DGAQA

TECHNICAL STANDING ORDER (TSO)

CONTENTS

Chapter 1 INTRODUCTION

Chapter 2 FUNCTIONS & GENERAL CONCEPTS OF AERONAUTICAL QUALITY

ASSURANCE

Chapter 3 ORGANISATIONAL STRUCTURE & ROLES

Chapter 4 QA DURING DESIGN & DEVELOPMENT

Chapter 5 QA DURING PRODUCTION & OVERHAUL

Chapter 6 QUALITY ASSURANCE FUNCTIONS/PROCEDURES DURING

MANUFACTURE OF AIR ARMAMENT STORES INCLUDING EXLPOSIVES

Chapter 7 QUALITY ASSURANCE DURING MANUFACTURE

OF AVIONICS AND GROUND ELECTRONIC EQUIPMENT

Chapter 8 AHSP FUNCTIONS

Chapter 9 INDIGENISATION

Chapter 10 QUALITY ASSURANCE FUNCTIONS ON EQUIPMENTS

DEVELOPED/PROCURED THROUGH TRADE SOURCES

Chapter 11 GUIDELINES FOR QUALITY-AUDIT

Chapter 12 DEFECT INVESTIGATION

Chapter 13 ACCIDENTS / INCIDENT INVESTIGATION

Chapter 14 STANDARDISATION AND CODIFICATION

Chapter 15 REPORTS & RETURNS

Chapter 16 QA DIRECTIVES

Chapter 17 REFERENCES

Tele : 011-23015201 1405/TSO/DGAQA/TECH-COORD

FAX: 011-23014914 DIRCTORATE GENERAL OF
AERONAUTICAL QUALITY ASSURANCE
MINISTRY OF DEFENCE 'H' BLOCK
NEW DELHI-IIOOl1

13 Jun 2011

To
All Field Establishment
MSQAA, Hyderabad
SSQAG, Hyderabad

Sub: AMENDMENT NO. 1 TO TECHNICAL STANDING

ORDERS ISSUE-2002

Reference is made to this HQrs letter of even number dated 06 Aug 2002
vide which Technical Standing Orders (TSO) Issue-2002 was forwarded.

2. As we are aware, the indigenization activity through the Technical Committee

(Aero) at HQrs. DGAQA has been stopped after the responsibility for indigenous
development of airborne stores was transferred from DGAQA to the production
agencies/services in the year 2002 vide Office Memorandum No.T(l6)/2001/D(S-III)
dated 08 Feb 2002. issued by Department of Dcfence Production & Supplies. Ministry
of Defence. In view of these instructions and objections received through the Central
Vigilance Commission, it has been decided to delete Chapter 9 & 10 of Technical
Standing Orders (Issue 2002) wherein the indigenous development activities are still
shown to be carried out by DGAQA.

3. In addition to the above. paras 3(e), 4(e) and 4(f) in Chapter 3 on

Organisational structure & Roles stand deleted as they cover the indigenous
development related activities.

4. This is for your information and further necessary action.

Sd-
(Seema Suri)
. Joint Dir/Tech Coord
Copy to:- ..
1. All Sections at HQrs.
2. IT Section - To upload websiie.
3. DDG(SZ)
4. DDG(N&CZ)
 CHAP-1
INTRODUCTION

1. The DGAQA (Dte. Gen. Of Aeronautical Quality Assurance {formerly DTD&P (Air)} under the
DDP&S, MOD is the regulatory authority for Quality Assurance and final acceptance of military aircraft / aero
equipment during design / development, production and overhaul at the different organisations / work centres in
the country, such as the PSUs (HAL, BEL, BEML, ITI etc….) Ordnance factories, DRDO Labs, CSIR Labs
and private sector sources. The functions of the department comprise of assessment / approval of firms /
personnel, product inspection, quality audits / spot checks, accident / defect investigation etc towards the
objective of monitoring the adequacy of the QA systems and actual practices in the supplier sources, as also
product conformance to the laid down drawings / standards. It is essentially a Supervisory Inspection system
for effective monitoring of the QA in respect of the aeronautical stores under development, production,
overhaul for supply to MOD and eventual use in the Armed Forces.

2. This Technical Standing Order (TSO) covers in the succeeding chapters, the various functions
performed by the Directorate General. Though the reference documents have been cited in respective chapters,
a list of important ones has been given in chapter-17. Apart from re-organisation of chapters to cover all the
relevant material under appropriate specific titles, additional areas covered since the earlier issue comprise of
Quality Audit, QA during Design and Development, Indigenisation, Defect Investigation, Standardisation &
Codification and Stage Inspection guidelines.

3. Guidelines for Quality Assurance in private sector sources have been added in view of the likely
enlargement & significance of their role in coming years. These stress the importance of an early start &
systematic approach for QA coverage right from the beginning for such orders on private sector sources. The
Dept. has been carrying out indigenisation over the years and has established indigenous capability for a
number of stores through private sector. The chapter on Indigenisation covers this area of activity.

4. Also a compilation of the various directives from the HQrs over the years pertaining to different
functions has been added with a view to publicise them through the central document as also to provide all these
at one glance for all personnel.

5. This revision to TSO represents an effort to facilitate improvement to both the procedures and practices
through a restructured detailed document. Such an exercise is by nature a continuous one. All the personnel of
the dept should aim at making this document a useful and live one, through regular use and suggestions for
improvement based on day to day experience of using the document. This would not only help improve the
document but also contribute to continuous functional improvement thereby.
 CHAP-2

FUNCTIONS & GENERAL CONCEPTS OF AERONAUTICAL QUALITY ASSURANCE

1. The various functions of the Directorate General as Aeronautical QA organisation under the MOD are
as follows:-

Quality assurance during design / development, production, overhaul and repair of military
aircraft, its accessories and aeronautical stores, air armaments, missile systems and allied
ground support equipment for military aircraft.

Technical association with DRDO, PSUs and other agencies during the process of type approval,
lifing and life extension studies of aircraft and accessories.

Development of indigenous sources for aeronautical stores. Director General, aeronautical

Quality Assurance is the ex-officio Chairman of the Technical Committee (Aeronautical
stores) which is vested with the authority to clear Import proposals for certain
aeronautical stores. Indigenous development of items selected from import proposals is
taken up by TC (Aero) through trade sources.

Association with accidents / defect investigation of military aircraft/ aeronautical stores for
establishing the cause thereof and to suggest remedial measures.

Rendering advice on technical matters relating to quality assurance during manufacture of

aircraft, its various systems and associated equipment.

Participation in standardisation activities related to preparation of joint service / national

specifications. DGAQA is also involved in the codification of the Defence aeronautical
equipment / stores used by Defence Services.

DGAQA is the nodal agency for the Missile Systems Quality Assurance Agency (MSQAA) to
ensure quality and reliability in indigenous missiles development & production under the
Integrated Guided Missiles Development Programme (IGMDP).

To carry out AHSP functions in respect of Air Armament stores, Brake Parachutes, Pilot
Parachutes and Aircraft Arrester Barriers equipment.

(j) Vetting of indents for indigenous procurement and membership of Price Negotiation
Committee (PNC) / Tender Purchase Committee (TPC) as required from time to time.

2. QA Responsibilities

2.1 The various functions above add upto the main responsibility of ensuring adequate QA
system/procedures towards the objective of ensuring conformance of all supplies and services for which
DGAQA has been nominated as the QA authority. The other associated functions like technical direction of
Quality Assurance also directly or indirectly contribute to the QA effort. The HQrs DGAQA has the overall
responsibility for the above which is carried out through the overall technical/ functional control of the roles
laid down in Chapter 3. The HQrs also maintain the necessary liaison with Service HQrs, for service feedback
and any other matters. HQrs also coordinate and control the work pertaining to any major Defect Investigation
(DI), concession/production permits, as also participate in high level meetings at MOD Service HQrs, DRDO,
OFB, HAL, as necessary. The technical direction of QA in the different field establishments of the department
comprises of

(a) Approval of Firm’s QA Organisation.

(b) Technical directives
(c) Action on technical matters referred to HQ by field establishments.

3. Approval of firm’s Inspection Organisations

3.1 The primary method of carrying out the Aeronautical quality assurance functions of this Dte General is
by Supervisory inspection control, which is exercised by granting approval to the firm’s inspection organisation
& by positioning of Chief Resident Inspectors to look after the detailed inspection responsibility.

3.2 It is the policy of this Dept to encourage contractors to become increasingly conscious of the importance
of quality and reliability, and also to encourage suitable firms to develop their own QA organisations in such a
way that they can qualify for DGAQA’s approval.

3.3 The inspection organisation of such firms, which manufacture/overhaul/repair aircraft, and/or its
associated systems/stores/indigenous material, is utilised for inspection at all stages of
manufacture/overhaul/repair, and for this purpose approval to inspection organisation of the firm is accorded by
DGAQA.

3.4 An inspection organisation which is approved based on the satisfactory status at the time of approval and
is required to be so maintained during the period the firm is engaged on contracts in which DGAQA is
nominated as the Inspection Authority. The scope and category of inspection approval is indicated in the formal
approval letter. Chief Resident Inspectors of DGAQA are positioned at the firm’s premises to carry out the
supervisory inspection functions in order to continuously monitor that the firm’s approval is being maintained
and to exercise direct supervisory control at designated high activities areas. Where Chief Resident Inspector is
not positioned, supervisory control is exercised by DGAQA, HQrs, either directly or through any one of the
CRIs.

3.5 Firms desirous of getting inspection approval of this Dept, shall apply to this Dte giving the details of
scope of approval required, in the prescribed format (Form No1.) through the Chief Resident Inspector (Where
applicable). Approval is subject to the Assessment of firm by DGAQA or his rep with regard to the adequacy
of facilities, processes, calibration, production process control, inspection organisation, documentation, storage
facilities, etc. The requirements as indicated in the documents on (i) Approval of firms inspection organisation
& (ii) Quality control system requirements for industries” are to be fulfilled for approval by DGAQA. The
Chief Resident Inspector (where applicable) on being satisfied, will forward the firm’s application to the HQrs
DGAQA with the recommendation for approval of firms inspection organisation. Where CRI is not located the
firm shall apply directly to the DGAQA HQrs for necessary action. Similar procedure shall be adopted for
approval of Test laboratories with the guidelines given in the document on “General criteria for assessment of
Testing laboratories” and the firm / laboratory shall apply through local CRI or directly to the HQrs Where local
CRI is not positioned, on the prescribed format (Form No.2) for needful action.

3.6 The system of approved firm inspection is applicable to firms who have regular supply orders
continuously or without long break. This is not applicable for sources who get orders once in a way. It must be
recognised that the cost of investigating, granting and subsequently supervising an inspection organisation is
significant, and if a firm receives only small and infrequent orders, the cost of direct inspection may be less.
When considering applications for approval, whether from prime contractors or sub-contractors, attention is to
be paid to this aspect. In case of approved firms not manufacturing/supplying the stores concerned for a period
of six months and also there is no prospect for such supplies in near future, the firms approval will be
suspended. In case the approval has been suspended for a continuous period of 2 years, the approval will be
withdrawn and the firm has to seek a fresh approval if so desired by the firm subsequently. In case of
errors/lapses in such an approved inspection organisation, action as necessary would be taken. An inspector
shall be withdrawn from inspection duties and the stamp allotted to him shall be quarantined for at least twelve
months in case of lapses observed on the part of approved inspector.

3.7 In addition to above supervisory inspection, aeronautical quality assurance encompasses participation in
court of inquiry for aircraft accident investigations, deliberations / decisions on non-conformances, participation
in steering committee meetings convened by Air HQrs / Min of Defence etc for necessary quality assurance
measures to be taken & implemented.

4. Issue of Technical Directives

4.1 HQrs DGAQA issues directives from time to time to Field Establishments. These directives are issued
whenever an existing procedure requires to be modified to suit changed conditions or new procedures.

5. Technical problems of Field Establishments

5.1 Field Establishments may sometimes require to refer to headquarters, technical problems of a major
nature, hold ups of production etc. Apart from suitable action in this regard, Headquarters undertakes necessary
liaison with other agencies such as Air Headquarters, MOD, R&D Directorates etc as applicable.

6. Supervisory Inspection Function

6.1 The Chief Resident Inspectors who are located at various Defence PSUs as well as at Ordnance Factory,
are responsible for performing in their local areas the supervisory Inspection Function over the whole range of
supplies and services which fall within DGAQA sphere of responsibilities. Such work is normally concentrated
at the firms whose inspection organisations they supervise but may include sub-contractor firms producing
indigenous stores. Each C.R.I is responsible to the Director General, AQA, through the concerned Director at
HQ. He receives the Technical Direction of Inspection from the concerned Director at HQ. Each C.R.I. is
assisted by a number of inspectors of various grades and scientific disciplines and is responsible for the
administrative and technical management of their particular offices. The details of the duties of an OCRI are
given in Chapter 3.

6.2 The department primarily aims at adequate QA through system, resources & procedures and
implementation at the different supplier organisations. All different functions of the department are to be
carried out in such a manner as to sub serve this objective, as also to monitor the effectiveness of the supplier
QA system through adequate physical inspection of stores. Adequate physical inspection of stores also needs to
be carried out by the department in preparation for ensuring a satisfactory position to issue form 530 or I Note
for various products as final acceptance for delivery to the services.
 Annexure I to Chapter 2 (Ref para 3.5)

Form – 1

FORMAT OF APPLICATION FOR THE GRANT OF APPROVAL BY DGAQA

TO A FIRM’S INSPECTION ORGANISATION

Firm’s Reference

PART – I

GENERAL

1.0 Name of the Firm :

1.1 Registered Address :

Postal/Telegraphic/Telex/Fax/
E Mail/Website

1.2 Place of manufacture with :

Postal/Telegraphic/Telex/Fax/
E Mail/Website address

1.3 Date of Incorporation :

1.4 Category of Industry : Large/Medium/Small scale

1.5 Nature of company : Proprietary/Pvt Ltd/Public Ltd/PSU etc

1.6 Approx. no. of workers employed :

& organisational chart

2.0 Reference to Government Contracts/ :

Indents/Purchase Orders/RMS Order/
Letter of Intent

3.0 Category of Approval required :

(See Section I of AFIO)

3.1 Details of previous approvals :

held if any & supplies effected

3.2 Details of previous supplies made

 in r/o category for which approval
is being sought with details of
inspection agency.

4.0 Particulars of Equipment (Manufactured/ :

Overhauled/Repaired etc.)

4.1 Nomenclature :

4.2 Manufacturer’s Type No. :

4.3 Type of Installation :

(Ground/Airborne/Vehicular/UAV’s)

4.4 Specification No. :

(Issue and Date)

4.5 Manufacturer’s Design document details

(Issue and Date)

4.6 Name and details of the Designers/ :

Collaborators

4.7 Type Certificate/Type Approval :

reference for Design Clearance
where applicable

4.8 Production programme for next 3 yrs :

PART – II

DETAILS OF THE FIRM’S INSPECTION ORGANISATION

(Please refer to DGAQA pamphlet on the ‘Approval of Firm’s

Inspection Organisation’)

1.0 Details of the firm’s Inspection :

Organisation

1.1 Name and designation of the :

Officer-in-Charge of the Firm’s
Inspection Organisation
(Bio-data as per section III
may please be attached)
 1.2 Approximate total number of :
Technical staff working in the
Inspection Organisation with
discipline wise organisation
chart.

2.0 Accomodation and Equipment :

2.1 Details of the shops where :

Inspection is carried out

2.2 No. of Inspection Booths/ :

Sites in each shop

3.0 Stores :

3.1 Do you have ?

3.1.1 Quarantine Stores : Yes/No

3.1.2 Bonded Stores : Yes/No

3.1.3 Stores Organisation : Yes/No

Vide Section II

4.0 Records :

4.1 Do you meet the requirements : Yes/No

of QCSR in full ?

5.0 Testing :

5.1 Test facilities for environmental :

testing
(Furnish information as per
Annexure I)

5.2 Test facilities for physical, :

electrical and functional checks
(Furnish information as per Annexure I)

5.3 Are your Test Laboratories & :

Test procedures approved by
DGAQA
 5.4 Indicate the test facilities proposed
to be utilised from other approved
test houses/labs (Furnish info as per
Annexure I)

PART – III

(QUALITY CONTROL REQUIREMENTS)

(Please refer to DGAQA pamphlet on “Quality Control System

Requirement for Industry”)

1.0 Quality Assurance programme

Do you have detailed QA

programme for:-
1.1 Design :

1.2 Development :

1.3 Purchasing :

1.4 Inward Goods Inspection & Testing

1.5 Fabrication Inspection & control :

1.6 Processes Inspection :

1.7 Assembly Inspection :

1.8 Sub system/system Testing :

1.9 Packing & Marking :

1.10 Storage & Transport :

(Detailed flow charts showing stages of inspection of the fabrication, assembly & testing of components
and assemblies, units etc., are to be prepared)
(Copy of QC Manual may also be provided)

2.0 Do you have complete documented :

instructions that prescribe the
performance of work vide
Chapter II of QCSR?
3.0 Documentation & change control :

3.1 Indicate the availability of :

documents for AHSP Functions

Certified that :

(i) The conditions and the requirements laid down in DGAQA Pamphlets on (i) ‘Approval of Firm’s
Inspection Organisation’ and (ii) Quality Control System Requirements for Industry are fully satisfied
and will be complied with (Indicate the requirements which are not met at the time of applying for
approval).

(ii) Facilities regarding floor area, electrical supplies, environmental control of shops, industrial furniture
required for the manufacture of the equipment for which approval is sought are available.

(iii) All drawings, specifications, models, production matters and other design particulars required for
manufacture/overhaul/repair are approved by the Competent Authority. The production will be in
accordance with these documents right from the raw material to the final packing stage whether it is
produced within the factory or by sub-contract to other agencies.

(iv) The manufacture/overhaul/repair will be in accordance with the latest Mod. Standards issued by
users/principal collaborators/Design Bureau as approved by the competent Authority/Local Modification
Committee from time to time.

(v) In the light of the information furnished above, it is confirmed that all the required facilities for
manufacture, assembly, testing, turning, process control, finishing, packing, storage and adequately
trained man-power for manufacture and defect investigation of the system (for the scope of Approval
being applied for) exist.

Signature :
Place :

Name in block letters

Date :

Designation:
 Annexure to Form –1 (Para 5.2-Part-II)

DETAILS OF TESTING FACILITIES USED BY THE FIRM’S INSPECTION

Name of Organisation :

------------------------------------------------------------------------------------------------------------
------------------------------------------------------
Sl. Brief Details of the Nomenclature of the Type or Serial No. or
Performance Frequency & last Calibration
No. test equipment test equipment model inventory

No. Range Accuracy date of calibration agency with

with make

accreditation

reference

------------------------------------------------------------------------------------------------------------
------------------------------------------------------
(1) (2) (3) (4) (5) (6) (7)
(8) (9)
------------------------------------------------------------------------------------------------------------
------------------------------------------------------
 ------------------------------------------------------------------------------------------------------------
------------------------------------------------------
Indicate if any facility from other organisations has to be utilised.
Signature
Place :

Name
Date :

Designation

Note : Separate Annexure are to be attached for (a) physical, electrical and Functional
testing facilities and
(b) Environmental testing facilities.
 Annexure II to Chap 2(Ref Para 3.5)

Form – 2

APPLICATION FOR APPROVAL BY

DGAQA, MINISTRY OF DEFENCE

As per DGAQA Document

‘General Criteria for the Assessment of Testing Laboratories’

Name of the Laboratory _________________________________________

Discipline applied for _________________________________________

 APPLICATION PROFORMA

FOR

TESTING LABORATORIES

FOR

APPROVAL BY

MINISTRY OF DEFENCE

1. Applicant’s Name, Designation and Address

Telephone No.

Telex No.

Fax No

2. Test Laboratory’s Name & Address

(if different from paragraph 1)

Telephone No.

Telex No.

Fax No

3. Legal Status and Date of Establishment

4. Senior Management

4.1 Name and Designation of the Head of the

test Laboratory for which recognition is
being sought.

4.2 Name and Designation of the person

responsible for the quality management
system in the Testing Laboratory(s).

4.3 Name and Designation of the principal

contact nominated by the Testing Laboratory

4.4 Organisation Chart of Testing Laboratory

showing each function (on a separate sheet)
5. Other Information

5.1 Give any other information which you

consider could be of assistance to the
assessment team (on a separate sheet,
if necessary

6. Equipment

6.1 List on a separate sheet, the major

items of test equipment available for
use in the area for which approval is
being sought in the following manner

Sl Name of Model/ Name of Date Range Date of Remarks

No equipment Type/ manufacturer received and calibration
Year & date accuracy
of make placed in
service

6.2 How is the calibration of test equipment

being conducted

(a) In house

(b) Outside Agency – Give name of the

equipment & Agency.

6.3 In record maintained of all test equipment

including calibration results ?

6.4 Are test equipment being calibrated as per

laid down procedures? Are calibrating
procedures being updated/changed according
to the changes in test equipment?
 6.5 Are references quoted in the procedure sheetfor test equipment calibration conform
toNation/International standards.

7. Employees

7.1 Total number in Test Laboratory

7.2 Furnish following details about the

professionally qualified staff, in an annexure.

Sl Name Designation Academic & Experience

No Professional
Qualification

8 Test facilities and services

8.1 List on a separate sheet, the testing services

for which approval is being sought with the
following details

Sl Name Range with Minimum sample Remarks

No accuracy limits size/quantity
required

8.2 If approval held from any other authority?

If so, give details on a separate sheet

8.3 What type of testing is to be subcontracted in

respect of which the approval is being sought?

8.4 Do environmental facilities exist?

 8.5 Is there a prescribed system for detecting
deficiencies in testing and their causes and
correcting unfavourable trends?

9. Quality Policy Yes/No Particulars

(Where appropriate)

9.1 Are policies and procedures for the

operation of the testing laboratory
prescribed in a document such as
Quality Manual

9.2 Are there prescribed audit procedures

for the supervision of any unqualified
staff?

10. Work Instructions Yes/No Particulars

(Where appropriate)

10.1 Are manuals, work instructions and

regulations to be used by the staff,
readily available?

10.2 Is there a system for updating,

implementing and recording changes
to these documents?

10.3 Are documents available for each

testing operation?

10.4 Is obsolete data promptly removed

from the documents, etc?

11. Personnel

11.1 Have job descriptions been prescribed,

where necessary?

11.2 Are training methods applied to attain

and maintain skills with due attention
to quality requirements?
12. Handling and storage

12.1 Are work and inspection instructions

prescribed and implemented for the
handling, storage and return, to the
client, of materials and samples?

12.2 Are appropriate storage areas arranged

to prevent deterioration or damage to
the products concerned?

12.3 Are storage methods prescribed, including

special environments?

12.4 Are there procedures for the inspection

of samples in storage?

12.5 Are storage areas accessible only to

authorised persons?

12.6 Is provision made to ensure that all

samples to be stored or returned to the
client are adequately identified and
labelled?

13. Records Yes/No Particulars

(Where appropriate)

13.1 Is there a prescribed system for

recording the method and results
of testing activities?

13.2 Are observations and calculations

recorded and preserved so as to
provide a permanent test record?

14. Test Reports

14.1 Do test reports contain all the

required information?

15. Preparedness for Assessment

15.1 On what date will the testing

 laboratory be ready for assessment?

16. Willingness for Assessment

16.1 Are you satisfied that you can meet

all the requirements, prescribed herein?

16.2 Are you familiar with the terms and

conditions of approval and willing to
abide by them?

Applicant’s Name …………………………………………………….

Signature of the person authorised

To sign for the applicant …………………………………….
(Title)

Date ……………………………..
 INSTRUCTIONS FOR FILLING UP THE FORM

1) Application duly filled and signed by the head of the firm, in duplicate, as per the

specimen form should be forwarded to the Director General, DGAQA, H-Block,

Ministry of Defence, New Delhi – 110 011, with a copy to the local CRI,

DGAQA.

2) Please write “none” or “not applicable” in sections which do not apply.

3) Attach additional sheets wherever necessary by drawing reference at the proper

paragraph.

4) Separate applications are to be made for each equipment and test laboratories.

5) The application may please be filled in after reading the following DGAQA
Pamphlets.

a) Approval of Firm’s Inspection Organisation.

b) Quality Control System Requirements for Industry.

 CHAP-3

QA DURING DESIGN & DEVELOPMENT

Introduction:

1.1 There are three major phases in the life cycle of any equipment i.e., Design / development,
Production & Service / exploitation . Though the Quality, Reliability and performance of any eqpt depends
upon design, production and exploitation practices, the major contribution for the same is derived from the
D&D phase. The quality management during the design/development process is more important than the
quality management during production. This is because any shortcoming at the design & development
stage would have implications affecting bulk quantities, rectification likely to be expensive and sometimes
even impossible in addition to poor quality. Data on the root causes of major services problems reveals
that pre-manufacturing error [lack of or wrong specification (approx 16%) and lack of proving (approx
36%)] account for more than 50% of quality problems. Further, the more the design work progresses from
the original concept, towards the production of detailed work instructions (drawings, specifications,
manufacturing / inspection procedures and requirements) there is more difficulty for modification. The
design becomes progressively frozen in that decisions have to be made on the various different design
solutions, materials, methods of manufacture etc. The consequences of an incorrect choice early on
become increasingly difficult and expensive to rectify. The quality plan / system must cope with the above
and must prevent or lessen the risk of incorrect choice being made.

1.2 This chapter outlines the role and responsibility of DGAQA as the QA agency during various stages
of a development project. The various functions typically performed are covered in brief. The actual
format & extent of participation depends on the complexity of the project undertaken by the developing
agency.

1.3 The association of QA agencies during the design and development of indigenous developed
military aircraft, aero-engine and accessories, towards achieving the quality and reliability of the product is
therefore very significant. The DGAQA have been associated with the QA of D&D of programs / projects
and have contributed towards the objective of Quality of Design & its verification / validation. DGAQA
should therefore associate with the QA of a development project right from the initial stages of design and
development and provide necessary advice / inputs to the designer during the course of development.

1.4 The procedure for design and development of aeronautical stores and the role of different agencies
has been defined in the DDPMAS, outlining the following stages,

a) Project Definition
b) Preliminary Design
c) Detail Design
d) Technical/Design Review
e) Test and Analysis (including various analyses, Simulation, Software verification validation &
Ground Test)
f) Integration Testing
g) Design SOP
h) COD/ Documentation
 i) First Flight Clearance
j) Flight Tests and Analysis
k) Type Record & Type Approval

1.5 The role of QA agency during design and development through early comments on the specification
on such aspects as quality / reliability, maintainability, product / component life, manufacturability,
testability are of value to the progress of the design. Suggestions through participation in design reviews
can contribute to Quality of design / conformance to the requirements. Conformance to the technical
requirements at the test stage forms the basis of approval with high relevance to the quality and reliability
of the final product. The inspection of prototypes (at parts, subassembly and system level) and witnessing
of tests / coordination of reports are aimed at ensuring conformance to required specification and the
conduct of testing in accordance with the prescribed schedules which form the basis of approval and have
relevance to the quality and reliability available in bulk production. Also participation in defect
investigations are aimed at enhancing the practices / procedures for achieving / improving product quality.

Quality Assurance Approval:

2.1 The firms engaged in D&D should have an adequate QA system. The conditions to be fulfilled by a
firm including those relevant during design and development phase, are given in QCSR and AFIO, the
relevant documents of DGAQA. DGAQA approves the quality assurance organisation of design and
development agencies in accordance with the requirements specified in the above documents being satisfied.

2.2 Complex D&D projects involve a number of agencies / work centres entering defence / aeronautical
area for the first time. This would involve considerable effort to evaluate / assess their QA system, and
provide adequate direct inspection during prototype manufacturing / testing stage, with gradual changeover
towards a less direct but adequate QA plan / coverage for such sources.

2.3 Each development program / project should have a QA plan encompassing all areas of work, main
contractor, supporting work centres, bought out items, etc in order to provide for an effective & adequate
QA functions towards requisite QR of the different parts / equipment.

Responsibility For Quality Control:

3.1 While the design approval of a D&D agency could concern on their design capabilities, D&D
resources, Design control and associated area, a QA plan supported by a QA system goes a long way to
realise the project objectives.
3.2 The contractor / firm should institute adequate quality assurance provisions for fulfilling the quality
requirements of the development project. The quality manual of the firm should adequately spell out the
requirements of design quality control. Manuals based on standard quality systems define design control,
verification resources and personnel, document control and quality records. The design control measures
would typically include document control, interface control, design verification, design review, design
change control and control of subcontracted items and purchased items. While the responsibility for quality
control during the design and development rests with the main contractor, it needs to be checked, monitored
and ensured by DGAQA.
3.3 The responsibility of the contractor / firm includes the sub contracted portion of work and the
concerned OCRI should be informed about the sub contracting arrangements with different vendors.
DGAQA should satisfy itself regarding the nature of work, the technical requirements specified and the
quality arrangements detailed in the contract.

Preliminary Design:

4.1 During this phase, design parameters are established based on various inputs like QR, Feasibility
study report, wind tunnel tests for aerodynamic configuration etc. The specification for various systems and
sub systems that are to be used are also finalised. The data of relevance, among other things, includes the
following:-

a) Performance Characteristics
b) Environmental operating conditions
c) Details of stresses likely to be imposed
d) Relevant specifications and Military Standards
e) Input / output requirements
f) Alternatives available for detail design
g) Hardware / Software requirements

Detail Design:

5.1 Engineering design has the responsibility for development of a low risk design as also for
specification of test requirements and design for production and product support. During the detailed design
phase the detailed design of all components, sub systems, systems including their process parameters are
carried out. Concurrent with the design phase, development and fabrication of prototype samples, testing
and analysis of test results of several components, sub systems and systems may be undertaken for
validation purposes. It includes testing, simulation exercise, software verification and validation and ground
tests on

a) Components / Equipment / LRU

b) Sub systems / systems
c) Structural Coupling
5.2 The type approval test may include, depending on the technical specification of the unit, the
following test, in addition to the functional tests :-

a) EMI/EMC/EMP
b) Lightening tests
c) Structural Strength / Integrity
d) Environmental tests
e) Explosion proof tests for units operating in explosive ambience.

5.3 It is necessary to ensure that the type test schedule should state the operating status of the unit i.e
powered or not, mounting axis, environmental condition and the duration of testing clearly, for above
mentioned tests
5.4 The aim is to produce a low risk design through implementation of best practices in engineering
design which will give a high level of confidence that design maturity will be achieved before design
release. DGAQA is an active participant especially in witnessing all the Q / TA tests for strict conformance
to approved schedules & analysing test data and participating in the analysis of failures encountered, if any.

6. Design Reviews:

6.1 Design review is a management process, a formal, systematic study of design. Review is undertaken
by a suitable team conversant with the item under development and a representative from DGAQA is
normally a member of such teams. At the commencement of a design, a programme of reviews for the
appropriate design stage is prepared. The object of design reviews is to provide assurance that the specified
requirements (performance, environment, quality, reliability, maintainability, safety etc ) are likely to be
met.

6.2 Following stages during which formal design reviews may be conducted depending on the
complexity and criticality of the item being developed

a) Preliminary stage (inputs considered include results of risk analysis, design pedigree, lessons
learnt for reference, FMECA, specification compliance statement, concept/scheme drawings
etc.). this is referred to as PDR.
b) Intermediate stage (inputs considered include updates on those subjects introduced by PDR,
Progress required for completion of final review, responses to action items from PDR etc). This
is referred as IDR.
c) Final stage (Inputs include final PCS, final design, FMECA, risk analysis, overall program plan,
identification of tests performed in outside test houses, DDP, test reports of testing done till date,
analysis and analogy reports, PAT schedule, planned risk reduction activities etc). This is
referred to as CDR.
d) PDR, IDR and CDR review the basic design approach and detailed design solution for hardware
and software. The reviews ensure that necessary documents are available as required by the
contract. DGAQA representative is normally a part of the design review team when comments
on various aspects having a bearing on quality, reliability, maintainability and life of the items
could be contributed. Other areas of focus would be manufacturability, inspectability and
testability of the items under development.

7. Prototype Inspection:

7.1 The necessity for conformance of a prototype to the approved drawing / specification, and a record
of the exact status thereof cannot be over-emphasised. Accordingly, a high importance needs to be attached
for the inspection of the prototypes at all stages – components, sub-assys, LRUs, subsystem & system. Any
deviation from the standard could vitiate the testing / functional results in a major development programme.
As such, special attention needs to be paid for coupling of structures, installation / testing of LRUs,
integration testing, weighing etc. While adequate documentation availability to facilitate conformance to
the process will concern all stages, it would be of special relevance during integration when the various A/C
systems will be under actual evaluation. This needs adequate approved integration plan, compliance with
the plan, record of all inspection / testing results, with aspects like accessibility for installation /
maintenance, installation neatness etc. receiving due attention. All bought out items should be subject to an
adequate QA plan covering the different stages inspection / test at the suppliers premises, QT / AT
completion as per test schedule.

8. Nonconformance:

8.1 The prototype samples which are subjected to type approval tests, should be first inspected by
DGAQA to ensure that the prototype has been manufactured as per the build standard and the drawings,
prepared by the developing agency and provisionally cleared by the airworthiness authority. The
acceptance of non-conformance of requirements (concession / waiver) during the development phase rests
with the waiver board. Concerned DGAQA representative is a member of the waiver board and should
critically study the deviation and comment upon the merit of acceptability of the deviation.

9 Software Development:

9.1 When a software is planned to be developed, its quality assurance activities at various stages of
development should be worked out. The approach for software quality assurance depends on the criticality
of the system and should be as per the guidelines given in DOD-STD-2167 ‘A’. The CRI should scrutinise
and forward his comments if any on Software Quality Assurance Plan (SQAP), prepared by the developing
agency.

10. Qualification/Type Approval Testing:

10.1 A major D&D programme involves design & development of a number of parts, LRUs, sub-system
& main system. This needs considerable extent of QT to validate that the proposed design is adequate for
the purpose or its end use, in actual working conditions. This activity has different stages such as:-

a) Test schedules (ATP, QTP, TTP, )

b) Test facilities
c) Conduct of tests
d) Inspection of prototypes after tests
e) Test results / report

10.2 DGAQA rep should scrutinise the test schedule prepared by the D&D agency to ensure the
following aspects: -

a) Objective and adequacy of the test to prove the particular parameter

b) Details of the item to be tested with reference to SOP drawing etc
c) Test equipment, their calibration status and instrumentation.

10.3 A variety of sophisticated test facilities are required for the smooth conduct of these tests, covering
the different A/C systems – avionics, electrical, hydro / pneumatic, flight control etc. As a means for the
verification / assessment of the functional reliability and endurance capability of the systems / LRUs
concerned, these should be adequate, safe & effective for the purpose. The CRIs should therefore examine
the adequacy / effectiveness / calibration status (MIL-STD-45662) of these rigs including software for
fitness for the purpose. These include consistency & reliability of test results, ruggedness of rig for repeated
use, built in safety for the equipment under test etc.
10.4 The above tests are to be witnessed by DGAQA representative and test reports coordinated. All
mandatory ground-tests as per design standards should be completed before undertaking flight tests.

10.5 Weighing of the constituent parts of prototype and production Aircraft should be carried out in the
presence of DGAQA rep for comparison with the limits of weight and CG of the A/C defined by design
documents.

11. Design Change Control:

11.1 During the process of design and development, changes may need to be introduced based on the
experience of analysis / tests carried out. The design process requires approval of changes to be a controlled
procedure. The continuous evolution of the Design Standards is an example of such control and inspection
related to a particular standard is an essential feature of such activities. Such changes are generally
processed through a configuration control plan, which requires formation of Local Configuration Control
Board (L CCB) and / or a Central Configuration Control Board (CCCB). Representative of DGAQA is a
member of both the boards whenever they are formed. The changes are required to be documented and
identified. Further, the updated documents should replace the changed documents at all relevant locations.

11.2 Good documentation under an effective control, not only facilitates to regulate a development
process but also helps to obviate QA related problems during subsequent series production.
12. Mock Up And Working Rigs:

12.1 The full mock up should be dimensionally accurate and it should indicate congested areas in
sufficient detail to highlight problems regarding access during maintenance and servicing.

12.2 To demonstrate functional tests on various systems, suitable rigs are necessary. DGAQA rep will
inspect and certify the rigs to the effect that the rigs meet the standards laid down for such tests and meet all
drawing and other requirements.

13. Defects During Development:

13.1 Defects encountered during design and development phase need to be investigated, recorded and
corrective measures defined. The Defect Investigation should be conducted in order to determine
the facts, conditions, and circumstances relating to each defect, accident or incident, the probable
cause(s) thereof, and necessary corrective action, which will prevent recurrence of similar defect,
accidents or incidents in the future. Implementation of corrective action will help in improving
reliability of the final product.

14. Type Records:

14.1 DGAQA rep should ensure that the Type Test reports have been duly coordinated by him and all his
recommendations have been given due consideration by RCMA/Design-Authority. In case of any
concession on short-term basis, including non-completion of tests, it is essential that those aspects be taken
care of on long-term basis. DGAQA rep should get a copy of Type Record from RCMA/CEMILAC duly
approved and signed by them, for reference and retention.
15. Clearance for Flight /Flight Testing:

15.1. When the Aircraft system has been tested adequately on ground and the refined /
Design standard is considered acceptable, the Designer / CEMILAC would issue a clearance for first flight /
certificate for flight trials / provisional flight clearance. Such a RCMA clearance for flight trials is
necessary whenever there is a change to the Aircraft standard of preparation and modification / alteration.
The CRI should then ensure through his stage inspection / other methods that the Aircraft conforms to the
approved specification / drawing / technology (except for deviations duly processed / cleared under the non-
conformance management procedure authorised for the project) including all ground testing in a manner
adequate for the purpose of issue of F1090 (certificate of safety for flight).

16. Project Committee:

16.1 When DGAQA is a member of any particular committee constituted by the Government to review
the progress in the development and maintenance of major development projects, with a view to remove any
technical or administrative bottlenecks, the representative should study and examine all issues especially
those related to quality, reliability, maintenance and delivery schedule.

17. Post Flight:

17.1 Valuable feed back could be obtained from the snags / defects encountered during flight tests. The
flight snags need therefore to be studied closely for any such clue for drawing / process / testing / inspection
improvements. The rectification / rework schemes should be scrutinised for comment if any and their
implementation inspected for correctness. The above has been prepared on the basis of our experience in
some D&D projects and reference to relevant specs like Def Stan 05-67/1 should be made for improvement
to the procedures / system.
 CHAP-5
QA DURING PRODUCTION AND OVERHAUL OF AIRCRAFTS,
HELICOPTERS, AERO ENGINES AND ACCESSORIES

1. The inherent quality and reliability of a product is realised in production through a well planned
system and procedure. This chapter outlines the quality system/procedures thereof including the functions
of DGAQA reps at the firm’s premises as well as the activities of firm’s Quality Control Department
(QCD). The efficiency of Quality Control depends upon: -

a) The skill and care, with which every inspection operation is planned, carried out and recorded.

b) The systematic compliance of QC activities with every detail component and assembly from the
raw material stage to the finished product.

c) An efficient quality control during the process.

2. The Contractor, through Head of QCD is therefore responsible to ensure that the product is safe and
reliable and that it complies with all the technological requirements throughout all stages of manufacture in
order to achieve the above objective of quality and reliability. The Chief of Quality of the firm is,
therefore, responsible for planning and completion of each inspection operation and recording thereof from
the raw material to the final delivery stage. Identification of individual responsibility by a system of record
i.e stamp/signing of documents is equally essential, to ensure that QA has been carried out effectively.
When a part undergoes a series of inspection during a process involving affixing of an inspection stamp, a
definite position is to be assigned for the stamp impression for each separate process or stage inspection on
the job card in order to avoid confusion in identifying the individual responsible for inspection at any
stage. There may be occasions when work previously inspected has to be disassembled/reworked, it has to
be subsequently re-inspected. It should also provide recertification of all other parts disassembled, during
further assy operations. A record should therefore be maintained in the documentation, so that re-
inspection is ensured and the individual responsible for re-inspection is identified. Spot check is a valuable
tool of Inspection which, if adequately carried out, will lead to the detection of deviations including
unsatisfactory shop practices which may otherwise remain undetected. It may also reveal defects during
batch manufacture before completion of batch thus preventing avoidable wastage of manpower and
material. In general, QA system of the firm should cater for all the provisions of QCSR.

3. The Chief Resident Inspectors exercise Supervisory control over the efficacy and effectiveness of
the firms inspection organisation and thus ensure that all aeronautical stores conform to the stipulated
requirements after manufacture/repair/overhaul. The Chief Resident Inspector is, therefore, required to
monitor continued effectiveness of Firm's Inspection Organisation and wherever unsatisfactory quality of
product or non-conformation to specifications/drawings is found, to investigate the same from the point of
view of QA systems adequacy including lapses on the part of inspection staff and call for remedial
measures as applicable. The practices and procedures followed in this regard are generally similar to those
in AvP / DEF STAN-83 and AvP/DEF STAN-84.
3.1 The details of role and functions of CRI are given in Chapter 3. Some of the important functions to
be performed by Chief Resident Inspector in order to achieve the above objectives are given below: -

a) Approval of Inspectors for Inspection/certification of systems/equipment / items. Also

approval of operators of the firm carrying out welding, soldering jobs. Procedure for approval
of inspector is outlined in document “AFIO”.

b) By carrying out stage inspections at important stages during manufacture/repair/overhaul of

aircraft and equipment in a thorough manner. Guidelines for stage inspection are covered in
para 7.2 below.

c) By carrying out Quality Audits of products / processes (See guidelines in Chapter 12).

d) By carrying out spot checks on processes, items and systems not normally covered by stage
inspection.

e) By carrying out Defect Investigation (DI) of premature failures.(See guidelines in Chapter 8).

f) By scrutiny of aircraft documents.

3.2 In order to facilitate DGAQA monitoring the QA functions from basic raw material stage to final
delivery of aircraft to the Services, a systematic planning of QA functions is essential, and checkpoints are
established in the following areas:

a) Stores
b) Manufacturing shop
c) Process shop
d) Assembly shop
e) Test shop
f) Test labs (NDT, Mech & Chemical Test labs, Meteorology room etc.)
g) Calibration cell (for tools, gauges, test equipment etc.)
h) (i) Flight Hanger (for Aircraft Div)
(ii) Engine test House (for engine div)
4.0 Stores

4.1 The factory should have adequate facilities for the proper storage of aeronautical stores and a
system and procedure for their receipt, storage, ('Bonded' and 'quarantine') and issue. QCD shall have
defined quality procedure for the following aspects.

a) Receipt inspection
b) Identification and documentation
c) Preservation and in storage inspection/servicing.
d) Release of stores
e) Quarantine

4.2 Bonded Stores can be broadly classified as under to cater for :-

a) Raw materials
b) Proprietary articles
c) Parts (components)
d) Rubber items
e) Consumables (chemical, paints, grease etc)
f) Casting / forgings

4.3 CRI ensures that all the items held by firm are identifiable with colour code, tag, and inspection
stamp. QCD will have such system of identification and documentation.

4.4.1 The quality assurance system in respect of the stores, should adequately provide for the following:

a) The system should have provisions to prevent commercial items getting mixed up with
aeronautical items and repairable/rejected items with serviceable ones.

b) Identification of items (color code, tags, inspection stamps etc.)

c) Adequate documentation to enable identification of the source and batch of supply, to give
evidence of conformity of items to contractual and technical/Quality
requirements/specifications.

d) A regular programme of periodic preservation and 'in-storage' inspection of items in

accordance with stipulated technical requirements. (Periodical inspection/exercising of lifed
items, expiry dates etc.) These must be readily verifiable by necessary documentation
e) Release of items by QCD after necessary verification.
 f) Review of Modification status of various items with respect to current standard.

g) Quarantining items for want of documentary evidence, for noncompliance with

contractual/technical requirement, for non-conformity to inspectional and technical
requirements.

h) Repairable items.

i) Inwards goods inspection. Firm will have a defined quality procedure for all incoming
items, including lab tests wherever applicable.

j) RI should organise a regular spot checks programme for verifying the conformance to the
requirements at different phases mentioned above.

