Acceptable
Level of Safety (ALoS) of the SSP).
b. Compliance statement report.
c. Safety Assurance Reports/Documentation, as appropriate for
airport infrastructure projects and major maintenance programmes.
d. Exemption applications.
7. Regulatory Mechanisms, Part 2 - Safety oversight, aerodrome surveillance
inspection/auditing, start with the difference between inspection and audit.
As a minimum the scope should include:
a. Conduct of inspections – the protocols, including:
i. Pre, on-task and post inspection actions, including office
preparation, explaining the time requirements given for
inspections and the techniques for auditing documents – gap
analysis etc.
ii. Expected
behaviour and approach; language and
terminology; try to encourage as much standardisation as
possible, but if an airport uses different terminology, such as
safety case then do not be put off – ask if it meets
requirements, is effective and understood by all that that
need to use/be aware of it.
iii. Hands on training on the equipment used by inspectors
during an inspection.
b. As part of the inspection of a Surface Movement Guidance System
(SMGCS) cover ICAO Doc 9476 and 9830 criteria, as appropriate.
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c. How to conduct a night inspection; consider a simulated night
inspection at Delhi, but also include facilities and systems for:
i. Visual Operations.
ii. Operations not needing Low Visibility Procedures (LVPs).
iii. Operations using LVPs.
d. Guidance on audit questions and how to judge if the answers are
reasonable and satisfactory. Use different models, from website
material. Consider questions addressing service provision
equivalents of the ICAO Critical Elements (CE) in areas such as
training and resource provision. Cover the concept of open
questions with scope to probe deeper and wider, depending on
answer, such as:
i. The “How do you do….? How do you know if it is effective?”
type of questions?
ii. The “What do you do if it is shown to be ineffective?” type of
questions.
iii. The “What if” questions.
iv. The “Please show me” questions.
8. Regulatory Mechanisms, Part 3 – Enforcement.
9. Wildlife management.
10. The Aerodrome Emergency Plan and Rescue and Fire-Fighting (RFF)
training; to include:
a. types of A/C emergencies;
b. aircraft refueling operations and hazardous materials safety
training, including fuel farm operations.
For team leaders or nominated specialists in RFF, professional hands on
training should be provided at the appropriate fire-officer level, with
command and control aspects.
11. Apron management.
12. Movement area maintenance, ensuring that all areas of the runways and
their environs all covered, bearing in mind the potential for incursion,
excursion and FOD damage outcomes.
13. Low-visibility operations training, bringing together the relevant elements
of the previous modules.
14. Runway safety training, bringing together the relevant elements of the
previous modules.
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15. Bad weather operations, in particular the following:
a. fog;
b. monsoon conditions;
c. snow, slush and ice.
16. Accident investigation procedures.
17. The following list is recommended as determined necessary and/or
applicable. Such training would normally be expected to be acquired over
an inspector’s career, as part of recurrent/development training:
a. A review of activities within the aviation authority, such as audit
findings and trends, accident/incident data, or any other historical data
that may merit review.
b. A review of the work-plan or goals for future activities within the
DGCA.
c. A review, or refresher, of important topics
d. Presentations by other aviation authority offices, other government
agencies, or industry on topics of interest.
e. Presentation of other subjects as requested through the surveying of
needs and interests of DGCA aerodrome Inspectors.
There are also specific specialist courses that are necessary for some DOAS
roles, such as:
a. Lead Auditor’s course.
b. Project evaluation and management for DOAS “policy” work such
as:
i.
drafting regulations, guidance and DOAS documents and
procedures; and
ii. evaluating documents submitted by applicants and licensees
for licensing and approval of aerodrome infrastructure
projects.
c. Safety Management System course.
d. Quality Management System course
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Course duration and format and other considerations:
1. The format and duration for the courses will be dictated by the scope of
the content. However, for the inspection role, the initial course after basic
DGCA/DOAS induction should be a minimum of 8 weeks. That should
include OJT, participating at an increasing level of involvement, in at least
3 inspections plus an assessed inspection before being cleared to operate
without supervision. All courses should include a pass/fail written and oral
examination.
2. It should be borne in mind the reaction from those regulated if they do not
have confidence in the DGCA staff that conduct safety oversight at their
airports. Therefore, the assessed inspection must be performance
oriented with a minimum performance expectation. If that expectation is
not met then additional training should be undertaken until DOAS is
satisfied or termination/transfer procedures are to be considered.
