مجلد 12. المراقبة

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GACA
اللغه العربيه للطيران المحني
General Authority of Civil Aviation
EBOOK VOLUME 12. SURVEILLANCE
TABLE OF CONTENTS
VOLUME 12. SURVEILLANCE
CHAPTER 1. GENERAL SURVEILLANCE/INSPECTION POLICIES AND PROCEDURES
Section 1. Surveillance Policies and Procedures 6
Section 2. Inspection Practices and Procedures 21
Section 3. GACA Activity Report (GAR) Reporting Procedures ……25
Section 4. GACA Categorization of Findings and the Requirement for……26
Root Cause Analysis (RCA)
CHAPTER 2. COMMON PART 121, 125, 133, 135 AND 145 INSPECTIONS
Section 1. Ramp Inspection for Part 121, 125 and 135 29
Section 2. Spot Inspection of an Operator's Aircraft for Part 121, 125, \(\cdots\) 49
133 and 135
Section 3. Ground Deicing/Anti-Icing Inspection for Parts 121, 125 and·57
135
Section 4. Detect Unapproved Parts Inspection for Parts 121, 125, 133, 63
135 and 145
Section 5. Detailed Process/Task Inspection for Parts 121 and 125 …68
Section 6. Refueling Procedures Inspection for Parts 121, 125, and 135 73
Section 7. Evaluate/Inspect Outsource Maintenance Organization……77
Facility for Part 121 and 125
Section 8. Inspection of Helicopter Performance Class-2 with Exposure…91
Operations (PC2WE)
CHAPTER 3. COMMON PART 121 AND 135 INSPECTIONS
Section 1. Cargo Loading Inspection for Part 121 and 135 94
Section 2. Trip Records Inspection for Part 121 and 135 105
Section 3. Manuals Inspection (Operations) for Part 121 and 135 ……112
Section 4. Proficiency and Competency Check Inspection for Part 121…116 and 135
Section 5. Line Check Inspection for Part 121 and 135 127
Section 6. Crew Member and/or Dispatcher Records Inspection for Part· 130
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121 and 135 130
Section 7. Training Program Inspection (Operations) for Part 121 and…135
135
Section 8. Operational Control Inspection for Part 121 and 135 …… 142
Section 9. Station Facilities Inspection for Part 121 and 135 …… 169
Section 10. Maintenance Facility Inspection for Part 121 and 135 … 182
CHAPTER 4. COCKPIT AND CABIN ENROUTE INSPECTION FOR PARTS 121, 125 AND 135
Section 1. Cockpit En-Route Inspection for Parts 121, 125 and 135 189
Section 2. Over-Water En-Route Inspection for Part 121 and 135 …208
Section 3. Cabin En-Route Inspection for Parts 121 and 125 …… 214
CHAPTER 5. PART 91 INSPECTIONS
Section 1. Inspection of a Part 91 Operator 233
Section 2. Ramp Inspection (Operations) for Part 91 242
Section 3. Inspect an Approved Aircraft Inspection Program for Part 91 249
Section 4. Sport Parachute Activities Surveillance 254
CHAPTER 6. PART 121 INSPECTIONS
Section 1. Evaluation of an Operator's Management of Significant…… 258
Changes
Section 2. Pilot-In-Command (PIC) Operating Experience Observation… 285 for Part 121
Section 3. Approved Reliability Program Inspection for Part 121 … 288
Section 4. Extended Operations (ETOPS) Inspection for Part 121 …300
Section 5. Detailed In-Process/Task Inspection of Essential Maintenance317
Providers for Part 121
Section 6. Aging Airplane Inspection for Part 121 328
Section 7. Maintenance Records Inspection for Part 121 333
Section 8. Monitor Continuous Airworthiness Maintenance Program…… 342
(CAMP) for Part 121
CHAPTER 7. PART 125 INSPECTIONS
Section 1. Trip Records Inspection for Part 125 359
Section 2. Crewmember Records Inspection for Part 125 363
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Section 3. Station Facility Inspection for Part 125 368
Section 4. Base Inspection for Part 125 375
Section 5. Airplane Inspection Program Inspection for Part 125 ……384
Section 6. Maintenance Records Inspection for Part 125 387
CHAPTER 8. PART 133 INSPECTIONS
Section 1. Base Inspection for Part 133 396
Section 2. Ramp Inspection (Operations) for Part 133 407
Section 3. Congested Area Operation Inspection (Operations) for Part…416 133
Section 4. Banner Towing Operations Inspection 419
Section 5. Motion Picture/Television Filming Production Event 425 Inspection
CHAPTER 9. PART 135 INSPECTIONS
Section 1. Base Inspection for Part 135 439
Section 2. Maintenance Records Inspection for Part 135 443
Section 3. Surveillance of an Aircraft Inspection Program for Part 135 450
CHAPTER 10. RESERVED
Reserved 454
CHAPTER 11. PART 141 INSPECTIONS
Section 1. Pilot School Facility Inspection for Part 141 455
Section 2. Pilot School Aircraft Inspection for Part 141 462
CHAPTER 12. PART 142 INSPECTIONS
Section 1. Training Center, Satellite and Remote Site Inspection for Part 465 142
CHAPTER 13. PART 145 INSPECTIONS
Section 1. Certificate Requirements Inspection for Part 145 471
Section 2. Station Record System Inspection for Part 145 474
Section 3. Manual System Inspection for Part 145 480
Section 4. Housing and Facilities Inspection for Part 145 485
Section 5. Tools and Equipment Inspection for Part 145 489
Section 6. Technical Data Inspection for Part 145 495
Section 7. Quality Control System Inspection for Part 145 501
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EBOOK VOLUME 12. SURVEILLANCE
Section 8. Parts and Material Program Inspection for Part 145 …… 507
Section 9. Personnel Inspection for Part 145 512
Section 10. Training Program Inspection for Part 145 517
Section 11. Maintenance Process Inspection for Part 145 521
Section 12. Authorization for Work Away From Its Fixed Location…… 526
Inspection for Part 145
Section 13. Contract Maintenance Program Inspection for Part 145 532
Section 14. Maintenance/Alteration Requirements Inspection for Part…537 145
Section 15. In-Depth Inspection for Part 145 543