5.0 Calibration: Jigs/Fixtures , Insp. Tools, Gauges & Test Equipments

5.1 The basic functional responsibility of the calibration and metrology area is to maintain all test
equipment, precision instruments etc. used and to provide reference and working standards for
certification and calibration. A system of assuring that instruments in use conform to primary standards of
recognised measurement values should be maintained, along with a procedure for periodic calibration. The
system of control should cover: -

a) Measuring and calibrating instruments, masters, templates and all mechanical, optical,
electrical and electronic devices which are used in assessing the conformity of a part,
component or assembly to specified requirements.

b) Tools, Jigs and Fixtures, and other devices or appliances used-in the manufacturing process to
assure interchangeability and uniformity of either the end product or the components.

c) Tools which are designed and constructed in a manner that will fix and control the
dimensional characteristics without the benefit of parts inspection (the tool is the medium of
inspection)

5.2 The quality system organisation should be such that:

a) The sub contractors who supply/maintain gauges and/or tools have an adequate control system.

b) Inventory control of all gauges and equipment, exists.

c) Identification of each individual tool, gauge and item of testing equipment exists. The system of
part numbers, symbols, dates, stamps etc. used should reflect such information as equipment
name, size, nitial inspection approval and latest changes. Further,

i) Colour coding of inspection tools to ensure its calibration status.

 ii) Periodic checks for continued accuracy against certified standards, are carried out
timely.

iii) Laid down calibration procedure for rigs, test equipment etc.exists.

iv) Strict control and an organised procedure for referring and handling of the 'standards'
according to established schedules is exercised.

v) Frequency of gauge/measuring tools inspection as related to accuracy requirements,

critical dimensions and degree of usage is well defined and enforced. There must be an
assurance of accuracy at start and throughout the operation.

vi) Calibration references should be traceable to national / international standards.

vii) Corrective action/procedure followed with regard to shift in instrument/gauge/tool /jigs

etc. is laid down.

viii) Modification and reworking of tools and gauges/jigs etc. is controlled.

ix) Tools, jigs and fixtures are to the latest modification/drawing standards in relation to the
parts.

6.0 Manufacturing Shops

6.1 Inspection schedules covering all stages of manufacture should be available. The layout and
sequence of inspection records is to be such that the methodical recording of inspection detail is facilitated
and a comprehensive record in chronological order provided. Schedules are to be provided for the
complete inspection of each item in detail and are to be so planned that all necessary checks are made
before any part becomes inaccessible due to subsequent assembly stages.The system of inspection and
documentation should be such as to ensure that :-

a) The item complies with, and is correct in every respect to, the drawing stated (except when
covered by an authorised concession or production permit) and the modification state is in
accordance with the contract requirements.

b) Only the material specified or authorised alternative has been used.

c) All necessary shop processes involved in manufacture, including heat treatment, have been
carried out in accordance with the process specification requirements

d) Workmanship is of the required standard.

e) First Off Inspection: First Off Inspection for manufactured parts (wherever applicable) is
important to assess early the quality of batch under production. This helps the manufacture
to take timely corrective action wherever required and saves quality loss. It is an essential
tool to keep the rejection level minimum for long cycle, costly and critical items. System of
 First Off Inspection helps to ensure the quality of manufactured parts especially for parts
produced through NC machines / automatic machines. QCD will ensure the existence of
First Off Inspection system wherever applicable.

f) Identifiable parts are clearly identified to history cards and other documentary records to
enable the material batches to be traced.

g) Inspection Tags: All manufactured items are identified by various tags e.g. Acceptance
tags, Rejected tags, Quarantine tags etc. In general, a system for identification of airborne
items by tags should exist.

h) All markings, as required, are carried out as specified and are legible.

i) Any functional or other prescribed tests have been carried out in accordance with the
appropriate test schedule results.

j) Interchangeability requirements have been satisfied.

k) All previous inspection stages have been satisfactorily completed and evidence of this is
correctly recorded/marked.

l) The stores conform to drawing / specification technology requirements except for any
deviation duly processed / accepted under authorised procedure (See Non-conformance
Management at para 7.3)

m) The parts subjected to rework / reconditioning as per repair scheme of original manufacturer
or as per design disposition are suitably identified.

n) Identification and disposal of rejected parts should be such that under no circumstances they
can find their way for fitment/installation.

6.2 The manufacturing shops employ a wide variety of manufacturing and testing processes, adherence
to which is the basis for good quality of parts and thereby the assemblies. A sound system of QC is
therefore, required to be in place. Such a system of QC should be capable of ensuring:

(a) All the processes should be in accordance with approved technology.

(b) Protection of materials, parts, components, etc. against corrosion, during various phases of
processing by approved methods.
(c) Cleaning of materials, parts etc. by approved methods and processes.
(d) Various fabrication processes (Machining, grinding, manipulating processes such as cold
forming, rubber press work, casting, forging, welding etc). are in accordance with the
technical specifications and requirements and are verified by suitable checks/tests at
appropriate stages.
 (e) Heat treatment is adequately controlled and complies with the relevant specifications,
including different testing of specimens.
(f) Flaw detection is carried out wherever specified in accordance with the approved methods
and processes.
(g) Protective processes have been correctly controlled and are in accordance with the relevant
specifications. Processes which entail the use of chemical solutions made up to a given
limited formulation are to be controlled by periodic chemical assessment for strength of
solution and freedom from impurities.
(h) Post-process treatments are given wherever applicable in accordance with the design
requirements. (Stress relieving, hydrogen embrittlement etc).
(i ) Identification of materials, parts etc by approved methods to indicate completion of required
processes and acceptability for further processing/manufacture.

6.3 Welding Quality

6.3.1 In view of the high quality required, the welding of Aircraft parts is to be carried out by welders
who have been tested and approved by CRI for the particular process, technique, and material to be
employed on the work.

6.3.2 Scope of Approval, conditions of record etc are as specified below:-

a) The approval accorded to the welders is valid for a period of 6 months. At the expiry of this period,
re-assessment of the welders competence is made.

b) When the welders is continuously employed on the same, or closely similar, work and has been
consistently producing good welding, the discretion with regard to extent of re-test when he comes
for renewal of his approval, rests with CRI.

c) Any approved welder who at any time fails to produce satisfactory weld has his approval
withdrawn. He may be re-approved after satisfactory re-examination at the discretion of the Chief
Resident Inspector, DGAQA.

d) The Chief Quality of the approved firm is responsible for seeking the initial approval and
subsequent renewals of the welders. The test specimens are made in the presence of CRI,
DGAQA’s representative.

e) The Chief Quality is also responsible to maintain up-to-date records of approved welders and to
ensure that welders approved for appropriate work are employed on the job.
6.3.3 Records The following records are maintained in respect of the approved welders:-
(a) Welder’s name

(b) Process, Material and its heat-treatment condition and the welding technique.

(c) Identification number allotted to the welder.

(d) Date of test.

(e) Validity

6.4 Test laboratories

6.4.1 These constitute an important part in the production chain towards ensuring quality at different
stages. These include:

a) Material Test Lab

b) Rig Test shop / Functional Test Lab (FTL)
c) Environmental / Resource Test lab

6.4.2 QCD will ensure in these test labs that:

a) All the tests as stipulated in the technology / test schedules are carried out and certified by
authorised / approved test report signatories.
b) All test results and records are maintained by QCD for future reference / scrutiny.
c) Serviceability and periodic calibration of tests rigs / equipments and its records are
maintained.

7.0 Assembly

7.1 Aircraft Assembly shop comprises of building major structural assemblies (wing, fuselage
sections), equipment / installation of systems, integration & testing of all systems for conformance to
stipulated requirements. In general the technological process followed should be adequate and consistent
with the design features of the major system (aircraft, engine, or any aircraft system). The QA control
should provide for:

a) A schedule of all inspection and test stages to ensure correct assembly and test sequence
through all stages of manufacture and erection. The schedule should define the nature and
sequence of inspection and testing, including the stages at which duplicate inspection is
required, the test equipment, inspection tools, gauges fixtures to be used, the standards to be
attained and the drawings to which they conform. A system of review of the schedule
periodically should exist.

b) A system of pre-assembly checks to detect, correct and prevent errors which get through to
the assembly stage and also to ensure that all previous operations have been satisfactorily
completed and certified.
 c) A system of ensuring cleanliness and prevention of ingress of foreign matter through all
stages of assembly and testing.

d) A system of ensuring that all installation, assembly and testing (ground and flight) are in
accordance with the approved drawings and test schedules, specifications listed in the
master record index. The system should also ensure that all mandatory modification and
technical requirements are fulfilled according to their classification applicability. Further
the system should be such that information regarding the drawing applicability is passed
down the line of inspection automatically as and when changes are made.

e) System of ensuring that EMI / EMC and other special tests as applicable to the project are
carried out , recorded and certified.

f) A system of maintenance and referencing of jigs and fixtures based on intensity of use and
/or calendar basis and also a system of ensuring that the jigs and fixtures are to the latest
drawing standards in relation to the parts, assemblies etc.

g) A system of calibration, maintenance and certification of inspection and test equipment

periodically,

h) A system of sampling checks in the laboratory for conformity to the required standards of
materials like hydraulic fluid, greases, sealants, paints etc.

i) A system of auditing chronic assembly defects and a programme to improve / eliminate the
defects.

j) A system of recording and obtaining concessions / production permits for the defects/
deviations from the requirements / substitution of material / non-compliance of
requirements permitted.

k) A system of defect investigation towards product and Quality System improvement (para
7.3 refers)

7.2 Guidelines for Stage Inspection

7.2.1 Stage inspection is an important and major tool for monitoring the Quality of products as also the
health of QA system on a continuous basis, as a means to have a physical look at procedures, systems and
products. It also gives an idea of Quality culture in industry. It also provides for the necessary physical
verifications of the product conformance to tech requirements as the basis for giving necessary inspection
clearance and issue of the associated inspection note (Q423). Stage inspection assesses compliance of
QCSR as well as Quality Manual requirements of the firm.

7.2.2 It is therefore necessary that this activity is well planned, for the best advantage and effectiveness.
Whenever a production / overhaul / development / Modification project arises under the QA coverage of
DGAQA, the CRI / Director concerned with the project should prepare a Quality Plan comprising of
Inspection stages required to be carried out for the project. This list should be based on a study of the total
system / subsystem /LRU/component, and decided on the basis of technical significance of the activities /
characteristics concerned with that stage. Such a list should be maintained by CRI as a formal document
and called the LOS-01. This can be modified on an as-required basis as the project enters into further
stages with increasing component of production / development work coverage encompassing manufacture
of parts and on basis of feedback / identifying weak areas of quality. The stages should provide for the
quality monitoring of the different areas of activity like Stores, NDT, HT, critical components, assembly /
testing of sub system / LRUs integration / testing of systems, special technologies.

7.2.3 Areas of coverage during a stage inspection: The following are to be kept in view during the
stage inspection work.

a) Hardware conformance to technology requirements particularly to critical technical

characteristics pertaining to the stage, inclusive of additions due to DI
b) Sources of supply of parts (Indigenous / BOF), its acceptability, approval status of
indigenous parts
c) A control document for recording inspection checks, Inspection Record Sheet (IRS) for an
equipment, duly approved by QCD should exist. CRI to ensure that IRS are adequately
covering inspection checks. For an example, IRS for an overhauled equipment should
cover:-

i. Visual sheet
ii. Strip examination
iii. Repairs carried out
iv. Mandatory replacement
v. Parts rejected / replaced
vi. Special checks, NDT, Spring stiffness check etc.
vii. STI / SI/ MOD compliance sheet
viii. Sub-assy check sheet
ix. Assy / checks sheet
x. Test sheet
xi. Final Inspection sheet
xii. Conformity to process requirements, in respect of process oriented items including
environmental conditions,
d) Use of specified equipment / tools / test facility

e) Calibration status of all relevant production facilities, gages, test equipments and measuring
instruments as applicable.
f) Compliance with the testing requirements including series / periodic testing (Production
Quality tests)
 g) Storage and environment control where applicable.

h) Mandatory replacements ( in an overhaul / repair context)

i) Compliance with SOP (conformance to current standard) a working procedure should exist
to deal with this (including changes in lifing, tech process decided in LMC etc.)

j) Lifing correctness / adequacy (where applicable) conformance to current policy

k) Special extra attention to critical factors / aspects of conformance requirements brought out
in DIs.

l) The system of approved inspection, requires all stages to be offered after due clearance by
the approved inspector with scope of approval covering the stage concerned. This should
be ensured during the stage, to avoid possible violations and associated problems.

7.2.4 Stage inspection work is not limited to the physical action of carrying out the work. It requires
study and preparation in advance for the stages assigned to an officer / group. The applicable drawings,
technology, instructions, manuals etc should be studied well in advance, critical characteristics /
requirements noted and a fair technical appreciation of both the store, functions and the inspection plan be
acquired well in advance. Also during the period when stage inspection activity has been completed or
yet to arise, there should be a continuous monitoring of the system / procedures which influence the
product quality.

7.2.5 Feedback Orientation CRI / Directors are to prepare and issue a guideline on stage inspection
activity taking into account any local system / shop structure, listing important technical characteristics,
special checks, etc. wherever required. In this connection all feedback from services (Accident / Incident
DI) are to be taken into account for suitable highlighting for stage inspection work. Such of the areas as
have shown defects in services, and particularly those where non conformance was the cause of the defects
ought to be brought within the scope of the stage inspection activity on a prioritised approach based on
technical and flight safety significance.

7.2.6 Periodic Analysis In addition to action on the specific cases, the observations made during the
various stage inspections should be regularly compiled and studied for taking up appropriate action to
improve the system, procedure for production / inspection activity of the supplier organisation, and
improve our stage inspection activity. Such a study can cover the general trend relating to the areas under
their coverage, the response of the supplier organisation towards the problem areas and any further
corrective action considered necessary. Periodic review meeting with QCD, based on compilation of stage
inspection observations, may be held as necessary.

7.2.7 Review of LOS The list of stages for inspection in any production / overhaul / development project
should be reviewed yearly for necessary changes towards the objective of covering all the areas of the
project over a period of time as also to increase focus on some important / critical areas as observed from
experience both at the supplier plant as also investigation of defects reported from the services.
7.2.8 The core stages which constitute the primary activities / concern primary and critical systems /
units can be kept permanent, and the remaining ones changes regularly to cover all the other areas also. It
is therefore a procedure which caters for a system requirement of wide coverage as also responsive to the
actual / realistic needs as warranted by field performance.

7.3 Nonconformance Management: One of the basic requirements of contract is to meet all technical
requirements of manufacture or servicing. QA practices should be adequate for avoidance of
nonconformances. Also the QA effort should be capable of detecting nonconformances if any and getting
these corrected in conformance with the technology. There may arise occasions when a part / sub-
assembly / unit has still a deviation not amenable for correction and may be put up by the manufacturer
for concessions / production permits to cover deviations / use of alternate material respectively from
applicable drawings / specifications / processes and technological requirements. Procedures have therefore
been established to authorise certain omission and deviations which do not effect the serviceability or the
reliability of an aircraft or equipment.

7.3.1 Concession: A concession is an authorisation given to accept a limited quality of items/parts

already serviced or manufactured but which do not comply wholly with the technical requirements. These
apply to overhaul projects, mainly in respect of non compliance of mods, STIS and SIs etc. Concession fall
under two categories Minor and Major :

(a) Minor Concessions: These are in respect of omissions or deviations of minor nature as
given below:

(i) Non-availability of 100% replacement, hence the use of reclaimed but serviceable
parts.

(ii) Minor damages to the exterior of the parts which do not effect the
serviceability of the item.

Note: A “Minor Concessions Book” is maintained in the HAL overhaul shops wherein the HAL
approved inspector makes an entry as to the details of the items and the deviations for which
he is seeking concession. CRI signs the entry in his agreement of the concession.

(b) Major Concessions: Major concessions fall under two categories as given
below:

(i) Concessions/production permits for use of material, parts or components other than
prescribed ones and also for deviation in the technique of manufacture or servicing,
procedure of testing etc. These concessions are routed through the HAL engineering
department and Qualtiy Control Manager and with their comments in regards to their
agreement are forwarded to CRI for final clearance.

(ii) Aircraft Concessions that pertain to non-embodiment of MOD/STIs/Sis or inability to

meet special technical departments. They also include deviation from standard equipment
fitment on the aircraft. These are raised by HAL in the standard format with the
 endorsement of agreement by their inspection deptt and forwarded to CRI and CRE. These
are processed as per the applicable Local Concession Committee(LCC) procedure.

7.3.2 CRI may accept such deviations if equipment / item is meeting the operation and serviceability of
aircraft. Production permits are granted for deviations including use of alternate material / equipment in
lieu of specified requirements. CRI may refer such cases of deviation to RCMA, CEMILAC if any one of
FLIMS (Function, Life, Interchangeability, Maintainability, Strength) is affected. Concession / production
permits are granted on prescribed proforma as indicated in Annexure ‘O’ of DDPMAS - 2002. Records of
concessions / production permits granted are maintained by concerned CRI. Some of the important
considerations for granting concessions are given below:

(a) Completeness and correctness of the particulars given.

(b) Whether adequate and timely action been taken by HAL personnel concerned to obviate the
need for concession.

(c) The effect of concession on the serviceablity of the aircraft and the operational limiations
imposed by it on the aircraft.

(d) Non-compliance of modification is to be processed under the LCC procedure.

7.3.3 Non conforming parts requiring salvage action are also referred to Salvage Board in which CRI is a
member. Decision on acceptance or otherwise is taken after examining the various aspects including
quality assurance requirement. Parts and components thus salvaged should be suitably identified.

7.4 Participation in Defect Investigations (DI) Defect Investigation of equipment / items received on
F-1022 is carried out by the D.I. committee consisting of members from CRI, RCMA, HAL and AFLE.
CRI actively participates in investigation of all types of premature failures for equipments / items received
either on PWR or DI, as per existing procedure laid down in A.F.O. 11/99 . Details thereon are outlined in
chapter 8 of this TSO. CRI is also a member of the committee for IDI (Internal Defect Investigation) for
items reported defective during the production / OH process as also items returned from user HAL and
ensures corrective action on the recommendations. CRI maintains data of such premature failures and thus
identifies weak areas of quality. CRI also ensures that remedial measures are taken and recommendations
are implemented.

7.5 Lifing of aircraft /engine/equipments: Lifing is an important parameter to be ensured as part of

QA activities, while clearing any equipment for exploitation / service use. Lifing of equipment is decided /
ratified in the lifing committee at HAL, chaired by RCMA with members from CRI, HAL Design, QCD
and AFLE. Based on recommendations from Licensor / Lifing Committee, Air HQrs issues TSI
(Technical Standing Instructions) with copy to all concened including CRI. QCD and CRI ensure the
correctness of residual life, TBO life, and TTL mentioned on certificates / log book / log card..

7.6 Modifications Incorporation of Modification is a product improvement activity originated by either

design department, to effect improvement in design features, or at the request of customer to meet special
operation and maintenance requirements or from a DI findings. LMC (Local Modification Committee)
chaired by RCMA, CEMILAC and consisting of members from CRI, HAL and IAF, provide forum for
deliberations on the modifications properly. LMC takes decision regarding acceptance and implementation
of modification.

a) Changes / amendments in Drawing / technology processes are discussed in IMC (Internal

Modification Committee) of HAL Division and a copy of IMC minutes is sent to CRI for
information and comments if any. Details of LMC functioning are covered in DDPMAS.

b) CRI ensures that equipment / item produced and delivered to user (IAF) is as per latest S.O.P.

c) CRI is a member of LMC and Local Lifing Committee (LLC) and functions in such a way to
ensure that decisions are conducive for adequate service reliability and product quality.

d) Proposed modifications are firstly discussed in Local Technical Committee (LTC) before these
modifications are put up to higher level committee, LMC for ratifications and acceptance. Any
non-compliance of MOD/ STI / SI is put upto LCC (Local Concession Committee) in which CRI is
also a member, for acceptance.

7.6.1 Definition of Modification and its classification Modification is defined as alteration to the
equipment already fitted on an aircraft or machinery to improve the reliability or performance of
the equipment.

Class “A” : Prompted by consideration of safety, will be embodied even when delay in delivery or scrap
is involved.
Class “B”: Modifications: Prompted by operational and servicing considerations, will be embodied
when parts are available. Scrap and delay in delivery is permissible only when authorised.
Class “C”: Modifications: Implementing simple design improvement will be embodied as early as
possible during production / re-conditioning.
Class “D”: Modifications: Implementing design improvements of lesser importance will be embodied
only when stocks of unmodified spares are exhausted.

7.6.2 Service application The application of modification is identical to that of contract MODS except
that instead of the letters A, B, C and D numerals 1,2,3, and 4 are used.

SOO: This is another class of modification to specify limited operational needs.

In cases where kits are required, availability of the kits will be promulgated in Air HQs routine
order part-IV. Modifications are recorded on form 701 and form 1125A.

STI: The issue of special technical instructions is confined to circumstances in which servicing action
required is urgent and non-recurrent.

NB: Compliance to STIs and SIs is mandatory and is to be recorded on form 701, from 1125 or form 1662
I.A.F.F. (T) 707 or Form 1662 action taken as per instructions.

7.6.3 Servicing instructions (SI): It is confined to circumstances where action required may be urgent
and recurrent, but in respect of cases where the incipient defect, not being found on first inspection, may
require a number of inspections to be carried out to discover prospect of its occurrence, SIs are recorded on
F/700.

7.7 Quality Audit CRI identifies area of work based on feed back report from user (IAF) as well as
user division of HAL. CRI plans, conducts quality audits and ensure remedial measures with respect to
non-conformances. Details on quality audit are outlined in chapter 12 of this TSO.

7.8 QA during indigenisation Thrust is being given to indigenisation of aircraft components /

equipments at various HALs. CRI plays an important role in it by ensuring quality aspects at various stages
during this process of indigenisation. Items are categorised as either critical or non-critical. After
undergoing full qualification, type approval / clearance is granted by CEMILAC, for critical items while
approval of non-critical items is given through LTTC (Local Type Certification Committee) in which CRI is
a member. Detailed procedure of indigenisation is outlined in DDPMAS. CRI participation in
indigenisation is broadly as follows:

a) During classification of parts as critical or non-critical

b) During Test Schedule finalisation
c) CRI offers his comments on various documents eg. Drawings, process layout for manufacturing
process, assy
d) Inspection of prototype parts and kit clearance in case of prototype assembly.
e) Witnessing of tests as per approved type test schedule
f) Ensures various QA practices during indigenisation and calibration of measuring / test
equipments
g) Selection of subcontractor / vendor is HAL’s responsibility and CRIs should monitor these
sources as necessary.
h) CRI participates in investigation of any defects arising during the indigenisation process.

7.9 Sub-Contractor’s Quality Assurance Main contractor eg. HAL may sometimes sub contract a part
of the stores like materials, components, spare parts, sub assys, equipment etc to other firms. In such cases
it is the responsibility of main contractor to select a suitable sub-contractor and to assure the quality of the
supplies obtained through sub contract. However CRI should monitor these sources as necessary. Details of
instruction on the subject are outlined in “Quality Assurance Requirement no. 1” issued by HQ DGAQA
vide letter no. 225/31/DTD&P(Air)/Aircraft dt, 20th August 1977.

8.0 Flight Testing

8.1 Flight Trials by Contractor Pilot

a) After manufacture/overhaul/repair at contractor’s works, the aircraft will be flown for purpose of
test flight only after it has been inspected and certificate of safety for flight issued by CRI, DGAQA.

b) The certificate of safety of flight will be issued by an officer of OCRI. It will be signed in duplicate,
the first being handed over to the contractor and the second being retained by the CRI. A F-1090
register will be maintained by CRI in which such details as the type and serial number of aircraft, F-
 1090 number, purpose of the test flight etc. will be entered. The register will be signed by the
contractor’s pilot before flying the aircraft. The certificate of safety for flight is issued after the
completion of inspection of the aircraft for conformance to the drawing / specification requirements
(except for deviations, if any, duly processed and cleared in the authorised manner), and the CRI is
satisfied with the same.

c) A certificate of Safety for Flight (Form 1090) when issued prior to the first flight of a new, repaired,
reconditioned or modified aircraft will remain in force, subject to flight servicing being carried out
in accordance with approved schedules, for the period stated thereon or until either: -

(i) Whenever any alteration, repair, adjustment outside the scope of normal flight adjustments
are made to the aircraft;

(ii) Whenever any alteration, replacement or adjustments are made which involve disconnection
of the flying control or engine controls;

(iii) Whenever the aircraft/engine/associated equipment running time reaches the period of
servicing;

(iv) Whenever major repairs/replacements are carried out;

(v) Whenever an alteration or a modification is carried out which necessitates an amendment or

issue of a new design certificate;

(vi) Whenever an aircraft is to be flown for a purpose other than that specified in the Form 1090;

(vii) Whenever a pre-factory test flight is required to be carried out on an aircraft received for
overhaul rectification at Contractor’s Works.

NOTE: The above procedure will be applicable to all prototype pre-production /

production / overhaul / repair aircraft.

8.2 Responsibility of CRI. DGAQA before issuing F-1090 Before a Certificate of F-1090 is issued to
permit an aircraft to carry out flights, CRI, DGAQA has to be satisfied that:

a) The aircraft has been manufactured / overhauled / repaired and ground tested in accordance with the
stipulated drawings / requirements;

b) The requirements of the contract have been complied with and the inspection of the aircraft has been
carried out in accordance with the relevant inspection instructions;

c) Duplicate inspection of all flying controls has been duly carried out and certified

d) All STIs, SIs, STNs, SNs, etc have been complied and properly recorded;
 e) All modifications required by the contract plus any Class A modification subsequently issue have
been satisfactorily embodied and duly recorded;

f) The aircraft has been weighed, the position of the center of gravity determined and that the aircraft
is so loaded that its weight and center of gravity comply with the provisions of the Design
Certificate.

NOTE: The responsibility in this regard rests with the Contractor’s Approved Inspection Organisation.

8.3 In addition, CRI, DGAQA inspection will directly verify the following before issue of F-1090:
(a) Ensure that all system checks have been carried out.

(b) Functioning of all flying control system for correctness, travel and movement;

(c) Any flight limitations have been ascertained and recorded on Form 1090;

(d) Purpose of the flight has been ascertained and so stated in the Form 1090.

8.4 Certificate of Flight Trials However, in respect of prototype or modified aircraft (trial Mod etc)
which are not to a production drawing standard, F-1090 can be issued only after certificate of flight trials is
issued by CRE/RCMA/CEMILAC clearing that special standard for flight trial / flight.

8.5 Acceptance Flights by Customer’s Pilot

a) All flights by Customer’s Pilots at the Contractor’s works for the purpose of acceptance and
delivery of aircraft will be covered under F-1090 issued by CRI DGAQA.
b) Certificate of safety of flight when issued will be valid for that day. A fresh F-1090 is required
to be issued for each day.
c) A fresh F-1090 will be issued for purposes of ferrying the aircraft to the Operating Unit.
d) A fresh F-1090 or a revalidation of the F-1090 will be required under conditions stipulated
earlier under the heading ‘Flight trials by Contractor’s Pilots’.

8.6 Procedure for delivery of aircraft

a) On successful acceptance of aircraft after flight trials by Contractor’s test pilots, the aircraft
along with its documentation will be offered to CRI, DGAQA for final acceptance.

b) Intimation regarding readiness of the aircraft for collection will be given by CRI, DGAQA to the
user (IAF, Navy. Army) on final acceptance.

c) One copy of the intimation will also be endorsed to Directorate of Engineering, Air HQs, New
Delhi.

d) The user (IAF, Navy, Army) will arrange for necessary allotment out instructions on receipt of
the above information from CRI.
 e) Ferry pilot on arrival will be directed to report to CRI, along with authorisation proforma issued
by the user (IAF, Navy, Army).

f) The necessary acceptance flight will be carried out by the authorised Ferry Pilot under cover of
F-1090. (Certificate of Safety of Flight) issued by CRI, DGAQA.

g) On acceptance of the aircraft by Ferry Pilot, necessary Form 423 and the documentation in
respect of aircraft will be signed by CRI. At this stage the representatives of the user (IAF), will
be intimated regarding finalisation of taking over and handing over transaction and documents
pertaining thereto will be handed over to user (IAF) representative.

h) Aircraft Documents will be handed over to Ferry Pilot along with Form 1090 by CRI, DGAQA.

Note:The above procedure would apply with changes, if any, effected with the concurrence of IAF.

9.0 QA During Overhaul / Servicing Of Aircraft

9.1 The various procedures like QA during assembly / testing F-1090 for flight-testing, delivery etc
would apply to the QA during overhaul as well. However, certain activities specific to overhaul of aircraft /
systems / LRUs are outlined in the following paras. Servicing is the general term used for the work
comprising of presurvey, repair / overhaul / reconditioning / salvage, to restore the equipment to an
acceptable operating condition. There are generally four types under this:

Repair: This is a process involving rectification of damage or wear. This is accomplished by:
i) Replacing damaged or deteriorated part,
ii) Making parts good by using suitable tools, material build up and plating
processes etc.
iii) Adjustment etc.
NB: All the above operations are carried out to restore the equipment to
Service able condition.

Major Inspection / Overhaul: This is a process by which the equipment is either completely stripped
or dismantled sufficiently to permit parts to be adequately inspected / repaired. The servicing
cycle based on flying hours / calendar time in accordance with the appropriate servicing
schedules are laid down in TSI Vol I leaflet No. Org/Serv/4 as amended from time to time by
Air Headquarters. It involves:

i) Inspection and micrometric measurements

ii) Repair
iii) Incorporation of modification, if any
iv) Re-assembly and testing.

NB: After re-conditioning the equipment starts a fresh life (TBO).

 Modification: This is prompted due to Design improvement by the production agency, operational
requirements and from DI findings. Modifications, bulletins, STI/SIs etc are complied as per
latest standard of preparation.

Conversion (as per user requirement): This is a process by which an equipment can be converted
from one type to another as per the contract requirement to fulfill certain operational
conditions. If any part / accessory is found to be damaged on receipt during initial pre-survey
and the damage is beyond economical repairs, then CRI may, after physical verification, take
decision to downgrade the part / accessory, to Cat ‘E’.

9.2 Terminology specific to Overhaul / repair / servicing of Aircraft Before the procedure for
servicing of aircraft is enumerated certain terminologies associated with the categorisation of aircraft and
components are detailed below: -

(a) Standard repair categories for aircraft and components are as follows:

Cat. “U” No repairable damage has been sustained.

Cat. “A” Damage sustained is repairable on site by unit personnel.

Cat. “AC” Damage sustained is beyond the capacity of the unit personnel but repairable by Wing
/ Station.

Cat. “B” (Patch) Damage sustained can be patch repaired by personnel from the repair and
salvage unit.

Cat.”B” Damage sustained by aircraft is beyond repair at site. Aircraft to be disassembled and
sent over to appropriate repair depots in crates.

Cat. “E” Damage sustained beyond economical repair. Aircraft to be downgraded.

(b) Components/ Eqpt. Category

Cat. “A” New and unused, but serviceable equipment

Cat.”B” Used but serviceable equipment. Fit for immediate re-issue.

Cat. “C” Serviceable, subject to functional check.

Cat.”D” Repairable equipment, which on inspection shows to be in need of a repair beyond

the capacity or authority of the user units.
Cat. “E” Unserviceable equipment beyond economical repair.

c) Parts disposition Order (PDO) The PDO is a composite form comprising of three paper copies and
a card copy. The card copy is attached to the item when it is removed off an aircraft, or the parent
 assembly, for a specific work, such as Bay servicing, Magna flux testing etc. The occasions for
raising a P.D.O are: -

(i) When an aircraft accessory is required to be removed off an aircraft for servicing, as a
part of the aircraft servicing.
(ii) When an item or equipment is to be down graded, to obtain the co-ordination of CRI.
(iii) To obtain authority for re-work on a prematurely failed item or equipment.

d) Coordination of down grading If any part/ accessory is found to be damaged on receipt from IAF
during initial pre survey and the damage is beyond economical repair, then CRI may, after physical
verification, take decision to downgrade the part / accessory to Cat ‘E’. Items which are repairable,
irrespective of whether facility exist at HAL or not, are to be categorised at “Cat “D”. The reason for
down grading is to be clearly endorsed. These are reflected in the remarks column of the CPL,
subsequently presented to CRI for coordination. However downgrading to Cat ‘E’ may have to be
consistent with any IAF policy on the subject, as it concerns their inventory / assets status.

e) Coordinated Parts List (CPL) CPL (also known as survey list) is a form raised by HAL (as
applicable) to obtain the coordination of DGAQA in the following instances: -

(i) Replacement, in case of items found unserviceable

(ii) Issue of serviceable items, in case of parts found deficient.
(iii) Return to Air Force Depot, of items found surplus to standard fitment on aircraft.
(iv) This form is to be checked for the particulars of the item and of the parent assembly /
aircraft, RMS order number, and reasons for demand / return. This form shall be
signed by an approved inspector. It is advisable to ensure that the components
mentioned therein are in fact unserviceable and beyond repair or that the deficiency is
duly authorised. In case where coordination is given for the unserviceability of an
item, parts or components retrievable thereof for use should be listed on the CPL and
signed by the CRI’s rep.
(v) CPL duly coordinated by CRI DGAQA constitutes the authority for drawing
serviceable parts from the Air Force Depot / AFLC at Air Force cost.
NB: i. CPLs are raised in respect of class ‘A’ stores only.
ii) Instead of CPL stores credit are used at HAL Barrackpore, coordinated by CRI.
iii) Above procedures would apply with changes, if any, with the concurrence of the
concerned authorities.

f) Pre Survey Reports On Aircraft When an aircraft due for servicing arrives at HAL, the
formality of acceptance, and inventory check are performed and the aircraft documents are collected
by the HAL inspection department. Before the aircraft is taken up for servicing, pre-survey
inspections are carried out. During the inspection, the aircraft engines are run up and the function of
every aircraft accessory is checked. A survey report is prepared, coordinated by CRI, and the work
additional to approved schedule is duly reflected in the P.D.Os accompanying the equipment
removed for bay servicing.
g) Pre Survey On Accessories Under Overhaul / Servicing Pre-survey inspection in respect of
repairable equipment drawn from Air Force Depot, or accessories removed off aircraft for bay
servicing, is carried out at the respective shops before the equipment is taken up for servicing. This
is to check the external and internal condition of the equipment and also its modifications status. Pre-
survey reports are raised by HAL and coordinated by CRI. CRI co-ordination of pre-survey reports
accords authority for the additional work involved and the regularisation of deficiencies noticed. Co-
ordination of additional work calls for judgment based on technical experience. Coordination of
deficiencies calls for a sound knowledge of the limits allowed by the stores procedures. In
amplification of these, the following are some points to note: -

(i) The checks on the aircraft or equipment should be comprehensive and leave no details
uncovered.
(ii) The condition and, therefore, the serviceability of each component or item inspected
should be firmly established; when doubt exists the same should be confirmed by
appropriate tests.
(iii) Work additional to that covered by the approved schedule should be agreed to only to the
extent of achieving the requisite technical standard.
(iv) Discrepancy on the airframe equipment should be coordinated only when supported by
entries on form 700 or when reflected in the aircraft deviation list.
(v) During the strip examination of accessories removed off aircraft is to be based on the
coordinated pre-survey report.
(vi) Co-ordination of major deficiencies revealed during strip down examination of
“Repairable” equipment drawn form the Air Force Depot is to be based on deficiencies
recorded by the Air Force on the issue voucher (form 603).
NB: As CRI co-ordination of deficiency implies a genuine deficiency for which HAL can
obtain replacement at Air Force cost, it should be done with extreme care.

h) Inspection Procedure For Aircraft Received For Cat ‘B’ Repairs When an aircraft is received
for Cat ‘B’ repair, the aircraft is to be surveyed in the ‘as received’ conditions without further
dismantling except for the opening up of detachable cowlings, fairings and inspection doors or
panels. The inspection is to be carried out by the firm’s approved inspection staff and a report drawn
up defining clearly the condition of each component, the repair work and outstanding modification
S.T.I., S.I. etc. This report is submitted by HAL inspection to CRI for assessment and approval,
which shall be given after appropriate physical check of aircraft. There after as a result of further
stripping supplementary reports may be raised and approved in similar manner. The segregation of
serviceable and unserviceable items is strictly controlled throughout all stages of the work on
aircraft. CPLs and PDOs will be coordinated at this stage by CRI keeping in mind the cost and
quality. Repair / concession of aircraft are to be surveyed in similar manner and to be approved by
CRI as defined above. Modification, S.T.I., S.I. is also to be complied wherever required by the
terms of contract.
10. Flight Tests and Final Delivery Of Aircraft

10.1 Contractor Test Flights: On completion of the above stages, the aircraft is to be prepared by HAL for
contractor’s test flight, when all the documentation pertaining to the work done during servicing / repair
along with concession statement, mods, S.T.I., S.I. etc are made available to OCRI. Whenever a major re-
work is carried out to clear a flight snag, F-1090 is to be re-validated. In case of premature failure of
equipment, formal investigation is instituted on F-1022/D.I.R. in collaboration with HAL inspection. F-
1090 is issued by CRI for contractor’s Test flight after all the snags have been cleared and modifications are
found complied with as per latest SOP and QA checks are carried out.

10.2 Testing And Acceptance By Test Pilots After the satisfactory completion of assembly and all the
systems of the aircraft have been inspected / tested / checked and accepted by CRI, and all snags are
attended to, consequential adjustment and rectification carried out as well as recorded and certified by QCD
of the firm. CRI will ensure clearance of all snags as well as overall serviceability of Aircraft. Thereafter
Form 1090 (Certificate of safety for flight) is issued by CRI. . These test flights are carried out as per the
laid down “Flight test schedules”. When the aircraft performance satisfies the requirements of flight test
schedules the HAL Test Pilot intimates his “acceptance of the aircraft”. The aircraft documents, log books,
record sheets, work done report, Mod status etc. are then checked with F-701/1125A and is coordinated by
CRI. Who in turn informs A.F.D. /A.F.L.C. for allotment out of the aircraft to Air force.

10.3 Customer’s Test Flights And Acceptance Customer acceptance Test flight and ferry is carried out
normally by an IAF crew who come to HAL for the purpose. The ferry pilot brings with him the authority
for test flying the aircraft. The aircraft is then test flown and accepted. Form 1090 is issued for every
customer test flight. After the aircraft has been accepted, the aircraft documents are handed over to the ferry
pilot. Fresh form 1090 is issued for ferry flights and thus the aircraft is delivered to the Air Force. Air Force
Depot / AFLC is also informed of the delivery of the aircraft and the duplicate form 700 is dispatched to the
user unit through AFD / AFLC. Form 423 (old form 530), contractor advice and inspection note are also
dispatched to Air Force after scrutiny with the work done report and coordinated by CRI.

10.4 Aircraft Documentation

a) These are documents, affording information, proof or evidence of any work performed on
aircraft and its associated accessories from start to completion.

b) Documents are also to be maintained in terms of repair / overhaul / rectification /

incorporation of modification / S.T.I. / S.I. etc. to ascertain compliance of each operation at
each stage and the subsequent operations completed there upon.

c) The following documents are issued for transacting Air Force business
 with HAL.

(i) R.M.S. Order – This is issued by the Air HQ a contract with HAL.

(ii) FORM-423 – Contractor’s advice and inspection note on which the

serviceability of equipment mentioned therein is certified by CRI. This form is
the basis for contractual transactions between the IAF and HAL.

10.5 Air force Documentation:

A. Documents connected with transfer and accounting of aircraft/engine

(i) Form-600 – An integral issue voucher used when transferring aircraft / engines from one
A.F. unit to another.
(ii) Form 603- An issue voucher used when transferring aircraft / engines and or equipments
from A.F. to civilian contractors on embodiment loan basis.
(iii) SACL / SECL – (Standard airframe/engine checking list): each type of aircraft or engine has
a standard catalogue of items of spares, tools etc as scaled for the purpose.
This forms the basis for purpose of checking completeness of aircraft or engines during
transfer. Deficiencies and surpluses are based on the requirements indicated in this
catalogue.
(iv) Deviation list: This form certifies that the aircraft has been checked as per relevant SACL
and then lists the deviations.

B. Documents Relating To Servicing Of Aircraft:

(i) Form 700: This is the basic record of all servicing operations done on aircraft and its
components so long as the components are not divorced from the particular airframe.
(ii) Form 700s: Issued for single & twin engine aircraft
(iii) Form 700c: Used for 4 engine aircraft
(iv) Form 700e: Used for jets & turbo jets
(v) Form 701: In respect of components (e.g. Engines, Airframe, props etc.) of aircraft, F-
701’s (Log Cards) are raised giving all particulars of the modification state, flight timings
and / or unit hours, installation details and transfer details. The log card constitutes the
complete history of the component.
Validity: A new log card is raised when component is overhauled and given a new TBO
life.
 (vi) Form 1125 / IAFF 702: The log card F-701 / 702 is divided into five sections. When the
overhaul on the component is completed a log card F-701 is assigned to it. Affixed to Sec I
of F.701 is F1125 is an inspection test and modification certificate.
Form 1125 / IAAF 702 (A): This is a certificate of modifications and Special Technical
Instructions fulfilled during repair, servicing or modification at a repair depot. This for is
affixed to Sect. I of F-701, when the work on the unit is completed.
(vii) Form 1162 / IAFF 707 Special Technical Instructions promulgated by individual area
commands and relating to particular components are recorded in this log card which is then
attached to F-701.
(viii) Life Record / Sheet Cards: These cards indicate life of equipment and also the life consumed
till date. Life is indicated in flying hours, landings and calendar years.
(ix) Form 1022: This is an A.F form raised to report a defect for investigation of the same for the
cause of premature failure.
(x) Form 1090: The certificate of safety for flight is issued by CRI, before releasing an aircraft
for a test flight or ferry flight from the contractor’s works.

10.6 General

(i) Concession Statement: A standard form for recording the concessions granted by Air HQ in
respect of non-embodiment of modifications, which do not affect airworthiness of aircraft.

(ii) Documentation during arrival servicing, delivery

On arrival:
(a) Transfer certificate from the unit
(b) Form 603 with SACL
(c) Current log cards and form 700s (original and travelling) for the current
servicing cycle.

During Servicing

(a) Pre survey Reports.

(b) Modification compliance status / SOP
(c) Stages offered to DGAQA
(d) Completion of air test
 (e) Completion of work done report and preparation of documentation

On Delivery
(a) Allotment out and authority for ferry flight
(b) Issuance of F-1090 for test flight
(c) Inventory of SACL items
(d) Handing over aircraft documents
(e) Transfer of aircraft certificate. **

**Ref. T.S.I Vol – I leaflet No. Orgad / Serv / 10 issue No.1. This certificate is rendered by
CRI, DGAQA in the following pattern

“Certified that all inspection called for by the servicing order up to and including the date of
transfer of the aircraft have been carried out and that the aircraft is serviceable.

Serial number of Airframe

Serial number(s) of engine(s)
The last major inspection was made at _____ flying hours on _____ date
___”

(iii) Apart from the above documents, the following documents are used by HAL.

(a) Inspection Tags

(b) P.D.Os
(c) Snag sheets
(d) Inspection Schedules
(e) Test Reports, Heat Treatment Records etc
(f) Job Route Cards
(g) Receiving Reports, Release Notes, Affidavits and Test Certificates
(h) Life Record sheet / Log cards / certificates.
(i) D.I. Sheets
(j) Billing
(k) Invoices
(l) Release Note.