3. During all of the training sessions employ best teaching/training practice
using recognized ways of effective training such as:
a. using only suitably qualified and experienced trainers;
b. the use of suitable audio-visual material;
c. “guest” experts from specific disciplines to supplement DGCA
trainers;
d. workshops and case studies; as well as
e. existing material that has been tested and tried, for example the
ICAO SMS/SSP course case studies/exercises.
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Appendix 9
Types of Training Courses – module numbers refer to the numbering in
Appendix 8
Induction - Module 1
The DGCA, the legislative Framework, aviation system interfaces and DOAS
processes and procedures.
Part 1 – At the DGCA level
Legislative framework of the basic aviation law and enabling
legislation/guidance, including its relationship to ICAO requirements7:
a. Responsibilities, accountabilities, and the scope of authority and
decision powers.
b. Organisational structure.
c. Core values/vision.
d. Safety policies and objectives, including the State Safety
Programme (in outline).
e. Processes and procedures.
f. Expectations of its staff.
Part 2 - Similar content to Part 1, but at Directorate (DOAS) level,
including:
a. The areas of interface with other parts of the aviation system.
b. Differences in issues between the aerodrome area and other
functional areas in the aviation system, for example many, if not
most, of the staff regulated within an aerodrome organisation are
not licensed in the same way as pilots, engineers or air traffic
controllers.
c. Specific interpretations/adaptations of DGCA policies/procedures
for DOAS application, taking account of a. above and other
considerations, for example, most risk assessments in the
aerodrome sphere will be qualitatively, not quantitatively, based.
Part 3 – The DOAS Procedures Manual; to include:
a. Record keeping and administration.
b. Expected behaviour and regulatory approach of inspectors, this
will be
covered in greater detail in safety oversight
inspections/audit protocols.
c. Coordination with other elements of the DGCA (CAA) and
agencies within the State structure.
7
If the inspector under training is not familiar with ICAO then an outline of ICAO and its functions must be included.
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Initial – Modules 2 to 15
2. The aerodrome related CARs (Part 4, Series B) in more, but nor excessive,
detail. Essentially following the Chapters of Annex 14 as the CARs are a
replication of A14, but making the point that the CAR is more demanding
as some A14 Recommended Practices are CAR Standards. When
covering the design and operational principles, including the infra-structure
and service areas covered by the national regulations, include/bring in
areas such as:
a. Serviceability criteria for lighting and electrical power – lighting
outputs and switch over times etc.
b. Pavement and aircraft pavement classifications.
c. Basic aircraft and ATC operational requirements, i.e. the
operational requirement/functional specifications (in broad terms)
behind the CAR requirements.
3. The first of the modules going into more detail on the CAR areas - Safety
management systems (service provider) and State Safety Plan
(Regulator), particularly in relation to the DOAS function. Include:
a. existing knowledge of the areas of greatest safety concern at Indian
airports;
b. risk assessment evaluation and safety performance expectation (of
the service providers) aspects and, for the recurrent training, a
different risk assessment evaluation case-study from that used in
the initial training.
4. The Aerodrome Manual.
5. Aeronautical data in greater detail:
a. Aerodrome data, including the “why” of the accuracy integrity
requirements; include the need for QMS. Refer back to the
Aerodrome Manual as so much of it is about data. Cover the
relationship with data in the AIP.
b. Accident, incident and occurrence data and the need and use of a
database.
6. Regulatory Mechanisms, Part 1- Aerodrome certification, its purpose and
process.
Refer back to the legislation and cover the associated
documentation required by the CARs, including:
a. The Aerodrome Manual; in outline, but taking the opportunity to
highlight aspects such as the safety performance criteria (of an
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SMS – part of the AM) and its relationship with the Acceptable
Level of Safety (ALoS) of the SSP).
b. Compliance statement report.
c. Safety Assurance Report, as appropriate for evaluating airport
infrastructure projects and major maintenance programmes.
d. Exemption applications.
7. Regulatory Mechanisms, Part 2 - Safety oversight, aerodrome surveillance
inspection/auditing, start with the difference between inspection and audit.