Section 16. Providing Essential Maintenance Before, During, and After a562
Labor Dispute or Bankruptcy Inspection for Part 145
CHAPTER 14. PART 147 INSPECTIONS
Section 1. Inspection of Part 147 570
CHAPTER 15. MISCELLANEOUS PART 61, 91, 121, 125, 135, 141 AND 145 SURVEILLANCE/INSPECTIONS
Section 1. Certificated Flight Instructor Surveillance for Parts 61 and……577 141
Section 2. Flight Instructor Refresher Clinic Inspection 588
Section 3. Air Ambulance Aircraft Inspections 595
Section 4. Observing Air Carrier Operations from Air Traffic Service……603 (ATS) Facilities
Section 5. Problematic Use of Psychoactive Substances by Flight……605
Crewmembers
Section 6. Transportation of Oxygen Generators (Chemical) for Parts……607
121, 125, 135 and 145
Section 7. Inspect Communications Stations 609
Section 8. Aviation Event Surveillance (Operations) 612
Section 9. Air Show/Air Race Surveillance (Airworthiness) 630
Section 10. Monitor Mechanic, Repairman and Inspection Authorization636 Holder
Section 11. Avionics Test Equipment Inspection 639
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[Non-Text]
EBOOK VOLUME 12. SURVEILLANCE
Section 12. Altimeter Setting Sources Inspection 643
Section 13. Special Equipment or Test Apparatus Evaluation 645
Section 14. Inspect a Repair Facility Accomplishing Composite……649
Maintenance and Repairs
Section 15. Ultralight Vehicle Operations Surveillance 654
Section 16. Light-Sport Repairman Training Facilities Inspection .... 659
CHAPTER 16. PART 127 INSPECTIONS
Section 1. TBD 661
CHAPTER 17. PART 129 INSPECTIONS
Section 1. Safety Assessment of Foreign Aircraft (SAFA) 662
CHAPTER 18. FLIGHT RECORDER INSPECTION
Section 1. Flight Data Recorder Inspection 671
Section 2. Cockpit Voice Recorder Inspection 678
CHAPTER 19. SAFETY MANAGEMENT SYSTEM (SMS)
Section 1. Background 681
Section 2. Guidelines for Conducting Routine SMS Surveillance 682
CHAPTER 20. PRODUCTION CERTIFICATE HOLDERS
Section 1. TBD 690
CHAPTER 21. AERODROMES INSPECTION
Section 1. Background 691
Section 2. Guidelines for Conducting Various Types of Inspections … 692
CHAPTER 22. AIR NAVIGATION SERVICE PROVIDERS
Section 1. General 753
Section 2. ANS Safety Oversight Principles and Cycles 758
Section 3. Annual Planning and Preparation 770
Section 4. Conduct of Surveillance Activities 771
Section 5. Quality Assurance and Feedback 790
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GACA
اللغه العربيه للطيران المحتري
General Authority of Civil Aviation
EBOOK VOLUME 12. SURVEILLANCE
VOLUME 12. SURVEILLANCE
CHAPTER 1. GENERAL SURVEILLANCE POLICIES AND PROCEDURES
Section 1. Surveillance Policies and Procedures
12.1.1.1. INTRODUCTION.
A. Background. The Civil Aviation Law authorizes the General Authority of Civil Aviation (GACA) to conduct surveillance of certificate holders in order to ensure compliance with the General Authority of Civil Aviation Regulations (GACARs). Specifically, Article 17 and Article 83 of the Law which permits the President to:
- “Authorized representatives of the Authority ... enter offices and premises of national and foreign air carriage companies and establishments, as well as air freight and aircraft ground service companies and agencies to inspect them and monitor the implementation of the conditions of the licenses and permits issued thereto for the performance of the activities thereof...”
- “Said representatives shall have the right to access any documents as may be deemed necessary to perform said inspection and may seize any documents found to be in violation of the provisions of this Law, licenses or permits issued to said companies or agencies or instructions issued by the Authority”
- “The Authority may inspect aircraft in order to verify airworthiness thereof, and may, if necessary, suspend airworthiness certificates and issue the necessary instructions therefore in accordance with controls and procedures set forth in the Regulations.”
The Civil Aviation Law also authorizes the GACA to take actions (e.g. amend, suspend, revoke) against certificates issued by the GACA if the certificate holder has failed or is unable to meet or maintain the required standards. In addition to the Civil Aviation Law, the GACAR parts include sections that require certificate holders to grant access to the President (and his authorized representatives) in order to make any necessary inspections to ensure compliance with the regulations.
B. Surveillance is one of the most significant duties of the GACA. Surveillance is a duty and responsibility of all aviation safety inspectors (Inspectors) and is carried out in order to ensure the continued compliance of certificate and license holders with the GACARs. Information generated from the surveillance programs permits the GACA to act upon deficiencies which affect or have a potential effect on aviation safety.
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EBOOK VOLUME 12. SURVEILLANCE
1) For an organization to receive certification, the organization is required by regulation to publish manuals (e.g. Operations Manual (OM), Repair Station Manual (RSM), Quality Control Manual (QCM), Maintenance Manual (MM) in Part 121 and Maintenance Control Manual (MCM)/ Maintenance Procedure Manual (MPM) in Part 125) which clearly explain how the organization intends to meet the requirements of the standards and regulation under which the organization will be operating. The manuals are reviewed during the GACA certification activities to ensure that the means to achieving compliance with regulatory requirements is referenced and documented.
