MANUAL OF ATS PERSONNEL RATINGS AND CERTIFICATION PART 7 SAFETY OVERSIGHT. First Edition- July, 2017 (ED/CAP/2017/V1.0-MARC-PRT7)

MANUAL OF ATS PERSONNEL RATINGS AND CERTIFICATION PART 7 SAFETY OVERSIGHT First Edition- July, 2017 (ED/CAP/2017/V1.0-MARC-PRT7)

Publication of the Airports Authority of India Rajiv Gandhi Bhawan, Safdarjung Airport. New Delhi. 110003 Copies of this manual may be obtained from AAI website at www.aai.aero

CONTENTS AMENDMENT/CORRIGENDA RECORDS Amd-i CHAPTER 1 - SAFETY OVERSIGHT Ch 1/Pg 1 1.1 Introduction Ch 1/Pg 1 1.2 General Ch 1/Pg 1 1.3 Resources Ch 1/Pg 1 CHAPTER 2 - SAFETY OVERSIGHT MECHANISM Ch 2/Pg 1 2.1 Introduction Ch 2/Pg 1 2.2 Safety Oversight Procedures Ch 2/Pg 1 2.3 Tracking of issues and their Resolution Ch 2/Pg 3 CHAPTER 3 - SAFETY OVERSIGHT OF ATS TRAINING ORGANISATIONS Ch 3/Pg 1 3.1 General Ch 3/Pg 1 3.2 Criteria for Surveillance Inspection of ATSTO Ch 3/Pg 2 3.3 Safety Assurance Processes for ATSTO Ch 3/Pg 2 3.4 Surveillance Report and Corrective Actions Ch 3/Pg 2 3.5 Surveillance Checklist Ch 3/Pg 2 CHAPTER 4 - SAFETY OVERSIGHT OF TRAINING AND RATING OF ATS PERSONNEL Ch 4/Pg 1 4.1 General Ch 4/Pg 1 4.2 Criteria for Surveillance Inspection of ATC Centre/Airport Ch 4/Pg 1 4.3 Safety Assurance Processes for Training and Rating of ATS Personnel Ch 4/Pg 1 4.4 Surveillance Report and Corrective Actions Ch 4/Pg 1 4.5 Surveillance Checklist Ch 4/Pg 2 CHAPTER 5 - SAFETY OVERSIGHT OF MEDICAL ASSESSMENT OF AIR TRAFFIC CONTROLLERS Ch 5/Pg 1 5.1 General Ch 5/Pg 1 5.2 Criteria for Surveillance of Medical Assessment of ATS Personnel Ch 5/Pg 1 5.3 Safety Assurance Processes for Class 3 Medical Assessment of air traffic controllers Ch 5/Pg 1 5.4 Surveillance Report and Corrective Actions Ch 5/Pg 2 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT7 Toc-i

5.5 Surveillance Checklist Ch 5/Pg 2 CHAPTER 6 SAFETY OVERSIGHT OF ENGLISH LANGUAGE PROFICIENCY OF ATS PERSONNEL Ch 6/Pg 1 6.1 General Ch 6/Pg 1 6.2 6.3 Criteria for Safety Oversight of English Language Proficiency Assessment of ATS Personnel(ELPA) Safety Assurance Processes for English Language Proficiency Assessment of ATS Personnel Ch 6/Pg 1 Ch 6/Pg 1 6.4 Surveillance Report and Corrective Actions Ch 6/Pg 1 6.5 Surveillance Checklist Ch 6/Pg 1 CHAPTER 7: ENFORCEMENT PROCEDURES Ch 7/Pg 1 7.1 Introduction Ch 7/Pg 1 7.2 Enforcement Procedures Ch 7/Pg 1 Forms CAP 07/001 Surveillance Inspection Notification Form-1/Pg 1 Surveillance Inspection Opening/Closing Meeting CAP 07/002 Form-2/Pg 1 Summary CAP 07/003 Surveillance Inspection Summary of Findings Form-3/Pg 1 CAP 07/004 Surveillance Inspection Process Feedback Questionnaire Form-4/Pg 1 01 October 2017 ED/CAP/2017/V1.0-MOSC-PRT 7 TOC-ii