As a minimum the scope should include:
a. Conduct of inspections – the protocols, including:
i. Pre, on-task and post inspection actions, including office
preparation, explaining the time requirements given for
inspections and the techniques for auditing documents – gap
analysis etc.
ii. Expected
behaviour and approach; language and
terminology; try to encourage as much standardisation as
possible, but if an airport uses different terminology, such as
safety case then do not be put off – ask if it meets
requirements, is effective and understood by all that that
need to use/be aware of it.
iii. Hands on training on the equipment used by inspectors
during an inspection.
b. As part of the inspection of a Surface Movement Guidance System
(SMGCS) cover ICAO Doc 9476 and Doc 9830 criteria, as
appropriate.
c. How to conduct a night inspection; consider a simulated night
inspection at Delhi, but also include facilities and systems for:
i. Visual Operations.
ii. Operations not needing Low Visibility Procedures (LVPs).
iii. Operations using LVPs.
d. Guidance on audit questions and how to judge if the answers are
reasonable and satisfactory. Use different models, from website
material. Consider questions addressing service provision
equivalents of the ICAO Critical Elements (CE) in areas such as
training and resource provision. Cover the concept of open
questions with scope to probe deeper and wider, depending on
answer, such as:
i. The “How do you do….? How do you know if it is effective?”
type of questions?
ii. The “What do you do if it is shown to be ineffective?” type of
questions.
iii. The “What if” questions.
iv. The “Please show me” questions.
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8. Regulatory Mechanisms, Part 3 – Enforcement
9. Wildlife management.
10. The Aerodrome Emergency Plan and basic theoretical and practical
Rescue and Fire-Fighting (RFF) training. To include:
a. types of A/C emergencies;
b. aircraft refueling operations and hazardous materials safety
training, including fuel farm operations.
11. Apron management.
12. Movement area maintenance, ensuring that all areas of the runways and
their environs all covered, bearing in mind the potential for incursion,
excursion and FOD damage outcomes.
13. Low-visibility operations training, bringing together the relevant elements
of the previous modules, particularly SMGCS and coordination with other
DGCA Directorates.
14. Runway safety training, bringing together the relevant elements of the
previous modules.
15. Bad weather operations, in particular the following:
a. fog;
b. monsoon conditions;
c. snow, slush and ice (to the degree necessary).
Recurrent -Module 17
1. A review of activities within the aviation authority, such as audit findings
and trends, accident/incident data, or any other historical data that may
merit review.
2. A review of the work-plan or goals for future activities within the DGCA.
3. A review, or refresher, of important topics, reflecting changes that may
have occurred in the CARs, for example.
4. Presentations by other DGCA offices, other government agencies, or
industry on topics of interest.
5. Presentation of other subjects as requested through the surveying of
needs and interests of DGCA aerodrome Inspectors.
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Team Leader
1. Module 16 - Accident investigation procedures.
2. Lead auditor course, preferably internationally accredited
3. Appropriate management training, if necessary.
4. RFF professional hands on training should be provided at the appropriate
fire- officer level, with command and control aspects.
Other Training for nominated DOAS specialists, if there is a regulatory or
safety oversight requirement
1. If there is no DGCA support resource that DOAS can call on in the
following areas:
a. Quality Management Systems.
b. Project Management for airport development evaluation.
2. The principles of air navigation procedure design (this is a very specialist
area and DOAS would need to define the task for which it needs even a
superficial understanding of this area)
3. An advanced airport operations course from an international airport group,
with as much airside time as possible.
4. Surveying techniques in the airport setting.
5. Professional hands on RFF training; as a minimum junior fire officer level,
with command and control aspects.
6. Appropriate management training on promotion, if necessary.
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Appendix 10
Inspection Notification Letter – one month in advance (but see item 1
below)
To:
The Applicant or equivalent for new site, or Accountable Executive for a
previously licensed facility/licensee
Subject:
Site
inspection/initial
inspection/renewal inspection
aerodrome
inspection/surveillance
Dear Sir
This is to inform you that The Directorate of Aerodrome Standards of the DGCA
will be undertaking a safety regulatory inspection of your airport, as required by
the Rules/CARs of India, during the period XXXX.