2) Once certificated, the organization's manuals form regulatory standards to which the organization will be evaluated. If for any reason process and/or procedure specified in a manual are inadequate or are not being complied with by organization personnel, such deficiencies must be brought to the attention of the organization for rectification. Moreover, non-conformance with other regulatory requirements must also be brought to the attention of the organization. Where a non-conformance is identified during an inspection, a finding will be assigned citing examples of the deficiencies, corrective actions will be implemented and follow-up will be conducted in accordance with the process specified in this process.
3) Checklists, forms, reports and material are designed to provide Inspectors and organizations with guidance information in effort to accurately assess an organization level of conformance with regulatory requirements. Checklists may be general in nature or refer to more specialized checklists, forms or guidance material. Inspectors may also supplement these checklists with information contained in other authoritative publications as required.
12.1.1.3. OBJECTIVE OF SURVEILLANCE PROGRAMS. The broad aim of the GACA surveillance program is to ensure that all significant aspects of a certificate holder's procedures and practices are evaluated on a continuing basis. The GACA surveillance program encompasses a number of elements that, as a total surveillance package, provides for thorough and ongoing assessment of the certificate holders' degree of compliance with the GACAR. The GACA surveillance program includes the following elements:
- Scheduled audits and inspections performed in accordance with a surveillance plan that is derived from the GACA surveillance policy
- Inspections performed as part of certificate renewals
• Periodic random inspections
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General Authority of Civil Aviation
EBOOK VOLUME 12. SURVEILLANCE
- Special purpose inspections when condition warrant
12.1.1.5. PLANNING AND EXECUTING SURVEILLANCE PROGRAMS. The GACA surveillance program is derived from several policies that relate to the planning and execution of surveillance activities and the resolution of identified safety concerns and non-compliances. These policies are described in the associated surveillance work processes.
A. There are four phases involved in the GACA surveillance program. These phases are as follows:
- Phase One - Developing the surveillance plan by determining the types of surveillance activities necessary and the frequency of those surveillance activities
- Phase Two - Executing the surveillance plan by conducting the surveillance activities
- Phase Three - Analyzing surveillance data in order to: 1) categorize the severity of safety deficiencies observed in order to establish appropriate timeframes for corrective actions; and 2) identify trends in order to adjust the surveillance plan if necessary
- Phase Four – Resolution of identified safety deficiencies and non-compliances
B. Phase One: Developing a Surveillance Plan. An annual surveillance plan shall be developed for each functional area of GACA Safety and Air Transport (S&AT). The annual surveillance plan shall be derived from the GACA surveillance planning policy. The GACA surveillance planning policy is established by the Assistant Vice President, S&AT, with input from his staff. The surveillance planning policy is reviewed periodically for effectiveness and compliance with international norms.
1) The GACA surveillance planning policy is stated below:
a) The broad aim of the GACA surveillance program is to ensure that all significant aspects of a certificate holder's procedures and practices are evaluated at least once in every 12-month period.
b) Surveillance of holders of new certificates / privileges shall be undertaken within 6 months of the date of the original certificate / privilege issuance in order to re-evaluate the certificate holder's procedures and practices.
c) Surveillance tasks and frequencies shall be established with consideration of
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EBOOK VOLUME 12. SURVEILLANCE
available resources and the safety benefit derived from the surveillance activities. The broad objective shall be to maximize the safety benefit of our available surveillance resources.
d) Surveillance frequencies shall be increased if risk indicators show that higher frequencies are warranted.
e) Surveillance frequencies may be decreased with GACA management approval if surveillance results indicate a high degree of voluntary compliance and a well-established risk management system within the certificate holder. In no cases may surveillance frequencies exceed 24 months however.
f) Scheduled surveillance activities shall be supplemented with periodic random surveillance.
g) Sampling may be used when inspecting large amounts of similar data (e.g. pilot training records, maintenance task cards, etc.) however statistically reliable methods shall be used when selecting sample sizes.
2) The surveillance planning policy requires that the surveillance plan be developed with consideration of specific risk indicators associated with the certificate holder. Risk indicators to consider include the following:
- Aspects of the certificate holder's surroundings that may lead to or trigger a systemic failure with the potential of creating an unsafe condition. Examples include:
0 Age of Fleet
o Varied Fleet Mix/Configuration
o Change in Aircraft Complexity
o Outsourcing (Maintenance, Training, Ground Handling)
o Seasonal Operations
o Relocation/Closing of Facilities
o Lease Arrangements
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- Compliance and performance history of the certificate holder over time, including:
o Enforcement Actions
o Accidents/Incidents/Occurrences
o Third Party Audits (e.g. IOSA, IASA)
o Self-Disclosures
o Complaints
- Organizational and environmental factors the certificate holder cannot directly control, but can manage effectively to improve system stability and safety. Examples include:
o Changes in key management personnel
o Difficult Financial Conditions
o Turnover in Personnel
o Rapid Growth/Downsizing in Workforce
o Merger or Takeover
o Labor-Management Relations
- Organizational and environmental factors that the certificate holder can directly control. Examples include:
o New or major changes to programs, infrastructure or procedures
o Reorganization
3) The annual surveillance plan is to be based on available resources and should be designed to achieve the maximum safety benefit possible.