11.0 Procedure For Checking Invoices

11.1 Invoices (Bills) These are prepared by HAL in respect of each RMS order (contract) executed by
them. These are submitted to CRI, DGAQA for certification of material summaries, after which they are
routed through the Air Force Depot to the DCDA (Air Force) for payment. The following documents are
also submitted along with four copies of the Invoices:

a) Original copy of form 530 (new form Q.423), certified earlier by DGAQA in respect of items
billed for

b) Quadruplicate copies of CPLS (survey lists) coordinated by CRI in respect of these items (class
A stores)

c) Four copies of “List of materials supplied by HAL”.

d) Four copies of “List of materials supplied by IAF or four copies of certification to the effect that
no material has been withdrawn from Air Force Depot.

e) Four copies of “List of materials returned to IAF stores”. DGAQA certification is required on all
the copies of list of materials supplied by IAF and HAL and is of the form:

“Certified that the materials enumerated in this list

a) are reasonable / correct

b) have been embodied / utilised in the aircraft / engine accessory to the best of our
knowledge with the exception of

Chief Resident Inspector

DGAQA

f) This certificate is to be signed by an officer of DGAQA. The following points are to be checked
before the certificate is signed:

(i) The correctness of the covering RMS order

(ii) That the stipulation of the RMS Order have been wholly met.
(iii) The stores reference number, Pt. No., description, the total quantity of item supplied tally
with those in the RMS order.
(iv) That the package and despatch instruction, wherever given have been complied with.
(These details are obtained from the certified copies of form 423 appended to this
invoice)
 (v) That the serial number of items reflected on the invoice tallies with those in the certified
copy of the form 423.
(vi) That the class ‘A’ stores listed in the materials summarise tally with those duly
coordinated by CRI on the relevant CPLs and are not in excess of it.
(vii) That the class C stores (100 percent replacement and cleaning materials are reasonable in
quantity for the work in question).
NB: DGAQA certification is only in respect of material summaries. The financial aspect of the
contract like labour charges, cost of materials, etc are therefore outside the purview of
DGAQA responsibility. In cases where discrepancies are observed, clarification should be
obtained directly from the Accounts Officer, HAL.

g) After certification, one copy each of the invoice and the material summary are retained by
CRI and the rest sent over to Air Force Depot for further action. The office copies of relevant CPLs
and form 423 is linked up with the copy of the invoice and material summaries and put away in a file
for safe custody. The value of invoices passed is to be recorded in all registers, so that the
annual output of inspection in terms of cost can be computed.
 CHAP-6
QUALITY ASSURANCE FUNCTIONS/PROCEDURES DURING
MANUFACTURE OF AIR ARMAMENT STORES INCLUDING
EXPLOSIVES

1. Air armament stores manufactured in Ordnance Factories (and in some cases

out sourced by them in private sector) are inspected directly by DGAQA through its
resident inspectorates positioned in selected Ordnance Factories. The primary
responsibility for quality assurance rests with the manufacturer. However, resident
inspectors charged with regulatory functions of Quality Assurance will also undertake
quality assurance roles. Air armament stores can be broadly classified as :-

(a) Lethal stores such as arms and ammunition, bombs rockets etc. and their
components.
(b) Stores for which an ordnance factory has been specifically set-up i.e., explosives.
These may be lethal or non-lethal.
(c) Non-lethal accessories and miscellaneous stores like packages etc.

2. Based on the nature/type of the stores, manufacturer's quality

control/assurance facilities, (e.g. the works inspection staff maintained by the Factory)
and considerations of economy, the degree and type of inspection to be carried out is
assessed by the resident inspectorates. For example, in a Factory where new stores
of lethal nature are under production either sampling or 100% inspection both in stage
and final has to be carried out in order to minimise rejections at a later stage and
subsequent defects after issue to Service.

3. Examples of 1(b) are High Explosives Factory, Kirkee and Ordnance Factory
Bhandara, Ordnance Factory, Itarsi. After a number of years when the inspectors are
satisfied that production is well established and the quality is well maintained under
control of Factory personnel, only final acceptance inspection, including testing of bulk
manufacture samples, where necessary, is carried out.
4. General Instructions

4.1 Resident Inspectors have to inspect production lines to check processes of

manufacture and assist in the maintenance of specification standards, as the
inspectors are intimately concerned with the framing of specification and hence with
the methods of manufacture. Any deviation from approved and correctly established
methods of manufacture should be brought to the factory authorities. If they consider
that the factory inspection of critical dimensions may lead to large rejections at final
inspection, this fact should be taken up suitably with the factory GM.

4.2 Any final inspection which is more conveniently carried out in the factory line
rather than in the inspection bond will be implemented by arrangement with the
factory GM.

4.3 In cases where physical or chemical tests of materials are carried out by the
factory staff, the inspector must satisfy himself that all such tests as required by the
specifications, have been properly carried out.

4.4 Inspectors will look out for and take prompt action to prevent unauthorised
modifications to the design during production. Delay in production will occur if the
factory manufactures unacceptable stores and this will also entail avoidable waste of
material and labour.

4.5. Inspectors/AHSP will bring to the notice of the Ordnance Factories any
advances in manufacturing technique and inspection and trials and defect/failure
reports which may be of particular interest to them from production and quality control
points of view.
4.6. According to the nature of store under manufacture, the Inspector is at liberty
at any time to increase his examination of components to 100% or to draw samples of
components or materials under use from the shop for test.

5. Manufacturing Extracts

5.1. Based on indents received from service indenters, duly vetted by the AHSP,
the DGOF place Extracts on various factories, depending on the quantity and nature
of stores required, showing the quantity of store, delivery period and the distribution.
A copy of extract will be endorsed to HQrs DGAQA and the Resident Inspector.

5.2. Concerned Resident Inspectors are responsible for ensuring that the
particulars with reference to the extract are up-to-date and correct.

5.3. When the agent inspection is involved, the agent Inspector is responsible for
ensuring that the particulars in his possession are up-to-date, referring to the parent
AHSP, when necessary.

6. Alteration of manufacturing extracts

6.1. No alteration to the mark of the store ordered on an extract will be carried out
by the AHSP without prior reference to the Factory to turn over its reserves of stores
and components. In the latter case also, reference is to be made to the AHSP.

6.2. In cases where the manufacture of a store is already proceeding at an

Ordnance Factory when a new pattern is introduced no alteration will be made by the
AHSP to the manufacturing particulars supplied against the Extract concerned, unless
the change affects the safety of the store or will aid the Factory in its manufacture.
Nevertheless the DGOF will be approached to state whether the proposed change
may be incorporated in the current manufacture of the stores without causing any hold
up in the production. If agreed by the DGOF, the particulars will be accordingly,
amended in consultation with user when necessary.
7. Manufacturing extracts regarding stores requiring proof

7.1. The heads of inspection establishments will, when checking extracts, make
timely provision of stores and capacity for proof in the case of stores requiring proof.
Inspection establishments will take expeditious action with the local factory to supply
the stores required for proof on receipt of intimation about commencement of
production.

7.2. When orders are placed on Ordnance Factories by other Govt Deptts or on
account of foreign Govt for stores requiring proof, a copy of the authorised supply
order will be supplied by the DGOF to the DGAQA to enable him to arrange for
carrying out the proof without delay through the appropriate inspection establishment.

8. Inter-factory demands

8.1. The inspector located at the supplying Factory is normally responsible for the
inspection of all stores, components and materials used for the manufacture of
Service stores in the factory. The following procedure will be followed in respect of
inter-factory demands.

(a) The parent factory, on which the extract for supply of a store is placed, will place
IFDs direct on the material/component supplying factories and after getting the
same duly vetted from Resident AAIW will endorse copies thereof to the
following:

(i) AHSP - DGAQA HQrs

(ii) The local AAIW inspector at the supplying factories where
materials/components are to be manufactured.
(iii) The resident AAIW Inspector at the indenting factory.

(b) IFDs will give the following information:

 (i) Connected extract No. and date.
(ii) The correct nomenclature of the stores/materials/ components
demanded, with relevant particulars/specifications to guide
manufacture/inspection.
(iii) The purpose for which the material/component/store is required.
(iv) The part No. and/or Drg No. of the component in respect of material IFDs
for components of a store.

(c) The GM of the Ordnance Factory, on whom an extract is placed will be

responsible that the particulars quoted on the IFDs placed by him on supplying
Factories are correct. He will also be responsible to issue to the supplying
factories, copies of all manufacturing particulars quoted on the IFD. Additional
copies of the particulars may be obtained on demand from the AHSP.

(d) The Resident Inspector will, on receipt of the copy of IFD endorsed to him, take
immediate action to check the particulars quoted thereon and will bring to the
notice of the GM of the concerned Ordnance Factory any discrepancies that may
be found. Discrepancies, if any, will be communicated as soon as possible and in
any case not later than 6 days after receipt of the IFD.

(e) The supplying factory will on receipt of the IFD take action to check the
particulars quoted thereon against the manufacturing particulars quoted thereon
against the manufacturing particulars supplied to them by the Factory on which
the extract was placed. Procurement/supply/manufacture of raw
material/store/components will not commence until expiry of 10 clear days from
the date of receipt of IFD unless otherwise directed by the DGOF.

9. Re-inspection of stores/materials

9.1. Materials/components inspected by the local Inspector at one supplying factory

and despatched for assembly/filling to another Factory may not, normally be
inspected by the local Inspector at the receiving Factory. In case any damage or
deterioration has occurred as a result of transportation of the stores/material or for
other reasons, the factory inspecting staff at the receiving factory may allow the
materials/components for taking on factory charge. In such cases, the local inspector
will, on necessary inspection of the alleged defective stores, advise the Factory GM
the extent to which these materials/components are acceptable.
9.2. Materials/components which after acceptance have been in factory/storage for
some considerable period and suffered ageing/damage may be required to be re-
inspected prior to utilisation. Such inspection will normally be carried out by the
Inspector for advising the factory of its conditions and also to satisfy that the condition
of sub-contracted store is satisfactory.

9.3. In the case of ammunition and explosive items, re-inspection of raw

materials/components in factory stocks, or testing of samples thereof, will be
considered individually by Inspector and the factory management, and the best use
made of the testing/inspection facilities available with the Factory and the
Inspectorate. Only such quantities of materials/components as are actually required
for outturn will be so inspected and inspection of complete stocks of
materials/components will not be undertaken.

9.4. Similarly, materials/components purchased from the trade in aid of Service

extracts and inspected at the time of supply, will not be normally re-inspected at the
time these are used for manufacture, but will be treated as per instructions contained
in Manufacturing extracts regarding stores requiring Proof and Inter-factory Demand.

10. Factory Demands:

10.1 Central Purchase Demands: Factory demands/provision sheets for materials

indicating the equipment/store for which required for service extracts will be routed by
Ordnance Factory/DGOF through Resident Inspector/AHSP for certification and
supply of relevant paper particulars before converted into supply orders. A copy of the
demand bill simultaneously be endorsed to the end store AHSP for his comments, if
any. Indication will also be given in the indent by Ordnance Factory/DGOF for
supplying one copy of the A/T each to the inspecting officer and the AHSP.
10.2 Local Purchase Demands: Copies of Tender enquiries/ agreements issued
by Ordnance Factories direct to the firms will be endorsed to Resident
Inspectors/AHSP for vetting and supply of copies of the latest specifications/drawings.
The purpose for which the store is required will be indicated on the copies endorsed
to Resident Inspector/AHSP. Where it is necessary to have the tender samples
tested, necessary arrangement will be made by the factory concerned with the
relevant testing authority to whom a copy of tender enquiry will be endorsed wherever
applicable. On the copies of supply orders intended for AHSP, the purpose for which
the store is required will be indicated by the factories.

11. Sentencing Procedure:

11.1. (a) New Manufacture:

Components/stores of new manufacture will be sentenced to the following four
categories:-

(i) Accepted
(ii) Returned for rectification
(iii) Rejected
(iv) Accepted under deviation/concession.

The detailed instructions of the marking if stores sentenced under different categories
will be issued by AHSP to the Inspector concerned.

(b) Recovered components

Recovered components will be sentenced to the following three categories:

(i) Serviceable
(ii) Repairable
(iii) Unserviceable

11.2. A sentence of "Serviceable" will usually denote that the component and/or
store concerned is within the limits of applicable dimensions and satisfy clauses given
on the drawing and/or specification. Departure from this rule may be made at the
discretion of the Inspector provided correct functioning as part of an assembly is not
impaired. If the Inspector feels that the recovered components/stores would not be
 capable of the normal service life, the matter should be referred to the AHSP who
would examine the possibility of acceptance on a concession.

12. Verification of Drawing particulars

12.1. (a) Semi Finished stores :

Factory producing semi finished will also prepare drawing for semi finished. These
drawings will be approved by the Inspecting Officer at the Indenting Factory/the AHSP
only where necessary and endorsed accordingly. This procedure will not apply in
cases where semi finished and the finished article are produced by the same
manufacturer. In such cases and in cases covered by para (b) below, it is advisable
that the manufacturer submits the drawings for the information of the Inspecting
Officer/the AHSP for their information.

(b) Finished stores :

In cases where the manufacturer produces his own drawings based on the drawings
issued to him to govern the contract or the extract, it is essential that he submits them
to the Inspecting Officer/AHSP for the approval before production is started.
Inspection, of course, will always be to the drawings issued by the AHSP and not those
produced by the manufacturer.

(c) If semi finished service stores are to be manufactured by trade firms, the semi finished
drawings will be prepared by the Indenting Factory i.e the factory producing the
finished store. The drawings will be certified by the Inspecting Officer at the Indenting
factory. The supply orders placed by the Indenting Factory to the trade firm will clearly
indicate the Inspecting Officer of the area in which the trade firm is located and who
will test the material and inspect the semi finished only against drawings certified by
the inspecting officer of the Indenting factory.

13. Deviations
13.1 In considering any deviations asked for by the manufacturer from the
particulars governing the extract, sanctioning authority must bear in mind the
principles laid down for the purpose

14. Grant of Deviations before or after commencement of manufacture

14.1. Circumstances arise when the manufacturer of a store may request permission
to depart from the particulars guiding production. Such requests may be made either
prior to the commencement of manufacture in order to facilitate production of the
store, or entail grant of a concession to accept errors made during manufacture of the
store. The authorisation of an intentional departure from store specification, in order to
facilitate production, will be made by the issue of a Production Deviation permit. The
acceptance of deviations in manufacture of a store/component, which do not
necessitate its rejection, will be authorised by the grant of a concession/production
permit.

15. Deviation Permits

15.1. A deviation permit constitutes permission in advance to use material or to

manufacture components and stores which differ from design or specification and is
limited in its application to cover a definite quantity or period. Authority for granting a
Deviation Permit rests with the AHSP or his authorised representative, and full
particulars of the departure authorised must be stated in the permit.

15.2. The AHSP will periodically review the deviations granted in respect of a
particular store and consider whether the specifications may be amended as stated in
para 11.2 of Chapter 9 on AHSP functions.

16. Concessions Permits

16.1. A concession constitutes permission to accept a limited quantity of
materials/components/stores which have already been manufactured but do not
conform strictly to the specification. The authority for the grant of a concession is the
AHSP of the end store or his authorised agent.

17. Applications for Deviations/Concessions

17.1 Deviations from stores specifications will be applied for by Ordnance Factories
in the appropriate form as applicable. The authorities who may grant
deviations/concessions, in consultation with the user/indentor, as necessary are
shown below:

Lethal Armament Store

Sanctioning Class of Nature of deviation

Authority Deviation

HQ DGAQA 'A' Major deviations in design and

In consultation with material affecting serviceability,
User Service and/or interchangeability and durability.
Designer as applicable
HQ DGAQA 'B' Major deviation in design and material
Affecting durability but not affecting
serviceability or interchangeability

HQ DGAQA 'C' Deviations in design and materials

Causing minor changes in durability
But not affecting service-ability or
Interchangeability.

Head of Estt/Detts 'D' Minor deviations in materials but not

affecting durability, serviceability
Or interchangeability.

Local Inspector/ 'E' Minor deviations in manufacturing Agent

Inspector details not affecting design,
materials, serviceability interchangeability
or durability.

17.2. When an Inspector/Agent Inspector is in doubt or considers that acceptance,

although possibly advisable, is beyond his discretionary powers, he must refer the
matter to the AHSP. Such queries must be fully supported by technical data along
with a definite recommendation. If considered necessary a sample will be sent to the
AHSP for test and report.

17.3. Deviations from drawings and specifications in respect of lethal armament

stores may involve defects of a critical, major or minor nature. It is from this aspect
that one must view the grant of deviations, where a "major deviation" may result in
impaired serviceability, even if interchangeability and durability are assured.
8. Recording of Deviations/concessions granted

18.1. It is the responsibility of the AHSP and the Inspector/Agent Inspector to

maintain details of all deviations/concessions granted for the manufacture/acceptance
of a store. Such records will be used to assess the effect of the deviations from the
aspects of serviceability, interchangeability and durability of the store and in case,
these are unaffected the store specifications may be amended to incorporate the
deviation as an alternative for manufacture.

19. Procedure for referring inspection disputes

19.1. In cases where there is a difference of opinion between the Inspectorate and
the Ordnance Factory on the acceptability of a store, the Head of the Inspection
Establishment after consultations with OF concerned will submit a report to DGAQA
for final decision.

19.2. This action will be taken on the highest priority to avoid any production hold up,
unless mutually agreed upon by the Factory and Inspection authorities.

20. Reporting of production/inspection bottlenecks

20.1. The Heads of Inspection establishments will submit periodic reports on such
stores as required by AHSP showing the progress on manufacture/inspection of
stores indicating where necessary the causes for delays/hold ups. Copies of such
reports must invariably be endorsed to the AHSP, DGOF and the Factory concerned,
in order that earlier possible action to overcome the bottlenecks can be jointly taken.

21. Reporting of heavy rejections

21.1. Cases of heavy rejections of stores and the probable causes for such
rejections, will be immediately reported to the HQrs DGAQA. Copies of such reports
will also be endorsed to the Factory authorities and the DGOF.

22. Inspection of Stores repaired in Ordnance Factories

22.1. Normally, maintenance and repair of equipment in Air Force stocks or in use
with units is responsibility of the Service repair depot. When an equipment is
sentenced for factory repairs, the inspection at the Factory is responsible for
inspection after repairs, and will act as the agent of the authority who has sentenced
the equipment for factory repairs.

23. Proof of armament stores

23.1. The final criteria of acceptance of ammunition and weapons is proof of strength
and/or proof of function. Proof will be carried out:

(a) Directly by the Inspecting Officer using ranges and proof yards under his control.
(b) Indirectly at other Proof Ranges under the control of DGQA/R&D Organisation,
where necessary.

23.2. In all cases, the AHSP will lay down the proof requirements including all
technical and qualitative details of the equipment proof apparatus, weapons and
ammunition required for the conduct of proof.

23.3. Resident Inspectors controlling the proof ranges and proof yards will ensure
that the organisation, procedure and conduct of work in the proof ranges/yards are
consistent with the AHSP requirement and highest standards of safety. Any
inadequacy of staff or equipment will be reported immediately to the HQ DGAQA.
23.4. In the case of weapons, the inspector or his representative will ensure that the
equipment under proof is in a fully serviceable condition and correctly prepared for
firings.

24. Safety Instructions In Proof Yards/Ranges:

24.1 Detailed Standing Instructions regarding safety precautions to be observed

whilst conducting any proof test or their firing at proof yards ranges will be prepared
by the Inspection/Project establishment including STEC regulations and issued with
the approval of HQ DGAQA. No deviation from the standing instructions will be
permitted without prior written approval of HQ DGAQA. A six monthly safety audit will
be undertaken by the Resident Inspector and a report submitted to AHSP for its
information and necessary action.

24.2 No unauthorised experiment, firing or break down of ammunition will be carried

out at proof yards/ranges without the prior approval of the Head of the establishment
concerned, who will not grant permission for any break down of ammunition, unless
the method to be adopted for such break down has the prior approval of HQrs
DGAQA

24.3. Any instances of malfunctioning or suspected malfunctioning of weapons,

equipment and ammunition or any other accidents at the proof yards/ranges will be
reported by the inspector concerned by FAX/Telephone to HQrs DGAQA and full
details will be reported in writing within 24 hours of such occurrence.

25. Proof Samples

25.1. For ammunition, it is essential that the proof samples shall be truly
representative of the bulk. Proof samples must be on no account be specially selected
but must be taken at random from all parts of the bulk that has been accepted for
proof.
26. Bonding of accepted material, component and stores

26.1. Provision should be made for preserving the identity of all accepted material,
components, sub assemblies and assemblies required for manufacturer and where
necessary, of complete stores. Identification will be maintained by a series of work
makings or documents through all stages of processing the finished articles.

26.2 Where bonding is not practicable the responsibility for satisfactory identification
of the accepted items will be that of the Inspector and may involve the transference of
identification and acceptance works if necessary.

26.3. It is the factories’/ contractors' responsibility to provide facilities for bonding

when and wherever necessary.

27. Responsibility for gauges

27.1. General : In agreement with the DGOF, it has been decided to adapt BS
919/52 and BS 969/53 for the introduction of `General' gauging in lieu of the existing
`Inspection' and `Workshop' gauges for armaments stores. Introduction of `General'
gauge for production and inspection of armament stores will be phased as under :-

Phase I - Gauge for new armament stores in the processes of introduction and
for which manufacturer is being established.

Phase II - Gauges for stores which have recently been introduced and for
which gauges schedule according to old system have already been
prepared in part or full.

28. Responsibilities for preparation of gauge schedules and Design General

Gauges
28.1. Ordnance Factories will continue to prepare the operation schedules and
design the General Gauges for inspection in production shops.

29. Demand, Manufacture, Inspection and Custody of gauges

29.1. The responsibility for manufacture of stage and inter-stage 'General' gauges
required for workshop use will be that of the Ordnance Factories concerned.
Inspection of these gauges prior to issue, their periodical checking during the use and
their custody/accounting will be that of the inspector. However, in cases where factory
provides their own gauge bonds, the custody and accounting of gauges will be that of
the factory. Where stage inspection is carried out by the factory and the inspector is
responsible for final inspection only, the provision, custody, periodical inspection and
issue of stage, inter-stage and general gauges required for workshop use will be their
responsibility of the factory.

29.2. Responsibility for placing demands of general gauges and other inspection
gauges used by the Inspector will be that of the local Inspector. He should, however,
arrange to indicate the requirement of the general gauges to the factory as early as
possible so that their manufacture is taken up concurrently with the Factory's
requirement. The necessity for the availability of these gauges in the Inspection Bond
before the manufacture of the stores commences cannot be over emphasized.

29.3. In order to avoid a time lag between placing demands for gauges used by the
manufacturer and Inspector, it is proposed that at the initial stage, the factory
authorities should make necessary provision of general gauges to cover the
requirement of stage and final Inspection in the ratio 2:1. The general gauges for
inspection provisioned in the above manner will be subsequently regularised by
placement of necessary demands by the Inspector.
29.4. Manufacture of general gauges and other final inspection gauges used by the
Inspector is the responsibility of the DGOF. The responsibility for the initial and
periodical examination of the General gauges and inspection gauges used for final
inspection and their custody will be that of the inspector.

30. Gauges used for inspection semi-finished, forging casting raw parts etc.

30.1. The responsibility for the design, inspection and other functions in respect of
gauges used for inspection of semi-finished castings, forgings, cup or other similar
types of items will not be that of AHSP or his Agent Inspector. The design of such
gauges, which are made to suit particular manufacturing operation affecting
subsequent operation will be that of the DGOF/Contractor.

31. Cost of gauges

31.1. The cost of gauges used by the factories or by Inspectorates for stage, inter-
stage and final inspection of stores will be charged to the cost of the stores ordered
on Ordnance Factories. The same procedure will apply to cases where the final
inspection is carried out by Inspection establishments acting as agent Inspector on
behalf of another AHSP.

31.2 All general gauges will be marked without reference number consisting of numerals
prefixed by the letters `GEN'. The letter `G' in lieu of `GEN' may only be used in the cases of
small gauges where marking space is restricted. This general gauges which are supplied for
final inspection use will have the serial number circumscribed by a circle. In the case of small
gauges used for the inspection of ammunition components, the Factory/Inspectorate may use
any additional prefixing letter to identify gauges for a particular stores e.g.
GS - General Gauges Small
GF - General Gauges Fuze

32 Gauge Committee
32.1 Standing gauge committees will be formed at each Ordnance Factory,
composed of members of both the local Inspectorate and the factory for the purpose
of periodically progressing the requirements of inspection gauges and to settle
queries/priorities that may arise in this connection.

32.2 These standing gauge committees will be constituted with the Head of
Inspectorate as the Chairman and two members each from the factory and the
Inspectorate. Additional members may be accepted as considered necessary. The
Committee will function purely as an advisory body with no executive powers.

33 Detailed Instructions

33.1 Detailed procedural instructions regarding inspection and proof of armament

stores will be issued by HQrs DGAQA in the form of Inspection Instructions/criteria for
the guidance of Inspection. The drafts for such instructions will be initially prepared by
the appropriate field inspectorate and sent to HQ for necessary scrutiny and issue.
Generally such instructions will not be available for the first order for manufacture, as
it may be possible to prepare the draft itself only during inspection of the first order.

34 Defect Investigation

34.1 In all cases of defects reported by the users/observed during ground proof
acceptance firing, defect investigation committee under Chairmanship of AAIW will be
formed with members from OF. Appropriate action on the recommendations will be
taken thereafter as per guidelines, and in case any design improvement is required,
defect investigation findings will be sent to HQrs for necessary action.

35. Inspection Charges

35.1 Levying of Inspection charges against orders placed by agencies other than
Indian Defence Services viz Export orders, orders placed by Home Min HAL etc As
per Min of Def letter No.428/1/166/DTD&P(Air)/E&I D (HAL) dt 23.9.93 for Armament
Stores, the Inspection charges are to be levied, which is at present 4%.
 CHAP-7
QUALITY ASSURANCE DURING MANUFACTURE
OF AVIONICS AND GROUND ELECTRONIC
EQUIPMENT
1. Introduction:

1.1 Though the various topics covered in the TSO are applicable in respect of Avionic/Electronic
stores as well, this chapter on Quality Assurance (QA) by DGAQA during manufacture of Avionics
and Ground Electronic Equipment specific to avionics features and also encompasses the approach
of DDPIL 2000.

1.2 The various phases of Life cycle of an equipment are Development Phase, Production Phase
and Post-Production/ Maintenance Phase. The various phases of development of electronic
equipment s may be divided into the following three categories:

a) Feasibility Study Phase: This phase is to report on the feasibility of development of the
proposed equipment and the basis is the Provisional Qualitative Requirement projected
by Service HQrs based on the provisional QR, the Design Authority carries out a study of
the proposed system and analysis in the feasibility report to what extent the equipment
could be developed. Further details are mentioned in part I Section III of DDPIL-2000.

b) Initial development phase: The initial development phase is the translation of the
Provisional Qualitative Requirement into a model designated as Model ‘A’. This model
should perform as per the Provisional Qualitative Requirement to the extent
possible.Service HQrs examines this model to verify to what extent the Provisional
Qualitative Requirement needs to be modified before it can be finalised as Qualitative
Requirement. Further details are mentioned in Part I Section III of DDPIL-2000.

c) Final Development Phase: The final development phase commences when the initial
development phase has been completed and QRs have been finalised. The final
development phase would result in Model ‘B’ which will be a representative of first
production run. Model ‘B’ is subjected to technical evaluation by Technical Coordinating
Authority (TCA) and user trials by Services. For further details reference may be made
to DDPIL-2000.

1.3 At the end of development phase, on successful completion of development of an item, the
concerned authority will issue Type Approval Certificate or Qualification Approval as per
DDPMAS/DDPIL procedure and the production phase commences.

2. Phases of Production:

2.1 Quality Assurance support shall be provided during the various production phases of life
cycle of Avionics and Ground Electronics Equipment/ Items. Environmental classification for both
these categories of equipment is specified in JSS-55555 and MIL-STD-810E. The various phases of
production can be broadly classified as follows; -

3. Limited Series Production:

3.1 After the final development phase is completed and before the main production commences a
limited number of equipments termed as Limited Series Production (LSP) are manufactured by the
Production Agency. These are mainly to confirm the technical characteristics like parameter
variations, consistency, efficacy of changes carried out on the development model before finalising
the production document like Drawings, Test Methods etc. The details of tests, including
environmental tests to be conducted on these units would be arrived at jointly by Design Agency,
Production Agency, Certifying Agency (as applicable) and DGAQA.

4. Main/Regular Production Phase:

4.1 During this phase the equipment are manufactured as per finalised documents. The
acceptance procedures for the equipment are based on the finalised Quality plan for the equipment.
The Design Authority supplies the procurement drawings for the purpose of AHSP and Inspection
duties, these drawings after approval by Design Authority are sealed and kept as authenticated
copies by Quality Assurance Authority/AHSP.

5. Post Production Modification/Improvements:

5.1 After the first production run and its introduction into service, improvements may be
necessitated based on the user's feedback. Further details are mentioned in Part I Section III of
DDPIL-2000.

6. Quality Assurance Activity Of Avionics And Ground Electronic Equipment During

Production:

6.1 Guidelines For Quality Assurance:

6.1.1 All the equipments delivered to the Services under Quality Assurance clearance have to
conform to the laid down Qualitative and Quantitative requirements of the Specifications to
which they are designed and Type approved with regard to their performance, serviceability
and maintainability. The QA procedures to achieve this are mentioned below. Since all these
steps are common to other equipments also, reference may be made to other chapters for
details.

a) Physical Inspection
b) Incoming stores Inspection
 c) In process Inspection
d) Final Inspection
e) Quality Surveillance
f) Capacity Assessment
g) Quality Audits

6.1.2 Fabrication, Assembly and testing/Inspection of PCB assemblies: PCB assemblies form a
very critical/main portion of any modern electronic equipment. Following standard accepted
practices by the industry during fabrication, assembly and testing/inspection of PCB
assemblies can enhance the reliability of the electronic equipment. The manufacturer shall
adhere to guidelines given in IPC manuals with regard to raw material, manufacturing
process and Inspection of PCB assemblies. The various standards followed during fabrication
and assembly of PCBs are as follows:

a) Design of PCBs – MIL-P-55110

b) General requirement for Printed Wiring Board – MIL-STD-275
c) Standard General Requirement for Electronic Equipment – MIL-STD-454

6.2 Availability of finalised documents:

6.2.1 The following finalised documents shall be checked for availability and kept ready well in
advance before taking up Quality Assurance activity:

(a) Technical Specification

(b) Standard of Preparation Document or Production Drawings as applicable (Master

Drawing Index and set of Drawings like Schematic, BOM, GA etc.)

(c) The BOM shall include status of component and source to facilitate
verification of traceability requirement

(d) Process/ Quality standards for the manufacturing activity

(e) Quality Manual of the Firm

(f) Acceptance Test Procedure

(g) QT/ AT Document where applicable

(h) Type Approval Certificate/Qualification Approval/Bulk Production

Clearance letter
 (j) Production Quality Plan

(k) Approval of Firms Inspection Organisation, associated Documents

and its Certificate.

6.2.2 The above documents shall be verified for their correctness and issue level. The Resident Inspector shall study
the documents and prepare an action plan to take care of various aspects of Quality Assurance Activities. A preliminary
meeting shall be held with the manufacturer and Quality Assurance requirements shall be brought to the notice of
manufacturer for taking timely necessary action. Also necessary action on the other issues with regard to supply of stores
arising out of the meeting shall be taken by the concerned agencies. Review meeting shall be held periodically by the head of
the field establishment concerned with the manufacturer to keep track of the progress made on the supply order in order to
ensure timely supply of user requirements as per schedule. HQ DGAQA shall be kept informed of the progress periodically.

6.3 Production Quality Plan:

6.3.1 Manufacturer shall draw the Production Quality Plan in consultation with designer where required and
DGAQA. The Production Quality Plan shall define all the activities related to fabrication, assembly, processing, alignment/
testing, quality control tests etc. as applicable to the product during production. Resident Inspector shall review the
Production Quality Plan periodically to enable continuous improvement. The firm shall define the responsibility and authority
of the Quality Assurance personnel in the process instruction/ work instruction sheet as applicable. Reference shall also be
made to Defence Standards, National/ International Standards, and Corporate Standards for manufacturing operation/
processes. The Resident Inspector shall monitor the effective implementation of the Quality System in the organisation and
also draw up plan for surveillance checks for compliance. The surveillance check shall include surprise checks, verification of
quality records, authentication of test methods and test equipment, regular review meetings, Quality Audits etc.

6.4 Quality Assurance Stages And Stage Inspection

6.4.1 The Resident Inspector shall define Quality Assurance Stages/ Inspection Stages in
production Quality Plan for their verification of quality requirement at critical stages. The
considerations while determining such stages shall be the experience of previous supplies, defects
reported during production and by user, criticality of activity/ process during production, major
steps/mile stones in production activity etc. The stages of Quality Assurance/ Inspection shall be
communicated to the manufacturer for compliance well in advance. The Resident Inspector shall
have the authority to review the QA stages for inclusion of additional stages in addition to the
finalised Production Quality Plan with a view to bring improvement in quality of the product.

6.4.2 Resident Inspector shall carry out QA activities including stage inspection as per Production
Quality Plan. At each stage of inspection the Resident Inspector shall verify that the manufacturer,
as evidenced from the records, has carried out the activity as per Production Quality Plan. Also,
carryout inspection/ testing of the product at every stage before it is taken up for next stage of
assembly/ activity. In addition to stage inspection, there shall be a final inspection/ testing to verify
that the item is in conformance to the specification/ supply order requirements.

6.5 Environment Stress Screening

6.5.1 Environmental Stress Screening is one of the major activities during manufacturing of
Electronic Equipment. The ESS test will enhance the reliability of the equipment by detecting latent
failures. As such ESS test shall be incorporated in the Production Quality Plan for the equipment.
The guidelines given in MIL-STD-2164, MIL-HDBK-344 and NAVMAT-P-9492 shall be followed
while arriving at ESS Test schedule keeping in view the equipment specification.

6.6 Test Jigs & Fixtures:

6.6.1 The details of Test Jigs and Fixtures used during production shall be included in the Production Quality Plan/Process Instruction sheet/
Work Instruction Sheet along with their identification like Model No./ Drawing No. or Version No. All Test Jigs and Fixtures shall be approved by
Resident Inspector before they are used during manufacturing. Wherever ATE's are used their configuration along with Model No. of test equipment
and ATE Software Version shall be Validated/Approved by Resident Inspector, so that the correct configuration of ATE is used to avoid uncertainty in
testing. Manufacturer shall maintain the configuration of such ATE system and any changes that are required subsequently shall be made with
concurrence of Resident Inspector. Manufacturer shall ensure that the Test Jigs are calibrated periodically as applicable.

6.7 QA At Sub-contactors Work:

6.7.1 In many cases the main contractor may sub-contract part of manufacturing activity of a
product. In such cases the main contractor is totally responsible for monitoring Quality Assurance
activities at sub-contractor place for their effectiveness adheres to the Quality Assurance norms as
stipulated. The main contractor shall have a policy for selection of sub-contractor by way of vendor
assessment or any other method defined in their Quality Document. The Resident Inspector shall
monitor these actives of main contractor by way of surveillance check to ensure that such contacted
item meets the quality requirement. The Resident Inspector shall also carry out quality Audits in
association with main contractor at sub-contractors place as and when considered necessary.

6.8 Use of COTS

6.8.1 Due to the advancement and fast changes in Technology, it has been observed that MIL
grade electronic components, especially microcircuits, are not easily available and also becoming
fast obsolete. Considering the improvements made in technology of Plastic Encapsulated
Microcircuit Devices (PEMs) with regard their operating temperature, PEMs are being widely used
both in Avionics and Ground Electronics Equipment. Also there is an increase in use of SMDs to
bring about compactness and achieve higher density of packaging in the electronic equipment. These
components are generally readily available in commercial market known as COTS (Commercially
Off The Shelf) items. In addition to the COTS components, COTS assemblies are also being widely
used in the manufacturing of electronic equipment. Some of the examples of COTS electronic
assemblies are Mother Board in a computer, MODEM Cards, BUS Interface Cards, Single Board
Computer, and Displays etc.

6.8.2 COTS items are used in the Military equipment's utilising ruggedisation techniques and open
architecture to meet the end product requirements. The philosophy of QA has been discussed at
various forums and guidelines have been drawn for adoption while using COTS items. These
guidelines are found in the following document:

(a) JSG:755:2001 Uniform Implementation of COTS pertaining to Electronics

Components in the services.

(b) JSG:0751:1999 : Use of Commercial Off The Shelf (COTS) Electronic Components
Defence supplies.
 (c) Proposed JSG on Quality Assurance Procedure for COTS.

6.8.3 The field establishment shall adhere to these guidelines while carrying out QA on equipment
using COTS items. Since the use of COTS and the guidelines are still in the initial stages of
implementation, any issues/ observations related to improvements is achieving the quality of the
product may be intimated to HQ DGAQA(AE group) for taking up further action.

7. Handling and Storage

7.1 Handling and storage of Electronic Components, PCB assemblies, Mechanical Parts and
finished goods is one of the important activities during manufacturing. There shall be a defined
procedure by manufacturer for Handling and storage of Electronics Components, Materials
(Including shelf life items) PCB assemblies, Mechanical parts and finished goods. The procedure
specified shall be based on relevant National and Defence Standards. All parts and materials shall
be stored as specified in the storage requirement. The handling and storage requirements shall be
verified by the Resident Inspector periodically with reference to the procedures outlined by the firm
for the type of items like materials,components, assemblies etc. and deficiencies observed if any
shall be brought to the notice of the firm for necessary corrective action.

8. Quality Audits:

8.1 All Quality Records like Quality Audit reports, Test report,
Manufacturing/fabrication/assembly records etc., shall be maintained by the manufacturer. They
shall be verified by Resident Inspector and ensure that records are held by the manufacturer for a
period specified by the firm as per their Quality Document. Wherever the test reports are generated
using ATE's and are elaborate, soft copy of the test reports on a suitable media shall be maintained
by Resident Inspector for their reference and retention.

8.2 The configuration of the equipment during manufacturing shall be maintained by the
manufacturer to ensure treaceability. Some of the aspects for configuration management are
marking of Sl. No. for all parts like PCBs and major sub-assemblies, Maintain Records of version of
PCB assemblies, Mod status of equipment etc. This shall be verified by Resident Inspector at the
time of final integration/ inspection.

9 Technical Documentaion:

9.1 The manufacturer shall ensure that the technical documents like user handbook, technical
manual etc. are made available as per contract at the time of supply of stores. The Resident
Inspector shall ensure that the technical documents are approved by the concerned authority as per
 DDPIL/DDPMAS procedure and dispatched to the consignee along with the stores. Also the
technical documents shall be verified for their correctness with regard to latest issue level before
dispatch. JSS 0251-01 specifies the Procedure for preparation of Technical Publication of
Electronics and Electrical Equipment.

10. Software Version Monitor:

10.1 The manufacturer shall have a well-documented procedure for controlling various types of
software used during production of equipment. Resident Inspector shall ensure that only approved
version of software like application/ system/ diagnostic/ test software are being used during
production of the equipment. Also Resident Inspector shall ensure that no unauthorised changes are
made to the software by verifying that the Version No., Check sum (where applicable), Capacity of
file, Date created etc., are as per the approved version definition document. A master copy of all
such approved software shall be held by Resident Inspector for their reference.

11. Quality Control/Surveillane Checks:

11.1 The quality Control check like Quality Audit on various activities of manufacturing which
are contributing directly or in-directly to the quality of the product shall be verified by Resident
Inspector periodically. Resident Inspector shall also carryout surveillance check at various stages of
manufacturing activity in addition the QA stages already defined in the Quality Plan to ensure that
the manufacture is adhering to the defined processes and also they are under control. The frequency
of surveillance check shall be required. The lapses observed, if any, shall be brought to the notice of
manufacturer for necessary corrective action and QAA shall monitor the follow up action taken.
 CHAP-8

DEFECT INVESTIGATION (DI)

1. Introduction

1.1 All equipments in use in aviation are designed to give a stipulated performance over a specified
period of time. A degree of reliability is built in the equipment and a system of preventive maintenance is
followed against normal deterioration in service. In spite of the above, defects do occur in service life of the
equipment. Defects may be serious enough to result in accidents/incidents or may cause unserviceability or
non-availability of the system resulting in premature withdrawal. . In the interest of flight safety and to
improve the serviceability and reliability, it is necessary that defects be immediately reported with adequate
details on appropriate format, investigated and prompt remedial measures are instituted to prevent
recurrence. The following are required for effective defect investigation: -

(a) Every failure must be regarded as significant.

(b) Every defect must be investigated in depth to find the cause.

(c) This must be followed by appropriate measures and their effective implementation, which
will ensure that corrective action loop, is complete/closed.

1.2 The aim of all defect investigation is to effectively learn from experience through a thorough
investigation of the reported defect and implementation of the applicable corrective applications.
Irrespective of the different terminology/procedures, the objective of defect investigation needs to be
constantly in focus. For this purpose, the total picture/data need to be reviewed periodically to identify
areas /defects requiring further study /action. (e.g. repetitive cases, major/serious defects, premature
failures, corrective action implementation actions, ineffective/inadequate corrective action, defects not
confirmed etc. )

1.3 Defect investigation, analysis and implementation of corrective action along with appropriate
documentation is of greater importance in case of equipment, which is under indigenous design and
development. Every corrective measure implemented in the design/development stage as a result of detailed
defect investigation will go a long way to improve the reliability/mean time between failures (MTBF) of the
equipment. A failure reporting, analysis and corrective action system is a means to providing the necessary
feedback to design. This input will help in refining the design and ultimately the reliability of indigenously
designed and developed equipment.
 2. Classification of Defects and Their Reporting

2.1 The present procedure of defect reporting and data management is as per AFO 7/99 in case of Air
Force items. This has classified defects into two broad categories – serious defects and premature failures
requiring investigation.

a) Serious defects: In case the defect or failure has resulted in an accident / incident, or if the defect
is considered to have serious ramification on flight safety, they are termed as serious defects.
Defects or failures affecting flight safety of aircraft/personnel or requiring premature withdrawal
of aero-engine except due to bird hit are examples of serious defects. All serious defects are
reported on form IAFF (T) 1022.

b) Premature withdrawals: - Defects not belonging to the serious category but having resulted in
withdrawal of the item for purpose of investigation on the suspicion that the premature failure
could be a precursor to an incident or accident are referred to as premature withdrawals. These are
reported on a Premature Withdrawal Report (PWR) format irrespective of life left for the purpose
of investigation, analysis and possible corrective measures.

Procedure In Respect Of Aircraft Manufactured Under Licence And Indigenously Designed &
Manufactured By HAL and Service Aircraft For Which HAL Is The Repair/Overhaul Agency:

3. Defect Investigation under F- 1022

3.1 Whenever a defect or failure in equipment is noticed, preliminary investigation is carried out at the
unit level and defect reported on F-1022.The items on defect report are sent in packing cases along with the
F-1022 and other connecting documents. The marking of cases for DI items will be such as to identity the
reason for return on the case itself. In case of defects related to incident/repetitive snag the case will have
black letters within a yellow triangle. In case of accidents the letters will be black within a red triangle.
For explosives/ammunition the letters will be red with a white background.

4. Defect investigation committee

On receipt of the equipment for defect investigation a defect investigation committee is set into action
consisting of representatives from design, manufacturing and quality from the factory, AFLE (or the
concerned liaison cell in case of Army/Navy), DGAQA and RCMA. The coordination is done by customer
support section.
5. Considerations at the time of defect investigation:

The following are to be given due attention at the time of defect investigation.

a) Availability of all relevant information concerning the defect. (e.g. Hrs done, issue standard,
serial number, history of repair/replacement etc.).

b) Sample of hydraulic fluid, fuel etc. where applicable.

c) A copy of Flight Data Recorder (FDR) transcript where applicable.

d) Cannabalisation details with respect to the defective unit.

e) Necessity to investigate any other item if performance of defective component is linked with
other units.

Defects occurring in equipment during service can be attributed to any or a combination of the following
causes

a) Deficiency in design.

b) Faulty material.

c) Deviation/defects in manufacture, assembly, testing, overhaul, installation etc. at

manufacturing/repair agency.

d) Corrosion, deterioration and/or excessive wear.

e) Equipment having been operated beyond design limits.

f) Improper storage when equipment not in use.

g) Inadequate/Improper servicing/maintenance or incorrect installation

It is necessary for the concerned DGAQA unit to ensure proper and adequate association during defect
investigation to be able to have a clear view of the basis of the conclusion. Further our role is of greater
importance being an independent agency different / distinct from User & Producer. Whenever necessary in
respect of complex equipment such quality tools like Ishikawa diagram & fault tree analysis can be
employed to consider all causes in a comprehensive manner. The best hypothesis based on the functional
details/design/relationship to other systems is of great importance in a defect investigation. Hence the role
of every member of the defect investigation team could be of considerable value to influence the quality of
outcome of the defect investigation.