The team, comprising ZZZZZ and led by VVVV will arrive for the pre-inspection
brief on MMMM, and the scheduled day of departure will be NNNNN. The format
of the inspection will be confirmed at the pre-brief, but will be along the following
lines:
The letter should continue, indicating:
1. Document audit – request additional documentation that should be sent
to DOAS before the inspection, and/or to be made available from the
beginning of the inspection for on-site verification, including training and
other records (raises the Q of how far in advance the letter should be
sent). This list should include any documents that are required to be
made available before an inspection – refer to the proposed revisions to
Series F, and the inspection protocols.
2. Physical inspection and audit:
a. The intended areas to be visited and indicative (cannot be too
specific) timings for the inspection schedule, with the caveat that
depending on inspection observations other areas may be included
and some of the planned areas dropped. Take particular care to
highlight any area that may require time to arrange/additional
passes etc.
b. System elements that the inspector may require to be
demonstrated.
3. Meetings - the post holders / functional area managers / supervisors /
operatives that the inspector would like to meet. This includes those that
the DGCA expect to be at the pre-inspection and post inspection
briefings, including the Accountable Executive.
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4. Facilities required – office, latest airport organisational structure with
post-title, names of incumbents and telephone numbers, telephones,
photocopying and printing.
5. The form of the de-briefing, the post-inspection report and expectations
for a corrective action plan, if required, with milestone dates and the
naming of the post-holder/s responsible for the action, to be signed off by
the applicant/licensee and the DGCA.
Should you have any queries please contact the DOAS at any of the following
contacts:
Director of Operations: ( Aero-Stds)
011-24653883; 011-24622500 (410)
Asstt. Director of Operations (Aero-Stds)
011-24653883; 011-24622500 (380)
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Appendix 11
GUIDELINES FOR DOAS STAFF FOR ASSESSING THE AERODROME
MANUAL.
GUIDELINES
1. Under rule 81 of Aircraft rules 1937 a licensed aerodrome operator is
required to prepare and maintain an Aerodrome Manual. The detailed
guidelines on development and maintenance of Aerodrome Manual are
available on AD AC 1 of 2006.
2. An Aerodrome Manual Checklist should be used to determine whether the
applicant’s Aerodrome Manual complies with the requirements of the Rule
81 therefore Aerodrome Manual Checklist has been prepared based on
contents of ADAC 1 of 2006.
3. Inspecting officer shall record YES if the element is complying with the
requirement and NO if it is not complying with the requirement, comments if
any, should be recorded in the space provided below the specific section. If
the element is not applicable to the concerned aerodrome, N/A should be
used.
4. The recommendations for acceptance of Aerodrome manual shall be
recorded at the end of the Checklist. In case the aerodrome Manual is not
meeting the requirement for acceptance by this office, all the deficiencies /
comments should be notified to Aerodrome Operator for carrying out
recommended amendments so as to make the Manual acceptable to
DGCA.
5. The letter of acceptance of Aerodrome Manual shall also include conditions
on “notification of amendment and changes to the Aerodrome Manual” as
stated in section G of ADAC 1of 2006.
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AERODROME MANUAL CHECKLIST
Aerodrome Name:
Date:
Section of Aerodrome Manual
Status of Compliance
Introduction
Month and Year of Issue
Signed by Accountable Executive.
Preface/Objective/Policy etc.
Record of Amendments
Table of Contents
Amendment procedure
Document Control Process and Distribution list
Glossary of Terms
Comments
Yes
No
N/A
Part 1 General
Purpose & Scope of the Aerodrome Manual
Legal requirements
Condition for use of the Aerodrome
System of recording aircraft movement.
Aeronautical Information and Promulgation Procedures
Obligation of the Aerodrome Operator
Comments:
Yes
No
N/A
Part 2 Particulars of the Aerodrome Site
General Description of Aerodrome
Aerodrome Plan/Facilities/WDI etc.
Boundary Plan
Location Plan ( City, Town )
Yes
No
N/A
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Location of Facilities/ Equipment Outside Aerodrome
Particulars of the Title of Aerodrome Site
Comments:
Part 3 Particulars of the Aerodrome Required AIS
General Information
Aerodrome name,
Aerodrome Location
Aerodrome Reference point (WGS-84)
Aerodrome Elevation/ Undulations
Runaway elevations, Low points, touchdown points
Aerodrome Reference Temperature
Aerodrome Beacon
List of Exemption Granted.