4) The annual surveillance plan is to be developed for each certificate holder. The surveillance plan must be presented in a format that includes the following items as a minimum:
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- Name of certificate holder (or other kind of authorizing document, if applicable)
- Type of certificate(s) held (or other kind of authorizing document, if applicable)
• Number and type of all planned surveillance tasks
C. Phase Two: Executing the Surveillance Plan.
1) In conducting surveillance and documenting the outcomes, GACA is able to assess and demonstrate an organization's level of conformance to regulatory requirements. Adherence to the guidance herein is imperative to ensure inspection and/or audit policies and procedures are uniformly applied. All surveillance activities shall be executed in accordance with the GACA surveillance execution policy which is stated below:
- All GACA surveillance shall be conducted in accordance with the processes and procedures described in this handbook
- All identified non-compliances shall be recorded, in writing, using the relevant GACA forms
- Notwithstanding 2) below, at the discretion of the Inspector, identified non-compliances that are not intentional, error based and which pose only very low risk to aviation safety may be resolved by way oral counseling
- All surveillance records shall be retained in the certificate holder's file at the GACA office
2) To maintain overall effectiveness of safety oversight or audit activity, the GACA approach to each organization must be one of transparency, with a high degree of professionalism, using experience, skills and communication as essential ingredients. The aviation community must view the GACA surveillance program as one that is fair and equitable in its application.
D. Phase Three: Analyzing Surveillance Data.
1) Background.
a) Analyzing surveillance data gathered from surveillance reports is an essential element of the GACA surveillance program. By analyzing identified safety concerns and
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EBOOK VOLUME 12. SURVEILLANCE
non-compliances, GACA is able to ensure that both short term and long term safety risks are identified and categorized and that the GACA approach to resolution will be appropriate to the seriousness of the situation.
b) The analysis of surveillance reports and other safety intelligence allows the GACA to identify patterns, weaknesses, deficiencies in the aviation system. The analysis can also help identify causes and possible remedies.
c) In view of the increasing complexity of modern operating techniques, aircraft and equipment, there is a continuing need to review the scope of inspections and related surveillance techniques and procedures in order to better evaluate specific areas of interest and ensure effective use of GACA Inspector resources.
d) The analysis of the surveillance data is carried out on three levels in accordance with the GACA policy on the analysis of identified safety concerns.
2) Policy.
- On the first level, immediately after identifying a safety concern or non-compliance, the Inspector shall categorize the severity of safety deficiencies observed in order to establish appropriate timeframes for corrective actions
- On the second level, at periodic intervals (e.g. monthly, quarterly), Supervisory Inspectors shall analyze identified safety concerns and non-compliances within their jurisdictions in order to identify negative trends in the safety performance of their assigned certificate holders
- On the third level, at periodic intervals (e.g. quarterly, annually), Directors/Managers shall analyze identified trends in the safety performance of their assigned sectors of aviation in order to affect improvements in regulations, guidance material, regulatory oversight programs and other aviation sectors
3) Process.
a) First Level Analysis: (Inspectors). After any surveillance activity has been completed, the Inspector shall analyze the surveillance findings to categorize the seriousness of the findings and identify trends (both positive and negative) in the safety performance of the certificate holder. The Inspector shall inform the assigned Supervisory Inspector of all
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findings categorized as serious. In addition, for non-compliances, the Inspector should assess the type of conduct that led to the non-compliance in order to establish whether non-compliance is of a repetitive or intentional nature. The Inspector shall inform the assigned Supervisory Inspector of all findings categorized as repetitive or intentional.
b) Second Level Analysis: (Supervisory Inspector). Periodically, the Supervisory Inspector shall analyze the surveillance data for their assigned certificate holder's jurisdictions in order to identify negative trends in the safety performance of their assigned certificate holders. Supervisory Inspectors should include other relevant data pertaining to the certificate holder's operation such as past surveillance findings, incident and accident reports and data, enforcement actions and surveillance data from third parties. Depending on the results of the analysis, it may be appropriate to increase or decrease the rate at which inspections are conducted during subsequent surveillance programs or initiate additional surveillance activities. It may be appropriate to change the emphasis or objectives of surveillance programs by changing the types and numbers of inspections to be conducted. The Supervisory Inspector shall inform their Director/Manager of all safety significant situations.
c) Third Level Analysis: (Directors / Managers). Periodically, Directors/Managers shall analyze identified trends in the safety performance of their assigned sectors of aviation in order to affect improvements in regulations, guidance material, regulatory oversight programs and other aviation sectors.
NOTE: Directors / Managers shall inform the Vice President of all significant safety situations.
E. Phase Four: Resolution of Identified Safety Concerns and Non-Compliances. Inspectors and Supervisory Inspector must use good judgment when deciding on the most effective course of action to be taken. The appropriate course of action depends on many factors. There are also many actions which can be taken, such as: taking no action; informal discussion with the operator; formal written request for corrective action; withdrawal of GACA approval of a program, manual, or document; and, initiation of an incident or enforcement investigation. Results of the evaluation of surveillance data and the operator's response to the course of action taken should be considered. Part of the fourth phase of a surveillance program is for the Vice President to determine, as a result of the information gathered from the program, what will become the inspection requirements for subsequent surveillance programs. Depending on the situation, it may be appropriate to increase or decrease the rate at which inspections are conducted during
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subsequent surveillance programs. It may be appropriate to change the emphasis or objectives of surveillance programs by changing the types and numbers of inspections to be conducted.
NOTE: GACA Compliance and Enforcement policies and processes can be found in Volume 13, Compliance Enforcement & Resolution of Identified Safety Deficiencies.
12.1.1.7. SURVEILLANCE PLANNING AND EVALUATION RESPONSIBILITIES.
A. GACA Inspectors receive the authority to conduct audits and/or inspections through their delegated authority and official credentials document issued under the authority of the President. Inspectors are also delegated the authority to exercise regulatory powers when encountering a situation where there is an immediate threat to aviation safety. Such powers include detention of aircraft and suspension of certificates and other authorizing documents issued under the GACAR. Inspectors are expected to use judgment and tact in dealing with such matters where the overriding factor is safety to persons and property. Although an Inspector cannot permit a threat to safety to persist, it is important that the person or organization under review be advised of the specific safety concerns and be given the opportunity to address the situation voluntarily. Whenever possible, the Inspector's manager shall also be consulted in advance of any significant safety action.