6. Attributability

6.1 On completion of the defect investigation a report is raised, giving the findings and remedial
measures. The attributability code should be filled up carefully as per Air Force Order (AFO), which are
listed below. Distribution of copies of the defect report will be ensured as required by the current Air
Force Order. Quarterly compilation of defect investigation reports are to be sent to HQrs in the
prescribed format.

a) Attributable to users - U
b) Attributable to the manufacturer/repair agency - R
c) Attributable to features inherent in the design - D
d) Failure/Ageing/Corrosion/Material failure - F
e) Not established - E
f) Other reasons - X

7. Unconfirmed defects:

A reported defect may remain unconfirmed due to various reasons /constraints ranging from inadequate
expertise at operating/ investigating level to inability to simulate the defect under factory conditions. In
view of the high significance to flight safety, the removed unit not being the cause of defect, cases of
unconfirmed defects are to be closely monitored . In such cases an annotation on the component certificate
in red ink is to be ensured which should read “ Defect is not confirmed”. The component is serviced as per
overhaul technology and despatched to User / AF Unit.

8. Defect Investigation Of Items On PWR

8.1 Components withdrawn for investigation and not related to incidents/accidents are returned to the
repair agencies irrespective of life completed, accompanied by a PWR (Prematurely Withdrawal Report).
8.2 The DGAQA units are to coordinate the pre-survey formats / disposition on the units received for
PWR. At this stage all relevant information about units is to be scrutinised carefully and past history of the
unit studied. In case of disturbing trend or repetition of defects or criticality of the defect, DGAQA may
decide to participate actively in the investigation of the unit.

8.3 The repair agencies are to carry out technical investigation of all PWRs received. Details of
investigations carried out are reflected on PWR reports and retained at repair agency. DI agencies are to
takeout quarterly summaries giving details of all PWRs investigated during the quarter offering
recommendations on remedial measures and review of life wherever required. These are to be distributed to
Service Hqs / Air Hqs (DMIS), CSDO AF, CEMILAC, DGAQA/ Indigenisation agency. Whenever
immediate preliminary warning/life revision etc. are considered necessary, the concerned weapon cell is to
be notified immediately.

8.4 In case of vendor supplied items where DGAQA/DRDO is the indigenisation agency the
investigation will be carried out by the concerned indigenisation agency at the vendor’s premises.
Respective DI agency will carry out quarterly analysis/review of premature withdrawals and submit the
report of quarterly summary to Service HQrs / Air HQrs with copies to CSDO AF and CEMILAC.

8.5 Continuous studies/review of PWR data needs to be carried out by the concerned OCRI for any
additional action/monitoring towards the objective of the defect investigation i.e. defect
prevention/reliability improvement.

9. Investigation Of Defects At Producer’s Works / Sister Divisions Of HAL / BEL Etc.

9.1 There have been cases wherein equipment sent for a subsequent stage within the division /sister
divisions of HAL for integration with engine/aircraft are found to be defective as the assembly / integration
work progresses. Such cases are to be coordinated by the concerned DGAQA representative and returned
to the originating section/ division with an IDI report (Internal Defect Investigation Report). These
equipment/items are then to be investigated as applicable for the reported defect by the manufacturing
/overhaul agency in coordination with DGAQA. Corrective measures are incorporated into the system
based on the findings in order to avoid recurrence of such defects.

10. Procedure In Respect Aircraft, Engine And Accessories During The Development Phase

10.1 The importance of defect investigation during the development phase need not be reemphasized as it
plays a very significant role in helping to achieve maturity of design at an early stage and also in
improvement of reliability of the equipment.

10.2 In respect of aircraft/engines/accessories under development the defects during the development
phase will be reported on the development defect reporting Performa by the Design & Development/
Testing agency. Copies of the reports are sent to the manufacturer, DGAQA and other concerned
agencies.

10.3 On receipt of the defective equipment the Defect Investigation team at the manufacturer’s premises
will conduct the defect investigation and issue a Defect Investigation Report. Expeditious action to
implement the corrective action decided shall be taken up by the manufacturing agency and monitored by
DGAQA.

11. DI Reports

11.1 All the concerned DGAQA units are required to compile on Quarterly basis, the details and the
summary of Dis carried out at their respective unit and forwarded in the prescribed proforma to the HQrs,
as instructed vide letter No. 225/31/DI/DGAQA/Aircraft dt 27 Aug 97 and 04 Aug 99. The specimen DI
summary proforma is annexed to the Chapter.
 Annexure to Chap 8 (para 11.1 refers)

SUMMARY OF QUARTERLY DIR : QUARTER ENDING

1. Defect – Catgy Aircraft / Engine / Aircraft / Engine / Aircraft / Engine / Aircraft / Engine /
Eqpt Eqpt Eqpt Eqpt
Type Type Type Type

II

III

IV

Total No. of DIR

2. Category Aircraft / Engine/ Findings Corrective Action

Eqpt. Type Status
Any of the DIRs
a) Relate to Accident/ Incident
cases
1.

2.

b) Major / Significant DIs

1.

2.

c) Repetetive
1.

2.

d) Premature cases
(within 25 hrs)
1.

2.
 CHAP-9
AHSP FUNCTIONS
1. Definition:

1.1 The term “paper particulars” as used in connection with procurement and quality assurance of defence stores
denotes the following items: -

(a) Design specifications

(b) Procurement Drawings
(c) Patterns/Samples
(d) Quality Assurance Plans
(e) Qualification Test Records (QTR)

1.2 These are generally referred to as `specifications’, `Drawings’, ‘samples’ and ‘acceptance test
schedules’. Quality Assurance Plan is prepared to ensure the procurement of stores which are produced as
per (a), (b) and (c) above and also act as a guide to quality assurance officer.

2. AHSP – Authority Holding Sealed Particulars:

2.1 Functions generally performed by an AHSP are given below: -

a) Maintaining technical information, including drawings and specification of stores.

b) Controlling standards of inspection/laying down inspection instructions/criteria.

c) Scrutiny of tenders against service demands and testing of samples wherever required.

d) Testing and evaluating of advance and control samples.

e) Granting of production deviation. In case of airborne stores, major deviations are granted
with the concurrence of RCMA.

f) Vetting of services indents and supply copies of drawings/specifications and/or certified

samples to guide manufacture/procurement and inspection of defence stores.

g) Defect investigation and failure investigation during inspection, storage and service use and
to initiate remedial measures including carrying out of technical trials for effecting minor
modifications. Any modifications on indigenous airborne stores is carried out with the
concurrence of RCMA.

h) Progressing and review of current production and supply.

 j) Guidance to procurement and production agencies on all technical matters with capacity
verification of firms.

k) Compilation of service literature for new equipment introduced into service as and when
necessary.

l) Identification of stores/suggestion regarding alternative utilization.

m) Rendering advice on use of indigenously manufactured materials as substitutes for imported

materials. In case of airborne stores indigenously manufactured & substituted, approval is
accorded by RCMA /CEMILAC.

n) Sealing action wherever required.

2.2 All the documents (Specification, drawings, QR, ASR, proof schedule etc.) of various air armament
stores and other aeronautical stores developed indigenously are held by the respective technical groups at
HQ. These are issued to the various agencies dealing with the manufacture/quality assurance of respective
stores.

2.3 In respect of gauges required for direct inspection of air armament stores, AAIW Khamaria has been
designated as AHSP. As such, drawings and specifications in respect of all new stores are forwarded to
them for technical vetting/preparation of gauge schedules/drawings and issue to all concerned.

2.4 When the paper particulars (drawings and specifications) are finally approved by the appropriate
authority, these are held by Authority Holding Sealed Particulars and a copy is embossed with a seal of
AHSP and an officer authorized to sign against the seal. In the case of a pattern or model, a label bearing the
official nomenclature of the store will be irremovably attached to the pattern, sample or model sealed and
signed as above. Particulars sealed in this manner are known `sealed specifications’, `sealed drawings’ and
`sealed patterns/samples or models’. Various types of copies of these specifications/drawings normally
under use are given below:

(a) Master copy of specifications/drawings : It is replica of the sealed copy. The `Master’ copy (which is kept
amended up to date and not normally employed in day to day use) of sealed paper particulars are used for
reproducing and issuing `certified’ copies, and similarly sealed patterns are used for issuing `certified’ samples
to guide manufacture/supply/ inspection.

(b) Working copy : It is a copy of the sealed specification or drawing issued by the AHSP,
brought up-to-date and certified and is employed in day to day use for inspection work.

(c) Certified copy : It is a copy of the sealed specification/drawing issued by AHSP to the purchase authorities,
contractors/production agencies and quality assurance officers duly certified as correct on date of issue, and is
used as a guide to supply/manufacture/quality assurance. It differs from sealed/master copy in that it shows the
 latest position and the amendments are not indicated by stages in respect of the specification but indicated in
drawings.

3. Safe Custody:

3.1 The AHSP is responsible for the safe custody of paper particulars. The original copy of paper particulars must never pass

out of the hands of AHSP.

4. Responsibility of Correctness

4.1 The AHSP is responsible for the correctness of all particulars sealed by him. Particulars must,
therefore, be carefully checked before sealing. In case of paper particulars prepared by DRDO,
responsibility for their accuracy rests with that organization. Any inaccuracies noticed will be referred to
DRDO for clarification before sealing.

5. Sealing And Amendments

5.1 The AHSP will take action on `Paper Particulars’ in one of the following ways: -

(a) Seal particulars in the case of the introduction of a new store, or of a new pattern of an
existing store.

(b) Amend the sealed particulars in the case of an alteration to an existing order.

(c) Endorse the sealed particulars `obsolescent’ or `obsolete’ consequent on the store being
declared as such.

Note: (a) and (b) will be done on the advice of CEMILAC or its field establishments in the case of
indigenously developed stores for airborne use.

6. Authority for sealing

6.1 The authority for sealing/amendment will be given by Type Approving Authority (TAA) of which
the following are the three main classes. DGAQA may also be T.A.A. sometimes.

(i) Airborne (Non-Explosive) stores e.g. Aircraft, Gun-pack.

(ii) Airborne Explosive items e.g. Bombs, Rockets, and Missiles.

(iii) Ground Equipment e.g. Airfield lighting, Refueling equipment, Generators etc.
6.2 In general, the stores at (i) & (ii) above, the authority for AHSP action is given by CEMILAC
whereas DGAQA would give approval for introduction for the third type i.e. ground equipment.

7. Approval For Introduction/Amendment Of Stores

7.1 The approval for introduction/amendment of a store will also depend upon the following.

(a) Stores obtained from abroad.

(b) Stores produced indigenously under Licence Manufacture.

(c) Stores developed by R&D Organisation.

(d) Proprietary.

(e) Items developed and supplied by DGAQA through TC (Aero).

7.1.1 Stores obtained from abroad: At the time of procurement of new stores from abroad every effort
will be made to obtain detailed paper particulars from the suppliers. The AHSP should ensure that
complete final inspection/gauge schedules are supplied by the suppliers. This will depend on the
agreement with the suppliers about the indigenous manufacture of stores currently or at a later date.
AHSP should confirm that the stores are already type approved abroad. Otherwise
CEMILAC/DGAQA should clear the imported stores by conducting suitable ground/flight trials
through appropriate agency i.e. ASTE. If at a later date, it is decided to manufacture the store
indigenously, the matter will be referred to DGAQA for

(i) permission to use the particulars already available for manufacturing purposes, or
(ii) obtaining necessary paper particulars from the suppliers, or
(iii) A decision to prepare paper particulars from a sample and other technical details.

Note : Store obtained from abroad may be proprietary nature and covered by patent rights.
Therefore, permission of supplier is necessary to use paper particulars already available, or to
prepare paper particulars from samples, for manufacturing purposes.

7.1.2 Stores produced indigenously under License Agreement: In this case, usually the complete paper
particulars including inspection schedules and gauge drawings etc. would be made available by the foreign
firm. These documents would be sealed by the AHSP.

7.1.3 Stores developed by R&D Organisation/other Organisation: Detailed procurement paper

particulars for stores developed by R&D organization will be prepared/procured by that organization and
handed over to DGAQA after the stores have passed technical/user trials and approved by type approving
authority for adoption in service. The paper particulars will be submitted to AHSP for necessary action. This
is applicable to both non-explosive and explosive types. For ground equipment, Air Headquarters would
clear the store after user trials. This would serve as the authority for DGAQA to take sealing action.
7.1.4 Proprietary Stores from Trade in India: Detailed manufacturing particulars for stores of
proprietary nature developed and/or manufactured by Indian firms or state owned enterprises will not be
maintained by AHSP. Only copies of specifications and drawings as available from the firms will be held by
the AHSP.

7.1.5 Items developed and supplied by DGAQA through TC (Aero): In this case all the paper
particulars including drawings etc are generated and available with DGAQA.

8. Provisional Sealing Of Particulars

8.1 In order to avoid delay in manufacture and provision of a store, a provisional sealing action will be
taken by Type Approving Authority after receipt of the type certificate issued by the CEMILAC/DGAQA.
Subsequent to the commencement of regular productionisation of the store. DGAQA/CEMILAC will issue
type approval which would be the basis of final sealing of paper particulars by DGAQA/CEMILAC.

8.2 During the period of provisional sealing, AHSP responsibility will continue to be with Design
Agency. However, after final sealing the responsibilities of AHSP will rest completely with DGAQA.

9. Final Sealing

9.1 Prior to final sealing, DGAQA will satisfy themselves with regard to accuracy and technical
correctness of paper particulars.

10. Sealing And Amendments To Drawings

10.1 Drawings for new stores or for new patterns of existing stores will normally be sealed by DGAQA
on receipt of CEMILAC/DGAQA approval, as appropriate, introducing these stores. In respect of imported
stores introduced into service, original copies of drawing will, as far as possible, be sealed in India retaining
the foreign numbers, but Indian numbers will be allotted if some major amendments are involved. If it is
necessary to incorporate Indian amendments or subsequent foreign amendments to the drawings, a D.C.
(Departmental change) or amendment list will be issued by the AHSP concerned and the drawings amended
accordingly. All drawings should contain a record of every alterations/revisions which are made from time
to time. This is to be done by making a panel on the drawing giving the revision number, date, zone or part
issued and brief description. Reference to D.C./A.L. No. should also be made. Preparation of drawings etc
must be done as per JSG 0104. In order to incorporate any amendments to drawings the Performa given at
Appendix `A’ must be used.

11. Sealing And Alterations To Specifications

11.1 The following procedure will be adopted for the sealing and alternations to specifications.

(a) Indian Specifications

(i) Specifications for new stores or for new patterns of existing stores will be held by the
AHSP on the authority of CEMILAC/DGAQA approvals, as appropriate, introducing
these stores. Joint Service Specifications (JSS) for new stores, published by the
Directorate of Standardisation will be adopted and maintained by the AHSP in the
same way as other defence specifications governing current supply and mentioned in
CEMILAC/DGAQA approval introducing the store.

(ii) When an existing specification is reprinted, the original authority will be quoted.

(iii) When an existing specification is superseded by a JSS the casualty will be endorsed
on the existing specification through D.C. action.

(iv) Alterations to existing specifications will be made by the AHSP after the change is
covered by the formal approval of CEMILAC/DGAQA as appropriate.

(b) Foreign Specifications

(i) Specifications for new stores or for new patterns of existing stores will be sealed,
retaining their original numbers, by the AHSP on the authority of
CEMILAC/DGAQA approval introducing these stores.

(ii) New specifications which supersede existing ones will be sealed by the AHSP on the
authority of relevant CEMILAC’s approval.

(iii) In cases, where major alterations to the specifications are necessary to suit Indian
conditions, approval of Air HQrs and CEMILAC to such alterations will be allotted
an Indian number and a note added at the top to the effect that it is based on foreign
specification No...and all further amendment action will then be governed by (a)
above.

(c) General
 (i) When a specification is amended based on foreign amendments, the number of the
specification will be advanced by the addition of capital serial letter viz. A, B, C etc.
In the case of an Indian amendment the number of specification will be advanced by a
bracketed small serial letter, viz. (a), (b), (c) etc.

(ii) Specifications of general nature not involving any particular store/equipment will be
sealed by the AHSP based on the approval obtained from concerned authorities.

11.2 Amendments To Specifications

11.2.1 Amendments to specifications will be carried out by AHSP only after obtaining approval of
concerned authorities. However, amendments of minor nature like correction of clerical, draughtsman’s and
printer’s errors may be carried out by the AHSP. Amendments to specification will be carried out through
amendment lists. A typical form of amendment list is shown at Appendix `B’. Each amendment will be
assigned a specific number and these will be retained by the individual sections for record.

12. Certification Of Samples

12.1 Samples of stores required to guide manufacture, supply and inspection will be examined, compared
with the sealed particulars and certified by the AHSP or his authorized representative before issue to the
factory or trade or inspectorates or purchase officers. Discrepancies, if any, will be described on the label
attached to the certified samples. If none exists, the word `NIL’ will be written in the appropriate column
on the label.

13. Disposal Of Particulars Of Obsolete Stores

13.1 When a store has been declared obsolete, the sealed drawings, the cloth negatives (the cover in the
case of film negatives) and the sealed specification should be endorsed “Obsolete, vide Air Headquarters
Routine Order No…………. dated………………” or proper authority and the endorsement signed by the
AHSP or an officer authorized by him. The negatives and one sealed copy of specification will be retained
by the AHSP for future reference and all drawings and other copies of the specification will be destroyed.
Samples, where available, may be retained at the discretion of the AHSP concerned.

14. Issue Of Particulars To DGOF, The Trade And Inspection Officers

14.1 At the time of vetting Air HQrs indent (lists) to be placed on the DGOF/DRDO, the DGAQA will
attach the requisite number of certified upto date copies of the paper particulars as laid down by the
DGS&D from time to time. In case of ordnance indents (lists) to be placed on DGOF, only reference of the
relevant paper particulars will be quoted by DGAQA in the indents (lists) at the time of vetting. The
requisite number of certified copies of paper particulars will be supplied alongwith passed copies of the
DGOF Extracts when the same are routed through DGAQA. Any further copies of paper particulars
required by the firms in connection with the contract action with the OF/DRDO will be supplied by
DGAQA (on advance payment of requisite fees). Copies of paper particulars required by Ordnance
Factories and Inspection Officers will be supplied on `as required’ basis. One copy of unclassified paper
particulars in respect of Defence Stores (other than Armaments) can be supplied by the AHSP to
Central/State Govt Civil Departments on demand, free of charge.

15. Indigenous Development Of Stores

15.1 This Directorate is also responsible for development/establishment of indigenous manufacture of Air
Force stores. Therefore various sections may be required to frame specification/drawings for these stores.
While these particulars are being prepared the following points are to be considered.

(a) These particulars are in accordance with the needs of defence forces and fulfill a generally
recognized want. It should be ensured that the interests of both the user and producer have
been considered.

(b) A draft specification/drawing prepared by a section shall be issued in proof form and widely
circulated amongst those likely to be interested for critical review and suggestions.

(c) As far as possible, reference should be made to Indian standards and other indigenous
specifications e.g. IND/ME, JSS etc.

(d) Adoption of the metric weights and measures in the preparation of drawings/specifications is
mandatory and must be used, unless it is absolutely essential otherwise.

(e) After study of the remarks received from various agencies, the section concerned will finalise
the particulars for the sake of uniformity, it is desirable that a standard pattern of the
specifications be followed. A recommended `format’ is shown at App. `C’ and is on the lines
of J.S.S./JSG 031.
 APPENDIX `A’

AMENDMENT LIST NO.

Main Drawing No. File Reference

Subject

S.No. REFERENCE ISSUE NO. AMENDMENT/ REMARKS*

DRG NO. ZONE BEFORE AFTER CHANGE

Date : Directorate General of

Aeronautical Quality Assurance
Distribution :

1. Subject File – one copy

2. Master Set of Specification – one copy
3. File on Amendment Lists – one copy
4. All concerned

* The reason for amendment should be indicated briefly in the remarks column.
 APPENDIX `B’

AMENDMENT LIST NO.

Specification No.

Subject

Existing Issue No.

Issue No. after amendment

S.No. REFERENCE AMENDMENT/ REMARKS*

SECTION CLAUSE NO. PARA NO CHANGE

Date : Directorate General of

Aeronautical Quality Assurance
Distribution :

1. Subject File – one copy

2. Master Set of Specification – one copy
3. File on Amendment Lists – one copy
 4. All concerned

*The reason for amendment should be indicated briefly in the remarks column.
 APPENDIX `C’

FORMAT OF THE SPECIFICATIONS

(Ref : JSG : 031 : 1997)

0. FOREWORD :
1. SCOPE :
2. RELATED SPECIFICATIONS AND DOCUMENTS
3. DESCRIPTION/DEFINITION :
4. STANDARD PATTERN
5. MATERIAL
6. PROCESSING :
7. DIMENSIONS & TOLERANCES
8. WORKMANSHIP & FINISH
9. PRE-INSPECTION BY PRODUCER
10. QUALITY ASSURANCE
11. PRODUCT SPECIFICATION
12. SAMPLING PROCEDURE
13. CRITERIA FOR CONFORMITY
14. TEST METHODS
15. MARKING
16. PRESERVATION AND PACKAGING
17. TECHNICAL LITERATURE/DOCUMENT
18. WARRANTY
19. DEFENCE STORES CATALOGUE NUMBER
20. DRAWING/SKETCH WHEREVER APPLICABLE
21. SUGGESTIONS FOR IMPROVEMENT
22. DETAILS OF ABBREVIATIONS USED
NUMBER OF CLAUSES

(a) Clauses shall be numbered from 1 onwards in Arabic numbers.

(b) Sub-clauses shall be indicated by small letters in brackets i.e. (a), (b) and so on.
(c) Sub-sub-clauses shall be numbered by small roman numbers in brackets such as (i),
(ii) and (iii) etc.
(d) No further sub-division or other system of numbering shall be employed.
 CHAP-10

INDIGENISATION

1. DGAQA has been carrying out indigenisation based on reverse engineering procedure as part of self
reliance. This activity originates from the Indent projected by the user services. Imported stores having a
recurring requirement are also identified for indigenous development based on the feasibility study
undertaken by DGAQA and consistent with the technical capacity available in the industry sources. The
services viz. IAF, IN and Army are then requested to raise fund -backed indents on Technical Committee
(Aeronautical stores) for further action towards indigenisation, which comprises of:

(a) Feasibility Study.

(b) Formulation of Specification/Drawings

(c) Selection of suitable firms

(d) Tender Enquiry/Technical scrutiny of quotes

(e) Liaison during development

(f) Prototype Inspection /Evaluation/Testing

(g) QA during bulk production.

(h) Repeat orders/stabilised production

(j) Feedback and specification refinement

2. All airborne items are to be type approved by CEMILAC before they are cleared for bulk
production.

3. Functions & Responsibilities Of Technical Committee (Aeronautical stores)

3.1 The indents for development cum procurement of indigenous aeronautical stores through the Technical committee are
placed by Air HQrs, Army Aviation and Naval HQrs (DNAM.) Indigenisation function is performed through the Technical
Committee(Aeronautical Stores) of which Director General, AQA is the Chairman with members from user organisation,
CEMILAC, MOD, Finance and Dte of Standardisation. This Committee was set up in 1974 for the procurement of such
aeronautical stores indented by the three services with an element of development. The committee is empowered to place Supply
Orders of value upto Rs. 25 Lakhs each. TC (Aero) group at DGAQA HQrs under the Director who is Secretary TC (Aero),
provides the secretarial support. The technical and contractual functions performed/coordinated by the Technical Committee are
as follows: -

(a) Preparation of specification/Drawings in consultation with Users.

 (b) Identification/registration of suitable firms for the development of items.

(c) Tender Enquiries on firms registered as suitable for the category of particular item.

(d) Opening of Tender Enquiry/Vetting of the Quotations.

(e) TC (Aero) meetings for items of value upto Rs. 25 Lakhs and PNC meetings, if any.

(f) Counter-offer to firm/firms as decided in TC (Aero) meeting/extension of validity of

quotes/provision of additional funds from user, if any.

(g) Procurement proposal for the item/items of value more than 25 lakhs giving information on
use of item/stores, development status, analysis/comparative statement of quotations and
recommendation for the finalisation of contract.

(h) Placement of Supply Orders as decided in the TC (Aero) meetings for value upto 25 lakhs
and the proposal as approved by MOD for value more than 25 lakhs.

(j) Monitoring of development - progress, process DP extensions applied for by the firms, other
amendments to supply orders as per techno-commercial requirements.

(k) Evaluation of prototype/prototypes as per specification.

(l) User's trial and report thereof.

(m) Bulk Production Clearance.

(o) Performance cum extension notice in case of failure to produce prototype sample/make
supply of ordered quantity as and when applicable.

(p) Short-closure/cancellation of supply orders, as applicable.

(q) Regularisation of the supply orders of which supply has been completed.

(r) Improvement in the various specifications/drawings.

(s) (i) Establishment of supply as per MOD OM dated11-10-99 and 20-6-2000 depending upon
the volume/value of the order, and the recurring nature of requirement.

(ii) Placement of the supply orders on two sources right from the beginning should be
considered.

(t) Declare such of the items as have been indigenised/supplied from two sources as free-flow
for subsequent direct purchase by the services.
4. Constraints:

4.1 Some of the constraints/problems experienced causing delay/problems during the indigenous
development of items and to be kept in view for adequate advance action are:-

a) Non-availability of Technical details.

b) Inadequate level of technology available with sources.

c) Non-availability of economically viable Qty. (Economical Order Qty.)

d) Difficulty in estimating time for development.

e) Necessary test facilities with the firm

f) Late information regarding inability of the firm to comply with the technical/functional
requirements.

5. TC (AERO) Procedure:

5.1. TC (Aero) maintains a Register to record the indent details viz. Indent No. and date, nomenclature of the store in brief,
qty. required, estimated cost as per indent and delivery period.

5.2 The details of previous indents, cost, Supply-Orders placed etc. are recorded in the indent-file and
the case is processed for technical vetting with concerned technical group. The indents are referred for
vetting as well as filing of checklist which gives details of the registered firms for development of the
stores, number of PS required, time for submission of Pilot Sample (PS), requirement of user's trials,
documentation / carried spares / maintenance spares/accessories/installation/commissioning/type approval
and other special instructions if any and Drawings/Specification details to which the store is required to be
developed and manufactured.

5.3. Tender Enquiry Approval: After technical vetting, the indent is processed for issue of limited
Tender Enquiry to the firms, which are considered competent to undertake development/manufacture of the
stores. For issue of Tender Enquiry to such firms approval of the Chairman TC (Aero) for items valuing
upto Rs. 25 Lakhs and approval of MOD for the items value exceeding Rs. 25 Lakhs is obtained.

5.4. Preparation and issue of Tender Enquiry : The invitation to tenderers and the information to the
tenderers are the important documents as a firm’s quotation is based on them. Tender Enquiry should,
therefore, be carefully prepared as per the format provided by DP&S, MOD with standard terms and
conditions. TE shall give clearly the description of the stores, governing specifications, Qty, Delivery
Period etc. The tenderers should be asked to keep their offer open for minimum 90 days.

5.5. Opening of Tenders : The tenders shall be opened on the scheduled date and time in the presence of
authorised reps of the firms who may be present at the time and place mentioned in the TE. The officer
opening the tender shall read out the important particulars regarding Qty., price etc. and shall prepare the
abstract of quotations received. No amendment to the tender will on any account be permitted after opening
the tender.

5.6. Evaluation of the Tenders : After the tender has been opened, action should be taken to prepare a
comparative statement. The tender alongwith the comparative statement shall be sent to the specialist
technical group for ascertaining technical suitability of the stores offered by the tenderers and for
confirming of the cost reasonability. Thereafter, the Secretary of Technical Committee or the designated
officer shall carefully examine/analyse the comparative statement and prepare the agenda points for
consideration of the Technical Committee. The gross price inclusive of excise duty and sales tax shall be the
basis for comparison of the prices. Any deviation asked for from specification, delivery period/schedule,
the normal terms and conditions, any special conditions, assistance etc. stipulated by the firm in their tender
should be highlighted in the agenda points for consideration of the Technical Committee.

5.7. Finalisation of the Contract Value Less than Rs. 25 Lakh : The Technical Committee decides the
award of contract on the basis of the tenders keeping in view the price, delivery period, past performance,
reliability, capability of the firms etc. Price negotiation may be resorted to in case of purchase of
proprietary article items since there is no competition and rate quoted is found too high. The decision to call
party for negotiation must be approved by the Chairman , Technical Committee in consultation with the
Finance Member.

5.8. Finalisation of Contract for Items costing more than Rs. 25 Lakhs : A statement of case with
the following information is sent to DDS for finalisation of the contract:

a) Date of receipt of indent/projection.

b) Name of the Indentor

c) Date of floating of Tender Enquiry

d) Date of opening of tenders

e) Clearance of DDS is obtained for item of value more than Rs. 25 Lakhs regarding issue of TE.

f) List of firms responded/regretted

g) List of firms whose offers were technically not acceptable with reasons for non-acceptance of the
offer/offers.

h) Last purchase price of the stores and year of purchase and the source of supplies.

j) Indenter's estimated cost of procurement

k) Indent cost of the store if it was imported earlier with the year of import.

l) Validity period of the quotations.

 m) Recommendations of the Technical Committee for the placement of SO

5.9. Issue Of Supply Orders: A tender is accepted by the issue of SO and concludes the contract
between the purchaser and the contractor. After the receipt of recommendations of TPC for the items value
less than Rs. 25 lakhs, ASOs are prepared and put up for CPO's signature/issue. The same are dispatched to
the firms for their acceptance and submission of Bank Guarantee (BG). After the receipt of BG and
acceptance of the firms, Supply Orders are prepared and issued. If, a firm does not deposit BG within the
reasonable time inspite of reminders, necessary action be initiated to cancel the ASO as per MOD
guidelines. In case of the items value more than Rs. 25 Lakhs ASOs, and Sos are issued by CPO directly to
the firm/firms with a copy to Chairman, Technical Committee.

5.10. Monitor the status of BG so that timely reminders are sent to the suppliers/banks to get the validity of BG extended.
These reminders are issued well in advance and before the expiry of delivery date by registered post.

5.11. The progress of the supply is maintained in the register so that the present status is available.

5.12. Necessary action for getting the DP extension is taken to keep the contract alive.

5.13. Bulk Production Clearance is accorded after the Indigenisation Monitoring Committee (IMC) scrutiny of satisfactory
development of the store meeting the specification requirement, adequacy of the specification and functional performance/user's
clearance and clearance thereof.

5.14. Monthly Report on the placement of supply orders is sent to Director General's office for inclusion of the same in the
MOD Progress report.

6. Guidelines On Important Contractual Aspects:

6.1 Price : The price shall be firm and fixed as far as possible for delivery of store on FOR Station of
despatch/consignee basis. Packing and forwarding charges shall be included in the price unless mentioned
otherwise. MC Note shall be issued by the purchaser/inspecting officer wherever necessary for despatch of
the stores to consignee in case of transportation of stores by Rail. The purchaser will, however not pay
separately for transit insurance and contractor shall be responsible for the safe arrival of the stores at
destination. Whether prices quoted includes accessories, tools and spares, list of such items should be
invariably included in the quotations. The cost of store shall be arrived taking into account all duties/taxes.

6.2. Spares : Whenever a Tender Enquiry is issued, it should be ensured that carried spares/essential
tools and accessories (first line servicing requirement) are part of supplies and the quotations are inclusive
of the same.

6.3. Sales Tax, Excise duty, Custom duty and Octroi duty: It shall be clearly specified whether these
are included in the price or payable extra. If no mention is made by the contractor in the quotation, it shall
be deemed that the price quoted is inclusive of such taxes and duties

6.4. Bank Guarantee/Security Deposit: After the issue of Advance Supply Orders, every contractor
shall deposit security @ 2.5% of the value of each contract they secure or Rs. 2 lakhs whichever is less
within 10 days of the receipt of Advance supply order. If, the firm does not deposit BG within the
reasonable time inspite of reminders, the Purchaser may cancel the contract and also purchase contracted
stores at the risk and cost of the contractor and subject to such other remedies as may be open to the
purchaser including de-registration of the contractor. The security deposit shall be in the form as given in
general conditions of contract Schedule 'B'.

6.5. Delivery Period : The time and date of delivery of the store stipulated in schedule shall be deemed
to be the essence of contract and delivery of store must be completed in accordance with the conditions of
contract at the time/times and at the place/places in the manner specified in the Schedule.

6.5.1 The contractor is expected to give adequate notice to the inspecting officer for tendering advance sample/samples and
bulk supplies. As far as possible, the inspection should be commenced and completed by the stipulated delivery dates and the
inspection/rejection Notes are issued immediately. The grace period of 21 days of the contract delivery period will be
applicable/available only where DP has not been extended.

6.5.2 In case contractor has not supplied the prototype/any store or has made part of the bulk supplies before the expiry of the
delivery period, the contractor should inform the CPO and Technical Committee about the details of the supplies made till the
expiry of the DP with a request for extension of delivery period or otherwise. The inspector should wait for the issue of the
amendment letter for extension of delivery period before under-taking further inspection.

6.6. Negotiation of Price : Once the price-bids are opened, there should not be further negotiation with
the firm/firms barring cartel - like situation or situations where the lowest price received is perceived to be
excessively high based on pre bid estimation or price.

6.7. Placement of more than one SO on a firm for the same item : The contractor shall be bound to
execute the earlier order(s) if any placed on them for the same item before commencing supplies against this
order and any supplies offered by the contractor shall be deemed to be supplied against earlier orders.

6.8. Liquidated Damages (LD) : LD is calculated on the basis of the total value of the store including
element of statutory duties and taxes i.e. sale tax, custom duty excise duty etc as indicated in the SO. The
reasons/instructions on levying LD for delayed supplies as per OM No. 4(11)/185/D (S-I) dated 20 Sep
1985 and 23 Nov 1987 are as detailed below :

(i) Delay in supplies resulted in monitory loss actual/demonstrable and firms were fully
responsible for the delay.-------full LD.

(ii) Monitory loss actual/demonstrable cannot be certified but inconvenience has been
caused------ A token LD 10% of the levyable calculated for the period for which the
firms are responsible.

(iii) Monitory loss actual/demonstrable cannot be certified and no inconvenience has been
caused------LD may be waived off fully.

(iv) Delay in supply resulted in monitory loss actual/demonstrable and delay was due to circumstances beyond their control----------LD waived off fully.

6.9 Risk Purchase : The following situations are envisaged after the placement of the contract" -
 (a) Full efforts put in by the contractor but the prototype failed to come up to the
acceptable level.

(b) Pilot sample approved, BPC granted but the firm have failed to produce bulk
supplies.

(c) Firm makes the part supplies but is unable to complete the supplies as per supply
order thereby commits breach of contract.

(d) Risk Purchase decision will have to be taken in the above cases on the following
guidelines

(i) When a firm has made adequate effort to develop a prototype but failed to develop
the acceptable prototype. The order should be cancelled as a development failure
and no risk purchase action need be initiated.

(ii) When the firm fails to supply the stores after the grant of BPC, risk purchase
may be resorted depending on the situation/reason due to which the firm is not
able to make the bulk supplies. Not withstanding the above, each case will have
to be examined on its merit before a decision is taken. Other legal,
administrative and procedural aspects will have to be incorporated in the
guidelines so that the technical committee can take appropriate action.

6.10 General Condition of Contract : The condition of contract such as quotation of rates by
contractors, changes in a firm, risk of loss or damage to Government or purchaser's property, packing,
delivery, freight, inspection and rejection, payment under contract etc. are governed by the general
conditions of the contract Schedule 'B' Issue - Nov 1989. The copy of the same is available with Director,
TC (Aero)/DGAQA HQrs on payment of Rs.20/-.

7. Registration Of firms

7.1 The selection of suitable sources to develop and supply aeronautical stores of the required quantity
within the stipulated time is vital link in the procurement chain. The QA agency carries out the verification
of firm's manufacturing & testing facilities and quality control provisions. Whenever a firm is considered
for the supply of stores for the first time, verification of capacity is invariably done before orders are placed
through the Technical Committee. Identification of prospective suppliers is done through any one or
combination of the following :

(a) Past records of supplies of same store or similar.

(b) Letter of Introduction.

(c) Accredited status of the company such as ISO-9000, LCSO

approval etc.

7.2 The capacity of the firm shall be assessed/rated by a team of officers as per the various details appended in the Vender
Quality Survey Report( VQSR ) Performa., salient features of which are given below:
 (i) Design and development

(ii) Production/manufacturing facilities

(iii) Quality systems/practices

(iv) Documentation control

(v) Purchase Policy

(vi) Process control

(vii) Inspection and testing

(viii) Measuring and test equipments

(ix) Product identification and traceability

(x) Internal quality audit and servicing

7.3 Recommendation for the registration of the firm would be made by the respective Directors/CRIs based on the
assessment carried out by a team of officers deputed, in order to have unified approach and standardised registration procedure.
The registration of the firms has been centralised and is being cleared by the Indigenisation Monitoring Committee (IMC) with
TC (Aero) being co-ordinating agency. Procedure for the verification of capacity of the firms has been reviewed and new
guidelines for capacity assessment based on JS(G)-015-02:1995 have been framed and issued by TC-Aero
videDGAQA/TSO/001/2k Issue-1.

7.4 As per procedure, all cases of registration are to be processed under the control of IMC, TC (Aero). Firm's
registration is taken up based on the information received through pre-qualification information form as given in
DGAQA/TSO/001/2K Issue 1 Appendix A and vendor assessment report filled and submitted by the firm on form No.
DGAQA/TSO/001/2K Issue-1 Appendix B. Vendor quality survey report as per form DGAQA/TSO/001/2K Issue 1 Appendix C
is to be carried out by a team of officers with team leader be preferably of the rank of PscO or equivalent with requisite
experience and as approved by Chairman IMC. The above listed forms are available with Director/TC (Aero).

7.5 All vendors will be assessed for their quality system, technical facilities available with them and
their financial status. The vendors will be registered depending upon their infrastructure and capabilities i.e.
design, development and production. All facilities for manufacture/testing of the stores must be available
with the firm either in-house or in the form of sub-contractor arrangement/agreement for some of the
processes/tests. If any sub-contracting is involved, visit to the premises of the sub-contractor also be carried
out if considered necessary, in order to assess/confirm the availability of requisite facilities.

7.6 Weightage for different aspects will be assigned by the assessment team in their report viz. Vendor
Quality Survey Report. Firms with a score of 70 and above marks will be considered fit for registration.
Director, TC (Aero) will issue registration certificate after the case is approved by Chairman, IMC. The
details of the registered firms will be compiled and available for reference of the concerned Technical
Directors at HQrs/field establishments. A set of forms i.e. prequalification information form and vendor
assessment form with all enclosures is annexed to this chapter.
 Annexure I to Chapter 10
(Para 7.6 refers).

PRE-QUALIFICATION INFORMATION
(To be filled up and submitted by the vendor)
(This information will be treated as CONFIDENTIAL)

1. Name of the firm :

2. Address
(a) Registered Office with Telephone No / FAX / TELEX (if any)
(b) Factory /works with Telephone No / FAX / TELEX (if any)

3. Year of establishment/incorporation :

4. (a) Category of industry : Large/Medium/Small Scale

(b) Nature of the company : Proprietary/Partnership Private
limited/Public Limited/Ex serviceman

5. Nature of Business : Manufacturer/processor/Trader/sole selling

or authorised agent/Assembler /Repacker/ services

6. Details of products/services currently dealt with :

(Attach details/literature)

7. Details of Defence items for which

assessment/registration is desired
(a) Involving design and development
(b) Involving Indigenisation
(c) Production/Processing
(d) Any other type of item/service (List out
the items with Defence cat/part no (if any)
and specification/Drawing no of each.
Attach details on separate sheets for each
sub-para if required)

8. Category / Type and Range of Plant & machinery

installed (give details on a separate sheet if required)

9. Do you have capability for items indicated against

column 7 above in respect of
(a) Design and development – Yes/No
(b) Manufacturing the items – Yes/No
(c) Quality control/Testing facilities – Yes/No
10. Give details of manpower employed on your
payroll (please provide Orgn Chart) : Nos. Qualification
(a) Technical/Supervisory
(b) Skilled workers (Permanent)
(c) Skilled workers (Casual)
(d) Unskilled workers (Permanent)
(e) Administration

11. Turnover during last three financial years separately Year Turnover in
(attach audited balance sheets and profit and loss Rs Crore/Lakhs

statement)

12. Details of registration with other Government

agencies (Attach copies of registration letters/
CERTIFICATES)
(a) NSIC/SSI - Regn No Year
(b) Other defence deptt
(c) DGS&D
(d) Any other Govt deptt

13. Have you ever applied to any other discipline - Yes/No

of DGAQA organisation for registration earlier

14. If yes, give following details

a) Authority to whom applied
b) Date
c) Item applied for
d) Result of application with details viz Regn No if registered and reasons if not registered

15. Any other relevant information e.g. approval of

Quality by any other agency (BIS), ISO-9000
certification, Export Quality certification, Membership
details of FICCI/ASSOCHAM / CII/AIMO & other
industrial organisations etc.

Seal of the firm Signature

Name
Date : Designation

NOTE :- This information is to be submitted to concerned group in DGAQA HQ. After scrutiny if it is decided to carry
out vendor Assessment, the firm will be suitably informed and will have to pay assessment fee at prescribed rates prior to
assessment.
 VENDOR ASSESSMENT APPLICATION FOR REGISTRATION
(To be submitted by vendor)
(This information will be treated as CONFIDENTIAL)

PART-I
ADMINISTRATIVE INFORMATION

1. NAME OF THE VENDOR

____________________________________________________________________________________________________________
____________________________________________________________________________________________________________
______________________________________________________________________________

2. a) ADDRESS OF REGISTERED OFFICE (Please do not repeat the name)

____________________________________________________________________________________________________________
____________________________________________________________________________________________________________
______________________________________________________________________________________
_______________________________________________________________PIN ___________________________________
PHONE NO________________________________________TELEX_____________________________________________
WITH_____________________________________________FAX _______________________________________________
STD CODE ___________________________________TELEGRAM _____________________________________________

b) ADDRESS OF THE FACTORY

____________________________________________________________________________________________________________
____________________________________________________________________________________________________________
____________________________________________________________________________________________________________
______________________________________________________________________________
_______________________________________________________________PIN ___________________________________
PHONE NO________________________________________TELEX_____________________________________________
WITH_____________________________________________FAX _______________________________________________
STD CODE ___________________________________TELEGRAM _____________________________________________

c) ADDRESS OF LOCAL BRANCH/STOCKISTS (If Any)

____________________________________________________________________________________________________________
____________________________________________________________________________________________________________
_______________________________________________________________________________________
_______________________________________________________________PIN ___________________________________
PHONE NO________________________________________TELEX_____________________________________________
WITH_____________________________________________FAX _______________________________________________
STD CODE ___________________________________TELEGRAM _____________________________________________

3. DATE OF INCORPORATION

4. CATEGORY OF INDUSTRY (Attach relevant registration documents)

a) LARGE SCALE
b) MEDIUM SCALE
 c) SMALL SCALE

5. NATURE OF COMPANY
a) PROPRIETARY
b) PRIVATE LIMITED
c) PSU
d) PUBLIC LIMITED OR EX-SERVICEMAN UNIT
e) PARTNERSHIP
NOTE : i) Give name, residential address with telephone of proprietor for (a)
ii) Give name designation, residential address of chief executive or Managing Director for (b), (c)
iii) Addresses, name, telephone no with partnership deeds (if partnership firm) of partners in extra sheets as Annexure___________ .

6. NATURE OF BUSINESS
a) MANUFACTURING
b) ASSEMBLER
c) PROCESSOR

7. DETAILS OF CURRENT PRODUCTSAND

SERVICES (ATTACH DETAILS AND
LITERATURE)

8. DETAILS OF REGISTRATION WITH

a) NSIC/SSI (Attach relevant copies of registration letters)
b) DGS&D
c) OTHER DEFENCE DEPT
d) OTHER GOVT DEPT
e) MEMBERSHIP OF FICCI/ ASSOCHAM / CII /
AIMO AND OTHER INDUSTRIAL
ASSOCIATIONS

9. HAVE YOU ALREADY APPLIED FOR

REGISTRATION IN ANY OTHER DISCIPLINE
OF DGAQA.