Name, Address and Telephone Nos. of Aerodrome
Operator.
Comment:
Aerodrome Dimensions & Related Information
Runways lengths, surface type and Other Details
Runway Strips, Runway End Safety Areas, Stopways
Taxiways widths, surface types
Apron & Stands surface types
Length & ground profile of Clearways
Visual Aids approach lighting type, PAPI, etc
Visual Aids Runway lights, hold, touchdown etc
markings
Visual Aids Taxiway lights, markings
Visual Aids Aprons & stands checkpoint signs
Location & Radio frequency of VOR
Standard Taxiway Routes
Significant Obstacles
Altimeter check locations
Declared distances, TORA,TODA, ASDA, LDA
Disabled Aircraft Removal
Rescue & Fire-Fighting
Has the Information above Verified by a Qualified
Technical Person.
Comments:
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Yes
No
N/A
Yes
No
N/A
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Part 4 Aerodrome Operating Procedures & Safety
Measures
Reporting of Aerodrome Information
Description / Procedures for Checking Information
Description / Procedures for issuing a NOTAM
Description / Procedures for changing AIP information
Description / Procedures for briefing aircraft operators
Names, roles, contact details of persons responsible
Description for reporting changes to the DGCA
Comments:
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Yes
No
N/A
Access to the Aerodrome
Role of each agency with key responsibility for
aerodrome security
Control Access by personnel
Control access for vehicles & equipment
Names, roles, contact details of persons responsible
Comments:
Yes
No
N/A
Aerodrome Emergency Plan
Introduction / Purpose
Plan for emergencies at Airport and its Vicinity.
Coverage of Plan during Emergency and After
Emergency
Role of each Agency
Description for testing of Emergency Equipment and
Aerodrome Facilities
Frequency of these tests
Description for testing of Emergency Plan
Yes
No
N/A
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Frequency of reviewing these exercises
Description of established committees
On scene Command Responsibilities
Person / agency with overall command & control
Names, roles, contact details of persons responsible
Comments:
Rescue & Fire-Fighting
Introduction / Purpose / Responsibility
RFFS Category provided
Fire Stations Provided locations
Details of vehicles and media available
Description for RFFS Training & Competency process
Description for Vehicle & equipment maintenance
programme
Plan to maintain response objective
Names, roles, contact details of persons responsible
Comments:
Yes
No
N/A
Aerodrome Movement Area Inspections
Introduction / Purpose / Responsibility
Description for Serviceability inspections undertaken
Description for Inspection timings, frequency,
Inspection checklists
Description for Record keeping, defect reporting
corrective actions,
Description for communications ATC & Operations
Description for reporting results to ATC, maintenance
Description for inspection reporting process and action
taking.
Names, roles, contact details of persons responsible
Comments:
Yes
No
N/A
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Aerodrome Electrical Systems & Visual Aids
Yes
Introduction / Purpose / Responsibility
Description of Electrical System & Power supplies
Single line diagram of electrical system
Description of Secondary power supply
Description of Aerodrome Lighting
Description for Testing, maintenance, calibration
methods
Description for Test frequency, Reporting and Follow
ups records
Description for Aerodrome Signs & Markings
Description of inspection schedule & inspections
undertaken
Lighting, Signs & Marking checklist used
Description for reporting results and actions taken
(ATC)
Names, roles, contact details of persons responsible the
following:For Electrical System
For Aerodrome Lighting
For Aerodrome Signage
For Aerodrome Markings
Comments
No
N/A
Aerodrome Movement Area Maintenance
Inspection schedule inspection/surveys/assessment to
include
Paved / unpaved areas, runways/taxiways strips
Recording and corrective action methods
Names, roles, contact details of persons responsible
Comments:
Yes
No
N/A
Aerodrome Works Safety
Introduction / Purpose / Responsibility
Description for the development of a safety plan
Description for implementation of airside works safety
Yes
No
N/A
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plan
Description for works notification / work authority permit
process
Description for closing off and reopening work areas
Description for supervisory oversight of works in
progress
Communications arrangements ATC / Operations /
Apron/ Airlines/FBO.