1) Supervisory Inspectors shall:
- Prepare an annual surveillance plan for each assigned certificate holder
- Provide regular updates to their managers on the implementation status of their surveillance plan
2) Directors/Managers shall:
- Approve, in writing, the surveillance plan and any significant changes to it
- Notify GACA senior management if the approved surveillance plan does not conform to the GACA Surveillance Policy
- Provide regular updates to the GACA senior management on the implementation status of their surveillance plan.
12.1.1.9. DETERMINING INSPECTION REQUIREMENTS. When developing a surveillance plan,
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Supervisory Inspectors must determine the number and types of inspections that should be conducted. For a routine surveillance program, there should be a representative number of each type of inspection. Circumstances or results from previous inspections, however, may indicate that a specific area should receive emphasis and therefore more inspection activity of a particular type. Conversely, surveillance data may indicate that certain types of inspections are ineffective or that fewer inspections can effectively accomplish the objective.
A. When determining the number of inspections that should be accomplished, the Supervisory Inspector should consider the complexity and size of the operator. A method which can be used to consider complexity and size is to separate an operation into homogenous groups. Examples of homogenous groups include pilots, mechanics, aircraft, cabin crew members, training and qualification records, line stations, and various types of manuals. Each of these groups can be considered separately when determining the number and types of inspections that should be conducted.
B. When considering a large homogenous group, such as trip records, certain statistical methods may be useful to Inspectors for determining how many inspections to conduct.
1) A specific number, or sampling, of a group can produce a 95% confidence level that a sufficient number of inspections will be accomplished to properly assess the compliance status of that particular area. Figure 12.1.1.1 provides guidance for sample sizes (the number of inspections) of varying population sizes (the homogenous group) that will result in a statistical confidence level of 95%:
Figure 12.1.1.1 Number of Inspections Recommended Achieving 95% Confidence Level
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<table><tr><td>Population of Homogeneous Group</td><td>Recommended Number of Inspections</td></tr><tr><td>Up to 100</td><td>50% (50)</td></tr><tr><td>200</td><td>40% (80)</td></tr><tr><td>400</td><td>35% (140)</td></tr><tr><td>500</td><td>33% (165)</td></tr><tr><td>1000</td><td>28% (280)</td></tr><tr><td>2000</td><td>16% (322)</td></tr><tr><td>3000</td><td>11% (330)</td></tr><tr><td>4000</td><td>8.8% (352)</td></tr><tr><td>5000</td><td>7.7% (355)</td></tr></table>
2) Samples may be drawn from the homogenous group in several ways. To be acceptable for statistical evaluation, however, the sample to be inspected must be random. The following is one method of conducting a random sampling. A sampling interval must first be established. For illustration purposes, an interval of nine will be used. Out of the first nine items of a rank (airman records in alphabetical order), the first item is chosen at random. Thereafter every ninth record is selected. For example, if a sample size of 330 records is selected from a homogenous group of 3,000 records (see Figure 12.1.1.1), the sampling interval would be every ninth record (3,000 divided by 330). If an inspection starts at a randomly selected record between 1 and 9, and continues with the selection of every ninth record thereafter, a 95% confidence level will be produced. When a method such as this is used, all elements (records) in the group are given equal chance of inclusion in the sample.
C. Each type of inspection varies in its basic objective. Many types of inspections, however, share common events or elements in the aviation system. For example, pilots are evaluated during en route inspections, IOE inspections, simulator training sessions, and required checks. Supervisory Inspector should consider this when developing surveillance programs. For example (and to illustrate the use of the previous figure), if an operator employs 200 flight crew members (PICs, SICs, and FEs), it is recommended that at least 40% (or 80 flight crew members) be evaluated
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during a surveillance program. If the objective is to inspect this number of flight crew members, the inspection may include any combination of en route inspections, IOE observations, training sessions, line checks, or proficiency checks.
D. The information in Figure 12.1.1.1 is guidance only and should not be construed as a mandatory method for determining the number of inspections to be conducted during a surveillance program. The primary objectives of a surveillance program are for the inspectors to conduct inspections which are qualitative and which provide effective results. The quality of inspections must be given a higher priority than the actual number of inspections conducted. Inspections that produce qualitative information which can be systematically evaluated and used as a basis for taking effective courses of action are more important than the number of inspections conducted. Supervisory Inspector should review and when necessary revise their surveillance programs semi-annually and annually to adjust them according to national surveillance programs and to ensure that the programs are effective and are meeting planned objectives.
12.1.1.11. EVALUATION OF INSPECTION RESULTS.
A. Inspector evaluation of inspection results is a key phase of any surveillance program. The primary purpose of evaluating surveillance data is to identify both negative and positive trends as well as deficiencies which are not associated with an apparent trend. Supervisory Inspector should determine the appropriate course of action to take based on their evaluation of inspection results. This evaluation of inspection results is also important in terms of redefining and implementing subsequent surveillance objectives and inspection activity. Supervisory Inspector must adopt systematic methods that permit accurate and effective evaluation of inspection results. Additionally, other related information from incidents, accidents, enforcement actions and other sources may provide valuable trend information which may relate to the operator's safety and compliance status. Supervisory Inspector should use all available inspection results and related information to decide on appropriate courses of action. For example, if in a series of ramp inspection reports a trend of deficiencies in the use of the MEL is identified, but the cause of these deficiencies cannot be identified, the Supervisory Inspectors may need to adjust the emphasis on the types of inspections conducted. In this case, training program inspections, manual inspections, or flight control inspections (flight release procedures) may be more effective in determining the cause of these deficiencies. In this example, the Supervisory Inspector's initial course of action might be to informally discuss the identified trend of deficiencies with the operator. After other types of inspection results identify the cause of the deficiencies, the Supervisory Inspector can take an effective course of action by formally requiring the operator to correct the problem at its source. The previous example is illustrative only of how surveillance
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information may be used to determine the courses of action to be taken for a particular situation.