10. IF YES, ALSO GIVE THE FOLLOWING DETIALS

a) AUTHORITY TO WHOM APPLIED
b) DATE
c) ITEM APPLIED FOR
d) RESULT OF APPLICATION WITH DETIALS
VIZ REGN. NO IF REGISTERED AND
REASONS IF NOT REGISTERED

11. HAVE YOU GOT ISO 9000 ERTIFICATE

(If yes give details)

12. TOTAL AREA OF FACTORY

------------------------------------------------------------------------------------------------------------------------------
COVERED UNCOVERED BONDED SPACE AVAILABLE
m2 m2 NO OF ROOMS (m2)
------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------

13. IS THE ABOVE SAID FACOTY

(a) SELF OWNED
(b) PARTNERSHIP
(c) RENTAL

NOTE : Attach proof of ownership and detail site plan of layout of premises clearly depicting various areas e.g. production area,
stores, bond rooms, inspection area etc. In case factory premises are rented / leased attach lease deed and recent rent receipt (within 3
months) and old one (one year or more) and give details of the owner (name, address, telephone/telex/FAX No)

14. CAPITAL OUT LAY

15. NAME OF BANKERS & A/C NO

____________________________________________________________________________________________________________
____________________________________________________________________________________________________________
__________________________________________________________________________________________

16. ADDRESS OF THE BANKERS

____________________________________________________________________________________________________________
____________________________________________________________________________________________________________
____________________________________________________________________PIN __________________
PHONE NO _____________________________________________TELEX________________________________________
WITH___________________________________________________FAX _________________________________________
STD CODE _____________________________________________TELEGRAM ___________________________________

17. ELECTRIC POWER

(a) SANCTIONED
(b) INSTALLED
(c) STANDBY (IF ANY)

18. DO YOUR PRODUCT UNDER

VERIFICATION FALL UNDER
(a) COST AUDIT (REPORT) RULES 1968
(b) FIRE SAFETY OR EXPLOSIVES
REGULATIONS (GIVE DETAILS OF
LICENCE/COMPLIANCE)

19. DETAILS OF MANPOWER

EMPLOYED ON
DATE ON FIRM’S PAY ROLL PLEASE
PROVIDE AN ORGANISATION CHART

(a) PERMANENT
------------------------------------------------------------------------------------------------------------------------------
CATEGORY POST HELD NUMBER QUALIFICATION TOTAL SERVICE
------------------------------------------------------------------------------------------------------------------------------
TECHNICAL PROD MANAGER
 QC MANAGER
SUPERVISOR
TESTING STAFF (QC)
LABOURERS (SKILLED)
LABOURERS (UNSKILLED)
------------------------------------------------------------------------------------------------------------------------------
ADMIN PURCHASE MANAGER
ACCOUNTS OFFICER
OFFICE SUPERINTENDENT
CLERICAL
OTHERS
------------------------------------------------------------------------------------------------------------------------------

(b) TEMPORARY
------------------------------------------------------------------------------------------------------------------------------
CATEGORY POST HELD NUMBER QUALIFICATION TOTAL SERVICE
------------------------------------------------------------------------------------------------------------------------------
TECHNICAL PROD MANAGER
QC MANAGER
SUPERVISOR
TESTING STAFF (QC)
LABOURERS (SKILLED)
LABOURERS (UNSKILLED)
------------------------------------------------------------------------------------------------------------------------------
ADMIN PURCHASE MANAGER
ACCOUNTS OFFICER
OFFICE SUPERINDENT
CLERICAL
OTHERS
-----------------------------------------------------------------------------------------------------------------------------

20. ATTACH COPIES OF DOCUMENTS FOR

(a) AUDITED BALANCE SHEETS AND PROFIT & LOSS A/C FOR THREE YEARS AND TOTAL ACCUMULATED
LOSSES IF ANY
(b) ANNUAL TURNOVER OF SALES FOR THREE YEARS
(c) PRESENT NET WORTH OF THE FIRM
(d) SOURCE OF FINANCE WITH BORROWING LIMIT & BANK GUARANTEE
(e) INCOME TAX CLEARANCE CERTIFICATE FOR THREE YEARS
(f) VALID STATE, CENTRAL SALES TAX REGISTRATION CERTIFICATE
(g) FACILITIES FOR WATER, FIRE FIGHTING, SECURITY & MEDICAL
(h) RELEVANT INFORMATION WITH COMPLETE DETAILS ABOUT SISTER CONCERNS/SUBSIDIARIES IF ANY
 PART-II
TECHNICAL INFORMATION

1. DETAILS OF CURRENT PRODUCTS

------------------------------------------------------------------------------------------------------------------------------
SL TYPE DESCRIPTION LICENCED/INSTALLED ANNUAL PRODUCTION
NO CAPACITY FOR PRECEDING 3 YRS
------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------

2. DETAILS OF FOREIGN COLLABORATION

------------------------------------------------------------------------------------------------------------------------------
SL PRODUCT NAME & ADDRESS YEAR CURRENT OR
NO OF COLLABORATOR NOT
------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------

3. DETAILS OF DEFENCE STORE FOR WHICH REGISTRATION IS SOUGHT

------------------------------------------------------------------------------------------------------------------------------
SL NOMENCLATURE CAT NO/SPEC NO DRAWING NO RELATED IS/
NO OF STORE DEFENCE SPECN
------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------

4. (a) DETAILS OF BOUGHT OUT ITEMS (Component/Sub Assy/Assy Processes) FROM SUB CONTRACTORS: (Attach
copies of agreements, if any)
------------------------------------------------------------------------------------------------------------------------------
SL MAIN EQPT COMP/ASSY/SUB ASSY NAME & ADDRESS OF THE
NO PROCESSES SUB CONTRACTOR
------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------
(b) DETAILS OF TESTING/QUALITY CONTROL DONE BY SUB-CONTRACTORS
(Attach copies of agreements where applicable)
------------------------------------------------------------------------------------------------------------------------------
SL MAIN EQPT DETAILS OF NAME & ADDRESS OF THE AGREEMENT
NO TEST SUB CONTRACTOR/LAB (IF ANY)
------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------

5. SOURCE OF RAW MATERIAL

------------------------------------------------------------------------------------------------------------------------------
SL IMPORTED/ BRIEF DESCRIPTION ESTIMATED %FE CONTENT
NO INDIGENOUS CIF VALUE IN FINAL PRODUCT
------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------

6. PL GIVE DETAIL OF IMPORTANT FACILITIES & INFRASTRUCTURE AS PER FOLLOWING FORMAT FOR
(a) PRODUCTION (Including heat treatment, dies, jigs & fixtures etc. and also details on licensed capacity, installed capacity &
license No and date)

(b) UNCONVENTIONAL, SPECIAL M/C (Like NC, EDM), CAD/CAM. ROBO etc.
------------------------------------------------------------------------------------------------------------------------------
SL DESCRIPTION MAKE & QTY DATE OF APPX PERCENTAGE
NO OF M/C & SPECN MODEL PURCHASE COST DEPRECIATION
PER YEAR
------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------

(c) TOOL ROOM, METROLOGY & TEST EQUIPMENTS & FACILITIES

------------------------------------------------------------------------------------------------------------------------------
SL TYPE OF MAKE QTY DATE OF FREQUENCY APPROX
NO INST, MODEL PURCHASE CALIBRATION FOR COST
GAUGES, ** CALIBRATION
TEST EQPT
------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------
** Attach relevant calibration certificate

7. IS THE FIRM WILLING TO

SUPPLY SPARES
FOR 10 YEARS FROM DATE
OF LAST SUPPLY

8. FURNISH THE FOLLOWING DETAILS WITH RELEVANT CERTIFICATES AND DOCUMENTS

(a) R&D FACILITIES AVAILABLE
(b) INSPECTION & QUALITY CONTROL OF RAW MATERIAL, COMPONENTS AND FINISHED PRODUCTS
(c) ASSISTANCE FROM CENTRAL AGENCY FOR TESTING/CALIBRATION ETC.
(d) LABORATORY AND DRAWING OFFICE FACILITY
 (e) FLOW PROCESS CHART OF ITEM FOR WHICH REGISTRATION SOUGHT
(f) BASIS OF ESTIMATED PRODUCTION OF THE PRODUCTS FOR WHICH REGISTRATION IS SOUGHT

PRINCIPAL CUSTOMERS
------------------------------------------------------------------------------------------------------------------------------
SL NAME & ADDRESS SO NO & DATE OF LAST PRODUCTS VALUE
NO DATE SUPPLY SUPPLIED
------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------
10. FUTURE PLAN IF ANY IN RESPECT OF : (Attach extra sheets)
EXPANSION PROGRAMME, INSTALLATION
OF ADDITIONAL MACHINES/TEST
FACILITIES ETC.

NOTE : KINDLY NUMBER OR CODIFY THE EXTRA SHEETS AND ANNEXURES ATTACHED ACCORDING TO SERIAL
NUMBER AND LINK IT PROPERLY.

DECLARATION :

I/WE CONFIRM THAT THE INFORMATION FURNISHED IN PARTS I & II ABOVE IS CORRECT. IN THE EVENT OF ANY
INFORMATION GIVEN BY ME/US IS FOUND INCORRECT/FALSE AT ANY TIME, I/WE UNDERSTAND OUR
REGISTRATION WILL BE CANCELLED WITHOUT NOTICE, BESIDES ANY OTHER APPROPRIATE ACTION AGAINST
ME/US.

VENDORS SEAL SIGNATURE (S)

DATE NAME(S) IN CAPITAL
PLACE
 CERTIFICATE OF VERIFICATION BY ASSESSMENT TEAM

Certified that the information has been verified by us. The following comments are made:-

(a)

(b)

(c)

(d)

Name & Designation

Officer-in-Charge
Assessment Team

Members
1.

2.
Date
Place
 VENDOR QUALITY SURVEY REPORT (VQSR)

PART-1 – QUALITY SYSTEM OF VENDOR

1. MANAGEMENT RESPONSIBILITY

1.1 Availability of a well defined and

documented Quality policy and objectives.

1.2 Effective implementation of the Quality

policy through functional organisation of the
firm for quality related tasks and appointment of
a management representative to oversee its
implementation and periodical review.
3 2 5
2. QUALITY SYSTEM

2.1 Availability of a well documented and

established Quality System and related
procedures/instructions covering all activities of
management, production and verification of
quality of items to the specified requirements.

2.2 Whether the Quality System is being

effectively implemented, through verifiable
documentation of all major activities.
5 5 10
3. CONTRACT REVIEW

3.1 Availability of an established system of

contract review for scrutiny of contracts and
analysis of technical / organisational
requirements of contracts.

3.2 Whether the firm has a viable system to

ensure that contractual requirements can be met.
3 2 5
4. DESIGN CONTROL

4.1 Whether procedures for planning,

development, control and verification of product
 design are laid down? Have the responsibilities
been assigned for each activity?

4.2 Comment on the availability of

infrastructure and technical capability of the
firm including adequately qualified and
experienced personnel, to undertake product
design tasks.

4.3 Whether the laid down procedures and the

resources of the firm are adequate for
identification, analysis, implementation and
verification of tasks involving product design to
meet the required specifications and acceptance
criteria for the product.

4.4 Comment on the capability of the firm to

produce a product to specific design inputs, after
due verification and incorporating design
changes, where necessary, as per their laid down
procedures. What types of products is the firm
capable of designing?
5 5 5 5 20
5. DOCUMENT CONTROL

5.1 Whether document control procedures are

laid down and responsibilities for controlled
issue, review, updating and approval of
documents assigned? Are these procedures
being implemented effectively?

5.2 Availability of system to ensure that,

obsolete documents are removed from the points
of issue and documents with un-authenticated
alterations are not used.
3 2 5
6. PURCHASE

6.1 Availability of a documented system of

assessment and selection of sub-vendors / sub-
contractors and monitoring of their
performance.

6.2 Whether the firm has a system to ensure

purchase documents clearly indicate the details
of product specifications, drawings etc and are
 these reviewed/approved before issue. Is the
system adequate?
5 5 10
7. PURCHASER SUPPLIED PRODUCT

7.1 Whether there is an established procedure

for identification, verification of quality,
systematic storage and issue of purchaser
supplied product? Is it effectively implemented?

7.2 Whether the firm has a procedure to record

and notify to the purchaser of any lot, damaged
or otherwise unsuitable product and to ensure
such an item is not used in the production.

5 5 10

8. PRODUCT IDENTIFICATION AND TRACEABILITY

8.1 Availability of established procedure to

identify a product from applicable drawings,
specifications and other documents throughout
production, delivery and installation.

8.2 Where applicable, whether the firm has a

viable and effective system to ensure
traceability of finished products to the original
raw materials used, operators /equipment used
for manufacture and the quality records.
3 2 5
9. PROCESS CONTROL

9.1 Comment whether the firm has well defined

and documented instructions for approval,
monitoring and control of manufacturing
processes and employment/performance of
machines, operators, instruments, jigs and
fixtures during all stages of production.

9.2 Whether process capability has been defined

and process control parameters have been
documented. Are these adequate and available
at each relevant workstation?

9.3 Whether the system for monitoring/ control

of processes and product characteristics is
 implemented effectively at each stage of
manufacture?

9.4 Whether the instructions specifically cater

for the special or complex processes involved (if
any) and are personnel working on these special
processes adequately trained and qualified.
5 5 5 5 20

10. INSPECTION AND TESTING

10.1 Comment on availability of well defined

and documented procedures for identification,
testing of quality, storage and issue of bought-
out input materials, components, sub-assemblies
/ assemblies and semi-finished items to the shop
floor.

10.2 Whether tested and approved input

materials/items identified and carefully
segregated from those not tested or rejected.
Comment on records maintained for each.

10.3 Whether the firm has an effective

procedure and maintains documents for carrying
out in-process inspection at various stages of the
manufacturing process.

10.4 Whether the firm ensures prompt recall and

replacement of item/product in the event of non-
conformance being found at any stage.

10.5 Comment on the final inspection and

testing procedure adopted by the firm on the
finished products to verify conformance to the
specified requirements.

10.6 Whether the firm maintains proper records

of final inspection and full testing or products to
establish conformance to the given specification
before dispatch
5 5 5 5 5 5 30

11 INSPECTION MEASURING AND TEST EQUIPMENT

 11.1 Comment on the system in the firm to
ensure that inspection, measuring and test
equipment are capable of the desired accuracy
and precision at all times.

11.2 Whether the firm has an effective

procedure to identify the calibration status of the
equipment and take timely corrective action in
case found to be out of calibration.
5 5 10
12 INSPECTION AND TEST STATUS

12.1 Whether the firm has an identification

system for the inspection and test status of
products to indicate conformance or non-
conformance to inspection and tests performed.

12.2 Is the system implemented effectively

throughout production and installation?
2 3 5
13 CONTROL OF NON CONFORMING PRODUCT

13.1 Whether the firm has an effective

procedure for identification, segregation, review
and disposition of non-conforming product.

13.2 Comment on the methodology used by the

firm to prevent in-advertent use or installation
of a non-conforming product.
5 5 10

14 CORRECTIVE ACTION

14.1 Whether the firm has an effective

procedure to analyse the causes of non-
conforming product and take effective
corrective action to eliminate deficiencies and
prevent recurrence.

14.2 Whether the firm analyses all processes,

work operations, service reports and customer
complaints to detect and eliminate potential
causes of non-conforming products and take
preventive action or exercise more controls
where necessary.
 5 5 10
15 HANDLING STORAGE PACKAGING AND DELIVERY

15.1 Whether the firm has adequate storage

accommodation and means for handling of raw
materials and finished products to prevent their
damage or deterioration pending use or delivery.

15.2 Comment on the effectiveness of measures

adopted for packaging and delivery of products
to ensure protection of their quality till the final
destination/delivery.
5 5 10
16 QUALITY RECORDS

16.1 Whether the firm maintains records to

demonstrate achievements of the required
quality in products and effective operation of
the quality records also maintained in a similar
manner?

16.2 Does the firm have adequate arrangements

for safe storage and ready retrieval of quality
records.
5 5 10
17 INTERNAL QUALITY AUDIT

17.1 Whether the firm has an effective and well

documented procedure for conducting periodical
internal quality audits? If so, give brief details.

17.2 Whether the firm ensures results of quality

audits are documented for follow-up action by
concerned personnel? Is suitable follow-up
action being taken?
5 5 10

18 TRAINING

18.1 Whether there is an effective system to

identify the training needs of personnel for
specific tasks and to train people performing
activities effecting quality?
 18.2 Are training records maintained by the
firm?
3 2 5
19 SERVICING

19.1 Whether procedures for extending after-

sales and warranty services are documented?

19.2 Whether the firm extends after sales

services and maintain records thereof? If so,
indicate areas.
2 3 5

20 STATISTICAL TECHNIQUES

20.1 Has the firm got an established procedure

to apply appropriate statistical techniques for
quality assurance of purchased items, process
control and their end products? If so, indicate
applied areas.

20.2 Is there documentary evidence of

implementation of statistical techniques in these
areas.
3 2 5

Part-1 Total Marks

Marks Obtained
 VENDOR QUALITY SURVEY REPORT (VQSR)

PART-II – PRODUCT SPECIFIC TECHNICAL CAPABILITY OF VENDOR

1 MANUFACTURING PLANT AND MACHINERY

Remarks Marks Obtained
1.1 Whether essential plant and machinery are
available for the product range under
consideration to the required specifications

1.2 Whether desirable plant and machinery for

the product range under consideration are
available

1.3 Whether the plant & machinery is

adequately sophisticated/state of the art
technology as relevant to the product
requirements. Give brief details to support
assessment.
10 5 5 20
2 MANUFACTURING PROCESS

2.1 Availability of all manufacturing operations

and processes in-house. (These include all
process/operations required to be performed on
the raw materials, semi-finished/finished
components and sub-assemblies/assemblies for
conformity of end product to required
applications including packing, marking,
handling and storage / delivery)

2.2 Is the subcontracting, if any, for processes /

operations or semi-finished / finished
components / sub-assemblies / assemblies done
as per laid down norms. Give brief details to
support assessment (if applicable).

2.3 Whether the available process capability

(including that of sub-contractor) is adequate
and compatible with the product specific
requirements.
10 5 5 20
3 QUALITY CONTROL AND TEST FACILITIES
 3.1 Whether essential test equipment for all
quality control and measurements are available
in-house as per laid down norms.

3.2 Whether desirable test equipment are

available as per laid down norms.

3.3 Where desirable in-house test facilities are

not available, have alternative arrangements
been made and are these adequate. Give brief
details.

3.4 Whether calibration manual / instructions

are available indicating calibration standards,
methods, periodicity and responsibility for
calibration of test equipment.

3.5 Whether the firm actually implements the

laid down procedure for calibration of test
equipments and can produce documentation in
support of it.
10 5 5 5 5 30
4 IN-HOUSE QUALITY CONTROL

4.1 Whether there is an adequate quality plan to

meet the technical specifications and check
product related requirements at all stages during
the manufacturing process as adopted to the
product.

4.2 Whether in-process inspection and testing is

systematically carried out as per the Quality
plan and data is recorded as adopted to the
product.

4.3 Whether in-house controls as per quality

plan adequate to ensure product conformance.

4.4 Whether performance of machines

instruments, jigs, fixtures, gauges and
operations is monitored during the
manufacturing process.
10 10 10 10 40
5 MANPOWER RESOURCES
 5.1 Whether personnel assigned manufacturing
responsibilities are adequate in number and have
requisite qualifications/experience and expertise
for the range of products applied for.

5.2 Whether personnel assigned quality control

responsibility are adequate in number and have
requisite expertise and authority for the range of
products applied for.
5 5 10
6 TECHNICAL RESOURCES

6.1 Where applicable, whether the firm has

adequate technical resources for support
services such as preparation of specifications,
drawings, user handbooks, technical manual,
part lists etc.
10
7 ADEQUACY OF INFRASTRUCTURE FACILITIES

7.1 Covered and open space for manufacturing

facilities and semi-finished/finished products.

7.2 Bond rooms commensurate to the type of

stores to be supplied and quantum of proposed
supplies and their security of stores inside the
factory.

7.3 Maintenance set-up for the in-house plant /

machinery and test equipment.

7.4 Inspection facilities

10 10 5 5 30
8 POWER SUPPLY

8.1 Availability of stand-by power arrangement

and its adequacy.

8.2 Availability of adequate water

arrangements.
5 5 10
9 GENERAL

9.1 Lighting and ventilation

 9.2 Hygiene and Sanitation of the firm and
surrounding area

9.3 Fire fighting arrangements

9.4 First aid and Medical arrangements

9.5 Approach to firm

9.6 Eco-friendly waste disposal

5 5 5 5 5 5 30

Part-II Total Marks

Marks Obtained

Assessment Total Marks Marks Obtained

Part-I
Part-II

Grand Total

Total Marks Obtained in Part-I&II

Percentage Obtained = ------------------------------------------ x 100
Total Marks in Part I&II(as applicable)

FIT/UNFIT FOR REGISTRATION

Date of visit to the firm

Signature of Members of Assessment Team

Rank and Name Signature with Date

1.
2.
3.

Countersigned
(Head of the establishment)

Notes :

1 Part-I and II each carry a total of 200 marks .

2 Marks allotted for each sub-clause and total marks for each clause have been indicated at the end of each clause in
sequential order.

3 Give brief response for each sub clause and allot marks opposite each in space indicated.

4 In case certain clauses or sub-clauses are not applicable for any particular type of vendor or for any discipline, no
marks will be allotted for these. The total marks for such clauses will be deducted out of the total of 200 marks of each
part to work out the overall percentage of marks obtained by the vendor as applicable. Where necessary concerned AHSP
to issue suitable instruction on this aspect.

5 Mandatory clauses for various categories of firms:-

a) Design, Development and Production (DDP) firms – All clauses

b) Development and Production (DP) firms – All clauses except clause No 4 (Design control) of Part I.

c) Production (P) firms – All clauses except Clause No 4 (Design Control) of Part I

6 Deficiencies, if any, may be brought out unambiguously in the “Remarks” column against each sub-clause so that
these can be brought to the notice of the vendor wherever the marks obtained are less than the minimum required. Where
necessary separate sheet may be used to give details of deficiencies noted by the assessment team.

7 Full marks are compulsory in respect of sub-clauses 1.1, 3.1, 7.1, 7.2, 7.4 & 9.2 of Part II of VQSR. Firms not
obtaining full marks for these clauses will ordinarily NOT be recommended for registration unless there are very strong
reasons to do so. In such an event such reasons must be clearly stated by the assessment team.
 ASSESSMENT REPORT ON VENDORS
Part-I
(To be filled up by the Officer-in-Charge of Assessment Team)

1 Composition of assessment team

(a) Officer-in-Charge
Name & Designation : Dy Director/Asst Director

(b) Member
Name & Designation : Asst Director/SSO-II

2 Name of the Vendor

____________________________________________________________________________________________________________
____________________________________________________________________________________________________________
__________________________________________________________________________________________

3 (a) Address of registered office (Please do not repeat the name)

____________________________________________________________________________________________________________
____________________________________________________________________________________________________________
________________________________________________________________PIN ______________________
PHONE NO _______________________________________________TELEX______________________________________
WITH_____________________________________________________FAX _______________________________________
STD CODE ______________________________________________TELEGRAM __________________________________

(b) Address of the factory/works

____________________________________________________________________________________________________________
____________________________________________________________________________________________________________
________________________________________________________________PIN ______________________
PHONE NO _______________________________________________TELEX______________________________________
WITH_____________________________________________________FAX _______________________________________
STD CODE ______________________________________________TELEGRAM __________________________________

4 Type of assessment : Initial/Renewal/Additional item/Type or

Qualification approval

5 Date of receipt of application for registration in the

Establishment

6 Sponsors references with date

7 a) Date of receipt of complete documents from firm

b) Date (s) of visit

8 Store/equipment for which vendor assessment
carried out (attach separate sheets if required)

9 Have you gone into details and understood all the

requirements to be fulfilled by the firm for the items given in
column 8 above. (Attach a brief report)

10 Having gone through the information in the

Application and visiting the firms premises give your
comments on Sl Nos 6,12, 19 of part I (Adm Information)
and Sl Nos 6 & 8 of Part II (Technical Information) of
Appendix ‘B’ (Attach extra sheets).

11 Comments on the potential and performance of the

firm for producing quality goods, adhering to delivery
schedule, attention to complaints and security consciousness.

12 Comment on management/labour relations and any

labour problems which may hold up production.

13 Is the firm capable of providing literature for AHSP

work (Specimen copy of UHB/IL may be shown to firm
during visit along with instruction issued by the AHSP

14 Do you recommend the firm for registration.

15 If not, give detailed reasons highlighting deficiencies

and recommendations for re-verification.

16 In case the firm is being recommended, what is the

expected rate at which the firm thinks that he can supply
Defence store (Information required for each item).
a) Name of item

b) Monthly production capacity (MPC)

c) Lead time required from date of placement of orders

d) Factors affecting lead time if any (Attach

separate sheet if required)

17 Average sales per year (based on three years data)

18 Any other relevant information including past

performance and vendor rating of the firm.

19 % Marks obtained by firm

20 Final recommendations of the visiting team

21 Assessment fee paid by firm vide………………………………………………………… …………………
………………………………………………….

Office seal Signature

Station Officer in-Charge
Assessment team
Date Members
1.
2.

Date
 Part-II
OBSERVATIONS/RECOMMENDATIONS OF HEAD OF THE ESTABLISHMENT

1. NAME OF FIRM

2. OBSERVATIONS IN RESPECT OF

a) Technical Capability to manufacture items assessed:-

b) Capacity for quality control, testing and pre-inspection:-

c) Adequacy of Inspection facilities and bonding space commensurate to recommended capacity:-

d) Expected monthly production capacity as per the firm

e) Average sales per year

f) Any other relevant information including past performance and vendor rating of the firm.

3. a) Recommendation for registration for item(s)

b) % Marks obtained.

Station Joint Director

HQrs DGAQA
 PART-III

ORDERS OF DIRECTOR

APPROVED/NOT APPROVED

Station ( )
Director, DGAQA HQrs

Date :
 GOVERNMENT OF INDIA

MINISTRY OF DEFENCE

DIRECTORATE GENERAL OF AERONAUTICAL QUALITY ASSURANCE

REGISTRATION CERTIFICATE

This is to certify that M/s ………………………………………………………. after verification of their capacity /

capability are registered vide Registration No ……………………………………………………….. Dated ….………. and
are found capable of manufacturing of the following items for defence.

---------------------------------------------------------------------------------------------------------------------
Sl No Nomenclature and details Specifications
of the store (s)
---------------------------------------------------------------------------------------------------------------------
(attach on separate sheet as Annexure if required)

--------------------------------------------------------------------------------------------------------------------
No of items for which registered : ……………………………………….. only

Category of the vendor

This certificate is valid upto

This certificate is issued subject to conditions indicated overleaf :

( )
Director
DGAQA ( )

Date
Approving Authority on
behalf of DGAQA
Ministry of Defence
Conditions of Registration

1 Please apply for renewal of registration on the prescribed form at least 90 days before expiry of this certificate.

2 In case no application for renewal is received on the prescribed form (which is available with concerned authority)
as stated above, your registration will lapse and the name of your firm will be automatically removed from the
compendium of approved suppliers without any further notice.

3 Changes, if any, in address or constitution of the firm, major machinery/equipment or technology used for the items
registered should be intimated to the Registration Authority and concerned group in Hqrs immediately on occurrence.

4 The Approving Authority reserves the right to cancel this Registration Certificate at any time during the validity of
the certificate.
Reference No………………………………………

From

M/s……………………………….
…………………………………...

To

Director, DGAQA, Hqrs

Subject : APPLICATION FOR RENEWAL OF REGISTRATION

AS APPROVED SUPPLIER TO DEFENCE

Dear Sir,

Kindly refer to our Registration Certificate No ……………………………….. dated …………… which is due to
expire on …………………………………………..

2 As per the conditions of registration, we hereby apply for renewal of our registration for a further period of 3 years.

3 The renewal of registration may be done for ……………………. items for which we are already registered. We
may also be assessed for ………………….. additional items as per details given in Annexure attached.

4 Latest updated information in respect of our firm along with related documents is attached at Annexure to this
application.

Yours faithfully

Signature of Authorised
Signatory/Representative of firm
along with seal

Annexure to Application for Renewal of

 Registration as Approved Supplier for Defence
(Information given in this Annexure will be CONFIDENTIAL)
Part-I – GENERAL INFORMATION
1 Name of firm

2 Office Address : ________________________________________

________________________________________
________________________________________
Telephone No ______________________________ Telex ______________________________
Grams ____________________________________ Fax ________________________________

3 Factory Address : ________________________________________

________________________________________
________________________________________
Telephone No ______________________________ Telex ______________________________
Grams ____________________________________ Fax ________________________________

4 (a) Is there change in address from last : Yes/No

registration.
(b) If so, give reasons for change (attach
relevant documents of ownership or rent/lease
deed and rent receipts).

5 Changes if any in the management or

constitution of
the firm. (If so, give details and attach relevant
documents).

6 Changes if any, in the numbers and

qualifications/
experience of permanent personnel employed
for production and quality control/testing. If so,
attach details separately for each.

7 Changes, if any, in the availability of covered

accommodation and open area available
including, bond rooms and inspection facilities.

8 Changes if any, in the financial state of firm

including availability of bank finance.

9 Following documents are attached :

a) Certified copies of latest audited balance

sheets and Profit and Loss Account for last 3
years.
 b) Latest ITCC

c) Copy of latest SSI Regn Certificate (for ss

units) or Factory Regn No (for large/medium
scale units)

PART-II- TECHNICAL INFORMATION

1 Details of nomenclature and capacity of items

for
which firm was last registered (Attach separate
sheet, if required).

2 Changes, if any, in production facilities, viz,

availability of plant/machinery and process for
production, since last registration.

3 Changes in technology or design of products for

which already registered. If so, give flow chart
and basis for revised capacity (if required).

4 Changes in in-house laboratory

equipment/testing
and drawing facilities, office/design, if any,
since last registration. If so, give details of
changes in testing / quality control / design
capabilities.

5 In case, arrangements for bought out production

processes and quality control testing facilities
have been permitted during last registration,
give details of changes in these, if any.

6 Changes, if any, in arrangements for

procurement or
sub-contracting for raw materials or
components/sub-assemblies/processes since last
registration.

7 Additional items, if any, for which registration

is
sought now. Give details of nomenclature
Defence specifications and production capacity
for each.
8 In case additional items for registration have
been
applied for in column 7 above, please give
following details/information –

(a) Whether same/different technology is

involved
(b) If technology involved is different, indicate-
i) Details of Plant and Machinery
available for additional items.
ii) Details of Quality control / Test
Equipment
iii) Production Flow Chart
iv) Basis for proposed production
capacity for each item.

9 Details of Defence Orders received / executed

fully
or partly (with reasons for part/non-execution)
during the last 3 years-

------------------------------------------------------------------------------------------------------------------------------
Sl No AT/SO No & Order Placed Nomenclature Value Date of completion/
Date by of store reasons for non/part
Execution
-----------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------
10 Your comments, if any, to justify renewal of
registration for a further period of 3 years

11 Assessment fee has been deposited vide

……………………………………… dated
………………. (if applicable)
Certified that the information given in para I and II above is correct to the best of our knowledge and belief. In the event of
any information given by us is found to be incorrect/false at any time, we fully understand that our registration will be
cancelled without notice, besides any other appropriate action against us.

Signature of authorised
Place signatory / representative
of the firm with seal
Date

Enclosures : --------------- Nos. Details as per Index attached

Notes

1 Information given in Parts I & II should be related to the information given at the time of last registration as
applicable.

2 Where necessary, details may be given on separate sheets attached.

3 All relevant documents and separate sheets may be serially numbered and indexed properly.

4 Assessment fee is to be paid in case of change of location of firm or existing/additional items to be renewed for
registration against new technology.
 GOVERNMENT OF INDIA
MINISTRY OF DEFENCE
DIRECTORATE GENERAL OF AERONAUTICAL
QUALITY ASSURANCE

CERTIFICATE OF RENEWAL OF REGISTRATION

Reference No ……………………………………………………………………………………………..
Registration Certificate No ……………………………………………… dated …………………..........
Valid upto ……………………………………

The registration accorded to M/s …………………………………………………… vide registration certificate

mentioned above for manufacture/supply of the following items to defence is hereby renewed for a further period of 3
years:
------------------------------------------------------------------------------------------------------------------------------
Sl No Nomenclature and details of the store (s) Specifications
------------------------------------------------------------------------------------------------------------------------------
(Attach separate sheet as Annexure if required)

----------------------------------------------------------------------------------------------------------------------------

No of items for which registration is renewed : …………………. Items

Category of vendor :

This certificate of renewal of registration is valid upto ………………………. Conditions of renewal of registration will be
the same as per the original Registration Certificate.

( )
Director
DGAQA HQrs

Date
Approving Authority on
behalf of DGAQA
Ministry of Defence
 VOLUME – I
COMPENDIUM OF APPROVED SUPPLIERS

_______________DISCIPLINE

SECTION ‘A’ - Alphabetical list of Approved Suppliers

Sl No Name and Regn No Date Products/ Full Grading Monthly

Address of Processes with month & Production
firm Year Capacity as
Claimed by firm
------------------------------------------------------------------------------------------------------------------------------
1 2 3 4 5 6 7
-----------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------
SECTION ‘B’ - Product wise alphabetical list Cross Linked with Sl No of Approved Suppliers
listed in Section ‘A’

Sl No Products Serial Nos of Approved Suppliers

Listed in Section ‘A’

------------------------------------------------------------------------------------------------------------------------------
SECTION ‘C’ - Process wise alphabetical list crossed linked with serial Nos of Approved
Suppliers listed in Section ‘A’

Sl No Process Serial Nos of Approved Suppliers

Listed in Section ‘A

------------------------------------------------------------------------------------------------------------------------------
 VOLUME –II

COMPENDIUM OF APPROVED SUPPLIERS

__________________DISCIPLINE

Sl No Name & Address Item Approval No Date Vendor Rating/Year

of firms

Notification No :
Notification Date :

Period - From___________________ To _________________

AMENDMENTS TO COMPENDIUM OF APPROVED SUPPLIERS

DISCIPLINE

EDITION

VOLUME

SECTION

----------------------------------------------------------------------------------------------------------------------------
Details of Amendments

-----------------------------------------------------------------------------------------------------------------------------

Place : Director
Date : DGAQA HQrs
 CHAP-11
QUALITY ASSURANCE FUNCTIONS ON EQUIPMENTS
DEVELOPED/PROCURED THROUGH TRADE SOURCES

1. Various types of Aeronautical Stores are procured by Indian Air Force and other
agencies under Ministry of Defence for which DGAQA is the designated Inspection Authority. This
chapter gives the guidelines for Quality Assurance during Development, Procurement,
Manufacture, Inspection, Bulk production inspection, Maintenance, Defect Investigation etc. of the
stores from trade sources.

2. These include both airborne and non-airborne stores. A general indication is available from
the following: -

a) A/C Hydraulic servicing Trolley

b) Aircraft Starting Trolley

c) Aircraft Refueller

d) Air-Nitrogen Charging Trolley

e) Material Handling equipment

f) Trailers

g) Diesel Engine Generator Sets

h) Hydraulic Jacks for supporting Aircraft

j) Aircraft Arrester Barrier System

k) Surveillance Radar

l) Precision Approach Radar

m) Bomb Loading Trolley

n) Oxygen Mask

o) Pilot’s Helmet

p) Short/long Cord Connectors

q) HF Antenna
 r) EMI/EMC Shelters

s) Binocular Night Vision

t) A/C Tyres & Tubes

u) Cloth (Aeronautical) for Parachutes

v) Nut, Bolt, Locking Wire (AGS)

w) A/C Bulbs

x) A/C Batteries

y) Rollers for MI-17 Helicopters

z) Materials and consumables.

aa) Aircraft Filters, Hoses, Aviation grade Glass & Cotton fabrics

3. Quality Assurance Function:

3.1 The actual Quality Assurance plans for each equipment has to be decided based on the type of
equipment and its end-use, during the different stages.

3.2 The following activities are carried out by DGAQA in consultation with the
Indentor and the Procuring Agency prior to placement of supply order : -

4. Review Of ASQR/JSQR Provided By User:

4.1 DGAQA examines the ASQR/JSQR critically with a view to ensure harmony between different requirements and
necessary improvement based on their past experience through discussions with the user to sort out the discrepancy noticed.

5. Formulation Of Provisional Governing Technical Specification

5.1 In case no Governing Technical JSS is available which is relevant to the stores required by the
user , DGAQA formulates a provisional Technical Specification on the basis of ASQR/JSQR in the
format of JSG- 031 ( Preparation of Departmental Specification).

5.2 The specification covers all parameters including safety, design parameters/ ergonomical aspects,
acceptance/rejection criteria, functional/ evaluation-testing, marking, packing, spares, transportation,
documentation and User’s Trial.

5.3 The specification is so formulated so as to enable maximum participation from private sector in the development of the
stores, giving best techno-commercial advantage. All latest technology/management techniques, quality assurance techniques are
kept in view while making suitable requirements. The specification is sent to the User for their comments, if any, before
finalization of the same.
5.4 In case of Airborne Stores, the qualification test schedule is prepared in consultation with
RCMA,CEMILAC and the First Article is subjected to Type Approval Tests to obtain Type Approval from
CEMILAC.

6. DGAQA Function After Placement Of Supply Order:

6.1 Supply order is critically examined in respect of Governing Technical specification, nomenclature
of stores, quantity, proto-type clause, consignee, Inspection clause etc. and action for amendment if any
should be taken up with the competent authorities.

7. Design and Drawings:

7.1 Supplier forwards two sets of drawings/design to DGAQA for scrutiny prior to commencement of
manufacture/supply of stores. Notwithstanding such a scrutiny, the supplier would be responsible for
quality & reliability of the product. Drawings are examined to ensure that they include the following:-

a) Bill of Material indicating parts, Qty, Assembly, source of supply and proper selection
of aggregates in respect of operational and environmental requirements.

b) Individual component drawing:- It must indicate part no, next assembly no., material,
finish, tolerances, heat treatment etc.

c) Materials are examined for their suitability, corrosion prevention, painting scheme,
marking, packaging etc. Related JSS/Spec are quoted in the drawing.

d) Selection of bought out components and their status of approval and Supplier reputation .

e) DGAQA scrutinize the same for system features/ design like Electrical/ Electronics, Hydraulics, Pneumatics etc. for their completeness, safety norms,
statutory design requirements etc. keeping in view the relevant requirements.

8. Approval Of QA Plan And Stage Inspection Programme:

8.1 The type record of the store (or the details of spec and evaluation report etc) should form the
basis for this exercise. The QA Plan is drawn by the supplier which is scrutinised by DGAQA to ensure
its adequacy for achieving proper quality and Governing Technical Specification. Suitable system of
inspection reports be devised/maintained for different stages as applicable, with the final stores
inspection report forming an essential part of the procedure and basis for clearance for proto-type-
evaluation.

8.2 It is necessary that the supplier has a documented procedure for procurement / production/
inspection /evaluation and testing activities in order to ensure that the specified requirements for the
product are met . The requirements for evaluation, testing and the record should be clearly defined and
met.

8.3 Technical acceptance of sub-assembly/module is properly defined to avoid any problem at later
stage.
8.4 Qualification test of sub-assembly / module level/assembly for the aggregates which have not
undergone qualification test by any accredited agency should be carried out.

8.5 The stages of inspection are designated by DGAQA depending on criticality of stores. Supplier
shall carry out the inspection at all designated stages and forward the pre-inspection report to DGAQA
to carry out the stage testing/inspection.

8.6 Pre-inspection report includes raw material test certificates, dimensional report, specified parameter
and observed parameter . Test record shall show actual test result to demonstrate the capability of Stores.
Supplier shall provide objective evidence that the product meets the defined requirements.

8.7 The record shall show clearly whether the product has met the specified acceptance criteria or not.
Similarly, non-conformance of the Stores to specified raw material, dimensions etc shall be brought out in
the deviation report.

8.8 These stages are designated in the QA plan prior to commencement of the development. On receipt
of pre-inspection report, designated stage inspection is taken up by DGAQA.

8.9 Stage - inspection facilitates to ensure that the final product meets its intended performance and
design parameters as the parameter requirements of individual sub-assemblies level Inspection. DGAQA
ensures following during stage inspection:-

a) Raw material (scrutiny of all the raw material test certificate).

b) Bought out components-conformance to specification/ approval status and Inwards Goods-

Inspections.

c) Environmental stress screen (ESS) test certificates for critical electronic components as per
specification.

d) Dimensional Inspection report.(components, sub-assembly and assembly)

e) Heat treatment, plating/painting.

f) NDT wherever required.

g) Storage and operational life of various items.

h) Functional check of sub assembly, where required.

i) Any other test which is not feasible after integration of complete stores.

9. Proto-Type Evaluation Including Type Test

9.1 Prototype is evaluated as per the Governing Technical specification or in case of Airborne
stores as per Qualification / Type Test Schedule . It is applicable for the first time or repeated after
specified time-period as required based on feedback or due to change in Design, material, components,
etc. After ensuring that all stage-inspections have been satisfactorily completed , the Stores shall be
subjected to the following tests:-

a) Functional Test

b) EMI/EMC/ Any special test wherever applicable

c) Environmental Tests (Vibration ,Acceleration, Impact etc.)

d) Endurance Test

e) Transportation/Roadability Test

9.2 A report should be prepared indicating specified and observed parameters, reasons for deviation accepted by the accredited agency, number of
samples taken, disposal action of the proto-type etc . When the Proto-type Evaluation/qualification tests is completed successfully, it can be cleared for
Users Trial /Field Trials.

10. User Trials:

10.1 The User’s Trial is carried out to ensure the suitability of the product in actual field conditions as also to ensure

proper interfacing/integration where necessary . On completion of successful User Trial, the User’s suggestions on the

proto-type stores to the extent feasible , and on bulk production consistent with the importance, urgency and time required

for incorporation of the modification, will be complied with.

11 Bulk Production Clearance

11.1 BPC would accorded by DGAQA for the bulk quantity of Stores after ensuring the following :-

a) Applicable tests including User Trial have been carried out as per spec.
b) Manufacturer would incorporate necessary improvements.
c) A record of inspection report , acceptance test report , Type- evaluation test/
Qualification test report, etc are compiled and maintained for reference.

12. Acceptance Test Including Batch Test:

12.1 The Supplier should draw up in coordination with DGAQA an effective bulk inspection schedule comprising 100%
routine test to confirm production quality as well as batch-tests on a representative sample to ascertain consistency of
parameters with the type-test / qualification test results.
13. Marking:

13.1 All the Assembly/Sub Assembly shall be identified and marked as specified in the drawing/
specification. The wiring diagram , Hydraulic Circuit , safety instructions, warning instructions shall be
marked on the equipment or etched ,engraved , anodized plates are fixed, wherever required.

14. Packing:

14.1 The packaging of the stores should be adequate to avoid damages of the stores accessories, tools and
documents during transportation, handling, and storage. The name and address of the consignee ,
Nomenclature of the stores and Supply Order No. should be clearly marked outside the package.

15. Documentation:

15.1 All documents prepared initially during development are to be continuously updated, and proper control exercised to
maintain Master –Record -Index for amendments . DGAQA regularly checks all manuals being sent to the User for
operation , maintenance and procurement of Spares . The quality of the document must be good so that it can be referred till the
life of the equipment .

16. Inpection Note:

16.1 After completion of all inspection including approval testing, an inspection report shall be raised by
the Inspecting officer, then after verification of the following reports, a proposal for issue of Inspection
Note be put up for the approval of Head of group/CRI.

a) Stage inspection report

b) Acceptance inspection report
c) Type evaluation /qualification Test Report
d) User Trial Report
e) Deviation/concession
f) Modification
g) Updating of documents
16.2 The appropriate level of officer to be ensured depending upon the criticality and value of stores. It
must conform to the applicable departmental instructions. Inspection Note is issued within valid D.P .
Inspection note to be issued after necessary approval from Director/CRI concerned.
17 User Feed Back And Defect – Investigation

17.1 If there is any failure or defect reported by the User during utilization of the Stores, the same should be communicated
to all concerned including DGAQA. The defective part of store must be sent to the manufacture on the Form-1022,for thorough
investigation and for improvement during future production.Remedial measures are suggested to obviate the same and suitable
modification is evolved for the Stores, retromod also is implemented if and where required . For this purpose regular arrangement
for feedback wherever applicable is to be resorted to.