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AMENDMENT/CORRIGENDA RECORDS The amendments/corrigenda listed below have been incorporated into this copy of the Manual of ATS Personnel Ratings and Certification-Part 7- Safety Oversight Amd/Corr No. Subject Source Sections affected Entered by (Date) Approved by (Date) Effective date 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT7 Amd-i

CHAPTER 1 - SAFETY OVERSIGHT 1.1 Introduction 1.1.1 This document, known as the Manual of ATS Personnel Ratings and Certification (MARC) Part 7-Safety Oversight, contains processes, procedures and instructions for the officers of Directorate of Certification of ATS Personnel for carrying out safety oversight to ensure effective implementation of the provisions contained in Manual of ATS Personnel Ratings and Certification. This manual also details the enforcement procedures ensuring compliance with the provisions of ICAO Annex 1 for air traffic controllers and aeronautical station operators. 1.2 General 1.2.1 In pursuant to Rule 118a of Aircraft Rules 1937, the air traffic controllers and aeronautical station operators (HF communicators), in AAI being State Employee provide air traffic services without being licensed. However, they are required to meet the provisions laid down in ICAO Annex 1 to the convention for air traffic controllers and aeronautical station operators. 1.2.2 Processes, procedures and instructions to be followed in order to meet ICAO Annex 1 requirements for air traffic controllers ratings and aeronautical station operators (HF communicators) permissions, are laid down in following manuals: a) Manual of ATS Personnel Ratings and Certification -Part 3 (ATS Training Organisation), b) Manual of ATS Personnel Ratings and Certification -Part 4 (Air Traffic Services Ratings) c) Manual of ATS Personnel Ratings and Certification -Part 5 (Class 3 Medical Assessments) for air traffic controllers, d) Manual of ATS Personnel Ratings and Certification -Part 6 (English Language Proficiency for ATS Personnel). 1.2.3 During the safety oversight, the focus shall be on checking the compliance with provisions contained in these manuals by the ATSTO, ATM and CNS Directorates. 1.3 Resources 1.3.1 The quality and effectiveness of any safety oversight process are directly dependent on the knowledge, skill and attitude of the personnel involved in the oversight process. Therefore, CAP Directorate shall have a team of Safety Oversight Inspectors (SOIs), Medical Assessors and ELP Subject-Matter-Experts with a high degree of integrity. They shall be impartial and tactful in carrying out their tasks. They shall have a good understanding of human nature and shall possess good communication skills so that 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT 7 Ch 1/Pg 1

safety oversight responsibilities are discharged satisfactorily. 1.3.2 CAP Directorate shall have sufficient number of such Safety Oversight Inspectors (SOIs) to carry out safety oversight functions such as inspection and surveillance in respect of compliance with the provisions of ICAO Annex 1 SARPS for air traffic controllers and aeronautical station operators. 1.3.3 AAI shall make available necessary finance and other resources to meet the CAP Directorate safety oversight obligations. 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT 7 Ch 1/Pg 2

CHAPTER 2 - SAFETY OVERSIGHT MECHANISM 2.1 Introduction 2.1.1 This chapter describes the arrangements for safety oversight of the compliance with the requirements of Manual of ATS personnel Ratings and Certification to ensure that provisions for air traffic controllers and aeronautical station operators as laid down in ICAO Annex 1 to the convention are met.. The requirements include approved training courses, approved ATSTO, various ratings and their training, Class 3 medical assessment for air traffic controllers and English Language Proficiency requirements for air traffic personnel. 2.2 Safety Oversight Procedures 2.2.1 Safety Oversight Programme: 2.2.1.1 One of the primary functions of CAP Directorate is Safety Oversight on the compliance with the provisions of ICAO Annex 1 for air traffic controllers and aeronautical station operators (HF communicators). 2.2.1.2 CAP Directorate shall conduct inspection prior to approval of ATSTO and thereafter maintain continued surveillance of ATSTO and training & rating / permission procedures for ATS personnel at AAI s ATS facilities at which air traffic services are being provided by AAI. In order to carry out the function of safety oversight, CAP Directorate shall: a) prepare an Annual Surveillance Programme by 1 st December every year for the next calendar year. b) develop a checklist for surveillance area giving reference to applicable regulations to be complied, c) prepare schedule of surveillance activities, assign officers and resources required, d) maintain records of surveillance activities e) create and update database of observations made, recommendations and action taken, f) follow up implementation and closure of corrective actions by tracking mechanism, g) carry out surveillance on examinations conducted by ATSTO and ATS centres randomly, h) take appropriate action where necessary to ensure compliance with the various provisions of Manual of ATS Personnel Ratings and Certification 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT 7 Ch 2/Pg 1