B. There are several broad areas of interest in a surveillance program that, when organized into more defined elements, will provide an effective and comprehensive evaluation of surveillance data. The GACA Activity Report (GAR) is an effective tool which the Supervisory Inspector should use during the ongoing evaluation of a surveillance program. Inspection results are available in ad hoc formats or in established report formats for real-time and comprehensive data analysis (see section 2 of this chapter). The GAR is designed to process surveillance data by organizing the data into broad areas of interest and by collecting elements of information within those broad areas. The GAR is discussed in detail in Section 2 of this chapter.
1) This system provides for the organized retrieval of surveillance data that is related to a broad area of interest. In the GAR these broad areas of interest are referred to as “primary areas.” The GAR, as currently designed, organizes the broad areas of interest (primary areas) under the following primary groups:
• Air Carrier Operations
• General Aviation Operations
• Air Navigation Services (ATC/Airspace)
- Aerodromes
- Air Agencies
• Air Carrier Airworthiness
• General Aviation Airworthiness
- Aircraft ATA Codes
• GACA Designees
- Crew Members
2) Each primary area is further organized by a key word list of elements of information. This framework provides a method for Supervisory Inspector to use when organizing surveillance information for effective trend evaluation strategies. The following is a list of the major titles
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of the elements of information (relating to operations) that are currently designed into the GAR:
- Personnel
- Manuals
- Records/Reports
- Training
• Facilities/Equipment
- Conformance (compliance with regulations and safe operating practices)
• Operations (flight conduct)
- Flight Control
• Key Personnel Programs
- Management
- Aircraft
3) Each of these elements of information provides for a database of related information obtained from inspection reports. By grouping inspection results from related types of inspections, any developing trends or areas that will require an appropriate course of action (or additional emphasis) during subsequent inspections, are more readily identified. For example, surveillance data related to the element of information titled “personnel” can be obtained from the following types of related inspection reports:
o En route inspections (IOE and line checks)
o Ramp inspections
o Proficiency check inspections
o Training inspections
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o Other related inspections
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VOLUME 12. SURVEILLANCE
CHAPTER 1. GENERAL SURVEILLANCE POLICIES AND PROCEDURES
Section 2. Inspection Practices and Procedures
12.1.2.1. GENERAL. This section contains information on both objectives and characteristics of inspections. It contains direction and guidance on the planning and conduct of specific types of inspections in support of an overall surveillance program. This guidance applies to all aviation safety inspectors (Inspectors) who conduct inspections under General Authority of Civil Aviation Regulations (GACARs).
12.1.2.3. OBJECTIVE OF AN INSPECTION. The primary objective of any inspection is to determine that a person, an item, or a certain segment of an operation associated with air transportation meets at least the same standards that were required for initial certification or approval by the General Authority of Civil Aviation (GACA). For Inspectors to make these determinations, inspections must be conducted in an orderly and standardized manner. To accomplish this, each type of inspection must have individual objectives and be conducted each time in generally the same manner, according to the direction and guidance in this handbook and with appropriate job aids.
12.1.2.5. CHARACTERISTICS OF AN INSPECTION. As discussed in Section 1, each type of inspection is a specific event (work activity) which has the following characteristics:
- A specific work activity title and GAR activity code
• A definite beginning and a definite end
- Specific objectives to be met
- General procedures to be followed
• A report of findings
A. Each type of inspection is identified with a specific title. Also, each type of inspection is assigned a specific GAR activity code as a reference in the planning and tracking of inspection activity.
B. Inspections have a definite beginning and end. They may be scheduled by an Inspector for the
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observation and evaluation of a specific activity, such as a proficiency check, or they may be scheduled for the evaluation of operator documents, manuals, or approved programs. A specific inspection activity may be initiated and completed in a short time or it may be initiated on one day and completed several days later with other types of work activity conducted during that time. In any case, an inspection begins when an Inspector initiates the inspection task and ends when the Inspector has completed the inspection report.
C. Inspections have general procedures that Inspectors should follow for standardization purposes. In most cases, there is a specific job aid for each type of inspection which contains lists of specific items or areas which should be observed and evaluated, when applicable, during the inspection. Examples of these job aids are included in respective sections of this chapter.
D. The primary objective of any inspection is to determine that a person, item, or segment of an operation complies or continues to comply with regulations, safe operating practices, and other established standards. Each inspection types, however, has specific objectives, which are discussed in respective sections of this chapter. An inspection in not complete until a report on the results of the inspection has been recorded. This inspection report is the key element of any inspection. Inspection must be concise, factual, and objective in reporting inspection results.
12.1.2.7. CONDUCTING AN INSPECTION. Due to the complexity of the aviation industry there are various types of inspections, each type with specific objectives. When deciding which type of inspection to conduct, Inspectors should consider the objectives of each type of inspection and determine the type most appropriate and effective for a particular situation. The decision to conduct a particular type of inspection may be based on an isolated situation, such as a complaint or an incident, or on some other information that raises a question about compliance with a regulation or safe operating practice. In most situations, however, the types of inspections that need to be conducted are determined by Managers and Supervisory Inspector during the development of surveillance programs. These determinations are based on the analyses of previously collected surveillance data, risks analysis and other related information.