18. Standardisation And Codification:

18.1 In case of development stores , necessary action must be initiated for its codification. PAC should be
obtained from the Directorate of Standardization depending upon the Characteristics of the stores.After the
stores have been accepted by DGAQA , IIG form should be raised indicating the Technical
Characteristics of the Stores . Directorate of Standardisation shall allot DS Cat No. for the stores.This helps
for future procurement of the stores by Indentor and avoid duplication of stores.
 CHAP-12
GUIDELINES FOR QUALITY AUDIT

1. Introduction:

1.1 Quality-Audit is a systematic and independent examination to determine whether quality activities
and related results comply with planned arrangements and whether these arrangements are implemented
effectively and are suitable to achieve objectives. It is a key management tool for achieving the objectives
set out in an organization policy. It provides objective evidence concerning the need for the reduction,
elimination and especially prevention of non-conformities. The results of these audits help in enhancing the
realization of quality objectives.

2. Scope And Application:

2.1 DGAQA establishments have been employing quality audits as a part of their surveillance functions,
as a valuable tool for verification of conformance of both the system and the product. These guidelines are
issued to emphasize the necessity for carrying out Quality Audits regularly and also to enable the conduct of
quality Audits in a uniform manner with a standard documentation/records. The Quality Audits can be
applied either to quality management systems/procedures of an organization or to a product/process/service
in line with the respective applicable documents.

3. References:

a) Quality Control System Requirements for the Industry: DGAQA

b) Approval of Firm’s Inspection Organisation: DGAQA
c) Guidelines for Auditing Quality System: ISO 10011 –1
d) DGAQA document No. DGAQA/TSO/002/2000, issue 5
4. Types Of Audit: There are three main categories as mentioned below: -

4.1 Internal Audits: These audits are carried out by an organization to determine the degree of
compliance of its own quality-management-system requirements using human resources from within the
organization. This is a requirement of ISO-9000 and other Quality- System standards. This is also required
to be assessed as a part of the “Management Review” process. Such audits need to be frequent with fast
follow-up action and the actions need to be recorded and documented. The records of such internal audits
and the follow-up-action are necessary parts of the quality-system to demonstrate to outside organizations
that the quality-system is effective. M/S. HAL conducting internal quality audit as per procedure laid
down in their Quality-Manual within one of their divisions may be an example. It is a System-Audit.

4.2 External Audits: These assessments are carried out by an agency on an organization external to its
own. It evaluates the activities of its contractors, suppliers, agents etc. The examples are: -

a) HQrs, DGAQA conducting an audit on the functions of one Chief Resident

Inspector at a particular place.
b) DGAQA carrying out firm’s inspection
c) M/S HAL, one division conducting an audit on one of their vendor supplying a particular item.
4.3 Extrinsic Audit: These are carried out by a Customer, Third party Organisations, Regulatory
Authority etc on a company to assess its activities against specific requirements. The examples are :-

a) CRI carrying out an audit on the Quality Control System of a HAL Division.
b) An outside firm conducting the audit on the product being manufactured by HAL for them.
c) An audit by an Accreditation Agency on M/S HAL as a pre-requisite to grant accreditation
against ISO 9002.

5. Objectives Of Audits:

5.1 The primary objective of an audit is to examine a quality system to determine the degree with which
it complies with a given set of requirements (Quality Standard, Quality-Manual etc). But there are
secondary objectives as mentioned below which may decide the effectiveness of the Audit: -

a) To compare two or more suppliers competing for a particular contract.

b) To identify special quality requirements for a particular contract.
c) To recommend and establish levels of purchaser quality assurance activity during the course of
supply.
d) To assist regular suppliers to improve their quality systems.
e) To verify implementation of a supplier’s quality system on a given contract.
f) To confirm or amend the established level of purchaser’s inspection and test
g) To provide post-contract evidence of effective quality assurance.
h) Project related audit.
i) To update knowledge in the QA capabilities and performances of regular suppliers.
j) Third-party assessment and registration.

6. Methods Of Audits:

6.1 System Audit: -

6.1.1 after establishment of a quality-system, an audit needs to be carried out to confirm that all relevant
procedures and instructions are available at the activity locations and that personnel are aware of their
responsibilities within the system. At the commencement of various projects in PSUs like HAL, this type of
audit should be conducted initially. The objectives of such an audit are to confirm the existence and validity
of necessary quality system. Such audits are also necessary to be carried out at intervals to ensure that the
system continues to exist, as it should. This type of audits are generally superficial or shallow but can be
utilized to get a feel of the system.

6.2 Product Audit:

6.2.1 In order to confirm whether or not a procedure or job-instruction is actually being implemented and
is effective, product-audit or adherence/compliance-audit is carried out. Such audits are deep and carried
out after production/manufacturing work is in progress.

6.3 Trace Forward:

6.3.1 Start with a Sales-Order and follow through to delivery of the product/After-Sales-Service (duration
of the audit may be too long depending on the lead-time of the product).

6.4 Trace Back:

6.4.1 Start from delivery of product and follow back to the Sales Order.

6.5 Horizontal Audit:

6.5.1 Particular emphasis on anyone of the important processes/ elements of quality system and their
application on a number of products (e.g Heat-Treatment of various components).

6.6 Vertical Audit:

6.6.1 Emphasis on anyone component/product and all the process, quality-control-measures applied to that
component.

6.7 Following a Trail:

6.7.1 This is basically a Trace-Forward Method, but by random selection of each stage of manufacturing
process (duration of audit could be short).

6.8 Department/functional Audit:

6.8.1 Examination of a department’s functions considering the whole of the system-requirements.

7. Scope Of Audit:

7.1 It relates to the amount of the quality-system or plan that should be reviewed to confirm that the
activities are in compliance with the requirements. The auditee should normally be consulted when
determining the scope of audit.

8. Execution Of Audits:

8.1 The following aspects should be kept in mind: -

a) Audit Objectives
b) Depth, Scope and type of audit
c) Audit Schedule
d) Audit-process

9. Assessment Process: An activity Flow-Chart detailing the Quality-Audit process is enclosed as

“Appendix- A”. The various components are described below:

9.1 Identification Of Component/Assembly:

9.1.1 A component/assembly shall be identified for carrying out audit during manufacturing or overhaul
based on the past history of defects or failures reported or when there is a need felt for the improvement of
the manufacturing/overhaul process to prevent defects/failures. Necessary data can be obtained from defect-
investigation-reports, Part-Disposal-Orders raised by shops, quality-deficiency-reports (rejections, reworks,
deviations and other deficiencies) or Customer’s Complaints.

9.2 Preparation, Planning and Schedule

9.2.1 The Auditor should look for a system which:-

a) Exists (i.e. existence)

b) Is correctly operated (i.e. operation)
c) Is effective (effectiveness).

9.2.2 For a quality-system to exist in real terms, it has to be:-

(a) Visible And Demonstrable:

i) Clearly defined authorities and responsibilities

ii) An adequate level of documented procedures.

(b) Known And Understood:

i) To know and understand their objective.

ii) To know and understand in detail the role of personnel with whom they interact.

(c) Supported By Necessary Resources:

(i) Personnel
(ii) Equipment

9.2.3 Operation of an audit system requires knowledge and understanding and adequate resources as also
control and supervision to ensure and verify operation in accordance with declared practices.

9.2.4 Effectiveness relies on control and supervision to verify the achievement of declared aims and detect
omissions/deviations and correct the same.

9.2.5 The Auditor shall prepare for the audit by studying the relevant documents. Area and scope of audit
shall be defined as activities in any particular mechanical-shop/process-shop/assembly-shop/product-
inspection or by a suitable audit-method for a component/batch of components/assembly. Verification of
the quality-activities and their compliance with planned arrangements shall be outlined in the planning.
Effectiveness of the quality-control-methods and quality-system shall also be assessed. Audits shall be
scheduled on the basis of status and importance of the activity and a time-frame/duration for the audit shall
be planned. Selection of right people to discuss with is also a part of the pre-audit planning. Results of any
internal audit carried out by the firm (if known to the Auditor) also could be verified for implementation of
the corrective actions.

9.3 Check-List And Data Compilation:

9.3.1 Auditor shall prepare a checklist and collect data for the acceptable conditions, dimensions,
characteristics, test-results etc. as laid down in reference-documents such as drawing, technology, process-
sheet, test-schedules, standard of preparations etc. The aim shall be to verify easily the compliance of the
laid down requirements against each item. The checklist in most cases could be in the form of
probing/assessing questions for which the answer could be either “yes” or “No”. Provision may also be
made for further clarifications/verifications/alternatives, if any, to be obtained later on for adequate proof of
compliance or non-compliance. In the case of auditing of small components, detailed check-
lists/questionnaire may not be necessary.

9.3.2 Appendix - `B’ shows the Matrix of Requirements against ISO 9001 which will be helpful for
Adequacy-audit and Appendix-`C’ shows Typical Working Papers based on ISO 9001 and Appendix ‘D’
shows the Quality Audit Compliance Report based on Records and Findings / Observations made during
Audit by the Auditor.

9.4 Audit Techniques: There are a number of techniques, out of which five numbers are mentioned
below:-

9.4.1 Discussions with Personnel:-

a) The auditor examines knowledge and understanding of roles, responsibilities and authority of
individuals, groups and departments.
b) The auditor verifies knowledge of interfacing roles and examines coordination and compatibility
between individuals, groups and departments.
c) The auditor confirms acceptance and implementation of the declared system

Note: The significance of the technique is that it gives a true picture of what is happening in the
organization.

9.4.2 Documentation-Review

a) The auditor examines the visibility of the system (written procedures, instructions, job-
responsibilities, controls etc).
b) The auditor examines the adequacy of instructions, procedures, drawings etc.
c ) The auditor examines the correct operation and effectiveness of the system.

Note: The significance of the technique is that it gives a good view of the system.

9.4.3 Observation Of Work In Progress:

The auditor examines the correct implementation of procedures.

The auditor examines knowledge and understanding of procedures and roles.
 The auditor examines adequacy of resources.
The auditor examines the output of various tasks.

9.4.4 Inspection/Re-Inspection Of Material/Work

a) The auditor examines the effectiveness of the system of producing

hardware to specified requirements.
b) The auditor examines the effectiveness of system of inspection, test and acceptance of
hardware.

Note: The significance of the technique is that it gives evidence of feedback and corrective action.

9.4.5 Examination of Resources And Facilities

a) It helps the auditor to examine existence and adequacy of the resources.

b) It helps the auditor to examine the correct usage applications and maintenance as required for
correct operation of the system.

Note: The significance of the technique is that it helps in evaluating the potential of the system to deliver
the quality-items.

9.4.6 It is always desirable to associate a representative of the quality-control-department while carrying

out the audit. The auditor should remain alert to any aspect that can influence audit-findings, such as, use
of non-standard tools, unapproved consumables, incomplete testing durations etc. The audit should
preferably cover all elements like documents, equipment item, people, facilities, raw materials and quality-
control measures at all stages of production to ensure that no complacency has set in and the available
documents/equipments are adequate to achieve the stated quality objectives.

9.5 Identification And Verification Of Non-Conformance:

9.5.1 All observations made during the audit shall be noted down with reference to the supporting
documents/records. Non-conformance/non-compliance (Appendix ‘E’ shows the Quality Audit Report
based on ISO: 9001 standard) will be generally of the following types:-

a) System-deficiencies
b) Failure of men/material/machine to comply with the laid down requirements.

9.5.2 Deviations from the drawing/technological requirements, deviating from the specified
procedures/tests/acceptance-criteria, not following the laid down practices or sequence of
operations/processes, using alternate methods of checking/testing, not using specified
tools/gauges/materials/consumables, not recording the correctly measured values, using life-expired/rejected
items or items having insufficient life, using items having deviations without proper authority, items not
serviced/preserved correctly etc are all to be identified as non-conformance. All important observations are
to be verified and rechecked before reporting the non-conformance. It is also advisable to discuss the
important observations with the personnel having direct responsibility for the system, so that, immediate
corrective action, if any required could be taken.

9.6 Audit Report

9.6.1 An audit or assessment operation will invariably uncover some deficiencies so that recipients of the
report are likely to be disconcerted, upset and even defensive about their quality systems and procedures.
An audited organization should be encouraged to improve its system where it is found to be inadequate.
The findings of the audit should be conveyed to the auditee. It may be pointed out that a sample inspection
of the quality- system has been made to examine for type faults rather than to look for specific individual
errors. It is hoped that the organization would correct the deficiencies. Directive should not be issued on
how the organization should rectify the deficiencies. The onus of devising how to meet the quality system
criteria lies with the organization whose system it is. It is desirable to indicate the type of follow-up action
the organization is likely to have to implement (correct deficiencies and request another audit or provide
assurance of correction of deficiencies in a time-frame). An oral presentation may be helpful, if considered
necessary. There are two major types of quality-audit reports:-

a) Comprehensive Reports: It is more appropriate for supplier-selection and improvement. It will

consist of all observations made – good or bad. This is likely to be time-consuming and therefore, a
common approach is to use pre-prepared checklists. The checklist and the results recorded form an
integral part of the audit-report and is convenient for giving a total picture of the quality-system.
This method has the limitation that it could become a mechanical operation of checking off various
points and could miss other significant observations which do not form a part of the checklist.

b) Exception-Report: This form of reporting contains no details of the audit-findings except those
which relate to deficiencies in the quality-system. It is only in broad terms that a mention is made of
the aspects which were examined and were found to be operating satisfactorily. This method is
adequate where the sole objective is to improve the supplier’s quality-system.

9.6.2 Contents Of The Audit Reports: It shall include the following:

a) Brief description of the components/assembly which may include part No., Nomenclature,
system to which it belongs, function and major characteristics be given. A schematic diagram or
sketch will help in identifying the part/assembly. A brief history of the past defects/failure could
also be given.
b) Scope and area of audit wherein the quality audit was done i.e. manufacturing/overhaul/servicing
bay/process shop, be indicated.
c) Reference Documents – Here the complete list of applicable documents be given on the basis of
which the audit was carried out.
d) Observations: Detailed observations are to be given with reference to be stated/laid down
requirements. These are the observations presented in an objective and factual manner which
can be termed as non-conformance/non-compliance. Stage-wise, process-wise, component-wise
deviations should be listed in a systematic manner without directly/indirectly pointing out lapses
on the part of the concerned personnel. Significant observations should be given with special
 emphasis. Non-conformities/non-compliance are to be presented in a concise/summarized
manner.
e) Summary of the Findings could be given after listing out all the observations and grouping the
observations to a few items. This is mainly for the executive to understand the findings of the
audit in brief.

f) Recommendations, in general will be to follow the laid down requirements. The

recommendations in details will cover the correct laid down requirements against each of the
observations. If there is an occurrence of defect due to non-compliance of a technological
requirement, difficulty experienced could be studied and suitable recommendation/suggestion be
given.

9.6.3 Covering letter enclosing copy of the quality audit report should be addressed to the head of the
quality control department of the firm. Copies of the report are to be sent to the Head of the Firm as well as
to HQ, DGAQA. Field Establishments may give suitable identification numbers to the quality audit reports
and retain copy for future reference. For quality audits on small components, a detailed report may not be
necessary.

9.7 Monitoring of Implementation of Corrective Action

9.7.1 It is necessary to obtain the response from the head of the quality control department of the firm on
the observations made in the audit report and periodically monitor the implementation of the corrective
actions taken by the firm. (Appendix ‘F’shows the requisition for closing of Quality Audit and Non-
Conformance Report i.e based on Follow up audit for verification of implementation and effectiveness of
corrective actions taken and Appendix ‘G’ shows Quality Audit Closing Report based on Corrective Actions
taken and effectiveness verified by the Auditor). The type of corrective action proposed and the probable
date of completion of the implementation action shall be obtained from the firm. The same shall be
considered depending on the importance it has, towards meeting the quality objectives. After analyzing the
non-conformities and the problems in complying with the recommendations, the matter could be discussed
further and resolved (Appendix ‘H’ shows Quality Audit Summary Report based on Non-conformance
Activities for which Corrective Actions have been taken). Details of the implementation of corrective
action /recommendations should be informed to HQ, DGAQA. QCSR stipulates that the management
personnel responsible for the area shall take timely corrective action on the deficiencies found by the audit.
The management shall also ensure continuing suitability and effectiveness of the quality system to satisfy
the requirements by periodic reviews/assessment. Therefore, a periodic re-audit of the system-product will
be desirable to conform consistency of the quality.

10. Implementation

10.1 Every establishment of DGAQA should carry out Quality-Audit on a regular basis in their respective
areas of work. While it is to safeguard against any degeneration with time in respect of ongoing/old
projects, it helps to ascertain correct practices/facilities/documents right at the beginning in respect of new
projects. This should cover both Quality systems in force at their work-centers as also products/processes
etc. The specific areas for audit need to be selected based on past experience, criticality/complexity and
technological representativeness. The annual programme of quality-audits should be drawn up in the
beginning of each year and regularly carried out with the summary of work completed being reflected in the
Quarterly Progress Reports. The objective is to have a biannual cycle i.e. the quality-audit-cycle of any
particular project is completed over a two-year period. For those firms where there is no Resident Inspector
and supplies are considered significant, it is necessary to visit them and perform quality-audits at a
frequency commensurate with the importance and volume of supplies. Though the main contractor is
responsible for performance of his sub-contractors, our direct interaction with the sub-contractor to ensure
proper compliance of technical requirements is to be resorted to as per the assessed need. Departmental
instructions vide 1415/QA/DGAQA/Tech Coord dated 31-12-97 and 12-1-1999 and 25-4-2001 on the
subject refer.
 APPENDIX “A”

QUALITY AUDIT ACTIVITY FLOW CHART

START s

IDENTIFICATION OF COMPONENT/
ASSEMLY, PREPARATION. PLANNING
AND SCHEDULING

CHECKLIST BASED ON APPLICABLE

DOCUMENTS AND DATA-COMPILATION

AUDIT

IDENTIFICATION AND VERIFICATION OF

NON-CONFORMANCE WITH EVIDENCE

AUDIT REPORT

MONITORING OF IMPLEMENTATION
OF CORRECTIVE ACTION/RECOMMENDATION

ANALYSE PROBLEM,
IMPLEMENTED NO RECOMMENDATION

YES

REPORT TO HQ DGAQA

STOP
 APPENDIX ‘B’

ADEQUACY AUDIT
MATRIX OF REQUIREMENTS ISO 9001

REQUIREMENT DOCUMENT THAT ADDRESSES

THE REQUIREMENT

4.1 MANAGEMENT RESPONSIBILITY

QUALITY POLICY

ORGANISATION

RESPONSIBILITY AND AUTHORITY

VERIFICATION RESOURCES AND PERSONNEL

MANAGEMENT REPRESENTATIVE

MANAGEMENT REVIEW
4. 2 QUALITY SYSTEM

4.3 CONTRACT REVIEW

4.4 DESIGN CONTROL

GENERAL

DESIGN AND DEVELOPMENT PLANNING

ACTIVITY ASSIGNMENT

ORGANISATIONAL AND TECHNICAL INTERFACES

DESIGN INPUT

DESIGN OUTPUT

DESIGN VERIFICATION
DESIGN CHANGES
_______________________________________________________________________
REQUIREMENT DOCUMENT THAT ADDRESSES
THE REQUIREMENT
4.5 DOCUMENTED CONTROL

DOCUMENT APPROVAL AND ISSUE

 DOCUMENT CHANGES/MODIFICATION
4.6 PURCHASING

GENERAL

ASSESSMENT OF SUB-CONTRACTORS

PURCHASING DATA

VERIFICATION OF PURCHASED
PRODUCT
4.7 PURCHASER - SUPPLIED PRODUCT

4.8 PRODUCT IDENTIFICATION AND

TRACEABILITY

4.9 PROCESS CONTROL

GENERAL

SPECIAL PROCESSES

4.10 I NSPECTION AND TESTING

RECEIVING INSPECTION
AND TESTING

POSITIVE RECALL (OR

URGENT PRODUCTION NEEDS)

IN PROCESS INSPECTION
AND TESTING

FINAL INSPECTION AND TESTING

INSPECTION AND TERST-RECORDS

4.11 INSPECTION MEASURING AND

TEST EQUIPMENT
 -----------------------------------------------------------------------------------------------------REQUIREMENT
DOCUMENTED THAT ADDRESSES
THE REQUIREMENT

4.12 INSPECTION AND TEST STATUS

4.13 CONTROL OF NON-CONFORMING

PRODUCT

CONTROL

REVIEW AND DISPOSITION

4.14 CORRECTIVE ACTION

4.15 HANDLING, STORAGE,

PACKAGING AND DELIVERY

GENERAL

HANDLING

STORAGE

PACKAGING

DELIVERY

4.16 QUALITY RECORDS

4.17 INTERNAL QUALITY AUDITS

4.18 TRAINING

4.19 SERVICING

4.20 STATISTICAL TECHNIQUES

APPENDIX “C”
 TYPICAL WORKING PAPERS FOR EVALUATING

A QUALITY SYSTEM BASED ON ISO 9001 - 1987,

QUALITY SYSTEMS - MODEL FOR QUALITY

ASSURANCE IN DESIGN./DEVELOPMENT, PRODUCTION,

INSTALLATION AND SERVICING

APPENDIX “C-1”

TYPICAL SET OF QUESTIONS FOR USE IN QUALITY SYSTEM EVALUATION

BASED ON ISO 9001 - 1987 - MANAGEMENGT
------------------------------------------------------------------------------------------------------------
REFERENCE PARAGRAPH
NUMBER FUNCTION
-----------------------------------------------------------------------------------------------------------
HOW IS MANAGEMENT COMMITMENT TO THE QUALITY SYSTEM DEMONSTRATED?
4.1.1 DO YOU HAVE DEFINED AND DOCUMENTED QUALITY
POLICIES, CORPORATE AND DEPARTMENTAL?

4.1.2.1 DEFINED AND DOCUMENTED RESPONSIBILITY, AUTHORITY

AND THE INTER-RELATIONSHIP BETWEEN THOSE WHO:

1. MANAGE WORK EFFECTING QUALITY

2. PERFORM WORK EFFECTING QUALITY
3. VERIFY WORK AFFECTING QUALITY

4.1.2.1 DEFINED AND DOCUMENTED ORGANISATIONAL FREEDOM

AND AUTHORITY TO:

1. INITIATE ACTION TO PREVENT THE OCCURRENCE OF PRODUCT NON-

CONFORMITY

2. IDENTIFY AND RECORD ANY PRODUCT QUALITY PROBLEM.

3. INITIATE RECOMMEND OR PROVIDE SOLUTIONS THROUGH DESIGNATED

CHANNELS.

4. VERIFY THE IMPLEMENTATION OF SOLUTION.

5. CONTROL FURTHER PROCESSING, DELIVERY OR INSTALLATION OF NON-

CONFORMING PRODUCT UNTIL THE DEFICIENCY OR UNSATISFACTORY
CONDITION HAS BEEN CORRECTED.

4.1.2.2 DOCUMENTED IDENTIFICATION OF VERIFICATION

REQUIREMENTS AND PROVISION OF ADEQUATE
RESOURCES INCLUDING TRAINED
PERSONNEL FOR ALL VERIFICATION ACTIVITIES:-

1. DOCUMENTED INDEPENDENCE OF THOSE PERFORMING VERIFICATION ACTIVITIES

FROM THOSE HAVING DIRECT RESPONSIBILITY FOR THE WOPRK BEING PERFORMED.

NOTE : VERIFICATION ACTIVITIES INCLUDE, BUT ARE NOT LIMITED TO, INSPECTION,
TEST AND MONITORING OF THE DESIGN, PRODUCTION, INSTALLATION AND
SERVICING PROCESSES, AND/OR PRODUCT DESIGN REVIEWS AND AUDITS OF THE
QUALITY SYSTEM, PROCESSES, AND OR PRODUCT.

4.1.2.3 DOCUMENTED APPOINTMENT OF A MANAGEMENT REPRESENTATIVE WHO

IRRESPECTIVE OF OTHER ACTIVITIES SHALL HAVE DEFINED AUTHORITY AND
RESPONSIBILITY FOR MEETING ISO 9001-1987 REQUIREMENTS.

4.1.2 DOCUMENTED PROCEDURES AND RECORDS FOR PERIODIC MANAGEMENT REVIEW

OF THE SUITABILITY AND EFFECTIVENESS OF THE QUALITY SYSTEM PERTINENT TO
THE ORGANISATION’S ACTIVITIES AND ISO-9001-1987:-

1. REVIEW CONDUCTED BY MEMBERS OF THE MANAGEMENT TEAM.

2. REVIEW CONDUCTED BY INDEPENDENT EXTERNAL QUALITY AUDITORS.
3. REVIEW CONDUCTED BY INDEPENDENT INTERNAL QUALITY AUDITORS.
 APPENDIX “C-2”

TYPICAL SET OF QUESTIONS FOR USE IN QUALITY SYSTEM EVALUATION BASED ON ISO 9001-1987 QUALITY
SYSTEM
----------------------------------------------------------------------------------------------------------
REFERENCE FUNCTION
PARAGRAPH
NUMBER
4.2 HOW IS THE QUALITY SYSTEM DOCUMENTED?

1.QUALITY MANUAL DEFINING RESPONSIBILITIES, AUTHORITY AND

COUNTABILITY OF FUNCTIONS AND/OR PERSONNEL AFFECTING QUALITY.
2. PROCEDURES AND INSTRUCTIONS TO DEFINE THE METHODS OF PERFORMING
ALL ASPECTS OF THE WORK AFFECTING QUALITY BY THOSE:

A) MANAGING WORK
B) PERFORMING WORK
C) VERIFYING WORK

4.2 WHO IS RESPONSIBLE FOR THE FOLLOWING ACTIVITIES?

1. PREPARATION OF A QUALITY MANUAL.

2. PREPARATION OF PROCEDURE AND INSTRUCTIONS
3. PREPARATION OF CONTRACT PRODUCT QUALITY PLANS.
4. IDENTIFICATION AND ACQUISITION OF:
 A. CONTROL EQUIPMENT
B. PROCESS EQUIPMENT
C. VERIFICATION EQUIPMENT

5. IDENTIFICATION AND TRAINING IF NECESSARY OF

PERSONNEL FOR:

PERFORMANCE PROCESSES
PERFORMING VERIFICATION TASKS

6. UPDATING AND IMPROVING TECHNIQUES FOR:

1. PRODUCTION
2. VERIFICATION

7. DETERMINING MEASUREMENTS AND PROCESSES OUTSIDE THE INHOUSE

CAPABILITIES OF THE ORGANIZATION.

8. DETERMINATION AND CLARIFICATION OF ALL

ACCEPTANCE CRITERIA.

A) DETERMINING THE COMPATABILITY OF THE DESIGN,

PRODUCT, PROCESS, INSTALLATION AND INSPECTION AND
TEST PROCEDURE APPLICABLE DOCUMENTATION.

4.16 9. THE IDENTIFICATION, PREARATION AND RETENTION

OF QUALITY RECORDS.

4.2 HOW IS IMPLEMENTATION OF THE QUALITY SYSTEM

ORGANISATION AUGMENTED AND VERIFIED?

1. ORGANISATION CHARTS
2. JOB DESCRIPTIONS
3. SUPERVISION
4. QUALITY AUDITS
 APPENDIX “C-3”

TYPICAL SET OF QUESTIONS FOR USE IN QUALITY SYSTEM EVALUATION BASED ON ISI 9001-1987
CONTRACT-REVIEW

REFERENCE FUNCTION
PARAGRAPH
NUMBER
---------------------------------------------------------------------------------------------------
4.3 HOW DOES THE SUPPLIER DEFINE, ESTABLISH AND MAINTAIN PROCEDURES FOR
DETERMINING CUSTOMER’S NEED AND DISSEMINATE THESE NEEDS
THROUGHOUT THE ORGANISATION?

1. PRODUCT DEFINITION
2. DISSEMINATION
3. CONTRACT REVIEW

4.3 DO THE CONTRACT REVIEW PROCEDURES DEFINE OR PROVIDE FOR:

1. A CLEAR INDICATION OF WHO SHALL PARTICIPATE AND THE

EXPECTED INPUTS AND OUTPUTS?
2. . ENSURING AN ADEQUATE DEFINITION AND DOCUMENTATION OF
THE REQUIREMENTS? NOTE : THE DEFINITION SHOULD BE IN
QUANTATIVE, MEASURABLE TERMS.

3.A CLEAR UNDERSTANDING THAT THE SUPPLIER CAN DEMONSTRATE

THE CAPABILITY OF MEETING THE CONTRACTUAL REQUIREMENTS?

4.ENSURING THAT ANY DIFFERENCES FROM THE REQUIREMENTS OF

THE TENDER ARE RESOLVED?
 APPENDIX “C-4”

TYPICAL SET OF QUESTIONS FOR USE IN QUALITY SYSTEM EVALUATION BASED ON ISO 9001 –
1987 – DESIGN CONTROL
REFERENCE FUNCTION
PARAGRAPH
NUMBER
4.4 .1 HAS THE SUPPLIER ESTABLISHED, DOCUMENTED AND
MAINTAINED PROCEDURES AND INSTRUCTIONS TO CONTROL
AND VERIFY THE DESIGN OF THE PRODUCT CONCERNED TO
ENSURE SPECIFIED REQUIREMENTS ARE MET ?

4.4.2 DOES THE DESIGN PLAN PROCEDURE REQUIRE THE

IDENTIFICATION OF WHO IS RESPONSIBLE FOR EACH DESIGN
AND DEVELOPMENT ACTIVITY?

4.4.2 DO THE PROCEDURES REQUIRE UPDATING THE DESIGN PLAN

AS THE DESIGN EVOLVES ?

4.4.2 DO THE PROJECT PLANS DEMONSTRATE COMPLIANCE WITH THE

DESIGN PLAN OBJECTIVES AND THE REQUIREMENTS OF THE
PROCEDURES?

4.4.2.1 DO THE PROCEDURES ADEQUATELY REQUIRE THE ASSIGNMENT

OF QUALIFIED PERSONNEL , SUPPORTED BY THE NECESSARY
RESOURCES?

4.4.2.2 ARE THE ORGANIZATIONAL INTERFACES BETWEEN DIFFERENT

GROUPS DEFINED SATISFACTORILY?

4.2.2.2 HOW IS INTERGROUP INFORMATION DOCUMENTED,

TRANSMITTED AND REGULARLY REVIEWED?

4.4.3 HOW ARE THE DESIGN INPUTS FOR THE PRODUCT IDENTIFIED
AND DOCMENTED AND THEIR SELECTION REVIEWED FOR
ADEQUACY?

4.4.3 HOW ARE AMBIGUOUS OR CONFLICTING REQUIREMENTS

RESOLVED WITH THOSE RESPONSIBLE FOR ORIGINATING THESE
REQUIREMENTS?

4.4.4 ARE THE DESIGN OUTPUTS DOCUMENTED AND EXPRESSED IN

QUANTITATIVE TERMS OF REQUIREMENTS, CALCULATIONS
ANALYSES ETC?

4.4.4 IS THERE EVIDENCE THAT DESIGN OUTPUTS?

1. MEET THE DESIGN REQUIREMENTS?

2. CONTAIN OR REFERENCE ACCEPTANCE CRITERIA?
3. CONFORM TO THE APPROPRIATE REGULATORY
REQUIREMENTS?

4. IDENTIFY THOSE CHARACTERSTICS OF THE DESIGN THAT

ARE CRUCIAL TO THE SAFE AND PROPER OPERATION OF

THE PRODUCT?

4.4.5 DO THE PROCEDURES ALLOW FOR THE PLANNING,

 ESTABLISHMENT, DOCUMENTATION AND ASSIGNMENT OF
QUALIFIED PERSONNEL FOR THE VERIFICATION OF THE DESIGN?

4.4.6 DO THE PROCEDURES FOR DESIGN VERIFICATION ESTABLISH

THE MEANS OF CONFORMING THAT THE DESIGN OUTPUT MEETS
THE REQUIREMENTS OF THE DESIGN INPUT BY SUCH CONTROL
MEASURES AS:

1. HOLDING AND RECORDING DESIGN REVIEWS?

2. UNDERTAKING QUALIFICATION TESTS AND DEMONSTRATION?
3. CARRYING OUT ALTERNATIVE CALCULATIONS OR
MATHEMATICAL MODELS?
4. COMPARISION WITH AN ESTABLISHED PROVEN DESIGN?
5. OTHER MEANS?

4.4.7 ARE PROCEDURES ESTABLISHED AND MAINTAINED FOR THE IDENTIFICATION,

DOCUMENTATION AND APPROPRIATE REVIEWS AND APPROVALS OF ALL CHANGES
AND MODIFICATIONS.
 APPENDIX “C-5”

TYPICAL SET OF QUESTIONS FOR USE IN QUALITY SYSTEM EVALUATION BASED ON ISO 9001 – 1987 -
DOCUMENT CONTROL

REFERENCE FUNCTION
PARAGRAPH
NUMBER

4.5.1 WHAT PROCEDURES ARE ESTABLISHED, DOCUMENTED AND

MAINTAINED TO CONTROL THE PREPARATION, APPROVAL,
ISSUING AND MODIFYING OF ALL DOCUMENTS AND DATA
REQUIRED BY THE CONTRACT AND ISO 9001-1987 e.g.
MARKETING DOCUMENTATION i.e. CONTRACT, PRODUCT
DEFINITION, TENDER AND CONTRACT REVIEW RECORDS,
DISSEMINATION DOCUMENTS ETC; DESIGN DOCUMENTATION,
i.e. SPECIFICATIONS, DRAWINGS, COMPUTER PROGRAMMES,
VERIFICATION RECORDS, DESIGN REVIEWS ETC; MATERIALS
CONTROL DOCUMENTATION i.e. PURCHASE ORDERS,
VERIFICATION RECORDS ETC; PRODUCTION DOCUMENTATION
i.e., PRODUCTION METHODS, PRODUCTION RECORDS,
VERIFICATION RECORDS ETC; PACKING AND SHIPPING
DOCUMENTATION i.e., PACKING AND DESIGN AND
VERIFICATION, SHIPPING DOCUMENS, QUALITY CERTIFICATES
ETC.; SERVICE DOCUMENTATION, QUALITY DOCUMENTATION i.e
AUDIT RECORDS, FAILURE ANALYSES, CORRECTIVE
ACTION REQUESTS AND FOLLOWUP etc OTHER---------------------------

4.5.1 DO THESE PROCEDURES ENSURE:

1. THAT PERTINENT DOCUMENTS ARE AVAILABLE TO

PERSONNEL AT ALL LOCATIONS?
2. THAT ALL OBSOLETE DOCUMENTATION IS PROMPTLY
REMOVED FROM ALL OPERATIONS?

4.5.2 DO THE PROCEDURES ENSURE THAT ALL CHANGES TO

DOCUMENTS ARE AT LEAST REVIEWED AND APPROVED BY
THOSE FUNCTIONS/ORGANISATIONS APPROVING THE INITIAL
DOCUMENT?

4.5.2 IS THERE A MASTER LIST (s) PROVIDING VISIBILITY ON THE

CURRENT REVISION STATUS OF ALL CONTROLLED DOCUMENTS?

4.5,2 DO THE PROCEDURES REQUIRE THE REISSUING OF DOCUMENTS

AFTER PRACTICAL NUMBER OF CHANGES HAVE BEEN MAD

APPENDIX” C-6”
 TYPICAL SET OF QUESTIONS FOR USE IN SUALITY SYSTEM EVALUATION BASED ON ISO 9001-1987 –
PURCHASING

REFERENCE
PARAGRAPH
NUMBER FUNCTION
4.6.1 WHAT FORM OF DOCUMENTATION IS USED TO DEFINE THE
QUALITY-RELATED ACTIVITIES IN PURCHASING GOODS AND
SERVICES?

4.6.2 HOW ARE SUPPLIERS SELECTED FOR THE AWARDING OF

CONTRACTS?
e.g. VENDOR APPRAISAL VISITS, QUALITY PROGRAMME
APPROVAL, QUALIFIED SUPPLIER LISTS ISSUED BY APPROVAL
AGENCIES, PAST PERFORMANCE RECORD,

OTHER --------------------------------------------------

4.6.2 HOW DOES THE PURCHASER ENSURE THAT THE VENDOR

QUALITY PROGRAMME REMAINS ADEQUATE?
e.g EXTERNAL QUALITY AUDITS, VALIDATION OF VENDOR DATA,
SOURCE SURVEILLANCE, RECEIVING INSPECTION

OTHER ------------------------------------------------------

4.6.3 ARE THE PROCEDURES COVERING THE PREPARATION OF

PURCHASE ORDERS (SUBCONTRACTS) ADEQUATE TO ENSURE:

1. CLEAR AND UNAMBIGUOUS DESCRIPTION OF THE PRODUCT

ORDERED?
2. THE TYPE, CLASS, STYLE, GRADE OR OTHER PRECISE
IDENTIFICATION WHERE APPLICABLE?
3. THE TITLE OR OTHER POSITIVE IDENTIFICATION AND
APPLICABLE ISSUE OF SPECIFICATIONS, DRAWINGS ETC.,
INCLUDING WHERE APPLICABLE, THE REQUIREMENT FOR
APPROVAL OR QUALIFICATION OF THE PRODUCT,
PROCESS, OPERATORS, ETC TO THESE DOCUMENTS?
4. THE TITLE, NUMBER AND ISSUE OF THE RELEVANT
QUALITY SYSTEM STANDARDS ?

4.6.3 ARE PURCHASING DOCUMENTS VERIFIED PRIOR TO ISSUANCES

AND IF SO BY WHOM AND WITH WHAT AUTHORITY ?

4.6.3 ARE THE QUALITY REQUIREMENTS PRE-DEFINED AS AN AID TO

PURCHASING AND IF SO, HOW?

4.6.4 ARE ANY “QUALITY TERMS AND CONDITIONS” USED AS AN

ATTACHMENT TO THE PURCHASE ORDER. ?

REFERENCE
PARAGRAPH FUNCTION
NUMBER
-------------------------------------------------------------------------------------------------------------------------------
4.6.4 DO THE PROCEDURE ALLOW FOR THE ORGANIZATION’S
CUSTOMER CARRYING OUT VERIFICATION ACTIVITIES AT A
SUPPLIER’S ACTIVITY?

4.7 ARE PROCEDURES PREPARED , ESTABLISHED AND MAINTAINED

TO DEFINE THE CONTROLS APPLICABLE TO THE VERIFICATION,
CONTROL, STORAGE AND MAINTENANCE ACTIVITIES
RELATING TO PURCHASER-SUPPLIED EQUIPMENT?

APPENDIX “C-7”

TYPICAL SET OF QUESTIONS FOR USE IN QUALITY SYSTEM EVALUATION BASED ON ISO 9001-1987 -
PRODUCT IDENTIFICATION AND TRACEABILITY
------------------------------------------------------------------------------------------------------------
REFERENCE
PARAGRAPH FUNCTION
NUMBER
---------------------------------------------------------------------------------------------------------------
4.8 HOW DO WE ESTABLISH AND MAINTAIN CONTROL OF THE
 IDENTITY OF THE PRODUCT AND ITS COMPONENTS DURING
ALL PHASES OF THE PROGRAMME ?

4.8 DO THE PROCEDURES ESTABLISH A “FIRST-IN, FIRST OUT”

PHILOSOPHY ?

4.8 DO THE PROCEDURES PROVIDE ADEQUATE CONTROL FOR

THE TRACEABILITY OF GOODS OR SERVICES WHERE THIS IS
REQUIRED BY THE CONTRACT REGULATION, OR SUPPORTING
DOCUMENTATION ?
 APPENDIX “C-8”

TYPICAL SET OF QUESTIONS FOR USE IN QUALITY SYSTEM EVALUATION BASED ON ISO 9001-1987 -
PROCESS CONTROL
--------------------------------------------------------------------------------------------------------------------
REFERENCE
PARAGRAPH FUNCTION
NUMBER
-------------------------------------------------------------------------------------------------------------------
4.9.1 DO THE PROCEDURES PROVIDE ADEQUATE PROCESS
CONTROLS, WHERE SUCH PROCESSES COULD ADVERSLY
EFFECT PRODUCT QUALITY, DURING THE DESIGN AND
PRODUCTION ACTIVITIES?

e.g PROCESS CAPABILITY ANALYSES, DOCUMENTED WORK

INSTRUCTION COMPATIBLE WITH THE SKILLS AND ABILITIES
OF THE USER,STATISTICAL PROCESS(QUALITY) CONTROL
CHARTS , WORKMANSHIP STANDARDS , FACILITIES
ENVIRONMENTAL CONTROLS ,OTHER -----------------------------

4.9.1 DO THE PROCEDURES PROVIDE ADEQUATE PROCESS CONTROLS

WHERE SUCH PROCESS COULD ADVERSLY AFFECT PRODUCT
QUALITY DURING THE INSTALLATION, COMMISSIONING, AND/
OR DECOMMISSIONING ACTIVITIES ?
e.g PROCESS CAPABILITIES ANALYSES ,DOCUMENTED WORK
INSTRUCTIONS COMPATIBLE WITH THE SKILLS AND ABILITIES
OF THE USER,STATISTICAL PROCESS (QUALITY) CONTROL
CHARTS, WORKMANSHIP STANDARDS,FACILITIES, ENVIRONMENTAL
CONTROLS, OTHER ------------------------------------------

4.9.2 DO THE PROCEDURS PROVIDE ADEQUATE CONTROLS OF

MATERIALS PERSONNEL PROCESSES AND VERIFICATION
STEPS INVOLVED WITH SPECIAL PROCESSES SUCH AS WELDING
PLATING,PAINTING etc. , WHERE SUCH PROCESSES COULD
ADVERSLY AFFECT PRODUCT QUALITY, DURING THE DESIGN,
PRODUCTION.INSTALLATION,COMMISSIONING AND/OR
DECOMMISSIONING ACTIVITIES ?

e.g QUALIFICATION OR CERTIFICATION OF OPERATOR, FACILITY

OR PROCESS ,WORK INSTRUCTIONS, QUALITY STANDARDS,
TRAINING PROGRAM,RECORDS,OTHER -------------------------------

APPENDIX “C-9”

TYPICAL SET OF QUESTIONS FOR USE IN QUALITY SYSTEM

EVALUATION BASED ON ISO 9001-1987 :- INSPECTION AND TEST
______________________________________________________________________
REFERENCE
PARAGRAPH FUNCTION
NUMBER
__________________________________________________________________
4.1.2.2 DOES THE ORGANIZATION CLEARLY ENSURE THAT ALL
INSPECTIONS AND TEST PERSONNEL INVOLVED WITH
VERIFICATION ACTIVITIES ARE INDEPENDENT OF THOSE
HAVING DIRECT RESPONSIBILITY FOR THE WORK BEING PERFORMED ?

4.10.1.1 HOW DO THE PROCEDURES CONTROL THE FLOW OF INCOMING

GOODS TO ENSURE NONE IS USED OR PROCESSED UNTIL THE
QUALITY HAS BEEN VERIFIED BY SOME MEANS ?
e.g BONDED AREA, CONTROLLED MOVEMENT OF MATERIALS
RESTRICTED ACCESS, RECEIVING INSPECTION, VENDOR DATA
VALIDATION,APPROVAL VALIDATION,PRESENCE OF SOURCE
SURVEILLANCE,VERIFICATION BY USE OF APPLICATION ,
OTHER ----------------------------------------------------------------

4.10.1.1 ARE VERIFICATION TECHNIQUES ADEQUATELY DEFINED FOR

METHOD SAMPLING, ACCEPTANCE CRITERIA etc. ?
4.10.1.2 DO SOME MEANS EXIST FOR RELEASING URGENTLY REQUIRED
GOODS PRIOR TO VERIFICATION,INCLUDING IDENTIFICATION,
MEANS OF IMMEDIATE RECALL AND REPLACEMENT,
CONTROLLED APPLICATION , etc. ?
4.10.2 DO THE PROCEDURES PROVIDE ADEQUATE CONTROLS TO ENSURE :

1. VERIFICATION OF GOODS BY INSPECTION, TEST OR OTHER

METHOD, IN ACCORDANCE WITH THE QUALITY PLAN OR DOCUMENTED PROCEDURES ?
2. ESTABLISHMENT OF PRODUCT CONFORMANCE THROUGH THE USE OF PROCESS MONITORING AND
PROCESS CONTROLS ?
3. HOLDING OF PRODUCT OR COMPONENTS THEREOF,PENDING
VERIFICATION, SUBJECT TO CONTROLLED URGENT USAGE?
4. IDENTIFICATION AND SEGREGATION OF NONCONFORMING
PRODUCT ?