Manual. 2.2.1.3 Prior to the planned surveillance, the concerned Accountable Manager of the facility should be given at least one week advance notice, which indicates: a) Details of surveillance team members b) Duration of the surveillance c) Unit-wise surveillance plan, indicating the date and time d) Date and time of entry and exit meetings; and 2.2.1.4 Surveillance Notification to the concerned ATSTO or ATC Centre shall be given in Form CAP07/001. 2.2.1.5 The Surveillance Inspection team leader should organize an Entry Meeting at the ATSTO or ATC Centre/Airport and briefly present the background of the surveillance inspection, its objectives, scope and any specific issue that shall be addressed by the surveillance inspection team to the Accountable Manager ATSTO/ ATM/CNS Incharge as the case may be. He should also introduce the inspection team and discuss about the availability of concerned ATS Personnel for interview/interaction. 2.2.1.6 At the end of inspection, the surveillance team leader should organize an Exit Meeting to present the surveillance findings and provide written draft summary of findings. The meeting should also discuss all surveillance observations against relevant rules and regulations with the Accountable Manager ATSTO/ ATM/CNS Incharge and his team as the case may be, to resolve misunderstandings, if any. The date of issue of draft surveillance inspection report and for receiving response should also be mutually agreed. Entry /Exit Meeting details shall be recorded in Form CAP07/002. 2.2.1.7 A feedback form (Form CAP 07/003) should be given to the concerned Accountable Manager ATSTO/ ATM/CNS Incharge for providing feedback on the conduct of surveillance inspection. 2.2.1.8 A surveillance report should include, a) Training Centre/ATC Centre/Airport at which surveillance inspection was carried out; b) The details of SOIs; c) Date and duration of surveillance; d) Summary of Surveillance findings; e) Non conformity/deficiency observed; f) Recommendations/observations; and g) Pending issues. 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT 7 Ch 2/Pg 2

2.2.1.9 The Draft Surveillance Report should be forwarded by the CAP directorate to the Accountable Manager of ATSTO / ATS Incharge/ CNS Incharge as the case may be within ten working days of the completion of surveillance inspection. The Accountable Manager of ATSTO / ATS Incharge/ CNS Incharge should submit the comments within ten working days from the date of receipt of the Draft Surveillance Report and comments received, as appropriate should be taken into consideration in finalization of Final Surveillance Report. 2.2.1.10 The Final Surveillance Inspection Report shall be sent to the Accountable Manager of ATSTO / ATS Incharge/ CNS Incharge as the case may be, within fifteen working days from the receipt of comments on the Draft Surveillance Report. Copies of the report shall also be sent to ED (ATM) and ED (CNS-OM) as applicable. 2.2.1.11 On receipt of the Final Surveillance Report, the Accountable Manager of Training Centre / ATS Incharge/CNS Incharge shall prepare a Corrective Action Plan with timelines for rectification of the non-conformity. The Corrective Action Plan should be sent to ED (CAP) within one month from the receipt of the Final Surveillance Report. 2.2.1.12 A consolidated surveillance report shall be prepared for every quarter by CAP Directorate, highlighting the major non conformities and such report shall be sent to the Chairman, AAI and Member (ANS). 2.2.2 With prior approval of ED (CAP), the Officers of CAP Directorate may carry out surprise surveillance inspection of ATSTO/ATS facilities, particularly to have an oversight on the conduct of written and practical examinations. 2.3 Tracking of issues and their Resolution 2.3.1 The CAP Directorate shall keep track of issues identified during surveillance inspection for remedial actions. 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT 7 Ch 2/Pg 3