A. Preparing for an Inspection. Before conducting an inspection, Inspectors should to the extent possible, familiarize themselves with a certificate holder's systems, methods, and procedures. To obtain this familiarization, Inspectors can review those sections of the certificate holder's manuals pertinent to the type of inspection to be conducted. Additional familiarization can be obtained by an Inspector questioning and discussing the operator's systems, methods and procedures with the Supervisory Inspector and with other Inspectors already acquainted with the operator. When possible, Inspectors should become aware of any previous deficiencies or negative trends by
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reviewing previous surveillance data pertinent to the type of inspection to be conducted. Inspectors must be acquainted with the applicable direction and guidance in this handbook for the type of inspection to be conducted. Inspectors can review the appropriate job aid as a reminder of the areas to be evaluated.
B. Advance Notice of an Inspection. Most inspections will cause some disruptions to routine operations. Responsible certificate holders understand the legal basis for GACA surveillance and are generally cooperative in responding to the needs of Inspectors during the conduct of inspections. Certificate holders are required to afford Inspectors the opportunity to conduct inspections in a manner that effectively accomplishes the objectives of the inspections. Inspectors should, however, arrange their inspection activities so they will result in a minimum amount of disruption to routine operations. In general, it is appropriate and helpful to both the certificate holder and Inspectors to provide advance notice that an inspection is to be conducted. Advance notice should be given for inspections which take operator personnel away from their normal duties, such as records inspections. Such advance notice is usually unnecessary for those inspections which result in only a minimal involvement of the certificate holder's personnel.
C. Limiting the Scope of an Inspection. Each inspection has a set of items or areas that Inspectors should observe and evaluate. Sufficient time should be allotted for effective evaluation of all the items or areas. The circumstances, under which inspections are conducted however, vary considerably. Often Inspectors will not be able to evaluate all the specified items or areas. The more important consideration is to thoroughly and qualitatively evaluate those items or areas in which the Inspector has the time and opportunity to observe. In some circumstances, it may be preferable for an Inspector to limit the scope of a particular inspection type to ensure the quality of the inspection. When an inspection is limited in scope, the Inspector should provide a comment on how it was limited, and indicate it by either recording the number or type of records or manuals evaluated, recording the general areas evaluated, or by recording the general areas not evaluated. In general, it is better to schedule sufficient time to evaluate all the items or areas specified for an inspection type. Inspections that are limited in scope, however, do serve a useful purpose and can still provide valuable information.
D. Inspector Conduct. The actions and conduct of an Inspector are subject to close scrutiny by the personnel they encounter during the performance of an inspection. Inspectors must conduct themselves as aviation professionals at all times when conducting inspections. When initiating an inspection, Inspectors shall properly identify themselves and ensure that the appropriate operator personnel are fully aware of the type and purpose of the inspection being conducted. Inspectors shall wear name tags or other appropriate identification in plain view during the
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conduct of the inspections. When observing or evaluating personnel during the performance of their assigned duties, Inspectors shall not intervene in a manner that could adversely hinder or preclude them from effectively performing their duties. If, however, an Inspector observes a condition that is obviously unsafe or that could potentially become unsafe, the Inspector shall immediately inform the appropriate personnel of the condition.
E. Concluding an Inspection. At the conclusion of an inspection, Inspectors should usually debrief appropriate certificate holder personnel of the inspection results. When appropriate to the type of inspection conducted, the debriefing should include a summary of the area inspected and the Inspector's findings concerning the compliance status of each area. Persons, items, or areas that were found to meet or exceed standards should also be commented on during the debriefing. Post-inspection debriefing must include an explanation of any deficiencies that were found during the inspection. Appropriate operator personnel must be informed of any areas that will require some form of follow-up action. If a regulation has been violated, Inspectors must document the non-compliance finding with the appropriate form and this finding must be transmitted to the certificate holder. Care must be taken to gather and secure any relevant evidence to support the non-compliance finding. When an Inspector is unable to debrief the appropriate operator employees on any deficiencies because those employees are not available, the Inspector should indicate in the inspection report that the operator was not briefed on the deficiencies. Isolated types of deficiencies found during an inspection can often be corrected by the certificate holder while the inspection is being conducted. Such deficiencies can be adequately resolved and closed out during the post-inspection debriefing. In these cases, however, Inspectors should record information about the deficiency and how it was corrected on the inspection report because such information is useful for trend evaluations. The preparation of the inspection report and the follow-up and closure of all identified non-compliances are the final actions that must be taken by Inspectors to conclude an inspection. All reports on specific inspections and all non-compliance records shall be retained in the certificate holder's file (see Volume 13).
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VOLUME 12. SURVEILLANCE
CHAPTER 1. GENERAL SURVEILLANCE POLICIES AND PROCEDURES
Section 3. GACA Activity Report (GAR) Reporting Procedures
1. Current Approach for Managing GARs:
(a) Interim Measures:
Inspectors must create and store GARs using approved Microsoft Word templates and SharePoint until GACA's electronic system is implemented.
(b) Activity Tracking:
Maintain an activity log in SharePoint to track GAR submissions, reference numbers, dates, and responsible inspectors.
2. Submission and Review Process:
(a) Inspectors must submit completed GARs to the related department manager / section head within 48 hours of completing the inspection.
(b) The department manager / section head reviews GARs for accuracy, completeness, and adherence to GACA policies.
(c) Approved GARs are stored in SharePoint and used for trend analysis and future planning.
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VOLUME 12. SURVEILLANCE
CHAPTER 1. GENERAL SURVEILLANCE POLICIES AND PROCEDURES
Section 4. GACA Categorization of Findings and the Requirement for Root Cause Analysis (RCA)
1. Levels of Findings:
GACA adopts a three-level finding system to categorize findings identified during surveillance activities. This system balances the need for addressing safety concerns with recognizing exemplary practices that contribute to continuous improvement. All surveillance activities must be documented, even in cases where no findings are observed.