4.10.3 DO THE QUALITY PLAN OR PROCEDURES REQUIRE FINAL

CONFIRMATION THAT ALL VERIFICATION ACTIVITIES HAVE
BEEN COMPLETED SATIFACTORILY AND THE DATA AUTHORISED,
AS NECESSARY, PRIOR TO RELEASE OF THE PRODUCT FOR
SHIPMENT ?
4.10.4 DO THE PROCEDURES CLEARLY DEFINEHOW AND WHEN THE
VARIOUS INSPECTION AND TEST RECORDS ARE TO BE PREPARED,
WHERE THEY ARE TO BE PREPARED,WHERE THEY ARE TO BE HELD AND FOR HOW LONG ?

4.11 HOW IS INSPECTION AND TEST STATUS IS INDICATED ON THE

GOODS AND RECORDS ?
e.g PERSONALIZED STAMPS,TRAVELLER CARDS,LABELS VERIFICATION RECORDS,PHYSICAL
LOCATION,OTHER -----------------

4.12 WHERE STAMPS OR MARKS ARE USED TO INDICATE INSPECTION AND TEST STATUS, HOW ARE THESE
CONTROLLED TO PREVENT UNAUTHORISED USE?

APPENDIX “C-10”

TYPICAL SET OF QUESTION FOR USE IN QUALITY SYSTEM

EVALUATION BASED ON ISO 9001-1987 :
INSPECTION AND EQUIPMENT (METROLOGY)
______________________________________________________________________________________
REFERENCE
PARAGRAPH FUNCTION
NUMBER

4.11 HOW DO THE PROCEDURES CONTROL METROLOGY TO ENSURE

 CONTROL,CALIBRATION,AND MAINTENANCE OF ALL
INSTRUMENTATION, MEASURING DEVICES,JIGS,FIXTURES etc,
USED TO DEMONSTRATE CONFORMANCE OF THE PRODUCT TO
THE SPECIFIED REQUIREMENTS?

4.11.a DO THE PROCEDURES REQUIRE THE PRODUCT DOCUMENTATION

TO CLEARLY IDENTIFY EACH MEASUREMENT REQUIRED WITH
ITS RELEVANT ACCURACY?
4.11.a HOW THE MEASURING DEVICS AND ENVIRONMENT SELETED TO
MATCH THE ACCURACY REQUIREMENTS?
4.11.b HOW OFTEN ARE MEASURING DEVICES CALIBRATED AND
ADJUSTED IF NECESSARY, AGAINST STANDARDS TRACEABLE TO
THE NATIONAL STANDARDSOR BASIC PRINCIPLES?
4.11.c DO CALIBRATION PROCEDURES ADEQUATELY DEFINE SUCH
FACTORS .
4.11.d AS PERIODICITY, CALIBRATION METGHOD AND EUIPMENT
4.11.e ENVIRONMENT PROCESS CONTROL CHARTS (WHERE
APPLICABLLE),
4.11.f MARKING OF CALIBRATION STATUD RECORDS etc?
4.11.g DO THE PROCEDURES REQUIRE THE REASSESSMENT OF ALL
PRIOR MEASUREMENTS MADE WITH A MEASURING DEVICE
FOUND TO BE OUT OF CALIBRATION?
4.11.h DO THE PROCEDURES CONTROL THE HANDLING,PRESERVATION,
STORAGE AND MOVEMENT OF MEASURING EQUIPMENT TO
PREVENT DEGRADATION ?
 APPENDIX “C-11”

TYPICAL SET OF QUESTIONS FOR USE IN QUALITY SYSTEM

EVALUATION BASED ON ISO 9001-1987 : NON CONFORMING PRODUCT

REFERENCE
PARAGRAPH FUNCTION
NUMBER

4.13 HOW DO THE PROCEDURE ENSURE THAT NONCONFORMING

PRODUCT IS NOT INADVERTENTLY USED OR INSTALLED ?
E.g IDENTIFICATION,DOCUMENTATION,EVALUATION,
SEGREGATION DISPOSITION OF NONCONFORMING PRODUCT,
NOTIFICATION OF FUNCTIONS CONCERNED, OTHER --------------

4.13.1 IS THE DECISION-MAKING CHAIN CLEARLY DEFINED AS TO RESPONSIBIL-

ITIES,DISPOSITION,REWORK,REPAIR,REGARDING OPTIONS ,CUSTOMER
PARTICIPATION,RECORDS etc ?

4.14 HAS THE SUPPLIER ESTABLISHED ,DOCUMENTED AND

MAINTAINED PROCEDURES FOR AT LEAST :-

1. INVESTIGATING NONCONFORMITIES TO DETERMINE THE CAUSE AND

THE SHORT-TERM CORRECTIVE ACTION REQUIRED ON THE PARTS CONCERNED AND THE
LONGER- TERM CORRECTIVE ACTION TO PREVENT RECURRENCE?
2. ANALYSING ALL PROCESSES,WORK OPERATIONS, CONCESSIONS , QUALITY
REDORDS,SERVICE REPORTS CUSTOMERCOMPLAINTS etc. TO DETECT AND ELEMINATE
POTENTIAL CAUSE OF NONCONFORMING PRODUCT?
3. INITIATING PREVENTIVE ACTIONS WHERE POSSIBLE, TO REDUCE THE RISK OF
NONCONFORMITY?
4. RECORDING ALL CORRECTIVE ACTIONS TAKEN AND THE RSULTS OF FOLLOWUP
ACTIVITIES?

4.13 DO PROCEDURES PROVIDE FOR VISIBILITY TO MANAGEMENT ON

THE EXTENT OF THE NONCONFORMITIES DETECTED,THE RESULTS OF THE CORRECTIVE
ACTIONS AND THE OUTSTANDING PROBLEMS ASSOCIATED WITH NONCONFORMITIES AND
CORRECTIVE ACTIONS ?
 APPENDIX “C-12”

TYPICAL SET OF QUSTIONS FOR USE IN QUALITY SYSTEM

EVALUATION BASE ON ISO 9001-1987 – HANDLING,
STORAGE,PACKAGING,DELIVERY

REFERENCE
PARAGRAPH FUNCTION
NUMBER
____________________________________________________________________________4.15.1 ARE
THERE PROCEDURES ESTABLISHED,DOCUMENTED
MAINTAINED COVERING THE HANDLING,STORAGE,PACKAGING
AND DELIVERY OF PRODUCT?
4.15.2 DO THE PROCEDURES PROVIDE FOR METHODS AND FACILITES
FOR HANDLING THE PRODUCT THAT WILL PREVENT DAMAGE
OR DEGRATION ?
e.g CONTAINERS,PROTECTIVE WRAP,HANDLING FIXTURES
LOADING FIXTURES,OTHER ------------------------------
4.15.3 DO THE PROCEDURES PROVIDE FOR STORAGE FACILITIES
THAT WILL PREVENT PRODUCT DAMAGE OR DEGRATION ?
e.g STORAGE FACILITIES- SHELVES,BINS,CONTAINERS etc
ENVIRONMENTAL CONTROLS,INVERSION WHERE APPLICABLE
SEGREGATION; MOVEMENT CONTROLS; OTHER-----------
4.15.4 DO THE PROCEDURES PROVIDE FOR THE DESIGN,DOCUMENTA-
TION ,VERIFICATION AND APPLICATION OF PACKAGING
METHODSTHAT WILL PREVENT DEGRADATION OR DAMAGE TO
THE PRODUCT ?

e.g ARE DESIGN REQUIREMENTS DEFINED? IS THE PACKAGING

DESIGN VERIFIED FOR ACCEPTABILITY? DOES THE METHODS
DATA CLEARLY DEFINE THE PACKAGING AND VERIFICATION
METHOD AND ACCEPTANCE CRITERIA? ARE PERIODIC
VERIFICATIONS REQUIRED? OTHER ----------------------------------

4.15.5 DO THE PROCEDURES PROVIDE FOR DETERMINING THE MOST

EFFECTIVE MODE OF DELIVERY,TOGETHER WITH ANY HAZARDS
INVOLVED THAT MIGHT DAMAGE OR DEGRADE THE PRODUCT ?

e.g AIR VS. ROAD VS. SEA , ENVIRONMENTAL HAZARDS,

HANDLING FACILITIES AT THE DESIGNATION, OTHER ------------
 APPENDIX “C-13”

TYPICAL SET OF QUESTIONS FOR USE IN QUALITY SYSTEM

EVALUATION BASED ON ISO 9001-1987 - QUALITY AUDITS

____________________________________________________________________________________
REFERENCE
PARAGRAPH FUNCTION
NUMBER

4.17 HOW DO THE PROCEDURES CONTROL THE SCHEDULING ,INITIATION,

PLANNING,IMPLEMENTATION AND REPORTING OF INTERNAL QUALITY
AUDITS ?
4.17 DO THE INTERNAL QUALITY AUDITS EVALUATE THE EFFECTIVENESS OF
THE ACTIVITY UNDER REVIEW ASWELLAS ITS CONFORMANCE TO
PROCEDURES ?
4.17 WHO CONDUCTS AND INTERPRETS THE INTERNAL QUALITY AUDITS ?

4.17 WHO RECIEVES COPIES OF THE QUALITY AUDIT REPORT AND ANY

REQUESTS FOR CORRECTIVE ACTION?

4.17 HOW ARE CORRECTIVE ACTION REQUEST FOLLOWED UP TO ENSURE

THE PROPOSED ACTION OCCURS?

 APPENDIX “C-14”

TYPICAL SET OF QUESTIONS FOR USE IN QUALITY SYSTEM

EVALUATION BASED ON ISO 9001-1987 - TRAINING

REFERENCE
PARAGRAPH FUNCTION
NUMBER

4.18 DOES THE TRAINING PROGRAM COVER QUALITY AWARENESS FOR ALL
PERSONNEL FROM THE EXECUTIVE LEVEL DOWN?

4.18 DOES THE TRAINING PROGRAMME COVER THE DEVELOPMENT OF

SPECIAL SKILLS REQUIRED FOR VARIOUS PROCESSES, INCLUDING THE
QUALIFICATION OR CERTIFICATION OF THE PERSONNEL WHERE
APPLICABLE?

4.18 WHAT RECORDS ARE KEPT OF THE RESULTS OF THE TRAINING PROGRAM?

4.18 HOW DOES THE TRAINING PROGRAMME COVER THE REQUIREMENTS FOR
REQUALIFICATION OR RECERTIFICATION?
 APPENDIX “C-15”

TYPICAL OF SET OF QUESTIONS FOR THEUSE IN QUALITY SYSTEM

EVALUATION BASED ON ISO 9001-1987 - SERVICING

REFERENCE
PARAGRAPH FUNCTION
NUMBER
------------------------------------------------------------------------------------------------------------------------------------
4.19 WHAT PROCEDURS ARE PREPARED TO ESTABLISH AND MAINTAIN
SERVICING ACTIVITIES FOR THE PRODUCT?

4.19 HOW ARE THE VARIOUS DOCUMENTS, OPERATING MANUALS, etc

VERIFIED WITH RESPECT TO THEIR ACCURACY AND USABILITY BY THE
INTENDED PRODUCT USERS?

4.19 HOW IS THE EFFECTIVENESS OF THE SERVICING ACTIVITY MEASURED AND

REPORTED?
 APPENDIX “C-16”

TYPICAL SET OF QUESTIONS FOR USE IN QUALITY SYSTEM

EVALUATION BASED ON ISO 9001-1987 - STATISTICAL TECHNIQUES
REREFERENCE
PARAGRAPH FUNCTION
NUMBER
-----------------------------------------------------------------------------------------------------------
4.20 HOW DO THE PROCEDURES ESTABLISH AND DEFINE WHAT, WHEN,
WHERE THE VARIOUS SAMPLING PLAN ARE TO BE USED? WHICH
STANDARDS COVER TE SAMPLING PLANS BEING USED?

4.20 HOW DO THE PROCEDURES ESTABLISH AND DEFINE THE TYPES OF

PROCESS CAPABILITY AND PROCESS CONTROL TECHNIQUES TO BE USED?

HOW DO THE PROCEDURES ESTABLISH AND DEFINE OTHER STATISTICAL TECHNIQUES USED?

e.g DESIGN OF EXPERIMENTS, COST OF QUALITY , TAGUCHI TECHNIQUES, ANALYSIS ON

VARIANCES,
OTHER --------------------------------------------------------------------------------------
 APPENDIX “C-17”

TYPICAL SET OF QUESTIONS FOR USE IN QUALITY SYSTEM

EVALUATION BASED ON ISO 9001-1987 - INSTALLATION
--------------------------------------------------------------------------------------------------------------------------------
REFERENCE
PARAGRAPH FUNCTION
NUMBER

WHAT PROCEDURES OR INSTALLATION PLANS COVER THE INSTALLATION ACTIVITIES?

IS THERE A SEPARATE QUALITY PLAN OR INSPECTION PLAN DEVELOPED FOR THE

INSTALLATION PROGRAMME?
 APPENDIX “D”

QUALITY AUDIT COMPLIANCE REPORT

________________________________________________________________________________________
AUDIT NO :

DEPARTMENT/SECTION :
APPLICABLE :
DOCUMENTS NO :

NAME OF AUDITOR
01 : 02
03 : 04

COMPLETE THIS FORM LEGIBLY

SL NO OF : AUDITOR TO RECORD HIS FINDINGS/OBSERVATIONS DURING

CHECK LIST : AUDIT AND ALSO MENTION THE VARIOUS DOCUMENTS/FILES
: /RECORDS VERIFIED & PERSONS INTERVIEWED
:
:
:
:
:
:
:

SIGNATURES OF AUDITORS

__________________________________ __________________________________
01 : 03 : SIGNATURE OF AUDITEE
---------------------------------------------------- DEPARTMENT/SECTION
02 : 04 : REPRESENTATIVE
-------------------------------------------------- : ---------------------------------------------------------

NAME
DESIGNATION

APPENDIX “E”

QUALITY AUDIT NONCONFORMANCE REPORT

--------------------------------------------------------------------------------------------------------------------------------
AUDIT NO : DATE
--------------------------------------------------------------------------------------------------------------------------------
DEPARTMENT/SECTION :
APPLICABLE :
DOCUMENT NOS :

NAME OF AUDITORS

01 : 02

03 : 04

______________________________________________________________________________________
NC NO. NONCONFORMANCE OBSERVED ISO 9001 APPLICABLE
STANDARD DOCUMENT AND
CLAUSE NO.

CORRECTIVE ACTIONS (CA) : PROPOSED DATES FOR

PROPOSED BY AUDITEE C A

SIGNATURES OF AUDITORS

-------------------------------------------------------
01 : 02 SIGNATURE OF AUDITEE

03 : 04 -----------------------------------

------------------------------------------------------ NAME
DESIGNATION

APPENDIX “F”

REQUISITION FOR CLOSING OF QUALITY AUDIT AND N C REPORT

SUB : FOLLOW UP AUDIT FOR VERIFICATION OF IMPLEMENTATION

AND EFFECTIVENESS OF CORRECTIVE ACTIONS TAKEN
 REF : AUDIT NO. -------------------------------------- DATED -----------------------------
DEPARTMENT/SECTION-------------------------------------------------------------

WITH REFERENCE TO ABOVE QUALITY AUDIT WE HAVE TAKEN

CORRECTIVE ACTION FOR ALL NON-CONFORMANCES REPORTED DURING THE
AUDIT.

THE DETAILS OF CORRECTIVE ACTIONS TAKEN ARE AS FOLLOWS:-

-------------------------------------------------------------------------------------------------------------------

N.C NO. : CORRECTIVE ACTION TAKEN

CHECK LIST :
_________________ :___________________________________________________________
:
___________________________________________________________________________

_____________________________________________________________________________

_____________________________________________________________________________

_____________________________________________________________________________

_____________________________________________________________________________

YOU ARE REQUESTED TO VERIFY THE IMPLEMENTATION AND

FFECTIVENESS OF CORRECTIVE ACTIONS TAKEN AND CLOSE THE N.C REPORT.

SIGNATURE OF INCHARGE

NAME :

DESIGN. :

To :

APPENDIX ”G”

QUALITY AUDIT N. C. CLOSING REPORT

AUDIT NO : DATE

DEPARTMENT/SECTION
APPLOICABLE
DOCUMENT NOS.

NAME OF AUDITORS

01 : 02
03 : 04

N.C NO. CORRECTIVE ACTION TAKEN DATE OF EFECTIVENESS

IMPLEMENTATION VERIFIED

AUDITORS SHALL MENTION THE FILE/DOCUMENT/PERSONNEL VERIFIED/

INTERVIEWED FOR CONFORMING THE CORRECTIVE ACTION

NONCONFORMANCE REPORT IS HEREWITH ENCLOSED.

-----------------------------------------------------

SIGNATURE OF AUDITORS
--------------------------------------------------------
01 : 02 SIGNATURE AND NAME OF
DMR
-------------------------------------------------------- ----------------------------------------
03 : 04
------------------------------------------------------- ---------------------------------------
 APPENDIX “H”

QUALITY AUDIT - SUMMARY REPORT

( NON CONFORMANCE REPORT CLOSING CLAUSE)

DATE :

: a - AUDITEE COMPLETES CORRECTIVE ACTIONS AND INFORMS MANAGEMENT

REPRESENTATIVE ( R )
: b - MR INFORMS INTERNAL AUDITORS
: c - AUDITORS VERIFY AND CLOSE N C REPORTS

SL NO AUDIT AREA AND ACTIVITY NO. OF STATUS REMARKS

REF NO. NCs

TO : MANAGEMENT REPRESENTATIVE

CHAP-13
 ACCIDENT INVESTIGATION
1 The objective of investigation into Aircraft Accident is to determine the factors, conditions and
circumstances causing the accident and for taking appropriate measures to prevent their recurrence. In
short it could be stated as determination of ‘what’, ‘how’ and ‘why’ it happened, for an improvement in the
eqpt & procedures in a preventive mode.

2. Court of Inquiry (COI)

2.1 Aircraft Accident are investigated by a team of reps of service organisation, HAL,
RCMA/CEMILAC and DGAQA/CRI to establish the cause and suggest remedial measures. Normally the
COI is constituted by Air HQrs with a DGAQA rep for participating in the Court of Inquiry and
accordingly an officer is deputed as a member in attendance in the Investigating team. This member has to
sign the final report along with other members of the Court of Inquiry and can express dissent if and when
required.

2.2 The officer detailed to represent DGAQA in the COI should be preferably at least SSO-II &
minimum of 2 years experience preferably on the type of aircraft involved in the accident / incident.

2.3 The scope of investigation will cover one or more of the following aspects, depending upon the
emerging details of the specific case :-

a) Operations
b) Weather
c) ATC (Air Traffic Control)
d) Human factors,
e) Aero medical
f) Technical

2.4 The investigation will encompass one or more of the following broad areas :-

a) Structures
b) Power Plants
c) Aircraft Systems such as electrical, hydro-pneumatic, flight and engine control, pressurization
and air conditioning, radio communication and radio navigation, Instruments, fuel, oxygen, fire
warning, armament control, ejection and rescue
d) Flight data recorder system analysis.
e) Maintenance and records

2.5 The responsibility of a member, representing the DGAQA organisation, is to ensure his role and
extent of participation in the particular accident investigation, towards the objective of establishing the
cause.

3. Investigation AFO 7/93 may be referred to for procedures / guidelines on aircraft accident
Investigation.

3.1 Initial Survey

3.1.1 A clear and complete picture of the circumstances under which the accident occurred would be the
starting point. In case of an accident, initial point of impact , and general state of the wreckage, have to be
ascertained / established. The probable flight path, impact angle and speeds, whether the aircraft was
under control or not, if the structural failure occurred prior to impact, etc, need to be kept in view at this
stage of investigation.

3.1.2 There are different types of flight data recorders in use and the information recorded by each varies
from scanty to comprehensive. However the information could give important clue towards the condition
of Aircraft prior to accident. All efforts must therefore be made to locate the FDR and analyse the recorded
data. Cockpit voice recorders, if used, may also give important Information. The analysed information
could be useful for reconstructing the events, which led to the accidents.

3.2 Debris analysis/wreckage examination

3.2.1 The investigation in respect of aircraft accidents proceeds with initial survey of wreckage, debris
and arranging them later in proper sequence to account for all the components and identify missing items.
During investigation it may be necessary to send some of the components to the manufacturing /
overhauling agency for detailed defect investigations. Suspected items / components should be taken up
for Defect Investigation to establish the cause and plan necessary remedial measures.

3.2.2 Wreckage distribution at site needs careful examination for useful clue towards sequence of events
and failure patterns. Particular attention should be paid to instruments, position of switches in cockpit,
position of under carriage and jacks, control surface positions, trim settings, radio channels and fuel
systems cock, suspicious breakages and bends, power plant with control lever positions, etc. If the
wreckage is widely scattered there is a possibility of structural disintegration before impact. In accidents
associated with wheels down landing, width of tyre imprint, nature of marks, may give some clue.

3.3 A broad picture can be arrived at after examination of wreckage, covering such points as :
a) The direction, angle and speed of descent.
b) Whether descent was controlled or uncontrolled,
c) Whether the engines were under power at the time of impact.
d) Whether the aircraft was structurally intact at the point of initial
impact.

3.4 Operations Investigations

3.4.1 All the facts relating to the flight and to the activity of the crew before, during and after flight are
normally covered under this.

3.5 Power Plant Investigation

3.5.1 This includes engine, fuel, oil and coolant system, jet pipes, variable nozzle, after burner assembly,
engine mountings, gearboxes, drives, power plant controls fire warning and extinguishing system.
Propeller and Jet engines would need separate considerations. Examination of the aspects like ingestion of
FOD, type and quality of fuel, effectiveness of fire extinguishing system should also be considered.

3.6 Structures Investigation

3.6.1 The investigation covers the airframe of Aircraft, primary and secondary structures, left and flight
control surfaces etc. Examination of the airframe should be done carefully for smears and score markings.
The material failure of components needs examination to decide the type of failure.

3.7 Systems Investigations

3.7.1 This covers all systems which do not come under power plant and Aircraft structure. They include
hydraulic, pneumatic, electrical etc. Each system should be accorded the same importance regardless of the
circumstances of the accident. All systems must be thoroughly examined. Data from one system may be
helpful in providing the integrity or otherwise of other system. The examination may involve both in site
inspection as well as the functional test of the entire system or re-installation in similar aircraft for testing.

3.7.2 Whenever recording condition of any component of any system, it must have the following
information :-

a) Part Number
b) Section Ref. Number
c) Sr. Number
d) Name of manufacture or overhaul agency
e) Main assembly description
f) Sub assembly description
g) Hours done
h) Detailed description of the appearance and condition
i) Position of any movable part (Jacks, actuators etc)

3.8 Investigation of Maintenance details

3.8.1 The purpose is to review the maintenance history of aircraft to determine.

a) Whether the aircraft has been maintained in accordance with specified standards
b) Whether the specified standards are satisfactory vis-à-vis accident case
c) To ascertain the correctness of maintenance procedures
d) To ascertain that the technical orders on the maintenance have been complied with.

3.9 Aero Medical Aspects

3.9.1 The primary purpose of this investigation is to determine and weigh the importance of human
factors involved in aircraft accident. All efforts should be made to record, analyse and evaluate the specific
causes as completely and objectively as possible under the circumstances.

4. Analysis of Evidence

4.1 There are three sources of evidence in the investigation :-

a) From persons having witnessed the accident / incident

b) Evidence collected from examination of wreckage, study of components / structures,
analysis of records and documents.
c) Tests and examination of parts at different Labs.

4.1.1 The evidence, analysed thus will help to determine the primary and contributory cause factors
involved and the sequence of events leading to the accident / incident. Based on the material facts,
evidences and analysis, the most likely cause and sequence of events, which led to the accident / incident ,
could be arrived at.
5. Reporting
.
5.1 Recommendations of the team in the report should be practical and capable of implementation. The
recommendation may cover short term and long term actions to prevent recurrence.

5.2 The DGAQA member should render a report on the COI giving a summary of the investigation,
analysis and findings along with details of the highpoint of wreckage / observations. Any other point of
relevance to Flight safety may also be included. OCRI should monitor implementation of
recommendations which have been accepted by the normal procedure (Mod/Drg change action / process /
inspection./change action)

6. Conclusion

6.1 Aircraft accident investigation is a specialised task requiring trained & experienced personnel with
suitable qualities, not the least important of which are an inquistitive nature, dedication to this kind of
work, diligence and patience. The investigator must have a good ground working knowledge of aviation
and factors which affect operations as a whole.

6.2 The investigator must be factual and try to be accurate to his best. He must be above influence. He
must seek out, record and analyze the facts, draw conclusions and make recommendations. He must take
review of evidences. An investigator should guard against the temptation to arrive at premature
conclusions based on the apparent similarities to the earlier accident cases .

6.3 The investigation requires a good knowledge of the associated aircraft systems and the practices during the
production/overhaul. Any officer thus being deputed for a COI should have adequate knowledge of the aircraft type concerned,
and should preferably have minimum 2 years experience on the type of aircraft involved in the accident. Regular type wise
compilation of data on past cases of accidents/findings/ recommendations and a study thereof can give guidance on general
aspects like co-relation between wreckage and nature of accident, hardware conditions and associated malfunctions etc
 CHAP-14
STANDARDISATION AND CODIFICATION

1. Introduction

1.1 This Directorate is performing standardisation and codification tasks as its contribution to
Directorate of Standardisation which is responsible for conducting standardisation and codification (S&C)
activities in all fields in the Ministry of Defence under the control of Department of Defence Production &
Supplies within the broad policies formulated by Standardisation Committee under the Chairmanship of SA
to RM. An S&C group has been functioning as the nodal group in the Dte for all the activities related to
our contribution and completion of S&C task allotted to DGAQA.

2. Standardisation

2.1 The policy directive regarding standardisation aims at achieving standardisation in the three
services through preparation of various standardisation documents in different disciplines under the aegis of
following Standardisation Sub Committees :-

a) Vehicle SSC

b) Engineering Equipment SSC

c) Nuclear Biological and Chemical SSC

d) Electronic SSC

e) Electrical SSC

f) Instrumentation SSC

g) Material SSC

h) Armament SSC

j) Aeronautical Stores SSC

k) Guided Missile System & Component

l) Medical SSC

2.2 DGAQA contributes towards this through active participation in these sub committees / working
groups as Members / Vice Chairman / Chairman. The annual targets for preparation / revision of various
standardisation documents are fixed as per five year roll on plan. The Dept. is represented in a number of
Standardisation Sub Committees set up by the Dte of Standardisation to evolve standardisation documents
like JSS, JSG, JSPR, JSRL, AN etc. The members nominated to these sub committees are to study the
subjects proposed for the sub committee work, participate in the meetings, scrutinise / comment on the
draft documents in keeping with the current technical practices, industry status in regard to feasibility and
standardisation requirements. The performance of the Directorate in these activities is reported back to
Committee of Chairman of Standardisation Sub Committees(CCSSC) working under the Chairmanship of
Additional Secretary (DP&S).

3. Codification

3.1 Dte of Standardisation has recently embarked upon a massive task of codifying all Defence
inventory as per the new codification system. DGAQA is also allotted annual codification tasks pertaining
to our AHSP activities. Codification targets allotted by Dte of Standardisation are then sub-allotted to
different groups and some of the field establishments. Apart from the codification targets assigned to the
Dte from the Dte of Standardisation, we also undertake codification of stores developed through TC (Aero).
This codification action is completed ahead of the bulk supplies taking place. The codification work
involves :-

a) Identifying items for codification.

b) Sending 10 characteristics for Primary Access Code (As per attached Annexure II).

c) Filling of IIG forms for allotment of DS Cat No. (As per attached Annexure III).

d) Implementation of DS Cat No. on receipt from Dte of Standardisation. The performance towards
codification is reported to the Defence Equipment Committee (DECC) working under the
Chairmanship of JS(S).

4. S&C Co-Ordination Cell

4.1 In order to co-ordinate and regulate all the S&C activities in the Dte, an S&C Cell is working under
Director (E&I) as an additional charge. The Cell receives all communications from the Dte of
Standardisation, BIS and other bodies on the subject of S&C, and take appropriate action as required in the
dept. by such communication, whether for information, implementation, compliance, collection of data or
scrutiny / comments on draft / existing documents etc. The Cell has a co-ordination Committee of reps
from all sections of HQ to regularly meet / discuss pending issues, review progress and plan / strengthen
the practices for accomplishing the tasks efficiently and in time.

a) All activities of the Dept. covering S&C are coordinated by the S&C Cell.

b) The membership position of the various Standardisation Committees are periodically reviewed for
any changes as warranted.

c) The S&C Cell have regular meetings to review the status of the S&C activities and take necessary
action to co-ordinate / streamline the process for smooth completion.

d) Sections submit a quarterly return (as per Annexure I) to the Cell on the progress of different
categories of work.

5. Implementation Of Finalised / Issued Documents This is carried out through:

a) Use of JSS / JSG etc. wherever applicable / available in lieu of any other specification for different
stores under procurement / projected for procurement.
b) Incorporation of these standardisation documents in the specifications / drawings being prepared in
the Dte, to specify various parts, sub-systems, painting / protective schemes, standard parts,
environmental test, test methods etc. wherever applicable.

c) Update our Departmental specifications through a review to incorporate the JSS etc. as per (b)
above.

d) Use of JSS etc. during vetting of indents. If the stores indicated in the indent has a JSS or
equivalent JSS governing technical specification, the same is used for procuring the stores in
consultation with the user when necessary. A suitable check list is prepared for keeping the JSS
related points in view during vetting. If there is no JSS and the requirement for the store is
repetitive and multi-service application, the same is considered for taking up in the standardisation
sub committee concerned for drawing up a JSS.Moreover, the possibility of using available /
applicable JSSs to sub systems etc. in existing supply orders is parallelly tried out to assess ground
reality and existing available conformance, particularly machine tools, hand tools, automobile
items, compressors etc. It helps to ascertain if supplies are readily available in the commercial
market as per the relevant JSS.
 ANNEXURE I
S&C RETURN FORMAT (QUARTERLY)

Standardisation Sub Committee Work

Sl. Name of Sub Committee Date of Meeting Status of Subject Remarks

No. And Member And Subject

Codification

No. of items as Nos. actioned during the quarter Total codified

Annual target so far
Sent for PAC IIG form DS Cat No.
PAC Recd Sent given

Implementation Of Standardisation Documents

1. No. of specifications reviewed and corrected to incorporate applicable standard

documents.____________

2. No. of indents vetted during the period and the applicability of existing standard documents
checked / ensured._____________

3. No. of new specifications made and the applicability of existing standard documents checked /
ensured.______________

1. INC __________________ 2. GROUP CLASS ___________________________

3. IIG NO. _______________ 4. ITEM NAME _____________________________

ANNEXURE II
S.NO. CHARACTERISTICS WITH UNITS PAC MODE REMARKS /
CODE INSTRUCTIONS
 REVISED DCA 11 (IIG) ANNEXURE III

DEFENCE CODIFICATION AUTHORITY

DIRECTORATE OF STANDARDISATION

FORM FOR INPUT TO / OUTPUT FROM DATABASE

INPUT ACTION
CODE
1 A
SUBMISSION NO
AHSP DD MM YY SEC INITIALS
S U B

NAME
(AS PER INC)_____________________________________________________________________

ACTION PAC MODE

ELEMENT CODE REPLY

1 K E Y

2 A D D R G N

3 A D S P C N

4 A D A U T R

5 A D M F R R

6 A D S U P R

A D G P C L
7
A D I N C
8
A D I I G
9
A D A H S P
10
A D E I C
11
A D A U
12
A D S U
13
A D O N U M
14
A D P R I C
15
A D Y I N T
16
A D I L I U
17
A D N A M E
18
 ACTION PAC MODE REPLY
ELEMENT CODE
19

20

21

22
23

24

25

26

27

28

29

30

31

32

33

34

35

36

37

38

CHECKED BY __________ VERIFIED BY __________________________

 CHAPTER - 15

LIST OF REPORT/ RETURNS

Sl Nature of Return/ Frequency Originator Addressee Due Date Remarks
Return

th
1. Value of Stores Monthly FEs and Gp at Tech Coord 15 of the succee- 1404/11/DGAQA/Tech
Inspected/accepted HQrs ding Coord dt. 15-2-98

th
2. Import clearance Monthly Tech Coord at LODS MOD 10 of every month Minutes of MOD Main
HQrs Committee Meeting
held on 31-7-85

th
3. BIS Committe- Monthly FEs and Gp Tech Coord at 10 of every month 1410/2/DGAQA/Tech
Participation by HQrs HQrs Coord dated 31-12-97
DGAQA

4. Progress Report Quarterly FEs Concer- End of the month 1404/11/DGAQA/Tech

ned Gp at Hqrs succee-ding Quarter Coord dated 31-12-97

5. Quality Audit -do- Concerned Gp Tech Coord at -do- 1415/2/DGAQA/Tech

Report (As part of HQrs HQrs Coord dated 31-12-97
Quarterly Progress
Report)

th
6. MIS Report -do- -do- -do- 7 of the month 1425/MIS/DGAQA/Tech
succe-eding Quarter Coord dated 5-3-2001
th
7. Qtrly Summary of -do- Aircraft Gp at Gp Heads at 15 of the succed-ing 225/31/DGAQA/
Investigation HQrs Hqrs month A/C dated 27-8-97 and 4-
Reports & 8-99
Corrective action
status
8. Safety Audit 6 monthly AAIW Khamaria Dir (Armt) at Within one month of AAIW/290/Safety dated
(Armament HQrs the pre- 7-5-2002
ceeding
half year
9. MOD Report for Annual Tech Coord at MOD As required
Parlia- HQrs
ment (DGAQA
Portion)
th
10 Mainte- -do- FEs and Gps at Tech Coord at 30 June of every 1425/BIO/DGAQA/Tech
. nance/ HQrs HQrs year Coord dated 30-5-2002
Updation -
Bio-data of
DGAQA Officers
 CHAP-16
Various Quality Assurance Directives issued by HQrs from time to time are given below :-
These are only illustrative and likely to be amended from time to time.
List of QA Directives

Sl No. Subject / Details Addressee Originator's Ref. No. & Date

1. Quality Assurance arrangement for Sub- Al l FEs, 225/31/DTD&P(Air)/Aircraft
Contract work All JDs at HQrs, dated 20 Aug 1977
Concerned HAL &
BEL
2. Review of Delegation of Inspection Stage Al l FEs, 225/31/DTD&P(Air)/A/C dated
All JDs at HQrs 19 Aug 1985
3. Issue of Performance cum Extension Notice Al l FEs, 285/5/DTD&P(Air)/TC(Aero)
All JDs at HQrs dated 24 Jul 87
4. Inspection Tasks - Issue of Proper Guidelines Al l FEs, 1711/DTD&P(Air)/Dir/87 dated
All JDs at HQrs 28 Jul 1987
5. Detailing of Officers for Courts of Enquiry Al l FEs, 210/1/ACC/Aircraft dated 18
All JDs at HQrs May 1987
6. Reliability and maintainability of Aeronautical Al l FEs, 600/2/DTD&P(Air)/AE dated 31
Equipment All JDs at HQrs Aug 1989
7. Quality Assurance of Aeronautical Stores - Al l FEs, 1614/DTD&P(Air)/J&PP dated
Issue of Policy Guidelines All JDs at HQrs 22 Nov 1990
8. Approval of Indigenous Components for Air- Al l FEs, 600/DTD&P(Air)/AE dated 08
borne Usage All JDs at HQrs Apr 1991
9. Job Rotation for Officers in Field Estt. Al l FEs, 1614/DTD&P(Air)/J&PP dated
All JDs at HQrs 17 Feb 1992
10. Proper Scrutiny of Bio data of Quality Control All JDs at HQrs 4830/DGAQA/S&G dated 02
Personnel under "Approved Firms Inspection Feb 1994
Organisation System"
11. Inspection of Stores during Development O I/C Khamaria 590/DGAQA/Arm dated 17 Feb
CRI(AA) Pune & 1994
Trichy
12. Capacity Verification and Registration of O I/C Khamaria 590/DGAQA/Arm dated 04 Mar
Firms CRI(AA) Pune & 1994
Trichy
13. Quality Assurance/Inspection coverage and Heads of all Fes 1415/2/DGAQA/Tech Coord
surveillance of production activities for all dated 22 Nov 1994
items dealt with by DGAQA
14. Quality Audit of Air Armament Stores O I/C Khamaria 590/DGAQA/Arm dated 12 Jul
CRI(AA) Pune & 1995
Trichy
15. Monitoring of the QA Functions of Field All JDs at HQrs 1415/2/DGAQA/Tech Coord
Establishments dated 23 Dec 1996
16. Review of Improvement of Functions Al l FEs, 1415/2/DGAQA/Tech Coord
All JDs at HQrs dated 05 Feb 1997
17. Compliance of SOP/LMC Decision CRIs Nasik, 1614/DGAQA/J&PP dated 20
Koraput, Kanpur, Feb 1997
Addl Dir In
Charge, Bangalore
18. Inspection of Memo Stage & Review of Stage Addl Dir in- 1614/DGAQA/J&PP dated 12
Inspection Charge, Bangalore, May 1997
CRIs Nasik,
Koraput, Kanpur,
JD(A/c)
19. Cleanliness of Aircraft Addl Dir in- 1415/DGAQA/Tech Coord dated
Charge, Bangalore, 09 Jan 1998
CRIs Nasik,
Koraput, Kanpur,
JD(A/c & J&PP)
20. Cleanliness of Aircraft Addl Dir in- 1415/DGAQA/Tech Coord dated
Charge, Bangalore, 09 Jan 1998
CRIs Nasik,
Koraput, Kanpur,
JD(A/c & J&PP)
 Sub: Quality Assurance arrangement for Sub-Contract work.

With the increased accent on indigenisation and import substitution of aeronautical materials
and stores, in pursuance of the general policy of the Government there has been a steady growth in the
number of items which have been indigenised. In this effort, the capacity available in all sectors of
industry, public, private and the smal scale is being utilized as much as possible. The facilities with
the firms in the industry for quality control and inspection vary with the size and type of products
manufactured. The reliability of the end product supplied by them for the aeronautical industry
depends on the soundness of the Quality Control and Quality Assurance system incorporated in the
chain of supplies. It is necessary that a uniform system and procedure be followed for the Quality
Assurance of sub-contracted supplies. Keeping this in view, a quality assurance requirement for sub-
contract work has been issued for compliance so that the supplies are of the quality required for
aeronautical purposes. A copy of the Quality Assurance Requirement No. 1 is enclosed for
information and necessary action. This requirement supercedes the Advisory Circulars issued earlier
on the subject by this Directorate.

(Ref No. 225/3/DTD&P(Air)/Aircraft dated 20 Aug 1977).

QUALITY ASSURANCE REQUIREMENT NO. 1

Quality Assurance Arrangement for Sub-Contract Work.

Firms executing Govt contracts may sometimes sub contract a part of the stores like materials,
components, spare parts, sub assys, equipments etc. to other firms. In such cases it is the
responsibility of main contractor to select a suitable sub contractor and to assure the quality of the
supplies obtained through sub contract.

Selection of sub contractors

Main contractors should select only such sub contractors as have the necessary technical
capacity and organization for the sub contract work. It is therefore necessary that the selection should
be done by the technical departments (i.e. Design, manufacture and Inspection) of the Main contractor.
The selection should be based on the sub contractor's facilities for storage, production, inspection and
tests etc. and his production and inspection organisation.

The sub contract orders should include complete technical specification conforming to the
technical requirements of the main contract. These specifications shall cover the test condition,
conditions of acceptance state of delivery etc.

Responsibility for Quality Assurance

The main contractor is fully responsible for assuring the quality of all sub-contract
supplies/service. The main contractor is required to ensure and demonstrate to the satisfaction of
DTD&P(Air) that all sub-contract items should be subjected at every stage (Receipt of materials and
bought out parts, manufacture, acceptance etc.) to technical inspection in order to ensure conformity
with the specifications of the contract. It is axiomatic that the end-product quality should not be
lowered by sub contract supplies of inferior quality. The nature and extent of inspection control to be
exercised by the main contractor shall be dependent upon the type of supplies, his supplier's
demonstrated capability and the quality evidence available. The contractor shall ensure that the
controls required are effective. This responsibility shall include, if need be, monitoring by contractor's
staff at the sub contractors plant.

The QCM of the main contractor should specify to the sub contractor the requirement of
identification and traceability of products, and the procedure for acceptance of deviation. Non
conforming items shall not be accepted without the concurrence of DTD&P(Air).

Surveillance of sub contracts by DTD&P(Air)

DTD&P(Air) should be informed by the main contractors of all sub contracts along with a
copy each of the orders, giving full details of the sub contractors and the items sub contracted. The
Quality Control Manager of the main contractor should forward quality assurance and acceptance
requirements and the measures to achieve them for the approval of DTD&P(Air) and also coordinate
with DTD&P(Air) the inspection arrangement made by the main contractor to the latter's satisfaction.

The extent of DTD&P(Air) involvement in sub contract QA activities would be decided upon
based on the merits of each case, such as the importance of the supplies, the reputation of the sub-
contractor, the arrangement for Quality Assurance, and any other technical consideration. Whenever
DTD&P(Air) elects to exercise inspection surveillance at the sub contractors premises, they would
inform the QCM of the main contractor of their decision to do so. If necessary, access to the sub
contractors works for DTD&P(Air) staff should be arranged by the QCM (of the main contractor)
preferably by a suitable annotation in the sub contract order. Stages and mode of surveillance
inspection proposed to be undertaken by DTD&P(Air) will be intimated to the main contractor so that
necessary arrangements are made for such surveillance. Discrepancies and deficiencies noticed during
such inspection will be communicated to the QCM of the main contractor for appropriate corrective
action.
Sub: Review of Delegation of Inspection Stage.

It has been noticed that, of late, there has been an increase in the aircraft accident/incident rate.
Several Courts of Enquiry have been constituted by Air HQrs to ascertain and attribute the reasons for
these accidents. In the majority of the cases, the Courts of Enquiry have opined that there is a
possibility of inspection lapses such as not maintaining the stipulated clearances and assembly
requirements in the course of manufacture/overhaul/repair of the aircraft/engines/accessories as
applicable. This has, of course, caused a great deal of concern both to Air Headquarters and to me in
particular and Air Headquarters had expressed the same in a recent discussion.

It is, therefore, essential that the quality assurance functions should be carried out with the
utmost sincerity and technical competence with no let or go. It will be appropriate to infer from the
past experience that certain stages of inspection delegated to the manufacturer, M/s HAL in this case,
might have contributed to these accidents either directly or indirectly. As can be appreciated, the
flight safety should not be compromised at any cost. Towards this end, a review of delegated stages of
inspection may be undertaken and re-introduced by you keeping in view, the relevance of inspection at
the particular stage on the flight safety and the life of aircraft.

You would also appreciate that wherever the flight tests and bench checks are carried out, a
possibility of snag creeping in is always there. Before any rectification of these snags are
contemplated and ad hoc solutions tried out, it is but proper that the same should be investigated in
detail as per the defect investigation procedure in vogue. This aspect should be scrupulous adhered to
when snags of a repetitive nature are reported. This would go a long way to ensure the flight safety of
the aircraft.

You are, therefore, advised to instruct all your officers and staff to be more vigilant in
performing their tasks. It is quite possible that delegation of inspection in certain circumstances is
unavoidable. In such cases at least monitoring the inspection documents should be done to ensure
flight safety. Such monitoring can best be done by bringing an element of surprise. Periodical
surprise checks at activities picked at random would create the necessary psychological atmosphere to
emphasize our role.

With the above background in view. I am sure that suitable action would be taken at top-most
priority for a review of the stage inspection so far delegated either on ad hoc basis or permanently.
Since this is causing greater concern to all of us, action taken by you may be intimated to us on
priority.

(Ref No.225/31/DTD&P(AIR)/A/C dated 19 Aug 1985).

Sub: Issue of performance cum extension notice.