CHAPTER 3 - SAFETY OVERSIGHT OF ATS TRAINING ORGANISATIONS 3.1 General 3.1.1 ATS Training Organisations (ATSTO), in the context of this document, comprises of approved training organisations under AAI management, which impart training to air traffic controllers and aeronautical station operators in order to achieve the basic skills required to perform the prescribed functions commensurate with their job description. 3.1.2 Approval of ATSTO is issued by CAP Directorate. However, Accountable Manager of ATSTO shall ensure continued compliance with the scope of approval and provisions contained in Manual of ATS personnel Ratings and Certification Part 3. 3.1.3 The responsibility of safety oversight of ATSTO rests with the CAP Directorate. It consists of the approval process of an ATSTO and the continued surveillance on the operations of the ATSTO s after approval. The purpose of the surveillance activities is to ensure that the ATSTO is operating within the terms of its approval. It includes a review of the ATSTO s QA system, its administrative, technical and training records, as well as its operational activities. Surveillance is an ongoing function that may also include consideration of records held by the Approving Authority, for example, tests and results, in addition to on-site inspections, audits and other surveillance activities. 3.1.4 The main elements of the ATSTO activities that are subject to the Approving Authority s oversight include, as applicable, the following: a) staff adequacy in terms of number and qualifications; b) validity of instructors ratings and authorizations; c) logbooks, where applicable d) appropriate and adequate facilities for the training and for the number of students; e) documentation process (e.g. the review and update of the Training and Procedures Manual), with particular emphasis on course documentation, including records of system updates, training manuals, etc.; f) training delivery in the classroom and in simulation devices; g) instructor training; h) QA practices; i) safety management system functionality if applicable; j) training, examination and assessment records; k) training device qualification and approval. 3.1.5 During surveillance inspections, significant emphasis shall be given on the 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT 7 Ch 3/Pg 1

effectiveness of the ATSTO s management system, including internal audits, quality assurance and compliance monitoring; it is therefore essential that key management personnel, e.g. Accountable Manager, Head of Training and Quality Assurance Manager, are available during the surveillance. 3.2 Criteria for Surveillance Inspection of ATSTO 3.2.1 CAP Directorate will carry out the surveillance inspection of ATSTO based on the provisions contained in MARC Part 3. 3.3 Safety Assurance Processes for ATSTO 3.3.1 ATSTO are subjected to various safety and quality assurance processes, both internal as well as external: a) The Accountable Manager of ATSTO is responsible for internal safety and quality assurance processes of the ATSTO as per provisions contained in MARC-Part 3. b) Initial Approval Inspection by CAP Directorate, will be carried out, after the ATSTO submits an application for approval of the training facility. The inspection will be carried out by a team of Safety Oversight Inspectors (SOIs) from CAP Directorate, constituted by the Approving Authority; i.e. ED (CAP). c) Periodical Surveillance Inspections of Approved ATSTO shall be conducted by a team of Safety Oversight Inspectors (SOIs) from CAP Directorate authorised by ED (CAP). Each Approved ATSTO should be subjected to a Surveillance Inspection at least once every two (2) years. 3.4 Surveillance Report and Corrective Actions 3.4.1 The procedure for generation of surveillance report and follow up of corrective action by ATSTO are contained in Chapter 2 of this document. 3.5 Surveillance Checklist 3.5.1 A checklist pertaining to surveillance inspection of ATSTO shall be prepared and made available to SOIs before the conduct of surveillance inspection of ATSTO. The checklist shall be periodically revised based on previous inspections and safety risks. 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT 7 Ch 3/Pg 2