(a) Level 1 Non-Compliance:
- A significant non-compliance with applicable regulations, GACA requirements, organizational procedures or manuals, or the organization's certificate terms of approval, which lowers safety or seriously endangers flight safety.
- Examples:
§ Failure to grant GACA access to facilities after two written requests.
§ Obtaining or maintaining a certificate through falsification of documents.
§ Lack of an accountable manager.
- The GACA team leader will assess the severity and risk associated with the finding and assign a timeframe for corrective action (IMMEDIATE to 7 days).
- Depending on the nature of the non-compliance, immediate restrictions or limitations on the organization's activities may be imposed.
(b) Level 2 Non-Compliance:
- Any non-compliance not classified as Level 1.
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- The GACA team leader will assess the severity and risk associated with the finding and assign a timeframe for corrective action between 8 days to 90 days.
- The organization must submit a corrective action plan for approval by GACA.
(c) Level 3 Observations:
- Identified conditions that, in the judgment of the GACA team leader, the organization should modify, eliminate, or improve for continuous safety or security improvement.
- No timeframe for closure is assigned, but the organization is expected to provide a written response within 90 days.
Form link: https://gaca.gov.sa/-/media/Files/PDF/WORD/AVSES/forms/FINDING-FORM
2. Root Cause Analysis (RCA):
(a) Applicability:
- RCA is mandatory for all Level 1 and Level 2 findings.
(b) Requirements:
- Inspectors must ensure that the certificate holder identifies root causes and contributing factors.
- The RCA must include a clear explanation of the root cause(s), proposed corrective actions, and implementation timelines.
3. Follow-Up Actions:
- Inspectors must validate corrective actions and supporting evidence provided by the certificate holder.
- Findings are closed if corrective actions are satisfactory. If rejected, the certificate holder must resubmit a revised corrective action plan.
- On-site follow-up inspections may be required for significant findings.
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4. Documentation:
- All findings, observations, and follow-up actions must be documented in the GAR using the approved template.
- Ensure GAR-specific reference such as (Operations) or (Airworthiness), are consistently linked to procedural tasks to maintain clear traceability.
- Exemplary compliance or innovative practices should be highlighted for potential inclusion in GACA guidance materials as best practices.
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VOLUME 12. SURVEILLANCE
CHAPTER 2. COMMON PART 121, 125, 133, 135 AND 145 INSPECTIONS
Section 1. Ramp Inspection for Part 121, 125, 133 and 135
12.2.1.1. GACA ACTIVITY REPORT (GAR).
A. 1622 (OP)
B. 3627 (AW)
12.2.1.3. OBJECTIVE. The objective of this task is to determine if an operator is in continuing compliance with General Authority of Civil Aviation Regulation (GACAR) Part 121, 125, 133 and 135 (as applicable). Ramp inspections provide Aviation safety inspectors (Inspectors) with the opportunity to evaluate an operation while the crew members and aircraft are on the ground. A ramp inspection is an effective method for evaluating an operator's ability to prepare both the aircraft and crew for a flight to be conducted and to determine compliance with regulations and safe operating practices. Also, when a ramp inspection is conducted after the completion of a flight, it is an effective method for determining whether the aircraft and crew were adequately prepared for the flight as well as for evaluating the operator's postflight and/or turnaround procedures and crew member and ground personnel compliance with these procedures.
12.2.1.5. INITIATION AND PLANNING.
A. This task is scheduled as part of the normal surveillance program or as a special emphasis request.
B. The ramp inspection also provides the Inspector with an opportunity to ensure that the compliance dates and requirements of new Airworthiness Directives (AD) and regulatory revisions have been met. ADs, Service Difficulty Report (SDR) Summaries, and Maintenance/Airworthiness Bulletins should be reviewed prior to the ramp inspection, when available.
12.2.1.7. MAINTENANCE RECORDS.
A. Regulations require maintenance to be recorded whenever it is performed prior to an approval for return to service. The operator's maintenance manual (MM) for 121 Operators, or Maintenance
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Procedure Manual (MPM)/Maintenance Control Manual (MCM) for part 125 Authorization holder should describe the procedures for ensuring that these recording requirements are met, including the specific instructions on when an airworthiness release or appropriate maintenance log entry is required.
B. Operators must either correct or defer all mechanical discrepancies entered in the maintenance log using the methods identified in their MM/MPM/MCM, as applicable. As a variety of manuals are used, Inspectors are advised to review the appropriate manuals before performing the inspection.
C. The Minimum Equipment List (MEL) has certain procedures and conditions that operators must meet prior to deferring the item(s).
1) These procedures are identified by “O,” “M,” and “O/M” and are normally contained in the operator’s GACA-approved MEL. Sometimes the MEL references procedures from another document, such as the Dispatch Deviation Guide (DDG), etc.
2) When reviewing the records for MEL compliance, the Inspector must determine what procedures are required for deferral and ensure that these procedures are accomplished.
3) The Inspector must ensure that all applicable repetitive MEL procedures are accomplished for those items that are deferred and are continuing to be deferred through the station. These repetitive maintenance procedures must be signed off in the maintenance log as evidence that the procedures were accomplished.
12.2.1.9. DEFERRED MAINTENANCE.
A. Minimum Equipment List—Deferred Maintenance The operator’s GACA-approved MEL allows the operator to continue a flight or series of flights with certain inoperative equipment. The continued operation must meet the requirements of the MEL deferral classification and the requirements for the inoperative equipment.
B. Other Deferred Maintenance.
1) Operators frequently 

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