The Technical Committee (Aero Stores) has been placing a large number of supply orders
against indents placed by Air HQrs. The performance of the contractors regarding their deliveries is
constantly monitored and extensions for delivery period issued and and when necessary. When the
performance of the contractor however, is very bad, a performance cum extension notice is issued
indicating therein the date on which an acceptable advance sample should be submitted or bulk
supplies completed. If this date is not adhered to by the contractor, necessary action is taken to
cancels the order at the risk an cost of the firm. One pre-requisite for cancellation of the order is that
the contract should not be kept alive beyond the stipulated delivery schedule by inspection
authority/consignee.

Instances have come to notice where the contract has been kept alive by writing to the firm for
submitting improved advance samples, although samples submitted by the firm within the delivery
period indicated in the performance notice was not satisfactory. This is construed that the contract is
kept alive since the firm has been asked to submit an improved sample. Under this condition, it
becomes difficult for cancellation of the order..

It is, therefore, requested that where firms fail to submit the acceptable advance sample within
the date stipulated in the performance cum extension notice, no further correspondence is to
entertained with this firm. Rejection note may, however, be issued to the firm so that they may be
aware that the samples submitted by them is not satisfactory. It is only under this condition that the
Technical Committee (Aero Stores) will be able to cancel the order. JDs are requested to advise the
field units under their control also accordingly.

(Ref No. 285/5/DTD&P(Air)/TC(Aero) dated 24 Jul 87).

Sub: Inspection Tasks - Issue of Proper Guidelines.

 DTD&P(Air) has the responsibility of providing inspection coverage which include quality
assurance monitoring at various stages for all items of stores to be procured by the Indian Air Force.
While Resident Inspectors take care of the monitoring of quality assurance of the production at the
Public Sector Units, HQ officers are in addition to other duties, in charge of the procurement of stores
through trade sources. At times Resident Inspectors also are delegated with this responsibility
depending on the specific requirements.

It has been noticed that officers in general, are being routed to perform inspection duties on a
routine manner without being given proper instructions about inspection standards with schedules and
other requirements. Although this aspect had been specifically brought out in the circular No.
1711/DTD&P(Air)/Dir/86 dated 18 Jul 86, the instructions given therein have not been followed. This
is a serious lapse and in future it will be viewed with very great concern.

To avoid in fructuous visits and also to ensure that the job is undertaken in a systematic
manner, all JDs are hereby advised to follow the procedure mentioned hereafter :-

(a) Any inspector, deputed for inspection of stores should be specifically given the
inspection schedule and the guidelines depending on the stage of inspection whether
raw material or sub-assemblies or final products. They should also report to the JDs the
progress and discuss the problems periodically till the final product is delivered and
inspection note issued. The inspection schedules should be based on the manufacturer
schedules updated by DTD&P(Air) for meeting the requirements of contract.
(b) There should be a progress report of inspection of high value items till the final
clearance so that the reports could be verified for the purpose of analysis.
(c) Inspection of first delivery items for every delivery tendered by the contractor against
an acceptance of tender/supply order will be inspected properly in accordance with the
terms of contract. The inspection of the first delivery will have to be carried out
specially carefully because this sets the tone for the standard inspection of subsequent
deliveries. The results of the first inspection will give the guidance to the firm in regard
to the elimination of defects and improvement in quality requirement in further
production. Hence the first delivery should as far as possible be seen personally at
relatively higher levels, in addition to detailed inspection and checking etc at normal
levels. Sufficient care should taken to see that discrepancies found in quality at various
stages are examined properly and corrective action suggested to the contractor.
(d) The methodology of inspection may be distributed viz at the manufacturing works, or at
the site of erection or at any test range (if applicable) before final products are accepted.
Since the final inspection note may cover the total value of product care should be
taken to ensure

that all contractual obligations are met. The officers issuing inspection note after
inspection has to take special care in this respect. It is suggested that if value of the
stores exceed Rs. 5 Lakhs, JDs of the Group should be consulted before issue of
 inspection note. Advance precautions are to be taken in this respect for products of
high value. Inspection note for higher value items should preferably be not issued at
site immediately after inspection but be issued after detailed discussions with JD
concerned at HQ or Heads of Office of Field Establishments when inspection is
delegated by HQ. It is also suggested that senior officer should be made responsible for
inspection of high value items (greater than Rs. 5 lakhs). However, during sub-
assemblies inspection and the manufacturing works, depending upon the availability of
lower level inspection staff could be deputed with proper instructions for continuity of
inspection.
(e) It should also be ensured that all documentation requirements for erection, safety
consideration, training of personnel and overhaul should be provided for by the
contractor as covered by the contract before final inspection notes are issued.

(Ref No.1711/DTD&P(Air)/Dir/87 dated 28 Jul 1987)

Sub: Detailing of officers for courts of enquiry.

During the last few months a number of serious flying accidents have taken place for which
Air HQ desired participation of our specialist officers in all all these accidents. Some of these
accidents took place one after the other in a short span of time thereby putting a tremendous pressure
on our manpower position. However, as and when required by Air HQ, we have to detail a suitable
officer to represent DGAQA in those Courts of Enquiry. As you already know participation in the
courts of enquiry is one of the most important functions of DGAQA. Our officers, as specialist
members, in the courts of enquiry, are required to make meaningful contribution to the proceedings of
the courts of enquiry and help in establishing the cause of the accident. Therefore, the representative
of DGAQA plays a very significant role in establishing the potential source of the problem thereby
projecting a very good image of the organisation.

In view of the above, it is essential that only senior officers preferably of the rank of DCSO,
PscO or at least an SSO-I of the required discipline and with requisite expertise be detailed to
represent DGAQA in those Courts of Enquiry. Further it is, necessary that the officers detailed for this
purpose must move within 24 hours of the receipt of the intimation from this HQ. To enable the
officer to reach the crash site in shortest possible time, onward move, by civil air, for non-entitled
persons is also being authorised by this HQ. In spite of this, there have been a few instances of our
officers reaching the place of enquiry after a lapse of a few days causing lot of embarrassment to this
Directorate. In one case, when our officer reached the place of enquiry he found that the enquiry
proceedings had already been completed. In this connection there have been a few cases in which
instructions issued by this Hqrs were not paid the attention, these deserve. Various excuses were
advanced by CRIs for not detailing their officers for the Courts of Enquiry. Such cases in future
would be viewed seriously and may be treated as acts of indiscipline.

It is, therefore, desired that in future, CRI is to personally ensure that a suitable officer if fairly
senior level (DCSO, PscO or SSO-I) and of required discipline is detailed for the courts of enquiry and
the officer must move within 24 hours of receipt of communication from this HQ. This requirement is
strictly to be complied with. If need be CRI himself should represent DGAQA in the court of inquiry.
Also the particulars of the officer detailed for the court of inquiry are required to be intimated to this
HQ immediately telephonically/telegraphically, as the case may be so that the necessary intimation in
this regard is sent to Dte of Flight Safety for their further necessary action.

(Ref No. 210/1/ACC/DGAQA/Aircraft dated 18 May 89)

 Sub: Quality Asurance of Aircraft/Helicopter/Engine
during manufacture/overhaul/servicing

Recently, the undersigned had detailed discussions with Shri NN Vohra, Secy (DP&S) with
respect to quality control and reliability of aeronautical stores during production/servicing in PSUs as
well as in the trade. The discussions were quite wide ranging encompassing all facets of quality
control during design, development, manufacture and indigenisation of various aeronautical stores.

Secy (DP&S), while appreciating the role being played by our organization in ensuring quality
and reliability of various defence aeronautical weapon systems, stressed the need to exercise strictor
control during manufacturing activities. He, further, emphasized that DTD&P(Air) must play a leading
role in the field of indigenisation of various stores but cauthioned that this activity demands high
degree of dedication and innovative skill keeping in view the technologically sophisticated equipment
being involved. Any laxity in quality control in this activity would have very serious consequences
and might jeopardize safety and reliability. He briefly mentioned some of the findings of the Air
Marshal Nehra Committee with respect to indigenisation of rubber seals, grant of life extensions for
shelf-life expired seals/components, calibration of test equipments, non-availability of required clean
room facilities, specified inspection and test equipment etc. at some HAL Divisions. He categorically
stated that any deviation in this regard could not be tolerated by DTD&P(Air). He desired that if
during a short period of time, of course without compromising the quality even during this period, the
facilities are not provided by the contractor, then CRIs if considered necessary could exercise their
right to even stop production till required facilities are provided. Enforcement of the requirement is
the responsibility of the CRIs in their respective divisions. If the local management is not responding
favourably to provide the requisite facilities, test equipments environmental control conditions then
CRIs must raise their level of correspondence to inform top management of PSUs including HQ
DTD&P(Air).

Similarly, while granting concessions on critical components like rubber seals, gaskets,
abundant caution, is required to be exercised. If the CRI is not fully satisfied with the proposal then he
is not bound to go by the advise of CRE or the representatives of the principals stationed at the
contractor's premises. In all such cases, the matter should be referred to HQs, DTD&P(Air), so that
they in turn can take further action in consultation with D Aero. Every indigenous aeronautical
component is required to be type approved by CRE/Dte of Aeronautics. CRIs are required to associate
during the process of indigenous development and type approval activities of all aeronautical stores in
accordance with DDPMAS-75. During the process of indigenisation, CRIs must play their role
effectively and should not hesitate to give their view points in writing in case of their differences of
opinion with CREs.

In view of the above, all CRIs or officers i/c of various establishments are directed to carry out
an immediate review of various indigenous matgerials/items being used in the projects under their
control, and ensure that all these have been duly type approved by CRE. Further, they should carry
out scrutiny of all shelf life extensions granted to various lifed components especially rubber seals and
gaskets etc. Extensions in the shelf life of such items should be considered only under exceptional
circumstances and that too after detailed examination and testing of the items involved. Further,
extensions in the life of critical items like rubber seals should be allowed only after obtaining specific
concurrence of Air Headquarters. These instructions are required to be complied with immediately
and confirmation to this effect is also to be intimated to this HQrs latest by 15 Jun 89.

(Ref NO.225/31/DTD&P(air)/A/c dated 26 May 89.

 Sub: Reliability and maintainability of aeronautical equipment.

Comptroller and Auditor General of U.K. has conducted a study on Reliability and
Maintainability of Defence Equipment purchased from defence contractors in UK. A copy of the
report submitted by them was circulated to all the three services. DTD&P(Air), and other concerned
agencies for studying the applicability of the findings to our system.

The report has brought out that low reliability and maintainability of the equipment accounts
for as much as 5% of the total defence budget. This report has also observed that R and M is generally
sacrificed in an effort to boost performance, reduce delivery time and to contain initial cost. In India R
and M is much bigger problem than UK as we are looking forward to developed countries for know
how in advance technology. Unless a determined effort is made by all the agencies to improve R and
M, we well continue to incur wasteful expenditure on avoidable maintenance and suffer from poor
operational availability of equipment. The report while examining the role of Directorate of Quality
Assurance, stressed the necessity of specifying the R and M requirements in the contracts to be
implemented by Dte of Quality Assurance.

After examining the report in detail, we have made a recommendation to the Ministry to I) To
stipulate the R and M requirements in all the Defence contracts and supply orders and ii) strengthen
the role of DTD&P(Air) to advice on R and M aspects to the procuring agency/source.

Notwithstanding our recommendation on the report of Comptroller and Auditor General (UK)
to the Ministry, R & M is one of the key aspects of Quality Assurance which could not be given due
consideration so far, due to various constraints like initial project cost, time to develop a reliable
system, immediate operational requirements, unwillingness of the manufacturer for R and M
programmes etc. As custodian of Aeronautical Quality Assurance it should be our endeavour to
advise the Services the necessity of a good R and M programme, formulating and stipulating the
requirements in the contract. Findings of this report may be invoked to impress upon the concerned
procuring agency to introduce R and M requirements right at the inception of the projects and by
highlighting the benefits of good R and M programme.

(Ref No. 600/2/DTD&P(Air)/AE dated 31 Aug 89).

 Sub: Quality Assurance of Aeronautical Stores - Issue of Policy Guidelines.

Of late it has been noticed that some of our field establishments are taking on themselves
certain responsibilities which do not strictly come under the purview of the tasks to be performed by
the CRIs as per the guidelines laid down in DDPMAS-75. For example :

(a) It is the responsibility of the CRI to ensure all products

manufactured/repaired/overhauled are as per drawings/documents approved by CRE or
any other accredited design agency. Whenever there are minor deviations which do not
effect strength, safety etc the CRI has to take recourse to the guidelines given in
DDPMAS/Technical Standing Orders for their acceptance. However, where there is a
change in process or a major deviation by way of change of material etc., the CRI
should not accept the product unless the same has been duly co-ordinated by the CRE.
Further it is the prerogative of the CRE to give disposition on the acceptance or
otherwise of the change of process, change of material etc. In respect of processing of
concessions/production permit as per Annexure N of DDPMAS-75, apart from
obtaining design clearance from CRE as mentioned in Part II, it is advised that all the
CRIs must use their discretion and seek the opinion of CRE even when answers to the
questions in Part I, section 11 of DDPMAS-75 are in the negative.

(b) It has also been observed that some of our CRIs are trying to interact with the Quality
Assurance of products at the vendors' (sub-contractors end. It is emphasized that
ensuring the quality of the products supplied by the sub-contractors is the responsibility
of the main contractor. Further any deviation in the vendor items, which is the
responsibility of the principal contractor, could get diluted in case the CRI tries to
intervene in the Quality Assurance activity at the vendor's end.

(Ref No. 1614/DGAQA/J&PP dated 22 Nov 90)

 Sub: Approval of Indigenous components for air-borne usage.

A large variety of electronic systems are being indigenously developed for airborne usage.
These systems utilize varieties of components both indigenous and imported to obtain the desired
PERFORMANCE. As a requirement, the componenets used in the prototype should be Defence
standard items which have successfully gone through the type approval to standard specification.

Subsequent to the finalisation of the design and fabrication of prototype equipment, it has been
considered essential to utilize the indigenously available components as replacement against the
imported ones wherever feasible. With this change of component, there might not be a necessity for
fresh type approval of the airborne avionic system as stipulated in Section 4 para 1 of DDPMAS.

In accordance with the existing procedure laid down in DDPIL, it is necessary to specify type-
approved components at the design stage. However, in certain cases non-approved components would
have been used and the design proved from performance criterial. In order to confirm the suitability of
the component during usage, the type approval of the equipment for airborne usage. It is desired to
highlight that the type approval of equipment by the certifying authority for airborne usage does not
automatically imply the type approval of the components used in the system. In order to follow up the
type approval of non-approved component the manufacturer would utilize the facilities available with
agencies like Department of Electronics and other PSUs who would be able to take up the type
approval activity in respect of electronic components. Tests carried out by these agencies earlier
against standard Defence specifications would also be of assistance in ascertaining the suitability of
the component against airborne usage.

All type approvals accorded to the component are issued by the approving agency in the form
of qualified product lists which could be utilized by the CRIs for guiding the manufacturers in
identifying the type approval.

Also of interest is the detailed instructions issued by DTD&P(Air) on indigenous substitutions

and quality assurance arrangements for sub-contractors works vide 225/31/DTD&P(Air)/Aircraft
dated 20 Aug 1977 (copy enclosed for ready reference). The CRIs are to take note of the above policy
guidelines in the projects being progressed by the concerned manufacturer and forward their views in
regard to the implementation of the above instruction. Suggestions if any, for eliminating the
procedural problems may be brought to the notice of this Hqrs for necessary perusal.

For components used in electronic equipments for Ground usage a similar procedure will be
followed keeping in view DDPIL.

(Ref No. 600/2/DTD&P(Air)/AE dated 08 Apr 1991.)

 Sub: Job rotation for officers in field estts.

It is observed that the officers posted to various field estts is not seem to be getting adequate exposure
in respect of the various activities taking place either in the same factory eg.
Manufacture/overhaul/testing/flight testing/indigenisation/defect investigation or within different factories
located in the same place. In order to enable the officers to discharge the Quality Assurance functions
effectively, it is necessary that they are given job rotation in the related fields. This exposure will also
enable the officers to have an insight into the practices adopted by the licensors (eg. USSR/Western) and
appreciate the problem in a better perspective as and when they are encountered.

Further officers from this Dte have to participate in the aircraft accident investigation/joint investigation on incidents serious in nature and also
in Quarterly Flight Safety meetings at Air HQrs. The overall exposure in related fields will therefore not only assist in effective participation in these activities
including indigenisation but also improve the availability of manpower required for such activities. This will also go a long way in mitigating the difficulties
faced by the officers in the discharge of their duties and avoid only a few officers being subjected to hardships.

Director desires that all the officers in the various field estts be given job rotation on an annual basis in
order to enable them to get adequate exposure so that they acquire a sound knowledge in the related fields.
Necessary action may please be taken in this regard.

(Ref No. 1614/DGAQA/J&PP dated 17 Feb 92.)

Sub: Proper scrutiny of Bio data of quality control personnel under
"Approved Firms Inspection Organisation System".

Under "Approved Firm's Inspection Organisation System", the DGAQA entrusts inspection
responsibility to firm's Quality Control Deptt during all the stages of production and performs surveillance
role over this activity.

One ot the fundamental requirement specified by the DGAQA for an approved firm's inspection
organisation is that the Chief Inspector of the organisation will have adequate number of inspectors
individually approved by the Resident Inspector-in-Charge, DGAQA and meet all eligibility requirements
laid down to discharge inspection functions in that capacity. Any change/addition or termination of
assignment of inspection personnel has to be notified by the Approved Firm to the DGAQA for acceptance
or otherwise.

In a recent case of renewal of the approval of the candidature of Laboratory Test Report signatory, one
of our field establishments has forwarded to HQW, the name of an individual of the Public Sector
Undertaking who was no more alive.

Notwithstanding an error committed by the PSU, lapse on the part of our Resident office in
forwarding the documents to HQ without proper scrutiny, has been very seriously viewed by the
Director.

All CRIs/Heads of field estts are instructed to exercise caution in this regard in future and
forward recommendations to HQ for approval only after personally satisfying themselves about the
correctness and authenticity of all details.

(Ref No. 4830/DGAQA/S&G dated 02 Feb 1994.)

 Sub: Inspection of Stores during development.

During the development phase of Air Armament Stores, various development agencies like ARDE,
ERDL etc. under DRDO, often place SWODS/Supply orders on Ordnance Factories/Trade firms and seek the
help of our field establishments in providing the inspection coverage. Since at this stage the
Drgs/specifications are not firmed up and many changes/deviations are accepted/incorporated by the
development agencies from time to time during the course of development, the affected field establishments
have been approaching this HQrs for the necessary guidance with regard to the nature of their involvement in
the inspection process and responsibility for issuance of the Inspection Notes.

The following clarifications are hereby issued on the subject, for information and compliance of all
concerned :-

(a) The inspection agency of DGAQA located in the concerned factory will be fully
associated with the development agency as regards inspection activities, by providing
them with the material support and expertise, as and when required.

(b) The inspection agency should have complete access to the record of
changes/concessions granted and understand the full implications of such changes (as
regards assembly, safety and reliability)with a view to acquire sufficient advance
knowledge/information, which would be useful when subsequently the items come up
for mass production against the Air Force regular indents.

(c) The overall responsibility for the inspection of the stores under development and
issuance of inspection notes/final clearance will be that of the development agency.

(d) Items/stores cleared during the development process/stage do not automatically qualify
for issue against the regular Air Force Indents, as these may not meet the ultimate
quality requirements as per the scaled drawings.

(Ref No. 590/DGAQA/Arm dated 17 Feb 1994)

Sub: Capacity verification and registration of firms.

Reference is made to our letter of even number dated 25 Mar 92.

A need has been felt to reiterate and enforce the guidelines and instructions on the subject
issued above as perusal of tender enquiries and supply orders originating from Ordnance Factories
show on increasing tendency to resort to purchase of raw materials and manufacture of items/stores of
Air Armament discipline through un-registered trade firms. Insistence on registration is to be
unequivocal as it (registration) assures quality of stores and timely supply to a reasonable extent.
Additionally most of the unregistered firms may not possess infrastructural facilities required for
production and necessary quality assurance.

With the above in view, following extant instructions are reiterated :-

(a) All field establishments shall ensure that supply order is placed only on capacity
verified/registered firms.
(b) For the above purpose, vetting from tender enquiry stage onwards is to be carried out.
(c) Respective ordnance factories may be advised to include in the tender enquiry a column
requiring the firms to indicate its registration details with DGAQA, if this clause is not
already existing.

(Ref No. 590/DGAQA/Arm dated 04 Mar 94.)

Sub: Quality Assurance/Inspection coverage and surveillance of production activities for all items
dealt with by DGAQA

From time to time instructions have been issued by the HQrs in regard to the QA coverage to
be provided by officers of this organisation both at HQs and different field establishments with a view
to ensure that the product received by the user services is fit for performing its intended role. It is to
be appreciated that this organisation is performing a very sacred duty which is to support the services
in the defence of the country. It may also be appreciated that in the event of an emergency the pilot is
all alone in the aircraft and he will not be able to perform his asigned mission unless the aircraft and
the various system performs their functions as stipulated in the QR. In the past there have been many
instances whereby different aircraft and otheraccessories have not functioned as expected. Many a
times engines which have been overhauled and delivered to the users have failed soon after theier
receipt at the user's end. This is a very alarming situation and casts aspersions not only on the
manufacturing/overhaul agencies but also on the DGAQA who are the accredited agency for
acceptance of these stores on behalf of the users.

In a recent high-level meeting chaired by Secretary (DP&S), concern was expressed about such
malfunctioning of the system and hence Secretary (DP&S) desired that all officers of DGAQA be
informed that they have to be vigilant in the performance of their duties. It is highlighted that all
officers should be pro-active in their attitude rather than being reactive. Although DGAQA gives
inspection coverage only for certain pre-designated stages. It is to be noted that anything prevents our
officers to intercept at any other stage of manufacture by having a constant surveillance so that an
element of surprise is built in our performance and this will definitely have a salutary effect on the
production agency and their inspectors. The above should be borne in by all concerned and all officers
should constantly be moving around in different shops with a view to create a sense of commitment
and also to carry out surprise inspection at different stages. Our officers by so doing can assert
themselves that they have a sacred duty to perform and are not just performing the jobs to suit the
convenience of the production agency.

Heads of field establishments/JDs at Hqrs should be more active and vigilant for effective
implementation of the above. Action taken to implement the above may please be indicated to HQrs
before 16 Nov 1994.

(Ref No. 1415/2/DGAQA/Tech(Coord) dated 22 Nov 94)

Sub: Quality Audit of Air Armament Stores.

Instructions have been issued, vide this HQ letter number 1415/2/DGAQA/Tech Coord dated
22 Nov 94, in regard to the QA coverage to be provided by the officers of this Organisation with a
view to ensure that the product received by the user is fit for use and has the expected reliability. In
the recent past there have been instances of failure of Air Armament Stores at user's end and hence, a
need has been felt that apart from regular inspection, be it surveillance or direct, another effective
method to test the quality assurance system may have to be adopted. Quality audit is considered,
therefore, tobe one of these tools towards this end. It is, therefore, advised to constitute a team headed
by a SSO-I for carrying out an internal quality audit, to start with, and study the efficacy of
standards/tools available for confirming the quality a product. This exercise is to cover all the field
establishments under your control.

Your office may frame a suitable and exhaustive questionnaire for the same. A broad guide-
line is enclosed for your reference. This is only indicative and not exhaustive.

Internal Quality Audit report by those teams may be compiled and forwarded to this HQrs on a
quarterly basis.

(Ref No. 590/DGAQA/Arm dated 12 Jul 95)

 (Enclosure to letter No. 590/DGAQA/Arm
dated 12 Jul 1995)

Set of Questions for use in Quality system evaluation.

Does Quality manual exist in the Factory ? Is it adequate?

Are gauges and gauge schedules available for confirming the quality of a product?

Are instruments/tools used for confirming the quality of a product periodically calibrated?

How do the procedures control the flow of incoming goods to ensure none is used or processed
until quality has been verified by some means, eg: Bonded area, controlled movement of material,
receiving inspection, verification by application on a limited/sampling basis, presence of source
surveillance etc?

Are verification techniques adequately defined for method of samplings, acceptance criteria etc
ie., specification, drgs etc.?

Do some means exist for releasing urgently required goods prior to verification, including
identification etc.?

Do the procedure provide adequate control to ensure -

(a) Verification of goods by inspection, test or other method, in accordance with quality
plan, inspection schedules or documented procedures etc.
(b) Establishment of product conformance through the use of process monitoring and
process control
(c) Identification and segregation of non-conforming product.

Are the drgs and specns, confirming the quality of a product, of the latest issue?

Do the procedures clearly define how and when the various inspection and test records are to
be prepared, where they are to be held and how long?

How are inspection and test status indicated on the goods and records ?
 Where stamps or marks are used to indicate inspection/test satus, how are these controlled to
prevent unauthorised use?

Sub: Monitoring of the QA Functions of Field Establishments.

The QA functions at the different field estts under DGAQA are to be continuously monitored
by the concerned JDs at the HQrs, for interaction as necessary, to ensure adequacy of action and
continuous improvement in their functioning. In this connection implementation of various
guidelines/highlightings (pertaining to such as guidelines for inspection tasks, functioning of CRIs,
accidents investigation, indigenisation, subcontract QA, Quality Audits/Surprise checks etc.) issued to
field estts from time to time is to be continously monitored. The necessity to implement these
guidelines in their spirit needs no emphasis.

The Quarterly DI summaries provide an important source of information, which need to be

scrutinised for adequacy of action taken, pending cases of concurrent/major defects, implementation of
correction action etc. and taken up with the OCRI concerned wherever necessary.

( Ref No. 1415/2/DGAQA/Tech Coord dated 23 Dec 96

 Sub: Review and Improvement of Functions.

Continuous improvement, as is known, is an important requirement for any operating system, much
more so for those having to do with QA. It is a broad based activity ancompassing all areas of an
organisation. There are many areas where our own orgn also should review periodically for any corrective
message to improve upon the present performance by suitable changes in approach, emphasis, procedure or
quantum, as necessary.

In this connection a number of instructions have been issued from time to time stresing for compliance
with different requirements (pertaining to inspection tasks, functioning of OCRI's, indigenisation, sub contract
QA, Q Audits/Surprise checks etc.). A review of the compliance status in respect of these would provide
necessary directions for immediate improvement action.

A comprehensive documentation (by revision of the TSO) to guide the working under various heads of
activity in an important area. In addition to being of value in streamlining standardising, systematising and
regulating work, it also helps cut some learning time and likely errors. It is worthwhile to remember that it is
something we insist in others as part of good QA system. Action has therefore been initiated calling for
suggestions, in this regard. Apart from suggestions for change of nomenclature, etc. issues like what new
areas need to be covered to provide better guidance to our working :- For example we should consider a
chapter on QA during design/development, mandatory reports like analysis of defects/investigations, trend
analysis projectwise (say annually), guidelines for review of activities, records to be maintained for such
review/analysis, inspection in trade sources, Q Audits/Spot checks etc. Our officers/staff with requisite
knowledge/experience can greatly contribute in providing suitable draft for those parts of the proposed
revision. A document cannot be complete and perfect in one attempt. What we should be able to put in
position should be continuously reviewed and refined with corrective inputs from further experience
whereupon a sound document would evolve.

Another area is the review of our own procedures in respect of different activities - stage inspection,
defect investigation, spot checks, assessment of firms inspection organisation. For example the list of
inspection stages in any given project should be reviewed periodically (quarterly, half yearly, annually…) for
changes (with some critical ones as constant part where applicable) towards a better/more effective span of
the tech characteristics/processes of the project concerned.

Another area is the extent of convergance/knowledge of the technical details pertaining to the stage -
materials, system features, technological process, testing details/critical parts/characteristics etc. The
inspection activity is considerably sharpened and well directed, through such deeper knowledge and would
acquire better effectiveness.

Attention is required also for organising a systematic database which will be useful in giving our work
better direction and effectiveness. For example, data on various past QA problems can give useful input for
planning Q Audits/spot checks thereby providing a practical direction to the activity in an inadequate
resources - situation. The computer capacity established in the department should be fully exploited for
creating such a database - Quality problems, Accidents Investigation Defect Investigation summary,
concessions/PPs, etc, for analysis for any message such as trend or need for correction action etc.
 These are not additional or distinct from the regular work, but essentially a relook at, improvement ,
and streamlining of our present ways of working. A proactive campaign under the planning and supervision
of the CRIs/Heads of estts needs to be launched in these areas in view of their high significance to the
organisation. The contribution/cooperation of every member of the organisation would certainly be
forthcoming to make it happen - guided by some end participated/supported by all.

(Ref No. 1415/2/DGAQA/Tech Coord dated 05 Feb 97

 Sub: Compliance of SOP/LMC Decision and other important criteria at CRI's
inspection and monitoring.

During the deliberations of some of the recent accident/incident investigations of aircrafts and engines
(and other studies carried out in the course of investigation), one of the suspect areas pointed to the non-
compliance of SOP/LMC decisions. A question therefore arises as to whether there is an adequate mechanism
under practice during the CRI's stage inspection and final inspection, to enforce the SOP/LMC decisions.

A fool proof mechanism and procedure should exist, so that the CRI reps carry out physical
verification of the Mod at the appropriate point of production (at the component level, sub-assembly, main
assembly, final assembly, sub-system and system level etc. as applicable and during CRI stage inspection,
cross check, HAL's certification of Mod compliance, through adequate physical verification .

CRI's may therefore carryout an immediate indepth study of the existing procedures, review the
compliance status of LMC decisions for the past three years, identifyweak areas and strengthen the procedures
whereever reqired , for enforcing Mod compliance and evolve a system for an effective verification.

CRI's may also take advantage of this opportunity to review whether their current inspection
procedures ensure the compliance of the following effectively:-

(a) Suffficient life is available on critical items like seals, gaskets for full exploitation of the
aicraft /engine /rotable life for which it in cleared.

(b) The life of rotables fitted is sufficient for the maximum exploitation of the aircraft/engine for
which it is cleared.

(c) The NDT requirements of all critical components have been fully complied.

(d) Important recommendations of the DI/accident/incident investigations are complied with.

(e) Significant defects and repeat failures at HAL during production have been investigated and
that the corrective action taken is beyond doubt for quality conformance.

(f) The critical characteristics at various stages of inspection and testing are met..

(g) Heat treatment requirements in all critical components are complied.

(h) That there is no material mix up during manufacture or during processing.

(i) That the batch and lot are identifiable and well documented.

(j) That the total technical life and residual life as applicable to various stores have been
considered and fitted for the required service exploitation.
(k) The applicable instructions as SI, SB, STI and TSI have been duly complied.

(l) Comprehensive documentation is maintained with respect to concession, production permits

and cannibuilisation.

At the time of our various stage inspections, it is not only necessary that conformance to
technology, drawing and specifications is ensured through verification, but other important issues as
enumerated to Para 4 are adequately addressed towards quality conformance to meet service
requirement. A comprehensive guidelines for stage inspection covering all the above points, besides
any other significant point arrived at based on the experience gained over years, may be drafted and
issued to your officers. Copy of the same may be forwarded to us so that the suggestion/experience of
every division is fully exploited in the preparation and issue of TSO. Draft guideline may be prepared
considering original component/parts, sub assembly structure, rotables, sub system tests, system
testing, rig testing, final inspection clearance and test bed clearance.

(Ref No. 1614/DGAQA/J&PP dated 20 Feb 97)

 Sub: Inspection of Memo Stage and Review of Stage Inspection

CRIs carry out quality control/inspection at manufacture and overhaul of aircraft, aero engines,
accessories at HAL using the following :-

(a) Memo Stages of inspection which are offered by HAL QC.

(b) Spot checks.

(c) Lifed items list.

(d) Implementation of recommendations of LMC, DIR, Accident and Investigation.

(e) Inspection carried out by HAL, but verified by scrutinising documentation and other possible
physical verification.

(f) Lab reports on material, oil, fuel mechanical properties, matallurgical reports, NDT reports, X-
ray reports, etc.

(g) Sequence of operations as per technology.

(h) Inspection carried out by approved Inspector.

(i) Store inspection.

(j) Compliance to relevant specifications and test schedules.

(k) Clearance of deviations ( if any ) as per DDPMAS.

(l) Lifting policy.

(m) Clearance of production permits.

It is to be ensured that the entire activities of inspection at HAL relevant to stores, machining, welding,
heat treatment/processes, assembly systems and testing are identified clearly and grouped as under :-

(a) Inspection activities of HAL covered by CRI inspection stages.

(b) Inspection activities of HAL not covered by CRI inspection stage.

Select critical/important inspection activities can be chosen for stage inspection work with
respect to machining, welding process/heat treatment, assembly and testing system installation and
system integration in such a way :-

(a) That there is an overview and overall control of the total QC activities.
 (b) Certification of major/critical items are covered by stage inspection.

(c) CRIs can identify in the documentation that HAL QC effectively carrying out the
QC/inspection in activities listed at Para 2(a) and 2(b) through the documentation
through surprise checks.

(d) There is a clear evidence of HAL's inspection in the documentation, for every
inspection activity covered by stage memo and also for activities carried out by HAL
QC.

(e) CRI is able to identify and ensure that the approved Inspector has certified the
inspection.

(f) There is a clear evidence of compliance of all items listed at Para 1 against activities
covered by stage memo and activities covered by HAL QC.

Based on the experience gained at HAL on the effectiveness of QC system and based on the
feed back from services (through DI, accident and incident inspection, reports of failure by
collaboration etc.). Periodic review of inspection stages and system is considered necessary. Such
reviews can be carried once in three years. Based on the review, some of the inspection stages of Para
2(a), wherein it is confirmed that the implementation of QC system has been adequate and effective
may be discontinued for the purpose of stage inspection, but may be subjected to surveillance/spot
inspection. However, certain new stagers of inspection may be introduced to cover some inspection
activities at Para 2(b) (which was earlier carried out by HAL only and not a CRI memo stage). By
such periodic reviews, deficiencies, if any, in inspection activity (which was not CRI inspection stage
earlier) can be detected, so that the same can be corrected, without further loss of time. If any
deficiency is in the QC as brought out by any defect investigation, accident/incident investigation and
which demands introduction of new stages for a better overview/control of certification activity, the
same may be introduced.

At every memo stage, the contents of Paras 1 and 3 should be fully known to the CRI office
and that a mechanism exists to verify proof compliance.

Similarly for inspection activity not covered by memo stages but carried out by HAL
inspection, the contents of Paras 1 and 3 are fully known to CRI office and that a mechanism exists for
proof compliance.

Such periodic reviews are continuous efforts, so that CRI office over a length of time would
have practically monitored verified, and also carried out QC of every important/critical stage. This
will provide an opportunity to have an indepth knowledge of the effectiveness of the entire QC system,
an appreciation of corrections required to the system from time to time and an effective control over
the entire QC system.

(Ref No. 1614/DGAQA/J&PP dated 12 May 97)

 Sub: Cleanliness of Aircraft.

The High Powered Committee on fighter aircraft accident (COFFA) have stated that there is a need to
be vigilant on FOD precautions so that premature withdrawals of incident/accident due to to FOD are
minimised (ideal target should be Zero). Towards this end effective tool management both in IAF and HAL
are required. No doubt IAF will be taking action towards this end to reduce such incidents.

As far as DGAQA is concerned DDPMAS-75 indicates that for all QA and Inspection requirement
guidance from AvP-83 and AvP-84 be availed. Relevant information condensed from AvP-84 A 203 issue 1
regarding cleanliness of aircraft is enclosed herewith for general guidance.

The avoidance of FOD requires effort by all workers associated with the manufacture of aircraft and
inspectors to ensure that no foreign object is present. The factory management may be requested to provide
guidance, support and education to workers and inspectors to bring awareness in this respect.

From our part CRIs should take step/precaution in choosing critical areas which are prone for
collection of extraneous objects during manufacture/overhaul/repair and select stages of inspection by your
office such that it is ensured that these sub-assemblies/assemblies are free from foreign objects. Though the
enclosed copy deals exclusively regarding maintenance of cleanliness of aircraft each specific aircraft and
engine may have its peculiar features and as such are to be dealt separately from past experience. Hence,
CRIs may be requested to give special emphasis on the above aspect, review the stages from foreign object
point to view and indicate their action taken in the next Quarterly Report on one time basis.

(Ref : No. 1415/2/DGAQA/Tech Coord dated 09 Jan 98)

 Sub: Cleanliness of Aircraft.

The importance of ensuring that an aircraft is completely free from extraneous articles or matter
cannot be overstressed and it is vital that appropriate action is taken by all concerned to achieve the necessary
high standard of cleanliness. It is well-known that cleanliness cannot be inspected but regarded as part of
production process necessitating appropriately prescribed procedures, arrangements and facilities to ensure
that necessary standard is achieved and maintained. The problem associated with achievement of cleanliness
can only be resolved effectively if necessary attention is given at all level of management, design, production,
quality control and inspection. Everybody should be cleanliness conscious and fully briefed of the disastrous
consequences which may result from lose articles and matter left in aircraft structure, component and
equipment. In order to certify that an aircraft is free from loss articles or matter there must be a continuous
chain of evidence that every part of the aircraft has been inspected for presence of lose articles etc. and has
been found from of them. In order to meet this requirement there should be a planned inspection stages
defining the area and stages of manufacture and/or assembly at which the cleanliness inspections are to be
effected. The finding of lose articles etc. which have been left in aircraft, their components, installations etc.
is to be treated as serious matter necessitating full investigation into the reasons, and action at appropriate
level to prevent its recurrence. With the vital variation and complexity in the design of aircraft structures and
installations, it is not possible to lay down in detail a procedure that is applicable to every type. However,
general guidelines to be adopted for aircraft cleanliness enumerated in subsequent paras.

General : The inspector is to be constantly on alert for shop and aerodrome practices and conditions
which are likely to result in extraneous matter entering or being left inside the aircraft. An untidy or dirty
shop floor, the presence of surplus nuts, bolts, rivets etc., dirty test benches and its equipments are not
permitted. Clean hanger aprons and runways will minimise the risk of foreign matter being drawn into
engines. The surface of the area used for engine running should preferably be concrete and any tendency to
break up is to receive immediate attention.

Sub-assemblies :- Before accepting a sub-assembly, even though it may require further work when
fitted into an aircraft, Inspector is to verify that it is free from all extraneous matter.

Components :- Larger components such as wings, tail units, etc. are to be inspected progressively for
cleanliness. In every instance, before a compartment is finally closed, whether permanently or by removeable
panel or door, the Inspector is to verify that it is entirely free from extraneous matter. This is to be done after
all operation have been carried out and there is no likelyhood of the compartment being opened again except
where necessary in the course of erecting, adjusting or servicing during its flight. If reopen, it is to be
subjected to a further careful inspection and certification. Particular attention is to be paid to compartments
which are to receive flexible bag type tanks or use as integral tanks as a small particles of swarf etc.,
constitute a serious hazard to the safety of the aircraft.

Installation :- Before fitting a component i.e. an engine, powered control etc., a thorough
examination of the compartment for cleanliness is to be carried out. When the installation is complete and
immediately prior to closing in, a final careful examination is to be carried out. Particular attention is to be
given, not only to the actual component and installation but also to any ducts, air intakes etc. wherein lose
articles may be locked.

Engine Running :- An engine may be run either before the aircraft is complete or when ready for
flight. In either case, before starting is permitted, the Inspector is to verify tht not only is the engine bay or air
intake perfectly clean or free from insecure parts, but also surrounding structure, particularly that adjacent to
the air intake. When it is required for turbine engine is to be run which temporary guards over the airintakes,
it is desired to verify that they are approved type for the aircraft and are correctly fitted. Guards are not to
have any unlocked nuts, bolts or parts that could become detached and enter the airintake.

Complete aircraft :-

(a) Before an overall cleanliness inspection of a complete aircraft is made, the Inspector is to
verify that all cleanliness stage inspections have been carried out and certified on the
appropriate work sheets.

(b) Having verified that above requirements have been satisfied, the Inspecgtor is to ascertain by
careful physical inspection that the complete aircraft is free from all lose articles of any
description. Particular attention is to be given to following areas :-

(i) Compartment which have had inspection doors or panels opened after having been
previously certified clean. This applies particularly where adjustment have been
carried out and tool, split pins, locking wires etc. could be dropped inside.
(ii) All sections through which flying and engine controls pass.
(iii) The cockpit (s)
(iv) Engine bay(s), air-intakes and jet pipes.
(v) All area adjacent to under-carriage retracting gear and locks.
(vi) The gap between moving and fixed flying control surfaces.
(vii) Lose particles falling from pockets carrying out operations inside complete aircraft is to
be avoided at all levels.

When satisfied that aircraft is clean and air-worthy, the Inspector is to certify accordingly for the first flight. During subsequent
flight cleanliness check; should again be carried out in all vulnerable parts such as cockpits, engine, air-intake and anywhere that has
been opned or worked on or liable to the engress of foreign bodies during engine running or taxying since the previous inspection.

Recording of Inspections :- Whenever a cleanliness inspection is carried out whether on a

component or aircraft it is to be logged on the relevant work sheet in the position in the operation sequence at
which it takes place. In addition to the previous stage checks, there is to be a final inspection certificate
stating that the component or aircraft is clean and free from lose articles. This certificate is to appear on the
relevant work sheet and is to be signed or stamped concurrently with the final acceptance.

Method of cleaning :- The cleaning of sub-assemblies, components, installations, a complete aircraft

is to be a continuous process although the method adopted will, to some extent, be governed by their size and
design. Wherever it is at all possible the part or component is to be rotated in all directions and vibrated so as
to dislodge anything which might be trapped or held by paint, greese, joining or sealing compound. The use of
a good powerful vacuum cleaner fitted with suitable adopters designed to preclude damage to the aircraft
structure but capable of cleaning all corners is advocated to assist in removal of a small objects, while the
provision of adequate lighting and mirror will facilitate their location. It may be noted that employment of an
air-jet as a cleaning medium is a practice which is to be permitted only in certain agreed circumstances. It
frequently results in extraneous matter being blown from one compartment to another, thus constituting a
danger rather than a cleaning medium. In cases where rivets, mandrel stems and heads are present, their
removal can be facilitated by use of strong magnet, if they are ferrous origin.

(Ref No. 1415/2/DGAQA/Tech Coord dated Jan 1998)

 CHAP-17
References

The technical standing order contains reference to various documents issued by various
organisations. These are consolidated and given below. However, these are only illustrative and not
exhaustive.

Sl. No. Document Title Document No.

1. Quality Management Systems ISO 9002 : 2000

Fundamentals and Vocabulary

2. Quality Control System Requirement QCSR Issue 73

for Industry

3. Approval of firm’s Inspection Organisation AFIO Feb 71

(AFIO)

4. General Criteria for Assessment of Testing July 1993 Issued by Laboratories

DGAQA

5. Procedure for Design, Development and DDPMAS 2002

Production of Military Aircraft and Airborne
Stores.

6. Design, Development, Production and DDPIL

Inspection of Electronic Items of Military
Aircraft.

7. DGI Internal Regulations (British Publication) AvP – 83

8. DGI Inspection Instructions( British Publication) AvP - 84

9. Guide to Quality Assurance in Design DEF STAN 05-67/1

10. Design and airworthiness requirement for service DEF STAN 970
aircraft.

11. Quality Management and Quality ISO 9000: 1997

Assurance Standards- Part 3 Guidelines
for the application of ISO 9001 : 1994 to
the development, supply, installation and
maintenance of computer software
12. Quality Management Systems - Requirements ISO 9001 : 2000

13. Quality Management Systems - Guidelines for ISO 9004 : 2000

performance improvements.

14. Environmental Test Method for Electronic JSS 55555

and Electrical Equipment.

15. Environmental Test Methods and Engg. MIL-STD-810 E

Guidelines

16. Quality Program Requirements MIL-Q-9858

17. Electromagnetic Interference Characteristics- MIL-STD-461

Requirement for Equipment

18. Electromagnetic Interference Characteristics- MIL-STD-462

measurements of

19. Reliability Prediction of Electronic Equipments MIL HDBK-217

20. Screening Procedure for Electronic Components JSS 50115

Matters

21. Reporting and investigation of flying accidents AFO 7/93

and incidents

22. Defect on Airborne equipment : AFO-7/99

Reporting, investigation and Remedial Measures