CHAPTER 4 - SAFETY OVERSIGHT OF TRAINING AND RATING OF ATS PERSONNEL 4.1 General 4.1.1 The responsibility of issuing ATC ratings to air traffic controllers and permission to aeronautical station operators lies with ATM and CNS Directorates respectively. Therefore, these Directorates shall ensure compliance with provisions contained in Manual of ATS personnel Ratings and Certification Part 4. 4.1.2 CAP Directorate shall carry out the safety oversight of training and ratings of air traffic controllers and also training and permissions of aeronautical station operators. The various provisions contained in MARC- Part 4 is in compliance with provisions laid down in ICAO Annex 1 for air traffic controllers and aeronautical station operators. 4.2 Criteria for Surveillance Inspection of ATC Centre/Airport 4.2.1 CAP Directorate will carry out the surveillance inspection of ATC Centres/Airports based on the provisions contained in MARC- Part 4. 4.3 Safety Assurance Processes for Training and Rating of ATS Personnel 4.3.1 The various safety and quality assurance processes, involved in training and rating of ATS Personnel are as follows: a) The ED (ATM) and ED (CNS-OM) are responsible for ensuring compliance with provisions contained in MARC- Part 4 in respect of ratings of air traffic controllers and permissions to aeronautical station operators respectively. b) Periodical Surveillance Inspections of the examination and assessment processes conducted by ATM and CNS Directorates for rating of Controllers / permission to Aeronautical Station Operators shall be conducted by a team of Safety Oversight Inspectors (SOIs) from CAP Directorate authorised by ED (CAP). 4.3.2 The frequency of surveillance inspections is as appended below: a) Once in two years at airports having Area Control Centres and b) Once in three years at the airports other than mentioned in a). 4.4 Surveillance Report and Corrective Actions 4.4.1 The procedure for generation of surveillance report and follow up of corrective action by ATM and CNS Directorates are contained in Chapter 2 of this document. 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT 7 Ch 4/Pg 1

4.5 Surveillance Checklist 4.5.1 A checklist pertaining to surveillance inspection of training and Ratings/Permissions of ATS Personnel shall be prepared and made available to SOIs before the conduct of surveillance inspection. The checklist shall be periodically revised based on previous inspections and safety risks. 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT 7 Ch 4/Pg 2

CHAPTER 5 - SAFETY OVERSIGHT OF MEDICAL ASSESSMENT OF AIR TRAFFIC CONTROLLERS 5.1 General 5.1.1 Air Traffic Controllers are required to have a minimum standard of medical fitness to ensure that they are fit to provide an ATC services and to minimize, as far as possible, the risk that they will become suddenly incapacitated to an extent that the safety of aircraft could be compromised. The policy and procedures for ensuring medical fitness of Controllers while exercising the privilege of their ratings is contained in MARC-Part 5. 5.1.2 An Air Traffic Controller shall not exercise the privileges of his rating(s) unless he holds a current Class 3 Medical Assessment. 5.2 Criteria for Surveillance of Medical Assessment of ATS Personnel 5.2.1 CAP Directorate will carry out the safety oversight of the medical assessment process of Air Traffic Controllers based on the provisions contained in MARC- Part 5. The criteria contained in MARC-Part 5 is in compliance with provisions of ICAO Annex 1 for class 3 medical assessment of air traffic controllers. 5.2.2 ED (CAP) shall notify designated medical examiners in India, who are qualified and licensed in the practice of medicine, to conduct medical examinations of fitness of air traffic controllers of AAI for the issue or renewal of the ratings. The reports submitted by the medical examiners to ED (CAP) shall be evaluated by the Medical Assessors in CAP Directorate. 5.2.3 ED (CAP) shall ensure that list of designated medical examiners is updated from time to time. 5.2.4 The medical examiner shall be required to submit sufficient information to the ED (CAP) to enable him to undertake Medical Assessment audits. 5.3 Safety Assurance Processes for Class 3 Medical Assessment of air traffic controllers 5.3.1 The various safety assurance processes, involved in the medical assessment of Air Traffic Controllers are: a) Internal safety assurance processes of the Medical Assessors of CAP Directorate by ED (CAP). b) Evaluation of Medical Assessment report of Controllers by the Medical Assessors in CAP Directorate before issuing Class 3 Medical assessment. c) Periodical surveillance Inspections of the medical assessment process of Air Traffic Controllers shall be conducted by a team of Safety Oversight 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT 7 Ch 5/Pg 1

Inspectors (SOI)/Medical Assessor from CAP Directorate authorised by ED (CAP). 5.4 Surveillance Report and Corrective Actions 5.4.1 The procedure for generation of surveillance report and follow up of corrective action by ATM and CNS Directorates are contained in Chapter 2 of this document. 5.5 Surveillance Checklist 5.5.1 A checklist pertaining to surveillance inspection of Class 3 Medical Assessment shall be prepared and made available to SOIs before the conduct of surveillance inspection. The checklist shall be periodically revised based on previous inspections and safety risks. 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT 7 Ch 5/Pg 2