Names, roles, contact details of persons responsible
Comments:
Apron Management
Introduction / Purpose / Responsibility
Apron Management (AM) / Air Traffic Control (ATC)
Description for allocating aircraft parking positions
Description for arrangements for engine start up safety
Description for equipment clearance on start ups
Description for push back process for aircraft safety
Description for the Follow Me process
control/vehicle/aircraft
Description for recording apron activities
Names, roles, contact details of persons responsible
Comments:
Yes
No
N/A
Apron Safety Management
Introduction / Purpose / Responsibility
Description on procedures for protection from jet blast
Description on procedures to reduce Foreign Object
Damage
Description on procedures for enforcement of apron
safety
Description on procedures for fuel spillages & cleanup
Description on procedures for enforcement on fuelling
procedures
Description on procedures for reporting
accidents/incidents
Description on procedures for auditing safety
compliance
Yes
No
N/A
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Names, roles, contact details of persons responsible
Comments:
Airside Vehicle Control
Introduction / Purpose / Responsibility
Description for airside traffic rules to include
Speed limits, means of enforcement
Description for the issue of driver permits & driver
training
Description for authorization for vehicles / equipment
airside
Names, roles, contact details of persons responsible
Comments:
Yes
No
N/A
Wildlife Hazard Management
Introduction / Purpose / Responsibility
Description for assessing any wildlife hazards
Description for preventative/corrective action for bird
risks
Description for implementing Wildlife Control Plan.
Names, roles, contact details of persons responsible
Comments:
Yes
No
N/A
Obstacle Control
Introduction / Purpose / Responsibility
Description for the methodology for obstacle
assessment
Description of Monitoring OLS
Description for the methodology to control obstacles
Description for the monitoring of building development
Description for the removal of existing obstacles
Description for the process for notifying the DGCA on
obstacles
Description for the amendment of AIS regarding
Yes
No
N/A
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obstacles
Names, roles, contact details of persons responsible
Comments:
Disabled Aircraft Removal
Introduction / Purpose / Responsibility
Description for the key roles of each agency involved
Description for the notification of the holder of the
registration
Description & Details of equipment and personnel
available
Description for maintaining communication with ATC
Description for returning to normal operations
Description for agency/persons responsible for aircraft
recovery
Names, roles, contact details of persons responsible
Comments:
Yes
No
N/A
Handling Hazardous Materials
Introduction / Purpose / Responsibility
Description for safe handling, storage of hazardous
materials
Description for special areas for the storage of HazMats
Description for the storage of aviation fuel
Description for delivery, storage, dispensing handling of
Haz-Mats
Description for dealing handling radioactive materials
Names, roles, contact details of persons responsible
Comments:
Yes
No
N/A
Low Visibility Operations
Introduction / Purpose / Responsibility
Yes
No
N/A
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Description for implementing LVPs
Description for of how low visibility reading are taken
Description of safeguarding methods when, how who
Description for the control of aircraft during LVPs
Description for the control of vehicles during LVPs
Comments
Protection of Radar & Navigation Sites
Introduction / Purpose / Responsibility
Description of aerodrome navigation aids
Procedure for protection of Nav-aids and Radar
Description for control of activities near Nav-aids and
Radar
Description for ground maintenance activities near
Nav-aids and Radar
Signage and Warnings near these facilities
Names, roles, contact details of persons responsible
Comments:
Part 5 Safety Management Systems
Aerodrome Administration & SMS Organization
Organizational Chart Key Personnel
Description safety accountabilities
Description of SMS groups /Committees
Description of safety responsibilities
Comments
Safety Management System (SMS)
Safety Statement Policy
Structure and Organization of SMS
Process for Managing Safety (Staffing and
responsibilities)
Description for strategy and planning
Description for implementing safety initiatives
Description for setting Safety Performance Targets
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Yes
No
N/A
Yes
No
N/A
Yes
No
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Description internal safety auditing process
Description of method of compliance with regulations
Description of documentation methods relating to safety
Description of hazard identification, recording and
reviewing
Description of risk identification, assessing, recording,
reviewing
Description of how critical safety areas are identified.
Description for reporting, recording, investigating
accidents
Description for the monitoring and to analysis data
Description on the methods for continued safety
monitoring
Description for communicating safety measures
Description for recruitment, training & competency
Safety Policy statement for maintaining safety
Safety Policy statement improving safety performance
Safety Policy statement for implementing safety system
Comments
Recommendations:
Signature of Inspector.
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