CHAPTER 6 - SAFETY OVERSIGHT OF ENGLISH LANGUAGE PROFICIENCY OF ATS PERSONNEL 6.1 General 6.1.1 Air traffic controllers and aeronautical station operators are required to possess and demonstrate the required minimum level of proficiency in English language 6.1.2 An air traffic controller or aeronautical station operators shall not exercise the privileges of his rating(s) unless he holds a current English Language proficiency operational level 4. 6.2 Criteria for Safety Oversight of English Language Proficiency Assessment of ATS Personnel (ELPA) 6.2.1 CAP Directorate will carry out the safety oversight of the English Language Proficiency assessment process of air traffic controllers and aeronautical station operators based on the provisions contained in MARC Part 6. The criteria for ELPA requirements are contained in MARC Part 6 which are in compliance with provisions of ICAO Annex 1 for the air traffic controllers and aeronautical station operators (HF communicators) 6.3 Safety Assurance Processes for English Language Proficiency Assessment of ATS Personnel 6.3.1 The various safety and quality assurance processes, involved in the English Language Proficiency assessment of Air Traffic Controllers are: a) Internal safety assurance processes of the English Language Proficiency assessment of ATS Personnel will be responsibility of ED (ATM). b) Periodical Safety Oversight Inspections of the English Language Proficiency assessment process of ATS Personnel shall be conducted by a team of Safety Oversight Inspectors (SOI) from CAP Directorate authorised by ED (CAP). Such inspections will be carried out along with the safety oversight inspection of the training and assessment process for of the English Language Proficiency of ATS Personnel. 6.4 Surveillance Report and Corrective Actions 6.4.1 The procedure for generation of surveillance report and follow up of corrective action by ATM and CNS Directorates are contained in Chapter 2 of this document. 6.5 Surveillance Checklist 6.5.1 A checklist pertaining to surveillance inspection of English Language 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT 7 Ch 6/Pg 1

Proficiency assessment shall be prepared and made available to SOIs before the conduct of surveillance inspection. The checklist shall be periodically revised based on previous inspections and safety risks. 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT 7 Ch 6/Pg 2

CHAPTER 7 - ENFORCEMENT PROCEDURES 7.1 Introduction: 7.1.1 Enforcement is the action necessary when compliance is not present. Enforcement requires administrative action. Enforcement actions need to be applied as consistently as possible. However, CAP Officers/Inspectors shall consider each case individually in order to determine an appropriate enforcement action. They should recommend actions that, in their professional judgment, will appropriately serve the purpose of ensuring compliance with ICAO Annex 1 provisions for air traffic controllers and aeronautical station operators. 7.2 Enforcement Procedures 7.2.1 Enforcement Procedures for an Approved ATSTO: 7.2.1.1 If Directorate of CAP through its continued surveillance finds that an ATSTO no longer satisfies the requirements or terms of the approval of ATSTO, ED (CAP) shall immediately send the findings to the Accountable Manager of ATSTO and advise him to submit an action taken report within a specified period. 7.2.1.2 If action taken report is not received within the specified time, or corrective action taken is unsatisfactory, ED (CAP) may revoke or suspend or vary the scope of approval of ATSTO as appropriate. In such cases, ED (CAP) shall submit detailed report to the Chairman, AAI for suitable administrative action. 7.2.2 Enforcement Procedures for ratings of air traffic controllers: 7.2.2.1 If Directorate of CAP through its continued surveillance finds that an air traffic controller has been issued a rating without meeting the requirements of provisions contained in MARC- Part 4, or a controller has exercised the privileges of rating without a current Class 3 Medical assessment as mentioned in MARC- Part 5 or required English Language Proficiency operational level as mentioned in MARC- Part 6 or when his rating ceases to be valid, but no action has been initiated against that controller by the ATS Incharge, Directorate of CAP shall send its findings to ED (ATM) for corrective action and advise him to submit an action taken report within a specified period. ED (ATM) will take appropriate action to initiate administrative action against the concerned ATM personnel whose action/inaction resulted into this finding. 7.2.2.2 Action taken by ED (ATM) shall be submitted to ED (CAP) within the period specified by ED (CAP). 7.2.3 Enforcement Procedures for aeronautical station operators permission: 7.2.3.1 If Directorate of CAP through its continued surveillance finds that 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT 7 Ch 7/Pg 1

permission to an aeronautical station operator (ASO) has been granted without meeting the requirements of provisions contained in MARC-Part 4, or an ASO has exercised the privileges of the Permission without required English Language Proficiency operational level as mentioned in MARC-Part 6, but no action has been initiated against that controller by the CNS Incharge, Directorate of CAP shall send its findings to ED (CNS- OM) for corrective action and advise him to submit an action taken report within a specified period. ED (CNS-OM) will take appropriate action to initiate administrative action against the concerned CNS personnel whose action/inaction resulted into this finding. 7.2.3.2 Action taken by ED (CNS-OM) shall be submitted to ED (CAP) within specified period. 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT 7 Ch 7/Pg 2

Form: CAP- 007/001 To: Directorate of ATS Personnel Ratings and Certification Surveillance Inspection Notification Please note that it is planned to conduct a surveillance inspection in your area of responsibility by Directorate of CAP, details of which are as follows: Surveillance Inspection Location Surveillance Inspection Number: Surveillance Inspection Date(s) Surveillance Inspection Team Leader and other Surveillance Inspection members if any Surveillance Inspection Team Leader contact Surveillance Inspection Scope Phone: e-mail: Mobile: Surveillance Inspection team members: Name Designation Proposed schedule of meetings: Entry Meeting: Time: Location: Reference documents: Surveillance Inspection activities Exit meeting: Time: Location: The following documents are required prior to the surveillance visit. Please provide them at your earliest convenience. Documents required: The documents are required by: (date) The expected time and duration of each major surveillance inspection activity is as follows: Activity Duration Expected date of report issue: Draft: Final: 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT7 Form-1/Pg 1 of 1

Form: CAP-07/002 SURVEILLANCE INSPECTION OPENING/CLOSING MEETING SUMMARY Location: Lead Surveillance Inspector: Opening Meeting: Date: Open: Close: Agenda Inspector Notes 1. Introduce inspection team 2. Confirm objectives and scope of inspection 3. Review inspection program 4. Summarise inspection methods to be used 5. Identify personnel to be interviewed 6. Arrange famil/escorts as required 7. Identify contacts or guides for each area 8. Arrange meeting room/ facilities for inspection team 9. Arrange daily briefings if req d Arrange time/place for exit 10. meeting Closing Meeting: Date: Open: Close: 1. 2. 3. 4. 5. Agenda Discuss overview of inspection findings Provide written summary of findings Agree due date for action plan for RCAs Indicate draft report issue date/ response date Provide copy of inspection Feedback Questionnaire 6. Thanks Inspectors Notes 7. Close meeting 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT7 Form-2/Pg 1 of 2

Form: CAP-07/002 Opening Meeting - Attendees NAME POSITION Email and TELEPHONE CONTACT 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. Closing Meeting - Attendees Name Position Email and Telephone Contact 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT7 Form-2/Pg 2 of 2

Form: CAP-07/003 Directorate of ATS Personnel Ratings and Certification Surveillance Inspection Summary of Findings Surveillance Inspection Surveillance Inspection Location/Function Number: Surveillance Date(s) Surveillance Inspection Team Leader Reference Findings/Observations Document Recommendations No and para No. 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT7 Form-3/Pg 1of 1 Surveillance Summary of Findings Surveillance-in-Confidence

Form: CAP 07/004 Surveillance Inspection Process Feedback Questionn naire Surveillance Inspection No nn / yyyy / Lead Surveillancee Inspector.. 1. Did you receive a reminder notification of the inspection at least one week in advance? YES I NO I Not Applicable Comment: 2. Was an Entry Meeting held with you prior to, or concurrent with, the start of the inspection? Prior To I Concurren nt Comment: 3.Were the audit objectives, scope and times discussed with you during the Entry Meeting? YES I NO I Not Applicable Comment: 4. Were your ideas and/or concerns about the audit solicited during the inspection? YES I NO I Not Applicable Comment: 5. Were the inspectors responsive to your ideas and/or concerns regardingg the inspection? YES I NO I Not Applicable Comment: 6. Were you kept informed of changes? inspectionn itinerary YES I NO I Not Applicable Comment: 01 October 2017 ED/CAP/2017/V1.0-MARC-PRT7 Form-4/Pg 1of 1